[Title 40 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2002 Edition]
[From the U.S. Government Printing Office]



[[Page i]]



                    40


          Part 86 (86.1--86.599-99)

                         Revised as of July 1, 2001

Protection of Environment





          Containing a codification of documents of general 
          applicability and future effect
          As of July 1, 2001
          With Ancillaries
          Published by
          Office of the Federal Register
          National Archives and Records
          Administration

A Special Edition of the Federal Register



[[Page ii]]

                                      

               ----------------------------------------------------------
               As of July 1, 2001
               Title 40, Part 86
               Revised as of July 1, 2000
               Is Replaced by Two Volumes
               Title 40, Part 86 (Secs. 86.1--86.599-99)
               and
               Title 40, Part 86 (Secs. 86.600-1--End)
                                      
               ----------------------------------------------------------


                     U.S. GOVERNMENT PRINTING OFFICE
                            WASHINGTON : 2001



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[[Page iii]]




                            Table of Contents



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

  Title 40:
          Chapter I--Environmental Protection Agency                 3
  Finding Aids:
      Material Approved for Incorporation by Reference........     677
      Table of CFR Titles and Chapters........................     679
      Alphabetical List of Agencies Appearing in the CFR......     697
      List of CFR Sections Affected...........................     707



[[Page iv]]


      


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

                     Cite this Code:  CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus, 40 CFR 86.1 refers 
                       to title 40, part 86, 
                       section 1.

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

[[Page v]]



                               EXPLANATION

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

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

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

LEGAL STATUS

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

HOW TO USE THE CODE OF FEDERAL REGULATIONS

    The Code of Federal Regulations is kept up to date by the individual 
issues of the Federal Register. These two publications must be used 
together to determine the latest version of any given rule.
    To determine whether a Code volume has been amended since its 
revision date (in this case, July 1, 2001), consult the ``List of CFR 
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative 
List of Parts Affected,'' which appears in the Reader Aids section of 
the daily Federal Register. These two lists will identify the Federal 
Register page number of the latest amendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

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

OMB CONTROL NUMBERS

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

[[Page vi]]

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

OBSOLETE PROVISIONS

    Provisions that become obsolete before the revision date stated on 
the cover of each volume are not carried. Code users may find the text 
of provisions in effect on a given date in the past by using the 
appropriate numerical list of sections affected. For the period before 
January 1, 1986, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, or 1973-1985, published in seven separate volumes. For 
the period beginning January 1, 1986, a ``List of CFR Sections 
Affected'' is published at the end of each CFR volume.

INCORPORATION BY REFERENCE

    What is incorporation by reference? Incorporation by reference was 
established by statute and allows Federal agencies to meet the 
requirement to publish regulations in the Federal Register by referring 
to materials already published elsewhere. For an incorporation to be 
valid, the Director of the Federal Register must approve it. The legal 
effect of incorporation by reference is that the material is treated as 
if it were published in full in the Federal Register (5 U.S.C. 552(a)). 
This material, like any other properly issued regulation, has the force 
of law.
    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
the requirements of 1 CFR part 51 are met. Some of the elements on which 
approval is based are:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
process.
    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
    Properly approved incorporations by reference in this volume are 
listed in the Finding Aids at the end of this volume.
    What if the material incorporated by reference cannot be found? If 
you have any problem locating or obtaining a copy of material listed in 
the Finding Aids of this volume as an approved incorporation by 
reference, please contact the agency that issued the regulation 
containing that incorporation. If, after contacting the agency, you find 
the material is not available, please notify the Director of the Federal 
Register, National Archives and Records Administration, Washington DC 
20408, or call (202) 523-4534.

CFR INDEXES AND TABULAR GUIDES

    A subject index to the Code of Federal Regulations is contained in a 
separate volume, revised annually as of January 1, entitled CFR Index 
and Finding Aids. This volume contains the Parallel Table of Statutory 
Authorities and Agency Rules (Table I). A list of CFR titles, chapters, 
and parts and an alphabetical list of agencies publishing in the CFR are 
also included in this volume.
    An index to the text of ``Title 3--The President'' is carried within 
that volume.
    The Federal Register Index is issued monthly in cumulative form. 
This index is based on a consolidation of the ``Contents'' entries in 
the daily Federal Register.
    A List of CFR Sections Affected (LSA) is published monthly, keyed to 
the revision dates of the 50 CFR titles.

[[Page vii]]


REPUBLICATION OF MATERIAL

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

INQUIRIES

    For a legal interpretation or explanation of any regulation in this 
volume, contact the issuing agency. The issuing agency's name appears at 
the top of odd-numbered pages.
    For inquiries concerning CFR reference assistance, call 202-523-5227 
or write to the Director, Office of the Federal Register, National 
Archives and Records Administration, Washington, DC 20408 or e-mail 
info@fedreg.nara.gov.

SALES

    The Government Printing Office (GPO) processes all sales and 
distribution of the CFR. For payment by credit card, call 202-512-1800, 
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Customer Service call 202-512-1803.

ELECTRONIC SERVICES

    The full text of the Code of Federal Regulations, The United States 
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Compilation are available in electronic format at www.access.gpo.gov/
nara (``GPO Access''). For more information, contact Electronic 
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Phone 202-512-1530, or 888-293-6498 (toll-free). E-mail, 
gpoaccess@gpo.gov.
    The Office of the Federal Register also offers a free service on the 
National Archives and Records Administration's (NARA) World Wide Web 
site for public law numbers, Federal Register finding aids, and related 
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site also contains links to GPO Access.

                              Raymond A. Mosley,
                                    Director,
                          Office of the Federal Register.

July 1, 2001.



[[Page ix]]



                               THIS TITLE

    Title 40--Protection of Environment is composed of twenty-eight 
volumes. The parts in these volumes are arranged in the following order: 
parts 1-49, parts 50-51, part 52.01-52.1018, part 52.1019-end, parts 53-
59, part 60, parts 61-62, part 63 (63.1-63.599), part 63 (63.600-
63.1199), part (63.1200-End), parts 64-71, parts 72-80, parts 81-85, 
part 86 (86.1-86.599-99), part 86 (86.600-1 to end) parts 87-99 and 
parts 100 to 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 700-789, and part 790 to End. The contents of these volumes 
represent all current regulations codified under this title of the CFR 
as of July 1, 2001.

    Chapter I--Environmental Protection Agency appears in all twenty-
eight volumes. A Pesticide Tolerance Commodity/Chemical Index and Crop 
Grouping Commodities Index appear in parts 150-189. A Toxic Substances 
Chemical--CAS Number Index appears in parts 700-789 and part 790 to End. 
Redesignation Tables appear in the volumes containing parts 50-51, parts 
150-189, and parts 700-789. Regulations issued by the Council on 
Environmental Quality appear in the volume containing part 790 to End. 
The OMB control numbers for title 40 appear in Sec. 9.1 of this chapter.

[[Page x]]




[[Page 1]]



                   TITLE 40--PROTECTION OF ENVIRONMENT




           (This book contains part 86, Secs. 86.1--86.599-99)

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

chapter i--Environmental Protection Agency (Continued)......          86

[[Page 3]]



         CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY (CONTINUED)




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


  Editorial Notes: 1. Subchapter C--Air programs is contained in volumes 
40 CFR parts 50-51, part 52.01-52.1018, part 52.1019-end, parts 53-59, 
part 60, parts 61-62, part 63 (63.1-63.599), part 63 (63.600-63.1199), 
part (63.1200-End), parts 64-71, parts 72-80, parts 81-85, part 86 
(86.1-86.599-99), part 86 (86.600-1 to end) and parts 87-99.

  2. Nomenclature changes to chapter I appear at 65 FR 47324, 47325, 
Aug. 2, 2000; 66 FR 34375, 34376, June 28, 2001.

                 SUBCHAPTER C--AIR PROGRAMS (Continued)

Part                                                                Page
86              Control of emissions from new and in-use 
                    highway vehicles and engines............           5

[[Page 5]]





                 SUBCHAPTER C--AIR PROGRAMS--(Continued)





PART 86--CONTROL OF EMISSIONS FROM NEW AND IN-USE HIGHWAY VEHICLES AND ENGINES--Table of Contents




Sec.
86.1  Reference materials.

  Subpart A--General Provisions for Emission Regulations for 1977 and 
 Later Model Year New Light-Duty Vehicles, Light-Duty Trucks and Heavy-
  Duty Engines, and for 1985 and Later Model Year New Gasoline Fueled, 
 Natural Gas-Fueled, Liquefied Petroleum Gas-Fueled and Methanol-Fueled 
                           Heavy-Duty Vehicles

86.000-2  Definitions.
86.000-3  Abbreviations.
86.000-7  Maintenance of records; submittal of information; right of 
          entry.
86.000-8  Emission standards for 2000 and later model year light-duty 
          vehicles.
86.000-9  Emission standards for 2000 and later model year light-duty 
          trucks.
86.000-15  NOX and particulate averaging, trading, and 
          banking for heavy-duty engines.
86.000-16  Prohibition of defeat devices.
86.000-21  Application for certification.
86.000-23  Required data.
86.000-24  Test vehicles and engines.
86.000-25  Maintenance.
86.000-26  Mileage and service accumulation; emission measurements.
86.000-28  Compliance with emission standards.
86.001-1  General applicability.
86.001-2  Definitions.
86.001-9  Emission standards for 2001 and later model year light-duty 
          trucks.
86.001-21  Application for certification.
86.001-22  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.
86.001-23  Required data.
86.001-24  Test vehicles and engines.
86.001-25  Maintenance.
86.001-26  Mileage and service accumulation; emission measurements.
86.001-28  Compliance with emission standards.
86.001-30  Certification.
86.001-35  Labeling.
86.004-2  Definitions.
86.004-9  Emission standards for 2004 and later model year light-duty 
          trucks.
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.
86.004-30  Certification.
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.
86.005-17  On-board diagnostics.
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.
86.007-21  Application for certification.
86.007-23  Required data.
86.007-25  Maintenance.
86.007-35  Labeling.
86.007-38  Maintenance instructions.
86.008-10  Emission standards for 2008 and later model year Otto-cycle 
          heavy-duty engines and vehicles.
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.
86.079-36  Submission of vehicle identification numbers.
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.
86.084-40  Automatic expiration of reporting and recordkeeping 
          requirements.
86.085-1  General applicability.
86.085-2  Definitions.
86.085-13  Alternative Durability Program.
86.085-20  Incomplete vehicles, classification.
86.085-37  Production vehicles and engines.
86.087-2  Definitions.

[[Page 6]]

86.087-38  Maintenance instructions.
86.088-2  Definitions.
86.088-10  Emission standards for 1988 and 1989 model year gasoline-
          fueled heavy-duty engines and vehicles.
86.090-1  General applicability.
86.090-2  Definitions.
86.090-3  Abbreviations.
86.090-5  General standards; increase in emissions; unsafe conditions.
86.090-8  Emission standards for 1990 and later model year light-duty 
          vehicles.
86.090-9  Emission standards for 1990 and later model year light-duty 
          trucks.
86.090-14  Small-volume manufacturers certification procedures.
86.090-21  Application for certification.
86.090-22  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.
86.090-24  Test vehicles and engines.
86.090-25  Maintenance.
86.090-26  Mileage and service accumulation; emission requirements.
86.090-27  Special test procedures.
86.091-2  Definitions.
86.091-7  Maintenance of records; submittal of information; right of 
          entry.
86.091-9  Emission standards for 1991 and later model year light-duty 
          trucks.
86.091-10  Emission standards for 1991 and later model year Otto-cycle 
          heavy-duty engines and vehicles.
86.091-11  Emission standards for 1991 and later model year diesel 
          heavy-duty engines.
86.091-15  NOX and particulate averaging, trading, and 
          banking for heavy-duty engines.
86.091-21  Application for certification.
86.091-23  Required data.
86.091-28  Compliance with emission standards.
86.091-29  Testing by the Administrator.
86.091-30  Certification.
86.091-35  Labeling.
86.092-1  General applicability.
86.092-2  Definitions.
86.092-14  Small-volume manufacturers certification procedures.
86.092-15  NOX and particulate averaging, trading, and 
          banking for heavy-duty engines.
86.092-23  Required data.
86.092-24  Test vehicles and engines.
86.092-26  Mileage and service accumulation; emission measurements.
86.092-35  Labeling.
86.093-2  Definitions.
86.093-11  Emission standards for 1993 and later model year diesel 
          heavy-duty engines.
86.093-35  Labeling.
86.094-1  General applicability.
86.094-2  Definitions.
86.094-3  Abbreviations.
86.094-7  Maintenance of records; submittal of information; right of 
          entry.
86.094-8  Emission standards for 1994 and later model year light-duty 
          vehicles.
86.094-9  Emission standards for 1994 and later model year light-duty 
          trucks.
86.094-11  Emission standards for 1994 and later model year diesel 
          heavy-duty engines and vehicles.
86.094-13  Light-duty exhaust durability programs.
86.094-14  Small-volume manufacturers certification procedures.
86.094-15  NOX and particulate averaging, trading, and 
          banking for heavy-duty engines.
86.094-16  Prohibition of defeat devices.
86.094-17  Emission control diagnostic system for 1994 and later light-
          duty vehicles and light-duty trucks.
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.
86.094-23  Required data.
86.094-24  Test vehicles and engines.
86.094-25  Maintenance.
86.094-26  Mileage and service accumulation; emission requirements.
86.094-28  Compliance with emission standards.
86.094-30  Certification.
86.094-35  Labeling.
86.094-38  Maintenance instructions.
86.095-14  Small-volume manufacturers certification procedures.
86.095-23  Required data.
86.095-24  Test vehicles and engines.
86.095-26  Mileage and service accumulation; emission measurements.
86.095-30  Certification.
86.095-35  Labeling.
86.096-2  Definitions.
86.096-3  Abbreviations.
86.096-7  Maintenance of records; submittal of information; right of 
          entry.
86.096-8  Emission standards for 1996 and later model year light-duty 
          vehicles.
86.096-9  Emission standards for 1996 and later model year light-duty 
          trucks.
86.096-10  Emission standards for 1996 and later model year Otto-cycle 
          heavy-duty engines and vehicles.
86.096-11  Emission standards for 1996 and later model year diesel 
          heavy-duty engines and vehicles.
86.096-14  Small-volume manufacturer certification procedures.
86.096-21  Application for certification.
86.096-23  Required data.
86.096-24  Test vehicles and engines.

[[Page 7]]

86.096-26  Mileage and service accumulation; emission measurements.
86.096-30  Certification.
86.096-35  Labeling.
86.097-9  Emission standards for 1997 and later model year light-duty 
          trucks.
86.098-2  Definitions.
86.098-3  Abbreviations.
86.098-7  Maintenance of records; submittal of information; right of 
          entry.
86.098-8  Emission standards for 1998 and later model year light-duty 
          vehicles.
86.098-10  Emission standards for 1998 and later model year Otto-cycle 
          heavy-duty engines and vehicles.
86.098-11  Emission standards for 1998 and later model year diesel 
          heavy-duty engines and vehicles.
86.098-14  Small-volume manufacturers certification procedures.
86.098-15  NOX and particulate averaging, trading, and 
          banking for heavy-duty engines.
86.098-17  Emission control diagnostic system for 1998 and later light-
          duty vehicles and light-duty trucks.
86.098-21  Application for certification.
86.098-22  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.
86.098-23  Required data.
86.098-24  Test vehicles and engines.
86.098-25  Maintenance.
86.098-26  Mileage and service accumulation; emission measurements.
86.098-28  Compliance with emission standards.
86.098-30  Certification.
86.098-35  Labeling.
86.099-1  General applicability.
86.099-8  Emission standards for 1999 and later model year light-duty 
          vehicles.
86.099-9  Emission standards for 1999 and later model year light-duty 
          trucks.
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.
86.099-17  Emission control diagnostic system for 1999 and later light-
          duty vehicles and light-duty trucks.
86.099-30  Certification.

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.
86.106-00  Equipment required; overview.
86.106-90  Equipment required; overview.
86.106-94  Equipment required; overview.
86.106-96  Equipment required; overview.
86.107-90  Sampling and analytical system; evaporative emissions.
86.107-96  Sampling and analytical systems; evaporative emissions.
86.107-98  Sampling and analytical system.
86.108-00  Dynamometer.
86.108-79  Dynamometer.
86.109-90  Exhaust gas sampling system; Otto-cycle vehicles.
86.109-94  Exhaust gas sampling system; Otto-cycle vehicles not 
          requiring particulate emission measurements.
86.110-90  Exhaust gas sampling system; diesel vehicles.
86.110-94  Exhaust gas sampling system; diesel-cycle vehicles, and Otto-
          cycle vehicles requiring particulate emissions measurements.
86.111-90  Exhaust gas analytical system.
86.111-94  Exhaust gas analytical system.
86.112-91  Weighing chamber (or room) and microgram balance 
          specifications.
86.113-04  Fuel specifications.
86.113-07  Fuel specifications.
86.113-91  Fuel specifications.
86.113-94  Fuel specifications.
86.114-79  Analytical gases.
86.114-94  Analytical gases.
86.115-00  EPA urban dynamometer driving schedules.
86.115-78  EPA urban dynamometer driving schedule.
86.116-90  Calibrations, frequency and overview.
86.116-94  Calibrations, frequency and overview.
86.117-90  Evaporative emission enclosure calibrations.
86.117-96  Evaporative emission enclosure calibrations.
86.118-00  Dynamometer calibrations.
86.118-78  Dynamometer calibration.
86.119-90  CVS calibration.
86.120-82  Gas meter or flow instrumentation calibration; particulate 
          measurement.
86.120-94  Gas meter or flow instrumentation calibration; particulate, 
          methanol and formaldehyde measurement.
86.121-82  Hydrocarbon analyzer calibration.
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.
86.127-90  Test procedures; overview.
86.127-94  Test procedures; overview.

[[Page 8]]

86.127-96  Test procedures; overview.
86.128-00  Transmissions.
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.
86.130-00  Test sequence; general requirements.
86.130-78  Test sequence; general requirements.
86.130-96  Test sequence; general requirements.
86.131-00  Vehicle preparation.
86.131-90  Vehicle preparation.
86.131-96  Vehicle preparation.
86.132-00  Vehicle preconditioning.
86.132-90  Vehicle preconditioning.
86.132-96  Vehicle preconditioning.
86.133-90  Diurnal breathing loss test.
86.133-96  Diurnal emission test.
86.134-96  Running loss test.
86.135-00  Dynamometer procedure.
86.135-90  Dynamometer procedure.
86.135-94  Dynamometer procedure.
86.136-90  Engine starting and restarting.
86.137-90  Dynamometer test run, gaseous and particulate emissions.
86.137-94  Dynamometer test run, gaseous and particulate emissions.
86.137-96  Dynamometer test run, gaseous and particulate emissions.
86.138-90  Hot-soak test.
86.138-96  Hot soak test.
86.139-90  Particulate filter handling and weighing.
86.140-82  Exhaust sample analysis.
86.140-90  Exhaust sample analysis.
86.140-94  Exhaust sample analysis.
86.142-90  Records required.
86.143-90  Calculations; evaporative emissions.
86.143-96  Calculations; evaporative emissions.
86.144-90  Calculations; exhaust emissions.
86.144-94  Calculations; exhaust emissions.
86.145-82  Calculations; particulate emissions.
86.146-96  Fuel dispensing spitback procedure.
86.150-98  Refueling test procedure; overview.
86.151-98  General requirements; refueling test.
86.152-98  Vehicle preparation; refueling test.
86.153-98  Vehicle and canister preconditioning; refueling test.
86.154-98  Measurement procedure; refueling test.
86.155-98  Records required; refueling test.
86.156-98  Calculations; refueling test.
86.157-98  Refueling test procedures for liquefied petroleum gas-fueled 
          vehicles.
86.158-00  Supplemental Federal Test Procedures; overview.
86.159-00  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.
86.162-00  Approval of alternative air conditioning test simulations and 
          descriptions of AC1 and AC2.
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.

 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

86.201-94  General applicability.
86.202-94  Definitions.
86.203-94  Abbreviations.
86.204-94  Section numbering; construction.
86.205-94  Introduction; structure of this subpart.
86.206-94  Equipment required; overview.
86.207-94  [Reserved]
86.208-94  Dynamometer.
86.209-94  Exhaust gas sampling system; gasoline-fueled vehicles.
86.210-94  [Reserved]
86.211-94  Exhaust gas analytical system.
86.212-94  [Reserved]
86.213-04  Fuel specifications.
86.213-94  Fuel specifications.
86.214-94  Analytical gases.
86.215-94  EPA urban dynamometer driving schedule.
86.216-94  Calibrations, frequency and overview.
86.217-94  [Reserved]
86.218-94  Dynamometer calibration.
86.219-94  CVS calibration.
86.220-94  [Reserved]
86.221-94  Hydrocarbon analyzer calibration.
86.222-94  Carbon monoxide analyzer calibration.
86.223-94  Oxides of nitrogen analyzer calibration.
86.224-94  Carbon dioxide analyzer calibration.
86.225-94  [Reserved]
86.226-94  Calibration of other equipment.
86.227-94  Test procedures; overview.
86.228-94  Transmissions.
86.229-94  Road load force, test weight, and inertia weight class 
          determination.
86.230-94  Test sequence; general requirements.

[[Page 9]]

86.231-94  Vehicle preparation.
86.232-94  Vehicle preconditioning.
86.233-94--86.234-94  [Reserved]
86.235-94  Dynamometer procedure.
86.236-94  Engine starting and restarting.
86.237-94  Dynamometer test run, gaseous emissions.
86.238-94--86.239-94  [Reserved]
86.240-94  Exhaust sample analysis.
86.241-94  [Reserved]
86.242-94  Records required.
86.243-94  [Reserved]
86.244-94  Calculations; exhaust emissions.
86.245-94  [Reserved]
86.246-94  Intermediate temperature testing.

   Subpart D--Emission Regulations for New Gasoline-Fueled and Diesel-
       Fueled Heavy-Duty Engines; Gaseous Exhaust Test Procedures

86.301-79  Scope; applicability.
86.302-79  Definitions.
86.303-79  Abbreviations.
86.304-79  Section numbering; construction.
86.305-79  Introduction; structure of subpart.
86.306-79  Equipment required and specifications; overview.
86.307-82  Fuel specifications.
86.308-79  Gas specifications.
86.309-79  Sampling and analytical system; schematic drawing.
86.310-79  Sampling and analytical system; component specifications.
86.311-79  Miscellaneous equipment; specifications.
86.312-79  Dynamometer and engine equipment specifications.
86.313-79  Air flow measurement specifications; diesel engines.
86.314-79  Fuel flow measurement specifications.
86.315-79  General analyzer specifications.
86.316-79  Carbon monoxide and carbon dioxide analyzer specifications.
86.317-79  Hydrocarbon analyzer specifications.
86.318-79  Oxides of nitrogen analyzer specifications.
86.319-79  Analyzer checks and calibrations; frequency and overview.
86.320-79  Analyzer bench check.
86.321-79  NDIR water rejection ratio check.
86.322-79  NDIR CO2 rejection ratio check.
86.327-79  Quench check; NOX analyzer.
86.328-79  Leak checks.
86.329-79  System response time; check procedure.
86.330-79  NDIR analyzer calibration.
86.331-79  Hydrocarbon analyzer calibration.
86.332-79  Oxides of nitrogen analyzer calibration.
86.333-79  Dynamometer calibration.
86.334-79  Test procedure overview.
86.335-79  Gasoline-fueled engine test cycle.
86.336-79  Diesel engine test cycle.
86.337-79  Information.
86.338-79  Exhaust measurement accuracy.
86.339-79  Pre-test procedures.
86.340-79  Gasoline-fueled engine dynamometer test run.
86.341-79  Diesel engine dynamometer test run.
86.342-79  Post-test procedures.
86.343-79  Chart reading.
86.344-79  Humidity calculations.
86.345-79  Emission calculations.
86.346-79  Alternative NOX measurement technique.
86.347-79  Alternative calculations for diesel engines.
86.348-79  Alternative to fuel H/C analysis.

  Subpart E--Emission Regulations for 1978 and Later New Motorcycles, 
                           General Provisions

86.401-90  General applicability.
86.401-97  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.
86.410-80  Emission standards for 1980 and later model year motorcycles.
86.410-90  Emission standards for 1990 and later model year motorcycles.
86.411-78  Maintenance instructions, vehicle purchaser.
86.412-78  Maintenance instructions, submission to Administrator.
86.413-78  Labeling.
86.414-78  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.
86.419-78  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.

[[Page 10]]

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.

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.
86.505-78  Introduction; structure of subpart.
86.508-78  Dynamometer.
86.509-90  Exhaust gas sampling system.
86.511-90  Exhaust gas analytical system.
86.513-87  Fuel and engine lubricant specifications.
86.513-90  Fuel and engine lubricant specifications.
86.513-94  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.
86.519-78  Constant volume sampler 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.
86.529-78  Road load force and inertia weight determination.
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.
86.544-91--86.599-99  [Reserved]

    Authority: 42 U.S.C. 7401-7521(l) and 7521(m)-7671q.

    Effective Date Note: The new information collection requirements for 
part 86 published in the Federal Register at 59 FR 16262, Apr. 6, 1994, 
which apply to 1998 and later model year vehicles, have not been 
approved by the Office of Management and Budget (OMB) and are not 
effective. The Environmental Protection Agency will publish a document 
once OMB approves the information collection requirements.

    Editorial Note: Nomenclature changes to part 86 appear at 60 FR 
34377, June 30, 1995.



Sec. 86.1  Reference materials.

    (a) The documents in paragraph (b) of this section have been 
incorporated by reference. The incorporation by reference was approved 
by the Director of the Federal Register in accordance with 5 U.S.C. 
552(a) and 1 CFR part 51. Copies may be inspected at U.S. EPA, OAR, 401 
M St., SW., Washington, DC 20460, or at the Office of the Federal 
Register, 800 North Capitol Street, NW., Suite 700, Washington, DC.
    (b) The following paragraphs and tables set forth the material that 
has been incorporated by reference in this part.
    (1) ASTM material. The following table sets forth material from the 
American Society for Testing and Materials that has been incorporated by 
reference. The first column lists the number and name of the material. 
The second column lists the section(s) of this part, other than this 
section, in which the matter is referenced. Copies of these materials 
may be obtained from American Society for Testing and Materials, 100 
Barr Harbor Drive, West Conshohocken, PA 19428-2959.

------------------------------------------------------------------------
          Document number and name             40 CFR part 86 reference
------------------------------------------------------------------------
ASTM E29-67 (Reapproved 1980), Standard      86.1105-87.
 Recommended Practice for Indicating Which
 Places of Figures Are To Be Considered
 Significant in Specified Limiting Values.
ASTM E29-90, Standard Practice for Using     86.609-84; 86.609-96;
 Significant Digits in Test Data to           86.609-97; 86.609-98;
 Determine Conformance with Specifications.   86.1009-84; 86.1009-96;
                                              86.1442; 86.1708-99;
                                              86.1709-99; 86.1710-99;
                                              86.1728-99.

[[Page 11]]

 
ASTM D5186-91, Standard Test Method for      86.113-07; 86.1313-91;
 Determination of Aromatic Content of         86.1313-94; 86.1313-98;
 Diesel Fuels by Supercritical Fluid          1313-2007.
 Chromatography.
ASTM D2163-91, Standard Test Method for      86.113-94; 86.1213-94;
 Analysis of Liquefied Petroleum (LP) Gases   86.1313-94.
 and Propane Concentrates by Gas
 Chromatography.
ASTM D1945-91, Standard Test Method for      86.113-94; 86.513-94;
 Analysis of Natural Gas By Gas               86.1213-94; 86.1313-94.
 Chromatography.
ASTM E29-93a, Standard Practice for Using    86.098-15; 86.004-15;
 Significant Digits in Test Data to           86.007-11; 86.007-15;
 Determine Conformance with Specifications.   86.1803-01; 86.1823-01;
                                              86.1824-01; 86.1825-01;
                                              86.1837-01.
ASTM D2986-95a, (Reapproved 1999) Standard   86.1310-2007.
 Practice for Evaluation of Air Assay Media
 by the Monodisperse DOP (Dioctyl
 Phthalate) Smoke Test.
ASTM F1471-93, Standard Test Method for Air  86.1310-2007.
 Cleaning Performance of a High-Efficiency
 Particulate Air-Filter System.
------------------------------------------------------------------------

    (2) SAE material. The following table sets forth material from the 
Society of Automotive Engineers that has been incorporated by reference. 
The first column lists the number and name of the material. The second 
column lists the section(s) of this part, other than Sec. 86.1, in which 
the matter is referenced. The second column is presented for information 
only and may not be all inclusive. Copies of these materials may be 
obtained from Society of Automotive Engineers International, 400 
Commonwealth Dr., Warrendale, PA, 15096-0001.

------------------------------------------------------------------------
           Document No. and name              40 CFR part 86 reference
------------------------------------------------------------------------
SAE J1349, June 1990, Engine Power Test     86.094-8; 86.096-8
 Code--Spark Ignition and Compression
 Ignition.
SAE J1850 July 1995, Class B Data           86.099-17; 86.1806-01
 Communication Network Interface.
SAE J1877, July 1994 Recommended Practice   86.095-35; 86.1806-01
 for Bar-Coded Vehicle Identification
 Number Label.
SAE J1892 October 1993, Recommended         86.095-35; 86.1806-01
 Practice for Bar-Coded Vehicle Emission
 Configuration Label.
SAE J1939-11, December 1994, Physical       86.005-17; 86.1806-05
 Layer-250K bits/s, Shielded Twisted Pair.
SAE J1939-13, July 1999, Off-Board          86.005-17; 86.1806-05
 Diagnostic Connector.
SAE J1939-21, July 1994, Data Link Layer..  86.005-17; 86.1806-05
SAE J1939-31, December 1997, Network Layer  86.005-17; 86.1806-05
SAE J1939-71, May 1996, Vehicle             86.005-17; 86.1806-05
 Application Layer.
SAE J1939-73, February 1996, Application    86.005-17; 86.1806-05
 Layer-Diagnostics.
SAE J1939-81, July 1997, Recommended        86.005-17; 86.1806-05
 Practice for Serial Control and
 Communications Vehicle Network--Part 81--
 Network Management.
SAE J1962 January 1995, Diagnostic          86.099-17; 86.1806-01
 Connector.
SAE J1979 July 1996, E/E Diagnostic Test    86.099-17; 86.1806-01
 Modes.
SAE J2012 July 1996, Recommended Practice   86.099-17; 86.1806-01
 for Diagnostic Trouble Code Definitions.
SAE Recommended Practice J1151, December    86.111-94; 86.1311-94.
 1991, Methane Measurement Using Gas
 Chromatography, 1994 SAE Handbook--SAE
 International Cooperative Engineering
 Program, Volume 1: Materials, Fuels,
 Emissions, and Noise; Section 13 and page
 170 (13.170).
SAE Recommended Practice J1937, November    86.1330-84; 86.1330-90.
 1989, Engine Testing with Low Temperature
 Charge Air Cooler Systems in a
 Dynamometer Test Cell.
------------------------------------------------------------------------

    (3) ANSI material. The following table sets forth material from the 
American National Standards Institute that has been incorporated by 
reference. The first column lists the number and name of the material. 
The second column lists the section(s) of this part, other than 
Sec. 86.1, in which the matter is referenced. The second column is 
presented for information only and may not be all inclusive. Copies of 
these materials may be obtained from the American National Standards 
Institute, 11 West 42nd Street, 13th Floor, New York, NY 10036.

[[Page 12]]



------------------------------------------------------------------------
         Document number and name             40 CFR part 86 reference
------------------------------------------------------------------------
ANSI/AGA NGV1-1994, Standard for            86.001-9; 86.004-9; 86.098-
 Compressed Natural Gas Vehicle (NGV)        8; 86.099-8; 86.099-9;
 Fueling Connection Devices.                 86.1810-01
------------------------------------------------------------------------

    (4) California regulatory requirements. The following table sets 
forth California regulatory requirements that have been incorporated by 
reference. The first column lists the name and date of the material. The 
second column lists the sections of the part, other than Sec. 86.1, in 
which the matter is referenced. The second column is presented for 
information only and may not be all-inclusive. Copies of these materials 
may be obtained from U.S. EPA, Office of Air and Radiation, 1200 
Pennsylvania Ave., NW., Washington, DC 20460.

 
------------------------------------------------------------------------
           Document No. and name              40 CFR part 86 reference
------------------------------------------------------------------------
California Regulatory Requirements
 Applicable to the ``LEV II'' Program,
 including:.
    1. California Exhaust Emission          86.1806-01; 86.1811-04;
     Standards and Test Procedures for       86.1844-01.
     2003 and Subsequent Model Zero-
     Emission Vehicles and 2001 and
     Subsequent Model Hybrid Electric
     Vehicles, in the Passenger Car, Light-
     duty Truck and Medium-duty Vehicle
     Classes. August 5, 1999.
    2. California Non-Methane Organic Gas   86.1803-01; 86.1810-01;
     Test Procedures. August 5, 1999.        86.1811-04.
California Regulatory Requirements          86.113-004; 86.612-97;
 Applicable to the National Low Emission     86.1012-97; 86.1702-99;
 Vehicle Program, October 1996.              86.1708-99; 86.1709-99;
                                             86.1717-99; 86.1735-99;
                                             86.1771-99; 86.1775-99;
                                             86.1776-99; 86.1777-99;
                                             Appendix XVI; Appendix
                                             XVII.
------------------------------------------------------------------------

    (5) ISO material. The following table sets forth material from the 
International Organization of Standardization that has been incorporated 
by reference. The first column lists the number and name of the 
material. The second column lists the section(s) of this part, other 
than Sec. 86.1, in which the matter is referenced. The second column is 
presented for information only and may not be all inclusive. Copies of 
these materials may be obtained from the International Organization for 
Standardization, Case Postale 56, CH-1211 Geneva 20, Switzerland.

------------------------------------------------------------------------
                                                             40 CFR part
                   Document No. and Name                          86
                                                              reference
------------------------------------------------------------------------
ISO 9141-2 February 1994,Road vehicles--Diagnostic systems    86.099-17;
 Part 2....................................................   86.1806-01
ISO 14230-4:2000(E), June 1, 2000 Road Vehicles--Diagnostic   86.005-17;
 Systems--Keyword Protocol 2000--Part 4: Requirements for     86.1806-05
 emission-related systems..................................
------------------------------------------------------------------------


[58 FR 16019, Mar. 24, 1993, as amended at 58 FR 58417, Nov. 1, 1993; 59 
FR 48491, 59 FR 48491, Sept. 21, 1994; 59 FR 50073, Sept. 30, 1994; 60 
FR 43887, Aug. 23, 1995; 61 FR 54877, Oct. 22, 1996; 62 FR 31232, June 
6, 1997; 62 FR 47119, Sept. 5, 1997; 62 FR 54715, Oct. 21, 1997; 63 FR 
965, Jan. 7, 1998; 63 FR 70694, Dec. 22, 1998; 64 FR 23920, May 4, 1999; 
65 FR 6848, Feb. 10, 2000; 65 FR 59944, Oct. 6, 2000; 66 FR 5159, Jan. 
18, 2001]



  Subpart A--General Provisions for Emission Regulations for 1977 
and Later Model Year New Light-Duty Vehicles, Light-Duty Trucks and 

Heavy-Duty Engines, and for 1985 and Later Model Year New Gasoline 
Fueled, Natural Gas-Fueled, Liquefied Petroleum Gas-Fueled and 
Methanol-Fueled 
                           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

[[Page 13]]

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, 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, Sec. 86.094-7 or Sec. 86.096-7. Where a 
paragraph in Sec. 86.091-7, Sec. 86.094-7 or Sec. 86.096-7 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.'' or 
``[Reserved]. For guidance see Sec. 86.096-7.''
    (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) through (c)(2) [Reserved]. For guidance see Sec. 86.091-7.
    (c)(3) [Reserved]. For guidance see Sec. 86.094-7.
    (c)(4) through (d)(1)(v) [Reserved]. For guidance see Sec. 86.091-7.
    (d)(1)(vi) through (d)(2)(iv) [Reserved]. For guidance see 
Sec. 86.094-7.
    (d)(3) through (g) [Reserved]. For guidance see Sec. 86.091-7.
    (h)(1) The manufacturer (or contractor for the manufacturer, if 
applicable) of any model year 2000 through 2002 light-duty vehicle or 
light light-duty truck or model year 2002 through 2004 heavy light-duty 
truck that is certified shall establish, maintain, and retain the 
following adequately organized and indexed records for each such 
vehicle:
    (i) EPA engine family;
    (ii) Vehicle identification number;
    (iii) Model year and production date;
    (iv) Shipment date;
    (v) Purchaser; and
    (vi) Purchase contract.
    (h)(2) through (h)(5) [Reserved]. For guidance see Sec. 86.094-7.
    (h)(6) Voiding a certificate. (i) EPA may void ab initio a 
certificate for a vehicle certified to Tier 1 certification

[[Page 14]]

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 Secs. 86.000-8, 86.000-9, or 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.
    (h)(6)(ii) through (h)(7)(vi) [Reserved]. For guidance see 
Sec. 86.096-7.
    (h)(7)(vii) EPA evaporative/refueling family.

[61 FR 54878, Oct. 22, 1996]



Sec. 86.000-8  Emission standards for 2000 and later model year light-duty vehicles.

    Section 86.000-8 includes text that specifies requirements that 
differ from Sec. 86.096-8 or Sec. 86.099-8. Where a paragraph in 
Sec. 86.096-8 or Sec. 86.099-8 is identical and applicable to 
Sec. 86.000-8, this may be indicated by specifying the corresponding 
paragraph and the statement ``[Reserved]. For guidance see Sec. 86.096-
8.'' or ``[Reserved]. For guidance see Sec. 86.099-8.''
    (a)(1) introductory text through (a)(1)(ii)(B) [Reserved]. For 
guidance see Sec. 86.096-8.
    (a)(1)(iii) through (b)(4) [Reserved]. For guidance see Sec. 86.099-
8.
    (b)(5) [Reserved]. For guidance see Sec. 86.096-8.
    (b)(6) [Reserved]. For guidance see Sec. 86.099-8.
    (c) [Reserved]. For guidance see Sec. 86.096-8.
    (d) [Reserved]. For guidance see Sec. 86.099-8.
    (e) SFTP Standards. (1) Exhaust emissions from 2000 and later model 
year light-duty vehicles shall meet the additional SFTP standards of 
table A00-2 (defined by useful life, fuel type, and test type) according 
to the implementation schedule in table A00-1. The standards set forth 
in table A00-2 refer to exhaust emissions emitted over the Supplemental 
Federal Test Procedure (SFTP) as set forth in subpart B of this part and 
collected and calculated in accordance with those procedures. Compliance 
with these standards are an additional requirement to the required 
compliance with Tier 1 standards as defined in Secs. 86.096-8 (a)(1) 
introductory text through (a)(1)(ii)(B) and 86.099-8 (a)(1)(iii) through 
(a)(3):

    Table A00-1--Implementation Schedule for Light-Duty Vehicles for
                            (NMHC=NOX) and CO
------------------------------------------------------------------------
                         Model year                           Percentage
------------------------------------------------------------------------
2000.......................................................           40
2001.......................................................           80
2002.......................................................          100
------------------------------------------------------------------------


             Table A00-2--Useful Life Standards (G/MI) for Light-Duty Vehicles for (NMHC=NOX) and CO
----------------------------------------------------------------------------------------------------------------
                                                                                             CO
                                                                NMHC=NOX  --------------------------------------
           Useful life                     Fuel type           composite                              Composite
                                                                             A/C test    US06 test      option
----------------------------------------------------------------------------------------------------------------
Intermediate.....................  Gasoline.................         0.65          3.0          9.0          3.4
                                   Diesel...................         1.48           NA          9.0          3.4
Full.............................  Gasoline.................         0.91          3.7         11.1          4.2
                                   Diesel...................         2.07           NA         11.1          4.2
----------------------------------------------------------------------------------------------------------------

    (i) A minimum of the percentage shown in table A00-1 of a 
manufacturer's sales of the applicable model year's light-duty vehicles 
shall not exceed the applicable SFTP standards in table A00-2 when 
tested under the procedures in subpart B of this part indicated for 2000 
and later model year light-duty vehicles.
    (ii) Optionally, a minimum of the percentage shown in table A00-1 of 
a manufacturer's combined sales of the applicable model year's light-
duty vehicles and light light-duty trucks shall not exceed the 
applicable SFTP standards. Under this option, the light-duty vehicles 
shall not exceed the applicable SFTP standards in table A00-2, and the 
light light-duty trucks shall not exceed

[[Page 15]]

the applicable SFTP standards in table A00-4 of Sec. 86.000-9.
    (iii) Sales percentages for the purposes of determining compliance 
with this paragraph (e)(1) shall be based on total actual U.S. sales of 
light-duty vehicles of the applicable model year by a manufacturer to a 
dealer, distributor, fleet operator, broker, or any other entity which 
comprises the point of first sale. If the option of paragraph (e)(1)(ii) 
of this section is taken, such sales percentages shall be based on the 
total actual combined U.S. sales of light-duty vehicles and light light-
duty trucks of the applicable model year by a manufacturer to a dealer, 
distributor, fleet operator, broker, or any other entity which comprises 
the point of first sale.
    (iv) 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 
for purposes of determining compliance with the implementation schedule 
sales percentages of table A00-1. Such petition shall be submitted 
within 30 days of the end of the model year to the Vehicle Programs and 
Compliance 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.
    (2) These SFTP standards do not apply to vehicles certified on 
alternative fuels, but the standards do apply to the gasoline and diesel 
fuel operation of flexible fuel vehicles and dual fuel vehicles.
    (3) These SFTP standards do not apply to vehicles tested at high 
altitude.
    (4) The air to fuel ratio shall not be richer at any time than the 
leanest air to fuel mixture required to obtain maximum torque (lean best 
torque), plus a tolerance of six (6) percent. The Administrator may 
approve a manufacturer's request for additional enrichment if it can be 
shown that additional enrichment is needed to protect the engine or 
emissions control hardware.
    (5) The requirement to use a single roll dynamometer (or a 
dynamometer which produces equivalent results), discussed in 
Secs. 86.108-00, 86.118-00, and 86.129-00, applies to all SFTP and FTP 
test elements as set forth in subpart B of this part for families which 
are designated as SFTP compliant under the implementation schedule in 
table A00-1.
    (6) Small volume manufacturers, as defined in Sec. 86.094-14(b)(1) 
and (2), are exempt from the requirements of this paragraph (e) until 
model year 2002, when 100 percent compliance with the standards of this 
paragraph (e) is required. This exemption does not apply to small volume 
engine families as defined in Sec. 86.094-14(b)(5).
    (7) The manufacturer must state at the time of Application for 
Certification, based on projected U.S. sales or projected production for 
U.S. sale, which families will be used to attain the required 
implementation schedule sales percentages for certification purposes.
    (8) A manufacturer cannot use one set of engine families to meet its 
intermediate useful life standards and another to meet its full useful 
life standards. The same families which are used to meet the 
intermediate useful life standards will be required without deviation to 
meet the corresponding full useful life standards.
    (9) Compliance with composite standards shall be demonstrated using 
the calculations set forth in Sec. 86.164-00.
    (f) [Reserved]
    (g) through (k) [Reserved]. For guidance see Sec. 86.096-8.

[61 FR 54878, Oct. 22, 1996]



Sec. 86.000-9  Emission standards for 2000 and later model year light-duty trucks.

    Section 86.000-9 includes text that specifies requirements that 
differ from Sec. 86.097-9 or Sec. 86.099-9. Where a paragraph in 
Sec. 86.097-9 or Sec. 86.099-9 is identical and applicable to 
Sec. 86.000-9, this may be indicated by specifying the corresponding 
paragraph and the statement ``[Reserved]. For guidance see Sec. 86.097-
9.'' or ``[Reserved]. For guidance see Sec. 86.099-9.''
    (a)(1) introductory text through (a)(1)(iii) [Reserved]. For 
guidance see Sec. 86.097-9.
    (a)(1)(iv) through (b)(4) [Reserved]. For guidance see Sec. 86.099-
9.
    (b)(5) [Reserved]
    (c) [Reserved]. For guidance see Sec. 86.097-9.

[[Page 16]]

    (d) [Reserved]
    (e) SFTP Standards. (1) Light light-duty trucks. (i) Exhaust 
emissions from 2000 and later model year light light-duty trucks shall 
meet the additional SFTP standards of table A00-4 (defined by useful 
life, fuel type, truck type, loaded vehicle weight (LVW), and test type) 
according to the implementation schedule in table A00-3. The standards 
set forth in table A00-4 refer to exhaust emissions emitted over the 
Supplemental Federal Test Procedure (SFTP) as set forth in subpart B of 
this part and collected and calculated in accordance with those 
procedures. Compliance with these standards are an additional 
requirement to the required compliance with Tier 1 standards as defined 
in Secs. 86.097-9(a)(1) introductory text through (a)(1)(iii) and 
86.099-9(a)(1)(iv) through (a)(3):

  Table A00-3--Implementation Schedule for Light Light-Duty Trucks for
                            (NMHC+NOX) and CO
------------------------------------------------------------------------
                         Model year                           Percentage
------------------------------------------------------------------------
2000.......................................................           40
2001.......................................................           80
2002.......................................................          100
------------------------------------------------------------------------


                               Table A00-4--Useful Life Standards (G/MI) for Light Light-Duty Trucks for (NMHC+NOX) and CO
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                                      CO
                                                                                                           NMHC+NOX  -----------------------------------
              Useful life                       Fuel type                  Truck type          LVW (lbs)   Composite                           Composite
                                                                                                                       A/C test    US06 test    option
--------------------------------------------------------------------------------------------------------------------------------------------------------
Intermediate..........................  Gasoline.................  LDT1.....................      0-3750        0.65         3.0         9.0         3.4
                                                                   LDT2.....................   3751-5750        1.02         3.9        11.6         4.4
                                        Diesel...................  LDT1.....................      0-3750        1.48          NA         9.0         3.4
                                                                   LDT2.....................   3751-5750          NA          NA          NA          NA
Full..................................  Gasoline.................  LDT1.....................      0-3750        0.91         3.7        11.1         4.2
                                                                   LDT2.....................   3751-5750        1.37         4.9        14.6         5.5
                                        Diesel...................  LDT1.....................      0-3750        2.07          NA        11.1         4.2
                                                                   LDT2.....................   3751-5750          NA          NA          NA          NA
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (A) A minimum of the percentage shown in table A00-3 of a 
manufacturer's sales of the applicable model year's light light-duty 
trucks shall not exceed the applicable SFTP standards in table A00-4 
when tested under the procedures in subpart B of this part indicated for 
2000 and later model year light light-duty trucks.
    (B) Optionally, a minimum of the percentage shown in table A00-3 of 
a manufacturer's combined sales of the applicable model year's light-
duty vehicles and light light-duty trucks shall not exceed the 
applicable SFTP standards. Under this option, the light-duty vehicles 
shall not exceed the applicable SFTP standards in table A00-2 of 
Sec. 86.000-8, and the light light-duty trucks shall not exceed the 
applicable SFTP standards in table A00-4.
    (C) Sales percentages for the purposes of determining compliance 
with paragraph (e)(1)(i)(A) of this section shall be based on total 
actual U.S. sales of light light-duty trucks of the applicable model 
year by a manufacturer to a dealer, distributor, fleet operator, broker, 
or any other entity which comprises the point of first sale. If the 
option of Sec. 86.097-9(a)(1)(i)(B) is taken, such sales percentages 
shall be based on the total actual combined U.S. sales of light-duty 
vehicles and light light-duty trucks of the applicable model year by a 
manufacturer to a dealer, distributor, fleet operator, broker, or any 
other entity which comprises the point of first sale.
    (D) 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 
for purposes of determining compliance with the implementation schedule 
sales percentages of table A000-3. Such petition shall be submitted 
within 30 days of the end of the model year to the Vehicle Programs and 
Compliance 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.

[[Page 17]]

    (ii) These SFTP standards do not apply to light light-duty trucks 
certified on alternative fuels, but the standards do apply to the 
gasoline and diesel fuel operation of flexible fuel vehicles and dual 
fuel vehicles.
    (iii) These SFTP standards do not apply to light light-duty trucks 
tested at high altitude.
    (iv) The air to fuel ratio shall not be richer at any time than the 
leanest air to fuel mixture required to obtain maximum torque (lean best 
torque), plus a tolerance of six (6) percent. The Administrator may 
approve a manufacturer's request for additional enrichment if it can be 
shown that additional enrichment is needed to protect the engine or 
emissions control hardware.
    (v) The requirement to use a single roll dynamometer (or a 
dynamometer which produces equivalent results), discussed in 
Secs. 86.108-00, 86.118-00, and 86.129-00, applies to all SFTP and FTP 
test elements as set forth in subpart B of this part for engine families 
which are designated as SFTP compliant under the implementation schedule 
in table A00-3.
    (vi) Small volume manufacturers, as defined in Sec. 86.094-14(b) (1) 
and (2), are exempt from the requirements of this paragraph (e) until 
model year 2002, when 100 percent compliance with the standards of this 
paragraph (e) is required. This exemption does not apply to small volume 
engine families as defined in Sec. 86.094-14(b)(5).
    (vii) The manufacturer must state at the time of Application for 
Certification, based on projected U.S. sales or projected production for 
U.S. sale, which engine families will be used to attain the required 
implementation schedule sales percentages for certification purposes.
    (viii) A manufacturer cannot use one set of engine families to meet 
its intermediate useful life standards and another to meet its full 
useful life standards. The same engine families which are used to meet 
the intermediate useful life standards will be required without 
deviation to meet the corresponding full useful life standards.
    (ix) Compliance with composite standards shall be demonstrated using 
the calculations set forth in Sec. 86.164-00.
    (2) Heavy light-duty trucks. (i) Exhaust emissions from 2002 and 
later model year heavy light-duty trucks shall meet the SFTP standards 
of table A00-6 (defined by useful life, fuel type, truck type, adjusted 
loaded vehicle weight (ALVW), and test type) according to the 
implementation schedule in table A00-5. The standards set forth in table 
A00-6 refer to exhaust emissions emitted over the Supplemental Federal 
Test Procedure (SFTP) as set forth in subpart B of this part and 
collected and calculated in accordance with those procedures. Compliance 
with these standards are an additional requirement to the required 
compliance with Tier 1 standards as defined in Secs. 86.097-9(a)(1) 
introductory text through (a)(1)(iii) and 86.099-9(a)(1)(iv) through 
(a)(3):

  Table A00-5--Implementation Schedule for Heavy Light-Duty Trucks for
                            (NMHC+NOX) and CO
------------------------------------------------------------------------
                         Model year                           Percentage
------------------------------------------------------------------------
2002.......................................................           40
2003.......................................................           80
2004.......................................................          100
------------------------------------------------------------------------


                               Table A00-6--Useful Life Standards (G/MI) for Heavy Light-Duty Trucks for (NMHC+NOX) and CO
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                                      CO
                                                                                                           NMHC+NOX  -----------------------------------
              Useful life                       Fuel type                  Truck type         ALVW (lbs)   composite                           Composite
                                                                                                                       A/C test    US06 test    option
--------------------------------------------------------------------------------------------------------------------------------------------------------
Intermediate..........................  Gasoline.................  LDT3.....................   3751-5750        1.02         3.9        11.6         4.4
                                                                   LDT4.....................       >5750        1.49         4.4        13.2         5.0
                                        Diesel...................  LDT3.....................   3751-5750          NA          NA          NA          NA
                                                                   LDT4.....................       >5750          NA          NA          NA          NA
Full..................................  Gasoline.................  LDT3.....................   3751-5750        1.44         5.6        16.9         6.4
                                                                   LDT4.....................       >5750        2.09         6.4        19.3         7.3
                                        Diesel...................  LDT3.....................   3751-5750          NA          NA          NA          NA
                                                                   LDT4.....................       >5750          NA          NA          NA          NA
--------------------------------------------------------------------------------------------------------------------------------------------------------


[[Page 18]]

    (A) A minimum of the percentage shown in table A00-5 of a 
manufacturer's sales of the applicable model year's heavy light-duty 
trucks shall not exceed the applicable SFTP standards in table A00-6 
when tested under the procedures in subpart B of this part indicated for 
2002 and later model year heavy light-duty trucks.
    (B) Sales percentages for the purposes of determining compliance 
with paragraph (e)(1)(ii)(A) of this section shall be based on total 
actual U.S. sales of heavy light-duty trucks of the applicable model 
year by a manufacturer to a dealer, distributor, fleet operator, broker, 
or any other entity which comprises the point of first sale.
    (C) 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 
for purposes of determining compliance with the implementation schedule 
sales percentages of table A00-5. Such petition shall be submitted 
within 30 days of the end of the model year to the Vehicle Programs and 
Compliance 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.
    (ii) These SFTP standards do not apply to heavy light-duty trucks 
certified on alternative fuels, but the standards do apply to the 
gasoline fuel operation of flexible fuel vehicles and dual fuel 
vehicles.
    (iii) These SFTP standards do not apply to heavy light-duty trucks 
tested at high altitude.
    (iv) The air to fuel ratio shall not be richer at any time than the 
leanest air to fuel mixture required to obtain maximum torque (lean best 
torque), plus a tolerance of six (6) percent. The Administrator may 
approve a manufacturer's request for additional enrichment if it can be 
shown that additional enrichment is needed to protect the engine of 
emissions control hardware.
    (v) The requirement to use a single roll dynamometer (or a 
dynamometer which produces equivalent results), discussed in 
Secs. 86.108-00, 86.118-00, and 86.129-00, applies to all SFTP and FTP 
test elements for families which are designated as SFTP compliant under 
the implementation schedule in table A00-5.
    (vi) Small volume manufacturers, as defined in Sec. 86.094-14(b) (1) 
and (2), are exempt from the requirements of paragraph (e) of this 
section until model year 2004, when 100 percent compliance with the 
standards of this paragraph (e) is required. This exemption does not 
apply to small volume engine families as defined in Sec. 86.094-
14(b)(5).
    (vii) The manufacturer must state at the time of Application for 
Certification, based on projected U.S. sales or projected production for 
U.S. sale, which families will be used to attain the required 
implementation schedule sales percentages for certification purposes.
    (viii) A manufacturer cannot use one set of engine families to meet 
its intermediate useful life standards and another to meet its full 
useful life standards. The same families which are used to meet the 
intermediate useful life standards will be required without deviation to 
meet the corresponding full useful life standard.
    (ix) The NOX averaging program is not applicable for 
determining compliance with the standards of table A00-6.
    (x) Compliance with composite standards shall be demonstrated using 
the calculations set forth in Sec. 86.164-00.
    (f) [Reserved]
    (g) through (k) [Reserved]. For guidance see Sec. 86.097-9.

[61 FR 54879, Oct. 22, 1996]



Sec. 86.000-15  NOX and particulate averaging, trading, and banking for heavy-duty engines.

    Section 86.000-15 includes text that specifies requirements that 
differ from Sec. 86.094-15 or Sec. 86.098-15. Where a paragraph in 
Sec. 86.094-15 or Sec. 86.098-15 is identical and applicable to 
Sec. 86.000-15, this may be indicated by specifying the corresponding 
paragraph and the statement ``[Reserved]. For guidance see Sec. 86.094-
15.'' or ``[Reserved]. For guidance see Sec. 86.098-15.''.
    (a)(1) Heavy-duty engines eligible for NOX and 
particulate averaging, trading and banking programs are described in the 
applicable emission standards sections in this subpart. All heavy-duty

[[Page 19]]

engine families which include any engines labeled for use in clean-fuel 
vehicles as specified in 40 CFR part 88 are not eligible for these 
programs. For manufacturers selecting Option 1 Otto-cycle engine 
standards contained in Sec. 86.005-10(f)(1), the ABT program 
requirements in Sec. 86.004-15 apply for 2003 model year Otto-cycle 
engines, rather than the provisions contained in this Sec. 86.000-15. 
Participation in these programs is voluntary.
    (a)(2) through (b) [Reserved] For guidance see Sec. 86.094-15.
    (c) [Reserved] For guidance see Sec. 86.098-15.
    (d) through (i) [Reserved] For guidance see Sec. 86.094-15.
    (j) Optional program for early banking for diesel engines. 
Provisions set forth in Secs. 86.094-15 (a), (b), (d) through (i), and 
86.098-15 (c) apply except as specifically stated otherwise in 
Sec. 86.098-15 (j)(1) through (j)(3)(iii).
    (j)(1) through (j)(3)(iii) [Reserved] For guidance see Sec. 86.098-
15.
    (k) Optional program for early banking for Otto-cycle engines. 
Provisions set forth in Secs. 86.094-15(a), (b), (d) through (i), and 
86.098-15(c) apply except as specifically stated otherwise in this 
paragraph (k).
    (1) To be eligible for the optional program described in this 
paragraph (k), the following must apply:
    (i) Credits are generated from Otto-cycle heavy-duty engines which 
have been certified using certification durability demonstration 
procedures which meet the criteria contained in Sec. 86.004-26 and with 
deterioration factors calculated in accordance with Sec. 86.004-28.
    (ii) During certification, the manufacturer shall declare its intent 
to include specific engine families in the program described in this 
paragraph. Separate declarations are required for each program and no 
engine families may be included in both programs in the same model year.
    (2) Credit generation and use. (i) Credits shall only be generated 
by 2000 and later model year engine families.
    (ii) Except as provided in paragraph (k)(2)(iii) of this section, 
credits generated under this paragraph (k) may only be used for 2003 and 
later model year heavy-duty Otto-cycle engines subject to NOX 
or NOX plus NMHC standards more stringent than 4.0 g/bhp-hr. 
When used with 2003 and later model year engines, NOX credits 
may be used to meet an applicable NOX plus NMHC standard, 
except as otherwise provided in Sec. 86.004-10(a)(1)(i)(C).
    (iii) If a manufacturer chooses to use credits generated under this 
paragraph (k) for engine families subject to the NOX standard 
contained in Sec. 86.098-10 (4.0 g/bhp-hr) the averaging, trading, and 
banking of such credits shall be governed by the program provided in 
Secs. 86.094-15(a), (b), (d) through (i) and 86.098-15(c) and shall be 
subject to all discounting, credit life limits and all other provisions 
contained in Secs. 86.094-15(a), (b), (d) through (i) and 86.098-15(c). 
In the case where the manufacturer can demonstrate that the credits were 
discounted under the program provided in this paragraph (k), that 
discount may be accounted for in the calculation of credits described in 
Sec. 86.098-15(c).
    (iv) For NOX credits generated under this paragraph (k), 
a Std value of 2.0 grams per brake horsepower-hour shall be used in 
place of the current and applicable NOX standard in the 
credit availability equation in Sec. 86.098-15(c)(1).
    (3) Program flexibilities. (i) NOX credits that are 
banked under this paragraph (k) and not used as provided by paragraph 
(k)(2)(iii) of this section may be used without being forfeited due to 
credit age. The requirement in this paragraph (k)(3) applies instead of 
the requirements in Sec. 86.094-15(f)(2)(i).
    (ii) There are no regional category restraints for averaging, 
trading, and banking of credits generated under the program described in 
this paragraph (k) except if they are used under paragraph (k)(2)(iii) 
of this section. This applies instead of the regional category 
provisions described in the introductory text of Sec. 86.094-15(d) and 
(e).
    (iii) Credit discounting. (A) For NOX credits generated 
under this paragraph (k) from engine families with NOX FELs 
greater than 1.0 grams per brake horsepower-hour for oxides of nitrogen, 
a Discount value of 0.9 shall be used instead of 0.8 in the credit 
availability equation in Sec. 86.098-15(c)(1).
    (B) For NOX credits generated under this paragraph (k) 
from engine families with NOX FELs less than or equal to 1.0

[[Page 20]]

grams per brake horsepower-hour for oxides of nitrogen, a Discount value 
of 1.0 shall be used in place of 0.8 in the credit availability equation 
in Sec. 86.098-15 (c)(1).
    (4) 2003 model year. Manufacturers selecting Option 1, described in 
Sec. 86.005-10(f)(1), may not generate or bank early credits under this 
paragraph (k) for the 2003 model year. Credit generation and banking 
provisions contained in Sec. 86.004-15 apply for the 2003 model year.
    (l) Credit apportionment. At the manufacturer's option, credits 
generated under the provisions described in paragraph (j) or (k) of 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. 86.098-10 or 
Sec. 86.098-11, as applicable. For each engine family, the manufacturer 
may report engine sales in two categories, ``ABT-only credits'' and 
``non-manufacturer-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 
``non-manufacturer-owned credits'' and this portion of the credits 
generated between the standard and the FEL, based on the calculation in 
Sec. 86.098-15(c)(1), would belong to another party. For ABT, the 
manufacturer may not generate any credits for the engine sales reported 
as ``non-manufacturer-owned credits.'' Engines reported as ``non-
manufacturer-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 ``non-manufacturer-owned credits'' in 
the end-of-model year reports required under Sec. 86.098-23.

[65 FR 59944, Oct. 6, 2000]



Sec. 86.000-16  Prohibition of defeat devices.

    Section 86.000-16 includes text that specifies requirements that 
differ from Sec. 86.094-16. Where a paragraph in Sec. 86.094-16 is 
identical and applicable to Sec. 86.000-16, this may be indicated by 
specifying the corresponding paragraph and the statement ``[Reserved]. 
For guidance see Sec. 86.094-16.''
    (a) No new light-duty vehicle, light-duty truck, 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]. For guidance see Sec. 86.094-16.
    (d) For vehicle and engine designs designated by the Administrator 
to be investigated for possible defeat devices:
    (1) The manufacturer must show to the satisfaction of the 
Administrator that the vehicle or engine design does not incorporate 
strategies that unnecessarily reduce emission control effectiveness 
exhibited during the Federal emissions test procedure when the vehicle 
or engine is operated under conditions which may reasonably be expected 
to be encountered in normal operation and use.
    (d)(2) through (d)(2)(ii) [Reserved]. For guidance see Sec. 86.094-
16.

[61 FR 54881, Oct. 22, 1996, as amended at 65 FR 59945, Oct. 6, 2000]



Sec. 86.000-21  Application for certification.

    Section 86.000-21 includes text that specifies requirements that 
differ from Sec. 86.094-21, Sec. 86.096-21 or Sec. 86.098-21.

[[Page 21]]

Where a paragraph in Sec. 86.094-21, Sec. 86.096-21 or Sec. 86.098-21 is 
identical and applicable to Sec. 86.000-21, 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.'' or ``[Reserved]. For guidance see Sec. 86.098-21.''
    (a) through (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) through (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 Secs. 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) [Reserved]. For guidance see Sec. 86.098-21.
    (b)(4)(ii) through (b)(5)(iv) [Reserved]. For guidance see 
Sec. 86.094-21.
    (b)(5)(v) [Reserved]. For guidance see Sec. 86.098-21.
    (b)(6) through (b)(8) [Reserved]. For guidance see Sec. 86.094-21.
    (b)(9) through (b)(10)(iii) [Reserved]. For guidance see 
Sec. 86.098-21.
    (c) through (j) [Reserved]. For guidance see Sec. 86.094-21.
    (k) and (l) [Reserved]. For guidance see Sec. 86.096-21.

[61 FR 54882, Oct. 22, 1996]



Sec. 86.000-23  Required data.

    Section 86.000-23 includes text that specifies requirements that 
differ from Sec. 86.095-23 or Sec. 86.098-23. Where a paragraph in 
Sec. 86.095-23 or Sec. 86.098-23 is identical and applicable to 
Sec. 86.000-23, this may be indicated by specifying the corresponding 
paragraph and the statement ``[Reserved]. For guidance see Sec. 86.095-
23.'' or ``[Reserved]. For guidance see Sec. 86.098-23.''
    (a) through (b)(1)(ii) [Reserved]. For guidance see Sec. 86.095-23.
    (b)(2) [Reserved]. For guidance see Sec. 86.098-23.
    (b)(3) through (b)(4)(ii) [Reserved]. For guidance see Sec. 86.095-
23.
    (b)(4)(iii) [Reserved]. For guidance see Sec. 86.098-23.
    (c) through (e)(1) [Reserved]. For guidance see Sec. 86.095-23.
    (e)(2) through (e)(3) [Reserved]. For guidance see Sec. 86.098-23.
    (f) through (k) [Reserved]. For guidance see Sec. 86.095-23.
    (l) Additionally, manufacturers certifying vehicles shall submit for 
each model year 2000 through 2002 light-duty vehicle and light light-
duty truck engine family and each model year 2002 through 2004 heavy 
light-duty truck engine family the information listed in paragraphs (l) 
(1) and (2) of this section.
    (1) Application for certification. In the application for 
certification, the manufacturer shall submit the projected sales volume 
of engine families certifying to the respective standards. Volume 
projected to be produced for U.S. sale may be used in lieu of projected 
U.S. sales.
    (2) End-of-year reports for each engine family.
    (i) These end-of-year reports shall be submitted within 90 days of 
the end of the model year to: Director, Vehicle Programs and Compliance 
Division, U.S. Environmental Protection Agency, 1200 Pennsylvania Ave., 
NW., Washington, DC 20460.
    (ii) These reports shall indicate the model year, engine family, and 
the actual U.S. sales volume. The manufacturer may petition the 
Administrator to allow volume produced for U.S. sale to be used in lieu 
of U.S. sales. Such petition shall be submitted within 30 days of the 
end of the model year to the Manufacturers Operations Division. For the 
petition to be granted, the manufacturer must establish to the

[[Page 22]]

satisfaction of the Administrator that production volume is functionally 
equivalent to sales volume.
    (iii) The U.S. sales volume for end-of-year reports shall be based 
on the location of the point of sale to a dealer, distributor, fleet 
operator, broker, or any other entity which comprises the point of first 
sale.
    (iv) Failure by a manufacturer to submit the end-of-year report 
within the specified time may result in certificate(s) for the engine 
family(ies) certified to Tier 1 certification standards being voided ab 
initio plus any applicable civil penalties for failure to submit the 
required information to the Agency.
    (v) These reports shall include the information required under 
Sec. 86.000-7(h)(1). The information shall be organized in such a way as 
to allow the Administrator to determine compliance with the SFTP 
standards implementation schedules of Secs. 86.000-8 and 86.000-9.
    (m) [Reserved]. For guidance see Sec. 86.098-23.

[61 FR 54882, Oct. 22, 1996]



Sec. 86.000-24   Test vehicles and engines.

    Section 86.000-24 includes text that specifies requirements that 
differ from Sec. 86.096-24 or Sec. 86.098-24. Where a paragraph in 
Sec. 86.096-24 or Sec. 86.098-24 is identical and applicable to 
Sec. 86.000-24, 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.''
    (a) introductory text through (a)(4) [Reserved]. For guidance see 
Sec. 86.096-24.
    (a)(5) through (a)(7) [Reserved]. For guidance see Sec. 86.098-24.
    (a)(8) through (b)(1) introductory text [Reserved]. For guidance see 
Sec. 86.096-24.
    (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) through (b)(1)(vi) [Reserved]. For guidance see 
Sec. 86.096-24.
    (b)(1)(vii)(A) through (b)(1)(viii)(A) [Reserved]. For guidance see 
Sec. 86.098-24.
    (b)(1)(viii)(B) through (e)(2) [Reserved]. For guidance see 
Sec. 86.096-24.
    (f) [Reserved]. For guidance see Sec. 86.098-24.
    (g)(1) through (g)(2) [Reserved]. For guidance see Sec. 86.096-24.
    (g)(3) Except for air conditioning, where it is expected that 33 
percent or less of a carline, within an engine-system combination, will 
be equipped with an item (whether that item is standard equipment or an 
option) that can reasonably be expected to influence emissions, that 
item may not be installed on any emission data vehicle or durability 
data vehicle of that carline within that engine-system combination, 
unless that item is standard equipment on that vehicle or specifically 
required by the Administrator.
    (4) Air conditioning must be installed and operational on any 
emission data vehicle of any vehicle configuration that is projected to 
be available with air conditioning regardless of the rate

[[Page 23]]

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.
    (h) [Reserved]. For guidance see Sec. 86.096-24.

[61 FR 54882, Oct. 22, 1996]



Sec. 86.000-25   Maintenance.

    Section 86.000-25 includes text that specifies requirements that 
differ from Sec. 86.094-25 or Sec. 86.098-25. Where a paragraph in 
Sec. 86.094-25 or Sec. 86.098-25 is identical and applicable to 
Sec. 86.000-25, this may be indicated by specifying the corresponding 
paragraph and the statement ``[Reserved]. For guidance see Sec. 86.094-
25.'' or ``[Reserved]. For guidance see Sec. 86.098-25.''
    (a)(1) Applicability. This section applies to light-duty vehicles, 
light-duty trucks, and heavy-duty engines.
    (a)(2) Maintenance performed on vehicles, engines, subsystems, or 
components used to determine exhaust, evaporative or refueling emission 
deterioration factors 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)(vi)(D) [Reserved]. For guidance 
see Sec. 86.094-25.
    (b)(3)(vi)(E) through (b)(3)(vi)(J) [Reserved]. For guidance see 
Sec. 86.098-25.
    (b)(3)(vii) through (b)(6)(i)(E) [Reserved]. For guidance see 
Sec. 86.094-25.
    (b)(6)(i)(F) [Reserved]. For guidance see Sec. 86.098-25.
    (b)(6)(i)(G) through (H) [Reserved]. For guidance see Sec. 86.094-
25.
    (i) When air conditioning SFTP exhaust emission tests are required, 
the manufacturer must document that the vehicle's air conditioning 
system is operating properly and that system parameters are within 
operating design specifications prior to test. Required air conditioning 
system maintenance is performed as unscheduled maintenance and does not 
require the Administrator's approval.

[61 FR 54883, Oct. 22, 1996]



Sec. 86.000-26  Mileage and service accumulation; emission measurements.

    Section 86.000-26 includes text that specifies requirements that 
differ from Sec. 86.094-26, Sec. 86.095-26, Sec. 86.096-26 or 
Sec. 86.098-26. Where a paragraph in Sec. 86.094-26, Sec. 86.095-26, 
Sec. 86.096-26 or Sec. 86.098-26 is identical and applicable to 
Sec. 86.000-26, this may be indicated by specifying the corresponding 
paragraph and the statement ``[Reserved]. For guidance see Sec. 86.094-
26.'' or ``[Reserved]. For guidance see Sec. 86.095-26.'' or 
``[Reserved]. For guidance see Sec. 86.096-26.'' or ``[Reserved]. For 
guidance see Sec. 86.098-26.''
    (a)(1) [Reserved]. For guidance see Sec. 86.094-26.
    (a)(2) The standard method of whole-vehicle service accumulation for 
durability data vehicles and for emission data vehicles shall be mileage 
accumulation using the Durability Driving Schedule as specified in 
appendix IV to this part. A modified procedure may also be used if 
approved in advance by the Administrator. Except with the advance 
approval of the Administrator, all vehicles will accumulate mileage at a 
measured curb weight which is within 100 pounds of the estimated curb 
weight. If the loaded vehicle weight is within 100 pounds of being 
included in the next higher inertia weight class as specified in 
Sec. 86.129, the manufacturer may elect to conduct the respective 
emission tests at higher loaded vehicle weight.
    (3) Emission data vehicles. Unless otherwise provided for in 
Sec. 86.000-23(a), emission-data vehicles shall be operated and tested 
as described in paragraph (a)(3)(i)(A) of this section; Sec. 86.094-
26(a)(3)(i)(B) and (D), Sec. 86.098-26(a)(3)(i)(C) and (a)(3)(ii)(C), 
and Sec. 86.094-26(a)(3)(ii) (A), (B) and (D).
    (i) Otto-cycle. (A) The manufacturer shall determine, for each 
engine family, the mileage 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

[[Page 24]]

may elect to accumulate 4,000 miles on each test vehicle within an 
engine family without making a determination. The manufacturer must 
accumulate a minimum of 2,000 miles (3,219 kilometers) on each test 
vehicle within an engine family. All test vehicle mileage must be 
accurately determined, recorded, and reported to the Administrator. Any 
vehicle used to represent emission-data vehicle selections under 
Sec. 86.000-24(b)(1) shall be equipped with an engine and emission 
control system that has accumulated the mileage the manufacturer chose 
to accumulate on the test vehicle. Fuel economy data generated from 
certification vehicles selected in accordance with Sec. 86.000-24(b)(1) 
with engine-system combinations that have accumulated more than 10,000 
kilometers (6,200 miles) shall be factored in accordance with 40 CFR 
600.006-87(c). Complete exhaust (FTP and SFTP tests), evaporative and 
refueling (if required) emission tests shall be conducted for each 
emission-data vehicle selection under Sec. 86.000-24(b)(1). The 
Administrator may determine under Sec. 86.000-24(f) that no testing is 
required.
    (a)(3)(i)(B) [Reserved]. For guidance see Sec. 86.094-26.
    (a)(3)(i)(C) [Reserved]. For guidance see Sec. 86.098-26.
    (a)(3)(i)(D) through (a)(3)(ii)(B)[Reserved]. For guidance see 
Sec. 86.094-26.
    (a)(3)(ii)(C) [Reserved]. For guidance see Sec. 86.098-26.
    (a)(3)(ii)(D) through (a)(4)(i)(B)(4)[Reserved]. For guidance see 
Sec. 86.094-26.
    (a)(4)(i)(C) Complete exhaust emission tests shall be made at 
nominal test point mileage intervals that the manufacturer determines. 
Unless the Administrator approves a manufacturer's request to develop 
specific deterioration factors for aggressive driving (US06) and air 
conditioning (SC03) test cycle results, tail pipe exhaust emission 
deterioration factors are determined from only FTP test cycle data. At a 
minimum, two complete exhaust emission tests shall be made. The first 
test shall be made at a distance not greater than 6,250 miles. The last 
shall be made at the mileage accumulation endpoint determined in 
Sec. 86.094-26 (a)(4)(i) (A) or (B), whichever is applicable.
    (a)(4)(i)(D) through (a)(6)(ii) [Reserved]. For guidance see 
Sec. 86.094-26.
    (a)(6)(iii) The results of all emission tests shall be rounded to 
the number of places to the right of the decimal point indicated by 
expressing the applicable emission standard of this subpart to one 
additional significant figure, in accordance with the Rounding-Off 
Method specified in ASTM E29-90, Standard Practice for Using Significant 
Digits in Test Data to Determine Conformance with Specifications 
(incorporated by reference; see Sec. 86.1).
    (a)(7) through (a)(9)(i) [Reserved]. For guidance see Sec. 86.094-
26.
    (a)(9)(ii) The test procedures in Secs. 86.106 through 86.149 and 
Sec. 86.158 will be followed by the Administrator. The Administrator may 
test the vehicles at each test point. Maintenance may be performed by 
the manufacturer under such conditions as the Administrator may 
prescribe.
    (a)(9)(iii) through (b)(2) introductory text [Reserved]. For 
guidance see Sec. 86.094-26.
    (b)(2)(i) This paragraph (b)(2)(i) applies to service accumulation 
conducted under the Standard Self-Approval Durability Program of 
Sec. 86.094-13(f). The manufacturer determines the form and extent of 
this service accumulation, consistent with good engineering practice, 
and describes it in the application for certification. Service 
accumulation under the Standard Self-Approval Durability Program is 
conducted on vehicles, engines, subsystems, or components selected by 
the manufacturer under Sec. 86.000-24(c)(2)(i).
    (ii) This paragraph (b)(2)(ii) applies to service accumulation 
conducted under the Alternative Service Accumulation Durability Program 
of Sec. 86.094-13(e). The service accumulation method is developed by 
the manufacturer to be consistent with good engineering practice and to 
accurately predict the deterioration of the vehicle's emissions in 
actual use over its full useful life. The method is subject to advance 
approval by the Administrator and to verification by an in-use 
verification program conducted by the manufacturer under Sec. 86.094-
13(e)(5).

[[Page 25]]

    (b)(2)(iii) through (b)(4)(i)(C) [Reserved]. For guidance see 
Sec. 86.094-26.
    (b)(4)(i)(D) through (b)(4)(ii)(D) [Reserved]. For guidance see 
Sec. 86.095-26.
    (b)(4)(iii) [Reserved].
    (b)(4)(iv) through (c)(3) [Reserved]. For guidance see Sec. 86.094-
26.
    (c)(4) [Reserved]. For guidance see Sec. 86.096-26.
    (d) introductory text through (d)(2)(i) [Reserved]. For guidance see 
Sec. 86.094-26.
    (d)(2)(ii) The results of all emission tests shall be recorded and 
reported to the Administrator. These test results shall be rounded, in 
accordance with the Rounding-Off Method specified in ASTM E29-90, 
Standard Practice for Using Significant Digits in Test Data to Determine 
Conformance with Specifications (incorporated by reference; see 
Sec. 86.1), to the number of decimal places contained in the applicable 
emission standard expressed to one additional significant figure.
    (d)(3) through (d)(6) [Reserved]. For guidance see Sec. 86.094-26.

[61 FR 54883, Oct. 22, 1996]



Sec. 86.000-28   Compliance with emission standards.

    Section 86.000-28 includes text that specifies requirements that 
differ from Sec. 86.094-28 or Sec. 86.098-28. Where a paragraph in 
Sec. 86.094-28 or Sec. 86.098-28 is identical and applicable to 
Sec. 86.000-28, this may be indicated by specifying the corresponding 
paragraph and the statement ``[Reserved]. For guidance see Sec. 86.094-
28.'' or ``[Reserved]. For guidance see Sec. 86.098-28.''
    (a)(1) This paragraph (a) applies to light duty vehicles.
    (2) Each exhaust, evaporative and refueling emission standard (and 
family particulate emission limits, as appropriate) of Sec. 86.000-8 
applies to the emissions of vehicles for the appropriate useful life as 
defined in Secs. 86.000-2 and 86.000-8.
    (a)(3) [Reserved]. For guidance see Sec. 86.094-28.
    (a)(4) Introductory text [Reserved]. For guidance see Sec. 86.098-
28.
    (a)(4)(i) Separate emission deterioration factors for each regulated 
exhaust constituent shall be determined from the FTP exhaust emission 
results of the durability-data vehicle(s) for each engine-system 
combination. Unless the Administrator approves a manufacturer's request 
to develop specific deterioration factors for US06 and air conditioning 
(SC03) test results, applicable FTP deterioration factors will also be 
used to estimate intermediate and full useful life emissions for all 
SFTP regulated emission levels. Separate evaporative and/or refueling 
emission deterioration factors shall be determined for each evaporative/
refueling emission family-emission control system combination from the 
testing conducted by the manufacturer (gasoline-fueled and methanol-
fueled vehicles only). Separate refueling emission deterioration factors 
shall be determined for each evaporative/refueling emission family-
emission control system combination from the testing conducted by the 
manufacturer (petroleum-fueled diesel cycle vehicles not certified under 
the provisions of Sec. 86.098-28(g) only).
    (a)(4)(i)(A) through (a)(4)(i)(B)(2)(i) [Reserved]. For guidance see 
Sec. 86.094-28.
    (a)(4)(i)(B)(2)(ii) These interpolated values shall be carried out 
to a minimum of four places to the right of the decimal point before 
dividing one by the other to determine the deterioration factor. The 
results shall be rounded to three places to the right of the decimal 
point in accordance with the Rounding-Off Method specified in ASTM E29-
90, Standard Practice for Using Significant Digits in Test Data to 
Determine Conformance with Specifications (incorporated by reference; 
see Sec. 86.1).
    (a)(4)(i)(B)(2)(iii) through (a)(4)(i)(B)(2)(iv) [Reserved]. For 
guidance see Sec. 86.094-28.
    (a)(4)(i)(C) through (a)(4)(i)(D)(2) [Reserved]. For guidance see 
Sec. 86.098-28.
    (a)(4)(ii)(A)(1) The official exhaust emission test results for each 
applicable exhaust emission standard for each emission data vehicle at 
the selected test point shall be multiplied by the appropriate 
deterioration factor: Provided, that if a deterioration factor as 
computed in paragraph (a)(4)(i)(B)(2)(ii) of this section is less than 
one, that deterioration factor shall be one for the purposes of this 
paragraph. For the SFTP composite standard of (NMHC+NOX), the 
measured results of

[[Page 26]]

NMHC and NOX must each be multiplied by their corresponding 
deterioration factors before the composite (NMHC+NOX) 
standard is calculated.
    (2) The calculation specified in paragraph (a)(4)(ii)(A)(1) of this 
section may be modified with advance approval of the Administrator for 
engine-system combinations which are certified under the Alternative 
Service Accumulation Durability Program specified in Sec. 86.094-13(e).
    (a)(4)(ii)(B) through (a)(4)(ii)(C) [Reserved]. For guidance see 
Sec. 86.098-28.
    (a)(4)(iii) The emissions to compare with the standard (or the 
family particulate emission limit, as appropriate) shall be the adjusted 
emissions of Sec. 86.098-28 (a)(4)(ii)(B) and (C) and paragraph 
(a)(4)(ii)(A) of this section 211a for each emission-data vehicle. For 
the SFTP composite (NMHC+NOX) results, the individual 
deterioration factors must be applied to the applicable NMHC and 
NOX test results prior to calculating the adjusted composite 
(NMHC+NOX) level that is compared with the standard. The 
additional composite calculations that are required by the SFTP are 
discussed in Sec. 86.164-00 (Supplemental federal test procedure 
calculations). Before any emission value is compared with the standard 
(or the family particulate emission limit, as appropriate), it shall be 
rounded to two significant figures in accordance with the Rounding-Off 
Method specified in ASTM E29-90, Standard Practice for Using Significant 
Digits in Test Data to Determine Conformance with Specifications 
(incorporated by reference; see Sec. 86.1). The rounded emission values 
may not exceed the standard (or the family particulate emission limit, 
as appropriate).
    (a)(4)(iv) [Reserved]. For guidance see Sec. 86.094-28.
    (a)(4)(v) [Reserved]. For guidance see Sec. 86.098-28.
    (a)(5) through (a)(6) [Reserved]. For guidance see Sec. 86.094-28.
    (a)(7) introductory text [Reserved]. For guidance see Sec. 86.098-
28.
    (a)(7)(i) Separate deterioration factors shall be determined from 
the exhaust emission results of the durability data vehicles for each 
emission standard applicable under Sec. 86.000-8, for each engine family 
group. Unless the Administrator approves a manufacturer's request to 
develop specific deterioration factors for US06 and air conditioning 
(SC03) test results, applicable deterioration factors determined from 
FTP exhaust emission results will also be used to estimate intermediate 
and full useful life emissions for all SFTP regulated emission levels. 
The evaporative and/or refueling emission deterioration factors for each 
evaporative/refueling family will be determined and applied in 
accordance with Sec. 86.098-28 (a)(4) introductory text, (a)(4)(i)(C) 
and (D), (a)(4)(ii)(B) and (C), and (a)(4)(v) and Sec. 86.094-28 
(a)(4)(i)(A) through (a)(4)(i)(B)(2)(i), (a)(4)(i)(B)(2)(iii) and (iv), 
and (a)(4)(iv) and paragraphs (a)(4) (i) introductory, 
(a)(4)(i)(B)(2)(ii), (a)(4)(ii)(A), and (a)(4)(iii) of this section.
    (a)(7)(ii) through (b)(4)(i) [Reserved]. For guidance see 
Sec. 86.094-28.
    (b)(4)(ii) Separate exhaust emission deterioration factors for each 
regulated exhaust constituent, determined from tests of vehicles, 
engines, subsystems, or components conducted by the manufacturer, shall 
be supplied for each standard and for each engine-system combination. 
Unless the Administrator approves a manufacturer's request to develop 
specific deterioration factors for US06 and air conditioning (SC03) test 
results, applicable deterioration factors determined from FTP exhaust 
emission results will also be used to estimate intermediate and full 
useful life emissions for all SFTP regulated emission levels.
    (iii) The official exhaust emission results for each applicable 
exhaust emission standard for each emission data vehicle at the selected 
test point shall be adjusted by multiplication by the appropriate 
deterioration factor. However, if the deterioration factor supplied by 
the manufacturer is less than one, it shall be one for the purposes of 
this paragraph (b)(4)(iii).
    (iv) The emissions to compare with the standard(s) (or the family 
particulate emission limit, as appropriate) shall be the adjusted 
emissions of paragraph (b)(4)(iii) of this section for each emission-
data vehicle. For the SFTP composite (NMHC+NOX) results, the 
individual deterioration factors must be applied to the applicable NMHC 
and

[[Page 27]]

NOX test results prior to calculating the adjusted composite 
(NMHC+NOX) level that is compared with the standard. The 
additional composite calculations that are required by the SFTP are 
discussed in Sec. 86.164-00 (Supplemental federal test procedure 
calculations). Before any emission value is compared with the standard, 
it shall be rounded to two significant figures in accordance with the 
Rounding-Off Method specified in ASTM E29-90, Standard Practice for 
Using Significant Digits in Test Data to Determine Conformance with 
Specifications (incorporated by reference; see Sec. 86.1).
    (5)(i) Paragraphs (b)(5)(i) (A) and (B) of this section apply only 
to manufacturers electing to participate in the particulate averaging 
program.
    (A) If a manufacturer chooses to change the level of any family 
particulate emission limit(s), compliance with the new limit(s) must be 
based upon existing certification data.
    (B) The production-weighted average of the family particulate 
emission limits of all applicable engine families, rounded to two 
significant figures in accordance with the Rounding-Off Method specified 
in ASTM E29-90, Standard Practice for Using Significant Digits in Test 
Data to Determine Conformance with Specifications (incorporated by 
reference; see Sec. 86.1), must comply with the particulate standards in 
Sec. 86.099-9 (a)(1)(iv) or (d)(1)(iv), or the composite particulate 
standard as defined in Sec. 86.094-2, as appropriate, at the end of the 
product year.
    (ii) Paragraphs (b)(5)(ii) (A) and (B) of this section apply only to 
manufacturers electing to participate in the NOX averaging 
program.
    (A) If a manufacturer chooses to change the level of any family 
NOX emission limit(s), compliance with the new limit(s) must 
be based upon existing certification data.
    (B) The production-weighted average of the family FTP NOX 
emission limits of all applicable engine families, rounded to two 
significant figures in accordance with the Rounding-Off Method specified 
in ASTM E29-90, Standard Practice for Using Significant Digits in Test 
Data to Determine Conformance with Specifications (incorporated by 
reference; see Sec. 86.1), must comply with the NOX standards 
of Sec. 86.099-9(a)(1)(iii) (A) or (B), or the composite NOX 
standard as defined in Sec. 86.094-2, at the end of the product year.
    (b)(6) [Reserved]
    (b)(7)(i) through (b)(7)(iii) [Reserved]. For guidance see 
Sec. 86.094-28.
    (b)(7)(iv) The emission value for each evaporative emission data 
vehicle to compare with the standards shall be the adjusted emission 
value of Sec. 86.094-28 (b)(7)(iii) rounded to two significant figures 
in accordance with the Rounding-Off Method specified in ASTM E29-90, 
Standard Practice for Using Significant Digits in Test Data to Determine 
Conformance with Specifications (incorporated by reference; see 
Sec. 86.1).
    (b)(8) through (c)(4)(iii)(B)(3) [Reserved]. For guidance see 
Sec. 86.094-28.
    (c)(4)(iv) The emission values for each emission data engine to 
compare with the standards (or family emission limits, as appropriate) 
shall be the adjusted emission values of Sec. 86.094-28 (c)(4)(iii), 
rounded to the same number of significant figures as contained in the 
applicable standard in accordance with the Rounding-Off Method specified 
in ASTM E29-90, Standard Practice for Using Significant Digits in Test 
Data to Determine Conformance with Specifications (incorporated by 
reference; see Sec. 86.1).
    (c)(5) through (d)(4) [Reserved]. For guidance see Sec. 86.094-28.
    (d)(5) The emission level to compare with the standard shall be the 
adjusted emission level of Sec. 86.094-28 (d)(4). Before any emission 
value is compared with the standard it shall be rounded to two 
significant figures, in accordance with the Rounding-Off Method 
specified in ASTM E29-90, Standard Practice for Using Significant Digits 
in Test Data to Determine Conformance with Specifications (incorporated 
by reference; see Sec. 86.1). 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.

[[Page 28]]

    (e) through (h) [Reserved]. For guidance see Sec. 86.098-28.

[61 FR 54884, Oct. 22, 1996]



Sec. 86.001-1  General applicability.

    (a) The provisions of this subpart generally apply to 2001 and later 
model year new Otto-cycle and 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 and 2000 and earlier model 
year new Otto-cycle and diesel-cycle light-duty trucks produced. 
Provisions generally applicable to all 2001 and later model year new 
Otto-cycle and diesel-cycle light-duty vehicles and 2001 and later model 
year new Otto-cycle and diesel-cycle light-duty trucks are located in 
Subpart S of this part.
    (b) Optional applicability. (1) A manufacturer may request to 
certify any 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 through the 2004 model year (through 
the 2003 model year for manufacturers choosing Otto-cycle HDE Option 2 
in Sec. 86.005-1(c)(2), or through the 2002 model year for manufacturers 
choosing Otto-cycle HDE Option 1 in Sec. 86.005-1(c)(1)). Heavy-duty 
engine or vehicle provisions of this subpart A do not apply to such a 
vehicle.
    (2) Beginning with the 2000 model year, a manufacturer may certify 
any 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 for purposes of 
generating credits in the heavy-duty vehicle averaging, banking, and 
trading program contained in Sec. 86.1817-05. Heavy-duty engine or 
heavy-duty vehicle provisions of this subpart A do not apply to such a 
vehicle.
    (c)-(d) [Reserved]
    (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 Secs. 85.1505 and 85.1509 of this 
chapter) 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. 86.092-14(b) before the 
Administrator's approval will be granted. The small-volume 
manufacturer's certification procedures are described in Sec. 86.092-14.
    (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. 86.091-23(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(s) 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

[[Page 29]]

be based on data obtained from procedures described in subpart I of this 
part.

[64 FR 23920, May 4, 1999, as amended at 65 FR 59945, Oct. 6, 2000]



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 years or 290,000 miles, 
whichever first occurs.

[59 FR 16281, Apr. 6, 1994, as amended at 61 FR 54886, Oct. 22, 1996]



Sec. 86.001-9  Emission standards for 2001 and later model year light-duty trucks

    Section 86.001-9 includes text that specifies requirements that 
differ from Sec. 86.097-9, Sec. 86.099-9 or Sec. 86.000-9. Where a 
paragraph in Sec. 86.097-9, Sec. 86.099-9 or Sec. 86.000-9 is identical 
and applicable to Sec. 86.001-9, this may be indicated by specifying the 
corresponding paragraph and the statement ``[Reserved]. For guidance see 
Sec. 86.097-9.'' or ``[Reserved]. For guidance see Sec. 86.099-9.'' or 
``[Reserved]. For guidance see Sec. 86.000-9.''

[[Page 30]]

    (a)(1) introductory text through (a)(1)(iii) [Reserved]. For 
guidance see Sec. 86.097-9.
    (a)(1)(iv) through (b)(4) [Reserved]. For guidance see Sec. 86.099-
9.
    (b)(5) [Reserved]
    (b)(6) Vehicles certified to the refueling standards set forth in 
paragraph (d) of this section are not required to demonstrate compliance 
with the fuel dispensing spitback standards contained in Sec. 86.096-9 
(b)(1)(iii) and (b)(2)(iii): Provided, that they meet the requirements 
of Sec. 86.001-28(f).
    (c) [Reserved]. For guidance see Sec. 86.097-9.
    (d) Refueling emissions from 2001 and later model year gasoline-
fueled and methanol-fueled Otto-cycle and petroleum-fueled and methanol-
fueled diesel-cycle light duty trucks of 6,000 pounds or less GVWR shall 
not exceed the following standards. The standards apply equally to 
certification and in-use vehicles.
    (1) Standards--(i) Hydrocarbons (for gasoline-fueled Otto-cycle and 
petroleum-fueled diesel-cycle vehicles). 0.20 gram per gallon (0.053 
gram per liter) of fuel dispensed.
    (ii) Total Hydrocarbon Equivalent (for methanol-fueled vehicles). 
0.20 gram per gallon (0.053 gram per liter) of fuel dispensed.
    (iii) Hydrocarbons (for liquefied petroleum gas-fueled vehicles). 
0.15 gram per gallon (0.04 gram per liter) of fuel dispensed.
    (iv) Refueling receptacle (for natural gas-fueled vehicles). 
Refueling receptacles on natural gas-fueled vehicles shall comply with 
the receptacle provisions of the ANSI/AGA NGV1-1994 standard (as 
incorporated by reference in Sec. 86.1).
    (2)(i) The standards set forth in paragraphs (d)(1)(i) and (ii) of 
this section refer to a sample of refueling emissions collected under 
the conditions as set forth in subpart B of this part and measured in 
accordance with those procedures.
    (ii) For vehicles powered by petroleum-fueled diesel-cycle engines, 
the provisions set forth in paragraph (d)(1)(i) of this section may be 
waived: Provided, that the manufacturer complies with the provisions of 
Sec. 86.001-28(f).
    (3) A minimum of the percentage shown in table A01-09 of a 
manufacturer's sales of the applicable model year's gasoline- and 
methanol-fueled Otto-cycle and petroleum-fueled and methanol-fueled 
diesel-cycle light-duty trucks of 6,000 pounds or less GVWR shall be 
tested under the procedures in subpart B of this part indicated for 2001 
and later model years, and shall not exceed the standards described in 
paragraph (d)(1) of this section. Vehicles certified in accordance with 
paragraph (d)(2)(ii) of this section, as determined by the provisions of 
Sec. 86.001-28(g), shall not be counted in the calculation of the 
percentage of compliance:

  Table A01-09--Implementation Schedule for Light-Duty Truck Refueling
                            Emission Testing
------------------------------------------------------------------------
                                                                Sales
                         Model year                           percentage
------------------------------------------------------------------------
2001.......................................................           40
2002.......................................................           80
2003 and subsequent........................................          100
------------------------------------------------------------------------

    (e) [Reserved]. For guidance see Sec. 86.000-9.
    (f) [Reserved]
    (g) through (k) [Reserved]. For guidance see Sec. 86.097-9.

[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) through (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

[[Page 31]]

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) through (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) through (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) through (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) through (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. 86.001-22  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.

    Section 86.001-22 includes text that specifies requirements that 
differ from Sec. 86.094-22. Where a paragraph in Sec. 86.094-22 is 
identical and applicable to Sec. 86.001-22, this may be indicated by 
specifying the corresponding paragraph and the statement ``[Reserved]. 
For guidance see Sec. 86.094-22.''.
    (a) through (c) [Reserved]. For guidance see Sec. 86.094-22.
    (d) Approval of test procedures. (1) The Administrator does not 
approve the test procedures for establishing the evaporative or 
refueling emission deterioration factors for light-duty vehicles and 
light-duty trucks. The manufacturer shall submit the procedures as 
required in Sec. 86.098-21(b)(4)(i) prior to the Administrator's 
selection of the test fleet under Sec. 86.098-24(b)(1), and if such 
procedures will involve testing of durability data vehicles selected by 
the Administrator or elected by the manufacturer under Sec. 86.098-
24(c)(1), prior to initiation of such testing.
    (d)(2) through (g) [Reserved]. For guidance see Sec. 86.094-22.

[59 FR 16283, Apr. 6, 1994]



Sec. 86.001-23  Required data.

    Section 86.001-23 includes text that specifies requirements that 
differ from Sec. 86.095-23, Sec. 86.098-23 or Sec. 86.000-23. Where a 
paragraph in Sec. 86.095-23, Sec. 86.098-23 or Sec. 86.000-23 is 
identical and

[[Page 32]]

applicable to Sec. 86.001-23, this may be indicated by specifying the 
corresponding paragraph and the statement ``[Reserved]. For guidance see 
Sec. 86.095-23.'' or ``[Reserved]. For guidance see Sec. 86.098-23.'' or 
``[Reserved]. For guidance see Sec. 86.000-23.''
    (a) through (b)(1) [Reserved]. For guidance see Sec. 86.098-23.
    (b)(2) For light-duty vehicles and light-duty trucks, the 
manufacturer shall submit evaporative emission and/or refueling emission 
deterioration factors for each evaporative/refueling emission family-
emission control system combination and all test data that are derived 
from testing described under Sec. 86.001-21(b)(4)(i) designed and 
conducted in accordance with good engineering practice to assure that 
the vehicles covered by a certificate issued under Sec. 86.001-30 will 
meet the evaporative and/or refueling emission standards in Sec. 86.099-
8 or Sec. 86.001-9, as appropriate, for the useful life of the vehicle.
    (b)(3) and (b)(4) [Reserved]. For guidance see Sec. 86.098-23.
    (c)(1) [Reserved]. For guidance see Sec. 86.095-23.
    (c)(2) through (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]. For guidance see Sec. 86.095-23.
    (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]



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) through (a)(4) [Reserved]. For guidance see Sec. 86.096-24.
    (a)(5) through (a)(7) [Reserved]. For guidance see Sec. 86.098-24.
    (a)(8) through (b)(1) introductory text [Reserved]. For guidance see 
Sec. 86.096-24.
    (b)(1)(i) through (b)(1)(ii) [Reserved]. For guidance see 
Sec. 86.000-24.
    (b)(1)(iii) through (b)(1)(vi) [Reserved]. For guidance see 
Sec. 86.096-24.
    (b)(1)(vii)(A) through (b)(1)(viii)(A) [Reserved]. For guidance see 
Sec. 86.098-24.
    (b)(1)(viii)(B) through (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) 
through (b)(1)(vi) and Sec. 86.000-24(b)(1)(i) through (b)(1)(ii) and 
Sec. 86.098-24(b)(1)(vii)(A) through (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) through (g)(2) [Reserved]. For guidance see Sec. 86.096-24.
    (g)(3) through (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]

[[Page 33]]



Sec. 86.001-25   Maintenance.

    Section 86.001-25 includes text that specifies requirements that 
differ from Sec. 86.094-25 or Sec. 86.098-25. Where a paragraph in 
Sec. 86.094-25 or Sec. 86.098-25 is identical and applicable to 
Sec. 86.001-25, this may be indicated by specifying the corresponding 
paragraph and the statement ``[Reserved]. For guidance see Sec. 86.094-
25.'' or ``[Reserved]. For guidance see Sec. 86.098-25.''
    (a)(1) Applicability. This section applies to light-duty vehicles, 
light-duty trucks, and heavy-duty engines.
    (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)(vi)(D) [Reserved]. For guidance 
see Sec. 86.094-25.
    (b)(3)(vi)(E) through (b)(3)(vi)(J) [Reserved]. For guidance see 
Sec. 86.098-25.
    (b)(3)(vii) through (b)(6)(i)(E) [Reserved]. For guidance see 
Sec. 86.094-25.
    (b)(6)(i)(F) [Reserved]. For guidance see Sec. 86.098-25.
    (b)(6)(i)(G) through (H) [Reserved]. For guidance see Sec. 86.094-
25.
    (i) [Reserved]. For guidance see Sec. 86.000-25.

[61 FR 54887, Oct. 22, 1996]



Sec. 86.001-26  Mileage and service accumulation; emission measurements.

    Section 86.001-26 includes text that specifies requirements that 
differ from Sec. 86.094-26, Sec. 86.095-26, Sec. 86.096-26, Sec. 86.098-
26 or Sec. 86.000-26. Where a paragraph in Sec. 86.094-26, Sec. 86.095-
26, Sec. 86.096-26, Sec. 86.098-26 or Sec. 86.000-26 is identical and 
applicable to Sec. 86.001-26, this may be indicated by specifying the 
corresponding paragraph and the statement ``[Reserved]. For guidance see 
Sec. 86.094-26.'' or ``[Reserved]. For guidance see Sec. 86.095-26.'' or 
``[Reserved]. For guidance see Sec. 86.096-26.'' or ``[Reserved]. For 
guidance see Sec. 86.098-26.'' or ``[Reserved]. For guidance see 
Sec. 86.000-26.''
    (a)(1) [Reserved]. For guidance see Sec. 86.094-26.
    (a)(2) through (a)(3)(i)(A) [Reserved]. For guidance see 
Sec. 86.000-26.
    (a)(3)(i)(B) [Reserved]. For guidance see Sec. 86.094-26.
    (a)(3)(i)(C) [Reserved]. For guidance see Sec. 86.098-26.
    (a)(3)(i)(D) through (a)(3)(ii)(B) [Reserved]. For guidance see 
Sec. 86.094-26.
    (a)(3)(ii)(C) [Reserved]. For guidance see Sec. 86.098-26.
    (a)(3)(ii)(D) through (a)(4)(i)(B)(4) [Reserved]. For guidance see 
Sec. 86.094-26.
    (a)(4)(i)(C) [Reserved]. For guidance see Sec. 86.000-26.
    (a)(4)(i)(D) through (a)(6)(ii) [Reserved]. For guidance see 
Sec. 86.094-26.
    (a)(6)(iii) [Reserved]. For guidance see Sec. 86.000-26.
    (a)(7) through (a)(9)(i) [Reserved]. For guidance see Sec. 86.094-
26.
    (a)(9)(ii) [Reserved]. For guidance see Sec. 86.000-26.
    (a)(9)(iii) through (b)(2) introductory text [Reserved]. For 
guidance see Sec. 86.094-26.
    (b)(2)(i) through (b)(2)(ii) [Reserved]. For guidance see 
Sec. 86.000-26.
    (b)(2)(iii) [Reserved]. For guidance see Sec. 86.094-26.
    (b)(2)(iv) Service or mileage accumulation which may be part of the 
test procedures used by the manufacturer to establish evaporative and/or 
refueling emission deterioration factors.
    (b)(3) through (b)(4)(i)(B) [Reserved]. For guidance see 
Sec. 86.094-26.
    (b)(4)(i)(C) Exhaust, evaporative and/or refueling emission tests 
for emission-data vehicle(s) selected for testing under Sec. 86.096-
24(b)(1)(ii), (iii) or (iv)(A) or Sec. 86.098-24(b)(1)(vii) shall be 
conducted at the mileage (2,000 mile minimum) at which the engine-system 
combination is stabilized for emission testing or at 6,436 kilometer 
(4,000 mile) test point under low-altitude conditions.
    (b)(4)(i)(D) through (b)(4)(ii)(B) [Reserved]. For guidance see 
Sec. 86.095-26.
    (b)(4)(ii)(C) Exhaust, evaporative and/or refueling emission tests 
for emission data vehicle(s) selected for testing under Sec. 86.094-
24(b)(1)(ii), (iii), and (iv) shall be conducted at the mileage (2,000 
mile minimum) at which the engine-system combination is stabilized for

[[Page 34]]

emission testing or at the 6,436 kilometer (4,000 mile) test point under 
low-altitude conditions.
    (b)(4)(ii)(D) [Reserved]. For guidance see Sec. 86.095-26.
    (b)(4)(iii) [Reserved]
    (b)(4)(iv) through (c)(3) [Reserved]. For guidance see Sec. 86.094-
26.
    (c)(4) [Reserved]. For guidance see Sec. 86.096-26.
    (d) through (d)(2)(i) [Reserved]. For guidance see Sec. 86.094-26.
    (d)(2)(ii) [Reserved]. For guidance see Sec. 86.000-26.
    (d)(3) through (d)(6) [Reserved]. For guidance see Sec. 86.094-26.

[61 FR 54888, Oct. 22, 1996]



Sec. 86.001-28  Compliance with emission standards.

    Section 86.001-28 includes text that specifies requirements that 
differ from Sec. 86.094-28, Sec. 86.098-28 or Sec. 86.000-28. Where a 
paragraph in Sec. 86.094-28, Sec. 86.098-28 or Sec. 86.000-28 is 
identical and applicable to Sec. 86.001-28, this may be indicated by 
specifying the corresponding paragraph and the statement ``[Reserved]. 
For guidance see Sec. 86.094-28.'' or ``[Reserved]. For guidance see 
Sec. 86.098-28.'' or ``[Reserved]. For guidance see Sec. 86.000-28.''
    (a)(1) through (a)(2) [Reserved]. For guidance see Sec. 86.000-28.
    (a)(3) [Reserved]. For guidance see Sec. 86.094-28.
    (a)(4) [Reserved]. For guidance see Sec. 86.098-28.
    (a)(4)(i) introductory text [Reserved]. For guidance see 
Sec. 86.000-28.
    (a)(4)(i)(A) through (a)(4)(i)(B)(2)(i) [Reserved]. For guidance see 
Sec. 86.094-28.
    (a)(4)(i)(B)(2)(ii) [Reserved]. For guidance see Sec. 86.000-28.
    (a)(4)(i)(B)(2)(iii) through (a)(4)(i)(B)(2)(iv) [Reserved]. For 
guidance see Sec. 86.094-28.
    (a)(4)(i)(C) through (a)(4)(i)(D)(2) [Reserved]. For guidance see 
Sec. 86.098-28.
    (a)(4)(ii)(A)(1) through (a)(4)(ii)(A)(2) [Reserved]. For guidance 
see Sec. 86.000-28.
    (a)(4)(ii)(B) through (a)(4)(ii)(C) [Reserved]. For guidance see 
Sec. 86.098-28.
    (a)(4)(iii) [Reserved]. For guidance see Sec. 86.000-28.
    (a)(4)(iv) [Reserved]. For guidance see Sec. 86.094-28.
    (a)(4)(v) [Reserved]. For guidance see Sec. 86.098-28.
    (a)(5) through (a)(6) [Reserved]. For guidance see Sec. 86.094-28.
    (a)(7) introductory text [Reserved]. For guidance see Sec. 86.098-
28.
    (a)(7)(i) [Reserved]. For guidance see Sec. 86.000-28.
    (a)(7)(ii) [Reserved]. For guidance see Sec. 86.094-28.
    (b)(1) This paragraph (b) applies to light-duty trucks.
    (2) Each exhaust, evaporative and refueling emission standard (and 
family emission limits, as appropriate) of Sec. 86.001-9 applies to the 
emissions of vehicles for the appropriate useful life as defined in 
Secs. 86.098-2 and 86.001-9.
    (b)(3) through (b)(4)(i) [Reserved]. For guidance see Sec. 86.094-
28.
    (b)(4)(ii) through (b)(6) [Reserved]. For guidance see Sec. 86.000-
28.
    (b)(7)(i) This paragraph (b)(7) describes the procedure for 
determining compliance of a new vehicle with evaporative emission 
standards. The procedure described here shall be used for all vehicles 
in applicable model years.
    (ii) The manufacturer shall determine, based on testing described in 
Sec. 86.001-21(b)(4)(i)(A), and supply an evaporative emission 
deterioration factor for each evaporative/refueling emission family-
emission control system combination. The factor shall be calculated by 
subtracting the emission level at the selected test point from the 
emission level at the useful life point.
    (iii) The official evaporative emission test results for each 
evaporative/refueling emission-data vehicle 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 (b)(7)(iii).
    (iv) The evaporative emission value for each emission-data vehicle 
to compare with the standards shall be the adjusted emission value of 
paragraph (b)(7)(iii) of this section rounded to two significant figures 
in accordance with the Rounding-Off Method specified in ASTM E29-90, 
Standard Practice for Using Significant Digits in Test Data to Determine 
Conformance with Specifications (incorporated by reference; see 
Sec. 86.1).

[[Page 35]]

    (8)(i) This paragraph (b)(8) describes the procedure for determining 
compliance of a new vehicle with refueling emission standards. The 
procedure described here shall be used for all applicable vehicles in 
the applicable model years.
    (ii) The manufacturer shall determine, based on testing described in 
Sec. 86.001-21(b)(4)(i)(B), and supply a refueling emission 
deterioration factor for each evaporative/refueling emission family-
emission control system combination. The factor shall be calculated by 
subtracting the emission level at the selected test point from the 
emission level at the useful life point.
    (iii) The official refueling emission test results for each 
evaporative/refueling emission-data vehicle 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 (b)(8)(iii).
    (iv) The emission value for each evaporative emission-data vehicle 
to compare with the standards shall be the adjusted emission value of 
paragraph (b)(8)(iii) of this section rounded to two significant figures 
in accordance with the Rounding-Off Method specified in ASTM E29-90, 
Standard Practice for Using Significant Digits in Test Data to Determine 
Conformance with Specifications (incorporated by reference; see 
Sec. 86.1).
    (9) Every test vehicle of an engine family must comply with all 
applicable standards (and family emission limits, as appropriate), as 
determined in Sec. 86.000-28(b)(4)(iv) and paragraphs (b)(7)(iv) and 
(b)(8)(iv) of this section, before any vehicle in that family will be 
certified.
    (c) Introductory text through (c)(4)(iii)(B)(3) [Reserved]. For 
guidance see Sec. 86.094-28.
    (c)(4)(iv) [Reserved]. For guidance see Sec. 86.000-28.
    (c)(5) through (d)(4) [Reserved]. For guidance see Sec. 86.094-28.
    (d)(5) through (d)(6) [Reserved]. For guidance see Sec. 86.000-28.
    (e) [Reserved]
    (f) Fuel dispensing spitback testing waiver. (1) Vehicles certified 
to the refueling emission standards set forth in Sec. 86.098-8, 86.099-8 
and 86.001-9 are not required to demonstrate compliance with the fuel 
dispensing spitback standards contained in these sections: Provided, 
that--
    (i) The manufacturer certifies that the vehicle inherently meets the 
Dispensing Spitback Standard as part of compliance with the refueling 
emission standard.
    (ii) This certification is provided in writing and applies to the 
full useful life of the vehicle.
    (2) EPA retains the authority to require testing to enforce 
compliance and to prevent non-compliance with the Fuel Dispensing 
Spitback Standard.
    (g) Inherently low refueling emission testing waiver. (1) Vehicles 
using fuels/fuel systems inherently low in refueling emissions are not 
required to conduct testing to demonstrate compliance with the refueling 
emission standards set forth in Secs. 86.098-8, 86.099-8 or 86.001-9: 
Provided, that--
    (i) This provision is only available for petroleum diesel fuel. It 
is only available if the Reid Vapor Pressure of in-use diesel fuel is 
equal to or less than 1 psi (7 Kpa) and for diesel vehicles whose fuel 
tank temperatures do not exceed 130  deg.F (54  deg.C); and
    (ii) To certify using this provision the manufacturer must attest to 
the following evaluation: ``Due to the low vapor pressure of diesel fuel 
and the vehicle tank temperatures, hydrocarbon vapor concentrations are 
low and the vehicle meets the 0.20 grams/gallon refueling emission 
standard without a control system.''
    (2) The certification required in paragraph (g)(1)(ii) of this 
section must be provided in writing and must apply for the full useful 
life of the vehicle.
    (3) EPA reserves the authority to require testing to enforce 
compliance and to prevent noncompliance with the refueling emission 
standard.
    (4) Vehicles certified to the refueling emission standard under this 
provision shall not be counted in the sales percentage compliance 
determinations for the 2001, 2002 and subsequent model years.
    (h) Fixed liquid level gauge waiver. Liquefied petroleum gas-fueled 
vehicles

[[Page 36]]

which contain fixed liquid level gauges or other gauges or valves which 
can be opened to release fuel or fuel vapor during refueling, and which 
are being tested for refueling emissions, are not required to be tested 
with such gauges or valves open, as outlined in Sec. 86.157-98(d)(2), 
provided the manufacturer can demonstrate, to the satisfaction of the 
Administrator, that such gauges or valves would not be opened during 
refueling in-use due to inaccessibility or other design features that 
would prevent or make it very unlikely that such gauges or valves could 
be opened.

[61 FR 54888, Oct. 22, 1996]



Sec. 86.001-30  Certification.

    Section 86.001-30 includes text that specifies requirements that 
differ from Sec. 86.094-30, Sec. 86.095-30 or Sec. 86.098-30. Where a 
paragraph in Sec. 86.094-30, Sec. 86.095-30 or Sec. 86.098-30 is 
identical and applicable to Sec. 86.001-30, this may be indicated by 
specifying the corresponding paragraph and the statement ``[Reserved]. 
For guidance see Sec. 86.094-30.'' or ``[Reserved]. For guidance see 
Sec. 86.095-30.'' or ``[Reserved]. For guidance see Sec. 86.098-30.''.
    (a)(1) and (a)(2) [Reserved]. For guidance see Sec. 86.094-30.
    (a)(3)(i) [Reserved]. For guidance see Sec. 86.098-30.
    (a)(3)(ii) through (a)(4)(ii) [Reserved]. For guidance see 
Sec. 86.095-30.
    (a)(4)(iii) introductory text through (a)(4)(iii)(C) [Reserved]. For 
guidance see Sec. 86.094-30.
    (a)(4)(iv) introductory text [Reserved]. For guidance see 
Sec. 86.095-30.
    (a)(4)(iv)(A) through (a)(9) [Reserved]. For guidance see 
Sec. 86.094-30.
    (a)(10) and (a)(11) [Reserved]. For guidance see Sec. 86.098-30.
    (a)(12) [Reserved]. For guidance see Sec. 86.094-30.
    (a)(13) [Reserved]. For guidance see Sec. 86.095-30.
    (a)(14) [Reserved]. For guidance see Sec. 86.094-30.
    (a) (15) through (18) [Reserved]. For guidance see Sec. 86.096-30.
    (a)(19) [Reserved]. For guidance see Sec. 86.098-30.
    (a)(20) For all light-duty trucks certified to refueling emission 
standards under Sec. 86.001-9, the provisions of paragraphs (a)(20) (i) 
through (iii) this section apply.
    (i) All certificates issued are conditional upon the manufacturer 
complying with all provisions of Sec. 86.001-9 both during and after 
model year production.
    (ii) Failure to meet the required implementation schedule sales 
percentages as specified in Sec. 86.001-9 will be considered to be a 
failure to satisfy the conditions upon which the certificate(s) was 
issued and the individual 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) introductory text through (b)(1)(i) [Reserved]. For guidance 
see Sec. 86.094-30.
    (b)(1)(ii)(A) [Reserved]. For guidance see Sec. 86.094-30.
    (b)(1)(ii)(B) The emission data vehicle(s) selected under 
Sec. 86.001-24(b)(vii) (A) and (B) shall represent all vehicles of the 
same evaporative/refueling control system within the evaporative/
refueling family.
    (b)(1)(ii)(C) [Reserved]. For guidance see Sec. 86.094-30.
    (b)(1)(ii)(D) The emission-data vehicle(s) selected under 
Sec. 86.098-24(b)(1)(viii) shall represent all vehicles of the same 
evaporative/refueling control system within the evaporative/refueling 
emission family, as applicable.
    (b)(1) (iii) and (iv) [Reserved]. For guidance see Sec. 86.094-30.
    (b)(2) [Reserved]. For guidance see Sec. 86.098-30.
    (b)(3) through (b)(4)(i) [Reserved]. For guidance see Sec. 86.094-
30.
    (b)(4)(ii) introductory text [Reserved]. For guidance see 
Sec. 86.098-30.
    (b)(4)(ii)(A) [Reserved]. For guidance see Sec. 86.094-30.
    (b)(4)(ii)(B) through (iv) [Reserved]. For guidance see Sec. 86.098-
30.
    (b)(5) through (e) [Reserved]. For guidance see Sec. 86.094-30.
    (f) introductory text through (f)(3) [Reserved]. For guidance see 
Sec. 86.095-30.

[[Page 37]]

    (f)(4) [Reserved]. For guidance see Sec. 86.098-30.

[59 FR 16285, Apr. 6, 1994, as amended at 62 FR 54720, Oct. 21, 1997]



Sec. 86.001-35  Labeling.

    Section 86.001-35 includes text that specifies requirements that 
differ from Sec. 86.095-35, Sec. 86.096-35 and Sec. 86.098-35. Where a 
paragraph in Sec. 86.095-35, Sec. 86.096-35 or Sec. 86.098-35 is 
identical and applicable to Sec. 86.001-35, this may be indicated by 
specifying the corresponding paragraph and the statement ``[Reserved]. 
For guidance see Sec. 86.095-35.'' or [Reserved]. For guidance see 
Sec. 86.096-35. or ``[Reserved]. For guidance see Sec. 86.098-28.''.
    (a) introductory text through (a)(1)(iii)(B) [Reserved]. For 
guidance see Sec. 86.095-35.
    (a)(1)(iii)(C) [Reserved]. For guidance see Sec. 86.098-35.
    (a)(1)(iii)(D) through (L) [Reserved]. For guidance see Sec. 86.095-
35.
    (a)(1)(iii)(M) [Reserved]. For guidance see Sec. 86.098-35.
    (a)(1)(iii)(N) [Reserved]. For guidance see Sec. 86.096-35.
    (a)(2) heading through (a)(2)(iii)(B) [Reserved]. For guidance see 
Sec. 86.095-35.
    (a)(2)(iii)(C) Engine displacement (in cubic inches or liters), 
engine family identification and evaporative/refueling family 
identification.
    (a)(2)(iii)(D) through (a)(2)(iii)(E) [Reserved]. For guidance see 
Sec. 86.095-35.
    (a)(2)(iii)(F) [Reserved]
    (a)(2)(iii)(G) through (a)(2)(iii)(K) [Reserved]. For guidance see 
Sec. 86.095-35.
    (a)(2)(iii)(L) [Reserved]
    (a)(2)(iii)(M) through (a)(2)(iii)(N) [Reserved]. For guidance see 
Sec. 86.095-35.
    (a)(2)(iii) (O) through (P) [Reserved]. For guidance see 
Sec. 86.096-35.
    (a)(3) heading through (a)(4)(iii)(F) [Reserved]. For guidance see 
Sec. 86.095-35.
    (a)(4)(ii)(G) [Reserved]. For guidance see Sec. 86.096-35.
    (b) through (i) [Reserved]. For guidance see Sec. 86.095-35.

[59 FR 16285, Apr. 6, 1994]



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.
    Defeat device means an auxiliary emission control device (AECD) that 
reduces the effectiveness of the emission control system under 
conditions which may reasonably be expected to be encountered in normal 
vehicle operation and use, unless:
    (1) Such conditions are substantially included in the applicable 
Federal emission test procedure for heavy-duty vehicles and heavy-duty 
engines described in subpart N of this part;
    (2) The need for the AECD is justified in terms of protecting the 
vehicle against damage or accident; or
    (3) The AECD does not go beyond the requirements of engine starting.
    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

[[Page 38]]

refueling control systems on the portion of these vehicles subject to 
the evaporative emission test requirements of Sec. 86.130-96, and/or the 
refueling emission test requirements of Sec. 86.151-98, is also defined 
as a period of 11 years or 120,000 miles, whichever occurs first.
    (3) For an Otto-cycle HDE family:
    (i) For hydrocarbon and carbon monoxide standards, a period of use 
of 10 years or 110,000 miles, whichever first occurs.
    (ii) For the oxides of nitrogen standard, a period of use of 10 
years or 110,000 miles, whichever first occurs.
    (iii) For the portion of evaporative emission control systems 
subject to the evaporative emission test requirements of Sec. 86.1230-
96, a period of use of 10 years or 110,000 miles, whichever first 
occurs.
    (4) For a diesel HDE family:
    (i) For light heavy-duty diesel engines, for carbon monoxide, 
particulate, and oxides of nitrogen plus non-methane hydrocarbons 
emissions standards, a period of use of 10 years or 110,000 miles, 
whichever first occurs.
    (ii) For medium heavy-duty diesel engines, for carbon monoxide, 
particulate, and oxides of nitrogen plus non-methane hydrocarbons 
emission standards, a period of use of 10 years or 185,000 miles, 
whichever first occurs.
    (iii) For heavy heavy-duty diesel engines, for carbon monoxide, 
particulate, and oxides of nitrogen plus non-methane hydrocarbon 
emissions standards, a period of use of 10 years or 435,000 miles, or 
22,000 hours, whichever first occurs, except as provided in paragraphs 
(4)(iv) and (4)(v) of this definition.
    (iv) The useful life limit of 22,000 hours in paragraph (4)(iii) of 
this definition is effective as a limit to the useful life only when an 
accurate hours meter is provided by the manufacturer with the engine and 
only when such hours meter can reasonably be expected to operate 
properly over the useful life of the engine.
    (v) For an individual engine, if the useful life hours limit of 
22,000 hours is reached before the engine reaches 10 years or 100,000 
miles, the useful life shall become 10 years or 100,000 miles, whichever 
occurs first, as required under Clean Air Act section 202(d).
    (5) As an option for both light-duty trucks under certain conditions 
and HDE families, an alternative useful life period may be assigned by 
the Administrator under the provisions of Sec. 86.094-21(f).
    Warranty period, for purposes of HDE emissions defect warranty and 
emissions performance warranty, shall be a period of 5 years/50,000 
miles, whichever occurs first, for Otto-cycle HDEs and light heavy-duty 
diesel engines. For all other heavy-duty diesel engines the 
aforementioned period shall be 5 years/100,000 miles, whichever occurs 
first. However, in no case may this period be less than the basic 
mechanical warranty period that the manufacturer provides (with or 
without additional charge) to the purchaser of the engine. Extended 
warranties on select parts do not extend the emissions warranty 
requirements for the entire engine but only for those parts. In cases 
where responsibility for an extended warranty is shared between the 
owner and the manufacturer, the emissions warranty shall also be shared 
in the same manner as specified in the warranty agreement.

[62 FR 54720, Oct. 21, 1997, as amended at 65 FR 59945, Oct. 6, 2000; 66 
FR 5159, Jan. 18, 2001]



Sec. 86.004-9   Emission standards for 2004 and later model year light-duty trucks.

    Section 86.004-9 includes text that specifies requirements that 
differ from Sec. 86.097-9, Sec. 86.099-9, Sec. 86.000-9 or Sec. 86.001-
9. Where a paragraph in Sec. 86.097-9, Sec. 86.099-9, Sec. 86.000-9 or 
Sec. 86.001-9 is identical and applicable to Sec. 86.004-9, this may be 
indicated by specifying the corresponding paragraph and the statement 
``[Reserved]. For guidance see Sec. 86.097-9.'' or ``[Reserved]. For 
guidance see Sec. 86.099-9.'' or ``[Reserved]. For guidance see 
Sec. 86.000-9.'' or ``[Reserved]. For guidance see Sec. 86.001-9.''
    (a)(1) introductory text through (a)(1)(iii) [Reserved]. For 
guidance see Sec. 86.097-9.
    (a)(1)(iv) through (b)(4) [Reserved]. For guidance see Sec. 86.099-
9.
    (b)(5) [Reserved]
    (b)(6) [Reserved]. For guidance see Sec. 86.001-9.

[[Page 39]]

    (c) [Reserved]. For guidance see Sec. 86.097-9.
    (d) Refueling emissions from 2004 and later model year gasoline-
fueled and methanol-fueled Otto-cycle and petroleum-fueled and methanol-
fueled diesel-cycle light-duty trucks shall not exceed the following 
standards. The standards apply equally to certification and in-use 
vehicles.
    (d)(1) through (d)(2)(ii) [Reserved]. For guidance see Sec. 86.001-
9.
    (d)(2)(iii) Heavy-duty vehicles certified as light-duty trucks under 
the provisions of Sec. 86.085-1 shall comply with the provisions of 
Sec. 86.001-9 (d)(1)(i) and (ii).
    (3)(i) All light-duty trucks of a GVWR equal to 6,000 pounds or less 
(100%) must meet the refueling emission standard.
    (ii) A minimum of the percentage shown in table A04-09 of a 
manufacturer's sales of the applicable model year's gasoline- and 
methanol-fueled Otto-cycle and petroleum-fueled and methanol-fueled 
diesel-cycle light-duty trucks of 6,001 to 8,500 pounds GVWR shall be 
tested under the procedures in subpart B of this part indicated for 2004 
and later model years, and shall not exceed the standards described in 
Sec. 86.001-9 (d)(1). Vehicles certified in accordance with Sec. 86.001-
9 (d)(2)(ii), as determined by the provisions of Sec. 86.001-28(g), 
shall not be counted in the calculation of the percentage of compliance:

  Table A04-09--Implementation Schedule for Light-Duty Truck Refueling
                            Emission Testing
------------------------------------------------------------------------
                                                                Sales
                         Model year                           percentage
------------------------------------------------------------------------
2004.......................................................           40
2005.......................................................           80
2006 and subsequent........................................          100
------------------------------------------------------------------------

    (e) [Reserved]. For guidance see Sec. 86.000-9.
    (f) [Reserved]
    (g) through (k) [Reserved]. For guidance see Sec. 86.097-9.

[61 FR 54889, Oct. 22, 1996]



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

[[Page 40]]

horsepower-hour (0.19 gram per megajoule) NMHC (or NMHCE for methanol-
fueled engines) through the use of credits.
    (E) [Reserved]
    (ii) Carbon monoxide. (A) 15.5 grams per brake horsepower-hour (5.77 
grams per megajoule), as measured under transient operating conditions.
    (B) 0.50 percent of exhaust gas flow at curb idle (methanol-, 
natural gas-, and liquefied petroleum gas-fueled diesel HDEs only).
    (iii) Particulate. (A) For diesel engines to be used in urban buses, 
0.05 gram per brake horsepower-hour (0.019 gram per megajoule) for 
certification testing and selective enforcement audit testing, and 0.07 
gram per brake horsepower-hour (0.026 gram per megajoule) for in-use 
testing, as measured under transient operating conditions.
    (B) For all other diesel engines, 0.10 gram per brake horsepower-
hour (0.037 gram per megajoule), as measured under transient operating 
conditions.
    (C) A manufacturer may elect to include any or all of its diesel HDE 
families in any or all of the particulate ABT programs for HDEs, within 
the restrictions described in Sec. 86.004-15 or superseding applicable 
sections. If the manufacturer elects to include engine families in any 
of these programs, the particulate FEL may not exceed 0.25 gram per 
brake horsepower-hour (0.093 gram per megajoule).
    (2) The standards set forth in paragraph (a)(1) of this section 
refer to the exhaust emitted over the operating schedule set forth in 
paragraph (f)(2) of appendix I to this part, and measured and calculated 
in accordance with the procedures set forth in subpart N or P of this 
part, except as noted in Sec. 86.098-23(c)(2) or superceding sections.
    (b)(1) The opacity of smoke emission from new 2004 and later model 
year diesel HDEs shall not exceed:
    (i) 20 percent during the engine acceleration mode.
    (ii) 15 percent during the engine lugging mode.
    (iii) 50 percent during the peaks in either mode.
    (2) The standards set forth in paragraph (b)(1) of this section 
refer to exhaust smoke emissions generated under the conditions set 
forth in subpart I of this part and measured and calculated in 
accordance with those procedures.
    (3) 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

[[Page 41]]

certification vehicles if approved in advance by the Administrator.
    (B) For vehicles with a Gross Vehicle Weight Rating of greater than 
26,000 lbs., the standards set forth in paragraph (b)(3)(ii) of this 
section refer to the manufacturer's engineering design evaluation using 
good engineering practice (a statement of which is required in 
Sec. 86.091-23(b)(4)(ii)).
    (iv) All fuel vapor generated during in-use operations shall be 
routed exclusively to the evaporative control system (e.g., either 
canister or engine purge). The only exception to this requirement shall 
be for emergencies.
    (4) Evaporative emissions from 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)).
    (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]



Sec. 86.004-15  NOX plus NMHC and particulate averaging, trading, and banking for heavy-duty engines.

    (a)(1) Heavy-duty engines eligible for NOX plus NMHC and 
particulate averaging, trading and banking programs are described in the 
applicable emission standards sections in this subpart. All heavy-duty 
engine families which include any engines labeled for use in clean-fuel 
vehicles as specified in 40 CFR part 88 are not eligible for these 
programs. For manufacturers not selecting Options 1 or 2 contained in 
Sec. 86.005-10(f), the ABT program requirements contained in 
Sec. 86.000-15 apply for 2004 model year Otto-cycle engines, rather than 
the provisions contained in this Sec. 86.004-15. Participation in these 
programs is voluntary.
    (2)(i) Engine families with FELs exceeding the applicable standard 
shall obtain emission credits in a mass amount sufficient to address the 
shortfall. Credits may be obtained from averaging, trading, or banking, 
within the averaging set restrictions described in this section.

[[Page 42]]

    (ii) Engine families with FELs below the applicable standard will 
have emission credits available to average, trade, bank or a combination 
thereof. Credits may not be used for averaging or trading to offset 
emissions that exceed an FEL. Credits may not be used to remedy an in-
use nonconformity determined by a Selective Enforcement Audit or by 
recall testing. However, credits may be used to allow subsequent 
production of engines for the family in question if the manufacturer 
elects to recertify to a higher FEL.
    (b) Participation in the NOX plus NMHC and/or particulate 
averaging, trading, and banking programs shall be done as follows:
    (1) During certification, the manufacturer shall:
    (i) Declare its intent to include specific engine families in the 
averaging, trading and/or banking programs. Separate declarations are 
required for each program and for each pollutant (i.e., NOX 
plus NMHC, and particulate).
    (ii) Declare an FEL for each engine family participating in one or 
more of these two programs.
    (A) The FEL must be to the same level of significant digits as the 
emission standard (one-tenth of a gram per brake horsepower-hour for 
NOX plus NMHC emissions and one-hundredth of a gram per brake 
horsepower-hour for particulate emissions).
    (B) In no case may the FEL exceed the upper limit prescribed in the 
section concerning the applicable heavy-duty engine NOX plus 
NMHC and particulate emission standards.
    (iii) Calculate the projected emission credits (positive or 
negative) based on quarterly production projections for each 
participating family and for each pollutant, using the applicable 
equation in paragraph (c) of this section and the applicable factors for 
the specific engine family.
    (iv)(A) Determine and state the source of the needed credits 
according to quarterly projected production for engine families 
requiring credits for certification.
    (B) State where the quarterly projected credits will be applied for 
engine families generating credits.
    (C) Credits may be obtained from or applied to only engine families 
within the same averaging set as described in paragraph (d) or (e) of 
this section. Credits available for averaging, trading, or banking as 
defined in Sec. 86.090-2, may be applied exclusively to a given engine 
family, or reserved as defined in Sec. 86.091-2.
    (2) Based on this information each manufacturer's certification 
application must demonstrate:
    (i) That at the end of model year production, each engine family has 
a net emissions credit balance of zero or 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

[[Page 43]]

amount of NOX, NOX plus NMHC, and/or particulate 
emission credits will violate the conditions of the certificate of 
conformity. The certificates of conformity may be voided ab initio for 
engine families exceeding the emission standard.
    (6) If EPA or the manufacturer determines that a reporting error 
occurred on an end-of-year report previously submitted to EPA under this 
section, the manufacturer's credits and credit calculations will be 
recalculated. Erroneous positive credits will be void. Erroneous 
negative balances may be adjusted by EPA for retroactive use.
    (i) If EPA review of a manufacturer's end-of-year report indicates a 
credit shortfall, the manufacturer will be permitted to purchase the 
necessary credits to bring the credit balance for that engine family to 
zero, using the discount specified in paragraph (c)(1) of this section 
on the ratio of credits purchased for every credit needed to bring the 
balance to zero. If sufficient credits are not available to bring the 
credit balance for the family in question to zero, EPA may void the 
certificate for that engine family ab initio.
    (ii) If within 180 days of receipt of the manufacturer's end-of-year 
report, EPA review determines a reporting error in the manufacturer's 
favor (i.e., resulting in a positive credit balance) or if the 
manufacturer discovers such an error within 180 days of EPA receipt of 
the end-of-year report, the credits will be restored for use by the 
manufacturer.
    (c)(1) For each participating engine family, NOX plus 
NMHC, and particulate emission credits (positive or negative) are to be 
calculated according to one of the following equations and rounded, in 
accordance with ASTM E29-93a (incorporated by reference at Sec. 86.1), 
to the nearest one-tenth of a Megagram (Mg). Consistent units are to be 
used throughout the equation.
    (i) For determining credit need for all engine families and credit 
availability for engine families generating credits for averaging 
programs only:

Emission credits = (Std - FEL)  x  (CF)  x  (UL)  x  (Production)  x  
    (10-6)

    (ii) For determining credit availability for engine families 
generating credits for trading or banking programs:

Emission credits = (Std - FEL)  x  (CF)  x  (UL)  x  (Production)  x  
    (10-6)  x  (Discount)

    (iii) For purposes of the equation in paragraphs (c)(1)(i) and (ii) 
of this section:

Std = the current and applicable heavy-duty engine NOX plus 
NMHC or particulate emission standard in grams per brake horsepower hour 
or grams per Megajoule.
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 44]]

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 45]]

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 46]]

plus NMHC or lower for all diesel-cycle engine families.
    (2) All of the following must apply to the engine family:
    (i) Diesel-cycle engines only;
    (ii) 2004, 2005, and 2006 model years only;
    (iii) Must be an engine family using carry-over certification data 
from prior to model year 2004 where the NOX plus the HC 
certification level prior to model year 2004 is below the NOX 
plus NMHC or NOX plus NMHCE standard set forth in 
Sec. 86.004-11. Under this option, the NOX credits generated 
from this engine family prior to model year 2004 may be used as 
NOX plus NMHC credits.
    (l) Additional flexibility for Otto-cycle engines. If an Otto-cycle 
engine family meets the conditions of paragraph (l)(1) or (2) of this 
section, a discount of 1.0 may be used in the trading and banking 
credits calculation for NOX plus NMHC described in paragraph 
(c)(1) of this section, as follows:
    (1) The engine family has a FEL of 0.5 g/bhp-hr NOX plus 
NMHC or lower;
    (2) All of the following conditions are met:
    (i) For first three consecutive model years that the engine family 
is certified to a NOX plus NMHC standard contained in 
Sec. 86.005-10;
    (ii) The engine family is certified using carry-over data from an 
engine family which was used to generate early NOX credits 
per Sec. 86.000-15(k) where the sum of the NOX FEL plus the 
HC (or hydrocarbon equivalent where applicable) certification level is 
below 1.0 g/bhp-hr.

[62 FR 54722, Oct. 21, 1997, as amended at 65 FR 59946, Oct. 6, 2000]



Sec. 86.004-16  Prohibition of defeat devices.

    (a) No new heavy-duty vehicle or heavy-duty engine shall be equipped 
with a defeat device.
    (b) The Administrator may test or require testing on any vehicle or 
engine at a designated location, using driving cycles and conditions 
which may reasonably be expected to be encountered in normal operation 
and use, for the purpose of investigating a potential defeat device.
    (c) [Reserved]
    (d) For vehicle and engine designs designated by the Administrator 
to be investigated for possible defeat devices:
    (1) General. The manufacturer must show to the satisfaction of the 
Administrator that the vehicle or engine design does not incorporate 
strategies that reduce emission control effectiveness exhibited during 
the Federal emissions test procedures, described in subpart N of this 
part, 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 Federal emission test procedure 
described in subpart N of this part.

[65 FR 59947, Oct. 6, 2000]



Sec. 86.004-21  Application for certification.

    Section 86.004-21 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. 86.004-21, 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) through (b)(3) [Reserved]. For guidance see Sec. 86.094-21.
    (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) through (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

[[Page 47]]

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.
    (6) Participation in averaging programs--(i) Particulate averaging. 
(A) If the manufacturer elects to participate in the particulate 
averaging program for diesel light-duty vehicles and/or diesel light-
duty trucks or the particulate averaging program for heavy-duty diesel 
engines, the application must list the family particulate emission limit 
and the projected U.S. production volume of the family for the model 
year.
    (B) The manufacturer shall choose the level of the family 
particulate emission limits, accurate to hundredth of a gram per mile or 
hundredth of a gram per brake horsepowerhour for HDEs.
    (C) The manufacturer may at any time during production elect to 
change the level of any family particulate emission limit(s) by 
submitting the new limit(s) to the Administrator and by demonstrating 
compliance with the limit(s) as described in Secs. 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 Secs. 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) through (j) [Reserved]. For guidance see Sec. 86.094-21.
    (k) and (l) [Reserved]. For guidance see Sec. 86.096-21.
    (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

[[Page 48]]

(in engineering units if applicable) any information broadcast by an 
engine's on-board computers and electronic control modules which relates 
in any way to emission control devices and auxiliary emission control 
devices, provided that such hardware, passwords, or documentation exists 
and is not otherwise commercially available. Passwords include any 
information necessary to enable generic scan tools or personal computers 
access to proprietary emission related information broadcast by an 
engine's on-board computer, if such passwords exist. This requirement 
includes access by EPA to any proprietary code information which may be 
broadcast by an engine's on-board computer and electronic control 
modules. Information which is confidential business information must be 
marked as such. Engineering units refers to the ability to read, 
interpret, and store information in commonly understood engineering 
units, for example, engine speed in revolutions per minute or per 
second, injection timing parameters such as start of injection in 
degree's before top-dead center, fueling rates in cubic centimeters per 
stroke, vehicle speed in miles per hour or kilometers per hour. This 
paragraph (n) does not restrict EPA authority to take any action 
authorized by section 208 of the Clean Air Act.

[62 FR 54724, Oct. 21, 1997, as amended at 65 FR 59947, Oct. 6, 2000]



Sec. 86.004-25  Maintenance.

    Section 86.004-25 includes text that specifies requirements that 
differ from Sec. 86.094-25 or Sec. 86.098-25. Where a paragraph in 
Sec. 86.094-25 or Sec. 86.098-25 is identical and 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.'' or ``[Reserved]. For guidance see Sec. 86.098-25.''.
    (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) through (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) Positive crankcase ventilation valve.
    (B) Emission-related hoses and tubes.
    (C) Ignition wires.
    (D) Idle mixture.
    (E) Exhaust gas recirculation system related filters and coolers.
    (iv) For 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) 
through (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.
    (b)(3)(vi)(A) through (b)(3)(vi)(D) [Reserved]. For guidance see 
Sec. 86.094-25.
    (b)(3)(vi)(E) through (b)(3)(vi)(J) [Reserved]. For guidance see 
Sec. 86.098-25.
    (4) For diesel-cycle light-duty vehicles, light-duty trucks, and 
HDEs,

[[Page 49]]

emission-related maintenance in addition to or at shorter intervals than 
that listed in paragraphs (b)(4) (i) through (iv) of this section 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 items listed in paragraphs (b)(4)(i) (A) 
through (C) 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) Exhaust gas recirculation system related filters and coolers.
    (B) Positive crankcase ventilation valve.
    (C) Fuel injector tips (cleaning only).
    (ii) For diesel-cycle light-duty vehicles and light-duty trucks, the 
adjustment, cleaning, repair, or replacement of the positive crankcase 
ventilation valve shall occur at 50,000 miles of use and at 50,000-mile 
intervals thereafter.
    (iii) The adjustment, cleaning, repair, or replacement of items 
listed in paragraphs (b)(4)(iii) (A) through (G) of this section shall 
occur at 100,000 miles (or 3,000 hours) of use and at 100,000-mile (or 
3,000-hour) intervals thereafter for light heavy-duty diesel engines, 
or, at 150,000 miles (or 4,500 hours) intervals thereafter for medium 
and heavy heavy-duty diesel engines.
    (A) Fuel injectors.
    (B) Turbocharger.
    (C) Electronic engine control unit and its associated sensors and 
actuators.
    (D) Particulate trap or trap-oxidizer system (including related 
components).
    (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.
    (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) For disel-cycle light-duty vehicles and light-duty trucks, the 
adjustment, cleaning, repair, or replacement shall occur at 100,000 
miles of use and at 100,000-mile intervals thereafter of the items 
listed in paragraphs (b)(4)(iv) (A) through (G) of this section.
    (A) Fuel injectors.
    (B) Turbocharger.
    (C) Electronic engine control unit and its associated sensors and 
actuators.
    (D) Particulate trap or trap-oxidizer system (including related 
components).
    (E) Exhaust gas recirculation system including all related filters 
and control valves.
    (F) Catalytic converter.
    (G) Superchargers.
    (5) [Reserved]
    (6)(i) The components listed in paragraphs (b)(6)(i) (A) through (H) 
of this section are currently 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) Positive crankcase ventilation valve.
    (F) Evaporative and refueling emission control system components 
(excluding canister air filter).
    (G) Particulate trap or trap-oxidizer system.
    (H) 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.)
    (ii) All critical emission-related scheduled maintenance must have a 
reasonable likelihood of being performed in-use. The manufacturer shall 
be required to show the reasonable likelihood of such maintenance being 
performed in-use, and such showing shall be made prior to the 
performance of the maintenance on the durability data vehicle. Critical 
emission-related scheduled maintenance items which satisfy one of the 
conditions defined in paragraphs (b)(6)(ii) (A) through (F) of this 
section will be accepted as having

[[Page 50]]

a reasonable likelihood of the maintenance item being performed in-use.
    (A) Data are presented which establish for the Administrator a 
connection between emissions and vehicle performance such that as 
emissions increase due to lack of maintenance, vehicle performance will 
simultaneously deteriorate to a point unacceptable for typical driving.
    (B) Survey data are submitted which adequately demonstrate to the 
Administrator that, at an 80 percent confidence level, 80 percent of 
such engines already have this critical maintenance item performed in-
use at the recommended interval(s).
    (C) A clearly displayed visible signal system approved by the 
Administrator is installed to alert the vehicle driver that maintenance 
is due. A signal bearing the message ``maintenance needed'' or ``check 
engine'', or a similar message approved by the Administrator, shall be 
actuated at the appropriate mileage point or by component failure. This 
signal must be continuous while the engine is in operation and not be 
easily eliminated without performance of the required maintenance. 
Resetting the signal shall be a required step in the maintenance 
operation. The method for resetting the signal system shall be approved 
by the Administrator. For HDEs, the system must not be designed to 
deactivate upon the end of the useful life of the engine or thereafter.
    (D) A manufacturer may desire to demonstrate through a survey that a 
critical maintenance item is likely to be performed without a visible 
signal on a maintenance item for which there is no prior in-use 
experience without the signal. To that end, the manufacturer may in a 
given model year market up to 200 randomly selected vehicles per 
critical emission-related maintenance item without such visible signals, 
and monitor the performance of the critical maintenance item by the 
owners to show compliance with paragraph (b)(6)(ii)(B) of this section. 
This option is restricted to two consecutive model years and may not be 
repeated until any previous survey has been completed. If the critical 
maintenance involves more than one engine family, the sample will be 
sales weighted to ensure that it is representative of all the families 
in question.
    (E) The manufacturer provides the maintenance free of charge, and 
clearly informs the customer that the maintenance is free in the 
instructions provided under Sec. 86.087-38.
    (F) Any other method which the Administrator approves as 
establishing a reasonable likelihood that the critical maintenance will 
be performed in-use.
    (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) through (h) [Reserved]. For guidance see Sec. 86.094-25.

[62 FR 54725, Oct. 21, 1997]



Sec. 86.004-26  Mileage and service accumulation; emission measurements.

    Section 86.004-26 includes text that specifies requirements that 
differ from Sec. 86.094-26, Sec. 86.095-26, Sec. 86.096-26, Sec. 86.098-
26, Sec. 86.000-26, or Sec. 86.001-26. Where a paragraph in Sec. 86.094-
26, Sec. 86.095-26, Sec. 86.096-26, Sec. 86.098-26, Sec. 86.000-26 or 
Sec. 86.001-26 is identical and applicable to Sec. 86.004-26, this may 
be indicated by specifying the corresponding paragraph and the statement 
``[Reserved]. For guidance see Sec. 86.094-26.'' or [Reserved]. For 
guidance see Sec. 86.095-26.'' or ``[Reserved]. For guidance see 
Sec. 86.096-26.'' or ``[Reserved]. For guidance see Sec. 86.098-26.'' or 
``[Reserved]. For guidance see Sec. 86.000-26.'' or ``[Reserved]. For 
guidance see Sec. 86.001-26.''.
    (a)(1) [Reserved]. For guidance see Sec. 86.094-26.
    (a)(2) through (a)(3)(i)(A) [Reserved]. For guidance see 
Sec. 86.000-26.
    (a)(3)(i)(B) [Reserved]. For guidance see Sec. 86.094-26.
    (a)(3)(i)(C) [Reserved]. For guidance see Sec. 86.098-26.
    (a)(3)(i)(D) through (a)(3)(ii)(B) [Reserved]. For guidance see 
Sec. 86.094-26.
    (a)(3)(ii)(C) [Reserved]. For guidance see Sec. 86.098-26.
    (a)(3)(ii)(D) through (a)(4)(i)(B)(4) [Reserved]. For guidance see 
Sec. 86.094-26.

[[Page 51]]

    (a)(4)(i)(C) [Reserved]. For guidance see Sec. 86.000-26.
    (a)(4)(i)(D) through (a)(6)(ii) [Reserved]. For guidance see 
Sec. 86.094-26.
    (a)(6)(iii) [Reserved]. For guidance see Sec. 86.000-26.
    (a)(7) through (a)(9)(i) [Reserved]. For guidance see Sec. 86.094-
26.
    (a)(9)(ii) [Reserved]. For guidance see Sec. 86.000-26.
    (a)(9)(iii) through (b)(2) introductory text [Reserved]. For 
guidance see Sec. 86.094-26.
    (b)(2)(i) through (b)(2)(ii) [Reserved]. For guidance see 
Sec. 86.000-26.
    (b)(2)(iii) [Reserved]. For guidance see Sec. 86.094-26.
    (b)(2)(iv) [Reserved]. For guidance see Sec. 86.001-26.
    (b)(3) through (b)(4)(i)(B) [Reserved]. For guidance see 
Sec. 86.094-26.
    (b)(4)(i)(C) [Reserved]. For guidance see Sec. 86.001-26.
    (b)(4)(i)(D) through (b)(4)(ii)(B) [Reserved]. For guidance see 
Sec. 86.095-26.
    (b)(4)(ii)(C) [Reserved]. For guidance see Sec. 86.001-26.
    (b)(4)(ii)(D) [Reserved]. For guidance see Sec. 86.095-26.
    (b)(4)(iii) [Reserved]
    (b)(4)(iv) [Reserved]. For guidance see Sec. 86.094-26.
    (c)(1) Paragraph (c) of this section applies to heavy-duty engines.
    (2) Two types of service accumulation are applicable to heavy-duty 
engines, as described in paragraphs (c)(2)(i) and (ii) of this section. 
For Otto-cycle heavy-duty engines exhaust emissions, the service 
accumulation method used by a manufacturer must be designed to 
effectively predict the deterioration of emissions in actual use over 
the full useful life of the of the candidate in-use vehicles and must 
cover the breadth of the manufacturer's product line that will be 
covered by the durability procedure. Manufacturers not selecting Options 
1 or 2 described in Sec. 86.005-10(f) may certify Otto-cycle engines 
using the provisions contained in Sec. 86.094-26(c)(2) rather than those 
contained in this paragraph (c)(2) for 2004 model year engine families 
certified using carry-over durability data, except for those engines 
used for early credit banking as allowed in Sec. 86.000-15(k).
    (i) Service accumulation on engines, subsystems, or components 
selected by the manufacturer under Sec. 86.094-24(c)(3)(i). The 
manufacturer determines the form and extent of this service 
accumulation, consistent with good engineering practice, and describes 
it in the application for certification.
    (ii) Dynamometer service accumulation on emission data engines 
selected under Sec. 86.094-24(b)(2) or (3). The manufacturer determines 
the engine operating schedule to be used for dynamometer service 
accumulation, consistent with good engineering practice. A single engine 
operating schedule shall be used for all engines in an engine family-
control system combination. Operating schedules may be different for 
different combinations.
    (3) Exhaust emission deterioration factors will be determined on the 
basis of the service accumulation described in Sec. 86.000-26(b)(2)(i) 
and related testing, according to the manufacturer's procedures.
    (c)(4) [Reserved]. For guidance see Sec. 86.096-26.
    (d)(1) through (d)(2)(i) [Reserved]. For guidance see Sec. 86.094-
26.
    (d)(2)(ii) [Reserved]. For guidance see Sec. 86.000-26.
    (d)(3) [Reserved]. For guidance see Sec. 86.094-26.
    (d)(4) and (5) [Reserved].
    (d)(6) [Reserved]. For guidance see Sec. 86.094-26.

[65 FR 59947, Oct. 6, 2000]



Sec. 86.004-28  Compliance with emission standards.

    Section 86.004-28 includes text that specifies requirements that 
differ from Sec. 86.094-28, Sec. 86.098-28, Sec. 86.000-28 or 
Sec. 86.001-28. Where a paragraph in Sec. 86.094-28, Sec. 86.098-28, 
Sec. 86.000-28 or Sec. 86.001-28 is identical and applicable to 
Sec. 86.004-28, this may be indicated by specifying the corresponding 
paragraph and the statement ``[Reserved]. For guidance see Sec. 86.094-
28.'' or ``[Reserved]. For guidance see Sec. 86.098-28.'' or 
``[Reserved]. For guidance see Sec. 86.000-28.'' or ``[Reserved]. For 
guidance see Sec. 86.001-28.''
    (a)(1) through (a)(2) [Reserved. For guidance see Sec. 86.000-28.
    (a)(3) [Reserved]. For guidance see Sec. 86.094-28.

[[Page 52]]

    (a)(4) introductory text [Reserved]. For guidance see Sec. 86.098-
28.
    (a)(4)(i) [Reserved]. For guidance see Sec. 86.000-28.
    (a)(4)(i)(A) through (a)(4)(i)(B)(2)(i) [Reserved. For guidance see 
Sec. 86.094-28.
    (a)(4)(i)(B)(2)(ii) [Reserved]. For guidance see Sec. 86.000-28.
    (a)(4)(i)(B)(2)(iii) through (a)(4)(i)(B)(2)(iv) [Reserved]. For 
guidance see Sec. 86.094-28.
    (a)(4)(i)(C) through (a)(4)(i)(D)(2) [Reserved]. For guidance see 
Sec. 86.098-28.
    (a)(4)(ii)(A)(1) through (a)(4)(ii)(A)(2) [Reserved]. For guidance 
see Sec. 86.000-28.
    (a)(4)(ii)(B) through (a)(4)(ii)(C) [Reserved]. For guidance see 
Sec. 86.098-28.
    (a)(4)(iii) [Reserved]. For guidance see Sec. 86.000-28.
    (a)(4)(iv) [Reserved]. For guidance see Sec. 86.094-28.
    (a)(4)(v) [Reserved]. For guidance see Sec. 86.098-28.
    (a)(5) through (a)(6) [Reserved]. For guidance see Sec. 86.094-28.
    (a)(7) introductory text [Reserved]. For guidance see Sec. 86.098-
28.
    (a)(7)(i) [Reserved]. For guidance see Sec. 86.000-28.
    (a)(7)(ii) [Reserved]. For guidance see Sec. 86.094-28.
    (b)(1) This paragraph (b) applies to light-duty trucks.
    (2) Each exhaust, evaporative and refueling emission standard (and 
family emission limits, as appropriate) of Sec. 86.004-9 applies to the 
emissions of vehicles for the appropriate useful life as defined in 
Secs. 86.098-2 and 86.004-9.
    (b)(3) through (b)(4)(i) [Reserved]. For guidance see Sec. 86.094-
28.
    (b)(4)(ii) through (b)(6) [Reserved]. For guidance see Sec. 86.000-
28.
    (b)(7)(i) through (b)(9) [Reserved]. For guidance see Sec. 86.001-
28.
    (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

[[Page 53]]

zero, it shall be zero for the purposes of this paragraph.
    (2) Otto-cycle HDEs utilizing aftertreatment technology (e.g., 
catalytic converters). For transient NMHC (NMHCE), CO, NOX, 
and for idle CO, the official exhaust emission results for each emission 
data engine at the selected test point shall be adjusted by 
multiplication by the appropriate deterioration factor, except as 
otherwise provided in paragraph (c)(4)(iii)(A)(3) of this section. The 
deterioration factor must be calculated by dividing the exhaust 
emissions at full useful life by the stabilized mileage emission level 
(reference Sec. 86.096-26(c)(4), e.g., 125 hours). However, if the 
deterioration factor supplied by the manufacturer is less than one, it 
shall be one for purposes of this paragraph (c)(4)(iii)(A)(2).
    (3) An Otto-cycle heavy-duty engine manufacturer who believes that a 
deterioration factor derived using the calculation methodology described 
in paragraph (c)(4)(iii)(4)(A)(2) of this section are significantly 
unrepresentative for one or more engine families (either too high or too 
low) may petition the Administrator to allow for the use of an additive 
rather than a multiplicative deterioration factor. This petition must 
include full rationale behind the request together with any supporting 
data or other evidence. Based on this or other information the 
Administration may allow for an alternative procedure. Any petition 
should be submitted in a timely manner, to allow adequate time for a 
thorough evaluation. Manufacturers using an additive deterioration 
factor under this paragraph (c)(4)(iii)(A)(3) must perform in-use 
verification testing to determine if the additive deterioration factor 
reasonably predicts actual in-use emissions. The plan for the in-use 
verification testing must be approved by the Administrator as part of 
the approval process described in this paragraph (c)(4)(iii)(4)(A)(3) 
prior to the use of the additive deterioration factor. The Administrator 
may consider the results of the in-use verification testing both in 
certification and in-use compliance programs.
    (B) Paragraph (c)(4)(iii)(B) of this section applies to diesel-cycle 
HDEs.
    (1) Diesel-cycle HDEs not utilizing aftertreatment technology (e.g., 
particulate traps). For transient NMHC (NMHCE), CO, NOX, 
NOX plus NMHC, and exhaust particulate, 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) Diesel-cycle HDEs utilizing aftertreatment technology (e.g., 
particulate traps). For transient NMHC (NMHCE), CO, NOX, 
NOX plus NMHC, and exhaust particulate, 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. However, if the deterioration factor supplied by 
the manufacturer is less than one, it shall be one for the purposes of 
this paragraph.
    (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.
    (iv) 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

[[Page 54]]

following options for the determination of NMHC for an engine family. 
The manufacturer must declare which option is used in its application 
for certification of that engine family.
    (i) THC may be used in lieu of NMHC for the standards set forth in 
Sec. 86.004-11.
    (ii) The manufacturer may choose its own method to analyze methane 
with prior approval of the Administrator.
    (iii) The manufacturer may assume that two percent of the measured 
THC is methane (NMHC =0.98  x  THC).
    (d)(1) Paragraph (d) of this section applies to heavy-duty vehicles 
equipped with gasoline-fueled or methanol-fueled engines.
    (2) The applicable evaporative emission standards in this subpart 
apply to the emissions of vehicles for their useful life.
    (3)(i) For vehicles with a GVWR of up to 26,000 pounds, because it 
is expected that emission control efficiency will change during the 
useful life of the vehicle, an evaporative emission deterioration factor 
shall be determined from the testing described in Sec. 86.098-23(b)(3) 
for each evaporative emission family-evaporative emission control system 
combination to indicate the evaporative emission control system 
deterioration during the useful life of the vehicle (minimum 50,000 
miles). The factor shall be established to a minimum of two places to 
the right of the decimal.
    (ii) For vehicles with a GVWR of greater than 26,000 pounds, because 
it is expected that emission control efficiency will change during the 
useful life of the vehicle, each manufacturer's statement as required in 
Sec. 86.098-23(b)(4)(ii) shall include, in accordance with good 
engineering practice, consideration of control system deterioration.
    (4) The evaporative emission test results, if any, shall be adjusted 
by the addition of the appropriate deterioration factor, provided that 
if the deterioration factor as computed in paragraph (d)(3) of this 
section is less than zero, that deterioration factor shall be zero for 
the purposes of this paragraph.
    (5) The emission level to compare with the standard shall be the 
adjusted emission level of paragraph (d)(4) of this section. Before any 
emission value is compared with the standard, it shall be rounded, in 
accordance with ASTM E 29-93a (as referenced in Sec. 86.094-28 
(a)(4)(i)(B)(2)(ii)), to two significant figures. The rounded emission 
values may not exceed the standard.
    (6) Every test vehicle of an evaporative emission family must comply 
with the evaporative emission standard, as determined in paragraph 
(d)(5) of this section, before any vehicle in that family may be 
certified.
    (e) [Reserved]
    (f) through (g)(3) through [Reserved]. For guidance see Sec. 86.001-
28.
    (g)(4) Vehicles certified to the refueling emission standard under 
this provision shall not be counted in the sales percentage compliance 
determinations for the 2004, 2005 and subsequent model years.
    (h) [Reserved]. For guidance see Sec. 86.001-28.
    (i) Emission results from heavy-duty engines equipped with exhaust 
aftertreatment may need to be adjusted 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 emissions 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 
(i)(5) of this section.
    (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

[[Page 55]]

consistent with good engineering judgment. Adjustment factors should 
generally apply to an entire engine family, but manufacturers may 
develop separate adjustment factors for different engine configurations 
within an engine family. All adjustment factors for regeneration are 
additive.
    (2) Calculation of adjustment factors. The adjustment factors are 
calculated from the following parameters: the measured emissions from a 
test in which the regeneration occurs (EFH), the measured 
emissions from a test in which the regeneration does not occur 
(EFL), and the frequency of the regeneration event in terms 
of fraction of tests during which the regeneration occurs (F). The 
average emission rate (EFA) is calculated as:


EFA = (F)(EFH) + (1 - F)(EFL)

    (i) The upward adjustment factor (UAF) is calculated as: UAF = 
EFA - EFL.
    (ii) The downward adjustment factor (DAF) is calculated as: DAF = 
EFA - EFH.
    (3) Use of adjustment factors. Upward adjustment factors are added 
to measured emission rates for all tests in which the regeneration does 
not occur. Downward adjustment factors are added to measured emission 
rates for all tests in which the regeneration occurs. The occurrence of 
the regeneration must be identified in a manner that is readily apparent 
during all testing. Where no regeneration is identified, the upward 
adjustment factor shall be applied.
    (4) Sample calculation. If EFL is 0.10 g/bhp-hr, 
EFH is 0.50 g/bhp-hr, and F is 0.1 (i.e., the regeneration 
occurs once for each ten tests), then:

EFA = (0.1)(0.5 g/bhp-hr) + (1.0 - 0.1)(0.1 g/bhp-hr) = 0.14 
g/bhp-hr
UAF = 0.14 g/bhp-hr - 0.10 g/bhp-hr = 0.04 g/bhp-hr
DAF = 0.14 g/bhp-hr - 0.50 g/bhp-hr = -0.36 g/bhp-hr

    (5) Options. (i) A manufacturer may elect to omit adjustment factors 
for one or more of its engine families (or configurations) because the 
effect of the regeneration is small, or because it is not practical to 
identify when regenerations occur. In these cases, no upward or downward 
adjustment factor shall be added, and the manufacturer is liable for 
compliance with the emission standards for all tests, without regard to 
whether a regeneration occurs.
    (ii) Upon request by the manufacturer, the Administrator may account 
for regeneration events differently than is provided in this paragraph 
(i). However, this option only applies for events that occur extremely 
infrequently, and which cannot be practically addressed using the 
adjustment factors described in this paragraph (i).

[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]



Sec. 86.004-30  Certification.

    Section 86.004-30 includes text that specifies requirements that 
differ from Secs. 86.094-30, 86.095-30, 86.096-30, 86.098-30 or 86.001-
30. Where a paragraph in Sec. 86.094-30, Sec. 86.095-30, Sec. 86.096-30, 
Sec. 86.098-30 or Sec. 86.001-30 is identical and applicable to 
Sec. 86.004-30, this may be indicated by specifying the corresponding 
paragraph and the statement ``[Reserved]. For guidance see Sec. 86.094-
30.'' or ``[Reserved]. For guidance see Sec. 86.095-30.'' or 
``[Reserved]. For guidance see Sec. 86.096-30.'' or ``[Reserved]. For 
guidance see Sec. 86.098-30.'' or ``[Reserved]. For guidance see 
Sec. 86.001-30.''.
    (a)(1) and (a)(2) [Reserved]. For guidance see Sec. 86.094-30.
    (a)(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).

[[Page 56]]

    (iii) For diesel light-duty vehicles and light-duty trucks, or 
diesel HDEs, included in the applicable particulate averaging program, 
the manufacturer may at any time during production elect to change the 
level of any family particulate emission limit by demonstrating 
compliance with the new limit as described in Sec. 86.094-28(a)(6), 
Sec. 86.094-28(b)(5)(i), or Sec. 86.004-28(c)(5)(i). New certificates 
issued under this paragraph will be applicable only for vehicles (or 
engines) produced subsequent to the date of issuance.
    (iv) For light-duty trucks or HDEs included in the applicable 
NOX averaging program, the manufacturer may at any time 
during production elect to change the level of any family NOX 
emission limit by demonstrating compliance with the new limit as 
described in Sec. 86.094-28(b)(5)(ii) or Sec. 86.004-28(c)(5)(ii). New 
certificates issued under this paragraph will be applicable only for 
vehicles (or engines) produced subsequent to the day of issue.
    (4)(i) For exempt light-duty vehicles and light-duty trucks under 
the provisions of Sec. 86.094-8(j) or Sec. 86.094-9(j), an adjustment or 
modification performed in accordance with instructions provided by the 
manufacturer for the altitude where the vehicle is principally used will 
not be considered a violation of section 203(a)(3) of the Clean Air Act 
(42 U.S.C. 7522(a)(3)).
    (ii) A violation of section 203(a)(1) of the Clean Air Act (42 
U.S.C. 7522(a)(1)) occurs when a manufacturer sells or delivers to an 
ultimate purchaser any light-duty vehicle or light-duty truck, subject 
to the regulations under the Act, under any of the conditions specified 
in paragraph (a)(4)(ii) of this section.
    (A) When a light-duty vehicle or light-duty truck is exempted from 
meeting high-altitude requirements as provided in Sec. 86.090-8(h) or 
Sec. 86.094-9(h):
    (1) At a designated high-altitude location, unless such manufacturer 
has reason to believe that such vehicle will not be sold to an ultimate 
purchaser for principal use at a designated high-altitude location; or
    (2) At a location other than a designated high-altitude location, 
when such manufacturer has reason to believe that such motor vehicle 
will be sold to an ultimate purchaser for principal use at a designated 
high-altitude location.
    (B) When a light-duty vehicle or light-duty truck is exempted from 
meeting low-altitude requirements as provided in Sec. 86.094-8(i) or 
Sec. 86.094-9(i):
    (1) At a designated low-altitude location, unless such manufacturer 
has reason to believe that such vehicle will not be sold to an ultimate 
purchaser for principal use at a designated low-altitude location; or
    (2) At a location other than a designated low-altitude location, 
when such manufacturer has reason to believe that such motor vehicle 
will be sold to an ultimate purchaser for principal use at a designated 
low-altitude location.
    (a)(4)(iii) introductory text through (a)(4)(iii)(C) [Reserved]. For 
guidance see Sec. 86.094-30.
    (a)(4)(iv) introductory text [Reserved]. For guidance see 
Sec. 86.095-30.
    (a)(4)(iv)(A) through (a)(9) [Reserved]. For guidance see 
Sec. 86.094-30.
    (10)(i) For diesel-cycle light-duty vehicle and diesel-cycle light-
duty truck families which are included in a particulate averaging 
program, the manufacturer's production-weighted average of the 
particulate emission limits of all engine families in a participating 
class or classes shall not exceed the applicable diesel-cycle 
particulate standard, or the composite particulate standard defined in 
Sec. 86.090-2 as appropriate, at the end of the model year, as 
determined in accordance with this part. The certificate shall be void 
ab initio for those vehicles causing the production-weighted FEL to 
exceed the particulate standard.
    (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) 
through (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.

[[Page 57]]

    (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) For light-duty truck families which are included in a 
NOX averaging program, the manufacturer's production-weighted 
average of the NOX emission limits of all such engine 
families shall not exceed the applicable NOX emission 
standard, or the composite NOX emission standard defined in 
Sec. 86.088-2, as appropriate, at the end of the model year, as 
determined in accordance with this part. The certificate shall be void 
ab initio for those vehicles causing the production-weighted FEL to 
exceed the NOX standard.
    (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) through (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.
    (a)(12) [Reserved]. For guidance see Sec. 86.094-30.
    (a)(13) [Reserved]. For guidance see Sec. 86.095-30.
    (a)(14) [Reserved]. For guidance see Sec. 86.094-30.
    (a) (15) through (18) [Reserved]. For guidance see Sec. 86.096-30.
    (a)(19) [Reserved]. For guidance see Sec. 86.098-30.
    (a)(20) [Reserved]. For guidance see Sec. 86.001-30.
    (a)(21) For all light-duty trucks certified to refueling emission 
standards under Sec. 86.004-9, the provisions of paragraphs (a)(21) (i) 
through (iii) of this section apply.
    (i) All certificates issued are conditional upon the manufacturer 
complying with all provisions of Sec. 86.004-9 both during and after 
model year production.
    (ii) Failure to meet the required implementation schedule sales 
percentages as specified in Sec. 86.004-9 will be considered to be a 
failure to satisfy the conditions upon which the certificate(s) was 
issued and the individual 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) introductory text through (b)(1)(ii)(A) [Reserved]. For 
guidance see Sec. 86.094-30.
    (b)(1)(ii)(B) The emission data vehicle(s) selected under 
Sec. 86.001-24(b)(vii) (A) and (B) shall represent all vehicles of the 
same evaporative/refueling control system within the evaporative/
refueling family.
    (b)(1)(ii)(C) [Reserved]. For guidance see Sec. 86.094-30.
    (b)(1)(ii)(D) The emission-data vehicle(s) selected under 
Sec. 86.098-24(b)(1)(viii) shall represent all vehicles of the same 
evaporative/refueling control system within the evaporative/refueling 
emission family, as applicable.
    (b)(1)(iii) and (b)(1)(iv) [Reserved]. For guidance see Sec. 86.094-
30.
    (b)(2) [Reserved]. For guidance see Sec. 86.098-30.
    (b)(3) through (b)(4)(i) [Reserved]. For guidance see Sec. 86.094-
30.
    (b)(4)(ii) introductory text [Reserved]. For guidance see 
Sec. 86.098-30.
    (b)(4)(ii)(A) [Reserved]. For guidance see Sec. 86.094-30.
    (b)(4)(ii)(B) through (b)(4)(iv) [Reserved]. For guidance see 
Sec. 86.098-30.
    (b)(5) through (e) [Reserved]. For guidance see Sec. 86.094-30.

[[Page 58]]

    (f) For engine families required to have an OBD system, 
certification will not be granted if, for any test vehicle approved by 
the Administrator in consultation with the manufacturer, the malfunction 
indicator light does not illuminate under any of the following 
circumstances, unless the manufacturer can demonstrate that any 
identified OBD problems discovered during the Administrator's evaluation 
will be corrected on production vehicles.
    (1)(i) Otto-cycle. A catalyst is replaced with a deteriorated or 
defective catalyst, or an electronic simulation of such, resulting in an 
increase of 1.5 times the NMHC+NOX standard or FEL above the 
NMHC+NOX emission level measured using a representative 4000 
mile catalyst system.
    (ii) Diesel. (A) If monitored for emissions performance--a catalyst 
is replaced with a deteriorated or defective catalyst, or an electronic 
simulation of such, resulting in exhaust emissions exceeding 1.5 times 
the applicable standard or FEL for NMHC+NOX or PM.
    (B) If monitored for performance--a particulate trap is replaced 
with a trap that has catastrophically failed, or an electronic 
simulation of such.
    (2)(i) Otto-cycle. An engine misfire condition is induced resulting 
in exhaust emissions exceeding 1.5 times the applicable standards or FEL 
for NMHC+NOX or CO.
    (ii) Diesel. An engine misfire condition is induced and is not 
detected.
    (3) If so equipped, any oxygen sensor is replaced with a 
deteriorated or defective oxygen sensor, or an electronic simulation of 
such, resulting in exhaust emissions exceeding 1.5 times the applicable 
standard or FEL for NMHC+NOX or CO.
    (4) If so equipped, a vapor leak is introduced in the evaporative 
and/or refueling system (excluding the tubing and connections between 
the purge valve and the intake manifold) greater than or equal in 
magnitude to a leak caused by a 0.040 inch diameter orifice, or the 
evaporative purge air flow is blocked or otherwise eliminated from the 
complete evaporative emission control system.
    (5) A malfunction condition is induced in any emission-related 
engine system or component, including but not necessarily limited to, 
the exhaust gas recirculation (EGR) system, if equipped, the secondary 
air system, if equipped, and the fuel control system, singularly 
resulting in exhaust emissions exceeding 1.5 times the applicable 
emission standard or FEL for NMHC+NOX, CO or PM.
    (6) A malfunction condition is induced in an electronic emission-
related engine system or component not otherwise described above that 
either provides input to or receives commands from the on-board computer 
resulting in a measurable impact on emissions.

[59 FR 16287, Apr. 6, 1994, as amended at 62 FR 54727, Oct. 21, 1997; 65 
FR 59948, Oct. 6, 2000]



Sec. 86.004-38  Maintenance instructions.

    Section 86.004-38 includes text that specifies requirements that 
differ from Sec. 86.094-38. Where a paragraph in Sec. 86.094-38 is 
identical and applicable to Sec. 86.004-38 this may be indicated by 
specifying the corresponding paragraph and the statement ``[Reserved]. 
For guidance see Sec. 86.094-38.''.
    (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

[[Page 59]]

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]. For guidance see Sec. 86.094-38.
    (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.

[62 FR 54728, Oct. 21, 1997]



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)

[[Page 60]]

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.
    (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

[[Page 61]]

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.
    (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 Secs. 86.005-17 and 86.1806-05.
    (v) Refueling emissions requirements effective starting with the 
2004 model

[[Page 62]]

year for Otto-cycle complete vehicles, according to the provisions of 
Secs. 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 Secs. 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 Secs. 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 Secs. 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 Secs. 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) through (f) [Reserved]. For guidance see Sec. 86.001-1.

[65 FR 59949, Oct. 6, 2000]



Sec. 86.005-10  Emission standards for 2005 and later model year Otto-cycle heavy-duty engines and vehicles.

    Section 86.005-10 includes text that specifies requirements that 
differ from Sec. 86.098-10 or Sec. 86.099-10. Where a paragraph in 
Sec. 86.098-10 or 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. 86.098-
10.'' or ``[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 HydrocarbonEquivalent 
(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

[[Page 63]]

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.
    (b) [Reserved]. For guidance see Sec. 86.099-10.
    (c) [Reserved]. For guidance see Sec. 86.098-10.
    (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

[[Page 64]]

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]



Sec. 86.005-17  On-board diagnostics.

    (a) General. (1) All heavy-duty engines intended for use in a heavy-
duty vehicle weighing 14,000 pounds GVWR or less must be equipped with 
an on-board diagnostic (OBD) system capable of monitoring all emission-
related engine systems or components during the applicable useful life. 
Heavy-duty engines intended for use in a heavy-duty vehicle weighing 
14,000 pounds GVWR or less must meet the OBD requirements of this 
section according to the phase-in schedule in paragraph (k) of this 
section. All monitored systems and components must be evaluated 
periodically, but no less frequently than once per applicable 
certification test cycle as defined in Appendix I, paragraph (f), of 
this part, or similar trip as approved by the Administrator.
    (2) An OBD system demonstrated to fully meet the requirements in 
Sec. 86.1806-05 may be used to meet the requirements of this section, 
provided that the Administrator finds that a manufacturer's decision to 
use the flexibility in this paragraph (a)(2) is based on good 
engineering judgement. (b) Malfunction descriptions. The OBD system must 
detect and identify malfunctions in all monitored emission-related 
engine systems or components according to the following malfunction 
definitions as measured and calculated in accordance with test 
procedures set forth in subpart N of this part (engine-based test 
procedures) excluding the test procedure referred to as the 
``Supplemental emission test; test cycle and procedures'' contained in 
Sec. 86.1360, and excluding the test procedure referred to as the ``Not-
To-Exceed Test Procedure'' contained in Sec. 86.1370, and excluding the 
test procedure referred to as the ``Load Response Test'' contained in 
Sec. 86.1380.
    (1) Catalysts and particulate traps. (i) Otto-cycle. Catalyst 
deterioration or malfunction before it results in an increase in NMHC 
(or NOX+NMHC, as applicable) emissions 1.5 times the NMHC (or 
NOX+NMHC, as applicable) standard or FEL, as compared to the 
NMHC (or NOX+NMHC, as applicable) emission level measured 
using a representative 4000 mile catalyst system.
    (ii) Diesel. (A) If equipped, catalyst deterioration or malfunction 
before it results in exhaust emissions exceeding 1.5 times the 
applicable standard or FEL for NOX (or NOX+NMHC, 
as applicable) or PM. This requirement applies only to reduction 
catalysts; monitoring of oxidation catalysts is not required. This 
monitoring need not be done if the manufacturer can demonstrate that 
deterioration or malfunction of the system will not result in exceedance 
of the threshold.
    (B) If equipped with a particulate trap, catastrophic failure of the 
device must be detected. Any particulate trap whose complete failure 
results in exhaust emissions exceeding 1.5 times the applicable standard 
or FEL for NMHC (or NOX+NMHC, as applicable) or PM must be 
monitored for such catastrophic failure. This monitoring need not be 
done if the manufacturer can demonstrate that a catastrophic failure of 
the system will not result in exceedance of the threshold.
    (2) Engine Misfire. (i) Otto-cycle. Engine misfire resulting in 
exhaust emissions exceeding 1.5 times the applicable standard or FEL for 
NMHC, NOX (or NOX+NMHC, as applicable) or CO; and 
any misfire capable of damaging the catalytic converter.
    (ii) Diesel. Lack of cylinder combustion must be detected.
    (3) Oxygen sensors. If equipped, oxygen sensor deterioration or 
malfunction resulting in exhaust emissions exceeding 1.5 times the 
applicable standard or FEL for NMHC, NOX (or 
NOX+NMHC, as applicable) or CO.
    (4) Evaporative leaks. If equipped, any vapor leak in the 
evaporative and/or refueling system (excluding the tubing and 
connections between the purge valve and the intake manifold) greater 
than or equal in magnitude to a leak caused by a 0.040 inch diameter 
orifice; an absence of evaporative purge air

[[Page 65]]

flow from the complete evaporative emission control system. Where fuel 
tank capacity is greater than 25 gallons, the Administrator may, 
following a request from the manufacturer, revise the size of the 
orifice to the smallest orifice feasible, based on test data, if the 
most reliable monitoring method available cannot reliably detect a 
system leak equal to a 0.040 inch diameter orifice.
    (5) Other emission control systems. Any deterioration or malfunction 
occurring in an engine system or component directly intended to control 
emissions, including but not necessarily limited to, the exhaust gas 
recirculation (EGR) system, if equipped, the secondary air system, if 
equipped, and the fuel control system, singularly resulting in exhaust 
emissions exceeding 1.5 times the applicable emission standard or FEL 
for NMHC, NOX (or NOX+NMHC, as applicable), CO or 
diesel PM. For engines equipped with a secondary air system, a 
functional check, as described in paragraph (b)(6) of this section, may 
satisfy the requirements of this paragraph (b)(5) provided the 
manufacturer can demonstrate that deterioration of the flow distribution 
system is unlikely. This demonstration is subject to Administrator 
approval and, if the demonstration and associated functional check are 
approved, the diagnostic system must indicate a malfunction when some 
degree of secondary airflow is not detectable in the exhaust system 
during the check. For engines equipped with positive crankcase 
ventilation (PCV), monitoring of the PCV system is not necessary 
provided the manufacturer can demonstrate to the Administrator's 
satisfaction that the PCV system is unlikely to fail.
    (6) Other emission-related engine components. Any other 
deterioration or malfunction occurring in an electronic emission-related 
engine system or component not otherwise described above that either 
provides input to or receives commands from the on-board computer and 
has a measurable impact on emissions; monitoring of components required 
by this paragraph (b)(6) must be satisfied by employing electrical 
circuit continuity checks and rationality checks for computer input 
components (input values within manufacturer specified ranges based on 
other available operating parameters), and functionality checks for 
computer output components (proper functional response to computer 
commands) except that the Administrator may waive such a rationality or 
functionality check where the manufacturer has demonstrated 
infeasibility. Malfunctions are defined as a failure of the system or 
component to meet the electrical circuit continuity checks or the 
rationality or functionality checks.
    (7) Performance of OBD functions. Oxygen sensor or any other 
component deterioration or malfunction which renders that sensor or 
component incapable of performing its function as part of the OBD system 
must be detected and identified on vehicles so equipped.
    (c) Malfunction indicator light (MIL). The OBD system must 
incorporate a malfunction indicator light (MIL) readily visible to the 
vehicle operator. When illuminated, the MIL must display ``Check 
Engine,'' ``Service Engine Soon,'' a universally recognizable engine 
symbol, or a similar phrase or symbol approved by the Administrator. 
More than one general purpose malfunction indicator light for emission-
related problems should not be used; separate specific purpose warning 
lights (e.g., brake system, fasten seat belt, oil pressure, etc.) are 
permitted. The use of red for the OBD-related malfunction indicator 
light is prohibited.
    (d) MIL illumination. The MIL must illuminate and remain illuminated 
when any of the conditions specified in paragraph (b) of this section 
are detected and verified, or whenever the engine control enters a 
default or secondary mode of operation considered abnormal for the given 
engine operating conditions. The MIL must blink once per second under 
any period of operation during which engine misfire is occurring and 
catalyst damage is imminent. If such misfire is detected again during 
the following driving cycle (i.e., operation consisting of, at a 
minimum, engine start-up and engine shut-off) or the next driving cycle 
in which similar conditions are encountered, the MIL must maintain a 
steady illumination when the misfire is not occurring and then remain 
illuminated until the MIL extinguishing criteria of

[[Page 66]]

this section are satisfied. The MIL must also illuminate when the 
vehicle's ignition is in the ``key-on'' position before engine starting 
or cranking and extinguish after engine starting if no malfunction has 
previously been detected. If a fuel system or engine misfire malfunction 
has previously been detected, the MIL may be extinguished if the 
malfunction does not reoccur during three subsequent sequential trips 
during which similar conditions are encountered and no new malfunctions 
have been detected. Similar conditions are defined as engine speed 
within 375 rpm, engine load within 20 percent, and engine warm-up status 
equivalent to that under which the malfunction was first detected. If 
any malfunction other than a fuel system or engine misfire malfunction 
has been detected, the MIL may be extinguished if the malfunction does 
not reoccur during three subsequent sequential trips during which the 
monitoring system responsible for illuminating the MIL functions without 
detecting the malfunction, and no new malfunctions have been detected. 
Upon Administrator approval, statistical MIL illumination protocols may 
be employed, provided they result in comparable timeliness in detecting 
a malfunction and evaluating system performance, i.e., three to six 
driving cycles would be considered acceptable.
    (e) Storing of computer codes. The OBD system shall record and store 
in computer memory diagnostic trouble codes and diagnostic readiness 
codes indicating the status of the emission control system. These codes 
shall be available through the standardized data link connector per 
specifications as referenced in paragraph (h) of this section.
    (1) A diagnostic trouble code must be stored for any detected and 
verified malfunction causing MIL illumination. The stored diagnostic 
trouble code must identify the malfunctioning system or component as 
uniquely as possible. At the manufacturer's discretion, a diagnostic 
trouble code may be stored for conditions not causing MIL illumination. 
Regardless, a separate code should be stored indicating the expected MIL 
illumination status (i.e., MIL commanded ``ON,'' MIL commanded ``OFF'').
    (2) For a single misfiring cylinder, the diagnostic trouble code(s) 
must uniquely identify the cylinder, unless the manufacturer submits 
data and/or engineering evaluations which adequately demonstrate that 
the misfiring cylinder cannot be reliably identified under certain 
operating conditions. For diesel engines only, the specific cylinder for 
which combustion cannot be detected need not be identified if new 
hardware would be required to do so. The diagnostic trouble code must 
identify multiple misfiring cylinder conditions; under multiple misfire 
conditions, the misfiring cylinders need not be uniquely identified if a 
distinct multiple misfire diagnostic trouble code is stored.
    (3) The diagnostic system may erase a diagnostic trouble code if the 
same code is not re-registered in at least 40 engine warm-up cycles, and 
the malfunction indicator light is not illuminated for that code.
    (4) Separate status codes, or readiness codes, must be stored in 
computer memory to identify correctly functioning emission control 
systems and those emission control systems which require further engine 
operation to complete proper diagnostic evaluation. A readiness code 
need not be stored for those monitors that can be considered 
continuously operating monitors (e.g., misfire monitor, fuel system 
monitor, etc.). Readiness codes should never be set to ``not ready'' 
status upon key-on or key-off; intentional setting of readiness codes to 
``not ready'' status via service procedures must apply to all such 
codes, rather than applying to individual codes. Subject to 
Administrator approval, if monitoring is disabled for a multiple number 
of driving cycles (i.e., more than one) due to the continued presence of 
extreme operating conditions (e.g., ambient temperatures below 40 
deg.F, or altitudes above 8000 feet), readiness for the subject 
monitoring system may be set to ``ready'' status without monitoring 
having been completed. Administrator approval shall be based on the 
conditions for monitoring system disablement, and the number of driving 
cycles

[[Page 67]]

specified without completion of monitoring before readiness is 
indicated.
    (f) Available diagnostic data. (1) Upon determination of the first 
malfunction of any component or system, ``freeze frame'' engine 
conditions present at the time must be stored in computer memory. Should 
a subsequent fuel system or misfire malfunction occur, any previously 
stored freeze frame conditions must be replaced by the fuel system or 
misfire conditions (whichever occurs first). Stored engine conditions 
must include, but are not limited to: engine speed, open or closed loop 
operation, fuel system commands, coolant temperature, calculated load 
value, fuel pressure, vehicle speed, air flow rate, and intake manifold 
pressure if the information needed to determine these conditions is 
available to the computer. For freeze frame storage, the manufacturer 
must include the most appropriate set of conditions to facilitate 
effective repairs. If the diagnostic trouble code causing the conditions 
to be stored is erased in accordance with paragraph (d) of this section, 
the stored engine conditions may also be erased.
    (2) The following data in addition to the required freeze frame 
information must be made available on demand through the serial port on 
the standardized data link connector, if the information is available to 
the on-board computer or can be determined using information available 
to the on-board computer: Diagnostic trouble codes, engine coolant 
temperature, fuel control system status (closed loop, open loop, other), 
fuel trim, ignition timing advance, intake air temperature, manifold air 
pressure, air flow rate, engine RPM, throttle position sensor output 
value, secondary air status (upstream, downstream, or atmosphere), 
calculated load value, vehicle speed, and fuel pressure. The signals 
must be provided in standard units based on SAE specifications 
incorporated by reference in paragraph (h) of this section. Actual 
signals must be clearly identified separately from default value or limp 
home signals.
    (3) For all OBD systems for which specific on-board evaluation tests 
are conducted (catalyst, oxygen sensor, etc.), the results of the most 
recent test performed by the vehicle, and the limits to which the system 
is compared must be available through the standardized data link 
connector per the appropriate standardized specifications as referenced 
in paragraph (h) of this section.
    (4) Access to the data required to be made available under this 
section shall be unrestricted and shall not require any access codes or 
devices that are only available from the manufacturer.
    (g) Exceptions. The OBD system is not required to evaluate systems 
or components during malfunction conditions if such evaluation would 
result in a risk to safety or failure of systems or components. 
Additionally, the OBD system is not required to evaluate systems or 
components during operation of a power take-off unit such as a dump bed, 
snow plow blade, or aerial bucket, etc.
    (h) Reference materials. The OBD system shall provide for 
standardized access and conform with the following Society of Automotive 
Engineers (SAE) standards and/or the following International Standards 
Organization (ISO) standards. The following documents are incorporated 
by reference (see Sec. 86.1):
    (1) SAE material. Copies of these materials may be obtained from the 
Society of Automotive Engineers, Inc., 400 Commonwealth Drive, 
Warrendale, PA 15096-0001.
    (i) SAE J1850 ``Class B Data Communication Network Interface,'' 
(July 1995) shall be used as the on-board to off-board communications 
protocol. All emission related messages sent to the scan tool over a 
J1850 data link shall use the Cyclic Redundancy Check and the three byte 
header, and shall not use inter-byte separation or checksums.
    (ii) Basic diagnostic data (as specified in Secs. 86.094-17(e) and 
(f)) shall be provided in the format and units in SAE J1979 ``E/E 
Diagnostic Test Modes,'' (July 1996).
    (iii) Diagnostic trouble codes shall be consistent with SAE J2012 
``Recommended Practices for Diagnostic Trouble Code Definitions,'' (July 
1996).
    (iv) The connection interface between the OBD system and test 
equipment and diagnostic tools shall meet

[[Page 68]]

the functional requirements of SAE J1962 ``Diagnostic Connector,'' 
(January 1995).
    (v) As an alternative to the above standards, heavy-duty engines may 
conform to the specifications of the SAE J1939 series of standards (SAE 
J1939-11, J1939-13, J1939-21, J1939-31, J1939-71, J1939-73, J1939-81).
    (2) ISO materials. Copies of these materials may be obtained from 
the International Organization for Standardization, Case Postale 56, CH-
1211 Geneva 20, Switzerland.
    (i) ISO 9141-2 ``Road vehicles--Diagnostic systems--Part 2: CARB 
requirements for interchange of digital information,'' (February 1994) 
may be used as an alternative to SAE J1850 as the on-board to off-board 
communications protocol.
    (ii) ISO 14230-4 ``Road vehicles--Diagnostic systems--Keyword 
Protocol 2000--Part 4: Requirements for emission-related systems'' may 
also be used as an alternative to SAE J1850.
    (i) Deficiencies and alternate fueled engines. Upon application by 
the manufacturer, the Administrator may accept an OBD system as 
compliant even though specific requirements are not fully met. Such 
compliances without meeting specific requirements, or deficiencies, will 
be granted only if compliance would be infeasible or unreasonable 
considering such factors as, but not limited to: technical feasibility 
of the given monitor and lead time and production cycles including 
phase-in or phase-out of engines or vehicle designs and programmed 
upgrades of computers. Unmet requirements should not be carried over 
from the previous model year except where unreasonable hardware or 
software modifications would be necessary to correct the deficiency, and 
the manufacturer has demonstrated an acceptable level of effort toward 
compliance as determined by the Administrator. Furthermore, EPA will not 
accept any deficiency requests that include the complete lack of a major 
diagnostic monitor (``major'' diagnostic monitors being those for 
exhaust aftertreatment devices, oxygen sensor, engine misfire, 
evaporative leaks, and diesel EGR, if equipped), with the possible 
exception of the special provisions for alternate fueled engines. For 
alternate fueled heavy-duty engines (e.g. natural gas, liquefied 
petroleum gas, methanol, ethanol), beginning with the model year for 
which alternate fuel emission standards are applicable and extending 
through the 2006 model year, 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 alternate 
fuel. At a minimum, alternate fuel engines must be equipped with an OBD 
system meeting OBD requirements to the extent feasible as approved by 
the Administrator.
    (j) California OBD II compliance option. For heavy-duty engines at 
or below 14,000 pounds GVWR, demonstration of compliance with California 
OBD II requirements (Title 13 California Code section 1968.1), as 
modified pursuant to California Mail Out 97-24 (December 9, 1997), 
shall satisfy the requirements of this section, except that the 
exemption to the catalyst monitoring provisions of California Code 
section 1968.1(b)(1.1.2) for diesel engines does not apply, and 
compliance with California Code sections 1968.1(b)(4.2.2), pertaining to 
0.02 inch evaporative leak detection, and 1968.1(d), pertaining to 
tampering protection, are not required to satisfy the requirements of 
this section. Also, the deficiency fine provisions of California Code 
sections 1968.1(m)(6.1) and (6.2) do not apply.
    (k) Phase-in for heavy-duty engines. Manufacturers of heavy-duty 
engines must comply with the OBD requirements in this section according 
to the following phase-in schedule, based on the percentage of projected 
engine sales within each category. The 2004 model year requirements in 
the following phase-in schedule are applicable only to heavy-duty Otto-
cycle engines where the manufacturer has selected Otto-cycle Option 1 or 
Option 2 for alternative 2004 compliance according to Sec. 86.005-
01(c)(1) or (2). The 2005 through 2007 requirements in the following 
phase-in schedule apply to all heavy-duty engines intended for use in a 
heavy-duty vehicle weighing 14,000 pounds GVWR or less. Manufacturers 
may exempt 2005 model year diesel heavy-duty engines from the 
requirements of this section if the 2005 model

[[Page 69]]

year commences before July 31, 2004 from the requirements of this 
section. Manufacturers may exempt 2005 model year Otto-cycle heavy-duty 
engines and vehicles from the requirements of this section if the 
manufacturer has selected Otto-cycle Option 3 and if the 2005 model year 
commences before July 31, 2004. For the purposes of calculating 
compliance with the phase-in provisions of this paragraph (k), heavy-
duty engines may be combined with heavy-duty vehicles subject to the 
phase-in requirements of paragraph Sec. 86.1806-05(l). The OBD 
Compliance phase-in table follows:

  OBD Compliance Phase-in for Heavy-Duty Engines Intended for Use in a
         Heavy-Duty Vehicle Weighing 14,000 Pounds GVWR or Less
------------------------------------------------------------------------
                               Otto-cycle phase-in     Diesel Phase-in
         Model year            based on projected    based on projected
                                      sales                 sales
------------------------------------------------------------------------
2004 MY.....................  Applicable only to    ....................
                               Otto-cycle engines
                               complying with
                               Options 1 or 2; 40%
                               compliance;
                               alternative fuel
                               waivers available.
2005 MY.....................  60% compliance;       50% compliance;
                               alternative fuel      alternative fuel
                               waivers available.    waivers available.
2006 MY.....................  80% compliance;       50% compliance;
                               alternative fuel      alternative fuel
                               waivers available.    waivers available.
2007 MY.....................  80% compliance;       100% compliance.
                               alternative fuel
                               waivers available.
2008+ MY....................  100% compliance.....  100% compliance.
------------------------------------------------------------------------


[65 FR 59951, Oct. 6, 2000, as amended at 66 FR 5160, Jan. 18, 2001]



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 HDEs. 
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) Non-Methane Hydrocarbons (NMHC) for engines fueled with 
either diesel fuel, natural gas, or liquefied petroleum gas. 0.14 grams 
per brake horsepower-hour (0.052 grams per megajoule).
    (B) Non-Methane Hydrocarbon Equivalent (NMHCE) for engines fueled 
with methanol. 0.14 grams per brake horsepower-hour (0.052 grams per 
megajoule).
    (iii) Carbon monoxide. (A) 15.5 grams per brake horsepower-hour 
(5.77 grams per megajoule).
    (B) 0.50 percent of exhaust gas flow at curb idle (methanol-, 
natural gas-, and liquefied petroleum gas-fueled diesel HDEs only). This 
does not apply for vehicles certified to the requirements of 
Sec. 86.005-17
    (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

[[Page 70]]

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 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. 86.007-23(c)(2).
    (3) SET (i) The weighted average exhaust emissions, as determined 
under Sec. 86.1360-2007(e)(5) pertaining to the supplemental emission 
test cycle, for each regulated pollutant shall not exceed 1.0 times the 
applicable emission standards or FELs specified in paragraph (a)(1) of 
this section.
    (ii) For engines not having a NOX FEL less than1.5 g/bhp-
hr, gaseous exhaust emissions shall not exceed the steady-state 
interpolated values determined by the Maximum Allowable Emission Limits 
(for the corresponding speed and load), as determined under 
Sec. 86.1360-2007(f), when the engine is operated in the steady-state 
control area defined under Sec. 86.1360-2007(d).
    (4) NTE (i)(A) The brake-specific exhaust NMHC or NOX 
emissions in g/bhp-hr, as determined under Sec. 86.1370-2007 pertaining 
to the not-to-exceed test procedures, shall not exceed 1.5 times the 
applicable NMHC or NOX emission standards or FELs specified 
in paragraph (a)(1) of this section, during engine and vehicle operation 
specified in paragraph (a)(4)(ii) of this section except as noted in 
paragraph (a)(4)(iii) of this section.
    (B) For engines not having a NOX FEL less than1.50 g/bhp-
hr, the brake-specific NOX and NMHC exhaust emissions in g/
bhp-hr, as determined under Sec. 86.1370-2007 pertaining to the not-to-
exceed test procedures, shall not exceed 1.25 times the applicable 
emission standards or FELs specified in paragraph (a)(1) of this section 
(or of Sec. 86.004-11, as allowed by paragraph (g) of this section), 
during engine and vehicle operation specified in paragraph (a)(4)(ii) of 
this section except as noted in paragraph (a)(4)(iii) of this section.
    (C) The brake-specific exhaust PM emissions in g/bhp-hr, as 
determined under Sec. 86.1370-2007 pertaining to the not-to-exceed test 
procedures, shall not exceed 1.5 times the applicable PM emission 
standards or FEL (for FELs above the standard only) specified in 
paragraph (a)(1) of this section, during engine and vehicle operation 
specified in paragraph (a)(4)(ii) of this section except as noted in 
paragraph (a)(4)(iii) of this section.
    (D) The brake-specific exhaust CO emissions in g/bhp-hr, as 
determined under Sec. 86.1370-2007 pertaining to the not-to-exceed test 
procedures, shall not exceed 1.25 times the applicable CO emission 
standards or FEL specified in paragraph (a)(1) of this section, during 
engine and vehicle operation specified in paragraph (a)(4)(ii) of this 
section except as noted in paragraph (a)(4)(iii) of this section.
    (ii) For each engine family, the not-to-exceed emission limits must 
apply during one of the following two ambient operating regions:
    (A) The not-to-exceed limits apply for all altitudes less than or 
equal to 5,500 feet above sea-level, during all ambient conditions 
(temperature and humidity). Temperature and humidity ranges for which 
correction factors are allowed are specified in Sec. 86.1370-2007(e); or
    (B)(1) The not-to-exceed emission limits apply at all altitudes less 
than or equal to 5,500 feet above sea-level, for temperatures less than 
or equal to the temperature determined by the following equation at the 
specified altitude:

T = -0.00254  x  A + 100

Where:

T = ambient air temperature in degrees Fahrenheit.
A = altitude in feet above sea-level (A is negative for altitudes below 
sea-level).

    (2) Temperature and humidity ranges for which correction factors are 
allowed are specified in Sec. 86.1370-2007(e);
    (iii) For engines equipped with exhaust gas recirculation, the not-
to-exceed emission limits specified in paragraph (a)(4)(i) of this 
section do not apply to engine or vehicle operation during cold 
operating conditions as specified in Sec. 86.1370-2007(f).

[[Page 71]]

    (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 a engine model and/or horsepower rating 
basis within an engine family, and each approval is applicable for a 
single model year. A manufacturer's application must include a 
description of the auxiliary emission control device(s) which will be 
used to maintain emissions to the lowest practical level, considering 
the deficiency being requested, if applicable. An application for a 
deficiency must be made during the certification process; no deficiency 
will be granted to retroactively cover engines already certified.
    (B) Unmet requirements should not be carried over from the previous 
model year except where unreasonable hardware or software modifications 
would be necessary to correct the deficiency, and the manufacturer has 
demonstrated an acceptable level of effort toward compliance as 
determined by the Administrator. The NTE deficiency should only be seen 
as an allowance for minor deviations from the NTE requirements. The NTE 
deficiency provisions allow a manufacturer to apply for relief from the 
NTE emission requirements under limited conditions. EPA expects that 
manufacturers should have the necessary functioning emission control 
hardware in place to comply with the NTE.
    (C) For model years 2010 through 2013, the Administrator may allow 
up to three deficiencies per engine family. The provisions of paragraphs 
(a)(4)(iv)(A) and (B) of this section apply for deficiencies allowed by 
this paragraph (a)(4)(iv)(C). In determining whether to allow the 
additional deficiencies, the Administrator may consider any relevant 
factors, including the factors identified in paragraph (a)(4)(iv)(A) of 
this section. If additional deficiencies are approved, the Administrator 
may set any additional conditions that he/she determines to be 
appropriate.
    (v) The emission limits specified in paragraphs (a)(3) and (a)(4) of 
this section shall be rounded to the same number of significant figures 
as the applicable standards in paragraph (a)(1) of this section using 
ASTM E29-93a (Incorporated by reference at Sec. 86.1).
    (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) through 
(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

[[Page 72]]

all crankcase emission can be routed into a dilution tunnel (or other 
sampling system approved in advance by the Administrator), and must 
account for deterioration in crankcase emissions when determining 
exhaust deterioration factors. For the purpose of this paragraph (c), 
crankcase emissions that are routed to the exhaust upstream of exhaust 
aftertreatment during all operation are not considered to be 
``discharged directly into the ambient atmosphere.''
    (d) Every manufacturer of new motor vehicle engines subject to the 
standards prescribed in this section shall, prior to taking any of the 
actions specified in section 203(a)(1) of the Act, test or cause to be 
tested motor vehicle engines in accordance with applicable procedures in 
subpart I or N of this part to ascertain that such test engines meet the 
requirements of paragraphs (a), (b), (c), and (d) of this section.
    (e) [Reserved]. For guidance see Sec. 86.004-11.
    (f) (1) Model year 2007 and later diesel-fueled heavy-duty engines 
and vehicles for sale in Guam, American Samoa, or the Commonwealth of 
the Northern Mariana Islands shall be subject to the same standards and 
requirements as apply to 2006 model year diesel heavy-duty engines and 
vehicles, but only if the vehicle or engine bears a permanently affixed 
label stating:

    THIS ENGINE (or VEHICLE, as applicable) CONFORMS TO US EPA EMISSION 
STANDARDS APPLICABLE TO MODEL YEAR 2006. THIS ENGINE (or VEHICLE, as 
applicable) DOES NOT CONFORM TO US EPA EMISSION REQUIREMENTS IN EFFECT 
AT TIME OF PRODUCTION AND MAY NOT BE IMPORTED INTO THE UNITED STATES OR 
ANY TERRITORY OF THE UNITED STATES EXCEPT GUAM, AMERICAN SAMOA, OR THE 
COMMONWEALTH OF THE NORTHERN MARIANA ISLANDS.

    (2) The importation or sale of such a vehicle or engine for use at 
any location U.S. other than Guam, American Samoa, or the Commonwealth 
of the Northern Mariana Islands shall be considered a violation of 
section 203(a)(1) of the Clean Air Act. In addition, vehicles or vehicle 
engines subject to this exemption may not subsequently be imported or 
sold into any state or territory of the United States other than Guam, 
American Samoa, or Commonwealth of the Northern Mariana Islands.
    (g) Phase-in options. (1) For model years 2007, 2008, and 2009, 
manufacturers may certify some of their engine families to the combined 
NOX plus NMHC standard applicable to model year 2006 engines 
under Sec. 86.004-11, in lieu of the separate NOX and NMHC 
standards specified in paragraph (a)(1) of this section. These engines 
must comply with all other requirements applicable to model year 2007 
engines. The combined number of engines in the engine families certified 
to the 2006 combined NOX plus NMHC standard may not exceed 50 
percent of the manufacturer's U.S.-directed production of heavy-duty 
diesel motor vehicle engines for model year 2007, 2008, or 2009, except 
as explicitly allowed by this paragraph (g).
    (2)(i) Manufacturers certifying engines to all of the applicable 
standards listed in paragraph (a) and (c) of this section (without using 
credits) prior to model year 2007 may reduce the number of engines that 
are required to meet the standards listed in paragraph (a) of this 
section in model year 2007, 2008 and/or 2009, taking into account the 
phase-in option provided in paragraph (g)(1) of this section. For every 
two engines that are certified early, the manufacturer may reduce the 
number of engines that are required by paragraph (g)(1) of this section 
to meet standards listed in paragraph (a)(1) of this section by three 
engines. For example, if a manufacturer produces 100 heavy-duty diesel 
engines in 2006 that meet all of the applicable standards listed in 
paragraph (a) of this section, and it produced 10,000 heavy-duty diesel 
engines in 2007, then only 4,850 ((10,000)(0.50) - (100)(1.5)) of the 
engines would need to comply with the standards listed in paragraph (a) 
of this section.
    (ii) Manufacturers certifying engines to the PM standards listed in 
paragraph (a), and to all of the applicable standards in paragraph (c) 
of this section (without using credits) prior to model year 2007 may 
reduce the number of engines that are required to meet the PM standard 
listed in paragraph (a) of this section in model year

[[Page 73]]

2007, 2008 and/or 2009. For every two engines that are certified to the 
PM standard early, the manufacturer may reduce the number of engines 
that are otherwise required to meet the PM standard listed in paragraph 
(a)(1) of this section by three engines.
    (3) Manufacturers may initially base compliance with the phase-in 
requirements of paragraph (g)(1) or (g)(2) of this section on projected 
U.S.-directed production estimates. This is allowed for model year 2007 
and/or 2008. However, if a manufacturer's actual U.S. directed 
production volume of engines that comply with the model year 2007 
NOX and NMHC standards is less than the required amount, the 
shortfall (in terms of number of engines) must be made up prior to 2010. 
For example, if a manufacturer plans in good faith to produce 50 percent 
of its projected 10,000 2007 engines (i.e., 5,000 engines) in compliance 
with the 2007 NOX and NMHC standard, but is only able to 
produce 4,500 such engines of an actual 10,000 2007 engines, the 
manufacturer would need to produce an extra 500 engines in 2008 or 2009 
in compliance with the 2007 NOX and NMHC standard. The 
deficit allowed by this paragraph (g)(3) may not exceed 25 percent of 
the U.S. directed production volume.
    (4) Manufacturers certifying engines to a voluntary NOX 
standard of 0.10 g/bhp-hr (without using credits) in addition to all of 
the other applicable standards listed in paragraphs (a) and (c) of this 
section prior to model year 2007 may reduce the number of engines that 
are required to meet the standards listed in paragraph (a)(1) of this 
section in model year 2007, 2008 and/or 2009, taking into account the 
phase-in option provided in paragraph (g)(1) of this section. For every 
engine that is certified early under this provision, the manufacturer 
may reduce the number of engines that are required by paragraph (g)(1) 
of this section to meet the standards listed in paragraph (a)(1) of this 
section by two engines.
    (5) For engines certified under paragraph (g)(1) of this section to 
the NOX+NMHC standard in Sec. 86.004-11, the standards or 
FELs to which they are certified shall be used for the purposes of 
paragraphs (a)(3) and (a)(4) of this section.
    (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.

[65 FR 59954, Oct. 6, 2000, as amended at 66 FR 5161, Jan. 18, 2001]



Sec. 86.007-15  NOX and particulate averaging, trading, and banking for heavy-duty engines.

    Section 86.007-15 includes text that specifies requirements that 
differ from Sec. 86.004-15. Where a paragraph in Sec. 86.004-15 is 
identical and applicable to Sec. 86.007-15, this may be indicated by 
specifying the corresponding paragraph and the statement ``[Reserved]. 
For guidance see Sec. 86.004-15.''
    (a) through (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,

[[Page 74]]

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 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

[[Page 75]]

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. 86.007-11(a)(3)(ii), 
(a)(4)(i)(B), and (h)(1), and Sec. 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. 86.007-21  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) through (b)(3) [Reserved]. For guidance see Sec. 86.094-21.
    (b)(4)(i) [Reserved]. For guidance see Sec. 86.004-21.
    (b)(4)(ii) through (b)(5)(iv) [Reserved]. For guidance see 
Sec. 86.094-21.
    (b)(5)(v) through (b)(6) [Reserved]. For guidance see Sec. 86.004-
21.
    (b)(7) and (b)(8) [Reserved]. For guidance see Sec. 86.094-21.
    (b)(9) and (b)(10) [Reserved]. For guidance see Sec. 86.004-21.
    (c) through (j) [Reserved]. For guidance see Sec. 86.094-21.
    (k) and (l) [Reserved]. For guidance see Sec. 86.096-21.
    (m) and (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 steady-
state test conducted under Sec. 86.1360-2007:
    (1) Weighted brake-specific emissions data (i.e., in units of g/bhp-
hr), calculated according to Sec. 86.1360-2007(e)(5), for all pollutants 
for which an emission standard is established in Sec. 86.004-11(a);
    (2) Brake specific gaseous emission data for each of the 13 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) Concentrations and mass flow rates of all regulated gaseous 
emissions plus carbon dioxide;
    (4) Values of all emission-related engine control variables at each 
test point;
    (5) Weighted break-specific particulate matter (i.e., in units of g/
bhp-hr);
    (6) A statement that the test results correspond to the maximum 
NOX producing condition specified in Sec. 86.1360-2007(e)(4). 
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;
    (7) 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. 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

[[Page 76]]

manufacturer must provide such information to the Administrator upon 
request.
    (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. 86.007-
11(a)(4)(iii) and Sec. 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.

[65 FR 59954, Oct. 6, 2000]



Sec. 86.007-23  Required data.

    Section 86.007-23 includes text that specifies requirements that 
differ from Sec. 86.095-23, Sec. 86.098-23, or Sec. 86.001-23. Where a 
paragraph in Sec. 86.095-23, 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. 86.095-23.'', ``[Reserved]. For guidance see 
Sec. 86.098-23.'', or ``[Reserved]. For guidance see Sec. 86.001-23.''.
    (a) through (b)(1) [Reserved]. For guidance see Sec. 86.098-23.
    (b)(2) [Reserved]. For guidance see Sec. 86.001-23.
    (b)(3) and (b)(4) [Reserved]. For guidance see Sec. 86.098-23.
    (c) Emission data.--(1) Certification vehicles. The manufacturer 
shall submit emission data (including, methane, methanol, formaldehyde, 
and hydrocarbon equivalent, as applicable) on such vehicles tested in 
accordance with applicable test procedures and in such numbers as 
specified. These data shall include zero-mile data, if generated, and 
emission data generated for certification as required under Sec. 86.000-
26(a)(3). In lieu of providing emission data the Administrator may, on 
request of the manufacturer, allow the manufacturer to demonstrate (on 
the basis of previous emission tests, development tests, or other 
information) that the engine will conform with certain applicable 
emission standards of this part. Standards eligible for such 
manufacturer requests are those for idle CO emissions, smoke emissions, 
or particulate emissions from methanol-fueled or gaseous-fueled diesel-
cycle certification vehicles, those for particulate emissions from Otto-
cycle certification vehicles or gaseous-fueled vehicles, and those for 
formaldehyde emissions from petroleum-fueled vehicles. Also eligible for 
such requests are standards for total hydrocarbon emissions from model 
year 1994 and later certification vehicles. By separate request, 
including appropriate supporting test data, the manufacturer may request 
that the Administrator also waive the requirement to measure particulate 
or formaldehyde emissions

[[Page 77]]

when conducting Selective Enforcement Audit testing of Otto-cycle 
vehicles.
    (2) Certification engines. The manufacturer shall submit emission 
data on such engines tested in accordance with applicable emission test 
procedures of this subpart and in such numbers as specified. These data 
shall include zero-hour data, if generated, and emission data generated 
for certification as required under Sec. 86.000-26(c)(4). In lieu of 
providing emission data on idle CO emissions or particulate emissions 
from methanol-fueled or gaseous-fueled diesel-cycle certification 
engines, on particulate emissions from Otto-cycle engines, or on CO 
emissions from diesel-cycle certification engines, the Administrator 
may, on request of the manufacturer, allow the manufacturer to 
demonstrate (on the basis of previous emission tests, development tests, 
or other information) that the engine will conform with the applicable 
emission standards of this part. In lieu of providing emission data on 
smoke emissions from methanol-fueled or petroleum-fueled diesel 
certification engines, the Administrator may, on the request of the 
manufacturer, allow the manufacturer to demonstrate (on the basis of 
previous emission tests, development tests, or other information) that 
the engine will conform with the applicable emissions standards of this 
part. In lieu of providing emissions data on smoke emissions from 
diesel-cycle engines when conducting Selective Enforcement Audit testing 
under subpart K of this part, the Administrator may, on separate request 
of the manufacturer, allow the manufacturer to demonstrate (on the basis 
of previous emission tests, development tests, or other information) 
that the engine will conform with the applicable smoke emissions 
standards of this part .
    (d) through (e)(1) [Reserved]. For guidance see Sec. 86.098-23.
    (e)(2) and (e)(3) [Reserved]. For guidance see Sec. 86.001-23.
    (f) through (g) [Reserved]. For guidance see Sec. 86.095-23.
    (h) through (k) [Reserved]. For guidance see Sec. 86.098-23.
    (l) [Reserved]. For guidance see Sec. 86.095-23.
    (m) [Reserved]. For guidance see Sec. 86.098-23.

[66 FR 5164, Jan. 18, 2001]



Sec. 86.007-25  Maintenance.

    Section 86.007-25 includes text that specifies requirements that 
differ from Sec. 86.094-25, Sec. 86.098-25, or Sec. 86.004-25. Where a 
paragraph in Sec. 86.094-25, Sec. 86.098-25, or Sec. 86.004-25 is 
identical and applicable to Sec. 86.007-25, this may be indicated by 
specifying the corresponding paragraph and the statement ``[Reserved]. 
For guidance see Sec. 86.094-25.'', ``[Reserved]. For guidance see 
Sec. 86.098-25.'', or ``[Reserved]. For guidance see Sec. 86.004-25.''.
    (a) through (a)(2) [Reserved]. For guidance see Sec. 86.004-25.
    (b) introductory text through (b)(3)(ii) [Reserved]. For guidance 
see Sec. 86.094-25.
    (b)(3)(iii) through (b)(3)(v)(H) [Reserved]. For guidance see 
Sec. 86.004-25.
    (b)(3)(vi)(A) through (b)(3)(vi)(D) [Reserved]. For guidance see 
Sec. 86.094-25.
    (b)(3)(vi)(E) through (b)(3)(vi)(J) [Reserved]. For guidance see 
Sec. 86.098-25.
    (b)(4) introductory text through (b)(4)(iii)(C) [Reserved]. For 
guidance see Sec. 86.004-25.
    (b)(4)(iii)(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).
    (b)(4)(iii)(E) [Reserved]. For guidance see Sec. 86.004-25.
    (F) Catalytic converter (adjustment and cleaning only for catalyst 
beds, replacement of the bed is not allowed during the useful life).
    (b)(4)(iii)(G) through (b)(6) [Reserved]. For guidance see 
Sec. 86.004-25.
    (b)(7) through (h) [Reserved]. For guidance see Sec. 86.094-25.
    (i) Notwithstanding the provisions of Sec. 86.004-25(b)(4)(iii) 
introductory text through (b)(4)(iii)(C), paragraph (b)(4)(iii)(D) of 
this section, Sec. 86.004-25(b)(4)(iii)(E), paragraph (b)(4)(iii)(F) of 
this section, Sec. 86.004-25(b)(4)(iii)(G), and Sec. 86.004-25(b)(6), 
manufacturers of heavy-duty engines may schedule replacement or repair 
of particulate trap (or trap oxidizer) systems or catalytic converters 
(including NOX adsorbers), provided:

[[Page 78]]

    (1) The manufacturer demonstrates to the Administrator's 
satisfaction that the repair or replacement will be performed according 
to the schedule; and
    (2) The manufacturer pays for the repair or replacement.

[66 FR 5164, Jan. 18, 2001]



Sec. 86.007-35  Labeling.

    Section 86.007-35 includes text that specifies requirements that 
differ from Sec. 86.095-35. Where a paragraph in Sec. 86.095-35 is 
identical and applicable to Sec. 86.007-35, this may be indicated by 
specifying the corresponding paragraph and the statement ``[Reserved]. 
For guidance see Sec. 86.095-35.''.
    (a) Introductory text through (a)(1)(iii)(L) [Reserved]. For 
guidance see Sec. 86.095-35.
    (a)(1)(iii)(M) [Reserved.]
    (a)(1)(iii)(N)(1) For vehicles exempted from compliance with certain 
revised performance warranty procedures, as specified in Sec. 86.096-
21(j), a statement indicating the specific performance warranty test(s) 
of 40 CFR part 85, subpart W, not to be performed.
    (2) For vehicles exempted from compliance with all revised 
performance warranty procedures, as specified in Sec. 86.096-21(k), a 
statement indicating:
    (i) That none of the performance warranty tests of 40 CFR part 85, 
subpart W, is to be performed; and
    (ii) The name of the Administrator-approved alternative test 
procedure to be performed.
    (2) Light-duty truck and heavy-duty vehicles optionally certified in 
accordance with the light-duty truck provisions.
    (i) A legible, permanent label shall be affixed in a readily visible 
position in the engine compartment.
    (ii) The label shall be affixed by the vehicle manufacturer who has 
been issued the certificate of conformity for such vehicle, in such a 
manner that it cannot be removed without destroying or defacing the 
label. The label shall not be affixed to any equipment which is easily 
detached from such vehicle.
    (iii) The label shall contain the following information lettered in 
the English language in block letters and numerals, which shall be of a 
color that contrasts with the background of the label:
    (A) The label heading: Important Vehicle Information;
    (B) Full corporate name and trademark of the manufacturer;
    (C) Engine displacement (in cubic inches or liters), engine family 
identification, and evaporative/refueling family;
    (a)(2)(iii)(D) through (a)(2)(iii)(E) [Reserved]. For guidance see 
Sec. 86.095-35.
    (a)(2)(iii)(F) [Reserved]
    (a)(2)(iii)(G) through (a)(2)(iii)(K) [Reserved]. For guidance see 
Sec. 86.095-35.
    (a)(2)(iii)(L) [Reserved]
    (a)(2)(iii)(M) through (a)(2)(iii)(N) [Reserved]. For guidance see 
Sec. 86.095-35.
    (a)(2)(iii)(O)(l) For vehicles exempted from compliance with certain 
revised performance warranty procedures, as specified in Sec. 86.096-
21(j), a statement indicating the specific performance warranty test(s) 
of 40 CFR part 85, subpart W, not to be performed.
    (2) For vehicles exempted from compliance with all revised 
performance warranty procedures, as specified in Sec. 86.096-21(k), a 
statement indicating:
    (i) That none of the performance warranty tests of 40 CFR part 85, 
subpart W, is to be performed, and
    (ii) The name of the Administrator-approved alternative test 
procedure to be performed.
    (a)(3) heading through (b) [Reserved]. For guidance see Sec. 86.095-
35.
    (c) Model year 2007 and later diesel-fueled vehicles must include 
permanent readily visible labels on the dashboard (or instrument panel) 
and near all fuel inlets that state ``Use Low-Sulfur Diesel Fuel Only'' 
or ``Low-Sulfur Diesel Fuel Only''.
    (d) through (i) [Reserved]. For guidance see Sec. 86.095-35.

[66 FR 5165, Jan. 18, 2001]



Sec. 86.007-38  Maintenance instructions.

    Section 86.007-38 includes text that specifies requirements that 
differ from those specified in Sec. 86.094-38 or Sec. 86.004-38. Where a 
paragraph in Sec. 86.094-38 or Sec. 86.004-38 is identical and 
applicable to Sec. 86.007-38, this may be indicated by specifying the 
corresponding paragraph and the statement ``[Reserved]. For guidance see 
Sec. 86.094-38.'', or ``[Reserved]. For guidance see Sec. 86.004-38.''.

[[Page 79]]

    (a) through (f) [Reserved]. For guidance see Sec. 86.004-38.
    (g) [Reserved]. For guidance see Sec. 86.094-38.
    (h) [Reserved]. For guidance see Sec. 86.004-38.
    (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 low sulfur diesel fuel 
(that is, diesel fuel meeting EPA specifications for highway diesel 
fuel, including a 15 ppm sulfur cap).''

[66 FR 5165, Jan. 18, 2001]



Sec. 86.008-10  Emission standards for 2008 and later model year Otto-cycle heavy-duty engines and vehicles.

    Section 86.008-10 includes text that specifies requirements that 
differ from Sec. 86.098-10, Sec. 86.099-10, Sec. 86.005-10. Where a 
paragraph in Sec. 86.098-10, Sec. 86.099-10, or Sec. 86.005-10 is 
identical and applicable to Sec. 86.008-10, this may be indicated by 
specifying the corresponding paragraph and the statement ``[Reserved]. 
For guidance see Sec. 86.098-10.'', ``[Reserved]. For guidance see 
Sec. 86.099-10.'', or ``[Reserved]. For guidance see Sec. 86.005-10.''.
    (a)(1) Exhaust emissions from new 2008 and later model year Otto-
cycle HDEs 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).
    (a)(1)(i)(C) through (a)(3)(ii) [Reserved]. For guidance see 
Sec. 86.005-10.
    (4) [Reserved]
    (b) [Reserved]. For guidance see Sec. 86.099-10.
    (c) [Reserved]. For guidance see Sec. 86.098-10.
    (d) [Reserved]. For guidance see Sec. 86.005-10.
    (e) [Reserved]. For guidance see Sec. 86.099-10.
    (f) [Reserved]

[65 FR 59955, Oct. 6, 2000]

    Editorial Note: At 66 FR 5165, Jan. 18, 2001, Sec. 86.008-10 was 
added. However, Sec. 86.008-10 already existed. For the convenience of 
the user, the second Sec. 86.008-10 is set forth as follows:

Sec. 86.008-10  Emission standards for 2008 and later model year Otto-
          cycle heavy-duty engines and vehicles.

    Section 86.008-10 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. 86.008-10, 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 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) Non-methane Hydrocarbons (NMHC) for engines fueled with 
either gasoline, natural gas, or liquefied petroleum gas. 0.14 grams per 
brake horsepower-hour (0.052 grams per megajoule).
    (B) Non-methane Hydrocarbon Equivalent (NMHCE) for engines fueled 
with methanol. 0.14 grams per brake horsepower-hour (0.052grams per 
megajoule).
    (C) A manufacturer may elect to include any or all of its Otto-cycle 
HDE families in any or all of the 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 NMHC 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 NMHC FEL cap 
is 0.40 for model years before 2011 for manufacturers choosing to 
certify to the 1.5 g/bhp-hr NOX+NMHC in 2004, as allowed in 
Sec. 86.005-10.

[[Page 80]]

    (iii)(A) Carbon monoxide. 14.4 grams per brake horsepower-hour (5.36 
grams per megajoule).
    (B) 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.
    (iv) Particulate. 0.01grams 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.
    (3) [Reserved]
    (4) [Reserved]
    (b) Evaporative emissions from heavy-duty vehicles shall not exceed 
the following standards. The standards apply equally to certification 
and in-use vehicles. The spitback standard also applies to newly 
assembled vehicles. For certification vehicles only, manufacturers may 
conduct testing to quantify a level of nonfuel background emissions for 
an individual test vehicle. Such a demonstration must include a 
description of the source(s) of emissions and an estimated decay rate. 
The demonstrated level of nonfuel background emissions may be subtracted 
from emission test results from certification vehicles if approved in 
advance by the Administrator.
    (1) Hydrocarbons (for vehicles equipped with gasoline-fueled, 
natural gas-fueled or liquefied petroleum gas-fueled engines).
    (i) For vehicles with a Gross Vehicle Weight Rating of up to 14,000 
lbs:
    (A)(1) For the full three-diurnal test sequence described in 
Sec. 86.1230-96, diurnal plus hot soak measurements: 1.4 grams per test.
    (2) For the supplemental two-diurnal test sequence described in 
Sec. 86.1230-96, diurnal plus hot soak measurements (gasoline-fueled 
vehicles only): 1.75 grams per test.
    (B) Running loss test (gasoline-fueled vehicles only): 0.05 grams 
per mile.
    (C) Fuel dispensing spitback test (gasoline-fueled vehicles only): 
1.0 grams per test.
    (ii) For vehicles with a Gross Vehicle Weight Rating of greater than 
14,000 lbs:
    (A)(1) For the full three-diurnal test sequence described in 
Sec. 86.1230-96, diurnal plus hot soak measurements: 1.9 grams per test.
    (2) For the supplemental two-diurnal test sequence described in 
Sec. 86.1230-96, diurnal plus hot soak measurements (gasoline-fueled 
vehicles only): 2.3 grams per test.
    (B) Running loss test (gasoline-fueled vehicles only): 0.05 grams 
per mile.
    (2) Total Hydrocarbon Equivalent (for vehicles equipped with 
methanol-fueled engines).
    (i) For vehicles with a Gross Vehicle Weight Rating of up to 14,000 
lbs:
    (A)(1) For the full three-diurnal test sequence described in 
Sec. 86.1230-96, diurnal plus hot soak measurements: 1.4 grams carbon 
per test.
    (2) For the supplemental two-diurnal test sequence described in 
Sec. 86.1230-96, diurnal plus hot soak measurements: 1.75 grams carbon 
per test.
    (B) Running loss test: 0.05 grams carbon per mile.
    (C) Fuel dispensing spitback test: 1.0 grams carbon per test.
    (ii) For vehicles with a Gross Vehicle Weight Rating of greater than 
14,000 lbs:
    (A)(1) For the full three-diurnal test sequence described in 
Sec. 86.1230-96, diurnal plus hot soak measurements: 1.9 grams carbon 
per test.
    (2) For the supplemental two-diurnal test sequence described in 
Sec. 86.1230-96, diurnal plus hot soak measurements: 2.3 grams carbon 
per test.
    (B) Running loss test: 0.05 grams carbon per mile.
    (3)(i) For vehicles with a Gross Vehicle Weight Rating of up to 
26,000 lbs, the standards set forth in paragraphs (b)(1) and (b)(2) of 
this section refer to a composite sample of evaporative emissions 
collected under the conditions and measured in accordance with the 
procedures set forth in subpart M of this part.
    (ii) For vehicles with a Gross Vehicle Weight Rating of greater than 
26,000 lbs., the standards set forth in paragraphs (b)(1)(ii) and 
(b)(2)(ii) of this section refer to the manufacturer's engineering 
design evaluation using good engineering practice (a statement of which 
is required in Sec. 86.098-23(b)(4)(ii)).
    (4) All fuel vapor generated in a gasoline- or methanol-fueled 
heavy-duty vehicle during in-use operations shall be routed exclusively 
to the evaporative control system (e.g., either canister or engine 
purge). The only exception to this requirement shall be for emergencies.
    (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) [Reserved]. For guidance see Sec. 86.099-10.
    (f) Phase-in options. (1)(i) For model year 2008, manufacturers may 
certify some of their engine families to the exhaust standards 
applicable to model year 2007 engines under Sec. 86.005-10, in lieu of 
the exhaust standards specified in this section. These engines

[[Page 81]]

must comply with all other requirements applicable to model year 2008 
engines, except as allowed by paragraph (f)(1)(ii) of this section. The 
combined number of engines in the engine families certified to the 2007 
combined NOX plus NMHC standard may not exceed 50 percent of 
the manufacturer's U.S.-directed production of heavy-duty Otto-cycle 
motor vehicle engines for model year 2008, except as explicitly allowed 
by paragraph (f)(2) of this section.
    (ii) For model year 2008, manufacturers may certify some of their 
engine families to the evaporative standards applicable to model year 
2007 engines under Sec. 86.005-10, in lieu of the standards specified in 
this section. These engines must comply with all other requirements 
applicable to model year 2008 engines, except as allowed by paragraph 
(f)(1)(i) of this section. The combined number of engines in the engine 
families certified to the 2007 standards may not exceed 50 percent of 
the manufacturer's U.S.-directed production of heavy-duty Otto-cycle 
motor vehicle engines for model year 2008.
    (2)(i) Manufacturers certifying engines to all of the applicable 
exhaust standards listed in paragraph (a) of this section prior to model 
year 2008 (without using credits) may reduce the number of engines that 
are required to meet the NOX and NMHC exhaust standards 
listed in paragraph (a) of this section in model year 2008 and/or 2009, 
taking into account the phase-in option provided in paragraph (f)(1) of 
this section. For every engine that is certified early, the manufacturer 
may reduce the number of engines that are required by paragraph (f)(1) 
of this section to meet the NOX and NMHC standards listed in 
paragraph (a) of this section by one engine. For example, if a 
manufacturer produces 100 heavy-duty Otto-cycle engines in 2007 that 
meet all of the applicable standards listed in paragraph (a) of this 
section, and it produced 10,000 heavy-duty Otto-cycle engines in 2009, 
then only 9,900 of the engines would need to comply with the 
NOX and NMHC standards listed in paragraph (a) of this 
section.
    (ii) Manufacturers certifying engines to all of the applicable 
evaporative standards listed in paragraph (b) of this section prior to 
model year 2008 may reduce the number of engines that are required to 
meet the evaporative standards listed in paragraph (a) of this section 
in model year 2008 and/or 2009, taking into account the phase-in option 
provided in paragraph (f)(1) of this section. For every engine that is 
certified early, the manufacturer may reduce the number of engines that 
are required by paragraph (f)(1) of this section to meet evaporative 
standards listed in paragraph (b) of this section by one engine.
    (3) Manufacturers certifying engines to a voluntary NOX 
standard of 0.10 g/bhp-hr (without using credits) in addition to all of 
the applicable standards listed in paragraphs (a) and (b) of this 
section prior to model year 2008 may reduce the number of engines that 
are required to meet the NOX and NMHC standards listed in 
paragraph (a) of this section in model year 2008 and/or 2009, taking 
into account the phase-in option provided in paragraph (f)(1) of this 
section. For such every engine that is certified early, the manufacturer 
may reduce the number of engines that are required by paragraph (f)(1) 
of this section to meet the NOX and NMHC standards listed in 
paragraph (a) of this section by two engines.
    (g) 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 0.50 
g/bhp-hr, the applicable compliance limits for NOX and NMHC 
shall be determined by adding 0.10 g/bhp-hr to the otherwise applicable 
standards or FELs for NOX and NMHC.



Sec. 86.078-3  Abbreviations.

    (a) 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.
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.

[[Page 82]]

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.
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.
'--feet.
"--inch(es).
 deg.--degree(s).
--summation.

[42 FR 32907, June 28, 1977, as amended at 45 FR 4149, Jan. 21, 1980]



Sec. 86.078-6  Hearings on certification.

    (a)(1) After granting a request for a hearing under Sec. 86.084-22, 
Sec. 86.084-30(b), or Sec. 86.084-30(c), the Administrator shall 
designate a Presiding Officer for the hearing.
    (2) The General Counsel will represent the Environmental Protection 
Agency in any hearing under this section.
    (3) If a time and place for the hearing have not been fixed by the 
Administrator under Sec. 86.084.22, Sec. 86.084-30(b), or Sec. 86.084-
30(c), the hearing shall be held as soon as practicable at a time and 
place fixed by the Administrator or by the Presiding Officer.
    (4) In the case of any hearing requested pursuant to Sec. 86.078-
30(c)(5)(i), the Administrator may in his discretion direct that all 
argument and presentation of evidence be concluded within such fixed 
period not less than 30 days as he may establish from the date that the 
first written offer of a hearing is made to the manufacturer. To 
expedite proceedings, the Administrator may direct that the decision of 
the Presiding Officer (who may, but need not be the Administrator 
himself) shall be the final EPA decision.
    (b)(1) Upon his appointment pursuant to paragraph (a) of this 
section, the Presiding Officer will establish a hearing file. The file 
shall consist of the notice issued by the Administrator under 
Sec. 86.084-22, Sec. 86.084-30(b), or Sec. 86.084-30(c) together with 
any accompanying material, the request for a hearing and the supporting 
data submitted therewith, and all documents relating to the request for 
certification and all documents submitted therewith, and correspondence 
and other data material to the hearing.
    (2) The hearing file will be available for inspection by the 
applicant at the office of the Presiding Officer.
    (c) An applicant may appear in person, or may be represented by 
counsel or by any other duly authorized representative.
    (d)(1) The Presiding Officer upon the request of any party, or in 
his discretion, may arrange for a prehearing conference at a time and 
place specified by him to consider the following:
    (i) Simplification of the issues;
    (ii) Stipulations, admissions of fact, and the introduction of 
documents;
    (iii) Limitation of the number of expert witnesses;

[[Page 83]]

    (iv) Possibility of agreement disposing of all or any of the issues 
in dispute;
    (v) Such other matters as may aid in the disposition of the hearing, 
including such additional tests as may be agreed upon by the parties.
    (2) The results of the conference shall be reduced to writing by the 
Presiding Officer and made part of the record.
    (e)(1) Hearings shall be conducted by the Presiding Officer in an 
informal but orderly and expeditious manner. The parties may offer oral 
or written evidence, subject to the exclusion by the Presiding Officer 
of irrelevant, immaterial and repetitious evidence.
    (2) Witnesses will not be required to testify under oath. However, 
the Presiding Officer shall call to the attention of witnesses that 
their statements may be subject to the provisions of title 18 U.S.C. 
1001 which imposes penalties for knowingly making false statements or 
representations, or using false documents in any matter within the 
jurisdiction of any department or agency of the United States.
    (3) Any witness may be examined or cross-examined by the Presiding 
Officer, the parties, or their representatives.
    (4) Hearings shall be reported verbatim. Copies of transcripts of 
proceedings may be purchased by the applicant from the reporter.
    (5) All written statements, charts, tabulations, and similar data 
offered in evidence at the hearings shall, upon a showing satisfactory 
to the Presiding Officer of their authenticity, relevancy, and 
materiality, be received in evidence and shall constitute a part of the 
record.
    (6) Oral argument may be permitted in the discretion of the 
Presiding Officer and shall be reported as part of the record unless 
otherwise ordered by him.
    (f)(1) The Presiding Officer shall make an initial decision which 
shall include written findings and conclusions and the reasons or basis 
therefor on all the material issues of fact, law, or discretion 
presented on the record. The findings, conclusions, and written decision 
shall be provided to the parties and made a part of the record. The 
initial decision shall become the decision of the Administrator without 
further proceedings unless there is an appeal to the Administrator or 
motion for review by the Administrator within 20 days of the date the 
initial decision was filed.
    (2) On appeal from or review of the initial decision the 
Administrator shall have all the powers which he would have in making 
the initial decision including the discretion to require or allow 
briefs, oral argument, the taking of additional evidence or the 
remanding to the Presiding Officer for additional proceedings. The 
decision by the Administrator shall include written findings and 
conclusions and the reasons or basis therefor on all the material issues 
of fact, law, or discretion presented on the appeal or considered in the 
review.

[42 FR 32907, June 28, 1977, as amended at 49 FR 48479, Dec. 12, 1984]



Sec. 86.079-31  Separate certification.

    Where possible a manufacturer should include in a single application 
for certification all vehicles (or engines) for which certification is 
required. A manufacturer may, however, choose to apply separately for 
certification of part of his product line. The selection of test 
vehicles (or test engines) and the computation of test results will be 
determined separately for each application.

[42 FR 45149, Sept. 8, 1977]



Sec. 86.079-32  Addition of a vehicle or engine after certification.

    (a) If a manufacturer proposes to add to his product line a vehicle 
(or engine) of the same engine-system combination as vehicles (or 
engines) previously certified but which was not described in the 
application for certification 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

[[Page 84]]

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. 86.079-36  Submission of vehicle identification numbers.

    (a) Upon request of the Administrator, the manufacturer of any 
light-duty vehicle or light-duty truck covered by a certificate of 
conformity shall, within 30 days, identify by vehicle identification 
number, the vehicle(s) covered by the certificate of conformity.
    (b) The manufacturer of any light-duty vehicle or light-duty truck 
covered by a certificate of conformity shall provide to the 
Administrator, within 60 days of the issuance of a certificate of 
conformity, an explanation of the elements in any vehicle identification 
coding system in sufficient detail to enable the Administrator to 
identify those vehicles which are covered by a certificate of 
conformity.

[43 FR 52920, Nov. 14, 1978]



Sec. 86.079-39  Submission of maintenance instructions.

    (a) The manufacturer shall provide to the Administrator, no later 
than the time of the submission required by Sec. 86.079-23, a copy of 
the maintenance instructions which the manufacturer proposes to supply 
to the ultimate purchaser in accordance with Sec. 86.079-38(a). The 
Administrator will review such instructions to determine whether they 
are reasonable and necessary to assure the proper functioning of the 
vehicle's (or engine's) emission control systems. The Administrator will 
notify the manufacturer of his determination whether such instructions 
are reasonable and necessary to assure the proper functioning of the 
emission control systems.
    (b) Any revision to the maintenance instructions which will affect 
emissions shall be supplied to the Administrator at least 30 days before 
being supplied to the ultimate purchaser unless the Administrator 
consents to a lesser period of time.

[42 FR 45151, Sept. 8, 1977]



Sec. 86.080-12  Alternative certification procedures.

    (a)(1) The Administrator will determine which of the following 
certification procedures (paragraph (a)(3) or (a)(4) of this section) 
may be used to

[[Page 85]]

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.
    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

[[Page 86]]

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 calibration, distributor calibration, auxiliary 
emission control devices, and other engine and emission control system 
components specified by the Administrator.

[[Page 87]]

    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 83.3plus-minus1 
kilopascals.
    High-altitude reference point means an elevation of 1,620 meters 
(5,315 feet) plus or minus 100 meters (328 feet), or equivalent observed 
barometric test conditions of 83.3 kPa (24.2 inches Hg), plus or minus 1 
kPa (0.30 Hg).
    Hot-soak losses means evaporative emissions after termination of 
engine operation.
    Incomplete truck means any truck which does not have the primary 
load carrying device or container attached.
    Inertia weight class means the class, which is a group of test 
weights, into which a vehicle is grouped based on its loaded vehicle 
weight in accordance with the provisions of part 86.
    Intermediate speed means peak torque speed if peak torque speed 
occurs between 60 and 75 percent of rated speed. If the peak torque 
speed is less than 60 percent of rated speed, intermediate speed means 
60 percent of rated speed. If the peak torque speed is greater than 75 
percent of rated speed, intermediate speed means 75 percent of rated 
speed.
    Light-duty truck means any motor vehicle rated at 8,500 pounds GVWR 
or less which as a vehicle curb weight of 6,000 pounds or less and which 
has a basic vehicle frontal area of 45 square feet or less, which is:
    (1) Designed primarily for purposes of transportation of property or 
is a derivation of such a vehicle, or

[[Page 88]]

    (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.
    Running loss means fuel evaporative emissions resulting from an 
average trip in an urban area or the simulation of such a trip.
    Scheduled maintenance means any adjustment, repair, removal, 
disassembly, cleaning, or replacement of vehicle components or systems 
which is performed on a periodic basis to prevent part failure or 
vehicle (if the engine were installed in a vehicle) malfunction.
    Smoke means the matter in the exhaust emission which obscures the 
transmission of light.
    Span gas means a gas of known concentration which is used routinely 
to set the output level of an analyzer.
    Standard equipment means those features or equipment which are 
marketed on a vehicle over which the purchaser can exercise no choice.
    System includes any motor vehicle engine modification which controls 
or causes the reduction of substances emitted from motor vehicles.
    Tank fuel volume means the volume of fuel in the fuel tank(s), which 
is determined by taking the manufacturer's nominal fuel tank(s) capacity 
and multiplying by 0.40, the result being rounded using ASTM E 29-67 to 
the nearest tenth of a U.S. gallon.
    Test weight means the weight, within an inertia weight class, which 
is used

[[Page 89]]

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.
    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, and 47 FR 49807, 49808, Nov. 2, 1982; 62 FR 
31233, June 6, 1997]



Sec. 86.082-34  Alternative procedure for notification of additions and changes.

    (a) A manufacturer may, in lieu of notifying the Administrator in 
advance of an addition of a vehicle (or engine) under Sec. 86.079-32 or 
a change in a vehicle (or engine) under Sec. 86.079-33, notify the 
Administrator concurrently with making an addition of a vehicle or a 
change in a vehicle, if the manufacturer determines that following the 
change all vehicles (or engines) effected by the addition or change will 
still meet the applicable emission standards. Such notification shall 
include a full description of the addition or change and any supporting 
documentation the manufacturer may desire to include to support the 
manufacturer's determination. The manufacturer's determination that the 
addition or change does not cause noncompliance shall be based on an 
engineering evaluation of the addition or change and/or testing.
    (b) The Administrator may require that additional emission testing 
be performed to support the manufacturers original determination 
submitted in paragraph (a) of this section. If additional testing is 
required the Administrator shall proceed as in Sec. 86.079-32 (b)

[[Page 90]]

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, and 47 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 either Sec. 86.1341 or Sec. 86.884-7 but not sufficient 
to permit adjustment in accordance with Sec. 86.085-25.)
    Departure angle means the smallest angle, in a plan side view of an 
automobile, formed by the level surface on which the automobile is 
standing and a line tangent to the rear tire static loaded radius arc 
and touching the underside of the automobile rearward of the rear tire.
    Emission-related maintenance means that maintenance which does 
substantially affect emissions or which is likely to affect the 
deterioration of the vehicle or engine with respect to emissions, even 
if the maintenance is performed at some time other than that which is 
recommended.
    Heavy-passenger cars means, for the 1984 model year only, a 
passenger car or passenger car derivative capable of seating 12 
passengers or less, rated at 6,000 pounds GVW or more and having an 
equivalent test weight of 5,000 pounds or more.
    Non-emission related maintenance means that maintenance which does 
not substantially affect emissions and which does not have a lasting 
effect on the deterioration of the vehicle or engine with respect to 
emissions once the maintenance is performed at any particular date.
    Scheduled maintenance means any adjustment, repair, removal, 
disassembly, cleaning, or replacement of vehicle components or systems 
which is performed on a periodic basis to prevent

[[Page 91]]

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.
    (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

[[Page 92]]

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]



Sec. 86.084-4  Section numbering; construction.

    (a) Section numbering. (1) 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.
    Examples: Section 86.077-6 applies to the 1977 and subsequent model 
years until superseded. If a Sec. 86.080-6 is promulgated it would take 
effect with the 1980 model year; Sec. 86.077-6 would not apply after the 
1979 model year. Section 86.077-10 would be replaced by Sec. 86.078-10 
beginning with the 1978 model year.
    (2) Where a section still in effect references a section that has 
been superseded, the reference shall be interpreted to mean the 
superseding section.
    (b) A section reference without a model year suffix refers to the 
section applicable for the appropriate model year.
    (c) Construction. 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.

[45 FR 63747, Sept. 25, 1980, as amended at 59 FR 48492, Sept. 21, 1994]



Sec. 86.084-40  Automatic expiration of reporting and recordkeeping requirements.

    (a) [Reserved]
    (b) Light-duty trucks and heavy-duty engines. (1) All of the 
recordkeeping and reporting requirements in this subpart for which 1984 
is the first model year of implementation will automatically expire on 
December 31, 1988, unless the Administrator acts to retain them.
    (2) If the Administrator determines that the reporting and 
recordkeeping requirements should be retained she/he will also at that 
time establish the subsequent date of expiration, which will not be 
later than December 31, 1993.

[45 FR 63770, Sept. 25, 1980]



Sec. 86.085-1  General applicability.

    (a) The provisions of this subpart apply to 1985 and later model 
year new gasoline-fueled and diesel light-duty vehicles, 1985 and later 
model year new gasoline-fueled and diesel light-duty trucks, and 1985 
and later model year new gasoline-fueled and diesel heavy-duty engines.
    (b) Optional applicability. A manufacturer may request to certify 
any heavy-duty vehicle 10,000 pounds GVWP or less in accordance with the 
light-duty truck provisions. Heavy-duty engine or vehicle provisions do 
not apply to such a vehicle.
    (c) [Reserved]
    (d) Alternative Durability Program. For 1985 and later model year 
light-duty vehicles and light-duty trucks, a manufacturer may elect to 
participate in the Alternative Durability Program. This optional program 
provides an alternative method of determining exhaust emission control 
system durability. The general procedures and a description of the 
programs are contained in Sec. 86.085-13 and specific provisions on test 
vehicles and compliance procedures are contained in Secs. 86.085-24 and 
86.085-28 respectively.
    (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, and heavy-duty engines in its 
product line are fewer than 10,000 units for the

[[Page 93]]

model year in which the manufacturer seeks certification. In order to 
certify its product line under these optional procedures, the small-
volume manufacturer must first obtain the Administrator's approval. 
Vehicles produced at facilities leased, operated, controlled, 
supervised, or in 10 percent or greater part owned by the manufacturer 
shall be counted in calculating the total sales of the manufacturer. The 
small-volume manufacturer's certification procedures are described in 
Sec. 86.084-14.
    (f) Optional Procedures for Determining Exhaust Opacity. (1) The 
provisions of subpart I apply to tests which are performed by the 
Administrator, and optionally, by the manufacturer.
    (2) Measurement procedures, other than that described in subpart I, 
may be used by the manufacturer provided the manufacturer satisfies the 
requirements of Sec. 86.085-23(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. 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 of 
subpart I.
    (4) If a confirmatory test(s) 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 subpart I data, EPA may require that all certificates of 
conformity not already issued be based on data from subpart I 
procedures.


(Secs. 202, 203, 206, 207, 208, 301a, Clean Air Act as amended; 42 
U.S.C. 7521, 7522, 7525, 7541, 7542, 7601(a)

[48 FR 22548, May 19, 1983, as amended at 50 FR 10648, Mar. 15, 1985; 51 
FR 24608, July 7, 1986]



Sec. 86.085-2  Definitions.

    The definitions of Sec. 86.084-2 remain effective. The definitions 
listed in this section apply beginning with the 1985 model year.
    Abnormally treated vehicle, any diesel light-duty vehicle or diesel 
light-duty truck that is operated for less than five miles in a 30 day 
period immediately prior to conducting a particulate emissions test.
    Composite particulate standard, for a manufacturer which elects to 
average diesel light-duty vehicles and diesel light-duty trucks together 
in the particulate averaging program, means that standard calculated 
according to the following equation and rounded to the nearest hundredth 
gram-per-mile:
[GRAPHIC] [TIFF OMITTED] TR06OC93.004

Where:
PRODLDV represents the manufacturer's total diesel light-duty 
vehicle production for those engine families being included in the 
average for a given model year.
STDLDV represents the light-duty vehicle particulate 
standard.
PRODLDT represents the manufacturer's total diesel light-duty 
truck production for those engine families being included in the average 
for a given model year.
STDLDT represents the light-duty truck particulate standard.

    Family particulate emission limit means the diesel particulate 
emission level to which an engine family is certified in the particulate 
averaging program, expressed to an accuracy of one hundredth gram-per-
mile.
    Incomplete gasoline-fueled heavy-duty vehicle means any gasoline-
fueled heavy-duty vehicle which does not have the primary load-carrying 
device, or passenger compartment, or engine compartment or fuel system 
attached.
    Production-weighted average means the manufacturer's production-
weighted average particulate emission level, for certification purposes, 
of all of its

[[Page 94]]

diesel engine families included in the particulate averaging program. It 
is calculated at the end of the model year by multiplying each family 
particulate emission limit by its respective production, summing these 
terms, and dividing the sum by the total production of the effected 
families. Those vehicles produced for sale in California or at high 
altitude shall each be averaged separately from those produced for sale 
in any other area.
    Primary intended service class means:
    (a) The primary service application group for which a heavy-duty 
diesel engine is designed and marketed, as determined by the 
manufacturer. The primary intended service classes are designated as 
light, medium, and heavy heavy-duty diesel engines. The determination is 
based on factors such as vehicle GVW, vehicle usage and operating 
patterns, other vehicle design characteristics, engine horsepower, and 
other engine design and operating characteristics.
    (1) Light heavy-duty diesel engines usually are non-sleeved and not 
designed for rebuild; their rated horsepower generally ranges from 70 to 
170. Vehicle body types in this group might include any heavy-duty 
vehicle built for a light-duty truck chassis, van trucks, multi-stop 
vans, recreational vehicles, and some single axle straight trucks. 
Typical applications would include personal transportation, light-load 
commercial hauling and delivery, passenger service, agriculture, and 
construction. The GVWR of these vehicles is normally less than 19,500 
lbs.
    (2) Medium heavy-duty diesel engines may be sleeved or non-sleeved 
and may be designed for rebuild. Rated horsepower generally ranges from 
170 to 250. Vehicle body types in this group would typically include 
school buses, tandem axle straight trucks, city tractors, and a variety 
of special purpose vehicles such as small dump trucks, and trash 
compactor trucks. Typical applications would include commercial short 
haul and intra-city delivery and pickup. Engines in this group are 
normally used in vehicles whose GVWR varies from 19,500-33,000 lbs.
    (3) Heavy heavy-duty diesel engines are sleeved and designed for 
multiple rebuilds. Their rated horsepower generally exceeds 250. 
Vehicles in this group are normally tractors, trucks, and buses used in 
inter-city, long-haul applications. These vehicles normally exceed 
33,000 lbs GVWR.
    Useful life means:
    (a) For light-duty vehicles a period of use of 5 years or 50,000 
miles, whichever first occurs.
    (b) For a light-duty truck engine family, a period of use of 11 
years or 120,000 miles, whichever occurs first.
    (c) For a gasoline-fueled heavy-duty engine family (and in the case 
of evaporative emission regulations, for gasoline-fueled heavy-duty 
vehicles), a period of use of 8 years or 110,000 miles, whichever first 
occurs.
    (d) For a diesel heavy-duty engine family:
    (1) For light heavy-duty diesel engines, a period of use of 8 years 
or 110,000 miles, whichever first occurs.
    (2) For medium heavy-duty diesel engines, a period of use of 8 years 
or 185,000 miles, whichever first occurs.
    (3) For heavy heavy-duty diesel engines, a period of use of 8 years 
or 290,000 miles, whichever first occurs.
    (e) As an option for both light-duty truck and heavy-duty engine 
families, an alternative useful life period assigned by the 
Administrator under the provisions of paragraph (f) of Sec. 86.085-21.
    (f) The useful-life period for purposes of the emissions defect 
warranty and emissions performance warranty shall be a period of 5 
years/50,000 miles whichever first occurs, for light-duty trucks, 
gasoline heavy-duty engines, and light heavy-duty diesel engines. For 
all other heavy-duty diesel engines the aforementioned period is 5 
years/100,000 miles, whichever first occurs. However, in no case may 
this period be less than the manufacturer's basic mechanical warranty 
period for the engine family.

[48 FR 33462, July 21, 1983, as amended at 48 FR 52184, Nov. 16, 1983; 
52 FR 47863, Dec. 16, 1987]

[[Page 95]]



Sec. 86.085-13  Alternative Durability Program.

    (a) The procedures of the Alternative Durability Program are 
optional. Manufacturers may use these optional procedures to determine 
deterioration factors instead of using the procedures that this subpart 
otherwise requires.
    (b) The optional procedures of the Alternative Durability Program 
apply only to light-duty vehicles and light-duty trucks, and are 
effective for the 1985 and later model years. All manufacturers of these 
vehicles are eligible to participate in this program.
    (c) For engine families subject to the procedures of the Alternative 
Durability Program, the manufacturer shall submit deterioration factors 
to the Administrator for approval to use them for certification. The 
Administrator shall approve the use of deterioriation factors that:
    (1) The manufacturer attests are representative of the durability 
performance of its vehicles in actual field use when maintained 
according to the manufacturer's maintenance instructions (as limited 
under Sec. 86.084-25(a)), and
    (2) Are equal to or greater than the deterioration factors that EPA 
determines under paragraph (d) of this section.
    (d) EPA shall determine minimum deterioration factors for engine 
families subject to the Alternative Durability Program. This 
determination shall be based on a procedure of grouping engine families 
(see Sec. 86.085-24(a)) in order to use historical certification data to 
determine deterioration factors for each engine family group. The 
historical data shall be updated yearly through the testing of 
production durability-data vehicles. Test vehicle requirements under 
these procedures are contained in Sec. 86.085-24(h) and compliance 
requirements are contained in Sec. 86.085-28 (a)(5) and (b)(5).
    (e) Request Procedures. (1) A manufacturer wishing to participate in 
the Alternative Durability Program must submit to the Administrator, for 
each model year, a written request describing the engine families that 
the manufacturer elects to be included in the program.
    (2) The Administrator may declare ineligible any engine family for 
which the Administrator determines there is unreasonable risk in 
determining a deterioration factor using the methods of the Alternative 
Durability Program. Furthermore, the Administrator may limit the number 
of engine families within the manufacturer's product line that are 
eligible for the Alternative Durability Program.
    (3) Upon approval of the manufacturer's request to participate, the 
Administrator and the manufacturer may enter into a written agreement 
prescribing the terms and conditions of the program. This agreement 
shall be equitable as compared to agreements entered into with other 
manufacturers. The agreement shall specify the following:
    (i) The engine families to be included in the program and the engine 
family groups that have been established by the provisions of 
Sec. 86.085-24(a) (8) and (9).
    (ii) The procedures for the selection of production durability-data 
vehicles specified under the provisions of Sec. 86.085-24(h).
    (iii) The procedures for the determination of minimum exhaust 
emission deterioration factors for each engine family group.
    (f) Withdrawal from Alternative Durability Program. (1) Subject to 
the conditions of the following paragraphs, a manufacturer may, at any 
time, withdraw all of its product line or separate engine family groups 
from this program. Only entire engine family groups may be withdrawn.
    (2) Once any engine family in an engine family group is certified 
using deterioration factors determined in the Alternative Durability 
Program, the manufacturer shall operate and test the production 
durability-data vehicles specified in Sec. 86.085-24(h) in accordance 
with the procedures of this part.
    (3) The Administrator shall notify the manufacturer if a 
nonconformity of a category of vehicles within the engine family group 
is indicated by the production durability data. For the purpose of this 
paragraph, a nonconformity is determined to exist if:
    (i) Any emission-data vehicle within an engine family of the model 
year

[[Page 96]]

most recently certified under the Alternative Durability Program is 
projected to exceed an emission standard by applying deterioration 
factors generated by a production durability-data vehicle within the 
same engine family, or
    (ii) Any of the most recent model year's production durability-data 
vehicle configurations tested under paragraph (f)(2) of this section 
line crosses as defined in Sec. 86.085-28(a)(5)(ii)(C). For the purpose 
of this paragraph, data from identical vehicles will be averaged as 
under Sec. 86.085-28(a)(4)(i) (A) and (B).
    (4) If the Administrator notifies a manufacturer of such a 
nonconformity, the manufacturer shall submit, by a date specified by the 
Administrator, a plan to remedy the nonconformity which is acceptable to 
the Director, Office of Mobile Sources. For the purpose of this 
paragraph, the term ``remedy the nonconformity'' will have the same 
meaning as it does when it appears in section 207(c)(1) of the Clean Air 
Act.
    (5) The manufacturer shall comply with the terms of the remedial 
plan approved by the Director, Office of Mobile Sources.
    (6) If a manufacturer does not comply with the requirements of 
paragraph (f) (2), (4), or (5) of this section, the Administrator may 
deem the certificate of conformity for the affected engine families void 
ab initio.

[48 FR 22548, May 19, 1983]



Sec. 86.085-20  Incomplete vehicles, classification.

    (a) An incomplete truck less than 8,500 pounds gross vehicle weight 
rating shall be classified by the manufacturer as a light-duty truck or 
as a heavy-duty vehicle. Incomplete light-duty trucks shall be described 
in the manufacturer's application for certification. The frontal area 
and curb weight used for certification purposes shall be specified on 
the label required in Sec. 86.085-35(d). Incomplete heavy-duty trucks 
must be labeled as required in Sec. 86.085-35(e) and Sec. 86.085-35(g).
    (b) [Reserved]

[48 FR 1439, Jan. 12, 1983]



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)(1) Any manufacturer of light-duty vehicles or light-duty trucks 
obtaining certification under this part shall notify the Administrator, 
on a yearly basis, of the number of vehicles domestically produced for 
sale in the United States and the number of vehicles produced and 
imported for sale in the United States during the preceding year. Such 
information shall also include the number of vehicles produced for sale 
pursuant to Sec. 88.204-94(b) of this chapter. A manufacturer may elect 
to provide this information every 60 days instead of yearly by combining 
it with the notification required under Sec. 86.079-36. The notification 
must be submitted 30 days after the close of the reporting period. A 
manufacturer may combine the information required under Sec. 86.1712(b) 
with the information included in paragraphs (b)(1) (i) through (iv) of 
this section into the report required under this section. The vehicle 
production information required shall be submitted as follows:
    (i) Total production volume expressed in terms of units produced;
    (ii) Model type production volume, expressed for each model type in 
terms of units produced and as a percentage of total production;
    (iii) Base level production volume, expressed for each base level in 
terms of units produced and as percentage of:
    (A) Total production of its respective model type(s), and
    (B) Total production; and

[[Page 97]]

    (iv) Vehicle configuration production volume, expressed for each 
vehicle configuration in terms of units produced, and as a percentage of 
the total production of its respective base level. In addition, each 
vehicle configuration shall be identified by its appropriate engine-
system combination.
    (2) All light-duty vehicles and light-duty trucks covered by a 
certificate of conformity under Sec. 86.082-30(a) shall be adjusted by 
the manufacturer to the ignition or injection timing specification 
detailed in Sec. 86.079-36(a)(1)(iii)(D).
    (c) Any heavy-duty engine or gasoline-fueled heavy-duty vehicle 
manufacturer obtaining certification under this part shall notify the 
Administr`ator, 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.
    (d) The following definitions apply to this section:
    (1) Model type means a unique combination of car line, basic engine, 
and transmission class.
    (2) Base level means a unique combination of basic engine, inertia 
weight, and transmission class.
    (3) Vehicle configuration means a unique combination of basic 
engine, engine code, inertia weight, transmission configuration, and 
axle ratio within a base level.

[48 FR 1455, Jan. 12, 1983, as amended at 59 FR 50073, Sept. 30, 1994; 
62 FR 31233, June 6, 1997]

    Effective Date Note: At 62 FR 31233, June 6, 1997, Sec. 86.085-37 
was amended by revising paragraph (b)(1) introductory text, effective 
Aug. 5, 1997. That text contains information collection and 
recordkeeping requirements and will not become effective until approval 
has been given by the Office of Management and Budget.



Sec. 86.087-2  Definitions.

    Composite particulate standard for a manufacturer which elects to 
average diesel light-duty vehicles and diesel light-duty trucks with a 
loaded vehicle weight equal to or less than 3,750 lbs (LDDT1s) 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] TR06OC93.005

Where:
PRODLDV represents the manufacturer's total light-duty 
vehicle production for those engine families being included in the 
average for a given model year.
STDLDV represents the light-duty vehicle particulate 
standard.
PRODLDDT1 represents the manufacturer's total diesel light-
duty truck production for those engine families with a loaded vehicle 
weight equal to or less than 3,750 lbs which are being included in the 
average for a given model year.
STDLDDT1 represents the light-duty truck particulate standard 
for diesel light-duty trucks with a loaded vehicle weight equal to or 
less than 3,750 lbs.

    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 affected 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. Diesel light-duty trucks with 
a loaded vehicle weight equal to or greater than 3,751 lbs (LDDT2s) 
shall only be averaged with other diesel light-duty trucks with a loaded 
vehicle weight equal to or

[[Page 98]]

greater than 3,751 lbs produced by that manufacturer.

[53 FR 43875, Oct. 31, 1988]



Sec. 86.087-38  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. 86.087-8, Sec. 86.087-9, Sec. 86.087-
10, or Sec. 86.087-11, as applicable, written instructions for the 
proper maintenance and use of the vehicle (or engine), by the purchaser 
consistent with the provisions of Sec. 86.087-25, which establishes what 
scheduled maintenance the Administrator approves as being reasonable and 
necessary. For light-duty vehicle manufacturers optionally complying 
with Sec. 86.087-25(a) for the 1987 model year, the Administrator 
approves any scheduled maintenance allowed by Sec. 86.087-25(a) 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. 86.087-
25 (or under Sec. 86.085-25(a), for light-duty vehicle families 
optionally complying with that section for the 1987 model year).
    (c) Scheduled emission-related maintenance in addition to that 
performed under Sec. 86.087-25(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. 86.087-
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 emission warranty or 
manufacturer recall liability.
    (e) If the vehicle has been granted an alternative useful life 
period under the provisions of Sec. 86.087-21(f), the manufacturer may 
choose to include in such instructions an explanation of the distinction 
between the alternative useful life specified on the label, and the 
emissions defect and emissions performance warranty period. The 
explanation must clearly state that the useful life period specified on 
the label represents the average period of use up to retirement or 
rebuild for the 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

[[Page 99]]

4,000 feet, or at elevations of 4,000 feet or less.


(Secs. 202, 203, 206, 207, 208, 301a, Clean Air Act, as amended; 42 
U.S.C. 7521, 7522, 7525, 7541, 7542, 7601a)

[50 FR 10693, Mar. 15, 1985, as amended at 51 FR 24610, July 7, 1986]



Sec. 86.088-2  Definitions.

    The definitions in Sec. 86.085-2 remain effective. The definitions 
in this section apply beginning with the 1988 model year.
    Composite NOX standard, for a manufacturer which elects 
to average light-duty trucks subject to the NOX standard of 
Sec. 86.088-9(a)(iii)(A) together with those subject to the 
NOX standard of Sec. 86.088-9(a)(iii)(B) in the light-duty 
truck NOX averaging program, means that standard calculated 
according to the following equation and rounded to the nearest one-tenth 
gram per mile:
[GRAPHIC] [TIFF OMITTED] TR06OC93.006

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

[[Page 100]]

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. 86.088-10  Emission standards for 1988 and 1989 model year gasoline-fueled heavy-duty engines and vehicles.

    (a)(1) Exhaust emissions from new 1988 and later model year 
gasoline-fueled heavy-duty engines shall not exceed:
    (i) For engines intended for use in all vehicles except as provided 
in paragraph (a)(3) of this paragraph,
    (A) Hydrocarbons. 1.1 grams per brake horsepower-hour, as measured 
under transient operating conditions.
    (B) Carbon monoxide. (1) 14.4 grams per brake horsepower-hour, as 
measured under transient operating conditions.
    (2) Gasoline-fueled heavy-duty engines utilizing aftertreatment 
technology. 0.50 percent of exhause gas flow at curb idle.
    (C) Oxides of nitrogen. 10.6 grams per brake horsepower-hour, as 
measured under transient operating conditions.
    (ii) For engines intended for use only in vehicles with a Gross 
Vehicle Weight Rating of greater than 14,000 pounds,
    (A) Hydrocarbons. 1.9 grams per brake horsepower-hour, as measured 
under transient operating conditions.
    (B) Carbon monoxide. (1) 37.1 grams per brake horsepower-hour as 
measured under transient operating conditions.
    (2) Gasoline-fueled heavy-duty engines utilizing aftertreatment 
technology. 0.50 percent of exhaust gas flow at curb idle.
    (C) Oxides of nitrogen. 10.6 grams per brake horsepower-hour, as 
measured under transient operating conditions.
    (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 subparts N or P.
    (3)(i) A manufacturer may certify one or more gasoline-fueled heavy-
duty engine configurations intended for use in all vehicles to the 
emission standards set forth in paragraph (a)(1)(ii) of this paragraph: 
Provided, That the total model year sales of such configuration(s) being 
certified to the emission standards in paragraph (a)(1)(ii) of this 
section represent no more than 5 percent of total model year sales of 
all gasoline-fueled heavy-duty engines 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) of this section under the provisions of paragraph 
(a)(3)(i) of this section shall still be required to meet the 
evaporative emission standards set forth in paragraphs (b)(1)(i)(A) and 
(b)(2)(i) of this section.
    (b)(1) Evaporative emissions from 1988 and later model year 
gasoline-fueled heavy-duty vehicles shall not exceed:
    (i) Hydrocarbons. (A) For vehicles with a Gross Vehicle Weight 
Rating of up to 14,000 pounds, 3.0 grams per test.
    (B) For vehicles with a Gross Vehicle Weight Rating of greater than 
14,000 pounds, 4.0 grams per test.
    (2)(i) For vehicles with a Gross Vehicle Weight Rating of up to 
26,000 pounds, the standards set forth in paragraph (b)(1) of this 
section refer to a composite sample of fuel evaporative emissions 
collected under the conditions set forth in subpart M and measured in 
accordance with those procedures.
    (ii) For vehicles with a Gross Vehicle Weight Rating of greater than 
26,000 pounds, the standard set forth in paragraph (b)(1)(i)(B) of this 
section refers to the manufacturer's engineering design evaluation using 
good engineering practice (a statement of which is required in 
Sec. 86.088-23(b)(4)(ii)).
    (c) No crankcase emissions shall be discharged into the ambient 
atmosphere from any new 1988 or later model year gasoline-fueled heavy-
duty engine.
    (d) Every manufacturer of new motor vehicle engines subject to the 
standards prescribed in this section shall,

[[Page 101]]

prior to taking any of the actions specified in section 203(a)(1) of the 
Act, test or cause to be tested motor vehicle engines in accordance with 
applicable procedures in subpart N or P of this part to ascertain that 
such test engines meet the requirements of paragraphs (a) and (c) of 
this section.


(Secs. 202, 203, 206, 207, 208, 301a, Clean Air Act, as amended; 42 
U.S.C. 7521, 7522, 7525, 7541, 7542, 7601a)

[50 FR 10651, Mar. 15, 1985, as amended at 52 FR 47864, Dec. 16, 1987]



Sec. 86.090-1  General applicability.

    (a) The provisions of this subpart apply to: 1990 and later model 
year new Otto-cycle and diesel light-duty vehicles; 1990 and later model 
year new Otto-cycle and diesel light-duty trucks; and, 1990 and later 
model year new Otto-cycle and diesel heavy-duty engines.
    (b) Optional applicability. A manufacturer may request to certify 
any heavy-duty vehicle of 10,000 pounds Gross Vehicle Weight Rating or 
less to the light-duty truck provisions. Heavy-duty engine or vehicle 
provisions do not apply to such a vehicle.
    (c) [Reserved]
    (d) Alternative Durability Program. For 1990 and later model year 
light-duty vehicles and light-duty trucks, a manufacturer may elect to 
participate in the Alternative Durability Program. This optional program 
provides an alternative method of determining exhaust emission control 
system durability. The general procedures and a description of the 
programs are contained in Sec. 86.085-13 and specific provisions on test 
vehicles and compliance procedures are contained in Sec. 86.085-24 and 
Sec. 86.088-28 respectively.
    (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, and heavy-duty engines in its 
product line are fewer than 10,000 units for the model year in which the 
manufacturer seeks certification. In order to certify its product line 
under these optional procedures, the small-volume manufacturer must 
first obtain the Administrator's approval. Vehicles produced at 
facilities leased, operated, controlled, supervised, or is ten percent 
or greater part owned by the manufacturer shall be counted in 
calculating the total sales of the manufacturer. The small-volume 
manufacturer's certification procedures are described in Sec. 86.090-14.
    (f) Optional Procedures for Determining Exhaust Opacity. (1) The 
provisions of subpart I apply to tests which are performed by the 
Administrator, and optionally, by the manufacturer.
    (2) Measurement procedures, other than that described in subpart I, 
may be used by the manufacturer provided the manufacturer satisfies the 
requirements of Sec. 86.090-23(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. 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 of 
subpart I.
    (4) If a confirmatory test(s) 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 subpart I data, EPA may require that all certificates of 
conformity not already issued be based on data from subpart I 
procedures.

[54 FR 14459, Apr. 11, 1989]



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 102]]

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 similar to the theoretical Otto combustion cycle. The use 
of a throttle during

[[Page 103]]

normal operation is indicative of an Otto-cycle engine.
    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.
    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,

[[Page 104]]

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]



Sec. 86.090-3  Abbreviations.

    (a) The abbreviations in Sec. 86.078-3 remain effective. The 
abbreviations in this section apply beginning with the 1990 model year.
    (b) The abbreviations in this section apply to this subpart, and 
also to subparts B, E, F, M, N, and P of this part, and have the 
following meanings:

DNPH--2,4-dinitrophenylhydrazine.
FEL--Family emission limit.
GC--Gas chromatograph.
HPLC--High-pressure liquid chromatography.
MeOH--Methanol (CH3OH).
Mg--Megagram(s) (1 million grams)
MJ--Megajoule(s) (1 million joules)
THCE--Total Hydrocarbon Equivalent
UV--Ultraviolet.

[55 FR 30613, July 26, 1990, as amended at 60 FR 34335, June 30, 1995]



Sec. 86.090-5  General standards; increase in emissions; unsafe conditions.

    (a)(1) Every new motor vehicle (or new motor vehicle engine) 
manufactured for sale, sold, offered for sale, introduced, or delivered 
for introduction to commerce, or imported into the United States for 
sale or resale which is subject to any of the standards prescribed in 
this subpart shall be covered by a certificate of conformity issued 
pursuant to Secs. 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)

[[Page 105]]

subject to any of the standards imposed by this subpart shall, prior to 
taking any of the actions specified in section 203(a)(1) of the Act, 
test or cause to be tested motor vehicles (or motor vehicle engines) in 
accordance with good engineering practice to ascertain that such test 
vehicles (or test engines) will meet the requirements of this section 
for the useful life of the vehicle (or engine).

[54 FR 14460, Apr. 11, 1989, as amended at 61 FR 58106, Nov. 12, 1996]



Sec. 86.090-8  Emission standards for 1990 and later model year light-duty vehicles.

    (a)(1) Exhaust emissions from 1990 and later model year light-duty 
vehicles shall not exceed (compliance with these standards is optional 
for 1990 model year methanol-fueled vehicles):
    (i)(A) Hydrocarbons (for petroleum-fueled Otto-cycle and diesel 
vehicles). 0.41 gram per vehicle mile (0.26 gram per vehicle kilometer).
    (B) Total Hydrocarbon Equivalent (for methanol-fueled Otto-cycle and 
diesel vehicles). 0.41 gram per vehicle mile (0.26 gram per vehicle 
kilometer).
    (ii) Carbon monoxide. 3.4 grams per vehicle mile (2.1 grams per 
vehicle kilometer).
    (iii) Oxides of nitrogen. 1.0 gram per vehicle mile (0.63 gram per 
vehicle kilometer).
    (iv) Particulate (for diesel vehicles only).
    (A) 0.20 gram per vehicle mile (0.12 gram per vehicle kilometer).
    (B) A manufacturer may elect to include all or some of its diesel 
light-duty vehicle engine families in the appropriate particulate 
averaging program (petroleum or methanol), provided that vehicles 
produced for sale in California or in designated high-altitude areas may 
be averaged only within each of these areas. Averaging is not permitted 
between fuel types. If the manufacturer elects to average light-duty 
vehicles and light-duty trucks together in the appropriate particulate 
averaging program, its composite particulate standard applies to the 
combined set of light-duty vehicles and light-duty trucks included in 
the average and is calculated as defined in Sec. 86.090-2.
    (2) The standards set forth in paragraph (a)(1) of this section 
refer to the exhaust emitted over a driving schedule as set forth in 
subpart B of this part and measured and calculated in accordance with 
those procedures.
    (b) Fuel evaporative emissions from 1990 and later model year light-
duty vehicles shall not exceed (compliance with these standards is 
optional for l990 model year methanol-fueled engines):
    (1) Hydrocarbons (for gasoline-fueled vehicles). 2.0 grams per test.
    (2) Total Hydrocarbon Equivalent (for methanol-fueled vehicles). 2.0 
grams carbon per test.
    (3) The standards set forth in paragraphs (b) (1) and (2) of this 
section refers to a composite sample of the fuel evaporative emissions 
collected under the conditions set forth in subpart B of this part and 
measured in accordance with those procedures.
    (c) No crankcase emissions shall be discharged into the ambient 
atmosphere from any 1990 and later model year Otto-cycle or methanol-
fueled diesel light-duty vehicle.
    (d)-(f) [Reserved]
    (g) Any 1990 and later model year light-duty vehicle that a 
manufacturer wishes to certify for sale shall meet the emission 
standards under both low- and high-altitude conditions as specified in 
Sec. 86.082-2, except as provided in paragraphs (h) and (i) of this 
section. Vehicles shall meet emission standards under both low- and 
high-altitude conditions without manual adjustments or modifications. 
Any emission control device used to meet emission standards under high-
altitude conditions shall initially actuate (automatically) no higher 
than 4,000 feet above sea level.
    (h) The manufacturer may exempt 1990 and later model year vehicles 
from compliance at high altitude with the emission standards set forth 
in paragraphs (a) and (b) of this section if the vehicles are not 
intended for sale at high altitude and if the requirements of paragraphs 
(h) (1) and (2) of this section are met.
    (1) A vehicle configuration shall only be considered eligible for 
exemption under paragraph (h) of this section if the requirements of 
either paragraph

[[Page 106]]

(h) (l) (i), (ii), (iii), or (iv) of this section are met.
    (i) Its design parameters (displacement-to-weight ratio (D/W) and 
engine speed-to-vehicle-speed ratio (N/V)) fall within the exempted 
range for that manufacturer for that year. The exempted range is 
determined according to the following procedure:
    (A) The manufacturer shall graphically display the D/W and N/V data 
of all vehicle configurations it will offer for the model year in 
question. The axis of the abscissa shall be D/W (where (D) is the engine 
displacement expressed in cubic centimeters and (W) is the equivalent 
vehicle test weight expressed in pounds), and the axis of the ordinate 
shall be N/V (where (N) is the crankshaft speed expressed in revolutions 
per minute and (V) is the vehicle speed expressed in miles per hour). At 
the manufacturer's option, either the 1:1 transmission gear ratio or the 
lowest numerical gear ratio available in the transmission will be used 
to determine N/V. The gear selection must be the same for all N/V data 
points on the manufacturer's graph. For each transmission/axle ratio 
combination, only the lowest N/V value shall be used in the graphical 
display.
    (B) The product line is then defined by the equation, N/V=C(D/
W)-\0\.\9\, where the constant, C, is determined 
by the requirement that all the vehicle data points either fall on the 
line or lie to the upper right of the line as displayed on the graphs.
    (C) The exemption line is then defined by the equation, N/V=C(0.84 
D/W)-\0\.\9\, where the constant, C is the same as 
that found in paragraph (h)(1)(i)(B) of this section.
    (D) The exempted range includes all values of N/V and D/W which 
simultaneously fall to the lower left of the exemption line as drawn on 
the graph.
    (ii) Its design parameters fall within the alternate exempted range 
for that manufacturer that year. The alternate exempted range is 
determined by substituting rated horsepower (hp) for displacement (D) in 
the exemption procedure described in paragraph (h)(1)(i) of this section 
and by using the product line N/V=C(hp/W)-\0\.\9\.
    (A) Rated horsepower shall be determined by using the Society of 
Automotive Engineers Test Procedure J 1349, or any subsequent version of 
that test procedure. Any of the horsepower determinants within that test 
procedure may be used, as long as it is used consistently throughout the 
manufacturer's product line in any model year.
    (B) No exemptions will be allowed under paragraph (h)(1)(ii) of this 
section to any manufacturer that has exempted vehicle configurations as 
set forth in paragraph (h)(1)(i) of this section.
    (iii) Its acceleration time (the time it takes a vehicle to 
accelerate from 0 miles per hour to a speed not less than 40 miles per 
hour and not greater than 50 miles per hour) under high-altitude 
conditions is greater than the largest acceleration time under low-
altitude conditions for that manufacturer for that year. The procedure 
to be followed in making this determination is:
    (A) The manufacturer shall list the vehicle configuration and 
acceleration time under low-altitude conditions of that vehicle 
configuration which has the highest acceleration time under low-altitude 
conditions of all the vehicle configurations it will offer for the model 
year in question. The manufacturer shall also submit a description of 
the methodology used to make this determination.
    (B) The manufacturer shall then list the vehicle configurations and 
acceleration times under high-altitude conditions of all those vehicle 
configurations which have higher acceleration times under high-altitude 
conditions than the highest acceleration time at low altitude identified 
in paragraph (h)(1)(iii)(A) of this section.
    (iv) In lieu of performing the test procedure of paragraphs 
(h)(1)(iii) (A) and (B) of this section, its acceleration time can be 
estimated based on the manufacturer's engineering evaluation, in 
accordance with good engineering practice, to meet the exemption 
criteria of paragraph (h)(1)(iii) of this section.
    (2) A vehicle shall only be considered eligible for exemption under 
this paragraph if at least one configuration of its model type (and 
transmission configuration in the case of vehicles equipped with manual 
transmissions,

[[Page 107]]

excluding differences due to the presence of overdrive) is certified to 
meet emission standards under high-altitude conditions as specified in 
paragraph (a) through (g) of this section. The Certificate of Conformity 
(the Certificate) covering any exempted configuration(s) will also apply 
to the corresponding non-exempt configuration(s) required under this 
subparagraph. As a condition to the exemption, any suspension, 
revocation, voiding, or withdrawal of the Certificate as it applies to a 
non-exempt configuration for any reason will result in a suspension of 
the Certificate as it applies to the corresponding exempted 
configuration(s) of that model type, unless there is at least one other 
corresponding non-exempt configuration of the same model type still 
covered by the Certificate. The suspension of the Certificate as it 
applies to the exempted configuration(s) will be terminated when any one 
of the following occurs:
    (i) Another corresponding non-exempt configuration(s) receive(s) 
coverage under the Certificate; or
    (ii) Suspension of the Certificate as it applies to the 
corresponding non-exempt configuration(s) is terminated; or
    (iii) The Agency's action(s), with respect to suspension, 
revocation, voiding or withdrawal of the Certificate as it applies to 
the corresponding non-exempt configuration(s), is reversed.
    (3) The sale of a vehicle for principal use at a designated high-
altitude location that has been exempted as set forth in paragraph (h) 
of this section will be considered a violation of Section 203(a)(1) of 
the Clean Air Act.
    (i)(1) The manufacturers may exempt 1990 and later model year 
vehicles from compliance at low altitude with the emission standards set 
forth in paragraphs (a) and (b) of this section if the vehicles:
    (i) Are not intended for sale at low altitude; and
    (ii) Are equipped with a unique, high-altitude axle ratio (rear-
wheel drive vehicles) or a unique, high-altitude drivetrain (front-wheel 
drive vehicles) with a higher N/V ratio than other configurations of 
that model type which are certified in compliance with the emission 
standards of paragraphs (a) and (b) of this section under low-altitude 
conditions.
    (2) The sale of a vehicle for principal use at low altitude that has 
been exempted as set forth in paragraph (h)(1) of this section will be 
considered a violation of section 203(a)(1) of the Clean Air Act.

[54 FR 14461, Apr. 11, 1989]



Sec. 86.090-9  Emission standards for 1990 and later model year light-duty trucks.

    (a)(1) The standards set forth in paragraphs (a) through (c) of this 
section shall apply to light-duty trucks sold for principal use at other 
than a designated high-altitude location. Exhaust emissions from 1990 
and later model year light-duty trucks shall not exceed (compliance with 
these standards is optional for 1990 model year methanol-fueled 
vehicles):
    (i)(A) Hydrocarbons (for petroleum-fueled Otto-cycle and diesel 
light-duty trucks). 0.80 gram per vehicle mile (0.50 gram per vehicle 
kilometer).
    (B) Total Hydrocarbon Equivalent (for methanol-fueled Otto-cycle and 
diesel light-duty trucks). 0.80 gram per vehicle mile (0.50 gram per 
vehicle kilometer).
    (ii) Carbon monoxide. (A) 10 grams per vehicle mile (6.2 grams per 
vehicle kilometer).
    (B) 0.50 percent of exhaust gas flow at curb idle (for Otto-cycle 
and methanol-fueled diesel light-duty trucks only).
    (iii) Oxides of nitrogen. (A) For light-duty trucks up to and 
including 3,750 lbs loaded vehicle weight, 1.2 grams per vehicle mile 
(0.75 gram per vehicle kilometer).
    (B) For light-duty trucks greater loaded vehicle weight, 1.7 grams 
per vehicle mile (1.1 grams per vehicle kilometer).
    (C) A manufacturer may elect to include all or some of its light-
duty truck engine families in the NOX averaging program, 
provided that trucks produced for sale in California or in designated 
high-altitude areas may be averaged only within each of those areas. 
Petroleum-fueled and methanol-fueled engine families may not be averaged 
together. Otto-cycle and diesel engines families also may not be 
averaged together. If the manufacturer

[[Page 108]]

elects to participate in the NOX averaging program, 
individual family NOX emission limits may not exceed 2.3 
grams per mile. If the manufacturer elects to average together 
NOX emissions of light-duty trucks subject to the standards 
of paragraphs (a)(1)(iii)(A) and (a)(1)(iii)(B) of this section, its 
composite NOX standard applies to the combined fleets of 
light-duty trucks up to and including, and over, 3,750 lbs loaded 
vehicle weight included in the average and is calculated as defined in 
Sec. 86.088-2.
    (iv) Particulate (for diesel light-duty trucks only). (A) For light-
duty trucks up to and including 3,750 lbs. loaded vehicle weight, 0.26 
gram per vehicle mile (0.16 gram per vehicle kilometer).
    (B) For light-duty trucks 3,751 lbs and greater loaded vehicle 
weight, 0.45 gram per vehicle mile (0.28 gram per vehicle kilometer).
    (C) A manufacturer may elect to include all or some of its diesel 
light-duty truck engine families subject to the standard of paragraph 
(a)(1)(w)(A) of this section in the appropriate particulate averaging 
program (petroleum or methanol), provided that trucks produced for sale 
in California or in designated high-altitude areas may be averaged only 
within each of those areas. Averaging is not permitted between fuel 
types. If the manufacturer elects to average both light-duty trucks 
subject to the standard of paragraph (a)(1)(w)(A) of this section and 
light-duty vehicles together in the appropriate particulate averaging 
program, its composite particulate standard applies to the combined set 
of light-duty vehicles and light-duty trucks included in the average and 
is calculated as defined in Sec. 86.088-2.
    (2) The standards set forth in paragraphs (a)(1)(i), (a)(1)(ii)(A), 
(a)(1)(iii), and (a)(1)(iv) of this section refer to the exhaust emitted 
over a driving schedule as set forth in subpart B of this part and 
measured and calculated in accordance with those procedures. The 
standard set forth in paragraph (a)(1)(ii)(B) of this section refers to 
the exhaust emitted at curb idle and measured and calculated in 
accordance with the procedures set forth in subpart P of this part.
    (b) Fuel evaporative emissions from 1990 and later model year light-
duty trucks shall not exceed (compliance with these standards is 
optional for 1990 model year methanol-fueled vehicles):
    (1) Hydrocarbons (for gasoline-fueled light-duty trucks). 2.0 grams 
per test.
    (2) Total Hydrocarbon Equivalent (for methanol-fueled light-duty 
trucks). 2.0 grams per test.
    (3) The standards set forth in paragraphs (b) (1) and (2) of this 
section refer to a composite sample of the fuel evaporative emissions 
collected under the conditions set forth in subpart B of this part and 
measured in accordance with those procedures.
    (c) No crankcase emissions shall be discharged into the ambient 
atmosphere from any 1990 and later model year light-duty truck.
    (d)(1) Model year 1990 and later light-duty trucks sold for 
principal use at a designated high-altitude location shall be capable of 
meeting the following exhaust emission standards when tested under high-
altitude conditions:
    (i)(A) Hydrocarbons (for petroleum-fueled Otto-cycle and diesel 
light-duty trucks). 1.0 grams per vehicle mile (0.62 grams per vehicle 
kilometer).
    (B) Total Hydrocarbon Equivalent (for methanol-fueled Otto-cycle and 
diesel light-duty trucks). 1.0 gram per vehicle mile (0.62 gram per 
vehicle kilometer).
    (ii) Carbon Monoxide. (A) 14 grams per vehicle mile (8.7 grams per 
vehicle kilometer).
    (B) 0.50 percent of exhaust gas flow at curb idle (for Otto-cycle 
and methanol-fueled diesel light-duty trucks only).
    (iii) Oxides of Nitrogen. (A) For light-duty trucks up to and 
including 3,750 lbs loaded vehicle weight, 1.2 grams per vehicle mile 
(0.75 grams per vehicle kilometer).
    (B) For light-duty trucks 3,751 lbs and greater loaded vehicle 
weight, 1.7 grams per vehicle mile (1.1 grams per vehicle kilometer).
    (iv) Particulate (for diesel light-duty trucks only). For light-duty 
trucks up to and including 3,750 lbs loaded vehicle weight, 0.26 gram 
per vehicle mile (0.16 gram per vehicle kilometer).
    (2) The standards set forth in paragraph (d)(1)(i), (d)(1)(ii)(A), 
(d)(1)(iii), and (d)(1)(iv) of this section refer to the

[[Page 109]]

exhaust emitted over a driving schedule as set forth in subpart B of 
this part and measured and calculated in accordance with those 
procedures. The standard set forth in paragraph (d)(1)(ii)(B) of this 
section refers to the exhaust emitted at curb idle and measured and 
calculated in accordance with the procedures set forth in subpart P of 
this part.
    (e) Fuel evaporative emissions from 1990 and later model year light-
duty trucks sold for principal use at a designated high-altitude 
location, when tested under high-altitude conditions, shall not exceed:
    (1) Hydrocarbons (for gasoline-fueled light-duty trucks). 2.6 grams 
per test.
    (2) Total Hydrocarbon Equivalent (for methanol-fueled light-duty 
trucks). 2.6 grams per test.
    (3) The standards set forth in paragraphs (e) (1) and (2) of this 
section refer to a composite sample of the fuel evaporative emissions 
collected under the conditions set forth in subpart B of this part and 
measured in accordance with those procedures.
    (f) No crankcase emissions shall be discharged into the ambient 
atmosphere from any 1990 and later model year light-duty trucks sold for 
principal use at a designated high-altitude location.
    (g)(1) Any light-duty truck that a manufacturer wishes to certify 
for sale at low altitude must be capable of meeting high-altitude 
emission standards (specified in paragraphs (d) through (f) of this 
section). The manufacturer may specify vehicle adjustments or 
modifications to allow the vehicle to meet high-altitude standards but 
these adjustments or modifications may not alter the vehicle's basic 
engine, inertia weight class, transmission configuration, and axle 
ratio.
    (i) A manufacturer may certify unique configurations to meet the 
high-altitude standards but is not required to certify these vehicle 
configurations to meet the low-altitude standards.
    (ii) Any adjustments or modifications that are recommended to be 
performed on vehicles to satisfy the requirements of paragraph (g)(1) of 
this section:
    (A) Shall be capable of being effectively performed by commercial 
repair facilities, and
    (B) Must be included in the manufacturer's application for 
certification.
    (2) The manufacturer may exempt 1990 and later model year vehicles 
from compliance with the high-altitude emission standards set forth in 
paragraphs (d) and (e) of this section if the vehicles are not intended 
for sale at high altitude and if the following requirements are met. A 
vehicle configuration shall only be considered eligible for exemption if 
the requirements of either paragraph (g)(2) (i), (ii), (iii), or (iv) of 
this section are met.
    (i) Its design parameters (displacement-to-weight ratio (D/W) and 
engine speed to-vehicle-speed ratio (N/V)) fall within the exempted 
range for that manufacturer for that year. The exempted range is 
determined according to the following procedure:
    (A) The manufacturer shall graphically display the D/W and N/V data 
of all vehicle configurations it will offer for the model year in 
question. The axis of the abscissa shall be D/W (where (D) is the engine 
displacement expressed in cubic centimeters and (W) is the gross vehicle 
weight (GVW) expressed in pounds), and the axis of the ordinate shall be 
N/V (where (N) is the crankshaft speed expressed in revolutions per 
minute and (V) is the vehicle speed expressed in miles per hour). At the 
manufacturer's option, either the 1:1 transmission gear ratio or the 
lowest numerical gear ratio available in the transmission will be used 
to determine N-V. The gear selection must be the same for all N/V data 
points on the manufacturer's graph. For each transmission/axle ratio 
combination, only the lowest N/V value shall be used in the graphical 
display.
    (B) The product line is then defined by the equation, N/V = C(D/
W)-0.9, where the constant, C, is determined by the 
requirement that all the vehicle data points either fall on the line or 
lie to the upper right of the line as displayed on the graphs.
    (C) The exemption line is then defined by the equation, N/V = C(0.84 
D/W)-0.9, where the constant, C is the same as that found in 
paragraph (g)(2)(i)(B) of this section.

[[Page 110]]

    (D) The exempted range includes all values of N/V and D/W which 
simultaneously fall to the lower left of the exemption line as drawn on 
the graph.
    (ii) Its design parameters fall within the alternate exempted range 
for that manufacturer that year. The alternate exempted range is 
determined by substituting rated horsepower (hp) for displacement (D) in 
the exemption procedure described in paragraph (g)(2)(i) of this section 
and by using the product line N/V = C(hp/W)-0.9.
    (A) Rated horsepower shall be determined by using the Society of 
Automotive Engineers Test Procedure J 1349, or any subsequent version of 
that test procedure. Any of the horsepower determinants within that test 
procedure may be used, as long as it is used consistently throughout the 
manufacturer s product line in any model year.
    (B) No exemptions will be allowed under paragraph (g)(2)(ii) of this 
section to any manufacturer that has exempted vehicle configurations as 
set forth in paragraph (g)(2)(i) of this section.
    (iii) Its acceleration time (the time it takes a vehicle to 
accelerate from 0 to a speed not less than 40 miles per hour and not 
greater than 50 miles per hour) under high-altitude conditions is 
greater than the largest acceleration time under low-altitude conditions 
for that manufacturer for that year. The procedure to be followed in 
making this determination is:
    (A) The manufacturer shall list the vehicle configuration and 
acceleration time under low-altitude conditions of that vehicle 
configuration which has the highest acceleration time under low-altitude 
conditions of all the vehicle configurations it will offer for the model 
year in question. The manufacturer shall also submit a description of 
the methodology used to make this determination.
    (B) The manufacturer shall then list the vehicle configurations and 
acceleration times under high-altitude conditions of all those vehicle 
configurations which have higher acceleration times under high-altitude 
conditions than the highest acceleration time at low altitude identified 
in paragraph (g)(2)(iii)(A) of this section.
    (iv) In lieu of performing the test procedure of paragraph 
(g)(2)(iii) of this section, its acceleration time can be estimated 
based on the manufacturer's engineering evaluation, in accordance with 
good engineering practice, to meet the exemption criteria of paragraph 
(g)(2)(iii) of this section.
    (3) The sale of a vehicle for principal use at a designated high-
altitude location that has been exempted as set forth in paragraph 
(g)(2) of this section will be considered a violation of section 
203(a)(1) of the Clean Air Act.

[52 FR 47865, Dec. 16, 1987, as amended at 54 FR 14462, Apr. 11, 1989]



Sec. 86.090-14  Small-volume manufacturers certification procedures.

    (a) The small-volume manufacturers certification procedures 
described in paragraphs (b) and (c) of this section are optional. Small-
volume manufacturers may use these optional procedures to demonstrate 
compliance with the general standards and specific emission requirements 
contained in this subpart.
    (b)(1) The optional small-volume manufacturers certification 
procedures apply to light-duty vehicles, light-duty trucks, and heavy-
duty engines produced by manufacturers with U.S. sales (for the model 
year in which certification is sought) of fewer than 10,000 units 
(light-duty vehicles, light-duty trucks, and heavy-duty engines 
combined).
    (2) For the purpose of determining the applicability of paragraph 
(b)(1) of this section, where there is more than one importer or 
distributor of vehicles and/or engines manufactured by the same person, 
the sales the Administrator shall use shall be the aggregate of the 
projected or actual sales of those vehicles and/or engines by all of the 
importers and distributors.
    (c) Small-volume manufacturers shall demonstrate compliance with the 
applicable sections of this subpart as follows:
    (1) Sections 86.090-1, 86.088-2, 86.090-3, 86.084-4, 86.090-5, 
86.078-6, 86.078-7, and 86.090-8 through 86.090-11 are applicable.
    (2) Section 86.080-12 is not applicable.
    (3) Sections 86.085-13, 86.090-14, 86.084-15, and 86.085-20 are 
applicable.

[[Page 111]]

    (4) Small-volume manufacturers shall include in its records all of 
the information that EPA requires in Sec. 86.090-21. 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.
    (5) Section 86.085-22 is applicable except as noted below.
    (i) Small-volume light-duty vehicle and light-duty truck 
manufacturers may satisfy the requirements of paragraph (e) of 
Sec. 86.085-22 by including a statement of compliance on adjustable 
parameters in the application for certification. In the statement of 
compliance the manufacturer shall state that the limits, stops, seals, 
or other means used to inhibit adjustment have been designed to 
accomplish their intended purpose based on good engineering practice and 
past experience. If the vehicle parameter is adjustable the vehicle must 
meet emission standards with the parameter set any place within the 
adjustable range (reference Sec. 86.090-21).
    (ii) Paragraphs (a), (b), (c), and (d) of Sec. 86.085-22 are not 
applicable.
    (6) Section 86.090-23 is applicable.
    (7) Section 86.085-24 is applicable except as noted below.
    (i) Small-volume manufacturers may satisfy the requirements of 
paragraphs (b) and (c) of Sec. 86.085-24 by:
    (A) Selecting emission-data test vehicles (engines) by the worst 
case emissions criteria as follows:
    (1) Light-duty vehicles and light-duty trucks. The test vehicle 
shall be selected based on the following criteria: The manufacturer 
shall select the heaviest (including options) vehicle within the family. 
Then within that vehicle it shall select, in the order listed, the 
largest frontal area, largest displacement, the highest numerical axle 
ratio with the largest tire offered in the engine family, and the 
maximum fuel flow calibration.
    (2) Heavy-duty Otto-cycle engines. The manufacturer shall select the 
worst case 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 advance spark 
timing, no EGR or lowest EGR flow, and no air pump or lowest actual flow 
air pump.
    (3) Heavy-duty diesel engines. The manufacturer shall select in each 
engine family the worst case emission data engine based on the highest 
fuel feed per stroke, primarily at the speed of maximum rated torque and 
secondarily at rated speed.
    (B) Testing light-duty vehicle or light-duty truck emission-data 
vehicles at any service accumulation distance less than 6,436 kilometers 
(4,000 miles) or heavy-duty engine emission-data engines at any service 
accumulation time less than 125 hours.
    (C) Using assigned deterioration factors that the Administrator 
determines and prescribes. 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 factor.
    (ii) Paragraphs (d) and (e) of Sec. 86.085-24 are not applicable.
    (8) Section 86.090-25 is applicable to durability-data light-duty 
vehicles, light-duty trucks, and heavy-duty engines if the manufacturer 
does not use assigned deterioration factors.
    (9) Sections 86.084-26 and 86.085-27 are not applicable.
    (10) Sections 86.090-28 and 86.090-29 are applicable.
    (11)(i) Section 86.090-30 of this subpart is applicable, except for 
paragraphs (a)(2) and (b) of that section. In the place of these 
paragraphs, small-volume manufacturers shall comply with paragraphs 
(c)(11) (ii) through (v) of this section.
    (ii) Small-volume manufacturers shall submit an application for 
certification containing the following:
    (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 as applicable:

[[Page 112]]

    (1) Engine families and vehicle (or engine) configurations.
    (2) Vehicle 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, volume, and composition.
    (11) Method of air aspiration.
    (12) Thermal reactor characteristics.
    (13) Suppliers' and/or manufacturer's name and model number of any 
emission-related items identified in paragraphs (c)(11)(ii)(B) (1) 
through (12) of this section, if purchased from a supplier or 
manufacturer who uses the items in its own certified vehicles(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 paragraph 
(e) of Sec. 86.085-22, and schematics of hoses and other devices 
connecting these components.
    (16) Vehicle adjustments or modifications necessary for light duty 
trucks to assure that they conform to high altitude standards.
    (17) A description of the light-duty vehicles and light-duty trucks 
that are exempted from either the low- or high-altitude emission 
standards, as applicable.
    (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, D, I, N, or P] of part 86, title 40, United 
States Code of Federal Regulations, and on the basis of those tests are 
in conformance with that subpart. All of the data and records required 
by that subpart are on file and are available for inspection by the EPA 
Administrator. We project the total U.S. sales of vehicles (engines) 
subject to this subpart to be fewer than 10,000 units.''
    (2) A statement as required by and contained in paragraph (c)(5) of 
Sec. 86.090-14 signed by the authorized representative of the 
manufacturer.
    (3) A statement that the vehicles or engines described in the 
manufacturers application for certification are not equipped with 
auxiliary emission control devices which can be classified as a defeat 
device as defined in Sec. 86.084-2.
    (4) A statement of compliance with section 206(a)(3) of the Clean 
Air Act.
    (5) A statement that, based on the manufacturer's engineering 
evaluation and/or emission testing, the light-duty vehicles comply with 
emission standards at high altitude unless exempt under paragraph (h) of 
Sec. 86.090-8.
    (6) A statement that, based on the manufacturers engineering 
evaluation and/or emission testing, the light-duty trucks sold for 
principle use at designated high-altitude locations comply with the 
high-altitude emission requirements and that all other light-duty trucks 
are at least capable of being modified to meet high altitude standards 
unless exempt under paragraph (g)(2) of Sec. 86.090-9.
    (iii) If the manufacturer meets requirements of this subpart, the 
Administrator will issue a certificate of conformity for the vehicles 
described in the application for certification.
    (iv) 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.
    (v)(A) 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, setting forth the basis for 
his determination. The manufacturer may request a hearing on the 
Administrator's determination.
    (B) If the manufacturer does not request a hearing or present the 
required information the Administrator will deny certification.

[[Page 113]]

    (12) Sections 86.079-31 and 86.079-32 are not applicable
    (13) Under Sec. 86.079-33, small-volume manufacturers are covered by 
the following:
    (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)(11)(ii) of this 
section. The manufacturer shall also amend as necessary its records 
required under paragraph (c)(4) of this section to conform with the 
production design change.
    (14) Section 86.082-34 is not applicable.
    (15) Sections 86.090-35, 86.079-36, 86.082-37, 86.087-38, and 
86.084-39 are applicable.

[54 FR 14466, Apr. 11, 1989]



Sec. 86.090-21  Application for certification.

    (a) A separate application for a certificate of conformity shall be 
made for each set of standards (or family emission limits, as 
appropriate) and each class of new motor vehicles or new motor vehicle 
engines. Such application shall be made to the Administrator by the 
manufacturer and shall be updated and corrected by amendment.
    (b) The application shall be in writing, signed by an authorized 
representative of the manufacturer, and shall include the following:
    (1)(i) Identification and description of the vehicles (or engines) 
covered by the application and a description of their engine (vehicles 
only), emission control system and fuel system components. This shall 
include a detailed description of each auxiliary emission control device 
(AECD) to be installed in or on any certification test vehicle (or 
certification test engine).
    (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 expected 
to be 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

[[Page 114]]

vehicles (or engines) for which certification is requested. The sales 
data shall also include the altitude of intended sale for light-duty 
trucks.
    (3) A description of the test equipment and fuel proposed to be 
used.
    (4)(i) For light-duty vehicles and light duty trucks, a description 
of the test procedures to be used to establish the evaporative emission 
deterioration factors required to be determined and supplied in 
Sec. 86.090-23(b)(2).
    (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.
    (iii)(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. 86.088-23(b)(1).
    (B)(1) 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.
    (2) 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. 86.085-2, the class 
shall be determined on the basis of which class best represents the 
majority of the sales of that engine family.
    (C)(1) 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.
    (2) A description of vehicle adjustments or modifications necessary, 
if any, to assure that light-duty vehicles and light-duty trucks covered 
by a certificate of conformity conform to the regulations while being 
operated at any altitude locations, and a statement of the altitude at 
which the adjustments or modifications apply.
    (D) At the option of the manufacturer, the proposed composition of 
the emission-data test fleet or (where applicable) the durability-data 
test fleet.
    (5)(i)(A) If the manufacturer elects to participate in the 
particulate averaging program for diesel light-duty vehicles and/or 
diesel light-duty trucks, the application must list the family 
particulate emission limit and the projected U.S. production volume of 
the family for the model year.
    (B) The manufacturer shall choose the level of the family 
particulate emission limits, accurate to one-hundredth of a gram per 
mile.
    (C) The manufacturer may at any time during production elect to 
change the level of any family diesel 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. 86.085-2 and 
Sec. 86.088-28(b)(5)(i).
    (ii)(A) If the manufacturer elects to participate in the 
NOX averaging program for light-duty trucks, the application 
must list the family NOX 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 
NOX emission limits, accurate to one-tenth of a gram per 
mile.
    (C) The manufacturer may at any time during production elect to 
change the level of any family NOX emission limit(s) by 
submitting the new limits to the Administrator and by demonstrating 
compliance with the limit(s) as described in Sec. 86.088-2 and 
Sec. 86.088-28(b)(5)(ii).
    (iii) If the manufacturer elects to participate in any of the 
particulate and/or the NOX banking programs for heavy-duty 
engines, the application must list the information required in 
Secs. 86.091-15 and 86.090-23.

[[Page 115]]

    (6)(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. 86.088-10 
(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 heavy-duty engines for use only in vehicles with a Gross Vehicle 
Weight Rating over 14,000 pounds under the provisions of paragraph 
(a)(3) of Sec. 86.088-10, then the application must also attest that the 
engine family, together with all other engine families being certified 
under the provisions of paragraph (a)(3) of Sec. 86.088-10, 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.
    (iii)(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. 86.088-23(b)(1).
    (B)(1) A statement of the useful life of use of each light-duty 
truck engine family and heavy-duty engine family.
    (2) 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.
    (3) 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. 86.085-2, the class 
shall be determined on the basis of which class best represents the 
majority of the sales of that engine family.
    (7) For each light-duty vehicle 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.
    (8) For each light-duty vehicle engine family, the proposed 
composition of the emission-data test fleet and the durability-data test 
fleet.
    (c) Complete copies of the application and of any amendments 
thereto, and all notifications under Sec. 86.079-32, Sec. 86.079-33, and 
Sec. 86.082-84 shall be submitted in such multiple copies as the 
Administrator may require.
    (d) Incomplete light-duty trucks shall have a maximum completed curb 
weight and maximum completed frontal area specified by the manufacturer.
    (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. 86.085-2 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.

[54 FR 14468, Apr. 11, 1989, as amended at 55 FR 30618, July 26, 1990]



Sec. 86.090-22  Approval of application for certification; test fleet 
selections; determinations of parameters subject to adjustment for i

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. 86.090-24.

[[Page 116]]

    (b) 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, and incorporation of defeat devices 
in vehicles (or on engines) described by the application.
    (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)(1) The Administrator does not approve the test procedures for 
establishing the evaporative emission deterioration factors for light-
duty vehicles and light-duty trucks. The manufacturer shall submit the 
procedures as required in Sec. 86.090-21(b)(4)(i) prior to the 
Administrator's selection of the test fleet under Sec. 86.090-24(b)(1) 
and if such procedures will involve testing of durability-data vehicles 
selected by the Administrator or elected by the manufacturer under 
Sec. 86.090-24(c)(1), prior to initiation of such testing.
    (2) Light-duty trucks and heavy-duty engines only. The Administrator 
does not approve the test procedures for establishing exhaust emission 
deterioration factors. The manufacturer shall submit these procedures 
and determinations as required in Sec. 86.090-21(b)(4)(iii) 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. 86.090-23(b)(3).
    (e) 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 notify the manufacturer of his determinations.
    (1)(i) Except as noted in paragraph (e)(1)(iv) of this section, the 
Administrator may determine to be subject to adjustment the idle fuel-
air mixture parameter on Otto-cycle vehicles (or engines) (carbureted or 
fuel-injected); the choke valve action parameter(s) on carbureted, Otto-
cycle vehicles (or engines); or any parameter on any vehicle (or engine) 
(Otto-cycle or diesel) which is physically capable of being adjusted, 
may significantly affect emissions, and was not present on the 
manufacturer's vehicles (or engines) in the previous model year in the 
same form and function.
    (ii) The Administrator may, in addition, determine to be subject to 
adjustment any other parameters on any vehicle or engine which is 
physically capable of being adjusted and which may significantly affect 
emissions. However, the Administrator may do so only if he has 
previously notified the manufacturer that he might do so and has found, 
at the time he gave this notice, that the intervening period would be 
adequate to permit the development and application of the requisite 
technology, giving appropriate consideration to the cost of compliance 
within such period. In no event will this notification be given later 
than September 1 of the calendar year two years prior to the model year.
    (iii) In determining the parameters subject to adjustment the 
Administrator will consider the likelihood that, for each of the 
parameters listed in paragraphs (e)(1)(i) and (e)(1)(ii) of this 
section, settings other than the manufacturer's recommended setting will 
occur on in-use vehicles (or engines). In determining likelihood, the

[[Page 117]]

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 (e)(2)(ii) of 
this section shall not apply for that parameter.
    (iv) In determining the adequacy of a physical limit, stop, seal, or 
other means used to inhibit adjustment of a parameter not covered by 
paragraph (e)(2)(i) or (e)(2)(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

[[Page 118]]

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.
    (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 subpart G or K 
(Selective Enforcement Audit and Production Compliance Audit) only the 
actual settings to which the parameter is adjusted during production.
    (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)(1) If the manufacturer submits the information specified in 
Sec. 86.090-21(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.

[54 FR 14470, Apr. 11, 1989]



Sec. 86.090-24  Test vehicles and engines.

    (a)(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 
shall be defined as a separate engine family.
    (2) To be classed in the same engine family, engines must be 
identical in all the following respects:
    (i) The cylinder bore center-to-center dimensions.
    (ii)-(iii) [Reserved]
    (iv) The cylinder block configuration (air cooled or water cooled; 
L-6, 90 deg. V-8, etc.).
    (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 (e.g., 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 following features of each engine:
    (A) The bore and stroke.
    (B) The surface-to-volume ratio of the nominally dimensioned 
cylinder at the top dead center positions.

[[Page 119]]

    (C) The intake manifold induction port size 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 shall be 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 (a)(3) 
of this section, the Administrator will establish 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 following features of each engine:
    (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) Gasoline-fueled and methanol-fueled light-duty vehicles and 
light-duty trucks covered by an application for certification will be 
divided into groupings which are expected to have similar evaporative 
emission characteristics throughout their useful life. Each group of 
vehicles with similar evaporative emission characteristics shall be 
defined as a separate evaporative emission family.
    (6) For gasoline-fueled or methanol-fueled light-duty vehicles and 
light-duty trucks to be classed in the same evaporative emission family, 
vehicles must be similar with respect to:
    (i) Type of vapor storage device (e.g., canister, air cleaner, 
crankcase).
    (ii) Basic canister design.
    (iii) Fuel system.
    (7) Where vehicles are of a type which cannot be divided into 
evaporative emission families based on the criteria listed above, the 
Administrator will establish families for those vehicles based upon the 
features most related to their evaporative emission characteristics.
    (8)(i) If the manufacturer elects to participate in the Alternative 
Durability Program, the engine families covered by an application for 
certification shall be grouped based upon similar engine design and 
emission control system characteristics. Each of these groups shall 
constitute a separate engine family group.
    (ii) To be classed in the same engine family group, engine families 
must contain engines identical in all of the following respects:
    (A) The combustion cycle.
    (B) The cylinder block configuration (air-cooled or water-cooled; L-
6, V-8, rotary, etc.).
    (C) Displacement (engines of different displacement within 50 cubic 
inches or 15 percent of the largest displacement and contained within a 
multidisplacement engine family will be included in the same engine 
family group).
    (D) Catalytic converter usage and basic type (noncatalyst, oxidation 
catalyst only, three-way catalyst equipped).
    (9) Engine families identical in all respects listed in paragraph 
(a)(8) of this section may be further divided into different engine 
family groups if the Administrator determines that they are expected to 
have significantly different exhaust emission control system 
deterioration characteristics.
    (10) A manufacturer may request the Administrator to include in an 
engine family group, engine families in addition to those grouped under 
the provisions of paragraph (a)(8) of this section. This request must be 
accompanied by information the manufacturer believes supports the 
inclusion of these additional engine families.

[[Page 120]]

    (11) A manufacturer may combine into a single engine family group 
those light-duty vehicle and light-duty truck engine families which 
otherwise meet the requirements of paragraphs (a)(8) through (a)(10) of 
this section.
    (12) The vehicles covered by an application for certification 
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 shall be defined as a separate 
evaporative emission family.
    (13) For vehicles equipped with gasoline-fueled or methanol-fueled 
heavy-duty engines to be classed in the same evaporative emission 
family, vehicles must be identical with respect to:
    (i) Method of fuel/air metering (i.e., 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 classed in the same evaporative emission 
control system, vehicles must be identical with respect to:
    (i) Method of vapor storage.
    (ii) Method of carburetor sealing.
    (iii) Method of air cleaner sealing.
    (iv) Vapor storage working capacity, within a 20 g range.
    (v) Number of storage devices.
    (vi) Method of purging stored vapors.
    (vii) Method of venting the carburetor during both engine off and 
engine operation.
    (viii) Liquid fuel hose material.
    (ix) Vapor storage material.
    (15) Where vehicles equipped with gasoline-fueled or methanol-fueled 
heavy-duty engines are types which cannot be divided into evaporative 
emission family-control system combinations based on the criteria listed 
above, the Administrator will establish evaporative emission family-
control system combinations for those vehicles based on features most 
related to their evaporative emission characteristics.
    (16) No 1990 or later model year heavy-duty engine which is to be 
used to generate emission credits for 1991 and later banking, trading 
and averaging programs may also utilize nonconformance penalties (NCPs). 
Use of an NCP thus becomes an engine family criterion.
    (i) Use of either a NOX or a particulate matter NCP by an 
engine family precludes that family from generating both NOX 
and particulate matter emission credits.
    (ii) If a manufacturer desires to use both banked credits and NCPs 
on an engine family, two separate engine families must be established. 
One engine family must consist of engines certified for only credit use 
following the procedure specified in this subpart. The other engine 
family must be certified for only NCP use following the procedure as 
specified in 40 CFR part 86, subpart L.
    (17) Any 1990 or later model year urban bus engines which are to be 
used to generate PM credits for the 1991 and later model year urban bus 
PM standard shall be placed in separate engine families for 
certification purposes and the families shall be clearly designated as 
such in the application. Urban bus engines of different basic design 
will not be in the same family. If a manufacturer certifies two or more 
different urban bus engines these shall be in different engine families.
    (b) Emission data--(1) Emission-data vehicles. Paragraph (b)(1) of 
this section applies to light-duty vehicle and light-duty truck 
emission-data vehicles.
    (i) Vehicles will be chosen to be operated and tested for emission 
data based upon engine family groupings. Within each engine family, one 
test vehicle will be selected based on the following criteria: The 
Administrator shall select the vehicle with the heaviest equivalent test 
weight (including options) within the family. Then within that vehicle 
the Administrator shall select, 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 shall select one additional test vehicle from 
within each engine family. The vehicle selected shall be the vehicle 
expected to exhibit the highest emissions of those

[[Page 121]]

vehicles remaining in the engine family. If all vehicles within the 
engine family are similar the Administrator may waive the requirements 
of this paragraph.
    (iii) Within an engine family and exhaust emission control system, 
the manufacturer may alter any emission-data vehicle (or other vehicles 
such as including current or previous model year emission-data vehicles, 
fuel economy data vehicles, and development vehicles provided they meet 
emission-data vehicles, protocol) to represent more than one selection 
under paragraphs (b)(1) (i), (ii), (iv), or (vii) of this section.
    (iv) If the vehicles selected in accordance with paragraphs (b)(1) 
(i) and (ii) of this section do not represent each engine-system 
combination, then one vehicle of each engine-system combination not 
represented will be selected by the Administrator. The vehicle selected 
shall be the vehicle expected to exhibit the highest emissions of those 
vehicles remaining in the engine family.
    (v) For high-altitude exhaust emission compliance for each engine 
family, the manufacturer shall follow one of the following procedures:
    (A) The manufacturer will select for testing under high-altitude 
conditions the vehicle expected to exhibit the highest emissions from 
the nonexempt vehicles selected in accordance with Sec. 86.090-24(b)(1) 
(ii), (iii), and (iv) of this section or,
    (B) In lieu of testing vehicles according to paragraph (b)(1)(v)(A) 
of this section, a manufacturer may provide a statement in its 
application for certification that, based on the manufacturer's 
engineering evaluation of such high-altitude emission testing as the 
manufacturer deems appropriate,
    (1) That all light-duty vehicles not exempt under Sec. 86.090-8(h) 
comply with the emission standards at high-altitude, and
    (2) That light-duty trucks sold for principal use at designated 
high-altitude locations comply with the high-altitude emission 
requirements, and that all light-duty trucks sold at low-altitude, which 
are not exempt under Sec. 86.090-9(g)(2), are capable of being modified 
to meet high-altitude standards.
    (vi) If 90 percent or more of the engine family sales will be in 
California, a manufacturer may substitute emission-data vehicles 
selected by the California Air Resources Board criteria for the 
selections specified in paragraphs (b)(1) (i), (ii), and (iv) of this 
section.
    (vii)(A) Vehicles of each evaporative emission family will be 
divided into evaporative emission control systems.
    (B) The Administrator will select the vehicle expected to exhibit 
the highest evaporative emissions, from within each evaporative family 
to be certified, from among the vehicles represented by the exhaust 
emission-data selections for the engine family, unless evaporative 
testing has already been completed on the vehicle expected to exhibit 
the highest evaporative emissions for the evaporative family as part of 
another engine family's testing.
    (C) If the vehicles selected in accordance with paragraph 
(b)(1)(vii)(B) of this section do not represent each evaporative 
emission control system then the Administrator will select the highest 
expected evaporative emission vehicle from within the unrepresented 
evaporative system.
    (viii) For high-altitude evaporative emission compliance for each 
evaporative emission family, the manufacturer shall follow one of the 
following procedures:
    (A) The manufacturer will select for testing under high-altitude 
conditions the one nonexempt vehicle previously selected under 
paragraphs (b)(1)(vii) (B) or (C) of this section which is expected to 
have the highest level of evaporative emissions when operated at high 
altitude or
    (B) In lieu of testing vehicles according to paragraph 
(b)(1)(viii)(A) of this section, a manufacturer may provide a statement 
in its application for certification that based on the manufacturer's 
engineering evaluation of such high-altitude emission testing as the 
manufacturer deems appropriate,
    (1) That all light-duty vehicles not exempt under Sec. 86.090-8(h) 
comply with the emission standards at high altitude and

[[Page 122]]

    (2) That light-duty trucks sold for principal use at designated 
high-altitude locations comply with the high-altitude emission 
requirements, and that all light-duty trucks sold at low altitude, which 
are not exempt under Sec. 86.090-9(g)(2), are capable of being modified 
to meet high-altitude standards.
    (ix) Vehicles selected under paragraph (b)(1)(v)(A) of this section 
may be used to satisfy the requirements of (b)(1)(viii)(A) of this 
section.
    (x) Light-duty trucks only: (A) The manufacturer may reconfigure any 
of the low-altitude emission-data vehicles to represent the vehicle 
configuration required to be tested at high altitude.
    (B) The manufacturer is not required to test the reconfigured 
vehicle at low altitude.
    (2) Otto-cycle heavy-duty emission-data engines. Paragraph (b)(2) of 
this section applies to Otto-cycle heavy-duty engines.
    (i)-(ii) [Reserved]
    (iii) The Administrator shall select 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 as follows:
    (A) The Administrator shall select one emission-data engine first 
based on the largest displacement within the engine family. Then within 
the largest displacement the Administrator 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) The Administrator shall select one additional engine, from 
within each engine family. The engine selected shall be 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 paragraphs (b)(2) 
(ii) and (iii) of this section do not represent each engine 
displacement-exhaust emission control system combination, then one 
engine of each engine displacement-exhaust emission control system 
combination not represented shall be selected by the Administrator.
    (v) Within an engine family/displacement/control system, the 
manufacturer may alter any emission-data engine (or other engine 
including current or previous model year emission-data vehicles and 
development engines provided they meet the emission-data engines 
protocol) to represent more than one selection under paragraphs 
(b)(2)(iii) of this section.
    (3) Diesel heavy-duty emission-data engines. Paragraph (b)(3) of 
this section applies to diesel heavy-duty emission-data vehicles.
    (i) Engines will be chosen to be run for emission data based upon 
engine family groupings. Within each engine family, the requirements of 
this paragraph 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 shall be run for smoke emission data (diesel engines 
only) 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 shall also be selected. The 
engine with the highest fuel feed per stroke will usually be 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

[[Page 123]]

other engine including current or previous model year emission-data 
vehicles 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) Light-duty vehicle durability-data 
vehicles. Paragraph (c)(1) of this section applies to light-duty vehicle 
durability-data vehicles.
    (i) A durability-data vehicle will be selected by the Administrator 
to represent each engine-system combination. The vehicle selected shall 
be of the engine displacement with the largest projected sales volume of 
vehicles with that control-system combination in that engine family and 
will be designated by the Administrator as to transmission type, fuel 
system, inertia weight class, and test weight.
    (ii) A manufacturer may elect to operate and test additional 
vehicles to represent any engine-system combination. The additional 
vehicles must be of the same engine displacement, transmission type, 
fuel system and inertia weight class as the vehicle selected for that 
engine-system combination in accordance with the provisions of paragraph 
(c)(1)(i) of this section. Notice of an intent to operate and test 
additional vehicles shall be given to the Administrator no later than 30 
days following notification of the test fleet selection.
    (2) Light-duty trucks. Paragraph (c)(2) of this section applies to 
vehicles, engines, subsystems, or components used to establish exhaust 
emission deterioration factors for light-duty trucks.
    (i) The manufacturer shall select the vehicles, engines, subsystems, 
or components to be used to determine exhaust emission deterioration 
factors for each engine-family control system combination. Whether 
vehicles, engines, subsystems, or components are used, they shall be 
selected so that their emissions deterioration characteristics may be 
expected to represent those of in-use vehicles, based on good 
engineering judgment.
    (ii) [Reserved]
    (3) Heavy-duty engines. Paragraph (c)(3) of this section applies to 
engines, subsystems, or components used to establish exhaust emission 
deterioration factors for heavy-duty engines.
    (i) The manufacturer shall 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 shall be selected so 
that their emissions deterioration characteristics may be expected to 
represent those of in-use engines, based on good engineering judgment.
    (ii) [Reserved]
    (d) For purposes of testing under Sec. 86.084-26 (a)(9) or (b)(11), 
the Administrator may require additional emission-data vehicles (or 
emission-data engines) and durability-data vehicles (light-duty vehicles 
only) identical in all material respects to vehicles (or engines) 
selected in accordance with paragraphs (b) and (c) of this section, 
provided that the number of vehicles (or engines) selected shall not 
increase the size of either the emission-data fleet or the durability-
data fleet by more than 20 percent or one vehicle (or engine), whichever 
is greater.
    (e)(1) Any manufacturer whose projected sales for the model year in 
which certification is sought is less than:
    (i) 2,000 Otto-cycle light-duty vehicles, or
    (ii) 2,000 diesel light-duty vehicles, or
    (iii) 2,000 Otto-cycle light-duty trucks, or
    (iv) 2,000 diesel light-duty trucks, or
    (v) 2,000 Otto-cycle heavy-duty engines, or
    (vi) 2,000 diesel heavy-duty engines, may request a reduction in the 
number of test vehicles (or engines) determined in accordance with the 
foregoing provisions of this section. The Administrator may agree to 
such lesser number as he determines would meet the objectives of this 
procedure.
    (2) Any manufacturer may request to certify engine families with 
combined total sales of fewer than 10,000 light-duty vehicles, light-
duty trucks, and heavy-duty engines utilizing assigned deterioration 
factors prescribed by the Administrator. The assigned deterioration 
factors shall be applied only to entire engine families.

[[Page 124]]

    (f) In lieu of testing an emission-data or durability-data vehicle 
(or engine) selected under paragraph (b) or (c) of this section, and 
submitting data therefore, a manufacturer may, with the prior written 
approval of the Administrator, submit exhaust emission data and/or fuel 
evaporative emission data, as applicable on a similar vehicle (or 
engine) for which certification has previously been obtained or for 
which all applicable data required under Sec. 86.090-23 has previously 
been submitted.
    (g)(1) This paragraph applies to light-duty vehicles and light-duty 
trucks, but does not apply to the production vehicles selected under 
paragraph (h) of this section.
    (2)(i) Where it is expected that more than 33 percent of a carline, 
within an engine-system combination will be equipped with an item 
(whether that item is standard equipment or an option), the full 
estimated weight of that item shall be included in the curb weight 
computation for each vehicle available with that option in that carline, 
within that engine-system combination.
    (ii) Where it is expected that 33 percent or less of the carline, 
within an engine-system, will be equipped with an item of (whether that 
item is standard equipment or an option), no weight for that item will 
be added in computing curb weight for any vehicle in that carline, 
within that engine-system combination, unless that item is standard 
equipment on the vehicle.
    (iii) In the case of mutually exclusive options, only the weight of 
the heavier option will be added in computing curb weight.
    (iv) Optional equipment weighing less than 3 pounds per item need 
not be considered.
    (3)(i) Where it is expected that more than 33 percent of a carline, 
within an engine-system combination will be equipped with an item of 
(whether that item is standard equipment or an option) that can 
reasonably be expected to influence emissions, then such items shall 
actually be installed (unless excluded under paragraph (g)(3)(ii) of 
this section) on all emission data and durability data vehicles of that 
carline, within that engine-system combination, on which the items are 
intended to be offered in production. Items that can reasonably be 
expected to influence emissions are: air conditioning, power steering, 
power brakes and other items determined by the Administrator.
    (ii) If the manufacturer determines by test data or engineering 
evaluation that the actual installation of the optional equipment 
required by paragraph (g)(3)(i) of this section does not affect the 
emissions or fuel economy values, the optional equipment need not be 
installed on the test vehicle.
    (iii) The weight of the options shall be included in the design curb 
weight and also be represented in the weight of the test vehicles.
    (iv) The engineering evaluation, including any test data, used to 
support the deletion of optional equipment from test vehicles, shall be 
maintained by the manufacturer and shall be made available to the 
Administrator upon request.
    (4) Where it is expected that 33 percent or less of a carline, 
within an engine system combination will be equipped with an item of 
(whether that item is standard equipment or an option) that can 
reasonably be expected to influence emissions, that item shall not be 
installed on any emission data or durability data vehicles of that 
carline, within that engine-system combination, unless that item is 
standard equipment on the vehicle.
    (h) Alternative Durability Program durability-data vehicles. This 
section applies to light-duty vehicle and light-duty truck durability-
data vehicles selected under the Alternative Durability Program 
described in Sec. 86.085-13.
    (1) In order to update the durability data to be used to determine a 
deterioration factor for each engine family group, the Administrator 
will select durability-data vehicles from the manufacturer's production 
line. Production vehicles will be selected from each model year's 
production for those vehicles certified using the Alternative Durability 
Program procedures.
    (i) The Administrator shall select the production durability-data 
vehicle designs from the designs that the manufacturer offers for sale. 
For each model year and for each engine family group,

[[Page 125]]

the Administrator may select production durability-data vehicle designs 
of equal number to the number of engine families within the engine 
family group, up to a maximum of three vehicles.
    (ii) The production durability-data vehicles representing the 
designs selected in paragraph (h)(1)(i) of this section will be randomly 
selected from the manufacturer's production. The Administrator will make 
these random selections unless the manufacturer (with prior approval of 
the Administrator) elects to make the random selections.
    (iii) The manufacturer may select additional production durability-
data vehicle designs from within the engine family group. The production 
durability-data vehicles representing these designs shall be randomly 
selected from the manufacturer s production in accordance with paragraph 
(h)(l)(ii) of this section.
    (iv) For each production durability-data vehicle selected under 
paragraph (h)(1) of this section, the manufacturer shall provide to the 
Administrator (before the vehicle is tested or begins service 
accumulation) the vehicle identification number. Before the vehicle 
begins service accumulation the manufacturer shall also provide the 
Administrator with a description of the durability-data vehicle as 
specified by the Administrator.
    (v) In lieu of testing a production durability-data vehicle selected 
under paragraph (h)(1) of this section, and submitting data therefrom, a 
manufacturer may, with the prior written approval of the Administrator, 
submit exhaust emission data from a production vehicle of the same 
configuration for which all applicable data has previously been 
submitted.
    (2) If, within an existing engine family group, a manufacturer 
requests to certify vehicles of a new design, engine family, emission 
control system, or with any other durability-related design difference, 
the Administrator will determine if the existing engine family group 
deterioration factor is appropriate for the new design. If the 
Administrator cannot make this determination or deems the deterioration 
factor not appropriate, the Administrator shall select preproduction 
durability-data vehicles under the provisions of paragraph (c) of this 
section. If vehicles are then certified using the new design, the 
Administrator may select production vehicles with the new design under 
the provisions of paragraph (h)(1) of this section.
    (3) If a manufacturer reguests to certify vehicles of a new design 
that the Administrator determines are a new engine family group, the 
Administrator shall select preproduction durability data vehicles under 
the provisions of paragraph (c) of this section. If vehicles are then 
certified using the new design, the Administrator may select production 
vehicles of that design under the provisions of paragraph (h)(1) of this 
section.

[54 FR 14474, Apr. 11, 1989, as amended at 55 FR 30618, July 26, 1990]



Sec. 86.090-25  Maintenance.

    (a) Applicability. This section applies to light-duty vehicles, 
light-duty trucks, and heavy-duty engines.
    (1) Maintenance performed on vehicles, engines, subsystems, or 
components used to determine exhaust or evaporative emission 
deterioration factors is classified as either emission-related or non-
emission-related and each of these can be classified as either scheduled 
or unscheduled. Further, some emission-related maintenance is also 
classified as critical emission-related maintenance.
    (b) This section specifies emission-related scheduled maintenance 
for purposes of obtaining durability data and for inclusion in 
maintenance instructions furnished to purchasers of new motor vehicles 
and new motor vehicles engines under Sec. 86.087-38.
    (1) All emission-related scheduled maintenance for purposes of 
obtaining durability data must occur at the same mileage intervals (or 
equivalent intervals if engines, subsystems, or components are used) 
that will be specified in the manufacturer's maintenance instructions 
furnished to the ultimate purchaser of the motor vehicle or engine under 
Sec. 86.088-35. This maintenance schedule may be updated as necessary 
throughout the testing of the vehicle/engine provided that no 
maintenance operation is deleted from the

[[Page 126]]

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. 86.087-38. As 
provided below, EPA has determined that emission-related maintenance at 
shorter intervals than that outlined in paragraphs (b)(3) and (b)(4) of 
this section is not technologically necessary to ensure in-use 
compliance. However, the Administrator may determine that maintenance 
even more restrictive (e.g., longer intervals) than that listed in 
paragraphs (b)(3) and (b)(4) of this section is also not technologically 
necessary.
    (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, the following will not be accepted as technologically 
necessary, except as provided in paragraph (b)(7) of this section.
    (i)(A) The cleaning or replacement of light-duty vehicle or light-
duty truck spark plugs at 30,000 miles of use and at 30,000 mile 
intervals thereafter.
    (B) The cleaning or replacement of Otto-cycle heavy duty engine 
spark plugs at 25,000 miles (or 750 hours) of use and at 25,000 mile 
intervals (or 750-hour) intervals thereafter, for engines certified for 
use with unleaded fuel only.
    (4) For diesel powered light-duty vehicles, light-duty trucks, and 
heavy-duty engines, emission-related maintenance in addition to, or at 
shorter intervals than, the following will not be accepted as 
technologically necessary, except as provided in paragraph (b)(7) of 
this section.
    (i) For light-duty vehicles, the adjustment, cleaning, repair, or 
replacement of the following may not be performed within the 50,000-mile 
useful life of the vehicle:
    (A) Exhaust gas recirculation system (including all related filters 
and control valves).
    (B) Positive crankcase ventilation valve.
    (C) Fuel injectors.
    (D) Turbocharger.
    (E) Electronic engine control unit and its associated sensors and 
actuators.
    (F) Particulate trap or trap-oxidizer system (including related 
components).
    (ii) For light-duty trucks and heavy-duty engines, the adjustment, 
cleaning, repair, or replacement of the following 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 (including all related filters 
and control valves).
    (B) Positive crankcase ventilation valve.
    (C) Fuel injector tips (cleaning only).
    (iii) The following maintenance at 100,000 miles (or 3,000 hours) of 
use and at 100,000-mile (or 3,000-hour) intervals thereafter for light-
duty trucks and light heavy-duty engines, or, at 150,000 miles (or 4,500 
hours) of use and at 150,000-mile (or 4,500-hour) intervals thereafter 
for medium and heavy-duty engines: The adjustment, cleaning, repair, or 
replacement of:
    (A) Fuel injectors.
    (B) Turbocharger.
    (C) Electronic engine control unit and its associated sensors and 
actuators.
    (D) Particulate trap or trap-oxidizer system (including related 
components).
    (5) [Reserved]
    (6)(i) The following components are currently defined as critical 
emission-related components:
    (A) Catalytic converter.
    (B) Air injection system components.
    (C) Electronic engine control unit and its associated sensors 
(including oxygen sensor if installed) and actuators.
    (D) Exhaust gas recirculation system (including all related filters 
and control valves).

[[Page 127]]

    (E) Positive crankcase ventilation valve.
    (F) Evaporative emission control system components (excluding 
canister air filter).
    (G) Particulate trap or trap-oxidizer system.
    (ii) All critical emission-related scheduled maintenance must have a 
reasonable likelihood of being performed in-use. The manufacturer shall 
be required to show the reasonable likelihood of such maintenance being 
performed in-use, and such showing shall be made prior to the 
performance of the maintenance on the durability data vehicle. Critical 
emission-related scheduled maintenance items which satisfy one of the 
following conditions will be accepted as having a reasonable likelihood 
of the maintenance item being performed in-use:
    (A) Data are presented which establish for the Administrator a 
connection between emissions and vehicle performance such that as 
emissions increase due to lack of maintenance, vehicle performance will 
simultaneously deteriorate to a point unacceptable for typical driving.
    (B) Survey data are submitted which adequately demonstrate to the 
Administrator that, at an 80 percent confidence level, 80 percent of 
such engines already have this critical maintenance item performed in-
use at the recommended interval(s).
    (C) A clearly displayed visible signal system approved by the 
Administrator is installed to alert the vehicle driver that maintenance 
is due. A signal bearing the message ``maintenance needed'' or ``check 
engine,'' or a similar message approved by the Administrator, shall be 
actuated at the appropriate mileage point or by component failure. This 
signal must be continuous while the engine is in operation, and not be 
easily eliminated without performance of the required maintenance. 
Resetting the signal shall be a required step in the maintenance 
operation. The method for resetting the signal system shall be approved 
by the Administrator.
    (D) A manufacturer may desire to demonstrate through a survey that a 
critical maintenance item is likely to be performed without a visible 
signal on a maintenance item for which there is no prior in-use 
experience without the signal. To that end, the manufacturer may in a 
given model year market up to 200 randomly selected vehicles per 
critical emission-related maintenance item without such visible signals, 
and monitor the performance of the critical maintenance item by the 
owners to show compliance with paragraph (b)(6)(ii)(B) of this section. 
This option is restricted to two consecutive model years and may not be 
repeated until any previous survey has been completed. If the critical 
maintenance involves more than one 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, as amended in August 1977 (42 U.S.C. 7522(a)(3)).
    (7) Changes to scheduled maintenance. (i) For maintenance practices 
that existed prior to the 1980 model year, only the maintenance items 
listed in paragraphs (b)(3) and (b)(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

[[Page 128]]

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 paragraph (b)(7) of this section. The request shall be 
in writing, and shall include a statement specifying the manufacturer's 
objections to the Administrator's determinations, and data in support of 
such 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.
    (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, etc.) may be performed on durability-data vehicles at the 
intervals recommended by the manufacturer to the ultimate purchaser.
    (d) Unscheduled maintenance on light-duty durability data vehicles. 
(1) Unscheduled maintenance may be performed during the testing used to 
determine deterioration factors, except as provided in paragraphs (d)(2) 
and (d)(3) of this section, only under the following provisions:
    (i) A fuel injector or spark plug may be changed if a persistent 
misfire is detected.
    (ii) Readjustment of an Otto-cycle vehicle cold-start enrichment 
system may be performed if there is a problem of stalling.
    (iii) Readjustment of the engine idle speed (curb idle and fast 
idle) may be performed in addition to that performed as scheduled 
maintenance under paragraph (c) of this section, if the idle speed 
exceeds the manufacturer's recommended idle speed by 300 rpm or more, or 
if there is a problem of stalling.
    (2) Any other unscheduled vehicle, emission control system, or fuel 
system adjustment, repair, removal, disassembly, cleaning, or 
replacement during testing to determine deterioration factors shall be 
performed only with the advance approval of the Administrator. Such 
approval will be given if the Administrator:
    (i) Has made a preliminary determination that the part failure or 
system malfunction, or the repair of such failure or malfunction, does 
not render the vehicle or engine unrepresentative of vehicles or engines 
in-use, and does not require direct access to the combustion chamber, 
except for spark plug, fuel injection component, or removable prechamber 
removal or replacement; and,

[[Page 129]]

    (ii) Has made a determination that the need for maintenance or 
repairs is indicated by an overt indication of malfunction such as 
persistent misfiring, engine stalling, overheating, fluid leakage, loss 
of oil pressure, excessive fuel consumption or excessive power loss. The 
Administrator shall be given the opportunity to verify the existence of 
an overt indication of part failure and/or vehicle/engine malfunction 
(e.g., misfiring, stalling, black smoke), or an activation of an audible 
and/or visible signal, prior to the performance of any maintenance to 
which such overt indication or signal is relevant under the provisions 
of this section.
    (3) Emission measurement may not be used as a means of determining 
the need for unscheduled maintenance under paragraph (d)(2) of this 
section, except under the following conditions:
    (i) The Administrator may approve unscheduled maintenance on 
durability-data vehicles based upon a significant change in emission 
levels that indicates a vehicle or engine malfunction. In these cases 
the Administrator may first approve specific diagnostic procedures to 
identify the source of the problem. The Administrator may further 
approve of specific corrections to the problem after the problem has 
been identified. The Administrator may only approve the corrective 
action after it is determined that:
    (A) The malfunction was caused by nonproduction build practices or 
by a previously undetected design problem,
    (B) The malfunction will not occur in production vehicles or engines 
in-use, and
    (C) The deterioration factor generated by the durability-data 
vehicle or engine will remain unaffected by the malfunction or by the 
corrective action (e.g., the malfunction was present for only a short 
period of time before detection, replacement parts are functionally 
representative of the proper mileage or hours, etc.).
    (ii) Following any unscheduled maintenance approved under paragraph 
(d)(3)(i) of this section, the manufacturer shall perform an after-
maintenance emissions test. If the Administrator determines that the 
after-maintenance emission levels for any pollutant indicates that the 
deterioration factor is no longer representative of production, the 
Administrator may disqualify the durability-data vehicle or engine.
    (4) If the Administrator determines that part failure or system 
malfunction occurrence and/or repair rendered the vehicle/engine 
unrepresentative of vehicles in-use, the vehicle/engine shall not be 
used for determining deterioration factors.
    (5) Repairs to vehicle components of a durability data vehicle other 
than the engine, emission control system, or fuel system, shall be 
performed only as a result of part failure, vehicle system malfunction, 
or with the advance approval of the Administrator.
    (e) Maintenance on emission data vehicles and engines. (1) 
Adjustment of engine idle speed on emission data vehicles may be 
performed once before the low-mileage/low-hour emission test point. Any 
other engine, emission control system, or fuel system adjustment, 
repair, removal, disassembly, cleaning, or replacement on emission data 
vehicles shall be performed only with the advance approval of the 
Administrator.
    (2) Maintenance on light-duty truck emission-data vehicles selected 
under Sec. 86.090-24(b)(1) (v) or (vii), and permitted to be tested for 
purposes of Sec. 86.090-23(c)(1)(ii) under the provisions of 
Sec. 86.090-24(b)(2), may be performed in conjunction with emission 
control system modifications at the low-mileage test point, and shall be 
performed in accordance with the maintenance instructions to be provided 
to the ultimate purchaser required under Sec. 86.087-38.
    (3) Maintenance on those light-duty truck emission-data vehicles 
selected under 86.090-24(b)(1)(v) which are not capable of being 
modified in the field for the purpose of complying with emissions 
standards at an altitude other than that intended by the original 
design, may be performed in conjunction with the emission control system 
modifications at the low-mileage test point, and shall be approved in 
advance by the Administrator.
    (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

[[Page 130]]

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)(1) Paragraph (g) of this section applies to light-duty vehicles.
    (2) Complete emission tests (see Secs. 86.106 through 86.145) are 
required, unless waived by the Administrator, before and after scheduled 
maintenance approved for durability data vehicles. The manufacturer may 
perform emission tests before unscheduled maintenance. Complete emission 
tests are required after unscheduled maintenance which may reasonably be 
expected to affect emissions. The Administrator may waive the 
requirement to test after unscheduled maintenance. These test data may 
be submitted weekly to the Administrator, but shall be air posted or 
delivered within 7 days after completion of the tests, along with a 
complete record of all pertinent maintenance, including a preliminary 
engineering report of any malfunction diagnosis and the corrective 
action taken. A complete engineering report shall be delivered to the 
Administrator concurrently with the manufacturer's application for 
certification.
    (h) All test data, maintenance reports, and required engineering 
reports shall be compiled and provided to the Administrator in 
accordance with Sec. 86.090-23.

[53 FR 471, Jan. 7, 1988, as amended at 54 FR 14478, Apr. 11, 1989]



Sec. 86.090-26  Mileage and service accumulation; emission requirements.

    (a)(1) Paragraph (a) of this section applies to light-duty vehicles.
    (2) The procedure for mileage accumulation will be the Durability 
Driving Schedule as specified in appendix IV to this part. A modified 
procedure may also be used if approved in advance by the Administrator. 
Except with the advance approval of the Administrator, all vehicles will 
accumulate mileage at a measured curb weight which is within 100 pounds 
of the estimated curb weight. If the loaded vehicle weight is within 100 
pounds of being included in the next higher inertia weight class as 
specified in Sec. 86.129, the manufacturer may elect to conduct the 
respective emission tests at higher loaded vehicle weight.
    (3) Emission-data vehicles. Unless otherwise provided for in 
Sec. 86.090-23(a), emission-data vehicles shall be operated and tested 
as follows:
    (i) Otto-cycle. (A) The manufacturer shall determine, for engine 
family, the mileage 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 
4,000 miles on each test vehicle within an engine family without making 
a determination. Any vehicle used to represent emission-data vehicle 
selections under Sec. 86.090-24(b)(1) shall be equipped with an engine 
and emission control system that has accumulated at least the mileage 
determined under this paragraph. Fuel economy data generated from 
certification vehicles selected in accordance with Sec. 86.090-24(b)(1) 
with engine-system combinations that have accumulated more than 10,000 
kilometers (6,200 miles) shall be factored in accordance with 
Sec. 600.006-82(c). Complete exhaust and evaporative (if required) 
emission tests shall be conducted for each emission-data vehicle 
selection under Sec. 86.090-24(b)(1). The Administrator may determine 
under Sec. 86.090-24(f) that no testing is required.
    (B) Emission tests for emission-data vehicle(s) selected for testing 
under

[[Page 131]]

Sec. 86.090-24(b)(1) (v) or (viii) shall be conducted at the mileage at 
which the engine system combination is stabilized for emission testing 
under high-altitude conditions.
    (C) Exhaust and evaporative emissions tests for emission-data 
vehicle(s) selected for testing under Sec. 86.090-24(b)(1) (i), (ii), 
(iii), (iv), or (vii)(B) shall be conducted at the mileage at which the 
engine-system combination is stabilized for emission testing under low-
altitude conditions.
    (D) For each engine family, the manufacturer will either select one 
vehicle previously selected under Sec. 86.090-24(b)(1) (i) through (iv) 
to be tested under high-altitude conditions or provide a statement in 
accordance with Sec. 86.090-24(b)(1)(v). Vehicles shall meet emission 
standards under both low- and high-altitude conditions without manual 
adjustments or modifications. In addition, any emission control device 
used to conform with the emission standards under high-altitude 
conditions shall initially actuate (automatically) no higher than 4,000 
feet above sea level.
    (ii) Diesel. (A) The manufacturer shall determine, for each engine 
family, the mileage 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 
4,000 miles on each test vehicle within an engine family without making 
a determination. Any vehicle used to represent emission-data vehicle 
selections under Sec. 86.090-24(b)(1) shall be equipped with an engine 
and emission control system that has accumulated at least the mileage 
determined under this paragraph. Fuel economy data generated from 
certification vehicles selected in accordance with Sec. 86.090-24(b)(1) 
with engine-system combinations that have accumulated more than 10,000 
kilometers (6,200 miles) shall be factored in accordance with 
Sec. 600.006-82(c). Complete exhaust emission tests shall be conducted 
for each emission-data vehicle selection under Sec. 86.090-24(b)(1). The 
Administrator may determine under Sec. 86.090-24(f) that no testing is 
required.
    (B) Emission tests for emission-data vehicle(s) selected for testing 
under Sec. 86.090-24(b)(1)(v) shall be conducted at the mileage at which 
the engine-system combination is stabilized for emission testing under 
low-altitude conditions.
    (C) Exhaust and evaporative emission tests for emission-data 
vehicle(s) selected for testing under Sec. 86.090-24(b)(1) (i) through 
(iv) shall be conducted at the mileage at which the engine-system 
combination is stabilized for emission testing under low-altitude 
conditions.
    (D) For each engine family, the manufacturer will either select one 
vehicle previously selected under Sec. 86.090-24(b)(1) (i) through (iv) 
to be tested under high-altitude conditions or provide a statement in 
accordance with Sec. 86.090-24(b)(1)(v). Vehicles shall meet emission 
standards under both low- and high-altitude conditions without manual 
adjustments or modifications. In addition, any emission control device 
used to conform with the emission standards under high-altitude 
conditions shall initially actuate (automatically) no higher than 4,000 
feet above sea level.
    (4)(i) Durability data vehicles. (A) Unless otherwise provided for 
in Sec. 86.090-23(a), each durability-data vehicle shall be driven, with 
all emission control systems installed and operating, for 50,000 miles 
or such lesser distance as the Administrator may agree to as meeting the 
objective of this procedure.
    (B) Complete exhaust emission tests shall be made at test point 
mileage intervals that the manufacturer determines.
    (C) At a minimum, two complete exhaust emission tests shall be made. 
The first test shall be made at a distance not greater than 6,250 miles. 
The last shall be made at 50,000 miles.
    (D) The mileage interval between test points must be of equal length 
except for the interval between zero miles and the first test, and any 
interval before or after testing conducted in conjunction with vehicle 
maintenance as specified in Sec. 86.090-25(g)(2).
    (ii) The manufacturer may, at its option, alter the durability-data 
vehicle at the selected test point to represent

[[Page 132]]

emission-data vehicle(s) within the same engine/system combination and 
perform emission tests on the altered vehicle. Upon completion of 
emission testing, the manufacturer may return the test vehicle to the 
durability-data vehicle configuration prior to the continuation of 
mileage accumulation.
    (5)(i) All tests required by this subpart on emission-data vehicles 
shall be conducted at a mileage equal to or greater than the mileage the 
manufacturer determines under paragraph (a)(3) of this section.
    (ii) All tests required by this subpart on durability-data vehicles 
shall be conducted within 250 miles of each of the test points.
    (6)(i)(A) The manufacturer may conduct multiple tests at any test 
point at which the data are intended to be used in the deterioration 
factor. At each test point where multiple tests are conducted, the test 
results from all valid tests shall be averaged to determine the data 
point to be used in the deterioration factor calculation, except under 
paragraph (a)(6)(i)(B) of this section. The test results from emission 
tests performed before maintenance affecting emissions shall not be 
averaged with test results after the maintenance.
    (B) The manufacturer is not required to average multiple tests if 
the manufacturer conducts no more than three tests at each test point 
and if the number of tests at each test point is equal. All test points 
must be treated the same for all exhaust pollutants.
    (ii) 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 air posted or 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. 86.090-23. 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.
    (iii) The results of all emission tests shall be rounded, in 
accordance with ASTM E 29-67, to the number of decimal places contained 
in the applicable emission standard expressed to one additional 
significant figure.
    (7) Whenever a manufacturer intends to operate and test a vehicle 
which may be used for emission or durability data, the manufacturer 
shall retain in its records all information concerning all emissions 
tests and maintenance, including vehicle alterations to represent other 
vehicle selections. For emission-data vehicles, this information shall 
be submitted, including the vehicle description and specification 
information required by the Administrator, to the Administrator 
following the emission-data test. For durability-data vehicles, this 
information shall be submitted following the 5,000-mile test.
    (8) Once a manufacturer submits the information required in 
paragraphs (a)(7) of this section for a durability-data vehicle, the 
manufacturer shall continue to run the vehicle to 50,000 miles, and the 
data from the vehicle will be used in the calculations under 
Sec. 86.090-28. Discontinuation of a durability-data vehicle shall be 
allowed only with the consent of the Administrator.
    (9)(i) The Administrator may elect to operate and test any test 
vehicle during all or any part of the mileage accumulation and testing 
procedure. In such cases, the manufacturer shall provide the vehicle(s) 
to the Administrator with all information necessary to conduct this 
testing.
    (ii) The test procedures in Secs. 86.106 through 86.145 will be 
followed by the Administrator. The Administrator will test the vehicles 
at each test point. Maintenance may be performed by the manufacturer 
under such conditions as the Administrator may prescribe.
    (iii) The data developed by the Administrator for the engine-system 
combination shall be combined with any applicable data supplied by the 
manufacturer on other vehicles of that combination to determine the 
applicable

[[Page 133]]

deterioration factors for the combination. In the case of a significant 
discrepancy between data developed by the Administrator and that 
submitted by the manufacturer, the Administrator's data shall be used in 
the determination of deterioration factors.
    (10) Emission testing of any type with respect to any certification 
vehicle other than that specified in this part is not allowed except as 
such testing may be specifically authorized by the Administrator.
    (11) This section does not apply to testing conducted to meet the 
requirements of Sec. 86.090-23(b)(2).
    (b)(1) Paragraph (b) of this section applies to light-duty trucks.
    (2) There are three types of mileage or service accumulation 
applicable to light-duty trucks:
    (i) Mileage or service accumulation on vehicles, engines, 
subsystems, or components selected by the manufacturer under 
Sec. 86.090-24(c)(2)(i). The manufacturer determines the form and extent 
of this mileage or service accumulation, consistent with good 
engineering practice, and describes it in the application for 
certification.
    (ii) Mileage accumulation of the duration selected by the 
manufacturer on emission-data vehicles selected under Sec. 86.090-
24(b)(1). The procedure for mileage accumulation will be the Durability 
Driving Schedule as specified in appendix IV to this part. A modified 
procedure may also be used if approved in advance by the Administrator. 
Except with the advance approval of the Administrator, all vehicles will 
accumulate mileage at a measured curb weight which is within 100 pounds 
of the estimated curb weight. If the loaded vehicle weight is within 100 
pounds of being included in the next higher inertia weight class as 
specified in Sec. 86.129, the manufacturer may elect to conduct the 
respective emission tests at the test weight corresponding to the higher 
loaded vehicle weight.
    (iii) Service or mileage accumulation which may be part of the test 
procedures used by the manufacturer to establish evaporative emission 
deterioration factors.
    (3) Exhaust emission deterioration factors will be determined on the 
basis of the mileage or service accumulation described in paragraph 
(b)(2)(i) of this section and related testing, according to the 
manufacturer's procedures.
    (4) Each emission-data vehicle shall be operated and tested as 
follows:
    (i) Otto-cycle. (A) The manufacturer shall determine, for each 
engine family, the mileage 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 4,000 miles on each test vehicle within an engine family 
without making a determination. Any vehicle used to represent emission-
data vehicle selections under Sec. 86.090-24(b)(1) shall be equipped 
with an engine and emission control system that has accumulated at least 
the mileage determined under this paragraph. Fuel economy data generated 
from certification vehicles selected in accordance with Sec. 86.090-
24(b)(1) with engine-system combinations that have accumulated more than 
10,000 kilometers (6,200 miles) shall be factored in accordance with 
Sec. 600.006-82(c). Complete exhaust emission tests shall be conducted 
for each emission-data vehicle selection under Sec. 86.090-24(b)(1). The 
Administrator may determine under Sec. 86.090-24(f) that no testing is 
required.
    (B) Emission tests for emission-data vehicle(s) selected for testing 
under Sec. 86.090-24(b)(1) (v) or (viii) shall be conducted at the 
mileage at which the engine-system combination is stabilized for 
emission testing or at 6,436 kilometers (4,000-miles) under high-
altitude conditions.
    (C) Exhaust and evaporative emission tests for emission-data 
vehicle(s) selected for testing under Sec. 86.090-24(b)(1) (ii), (iii), 
(iv)(A), or (vii)(B) shall be conducted at the mileage at which the 
engine-system combination is stabilized for emission testing or at the 
6,436-kilometer (4,000-mile) test point under low-altitude conditions.
    (D) If the manufacturer recommends adjustments or modifications in 
order to conform to emission standards at high altitude, such 
adjustments or modifications shall be made to the test vehicle selected 
under Sec. 86.090-24(b)(1) (v) and (viii) (in accordance with the

[[Page 134]]

instructions to be provided to the ultimate purchaser) before being 
tested under high-altitude conditions.
    (ii) Diesel. (A) The manufacturer shall determine, for each engine 
family, the mileage 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 
4,000 miles on each test vehicle within an engine family without making 
a determination. Any vehicle used to represent emission-data vehicle 
selections under Sec. 86.090-24(b)(1) shall be equipped with an engine 
and emission control system that has accumulated at least the mileage 
determined under this paragraph. Fuel economy data generated from 
certification vehicles selected in accordance with Sec. 86.090-24(b)(1) 
with engine-system combinations that have accumulated more than 10,000 
kilometers (6,200 miles) shall be factored in accordance with 
Sec. 600.006-82(c). Complete exhaust emission tests shall be conducted 
for each emission-data vehicle selection under Sec. 86.090-24(b)(1). The 
Administrator may determine under Sec. 86.090-24(f) that no testing is 
required.
    (B) Emission tests for emission-data vehicle(s) selected for testing 
under Sec. 86.090-24(b)(1) (v) or (viii) shall be conducted at the 
mileage at which the engine-system combination is stabilized for 
emission testing or at 6,436-kilometer (4,000-miles) under high-altitude 
conditions.
    (C) Exhaust and evaporative emission tests for emission-data 
vehicle(s) selected for testing under Sec. 86.090-24(b)(1) (ii), (iii), 
(iv)(A), or (vii)(B) shall be conducted at the mileage at which the 
engine-system combination is stabilized for emission testing or at the 
6,436-kilometer (4,000-mile) test point under low-altitude conditions.
    (D) If the manufacturer recommends adjustments or modifications in 
order to conform to emission standards at high altitude, such 
adjustments or modifications shall be made to the test vehicle selected 
under Sec. 86.090-24(b)(1) (v) and (viii) (in accordance with the 
instructions to be provided to the ultimate purchaser) before being 
tested under high-altitude conditions.
    (ii) Diesel. (A) The manufacturer shall determine, for each engine 
family, the mileage 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 
4,000 miles on each test vehicle within an engine family without making 
a determination. Any vehicle used to represent emission-data vehicle 
selections under Sec. 86.090-24(b)(1) shall be equipped with an engine 
and emission control system that has accumulated at least the mileage 
determined under this paragraph. Fuel economy data generated from 
certification vehicles selection in accordance with Sec. 86.090-24(b)(1) 
with engine-system combinations that have accumulated more than 10,000 
kilometers (6,200 miles) shall be factored in accordance with 
Sec. 600.006-82(c). Complete exhaust emission tests shall be conducted 
for each emission-data vehicle selection under Sec. 86.090-24(b)(1). The 
Administrator may determine under Sec. 86.090-24(f) that no testing is 
required.
    (B) Emission tests for emission-data vehicle(s) selected for testing 
under Sec. 86.090-24(b)(1)(v) shall be conducted at the mileage at which 
the engine-system combination is stabilized for emission testing or at 
the 6,436-kilometer (4,000-mile) test point under low-altitude 
conditions.
    (C) Exhaust and evaporative emission tests for emission-data 
vehicle(s) selected for testing under Sec. 86.090-24(b)(1) (ii), (iii), 
and (iv) shall be conducted at the mileage at which the engine-system 
combination is stabilized for emission testing or at the 6,436-kilometer 
(4,000-mile) test point under low-altitude conditions.
    (D) If the manufacturer recommends adjustments or modifications in 
order to conform to emission standards at high altitude, such 
adjustments or modifications shall be made to the test vehicle selected 
under Sec. 86.090-24(b)(1) (v) and (viii) (in accordance with the 
instructions to be provided to the ultimate purchaser) before being 
tested under high-altitude conditions.

[[Page 135]]

    (iii) [Reserved]
    (iv) All tests required by this subpart on emission-data vehicles 
shall be conducted at a mileage equal to or greater than the mileage the 
manufacturer determines under paragraph (b)(4) of this section.
    (c)(1) Paragraph (c) of this section applies to heavy-duty engines.
    (2) There are two types of service accumulation applicable to heavy-
duty engines:
    (i) Service accumulation on engines, subsystems, or components 
selected by the manufacturer under Sec. 86.088-24(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. 86.090-24(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 paragraph (b)(2)(i) of 
this section 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. 86.090-24(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. 86.090-
24(b)(2). Evaporative emission controls need not be connected provided 
normal operating conditions are maintained in the engine induction 
system. The Administrator may determine under Sec. 86.090-24(f) that no 
testing is required.
    (d)(1) Paragraph (d) of this section applies to both light-duty 
trucks and 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 air posted or delivered to the Administrator within 7 days 
after completion of the tests. In addition, all test data shall be 
compiled and provided to the Administrator in accordance with 
Sec. 86.090-23. 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, in 
accordance with ASTM E 29-67, to the number of decimal places contained 
in the applicable emission standard expressed to one additional 
significant figure.
    (3) Whenever a manufacturer intends to operate and test a vehicle 
(or engine) which may be used for emission data, the manufacturer shall 
retain in its records all information concerning all emissions 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-data test.
    (4)-(5) [Reserved]
    (6) 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

[[Page 136]]

testing may be specifically authorized by the Administrator.

[54 FR 14478, Apr. 11, 1989]



Sec. 86.090-27  Special test procedures.

    (a) The Administrator may, on the basis of written application by a 
manufacturer, prescribe test procedures, other than those set forth in 
this part, for any light-duty vehicle, light-duty truck, heavy-duty 
engine, or heavy-duty vehicle which the Administrator determines is not 
susceptible to satisfactory testing by the procedures set forth in this 
part.
    (b) If the manufacturer does not submit a written application for 
use of special test procedures but the Administrator determines that a 
light-duty vehicle, light-duty truck, heavy-duty engine, or heavy-duty 
vehicle is not susceptible to satisfactory testing by the procedures set 
forth in this part, the Administrator shall notify the manufacturer in 
writing and set forth the reasons for such rejection in accordance with 
the provisions of Sec. 86.090-22(c).

[54 FR 14481, Apr. 11, 1989]



Sec. 86.091-2  Definitions.

    The definitions of Sec. 86.090-2 remain effective. The definitions 
listed in this section apply beginning with the 1991 model year.
    Urban bus means a heavy heavy-duty diesel-powered passenger-carrying 
vehicle with a load capacity of fifteen or more passengers and intended 
primarily for intra-city operation, i.e., within the confines of a city 
or greater metropolitan area. Urban bus operation is characterized by 
short rides and frequent stops. To facilitate this type of operation, 
more than one set of quick-operating entrance and exit doors would 
normally be installed. Since fares are usually paid in cash or tokens 
rather than purchased in advance in the form of tickets, urban buses 
would normally have equipment installed for collection of fares. Urban 
buses are also typically characterized by the absence of equipment and 
facilities for long distance travel, e.g., rest rooms, large luggage 
compartments, 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,

[[Page 137]]

shall be included. The required descriptions shall specify the steps 
taken to assure that the certification vehicle (or certification engine) 
with respect to its engine, drivetrain, fuel system, emission control 
system components, exhaust aftertreatment devices, smoke exhaust 
emission control system components, vehicle weight or any other devices 
or components, as applicable, that can reasonably be expected to 
influence exhaust or evaporative emissions, as applicable, will be 
representative of production vehicles (or engines) and that either all 
components and/or vehicles (or engine) construction processed, component 
inspection and selection techniques, and assembly techniques employed in 
constructing such vehicles (or engines) are reasonably likely to be 
implemented for production vehicles (or engines) or that they are as 
closely analogous as practicable to planned construction and assembly 
processed.
    (B) A complete record of all emission tests performed (except tests 
performed by EPA directly), including test results, the date and purpose 
of each test, and the number of miles accumulated on the vehicle (or the 
number of hours accumulated on the engine).
    (C) The date of each mileage (or service) accumulation run, listing 
the mileage (or number of operating hours) accumulated.
    (D) [Reserved]
    (E) A record and description of all maintenance and other servicing 
performed, giving the date of the maintenance or service and the reason 
for it.
    (F) A record and description of each test performed to diagnose 
engine or emission control system performance, giving the date and time 
of the test and the reason for it.
    (G) [Reserved]
    (H) A brief description of any significant events affecting the 
vehicle (or engine) during any time in the period covered by the history 
not described by an entry under one of the previous headings including 
such extraordinary events as vehicle accidents (or accidents involving 
the engine) or dynamometer runaway.
    (ii) Each such history shall be started on the date that the first 
of any of the 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.
    (3) All records, other than routine emission test records, required 
to be maintained under this subpart shall be retained by the 
manufacturer for a period of six (6) years after 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, 
ADP diskettes, 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) 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.

[[Page 138]]

    (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) The manufacturer (or contractor for the manufacturer, if 
applicable) shall retain all records required to be maintained under 
this section for a period of six 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.
    (4) Nothing in this section limits the Administrator's discretion in 
requiring the manufacturer to retain additional records or submit 
information not specifically required by this section.
    (5) Pursuant to a request made by the Administrator, the 
manufacturer shall submit to him the information that is required to be 
retained.
    (6) EPA may void ab initio a certificate of conformity for a vehicle 
or engine family for which the manufacturer fails to retain the records 
required in this section or to provide such information to the 
Administrator upon request.
    (7) Any engine family using NCPs must comply with the provisions 
established in the NCP program provided by 40 CFR part 86, subpart L.
    (8) Any manufacturer, producing an engine family participating in 
trading using reserved credits, shall maintain the following records on 
a quarterly basis for each engine family in the trading subclass:
    (i) The engine family,
    (ii) The averaging set,
    (iii) The actual quarterly and cumulative U.S. production volumes,
    (iv) The value required to calculate credits as given in 
Sec. 86.091-15,
    (v) The resulting type [NOX or particulate] and number of 
credits generated/required,
    (vi) How and where credit surpluses are dispersed, and
    (vii) How and through what means credit deficits are met.
    (d)(1) Any manufacturer who has applied for certification of a new 
motor vehicle (or new motor vehicle engine) subject to certification 
test under this subpart shall admit or cause to be admitted any EPA 
Enforcement Officer or any EPA authorized representative during 
operating hours on presentation of credentials to any of the following:
    (i) Any facility where any such tests or any procedures or 
activities connected with such test are or were performed.
    (ii) Any facility where any new motor vehicle (or new motor vehicle 
engine) which is being, was, or is to be tested is present.
    (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) 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;

[[Page 139]]

    (ii) To inspect and make copies of any such records, designs, or 
other documents, including those records specified in paragraph (c) of 
this section; and
    (iii) 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.
    (3) In order to allow the Administrator to determine whether or not 
production motor vehicles (or production motor vehicle engines) conform 
to the conditions upon which a certificate of conformity has been 
issued, or conform in all material respects to the design specifications 
which applied to those vehicles (or engines) described in the 
application for certification for which a certificate of conformity has 
been issued to standards prescribed under section 202 of the Act, any 
manufacturer shall admit any EPA Enforcement Officer or any EPA 
authorized representative on presentation of credentials to both:
    (i) Any facility where any document, design, or procedure relating 
to the translation of the design and construction of engines and 
emission related components described in the application for 
certification or used for certification testing into production vehicles 
(or production engines) is located or carried on;
    (ii) Any facility where any motor vehicles (or motor vehicle 
engines) to be introduced into commerce are manufactured or assembled; 
and
    (iii) Any facility where records specified in paragraph (c) of this 
section are located.
    (4) On admission to any such facility referred to in paragraph 
(d)(4) of this section, any EPA Enforcement Officer or any EPA 
authorized representative shall be allowed:
    (i) To inspect and monitor any aspects of such manufacture or 
assembly and other procedures;
    (ii) To inspect and make copies of any such records, documents or 
designs;
    (iii) To inspect and photograph any part or aspect of any such new 
motor vehicles (or new motor vehicle engines) and any component used in 
the assembly thereof that are reasonably related to the purpose of his 
entry; and
    (iv) To inspect and make copies of any records and documents 
specified in paragraph (c) of this section.
    (5) Any EPA Enforcement Officer or EPA authorized representative 
shall be furnished by those in charge of a facility being inspected with 
such reasonable assistance as he may request to help him discharge any 
function listed in this paragraph. Each applicant for or recipient of 
certification is required to cause those in charge of a facility 
operated for its benefit to furnish such reasonable assistance without 
charge to EPA whether or not the applicant controls the facility.
    (6) The duty to admit or cause to be admitted any EPA Enforcement 
Officer or EPA authorized representative applies whether or not the 
applicant owns or controls the facility in question and applies both to 
domestic and to foreign manufacturers and facilities. EPA will not 
attempt to make any inspections which it has been informed that local 
law forbids. However, if local law makes it impossible to do what is 
necessary to insure the accuracy of data generated at a facility, no 
informed judgment that a vehicle or engine is certifiable or is covered 
by a certificate can properly be based on those data. It is the 
responsibility of the manufacturer to locate its testing and 
manufacturing facilities in jurisdictions where this situation will not 
arise.
    (7) For purposes of this paragraph:
    (i) Presentation of credentials shall mean display of the document 
designating a person as an EPA Enforcement Officer or EPA authorized 
representative.
    (ii) Where vehicle, component, or engine storage areas or facilities 
are concerned, operating hours shall mean all times during which 
personnel other than custodial personnel are at work in the vicinity of 
the area or facility and have access to it.
    (iii) Where facilities or areas other than those covered by 
paragraph (d)(7)(ii) of this section are concerned, operating hours 
shall mean all times during which an assembly line is in operation or 
all times during which testing, maintenance, mileage (or service)

[[Page 140]]

accumulation, production or compilation of records, or any other 
procedure or activity related to certification testing, to translation 
of designs from the test stage to the production stage, or to vehicle 
(or engine) manufacture or assembly is being carried out in a facility.
    (iv) Reasonable assistance includes, but is not limited to, 
clerical, copying, interpretation and translation services, the making 
available on request of personnel of the facility being inspected during 
their working hours to inform the EPA Enforcement Officer or EPA 
authorized representative of how the facility operates and to answer his 
questions, and the performance on request of emissions tests on any 
vehicle (or engine) which is being, has been, or will be used for 
certification testing. Such tests shall be nondestructive, but may 
require appropriate mileage (or service) accumulation. A manufacturer 
may be compelled to cause the personal appearance of any employee at 
such a facility before an EPA Enforcement Officer or EPA authorized 
representative by written request for his appearance, signed by the 
Assistant Administrator for Air and Radiation, served on the 
manufacturer. Any such employee who has been instructed by the 
manufacturer to appear will be entitled to be accompanied, represented, 
and advised by counsel.
    (v) Any entry without 24 hour prior written or oral notification to 
the affected manufacturer shall be authorized in writing by the 
Assistant Administrator for Air and Radiation.
    (8) EPA may void ab initio a certificate of conformity for vehicle 
or engine families introduced into commerce if the manufacturer (or 
contractor for the manufacturer, if applicable) fails to comply with any 
provision of this section.
    (e) EPA Enforcement Officers or EPA authorized representatives are 
authorized to seek a warrant or court order authorizing the EPA 
Enforcement Officers or EPA authorized representatives to conduct 
activities related to entry and access as authorized in this section, as 
appropriate, to execute the functions specified in this section. EPA 
Enforcement Officers or EPA authorized representatives may proceed ex 
parte to obtain a warrant whether or not the Enforcement Officers first 
attempted to seek permission of the manufacturer or the party in charge 
of the facilities in question to conduct activities related to entry and 
access as authorized in this section.
    (f) A manufacturer shall permit EPA Enforcement Officers or EPA 
authorized representatives who present a warrant or court order as 
described in paragraph (e) of this section to conduct activities related 
to entry and access as authorized in this section and as described in 
the warrant or court order. The manufacturer shall cause those in charge 
of its facility or facility operated for its benefit to permit EPA 
Enforcement Officers or EPA authorized representatives to conduct 
activities related to entry and access as authorized in this section 
pursuant to a warrant or court order whether or not the manufacturer 
controls the facility. In the absence of such a warrant or court order, 
EPA Enforcement Officers or EPA authorized representatives may conduct 
activities related to entry and access as authorized in this section 
only upon the consent of the manufacturer or the party in charge of the 
facilities in question.
    (g) It is not a violation of this part or the Clean Air Act for any 
person to refuse to permit EPA Enforcement Officers or EPA authorized 
representatives to conduct activities related to entry and access as 
authorized in this section without a warrant or court order.

[55 FR 30619, July 26, 1990]



Sec. 86.091-9  Emission standards for 1991 and later model year light-duty trucks.

    (a)(1) The standards set forth in paragraphs (a) through (c) of this 
section shall apply to light-duty trucks sold for principal use at other 
than a designated high-altitude location. Exhaust emissions from 1991 
and later model year light-duty trucks shall not exceed:
    (i)(A) Hydrocarbons (for petroleum-fueled Otto-cycle and diesel 
light-duty trucks). 0.80 gram per vehicle mile (0.50 gram per vehicle 
kilometer).
    (B) Total Hydrocarbon Equivalent (for methanol-fueled Otto-cycle and 
diesel

[[Page 141]]

light-duty trucks). 0.80 gram per vehicle mile (0.50 gram per vehicle 
kilometer).
    (ii) Carbon monoxide.
    (A) 10 grams per vehicle mile (6.2 grams per vehicle kilometer).
    (B) 0.50 percent of exhaust gas flow at curb idle (for Otto-cycle 
and methanol-fueled diesel light-duty trucks only).
    (iii) Oxides of nitrogen.
    (A) For light-duty trucks up to and including 3,750 lbs loaded 
vehicle weight, 1.2 grams per vehicle mile (0.75 gram per vehicle 
kilometer).
    (B) For light-duty trucks greater loaded vehicle weight, 1.7 grams 
per vehicle mile (1.1 grams per vehicle kilometer).
    (C) A manufacturer may elect to include any light-duty truck engine 
families in the NOX averaging program, provided that it does 
not elect to pay an NCP for noncompliance with any emission standard 
applicable to that light-duty truck family. Trucks produced for sale in 
California or in designated high-altitude areas may be averaged only 
within each of those areas. Petroleum-fueled and methanol-fueled engine 
families may not be averaged together. Otto-cycle and diesel engine 
families may not be averaged together. If the manufacturer elects to 
participate in the NOX averaging program, individual family 
NOX emission limits may not exceed 2.3 grams per mile. If the 
manufacturer elects to average together NOX emissions of 
light-duty trucks subject to the standards of paragraphs (a)(1)(iii)(A) 
and (a)(1)(iii)(B) of this section, its composite NOX 
standard applies to the combined fleets of light-duty trucks up to and 
including, and over, 3750 lbs loaded vehicle weight included in the 
average, and is calculated as defined in Sec. 86.088-2.
    (iv) Particulate (for diesel light-duty trucks only).
    (A) For light-duty trucks up to and including 3,750 lbs loaded 
vehicle weight, 0.26 gram per vehicle mile (0.16 gram per vehicle 
kilometer).
    (B) For light-duty trucks 3,751 lbs and greater loaded vehicle 
weight, 0.13 gram per vehicle mile (0.08 gram per vehicle kilometer).
    (C) A manufacturer may elect to include any diesel light-duty truck 
engine families in the appropriate particulate averaging program 
(petroleum and methanol), provided that it does not elect to pay an NCP 
for noncompliance with any emission standard applicable to that light-
duty truck family. Trucks produced for sale in California or in 
designated high-altitude areas may be averaged only within each of those 
areas, and light-duty trucks subject to the standard of paragraph 
(a)(1)(iv)(B) of this section may be averaged only with other light-duty 
trucks subject to the standard of paragraph (a)(1)(iv)(B) of this 
section. Averaging is not permitted between fuel types. If the 
manufacturer elects to average both light-duty trucks subject to the 
standards of paragraphs (a)(1)(iv)(A) of this section and light-duty 
vehicles together in the appropriate particulate averaging program, its 
composite particulate standard applies to the combined set of light-duty 
vehicles and light-duty trucks that are included in the average and is 
calculated as defined in Sec. 86.088-2.
    (2) The standards set forth in paragraphs (a)(1)(i), (a)(1)(ii)(A), 
(a)(1)(iii), and (a)(1)(iv) of this section refer to the exhaust emitted 
over a driving schedule as set forth in subpart B of this part and 
measured and calculated in accordance with those procedures. The 
standard set forth in paragraph (a)(1)(ii)(B) of this section refers to 
the exhaust emitted at curb idle and measured and calculated in 
accordance with the procedures set forth in subpart P of this part.
    (b) Fuel evaporative emissions from 1991 and later model year light-
duty trucks shall not exceed (compliance with these standards is 
optional for 1991 model year methanol-fueled vehicles):
    (1) Hydrocarbons (for gasoline-fueled light-duty trucks). 2.0 grams 
per test.
    (2) Total Hydrocarbon Equivalent (for methanol-fueled light-duty 
trucks). 2.0 grams per test.
    (3) The standards set forth in paragraphs (b) (1) and (2) of this 
section refer to a composite sample of the fuel evaporative emissions 
collected under the conditions set forth in subpart B of this part and 
measured in accordance with those procedures.

[[Page 142]]

    (c) No crankcase emissions shall be discharged into the ambient 
atmosphere from any 1991 and later model year light-duty truck.
    (d)(1) Model year 1991 and later light-duty trucks sold for 
principal use at a designated high-altitude location shall be capable of 
meeting the following exhaust emission standards when tested under high-
altitude conditions:
    (i)(A) Hydrocarbons (for petroleum-fueled Otto-cycle and diesel 
light-duty trucks). 1.0 grams per vehicle mile (0.62 grams per vehicle 
kilometer).
    (B) Total Hydrocarbon Equivalent (for methanol-fueled Otto-cycle and 
diesel light-duty trucks). 1.0 gram per vehicle mile (0.62 gram per 
vehicle kilometer).
    (ii) Carbon Monoxide. (A) 14 grams per vehicle mile (8.7 grams per 
vehicle kilometer).
    (B) 0.50 percent of exhaust gas flow at curb idle (for Otto-cycle 
and methanol-fueled diesel light duty trucks only).
    (iii) Oxides of Nitrogen. (A) For light-duty trucks up to and 
including 3,750 lbs loaded vehicle weight, 1.2 grams per vehicle mile 
(0.75 grams per vehicle kilometer).
    (B) For light-duty trucks 3,751 lbs and greater loaded vehicle 
weight, 1.7 grams per vehicle mile (1.1 grams per vehicle kilometer).
    (iv) Particulate (for diesel light-duty trucks only). (A) For light-
duty trucks up to and including 3,750 lbs loaded vehicle weight, 0.26 
gram per vehicle mile (0.16 gram per vehicle kilometer).
    (B) For light-duty trucks 3,751 lbs and greater loaded vehicle 
weight, 0.13 gram per vehicle mile (0.08 gram per vehicle kilometer).
    (2) The standards set forth in paragraphs (d)(1)(i), (d)(1)(ii)(A), 
(d)(1)(iii), and (d)(1)(iv) of this section refer to the exhaust emitted 
over a driving schedule as set forth in subpart B of this part and 
measured and calculated in accordance with those procedures. The 
standard set forth in paragraph (d)(1)(ii)(B) of this section refers to 
the exhaust emitted at curb idle and measured and calculated in 
accordance with the procedures set forth in subpart P of this part.
    (e) Fuel evaporative emissions from 1991 and later model year light-
duty trucks sold for principal use at a designated high-altitude 
location, when tested under high-altitude conditions, shall not exceed:
    (1) Hydrocarbons (for gasoline-fueled light-duty trucks). 2.6 grams 
per test.
    (2) Total Hydrocarbon Equivalent (for methanol-fueled light-duty 
trucks). 2.6 grams per test.
    (3) The standards set forth in paragraphs (e) (1) and (2) of this 
section refer to a composite sample of the fuel evaporative emissions 
collected under the conditions set forth in subpart B of this part and 
measured in accordance with those procedures.
    (f) No crankcase emissions shall be discharged into the ambient 
atmosphere from any 1991 and later model year light-duty trucks sold for 
principal use at a designated high-altitude location.
    (g)(1) Any light-duty truck that a manufacturer wishes to certify 
for sale at low altitude must be capable of meeting high-altitude 
emission standards (specified in paragraphs (d) through (f) of this 
section). The manufacturer may specify vehicle adjustments or 
modifications to allow the vehicle to meet high-altitude standards but 
these adjustments or modifications may not alter the vehicle's basic 
engine, inertia weight class, transmission configuration, and axle 
ratio.
    (i) A manufacturer may certify unique configurations to meet the 
high-altitude standards but is not required to certify these vehicle 
configurations to meet the low-altitude standards.
    (ii) Any adjustments or modifications that are recommended to be 
performed on vehicles to satisfy the requirements of paragraph (g)(1) of 
this section:
    (A) Shall be capable of being effectively performed by commercial 
repair facilities, and
    (B) Must be included in the manufacturer's application for 
certification.
    (2) The manufacturer may exempt 1991 and later model year vehicles 
from compliance with the high-altitude emission standards set forth in 
paragraphs (d) and (e) of this section if the vehicles are not intended 
for sale at high altitude and if the following requirements are met. A 
vehicle configuration shall only be considered eligible

[[Page 143]]

for exemption if the requirements of either paragraph (g)(2) (i), (ii), 
(iii), or (iv) of this section are met.
    (i) Its design parameters (displacement-to-weight ratio (D/W) and 
engine speed-to-vehicle-speed ratio (N/V)) fall within the exempted 
range for that manufacturer for that year. The exempted range is 
determined according to the following procedure:
    (A) The manufacturer shall graphically display the D/W and N/V data 
of all vehicle configurations it will offer for the model year in 
question. The axis of the abscissa shall be D/W (where (D) is the engine 
displacement expressed in cubic centimeters and (W) is the gross vehicle 
weight (GVW) expressed in pounds), and the axis of the ordinate shall be 
N/V (where (N) is the crankshaft speed expressed in revolutions per 
minute and (V) is the vehicle speed expressed in miles per hour). At the 
manufacturer's option, either the 1:1 transmission gear ratio or the 
lowest numerical gear ratio available in the transmission will be used 
to determine N/V. The gear selection must be the same for all N/V data 
points on the manufacturer's graph. For each transmission/axle ratio 
combination, only the lowest N/V value shall be used in the graphical 
display.
    (B) The product line is then defined by the equation, N/V = C(D/
W)-0.9 where the constant, C, is determined by the 
requirement that all the vehicle data points either fall on the line or 
lie to the upper right of the line as displayed on the graphs.
    (C) The exemption line is then defined by the equation, N/V = C(0.84 
D/W)-0.9 where the constant, C, is the same as that found in 
paragraph (g)(2)(i)(B) of this section.
    (D) The exempted range includes all values of N/V and D/W which 
simultaneously fall to the lower left of the exemption line as drawn on 
the graph.
    (ii) Its design parameters fall within the alternate exempted range 
for that manufacturer that year. The alternate exempted range is 
determined by substituting rated horsepower (hp) for displacement (D) in 
the exemption procedure described in paragraph (g)(2)(i) of this section 
and by using the product line N/V = C(hp/W)-0.9.
    (A) Rated horsepower shall be determined by using the Society of 
Automotive Engineers Test Procedure J 1349, or any subsequent version of 
that test procedure. Any of the horsepower determinants within that test 
procedure may be used, as long as it is used consistently throughout the 
manufacturer's product line in any model year.
    (B) No exemptions will be allowed under paragraph (g)(2)(ii) of this 
section to any manufacturer that has exempted vehicle configurations as 
set forth in paragraph (g)(2)(i) of this section.
    (iii) Its acceleration time (the time it takes a vehicle to 
accelerate from 0 to a speed not less than 40 miles per hour and not 
greater than 50 miles per hour) under high-altitude conditions is 
greater than the largest acceleration time under low-altitude conditions 
for that manufacturer for that year. The procedure to be followed in 
making this determination is:
    (A) The manufacturer shall list the vehicle configuration and 
acceleration time under low-altitude conditions of that vehicle 
configuration which has the highest acceleration time under low-altitude 
conditions of all the vehicle configurations it will offer for the model 
year in question. The manufacturer shall also submit a description of 
the methodology used to make this determination.
    (B) The manufacturer shall then list the vehicle configurations and 
acceleration times under high-altitude conditions of all those vehicles 
configurations which have higher acceleration times under high-altitude 
conditions than the highest acceleration time at low altitude identified 
in paragraph (g)(2)(iii)(A) of this section.
    (iv) In lieu of performing the test procedure of paragraph 
(g)(2)(iii) of this section, its acceleration time can be estimated 
based on the manufacturer's engineering evaluation, in accordance with 
good engineering practice, to meet the exemption criteria of paragraph 
(g)(2)(iii) of this section.
    (3) The sale of a vehicle for principal use at a designated high-
altitude location that has been exempted as set forth in paragraph 
(g)(2) of this section

[[Page 144]]

will be considered a violation of section 203(a)(1) of the Clean Air 
Act.

[53 FR 43876, Oct. 31, 1988, as amended at 54 FR 14612, Apr. 11, 1989; 
55 FR 46627, Nov. 5, 1990]



Sec. 86.091-10  Emission standards for 1991 and later model year Otto-cycle heavy-duty engines and vehicles.

    (a)(1) Exhaust emissions from new 1991 and later model year Otto-
cycle heavy-duty engines shall not exceed (compliance with these 
standards is optional through the 1996 model year natural gas- and 
liquefied petroleum gas-fueled heavy-duty engines):
    (i) For Otto-cycle heavy-duty engines fueled with either gasoline or 
liquefied petroleum gas, and intended for use in all vehicles except as 
provided in paragraph (a)(3) of this paragraph.
    (A) Hydrocarbons. 1.1 grams per brake horsepower-hour (0.41 gram per 
megajoule), as measured under transient operating conditions.
    (B) Carbon monoxide. (1) 14.4 grams per brake horsepower-hour (5.36 
grams per megajoule), as measured under transient operating conditions.
    (2) For Otto-cycle heavy-duty engines fueled with either gasoline or 
liquefied petroleum gas and utilizing aftertreatment technology. 0.50 
percent of exhaust gas flow at curb idle.
    (C) Oxides of nitrogen. (1) 5.0 grams per brake horsepower-hour (1.9 
grams per megajoule), as measured under transient operating conditions.
    (2) A manufacturer may elect to include any or all of its gasoline-
fueled Otto-cycle heavy duty engine families in any or all of the 
NOX averaging, trading, or banking programs for heavy-duty 
engines, within the restrictions described in Sec. 86.091-15. If the 
manufacturer elects to include engine families in any of these programs, 
the NOX FELs may not exceed 6.0 grams per brake horsepower-
hour (2.2 grams per megajoule). This ceiling value applies whether 
credits for the family are derived from averaging, trading, or banking 
programs.
    (3) A manufacturer may elect to include any or all of its liquefied 
petroleum gas-fueled Otto-cycle heavy-duty engine families in any or all 
of the NOX averaging, trading, or banking programs for heavy-
duty engines, within the restrictions described in Sec. 86.091-15. If 
the manufacturer elects to include engine families in any of these 
programs, the NOX FELs may not exceed 6.0 grams per brake 
horsepower-hour (2.2 grams per megajoule). This ceiling value applies 
whether credits for the family are derived from averaging, trading or 
banking programs.
    (ii) For Otto-cycle heavy-duty engines fueled with either gasoline 
or liquefied petroleum gas, and intended for use only in vehicles with a 
Gross Vehicle Weight Rating of greater than 14,000 lbs.
    (A) Hydrocarbons. 1.9 grams per brake horsepower-hour (0.71 gram per 
megajoule), as measured under transient operating conditions.
    (B) Carbon Monoxide. (1) 37.1 grams per brake horsepower-hour (13.8 
grams per megajoule), as measured under transient operating conditions.
    (2) For Otto-cycle heavy-duty engines fueled with either gasoline or 
liquefied petroleum gas and utilizing aftertreatment technology. 0.50 
percent of exhaust gas flow at curb idle.
    (C) Oxides of nitrogen. (1) 5.0 grams per brake horsepower-hour (1.9 
grams per megajoule), as measured under transient operating conditions.
    (2) A manufacturer may elect to include any or all of its gasoline-
fueled Otto-cycle heavy-duty engine families in any or all of the 
NOX averaging, trading, or banking programs for heavy-duty 
engines, within the restrictions described in Sec. 86.091-15. If the 
manufacturer elects to include engine families in any of these programs, 
the NOX FELs may not exceed 6.0 grams per brake horsepower-
hour (2.2 grams per megajoule). This ceiling value applies whether 
credits for the family are derived from averaging, trading or banking 
programs.
    (3) A manufacturer may elect to include any or all of its liquefied 
petroleum gas-fueled Otto-cycle heavy-duty engine families in any or all 
of the NOX averaging, trading or banking programs for heavy-
duty engines, within the restrictions described in Sec. 86.091-15. If 
the manufacturer elects to include engine families in any of these 
programs, the NOX FELs may not exceed 6.0 grams per brake 
horsepower-hour

[[Page 145]]

(2.2 grams per megajoule). This ceiling value applies whether credits 
for the family are derived from averaging, trading or banking programs.
    (iii) For methanol-fueled Otto-cycle heavy-duty engines intended for 
use in all vehicles, except as provided in paragraph (a)(3) of this 
section.
    (A) Total Hydrocarbon Equivalent. 1.1 gram per brake horsepower-hour 
(0.41 gram per megajoule), as measured under transient operating 
conditions.
    (B) Carbon monoxide. (1) 14.4 grams per brake horsepower-hour (5.36 
grams per megajoule), as measured under transient operating conditions.
    (2) 0.50 percent of exhaust gas flow at curb idle.
    (C) Oxides of nitrogen. (1) 5.0 grams per brake horsepower-hour (1.9 
grams per megajoule), as measured under transient operating conditions.
    (2) A manufacturer may elect to include any or all of its methanol-
fueled Otto-cycle heavy-duty engine families in any or all of the 
NOX averaging, trading, or banking programs for heavy-duty 
engines, within the restrictions described in Sec. 86.091-15. If the 
manufacturer elects to include engine families in any of these programs, 
the NOX FELs may not exceed 6.0 grams per brake horsepower-
hour (2.2 grams per megajoule). This ceiling value applies whether 
credits for the family are derived from averaging, trading or banking 
programs.
    (iv) For methanol-fueled Otto-cycle heavy-duty engines intended for 
use only in vehicles with a Gross Vehicle Weight Rating of greater than 
14,000 lbs.
    (A) Total Hydrocarbon Equivalent. 1.9 grams per brake horsepower-
hour (0.71 gram per megajoule), as measured under transient operating 
conditions.
    (B) Carbon monoxide. (1) 37.1 grams per brake horsepower-hour (13.8 
grams per megajoule), as measured under transient operating conditions.
    (2) 0.50 percent of exhaust gas flow at curb idle.
    (C) Oxides of nitrogen. (1) 5.0 grams per brake horsepower-hour (1.9 
grams per megajoule), as measured under transient operating conditions.
    (2) A manufacturer may elect to include any or all of its methanol-
fueled Otto-cycle heavy-duty engine families in any or all of the 
NOX averaging, trading, or banking programs for heavy-duty 
engines, within the restrictions described in Sec. 86.091-15. If the 
manufacturer elects to include engine families in any of these programs, 
the NOX FELs may not exceed 6.0 grams per brake horsepower-
hour (2.2 grams per megajoule). This ceiling value applies whether 
credits for the family are derived from averaging, trading or banking 
programs.
    (v) For natural gas-fueled Otto-cycle heavy-duty engines intended 
for use in all vehicles except as provided in paragraph (a)(3) of this 
section.
    (A) Nonmethane hydrocarbons. 0.9 gram per brake horsepower-hour 
(0.33 gram per megajoule), as measured under transient operating 
conditions.
    (B) Carbon monoxide. (1) 14.4 grams per brake horsepower-hour (5.36 
grams per megajoule), as measured under transient operating conditions.
    (2) For natural gas-fueled Otto-cycle heavy-duty engines utilizing 
aftertreatment technology. 0.50 percent of exhaust flow at curb idle.
    (C) Oxides of nitrogen. (1) 5.0 grams per brake horsepower-hour (1.9 
grams per megajoule), as measured under transient operating conditions.
    (2) A manufacturer may elect to include any or all of its natural 
gas-fueled Otto-cycle heavy-duty engine families in any or all of the 
NOX averaging, trading or banking programs for heavy-duty 
engines, within the restrictions described in Sec. 86.091-15. If the 
manufacturer elects to include engine families in any of these programs, 
the NOX FELs may not exceed 6.0 grams per brake horsepower-
hour (2.2 grams per megajoule). This ceiling value applies whether 
credits for the family are derived from averaging, trading or banking 
programs.
    (vi) For natural gas-fueled Otto-cycle engines intended for use only 
in vehicles with a Gross Vehicle Weight Rating of greater than 14,000 
lbs.
    (A) Nonmethane hydrocarbons. 1.7 grams per brake horsepower-hour 
(0.63 gram per megajoule), as measured under transient operating 
conditions.
    (B) Carbon monoxide. (1) 37.1 grams per brake horsepower-hour (13.8 
grams per megajoule), as measured under transient operating conditions.

[[Page 146]]

    (2) For natural gas-fueled Otto-cycle heavy-duty engines utilizing 
aftertreatment technology. 0.50 percent of exhaust gas flow at curb 
idle.
    (C) Oxides of nitrogen. (1) 5.0 grams per brake horsepower-hour (1.9 
grams per megajoule), as measured under transient operating conditions.
    (2) A manufacturer may elect to include any or all of its natural 
gas-fueled Otto-cycle heavy-duty engine families in any or all of the 
NOX averaging, trading or banking programs for heavy-duty 
engines, within the restrictions described in Sec. 86.091-15. If the 
manufacturer elects to include engine families in any of these programs, 
the NOX FELs may not exceed 6.0 grams per brake horsepower-
hour (2.2 grams per megajoule). This ceiling value applies whether 
credits for the family are derived from averaging, trading or banking 
programs.
    (2) The standards set forth in paragraph (a)(1) of this section 
refer to the exhaust emitted over the operating schedule set forth in 
paragraph (f)(1) of appendix I to this part, and measured and calculated 
in accordance with the procedures set forth in subpart N or P.
    (3)(i) A manufacturer may certify one or more Otto-cycle heavy-duty 
engine configurations intended for use in all vehicles to the emission 
standards set forth in paragraphs (a)(1)(ii), (a)(1)(iv) or (a)(1)(vi) 
of this section: Provided, that the total model year sales of such 
configuration(s), segregated by fuel type, being certified to the 
emission standards in paragraph (a)(1)(ii) of this section represent no 
more than five percent of total model year sales of each fuel type Otto-
cycle heavy-duty engine intended for use in vehicles with a Gross 
Vehicle Weight Rating of up to 14,000 pounds by the manufacturer.
    (ii) The configurations certified to the emission standards of 
paragraphs (a)(1) (ii), (iv) and (vi) of this section under the 
provisions of paragraph (a)(3)(i) of this section shall still be 
required to meet the evaporative emission standards set forth in 
paragraphs (b)(1)(i), (b)(2)(i) and (b)(3)(i) of this section.
    (b) Evaporative emissions from 1991 and later model year heavy-duty 
vehicles shall not exceed:
    (1) Hydrocarbons (for vehicles equipped with gasoline-fueled 
engines). (i) For vehicles with a Gross Vehicle Weight Rating of up to 
14,000 lbs, 3.0 grams per test.
    (ii) For vehicles with a Gross Vehicle Weight Rating of greater than 
14,000 lbs, 4.0 grams per test.
    (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, 3.0 grams per test.
    (ii) For vehicles with a Gross Vehicle Weight Rating of greater than 
14,000 lbs, 4.0 grams per test.
    (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 set forth in subpart M and measured in 
accordance with those procedures.
    (ii) For vehicles with a Gross Vehicle Weight Rating of greater than 
26,000 lbs., the standards set forth in paragraphs (b)(1)(ii) and 
(b)(2)(ii) of this section refer to the manufacturer's engineering 
design evaluation using good engineering practice (a statement of which 
is required in Sec. 86.091-23(b)(4)(ii)).
    (c) No crankcase emissions shall be discharged into the ambient 
atmosphere from any new 1991 or later model year Otto-cycle heavy-duty 
engine.
    (d) Every manufacturer of new motor vehicle engines subject to the 
standards prescribed in this section shall, prior to taking any of the 
actions specified in section 203(a)(1) of the Act, test or cause to be 
tested motor vehicle engines in accordance with applicable procedures in 
subpart N or P of this part to ascertain that such test engines meet the 
requirements of paragraphs (a) and (c) of this section.


(Secs. 202, 203, 206, 207, 208, 301a, Clean Air Act, as amended; 42 
U.S.C. 7521, 7522, 7525, 7541, 7542, 7601a)

[50 FR 10652, Mar. 15, 1985, as amended at 54 FR 14464, Apr. 11, 1989; 
55 FR 30622, July 26, 1990; 59 FR 48492, Sept. 21, 1994]

[[Page 147]]



Sec. 86.091-11  Emission standards for 1991 and later model year diesel heavy-duty engines.

    (a)(1) Exhaust emissions from new 1991 and later model year diesel 
heavy-duty engines shall not exceed the following:
    (i)(A) Hydrocarbons (for petroleum-fueled diesel engines). 1.3 grams 
per brake horsepower-hour (0.48 gram per megajoule), as measured under 
transient operating conditions.
    (B) Total Hydrocarbon Equivalent (for methanol-fueled diesel 
engines). 1.3 grams per brake horsepower-hour (0.48 gram per megajoule), 
as measured under transient operating conditions.
    (ii) Carbon monoxide. (A) 15.5 grams per brake horsepower-hour (5.77 
grams per megajoule), as measured under transient operating conditions.
    (B) 0.50 percent of exhaust gas flow at curb idle (methanol-fueled 
diesel only).
    (iii) Oxides of nitrogen. (A) 5.0 grams per brake horsepower-hour 
(1.9 grams per megajoule), as measured under transient operating 
conditions.
    (B) A manufacturer may elect to include any or all of its diesel 
heavy-duty engine families in any or all of the NOX 
averaging, trading, or banking programs for heavy-duty engines, within 
the restrictions described in Sec. 86.091-15. If the manufacturer elects 
to include engine families in any of these programs, the NOX 
FELs may not exceed 6.0 grams per brake horsepower-hour (2.2 grams per 
megajoule). This ceiling value applies whether credits for the family 
are derived from averaging, trading or banking programs.
    (iv) Particulate (A) For all diesel engines, including those to be 
used in urban buses, 0.25 gram per brake horsepower-hour (0.093 gram per 
megajoule) as measured under transient operating conditions.
    (B) [Reserved]
    (C) A manufacturer may elect to include any or all of its diesel 
heavy-duty engine families in any or all of the particulate averaging, 
trading, or banking programs for heavy-duty engines, within the 
restrictions described in Sec. 86.091-15. If the manufacturer elects to 
include engine families in any of these programs, the particulate FELs 
may not exceed 0.60 gram per brake horsepower-hour (0.22 gram per 
megajoule). This ceiling value applies whether credits for the family 
are derived from averaging, trading or banking programs.
    (2) The standards set forth in paragraph (a)(1) of this section 
refer to the exhaust emitted over operating schedules as set forth in 
paragraph (f)(2) of appendix I of this part, and measured and calculated 
in accordance with the procedures set forth in subpart N of this part, 
except as noted in Sec. 86.091-23(c)(2) (i) and (iii).
    (b)(1) The opacity of smoke emission from new 1991 and later model 
year diesel heavy-duty engines shall not exceed:
    (i) 20 percent during the engine acceleration mode.
    (ii) 15 percent during the engine lugging mode.
    (iii) 50 percent during the peaks in either mode.
    (2) The standards set forth in paragraph (b)(1) of this section 
refer to exhaust smoke emissions generated under the conditions set 
forth in subpart I of this part and measured and calculated in 
accordance with those procedures.
    (3) Evaporative emissions (total of non-oxygenated hydrocarbons plus 
methanol) from 1991 and later model year heavy-duty vehicles equipped 
with methanol-fueled diesel engines shall not exceed:
    (i) For vehicles with a Gross Vehicle Weight Rating of up to 14,000 
lbs, 3.0 grams per test.
    (ii) For vehicles with a Gross Vehicle Weight Rating of greater than 
14,000 lbs, 4.0 grams per test.
    (4)(i) 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 set forth in subpart M and measured in accordance with those 
procedures.
    (ii) For vehicles with a Gross Vehicle Weight Rating of greater than 
26,000 lbs, the standard set forth in paragraph (b)(3)(ii) of this 
section refers to the manufacturers' engineering design evaluation using 
good engineering practice (a statement of which is required in 
Sec. 86.091-23(b)(4)(ii)).

[[Page 148]]

    (c) No crankcase emissions shall be discharged into the ambient 
atmosphere from any new 1991 or later model year methanol-fueled diesel, 
or any naturally-aspirated diesel heavy-duty engine. For petroleum 
fueled engines only, this provision does not apply to engines using 
turbochargers, pumps, blowers, or superchargers for air induction.
    (d) Every manufacturer of new motor vehicle engines subject to the 
standards prescribed in this section shall, prior to taking any of the 
actions specified in section 203(a)(1) of the Act, test or cause to be 
tested motor vehicle engines in accordance with applicable procedures in 
subpart I or N of this part to ascertain that such test engines meet the 
requirements of paragraphs (a), (b), and (c) and (d) of this section.


(Secs. 202, 203, 206, 207, 208, 301a, Clean Air Act, as amended; 42 
U.S.C. 7521, 7522, 7525, 7541, 7542, 7601a)

[50 FR 10653, Mar. 15, 1985, as amended at 54 FR 14465, Apr. 11, 1989; 
55 FR 30622, July 26, 1990; 56 FR 64711, Dec. 12, 1991]



Sec. 86.091-15  NOX and particulate averaging, trading, and banking for heavy-duty engines.

    (a)(1) Heavy-duty engines eligible for the NOX and 
particulate averaging, trading, and banking programs are described in 
the applicable emission standards sections in this subpart. 
Participation in these programs is voluntary.
    (2)(i) Engine families with FELs exceeding the applicable standard 
shall obtain emission credits in a mass amount sufficient to address the 
shortfall. Credits may be obtained from averaging, trading, or banking, 
within the averaging set restrictions described in this section.
    (ii) Engine families with FELs below the applicable standard will 
have emission credits available to average, trade, bank or a combination 
thereof. Credits may not be used 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.
    (iii) Engine families within a given averaging set may not both 
generate and use like emission credits in the same model year. This 
restriction is to be applied on a pollutant-specific basis.
    (b) Participation in the NOX 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 
and particulate).
    (ii) Declare an FEL for each engine family participating in one or 
more of these three 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 for 
NOX 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 and 
particulate emission standards.
    (iii) Calculate the projected emission credits ( + / - ) based on 
quarterly production projections for each participating family and for 
each pollutant (NOX and particulate), using the 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 paragraphs (d) and (e) of 
this section. Credits available for averaging, trading, or banking as 
defined in Sec. 86.090-2, may be applied to a given engine famil(y) 
(ies), or reserved as defined in Sec. 86.091-2.

[[Page 149]]

    (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. 86.091-23.
    (iii) 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 verification 
steps 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 actual NOX and/or particulate emission 
credits will violate the conditions of the certificate of conformity. 
The certificates of conformity may be voided ab initio for those engine 
families.
    (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 credit balances may be adjusted by EPA.
    (i) If EPA review of a manufacturer's end-of-year report indicates 
an inadvertent credit shortfall, the manufacturer will be permitted to 
purchase the necessary credits to bring the credit balance for that 
engine family to zero, at the ratio of 1.2 credits purchased for every 
credit needed to bring the balance to zero. If sufficient credits are 
not available to bring the credit balance for the engine family in 
question to zero, EPA may void the certificate for that engine family ab 
initio.
    (ii) If within 90 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 90 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 and 
particulate emission credits (positive or negative) are to be calculated 
according to one of the following equations and rounded, in accordance 
with ASTM E29-67, to the nearest one-tenth of a Megagram (Mg). 
Consistent units are to be used throughout the equation.
    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)

    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 (0.8)

Where:

Std=the current and applicable heavy-duty engine NOX or 
particulate emission standard in grams per brake horsepower hour or 
grams per Megajoule.
FEL=the NOX or particulate family emission limit for the 
engine family in grams per brake horsepower-hour or grams per Megajoule.

[[Page 150]]

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, or alternative life as described in paragraph (f) of 
Sec. 86.090-21, 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.
0.8=a one-time discount applied to all credits to be banked or traded 
within the model year generated. 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) 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. 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 the configuration generating the highest 
conversion factor when determining credit need and the lowest conversion 
factor when determining credit availability for banking, trading or 
averaging.
    (d) Averaging sets for NOX emission credits: The 
averaging and trading of NOX emission credits will only be 
allowed between heavy-duty engine families in the same averaging set and 
in the same regional category. Engines produced for sale in California 
constitute a separate regional category than engines produced for sale 
in the other 49 states. Banking and trading are not applicable to 
engines sold in California. The averaging sets for the averaging and 
trading of NOX emission credits for heavy-duty engines are 
defined as follows:
    (1) For 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) Gasoline-fueled heavy-duty vehicles certified under the 
provisions of Sec. 86.085-1(b) may not average or trade credits with 
gasoline-fueled heavy-duty Otto-cycle engines, but may average or trade 
credits with light-duty trucks.
    (2) For diesel cycle heavy-duty engines:
    (i) Each of the three primary intended service classes for heavy-
duty diesel engines, as defined in Sec. 86.090-2, 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 would otherwise 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 and in 
the same regional category. Engines produced for sale in California 
constitute a separate regional category than engines produced for sale 
in the other 49 states. Banking and trading are not applicable to 
engines sold in California. 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 
among all 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. 86.090-2, 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 and particulate emission credits:
    (1) Credit deposits. (i) Under this phase of the banking program, 
emission credits may be banked from engine families produced during the 
three model years prior to the effective model year of the new HDE 
NOX or particulate emission

[[Page 151]]

standard. Credits may not be banked from engine families made during any 
other model years.
    (ii) Manufacturers may bank credits only after the end of the model 
year and after EPA has reviewed their 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) After being generated, banked/reserved 
credits shall be available for use three model years prior to, through 
three model years immediately after the effective date of the new HDE 
NOX or particulate emission standard, as applicable. However, 
credits not used within the period specified above shall be forfeited.
    (ii) Manufacturers withdrawing banked emission 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, trading, or in any 
combination thereof, during the certification period. Credits declared 
for banking from the previous model year but unreviewed by EPA may also 
be used. However, they may be revoked at a later time following EPA 
review of the end-of-year report or any subsequent audit actions.
    (ii) Banked credits may not be used for NOX 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.
    (g)(1) The following paragraphs assume NOX and 
particulate nonconformance penalties (NCPs) will be available for the 
1991 and later model year HDEs.
    (2) Engine families paying an NCP for noncompliance of any emission 
standard may not:
    (i) Participate in the averaging program,
    (ii) Generate emission credits for any pollutant under banking and 
trading, and
    (iii) Use emission credits for any pollutant from banking and 
trading.
    (3) If a manufacturer has any engine family to which application of 
NCPs and averaging, 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 emission credits only.
    (4) If a manufacturer has any engine family in a given averaging set 
which is using NOX 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.

[55 FR 30622, July 26, 1990, as amended at 55 FR 46628, Nov. 5, 1990]



Sec. 86.091-21  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:

[[Page 152]]

    (1)(i) Identification and description of the vehicles (or engines) 
covered by the application and a description of their engine (vehicles 
only), emission control system and fuel system components. This shall 
include a detailed description of each auxiliary emission control device 
(AECD) to be installed in or on any certification test vehicle (or 
certification test engine).
    (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. The sales data shall also include the 
altitude of intended sale for light-duty trucks.
    (3) A description of the test equipment and fuel proposed to be 
used.
    (4)(i) For light-duty vehicles and light-duty trucks, a description 
of the test procedures to be used to establish the evaporative emission 
deterioration factors required to be determined and supplied in 
Sec. 86.091-23(b)(2).
    (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. 86.091-23(b)(1).
    (B) A statement of the useful life of each light-duty truck engine 
family or heavy-duty engine family.
    (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

[[Page 153]]

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 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) A description of vehicle adjustments or modifications necessary, 
if any, to assure that light-duty vehicles and light-duty trucks covered 
by a certificate of conformity conform to the regulations while being 
operated at any altitude locations, and a statement of the altitude at 
which the adjustments or modifications apply.
    (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)(i)(A) If the manufacturer elects to participate in the 
particulate averaging program for diesel light-duty vehicles and/or 
diesel light-duty trucks, the application must list the particulate FEL 
and the projected U.S. (49-state) production volume, by quarter, of the 
family for the model year.
    (B) The manufacturer shall choose the level of the family 
particulate emission limits, accurate to one-hundredth of a gram per 
mile.
    (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. 86.090-2 and 
Sec. 86.091-28(b)(5)(i).
    (ii)(A) If the manufacturer elects to participate in the 
NOX averaging program for light-duty trucks, the application 
must list the NOX FEL and the projected U.S. (49-state) 
production volume, by quarter, of the family for the model year.
    (B) The manufacturer shall choose the level of the family 
NOX emission limits, accurate to one-tenth of a gram per 
mile.
    (C) The manufacturer may at any time during production elect to 
change the level of any family NOX emission limit(s) by 
submitting the new limits to the Administrator and by demonstrating 
compliance with the limit(s) as described in Sec. 86.088-2 and 86.091-
28(b)(5)(ii).
    (iii) If the manufacturer elects to participate in any of the 
particulate and/or the NOX averaging, trading, or banking 
programs for heavy-duty engines, the application must list the 
information required in Sec. 86.091-15 and Sec. 86.091-23.
    (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 paragraph (a)(3) of 
Sec. 86.091-10, then the application must also attest that the engine 
family, together with all other engine families being certified under 
the provisions of paragraph (a)(3) of Sec. 86.091-10, 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.
    (c) Complete copies of the application and of any amendments 
thereto, and all notifications under Sec. 86.079-32, Sec. 86.079-33, and 
Sec. 86.082-34 shall be submitted in such multiple copies as the 
Administrator may require.
    (d) Incomplete light-duty trucks shall have a maximum completed curb 
weight and maximum completed frontal area specified by the manufacturer.
    (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

[[Page 154]]

family-evaporative emission control system combination.
    (f) Light-duty truck and heavy-duty engine manufacturers who believe 
that the useful life periods of Sec. 86.090-2 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.


(Secs. 202, 203, 206, 207, 208, 301a, Clean Air Act, as amended; 42 
U.S.C. 7521, 7522, 7525, 7541, 7542, 7601a)

[50 FR 10655, Mar. 15, 1985, as amended at 52 FR 47867, Dec. 16, 1987; 
54 FR 14469, Apr. 11, 1989; 55 FR 30625, July 26, 1990]



Sec. 86.091-23  Required data.

    (a) The manufacturer shall perform the tests required by the 
applicable test procedures, and submit to the Administrator the 
following information: Provided, however, That if requested by the 
manufacturer, the Administrator may waive any requirement of this 
section for testing of vehicle (or engine) for which emission data are 
available or will be made available under the provisions of Sec. 86.091-
29.
    (b)(1)(i) Exhaust emission durability data on such light-duty 
vehicles tested in accordance with applicable test procedures and in 
such numbers as specified, which will show the performance of the 
systems installed on or incorporated in the vehicle for extended 
mileage, as well as a record of all pertinent maintenance performed on 
the test vehicles.
    (ii) Exhaust emission deterioration factors for light-duty trucks 
and heavy-duty engines, and all test data that are derived from the 
testing described under Sec. 86.091-21(b)(4)(iii)(A), as well as a 
record of all pertinent maintenance. Such testing shall be designed and 
conducted in accordance with good engineering practice to assure that 
the engines covered by a certificate issued under Sec. 86.091-30 will 
meet the emission standards (or family emission limits, as appropriate) 
in Sec. 86.091-9, Sec. 86.091-10, or Sec. 86.091-11 as appropriate, in 
actual use for the useful life of the engine.
    (2) For light-duty vehicles and light-duty trucks, evaporative 
emission deterioration factors for each evaporative emission family-
evaporative emission control system combination and all test data that 
are derived from testing described under Sec. 86.091-21(b)(4)(i) 
designed and conducted in accordance with good engineering practice to 
assure that the vehicles covered by a certificate issued under 
Sec. 86.091-30 will meet the evaporative emission standards in 
Sec. 86.091-8 or Sec. 86.091-9, as appropriate, for the useful life of 
the vehicle.
    (3) For heavy-duty vehicles equipped with gasoline-fueled or 
methanol-fueled engines, evaporative emission deterioration factors for 
each evaporative emission family-evaporative emission control system 
combination identified in accordance with Sec. 86.091-21(b)(4)(ii). 
Furthermore, a statement that the test procedure(s) used to derive the 
deterioration factors includes, but need not be limited to, a 
consideration of the ambient effects of ozone and temperature 
fluctuations, and the service accumulation effects of vibration, time, 
and vapor saturation and purge cycling. The deterioration factor test 
procedure shall be designed and conducted in accordance with good 
engineering practice to assure that the vehicles covered by a 
certificate issued under Sec. 86.091-30 will meet the evaporative 
emission standards in Sec. 86.091-10 and Sec. 86.091-11 in actual use 
for the useful life of the engine. Furthermore, a statement that a 
description of the test procedure, as well as all data, analyses and 
evaluations, is available to the Administrator upon request.
    (4)(i) For heavy-duty vehicles with a Gross Vehicle Weight Rating of 
up to 26,000 lbs and equipped with gasoline-fueled or methanol-fueled 
engines, a written statement to the Administrator certifying that the 
manufacturer's vehicles meet the standards of Sec. 86.091-10 or 
Sec. 86.091-11 (as applicable) as determined by the provisions of 
Sec. 86.091-28. Furthermore, a written statement to the Administrator 
that all data, analyses, test procedures,

[[Page 155]]

evaluations, and other documents, on which the above statement is based, 
are available to the Administrator upon request.
    (ii) For heavy-duty vehicles with a Gross Vehicle Weight Rating of 
greater than 26,000 lbs and equipped with gasoline-fueled or methanol-
fueled engines, a written statement to the Administrator certifying that 
the manufacturer's evaporative emission control systems are designed, 
using good engineering practice, to meet the standards of Sec. 86.091-10 
or Sec. 86.091-11 (as applicable) as determined by the provisions of 
Sec. 86.09l-28. 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.
    (c) Emission data. (1) Emission data, including in the case of 
methanol fuel, methanol, formaldehyde and total hydrocarbon equivalent 
on such vehicles tested in accordance with applicable test procedures 
and in such numbers as specified. These data shall include zero-mile 
data, if generated and emission data generated for certification as 
required under Sec. 86.090-26(a)(3)(i) or Sec. 86.090-26(a)(3)(ii). In 
lieu of providing emission data on idle CO emissions, smoke emissions or 
particulate emissions from methanol-fueled diesel certification vehicles 
the Administrator may, on request of the manufacturer, allow the 
manufacturer to demonstrate (on the basis of previous emission tests, 
development tests, or other information) that the engine will conform 
with the applicable emission standards of Sec. 86.090-8 or Sec. 86.090-
9.
    (2) Certification engines. (i) Emission data on such engines tested 
in accordance with applicable emission test procedures of this subpart 
and in such numbers as specified. These data shall include zero-hour 
data, if generated, and emission data generated for certification as 
required under Sec. 86.090-26(c)(4). In lieu of providing emission data 
on idle CO emissions or particulate emissions from methanol-fueled 
diesel certification engines, or on CO emissions from petroleum-fueled 
or methanol-fueled diesel certification engines the Administrator may, 
on request of the manufacturer, allow the manufacturer to demonstrate 
(on the basis of previous emission tests, development tests, or other 
information) that the engine will conform with the applicable emission 
standards of Sec. 86.091-11.
    (ii) For heavy-duty diesel engines, a manufacturer may submit hot-
start data only, in accordance with subpart N of this part, when making 
application for certification. However, for conformity SEA and recall 
testing by the Agency, both the cold-start and hot-start test data, as 
specified in subpart N of this part, will be included in the official 
results.
    (d) A statement that the vehicles (or engines) for which 
certification is requested conform to the requirements in Sec. 86.084-
5(b), and that the descriptions of tests performed to ascertain 
compliance with the general standards in Sec. 86.084-5(b), and the data 
derived from such tests, are available to the Administrator upon 
request.
    (e)(1) A statement that the test vehicles (or test engines) with 
respect to which data are submitted to demonstrate compliance with the 
applicable standards (or family emission limits, as appropriate) of this 
subpart are in all material respects as described in the manufacturer's 
application for certification, have been tested in accordance with the 
applicable test procedures utilizing the fuels and equipment described 
in the application for certification and that on the basis of such tests 
the vehicles (or engines) conform to the requirements of this part. If 
such statements cannot be made with respect to any vehicle (or engine) 
tested, the vehicle (or engine) shall be identified, and all pertinent 
data relating thereto shall be supplied to the Administrator. If, on the 
basis of the data supplied and any additional data as required by the 
Administrator, the Administrator determines that the test vehicles (or 
test engine) was not as described in the application for certification 
or was not tested in accordance with the applicable test procedures 
utilizing the fuels and equipment as described in the application for 
certification, the Administrator may make the determination that the 
vehicle (or engine) does not meet the applicable

[[Page 156]]

standards (or family emission limits, as appropriate). The provisions of 
Sec. 86.091-30(b) shall then be followed.
    (2) For evaporative emission durability, or light-duty truck or 
heavy-duty engine exhaust emission durability, a statement of compliance 
with paragraph (b)(1)(ii), (b)(2), or (b)(3) of this section, as 
applicable.
    (f) Additionally, manufacturers participating in the particulate 
averaging program for diesel light-duty vehicles and diesel light-duty 
trucks shall submit:
    (1) In the application for certification, a statement that the 
vehicles for which certification is requested will not, to the best of 
the manufacturer's belief, when included in the manufacturer's 
production-weighted average emission level, cause the applicable 
particulate standard(s) to be exceeded.
    (2) No longer than 90 days after the end of a given model year of 
production of engine families included in one of the diesel particulate 
averaging programs, the number of vehicles produced in each engine 
family at each certified particulate FEL, along with the resulting 
production-weighted average particulate emission level.
    (g) Additionally, manufacturers participating in the NOX 
averaging program for light-duty trucks shall submit:
    (1) In the application for certification, a statement that the 
vehicles for which certification is required will not, to the best of 
the manufacturer's belief, when included in the manufacturer's 
production-weighted average emission level, cause the applicable 
NOX standard(s) to be exceeded.
    (2) No longer than 90 days after the end of a given model year of 
production of engine families included in the NOX averaging 
program, the number of vehicles produced in each engine family at each 
certified NOX emission level.
    (h) Additionally, manufacturers participating in any of the 
NOX and/or particulate averaging, trading, or banking 
programs for heavy-duty engines shall submit for each participating 
family:
    (1) In the application for certification:
    (i) A statement that the engines for which certification is 
requested will not, to the best of the manufacturer's belief, when 
included in any of the averaging, trading, or banking programs cause the 
applicable NOX or particulate standard(s) to be exceeded.
    (ii) The type (NOX or particulate) and the projected 
number of credits generated/needed for this family, the applicable 
averaging set, the projected U.S. (49-state) production volumes, by 
quarter, NCPs in use on a similar family and the values required to 
calculate credits as given in Sec. 86.091-15. Manufacturers shall also 
submit how and where credit surpluses are to be dispersed and how and 
through what means credit deficits are to be met, as explained in 
Sec. 86.091-15. The application must project that each engine family 
will be in compliance with the applicable NOX and/or 
particulate emission standards based on the engine mass emissions, and 
credits from averaging, trading and banking.
    (3) End-of-year reports for each engine family participating in any 
of the averaging, trading, or banking programs.
    (i) These reports shall be submitted within 90 days of the end of 
the model year to: Director, Manufacturers Operations Division (EN-
340F), U.S. Environmental Protection Agency, 1200 Pennsylvania Ave., 
NW., Washington, DC 20460.
    (ii) These reports shall indicate the engine family, the averaging 
set, the actual U.S. (49-state) production volume, the values required 
to calculate credits as given in Sec. 86.091-15, the resulting type 
(NOX or particulate) and number of credits generated/
required, and the NCPs in use on a similar NCP family. Manufacturers 
shall also submit how and where credit surpluses were dispersed (or are 
to be banked) and how and through what means credit deficits were met. 
Copies of contracts related to credit trading must also be included or 
supplied by the broker if applicable. The report shall also include a 
calculation of credit balances to show that net mass emissions balances 
are within those allowed by the emission standards (equal to or greater 
than a zero credit balance). The credit discount factor described in 
86.091-15 must be included as required.
    (iii) The 49-state production counts for end-of-year reports shall 
be based

[[Page 157]]

on the location of the first point of retail sale (e.g., customer, 
dealer, secondary manufacturer) by the manufacturer.
    (iv) Errors discovered by EPA or the manufacturer in the end-of-year 
report, including errors in credit calculation, may be corrected up to 
90 days subsequent to submission of the end-of-year report. Errors 
discovered by EPA after 90 days shall be corrected if credits are 
reduced. Errors in the manufacturer's favor will not be corrected if 
discovered after the 90 day correction period allowed.
    (i) Failure by a manufacturer participating in the averaging, 
trading, or banking programs to submit any quarterly or end-of-year 
report (as applicable) in the specified time for all vehicles and 
engines that are part of an averaging set is a violation of section 
203(a)(1) of the Clean Air Act for each such vehicle and engine.
    (j) Failure by a manufacturer generating credits for deposit only in 
either the HDE NOX or particulate banking programs to submit 
their end-of-year reports in the applicable specified time period (i.e., 
90 days after the end of the model year) shall result in the credits not 
being available for use until such reports are received and reviewed by 
EPA. Use of projected credits pending EPA review will not be permitted 
in these circumstances.
    (k) Engine families certified using NCPs are not required to meet 
the requirements outlined above.


(Secs. 202, 203, 206, 207, 208, 301a, Clean Air Act, as amended; 42 
U.S.C. 7521, 7522, 7525, 7541, 7542, 7601a)

[50 FR 10659, Mar. 15, 1985, as amended at 50 FR 29384, July 19, 1985; 
54 FR 14473, Apr. 11, 1989; 55 FR 30625, July 26, 1990; 56 FR 64711, 
Dec. 12, 1991]



Sec. 86.091-28  Compliance with emission standards.

    (a)(1) Paragraph (a) of this section applies to light-duty vehicles.
    (2) The applicable exhaust and fuel evaporative emissions standards 
(and family particulate emission limits, as appropriate) of this subpart 
apply to the emissions of vehicles for their useful life.
    (3) Since it is expected that emission control efficiency will 
change with mileage accumulation on the vehicle, the emission level of a 
vehicle which has accumulated 50,000 miles will be used as the basis for 
determining compliance with the standards (or family particulate 
emission limit, as appropriate).
    (4) The procedure for determining compliance of a new motor vehicle 
with exhaust emission standards (or family particulate emission limit, 
as appropriate) is as follows, except where specified by paragraph 
(a)(7) of this section for the Alternative Durability Program:
    (i) Separate emission deterioration factors shall be determined from 
the exhaust emission results of the durability-data vehicle(s) for each 
engine-system combination. A separate factor shall be established, as 
required for compliance with applicable emission standards for exhaust 
HC, exhaust THCE, exhaust NMHC, exhaust CO, exhaust NOX and 
exhaust particulate for each engine-system combination. A separate 
evaporative emission deterioration factor, as required for compliance 
with applicable emission standards, shall be determined for each 
evaporative emission family-evaporative emission control system 
combination from the testing conducted by the manufacturer.
    (A) The applicable results to be used unless excluded by paragraph 
(a)(4)(i)(A)(4) of this section in determining the exhaust emission 
deterioration factors for each engine-system combination shall be:
    (1) All valid exhaust emission data from the tests required under 
Sec. 86.084-26(a)(4) except the zero-mile tests. This shall include the 
official test results, as determined in Sec. 86.091-29 for all tests 
conducted on all durability-data vehicles of the combination selected 
under Sec. 86.085-24(c) (including all vehicles elected to be operated 
by the manufacturer under Sec. 86.085-24(c)(1)(ii)).
    (2) All exhaust emission data from the tests conducted before and 
after the scheduled maintenance provided in Sec. 86.088-25.
    (3) All exhaust emission data from tests required by maintenance 
approved under Sec. 86.088-25, in those cases where the Administrator 
conditioned his approval for the performance of

[[Page 158]]

such maintenance on the inclusion of such data in the deterioration 
factor calculation.
    (4) The manufacturer has the option of applying an outlier test 
point procedure to completed durability data within its certification 
testing program for a given model year. The outlier procedure will be 
specified by the Administrator. For any pollutant, durability-data test 
points that are identified as outliers shall not be included in the 
determination of deterioration factors if the manufacturer has elected 
this option. The manufacturer shall specify to the Administrator before 
the certification of the first engine family for that model year, if it 
intends to use the outlier procedure. The manufacturer may not change 
procedures after the first engine family of the model year is certified. 
Where the manufacturer chooses to apply both the outlier procedure and 
averaging (as allowed under Sec. 86.084-26(a)(6)(i)) to the same data 
set, the outlier procedure shall be completed prior to applying the 
averaging procedure.
    (B) All applicable exhaust emission results shall be plotted as a 
function of the mileage on the system, rounded to the nearest mile, and 
the best fit straight lines, fitted by the method of least squares, 
shall be drawn through all these data points. The data will be 
acceptable for use in the calculation of the deterioration factor only 
if the interpolated 4,000-mile and 50,000-mile points on this line are 
within the low-altitude standards provided in Sec. 86.087-8. Exceptions 
to this where data are still acceptable are when a best fit straight 
line crosses an applicable standard but no data points exceeded the 
standard, or the best fit straight line crosses an applicable standard 
with a negative slope (the 4,000-mile interpolated point is higher than 
the 50,000-mile interpolated point) but the 50,000-mile actual data 
point is below the standard. An multiplicative exhaust emission 
deterioration factor shall be calculated for each engine-system 
combination as follows:

Factor=Exhaust emissions interpolated to 50,000 miles divided by exhaust 
          emissions interpolated to 4,000 miles.


These interpolated values shall be carried out to a minimum of four 
places to the right of the decimal point before dividing one by the 
other to determine the deterioration factor. The results shall be 
rounded to three places to the right of the decimal point in accordance 
with ASTM E 29-67.
    (C)(1) An evaporative emissions deterioration factor shall be 
determined from the testing conducted as described in Sec. 86.090-
21(b)(4)(i), for each evaporative emission family- evaporative emission 
control system combination to indicate the evaporative emission level at 
50,000 miles relative to the evaporative emission level at 4,000 miles 
as follows:

Factor = Evaporative emission level at 50,000 miles minus the 
          evaporative emission level at 4,000 miles.

    (2) The factor in paragraph (a)(4)(i)(C)(1) of this section shall be 
established to a minimum of two places to the right of the decimal.
    (ii)(A) The official exhaust emission test results for each 
emission-data vehicle at the selected test point shall be multiplied by 
the appropriate deterioration factor: Provided, that if a deterioration 
factor as computed in paragraph (a)(4)(i)(B) of this section is less 
than one, that deterioration factor shall be one for the purposes of 
this paragraph.
    (B) The official evaporative emission test results for each 
evaporative emission-data vehicle at the selected test point shall be 
adjusted by addition of the appropriate deterioration factor: Provided, 
that if a deterioration factor as computed in paragraph (a)(4)(i)(C) of 
this section is less than zero, that deterioration factor shall be zero 
for the purposes of this paragraph.
    (iii) The emissions to compare with the standard (or the family 
particulate emission limit, as appropriate) shall be the adjusted 
emissions of paragraphs (a)(4)(ii) (A) and (B) of this section for each 
emission-data vehicle. Before any emission value is compared with the 
standard (or the family particulate emission limit, as appropriate), it 
shall be rounded, in accordance with ASTM E 29-67, to two significant 
figures. The rounded emission values may not exceed the standard (or the 
family particulate emission limit, as appropriate).

[[Page 159]]

    (iv) Every test vehicle of an engine family must comply with the 
exhaust emission standards (or the family particulate emission limit, as 
appropriate), as determined in paragraph (a)(4)(iii) of this section, 
before any vehicle in that family may be certified.
    (v) Every test vehicle of an evaporative emission family must comply 
with the evaporative emission standard, as determined in paragraph 
(a)(4)(iii) of this section, before any vehicle in that family may be 
certified.
    (5) If a manufacturer chooses to change the level of any family 
particulate emission limit(s) in the particulate averaging program, 
compliance with the new limit(s) must be based upon existing 
certification data.
    (6) If a manufacturer chooses to participate in the diesel 
particulate averaging program, the production-weighted average of the 
family particulate emission limits of all affected engine families must 
comply with the particulate standards in Sec. 86.087-8(a)(1)(iv), or the 
composite particulate standard defined in Sec. 86.085-2, as appropriate, 
at the end of the production year.
    (7) The procedure to determine the compliance of new motor vehicles 
in the Alternative Durability Program (described in Sec. 86.085-13) is 
the same as described in paragraphs (a)(4)(iii) through (a)(4)(v) of 
this section. For the engine families that are included in the 
Alternative Durability Program, the exhaust emission deterioration 
factors used to determine compliance shall be those that the 
Administrator has approved under Sec. 86.085-13(c). The evaporative 
emission deterioration factor for each evaporative emission family shall 
be determined and applied according to paragraph (a)(4) of this section. 
The procedures to determine the minimum exhaust emissions deterioration 
factors required under Sec. 86.085-13(d) are as follows:
    (i) Separate deterioration factors shall be determined from the 
exhaust emission results of the durability-data vehicles for each engine 
family group. A separate factor as necessary to establish compliance 
with applicable emission standards shall be established for exhaust HC, 
exhaust THCE, exhaust NMHC, exhaust CO and exhaust NOX for 
each engine family group. The evaporative emission deterioration factor 
for each evaporative family will be determined and applied in accordance 
with paragraph (a)(4) of this section.
    (ii) The deterioration factors for each engine family group shall be 
determined by the Administrator using historical durability data from as 
many as three previous model years. These data will consist of 
deterioration factors generated by durability-data vehicles representing 
certified engine families and of deterioration factors from vehicles 
selected under Sec. 86.085-24(h). The Administrator shall determine how 
these data will be combined for each engine family group.
    (A) The test result to be used in the calculation of each 
deterioration factor to be combined for each engine family group shall 
be those test results specified in paragraph (a)(4)(i)(A) of this 
section.
    (B) For each durability-data vehicles selected under Sec. 86.085-
24(h), all applicable exhaust emissions results shall be plotted as a 
function of the mileage on the system rounded to the nearest mile, and 
the best fit straight lines, fitted by method of least squares, shall be 
drawn through all these data points. The exhaust deterioration factor 
for each durability-data vehicles shall be calculated as specified in 
paragraph (a)(4)(i)(B) of this section.
    (C) Line-crossing. For the purposes of paragraph (a)(5) of this 
section, line crossing occurs when either of the interpolated 4,000- and 
50,000-mile points of the best fit straight line exceeds the applicable 
emission standard and at least one applicable data point exceeds the 
standard.
    (1) The Administrator will not accept for certification line-
crossing data from preproduction durability-data vehicles selected under 
Sec. 86.085-24(c), Sec. 86.085-24(h)(2), or (h)(3).
    (2) The Administrator will not accept for certification line-
crossing data from production durability-data vehicles selected under 
Sec. 86.085-24(h)(1) unless the 4,000-mile test result multiplied by the 
engine family group deterioration factor does not exceed the applicable 
emission standards. The deterioration factors used for this purpose 
shall be those that were used in the certification of the production 
vehicle.

[[Page 160]]

Manufacturers may calculate this product immediately after the 4,000-
mile test of the vehicle. If the product exceeds the applicable 
standards, the manufacturer may, with the approval of the Administrator, 
discontinue the vehicle and substitute a new vehicle. The manufacturer 
may continue the original vehicle, but the data will not be acceptable 
if line crossing occurs.
    (b)(1) Paragraph (b) of this section applies to light-duty trucks.
    (2) The exhaust and evaporative emission standards (and family 
emission limits, as appropriate) of Sec. 86.091-9 apply to the emissions 
of vehicles for their useful life.
    (3) Since emission control efficiency generally decreases with the 
accumulation of mileage on the vehicle, deterioration factors will be 
used in combination with emission-data vehicle test results as the basis 
for determining compliance with the standards (or family emission 
limits, as appropriate).
    (4)(i) Paragraph (b)(4) of this section describes the procedure for 
determining compliance of a new vehicle with exhaust emission standards 
(or family emission limits, as appropriate), based on deterioration 
factors supplied by the manufacturers, except where specified by 
paragraph (b)(5) of this section for the Alternative Durability Program.
    (ii) Separate exhaust emission deterioration factors, determined 
from tests of vehicles, engines, subsystems or components conducted by 
the manufacturer, shall be supplied for each engine-system combination. 
Separate factors shall be established as required for compliance with 
applicable emission standards for transient HC, THCE, NMHC, CO, and 
NOX, idle CO and exhaust particulate.
    (iii) For transient HC, THCE, NMHC and CO, and NOX, idle 
CO and/or exhaust particulate as appropriate, the official exhaust 
emission results for each emission-data vehicle at the selected test 
point shall be adjusted by multiplication by the appropriate 
deterioration factor. However, if the deterioration factor supplied by 
the manufacturer is less than one, it shall be one for the purposes of 
this paragraph.
    (iv) The emission values to compare with the standards (or family 
emission limits, as appropriate) shall be the adjusted emission values 
of paragraph (b)(4)(iii) of this section rounded to two significant 
figures in accordance with ASTM E 29-67 for each emission-data engine.
    (5)(i) Paragraph (b)(5)(i) of this section applies only to 
manufacturers electing to participate in the particulate averaging 
program.
    (A) If a manufacturer chooses to change the level of any family 
particulate emission limit(s), compliance with the new limit(s) must be 
based upon existing certification data.
    (B) The production-weighted average of the family particulate 
emission limits of all applicable engine families, rounded to two 
significant figures in accordance with ASTM E 29-67, must comply with 
the particulate standards in Sec. 86.088-9 (a)(1)(iv) or (d)(1)(iv), or 
the composite particulate standard as defined in Sec. 86.085-2, as 
appropriate, at the end of the product year.
    (ii) Paragraph (b)(5)(ii) of this section applies only to 
manufacturers electing to participate in the NOX averaging 
program.
    (A) If a manufacturer chooses to change the level of any family 
NOX emission limit(s), compliance with the new limit(s) must 
be based upon existing certification data.
    (B) The production-weighted average of the family NOX 
emission limits of all applicable engine families, rounded to two 
significant figures in accordance with ASTM E 29-67, must comply with 
the NOX emission standards of Sec. 86.088-9(a)(1)(iii) (A) or 
(B), or of Sec. 86.088-9(d)(1)(iii) (A) or (B), or the composite 
NOX standard as defined in Sec. 86.088-2, at the end of the 
product year.
    (6) The procedure to determine the compliance of new motor vehicles 
in the Alternative Durability Program (described in Sec. 86.085-13) is 
the same as described in paragraph (b)(4)(iv), (b)(7)(iv) and (b)(8) of 
this section. For the engine families that are included in the 
Alternative Durability Program, the exhause emission deterioration 
factors used to determine compliance shall be those that the 
Administrator has approved under Sec. 86.085-13(c). The

[[Page 161]]

evaporative emission deterioration factor for each evaporative emission 
family shall be determined and applied according to paragraph (b)(7) of 
this section. The procedures to determine the minimum exhaust emissions 
deterioration factors required under Sec. 86.085-13(d) are as follows:
    (i) Separate deterioration factors shall be determined from the 
exhaust emission results of the durability-data vehicles for each engine 
family group. A separate factor shall be established for exhaust HC, 
exhaust THCE or exhaust NMHC as appropriate, and exhaust CO and exhaust 
NOX for each engine family group. The evaporative emission 
deterioration factor for each evaporative family will be determined and 
applied in accordance with paragraph (b)(6) of this section.
    (ii) The deterioration factors for each engine family group shall be 
determined by the Administrator using historical durability data from as 
many as three previous model years. These data will consist of 
deterioration factors generated by durability-data vehicles representing 
certified engine families and of deterioration factors from vehicles 
selected under Sec. 86.085-24(h). The Administrator shall determine how 
these data will be combined for each engine family group.
    (A) The test results to be used in the calculations of each 
deterioration factor to be combined for each engine family group shall 
be those test results specified in paragraph (a)(4)(i)(A) of this 
section.
    (B) For each durability-data vehicle selected under Sec. 86.085-
24(h), all applicable exhaust emission results shall be plotted as a 
function of the mileage on the system rounded to the nearest mile, and 
the best fit straight lines, fitted by the method of least squares, 
shall be drawn through all these data points. The exhaust deterioration 
factor for each durability-data vehicle shall be calculated as specified 
in paragraph (a)(4)(i)(B) of this section.
    (C) Line crossing. For the purposes of paragraph (b)(5) of this 
section, line crossing occurs when either of the interpolated 4,000- and 
120,000-mile points of the best fit straight line exceeds the applicable 
emission standard and at least one applicable data point exceeds the 
standard.
    (1) The Administrator will not accept for certification line-
crossing data from preproduction durability-data vehicles selected under 
Sec. 86.085-24(c)(1), or Sec. 86.085-24 (h)(2) or (h)(3).
    (2) The Administrator will not accept for certification line-
crossing data from production durability-data vehicles selected under 
Sec. 86.085-24(h)(1) unless the 4,000-mile test result multiplied by the 
engine family group deterioration factor does not exceed the applicable 
emission standard. The deterioration factors used for this purpose shall 
be those that were used in the certification of the production vehicle. 
Manufacturers may calculate this product immediately after the 4,000-
mile test of the vehicle. If the product exceeds the applicable 
standard, the manufacturer may, with the approval of the Administrator, 
discontinue the vehicle and substitute a new vehicle. The manufacturer 
may continue the original vehicle, but the data will not be acceptable 
if line crossing occurs.
    (7)(i) Paragraph (b)(7) of this section describes the procedure for 
determining compliance of a new vehicle with fuel evaporative emission 
standards. The procedure described here shall be used for all vehicles 
in all model years.
    (ii) The manufacturer shall determine, based on testing described in 
Sec. 86.091-21(b)(4)(i), and supply an evaporative emission 
deterioration factor for each evaporative emission family-evaporative 
emission control system combination. The factor shall be calculated by 
subtracting the emission level at the selected test point from the 
emission level at the useful life point.
    (iii) The official evaporative emission test results for each 
evaporative emission-data vehicle 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.
    (iv) The emission value to compare with the standards shall be the 
adjusted emission value of paragraph (b)(7)(iii) of this section rounded 
to two significant figures in accordance with

[[Page 162]]

ASTM E 29-67 for each evaporative emission-data vehicle.
    (8) Every test vehicle of an engine family must comply with all 
applicable standards (and family emission limits, as appropriate), as 
determined in paragraphs (b)(4)(iv) and (b)(7)(iv) of this section, 
before any vehicle in that family will be certified.
    (c)(1) Paragraph (c) of this section applies to heavy-duty engines.
    (2) The exhaust emission standards (or family emission limits, as 
appropriate) for Otto-cycle engines in Sec. 86.090-10 or for diesel 
engines in Sec. 86.091-11 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.
    (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 
HC, THCE or NMHC as appropriate, CO and NOX; and idle CO, for 
those engines utilizing aftertreatment technology (e.g., catalytic 
converters). For diesel engines, separate factors shall be established 
for transient HC, THCE or NMHC as appropriate, CO, NOX and 
exhaust particulate. For diesel 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) Paragraph (c)(4)(iii)(A) of this section applies to Otto-
cycle heavy-duty engines.
    (1) Otto-cycle heavy-duty engines not utilizing aftertreatment 
technology (e.g., catalytic converters). For transient HC, THCE or NMHC 
as appropriate, CO and 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 heavy-duty engines utilizing aftertreatment 
technology (e.g., catalytic converters). For transient HC, THCE or NMHC 
as appropriate, CO and 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. However, if the deterioration factor supplied by 
the manufacturer is less than one, it shall be one for the purposes of 
this paragraph.
    (B) Paragraph (c)(4)(iii)(B) of this section applies to diesel 
heavy-duty engines.
    (1) Diesel heavy-duty engines not utilizing aftertreatment 
technology (e.g., particulate traps). For transient HC, THCE or NMHC as 
appropriate, CO, NOX and exhaust particulate, 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) Diesel heavy-duty engines utilizing aftertreatment technology 
(e.g., particulate traps). For transient HC, THCE or NMHC as 
appropriate, CO, NOX and exhaust particulate, 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. However, if the deterioration factor supplied by 
the manufacturer is less than one, it shall be one for the purposes of 
this paragraph.
    (3) Diesel heavy-duty engines 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

[[Page 163]]

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.
    (iv) 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 29-67, for each emission-data engine.
    (5)-(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.
    (d)(1) Paragraph (d) of this section applies to heavy-duty vehicles 
required to comply with evaporative emission standards.
    (2) The applicable evaporative emission standard in Sec. 86.091-10 
or Sec. 86.091-11 applies 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. 86.088-23(b)(3) 
for each evaporative emission family-evaporative emission control system 
combination to indicate the evaporative emission control system 
deterioration during the useful life of the vehicle (minimum 50,000 
miles). The factor shall be established to a minimum of two places to 
the right of the decimal.
    (ii) For vehicles with a GVWR of greater than 26,000 pounds, because 
it is expected that emission control efficiency will change during the 
useful life of the vehicle, each manufacturer's statement as required in 
Sec. 86.088-23(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 29-67, 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) Unless a manufacturer develops specific cold temperature 
deterioration factors, 68-86  deg.F deterioration factors shall be used 
to determine compliance with cold temperature emission standards.


(Secs. 202, 203, 206, 207, 208, 301a, Clean Air Act, as amended; 42 
U.S.C. 7521, 7522, 7525, 7541, 7542, 7601a)

[50 FR 10669, Mar. 15, 1985, as amended at 51 FR 24609, July 7, 1986; 54 
FR 14484, Apr. 11, 1989; 57 FR 31897, July 17, 1992; 59 FR 48493, Sept. 
21, 1994]



Sec. 86.091-29  Testing by the Administrator.

    (a)(1) Paragraph (a) of this section applies to light-duty vehicles 
and light-duty trucks.
    (2) The Administrator may require that any one or more of the test 
vehicles be submitted to him, at such place or places as he may 
designate, for the purposes 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 a test 
vehicle, the results of that test segment, unless subsequently 
invalidated by the

[[Page 164]]

Administrator, shall comprise the official data for that test segment 
for the vehicle at the prescribed test point and the manufacturer's data 
for that test segment for that prescribed test point shall not be used 
in determining compliance with emission standards (or family emission 
limits, as appropriate). 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 a test 
vehicle at a test point, the manufacturer's test data will be accepted 
as the official data for that point: Provided, That if the Administrator 
makes a determination based on testing under paragraph (a)(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 provisions of this part, the Administrator 
may refuse to accept that data as the official data pending retesting or 
submission or further information. If the manufacturer conducts more 
than one test on a vehicle, as authorized under Sec. 86.084-26 
(a)(3)(i)(A) or (b)(4)(i)(A), the data from the last test in that series 
of tests on that vehicle, will constitute the official data.
    (iii)(A)(1) The Administrator may adjust or cause to be adjusted any 
adjustable parameter of an emission-data vehicle or engine which the 
Administrator has determined to be subject to adjustment for 
certification and Selective Enforcement Audit 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 vehicle or engine conforms to applicable 
emission standards, including tests performed by the manufacturer under 
Sec. 86.091-23(c)(1). However, if the idle speed parameter is one which 
the Administrator has determined to be subject to adjustment, the 
Administrator shall not adjust it to a setting which causes a higher 
engine idle speed than would have been possible within the physically 
adjustable range of the idle speed parameter on the engine before it 
accumulated any dynamometer service, all other parameters being 
identically adjusted for the purpose of the comparison. The 
Administrator, in making or specifying such adjustments, will consider 
the effect of the deviation from the manufacturer's recommended setting 
on emissions performance characteristics as well as the likelihood that 
similar settings will occur on in-use light-duty vehicles or light-duty 
trucks. In determining likelihood, the Administrator will consider 
factors such as, but not limited to, the effect of the adjustment on 
vehicle performance characteristics and surveillance information from 
similar in-use vehicles.
    (2) For those vehicles or engine parameters which the Administrator 
has not determined to be subject to adjustment during certification and 
Selective Enforcement Audit testing in accordance with Sec. 86.085-
22(e)(1), the emission-data vehicle presented to the Administrator for 
testing shall be calibrated within the production tolerances applicable 
to the manufacturer's specifications to be shown on the vehicle label 
(see Sec. 86.091-35 (a)(1)(iii)(D) or (a)(2)(iii)(D)) as specified in 
the application for certification. If the Administrator determines that 
a vehicle is not within such tolerances, the vehicle will be adjusted, 
at the facility designated by the Administrator, prior to the test and 
an engineering report shall be submitted to the Administrator describing 
the corrective action taken. Based on the engineering report, the 
Administrator will determine if the vehicle will be used as an emission-
data vehicle.
    (B) If the Administrator determines that the test data developed on 
an emission-data vehicle under paragraph (a)(3)(i) of this section would 
cause that vehicle to fail due to excessive 4,000-mile emissions or by 
application

[[Page 165]]

of the appropriate deterioration factor, then the following procedure 
shall be observed:
    (1) The manufacturer may request a retest. Before the retest, those 
vehicle or engine parameters which the Administrator has not determined 
to be subject to adjustment for certification and Selective Enforcement 
Audit testing in accordance with Sec. 86.085-22(e)(1) may be readjusted 
to manufacturer's specification, if these adjustments were made 
incorrectly prior to the first test. The Administrator may adjust or 
cause to be adjusted any parameter which the Administrator has 
determined to be subject to adjustment to any setting within the 
physically adjustable range of that parameter, as determined by the 
Administrator in accordance with Sec. 86.085-22(e)(3)(i). 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 vehicle will be retested by the Administrator and the 
results of this test shall comprise the official data for the emission-
data vehicle.
    (iv) If sufficient durability data are not available at the time of 
any emission test conducted under paragraph (a)(2) of this section to 
enable the Administrator to determine whether an emission-data vehicle 
would fail, the manufacturer may request a retest in accordance with the 
provisions of paragraphs (a)(3)(iii) (A) and (B) of this section. If the 
manufacturer does not promptly make such request, he shall be deemed to 
have waived the right to a retest. A request for retest must be made 
before the manufacturer removes the vehicle from the test premises.
    (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

[[Page 166]]

deviation from the manufacturer's recommended setting on emissions 
performance characteristics as well as the likelihood that similar 
settings will occur on in-use heavy-duty engines. In determining 
likelihood, the Administrator may consider factors such as, but not 
limited to, the effect of the adjustment on engine performance 
characteristics and surveillance information from similar in-use 
engines.
    (2) For those engine parameters which the Administrator has not 
determined to be subject to adjustment for certification testing in 
accordance with Sec. 86.085-22(e)(1), the emission-data engine presented 
to the Administrator for testing shall be calibrated within the 
production tolerances applicable to the manufacturer's specifications to 
be shown on the engine label (see Sec. 86.091-35(a)(3)(iii)) as 
specified in the application for certification. If the Administrator 
determines that an engine is not within such tolerances, the engine 
shall be adjusted at the facility designated by the Administrator prior 
to the test and an engineering report shall be submitted to the 
Administrator describing the corrective action taken. Based on the 
engineering report, the Administrator will determine if the engine shall 
be used as an emission-data engine.
    (B) If the Administrator determines that the test data developed 
under paragraph (b)(3)(iii)(A) of this section would cause the emission-
data engine to fail due to excessive 125-hour emission values or by the 
application of the appropriate deterioration factor, then the following 
procedure shall be observed:
    (1) The manufacturer may request a retest. Before the retest, those 
engine parameters which the Administrator has not determined to be 
subject to adjustment for certification testing in accordance with 
Sec. 86.085-22(e)(1) may be readjusted to the manufacturer's 
specifications, if these adjustments were made incorrectly prior to the 
first test. The Administrator may adjust or cause to be adjusted any 
parameter which the Administrator has determined to 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.

[[Page 167]]

    (3)(i) Whenever the Administrator conducts a test segment on an 
evaporative emission family-system combination, the results of that test 
segment, unless subsequently invalidated by the Administrator, shall 
comprise the official data for that test segment for the evaporative 
emission family-system combination, and the manufacturer's data, 
analyses, etc., for that test segment shall not be used in determining 
compliance with emission standards. The Administrator may stop a test 
after any evaporative test segment and use as official data any valid 
results obtained up to that point in the test, as described in subpart B 
of this part.
    (ii) Whenever the Administrator does not conduct a test on an 
evaporative emission family-system combination, the manufacturer's test 
data will be accepted as the official data: Provided, That if the 
Administrator makes a determination, based on testing under paragraph 
(c)(2) of this section, that there is a lack of correlation between the 
manufacturer's test equipment and the test equipment used by the 
Administrator, no manufacturer's test data will be accepted for purposes 
of certification until the reasons for the lack of correlation are 
determined and the validity of the data is established by the 
manufacturer, And further provided, That if the Administrator has 
reasonable basis to believe that any test data, analyses, or other 
information submitted by the manufacturer is not accurate or has been 
obtained in violation of any provision of this part, the Administrator 
may refuse to accept those data, analyses, etc., as the official data 
pending retesting or submission of further information.


(Secs. 202, 203, 206, 207, 208, 301a, Clean Air Act, as amended; 42 
U.S.C. 7521, 7522, 7525, 7541, 7542, 7601a)

[50 FR 10675, Mar. 15, 1985, as amended at 54 FR 14488, Apr. 11, 1989; 
58 FR 16020, Mar. 24, 1993]



Sec. 86.091-30  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(d), and any other pertinent data or information, the 
Administrator determines that a test vehicle(s) (or test engine(s)) 
meets(s) the requirements of the Act and of this subpart, he will issue 
a certificate of conformity with respect to such vehicles(s) (or 
engines(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. 86.091-23(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(s) covered by such statement(s) except in cases 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, one such certificate will be issued for each engine family 
evaporative emission family combination.
    (A) Light-duty vehicles. Each certificate will certify compliance 
with no more than one set of standards (or family emission limits, as 
appropriate).
    (B) Light-duty trucks. Each certificate will certify compliance with 
no more than one set of standards (or family emission limits, as 
appropriate), except for low-altitude standards and high altitude 
standards. The certificate shall state that it covers vehicles sold or 
delivered to an ultimate purchaser for principal use at a designated 
high-altitude location only if the vehicle conforms in all material 
respects to the design specifications that apply to those vehicles 
described in the application for certification at high altitude.
    (ii) For gasoline-fueled and methanol fueled heavy-duty vehicles, 
one such

[[Page 168]]

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. 86.091-
23(b)(4) (i) and (ii).
    (iii) For diesel light-duty vehicles and light-duty trucks, or 
diesel heavy-duty engines, included in the applicable particulate 
averaging program, the manufacturer may at any time during production 
elect to change the level of any family particulate emission limit by 
demonstrating compliance with the new limit as described in 
Secs. 86.091-28(a)(6) and 86.091-28(b)(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 heavy-duty engines 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. 86.091-28(b)(5)(ii). New certificates issued 
under this paragraph will be applicable only for vehicles (or engines) 
produced subsequent to the day of issue.
    (4)(i) The adjustment or modification of any light-duty truck in 
accordance with instructions provided by the manufacturer for the 
altitude where the vehicle is principally used will not be considered a 
violation of section 203(a)(3) of the Clean Air Act.
    (ii) A violation of section 203(a)(1) of the Clean Air Act occurs 
when a manufacturer sells or delivers to an ultimate purchaser any 
light-duty vehicle or light-duty truck, subject to the regulations under 
the Act, under any of the conditions specified in the remainder of this 
paragraph.
    (A) When a light-duty vehicle or light-duty truck is not configured 
to meet high-altitude requirements:
    (1) At a designated high-altitude location, unless such manufacturer 
has reason to believe that such vehicle will not be sold to an ultimate 
purchaser for principal use at a designated high-altitude location; or
    (2) At a location other than a designated high-altitude location, 
when such manufacturer has reason to believe that such motor vehicle 
will be sold to an ultimate purchaser for principal use at a designated 
high-altitude location.
    (B) When a light-duty vehicle is not configured to meet low-altitude 
requirements, as provided in Sec. 86.087-8(i):
    (1) At a designated low-altitude location, unless such manufacturer 
has reason to believe that such vehicle will not be sold to an ultimate 
purchaser for principal use at a designated low-altitude location; or
    (2) At a location other than a designated low-altitude location, 
when such manufacturer has reason to believe that such motor vehicle 
will be sold to an ultimate purchaser for principal use at a designated 
low-altitude location.
    (iii) A manufacturer shall be deemed to have reason to believe that 
a light-duty vehicle that has been exempted from compliance with 
emission standards at high-altitude, or a light-duty truck which is not 
configured to meet high-altitude requirements, will not be sold to an 
ultimate purchaser for principal use at a designated high-altitude 
location if the manufacturer has informed its dealers and field 
representatives about the terms of these high-altitude regulations, has 
not caused the improper sale itself, and has taken reasonable action 
which shall include, but not be limited to, either paragraph (a)(4)(iii) 
(A) or (B), and (a)(4)(ii)(C) of this section:
    (A) Requiring dealers in designated high-altitude locations to 
submit written statements to the manufacturer signed by the ultimate 
purchaser that a vehicle which is not configured to meet high-altitude 
requirements will not be used principally at a designated high-altitude 
location; requiring dealers in counties contiguous to designated high-
altitude locations to submit written statements to the manufacturer, 
signed by the ultimate purchaser who represents to the dealer in the 
normal course of business that he or she resides in a designated high-
altitude location, that a vehicle which is not configured to meet high-
altitude requirements will not be used principally at a designated high-
altitude location; and for each sale or delivery of fleets of ten or 
more such vehicles in

[[Page 169]]

a high-altitude location or in counties contiguous to high-altitude 
locations, requiring either the selling dealer or the delivering dealer 
to submit written statements to the manufacturer, signed by the ultimate 
purchaser who represents to the dealer in the normal course of business 
that he or she resides in a designated high-altitude location, that a 
vehicle which is not configured to meet high-altitude requirements will 
not be used principally at a designated high-altitude location. In 
addition, the manufacturer will make available to EPA, upon reasonable 
written request (but not more frequently than quarterly, unless EPA has 
demonstrated that it has substantial reason to believe that an 
improperly configured vehicle has been sold), sales, warranty, or other 
information pertaining to sales of vehicles by the dealers described 
above maintained by the manufacturer in the normal course of business 
relating to the altitude configuration of vehicles and the locations of 
ultimate purchasers; or
    (B) Implementing a system which monitors factory orders of low-
altitude vehicles by high-altitude dealers, or through other means, 
identifies dealers that may have sold or delivered a vehicle not 
configured to meet the high-altitude requirements to an ultimate 
purchaser for principal use at a designated high-altitude location; and 
making such information available to EPA upon reasonable written request 
(but not more frequently than quarterly, unless EPA has demonstrated 
that it has substantial reason to believe that an improperly configured 
vehicle has been sold); and
    (C) Within a reasonable time after receiving written notice from EPA 
or a State or local government agency that a dealer may have improperly 
sold or delivered a vehicle not configured to meet the high-altitude 
requirements to an ultimate purchaser residing in a designated high-
altitude location, or based on information obtained pursuant to 
paragraph (a)(4)(iii) of this section that a dealer may have improperly 
sold or delivered a significant number of such vehicles to ultimate 
purchasers so residing, reminding the dealer in writing of the 
requirements of these regulations, and, where appropriate, warning the 
dealer that sale by the dealer of vehicles not configured to meet high-
altitude requirements may be contrary to the terms of its franchise 
agreement with the manufacturer and the dealer certification 
requirements of Sec. 85.2108 of this chapter.
    (iv) A manufacturer shall be deemed to have reason to believe that a 
light-duty vehicle which has been exempted from compliance with emission 
standards at low-altitude, as provided in Sec. 86.087-8(i), will not be 
sold to an ultimate purchaser for principal use at a designated low-
altitude location if the manufacturer has informed its dealers and field 
representatives about the terms of the high-altitude regulations, has 
not caused the improper sale itself, and has taken reasonable action 
which shall include, but not be limited to, either paragraph (a)(4)(iv) 
(A) or (B), and (a)(4)(iv)(C) of this section:
    (A) Requiring dealers in designated low-altitude locations to submit 
written statements to the manufacturer signed by the ultimate purchaser 
that a vehicle which is not configured to meet low-altitude requirements 
will not be used principally at a designated low-altitude location; 
requiring dealers in counties contiguous to designated low-altitude 
locations to submit written statements to the manufacturer, signed by 
the ultimate purchaser who represents to the dealer in the normal course 
of business that he or she resides in a designated low-altitude 
location, that a vehicle which is not configured to meet low-altitude 
requirements will not be used principally at a designated low-altitude 
location; and for each sale or delivery of fleets of ten or more such 
vehicles in a low-altitude location or in counties contiguous to low-
altitude locations, requiring either the selling dealer or the 
delivering dealer to submit written statements to the manufacturer, 
signed by the ultimate purchaser who represents to the dealer in the 
normal course of business that he or she resides in a designated low-
altitude location, that a vehicle which is not configured to meet low-
altitude requirements will not be used principally at a designated high-
altitude location. In addition, the manufacturer will make available to 
EPA, upon reasonable written request (but

[[Page 170]]

not more frequently than quarterly, unless EPA has demonstrated that it 
has substantial reason to believe that an improperly configured vehicle 
has been sold), sales, warranty, or other information pertaining to 
sales of vehicles by the dealers described above maintained by the 
manufacturer in the normal course of business relating to the altitude 
configuration of vehicles and the locations of ultimate purchasers; or
    (B) Implementing a system which monitors factory orders of high-
altitude vehicles by low-altitude dealers, or through other means, 
identifies dealers that may have sold or delivered a vehicle not 
configured to meet the low-altitude requirements to an ultimate 
purchaser for principal use at a designated low-altitude location; and 
making such information available to EPA upon reasonable written request 
(but not more frequently than quarterly, unless EPA has demonstrated 
that it has substantial reason to believe that an improperly configured 
vehicle has been sold); and
    (C) Within a reasonable time after receiving written notice from EPA 
or a state or local government agency that a dealer may have improperly 
sold or delivered a vehicle not configured to meet the low-altitude 
requirements to an ultimate purchaser residing in a designated low-
altitude location, or based on information obtained pursuant to 
paragraph (a)(4)(iv) of this section that a dealer may have improperly 
sold or delivered a significant number of such vehicles to ultimate 
purchasers so residing, reminding the dealer in writing of the 
requirements of these regulations, and, where appropriate, warning the 
dealer that sale by the dealer of vehicles not configured to meet low-
altitude requirements may be contrary to the terms of its franchise 
agreement with the manufacturer and the dealer certification 
requirements of Sec. 85.2108 of this chapter.
    (5)(i) For the purpose of paragraph (a) of this section, a 
``designated high-altitude location'' is any county which has 
substantially all of its area located above 1,219 meters (4,000 feet) 
and:
    (A) Requested an extension past the attainment date of December 31, 
1982, for compliance with either the National Ambient Air Quality 
Standards for carbon monoxide or ozone, as indicated in part 52 
(Approval and Promulgation of Implementation Plans) of this title; or
    (B) Is in the same state as a county designated as a high-altitude 
location according to paragraph (a)(5)(i)(A) of this section.
    (ii) The designated high-altitude locations defined in paragraph 
(a)(5)(i) of this section are listed below:

                            State of Colorado

Adams
Alamosa
Arapahoe
Archuleta
Boulder
Chaffee
Cheyenne
Clear Creek
Conejos
Costilla
Crowley
Custer
Delta
Denver
Dolores
Douglas
Eagle
Elbert
El Paso
Fremont
Garfield
Gilpin
Grand
Gunnison
Hinsdale
Huerfano
Jackson
Jefferson
Kit Carson
Lake
La Plata
Larimer
Las Animas
Lincoln
Mesa
Mineral
Moffat
Montezuma
Montrose
Morgan
Otero
Ouray
Park
Pitkin
Pueblo
Rio Blanco
Rio Grande
Routt
Saguache
San Juan
San Miguel
Summit
Teller
Washington
Weld

                             State of Nevada

Carson City
Douglas
Elko
Esmeralda
Eureka
Humboldt
Lander
Lincoln
Lyon
Mineral
Nye
Pershing
Storey
Washoe
White Pine

                           State of New Mexico

Bernalillo
Catron
Colfax
Curry
De Baca
Grant
Guadalupe
Harding
Hidalgo
Lincoln
Los Alamos
Luna
McKinley
Mora
Otero
Rio Arriba
Roosevelt
Sandoval
San Juan
San Miguel

[[Page 171]]


Santa Fe
Sierra
Socorro
Taos
Torrance
Union
Valencia

                              State of Utah

Beaver
Box Elder
Cache
Carbon
Daggett
Davis
Duchesne
Emery
Garfield
Grand
Iron
Juab
Kane
Millard
Morgan
Piute
Rich
Salt Lake
San Juan
Sanpete
Sevier
Summit
Tooele
Uintah
Utah
Wasatch
Wayne
Weber

    (iii) For the purpose of paragraph (a) of this section, a 
``designated low-altitude location'' is any county which has 
substantially all of its area located below 1,219 meters (4,000 feet).
    (iv) The designated low-altitude locations so defined include all 
counties in the United States which are not listed in eithir paragraph 
(a)(5)(ii) of this section or in the list below:

                            State of Arizona

Apache
Cochise
Coconino
Navajo
Yavapai

                             State of Idaho

Bannock
Bear Lake
Bingham
Blaine
Bonneville
Butte
Camas
Caribou
Cassia
Clark
Custer
Franklin
Fremont
Jefferson
Lemhi
Madison
Minidoka
Oneida
Power
Treton
Valley

                            State of Montana

Beaverhead
Deer Lodge
Gallatin
Jefferson
Judith Basin
Madison
Meagher
Park
Powell
Silver Bow
Wheatland

                            State of Nebraska

Banner
Cheyenne
Kimball
Sioux

                             State of Oregon

Harney
Klamath
Lake

                             State of Texas

Jeff Davis
Hudspeth
Parmer

                            State of Wyoming

Albany
Campbell
Carbon
Converse
Fremont
Goshen
Hot Springs
Johnson
Laramie
Lincoln
Natrona
Niobrara
Park
Platte
Sublette
Sweetwater
Teton
Uinta
Washakie
Weston

    (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) For incomplete light-duty trucks, a certificate covers only 
those new motor vehicles which, when completed by having the primary 
load-carrying device or container attached, conform to the maximum curb 
weight and frontal area limitations described in the application for 
certification as required in Sec. 86.091-21(d).
    (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 heavy-duty 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. 86.091-21(e).

[[Page 172]]

    (10)(i) For diesel light-duty vehicle and diesel light-duty truck 
families which are included in a particulate averaging program, the 
manufacturer's production-weighted average of the particulate emission 
limits of all engine families in a participating class or classes shall 
not exceed the applicable diesel particulate standard, or the composite 
particulate standard defined in Sec. 86.090-2 as appropriate, at the end 
of the model year, as determined in accordance with 40 CFR part 86. The 
certificate shall be void ab initio for those vehicles causing the 
production-weighted FEL to exceed the particulate standard.
    (ii) For all heavy-duty diesel engines which are included in the 
particulate averaging, trading, or banking programs under Sec. 86.091-
15:
    (A) All certificates issued are conditional upon the manufacturer 
complying with the provisions of Sec. 86.091-15 and the averaging, 
trading, and banking related provision of other applicable sections, 
both during and after the model year production.
    (B) Failure to comply with all provisions of Sec. 86.091-15 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.
    (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:
    (i) Light-duty vehicles. (A) The durability data vehicle(s) selected 
under Sec. 86.090-24(c)(1)(i) shall represent all vehicles of the same 
engine system combination.
    (B) The emission data vehicle(s) selected under Sec. 86.090-24(b)(1) 
(ii) through (iv) shall represent all vehicles of the same engine-system 
combination as applicable.
    (C) The emission-data vehicle(s) selected under Sec. 86.090-
24(b)(l)(vii) (A) and (B) shall represent all vehicles of the same 
evaporative control system within the evaporative family.
    (ii) Light-duty trucks. (A) The emission-data vehicle(s) selected 
under Sec. 86.090-24(b)(1)(ii), shall represent all vehicles of the same 
engine-system combination as applicable.
    (B) The emission-data vehicle(s) selected under Sec. 86.090-
24(b)(1)(vii) (A) and (B) shall represent all vehicles of the same 
evaporative control system within the evaporative family.
    (C) The emission-data vehicle(s) selected under Sec. 86.090-
24(b)(1)(v) shall represent all vehicles of the same engine-system 
combination as applicable.
    (D) The emission-data vehicle(s) selected under Sec. 86.090-
24(b)(1)(viii) shall represent all vehicles of the same evaporative 
control system within the evaporative emission family, as applicable.
    (iii) Heavy-duty engines. (A) An Otto-cycle emission-data test 
engine selected under Sec. 86.090-24(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. 86.090-24(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. 86.090-
24(b)(3)(ii) shall represent all engines in the same engine-system 
combination.
    (D) A diesel emission-data test engine selected under Sec. 86.090-
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. 86.091-23(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 emission family combination (as 
applicable), all of which comply with all applicable

[[Page 173]]

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. 86.090-29, data or information derived from any 
inspection carried out under Sec. 86.091-7(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) For light-duty vehicles and light-duty trucks the manufacturer 
may, at its option, proceed with any of the following alternatives with 
respect to an emission-data vehicle determined not in compliance with 
all applicable standards (or family emission limits, as appropriate) for 
which it was tested:
    (i) Request a hearing under Sec. 86.078-6; or
    (ii) Remove the vehicle configuration (or evaporative vehicle 
configuration, as applicable) which failed, from his application;
    (A) If the failed vehicle was tested for compliance with exhaust 
emission standards (or family emission limits, as appropriate) only: The 
Administrator may select, in place of the failed vehicle, in accordance 
with the selection criteria employed in selecting the failed vehicle, a 
new emission-data vehicle to be tested for exhaust emission compliance 
only.
    (B) If the failed vehicle was tested for compliance with both 
exhaust and evaporative emission standards: The Administrator may 
select, in place of the failed vehicle, in accordance with the selection 
criteria employed in selecting the failed vehicle, a new emission-data 
vehicle which will be tested for compliance with both exhaust and 
evaporative emission standards. If one vehicle cannot be selected in 
accordance with the selection criteria employed in selecting the failed 
vehicle, then two vehicles may be selected (i.e., one vehicle to satisfy 
the exhaust emission vehicle selection criteria and one vehicle to 
satisfy the evaporative emission vehicle selection criteria). The 
vehicle selected to satisfy the exhaust emission vehicle selection 
criteria will be tested for compliance with exhaust emission standards 
(or family emission limits, as appropriate) only. The vehicle selected 
to satisfy the evaporative emission vehicle selection criteria will be 
tested for compliance with both exhaust and evaporative emission 
standards; or
    (iii) Remove the vehicle configuration (or evaporative vehicle 
configuration, as applicable) which failed from the application and add 
a vehicle configuration(s) (or evaporative vehicle configuration(s), as 
applicable) not previously listed. The Administrator may require, if 
applicable, that the failed vehicle be modified to the new engine code 
(or evaporative emission code, as applicable) and demonstrate by testing 
that it meets applicable standards (or family emission limits, as 
appropriate) for which it was originally tested. In addition, the 
Administrator may select, in accordance with the vehicle selection 
criteria given in Sec. 86.090-24(b), a new emission-data vehicle or 
vehicles. The vehicles selected to satisfy the exhaust emission vehicle 
selection criteria will be tested for compliance with exhaust emission 
standards (or family emission limits, as appropriate) only. The vehicles 
selected to satisfy the evaporative emission vehicle selection criteria 
will be tested for compliance with both exhaust and evaporative emission 
standards (or family emission limits, as appropriate); or

[[Page 174]]

    (iv) Correct a component or system malfunction and show that with a 
correctly functioning system or component the failed vehicle meets 
applicable standards (or family emission limits, as appropriate) for 
which it was originally tested. The Administrator may require a new 
emission-data vehicle, of identical vehicle configuration (or 
evaporative vehicle configuration, as applicable) to the failed vehicle, 
to be operated and tested for compliance with the applicable standards 
(or family emission limits, as appropriate) for which the failed vehicle 
was originally tested.
    (5) For heavy-duty engines the manufacturer may, at his option, 
proceed with any of the following alternatives with respect to any 
engine family represented by a test engine(s) determined not in 
complinace 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 
respects 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 (b)(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;
    (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

[[Page 175]]

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.
    (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)(1) For light-duty vehicles. 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 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. 86.603; or
    (ii) The manufacturer refuses to comply with any of the requirements 
of Sec. 86.603; or
    (iii) The manufacturer submits false or incomplete information in 
any report or information provided pursuant to the requirements of 
Sec. 86.609; or
    (iv) The manufacturer renders inaccurate any test data which he 
submits pursuant to Sec. 86.609; or
    (v) Any EPA Enforcement Officer is denied the opportunity to conduct 
activities related to entry and access as authorized in Sec. 86.606 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 or to obtain ``reasonable assistance'' as 
authorized in Sec. 86.606 of this part because a manufacturer has 
located its facility in a foreign jurisdiction where local law prohibits 
those activities; or
    (vii) The manufacturer refuses to or in fact does not comply with 
Secs. 86.604(a), 86.605, 86.607, 86.608, or 86.610.
    (2) The sanction of suspending a certificate may not be imposed for 
the reasons in paragraph (d)(1)(i), (ii), or (vii) of this section where 
the refusal is caused by conditions and circumstances outside the 
control of the manufacturer which render it impossible to comply with 
those requirements.
    (3) The sanction of suspending a certificate may be imposed for the 
reasons in paragraph (d)(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 vehicle is proposed to 
be suspended under paragraph (d)(1)(v) of this section and in which the 
Administrator has presented to the manufacturer involved reasonable 
evidence that a violation of Sec. 86.606 in fact occurred, if the 
manufacturer wishes to contend that, although the violation occurred, 
the vehicle configuration or engine family in question was not involved 
in the violation to a

[[Page 176]]

degree that would warrant suspension of certification under paragraph 
(d)(1)(v) of this section, the manufacturer shall have the burden of 
establishing the contention to the satisfaction of the Administrator.
    (6) Any suspension of certification under paragraph (d)(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. 86.614; 
and
    (ii) Not apply to vehicles no longer in the hands of the 
manufacturer.
    (7) Any voiding of a certificate of conformity under paragraph 
(d)(4) of this section will be made only after the manufacturer 
concerned has been offered an opportunity for a hearing conducted in 
accordance with Sec. 86.614.
    (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 Secs. 86.1004(a), 86.1005, 86.1007, 86.1008, 
86.1010, 86.1011, or 86.1013.
    (2) The sanction of suspending a certificate may not be imposed for 
the reasons in paragraph (e)(1) (i), (ii), or (vii) of this section 
where such refusal or denial is caused by conditions and circumstances 
outside the control of the manufacturer which renders it impossible to 
comply with those requirements. Such conditions and circumstances shall 
include, but are not limited to, any uncontrollable factors which result 
in the temporary unavailability of equipment and personnel needed to 
conduct the required tests, such as equipment breakdown or failure or 
illness of personnel, but shall not include failure of the manufacturers 
to adequately plan for and provide the equipment and personnel needed to 
conduct the tests. The manufacturer will bear the burden of establishing 
the presence of the conditions and circumstances required by this 
paragraph.
    (3) The sanction of suspending a certificate may be imposed for the 
reasons outlined in paragraph (e)(1) (iii), (iv), or (v) of this section 
only when the infraction is substantial.
    (4) In any case in which a manufacturer knowingly submitted false or 
inaccurate information or knowingly rendered inaccurate any test data or 
committed any other fraudulent acts, and such acts contributed 
substantially to the Administrator's original decision not to suspend or 
revoke a certificate of conformity in whole or in part, the 
Administrator may deem such certificate void from the date of such 
fraudulent act.
    (5) In any case in which certification of a light-duty truck or 
heavy-duty engine is proposed to be suspended under paragraph (e)(1)(v) 
of this section and in which the Administrator has presented to the 
manufacturer involved reasonable evidence that a violation of 
Sec. 86.1006 in fact occurred, if the manufacturer wishes to contend 
that, although the violation occurred, the vehicle or engine 
configuration or engine family in question was not involved in the 
violation to a degree that would warrant suspension of certification

[[Page 177]]

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.


(Secs. 202, 203, 206, 207, 208, 301a, Clean Air Act, as amended; 42 
U.S.C. 7521, 7522, 7525, 7541, 7542, 7601a)

[50 FR 10682, Mar. 15, 1985, as amended at 54 FR 14493, Apr. 11, 1989; 
55 FR 30625, July 26, 1990]



Sec. 86.091-35  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. 86.091-30(a).
    (1) Light-duty vehicles. (i) A permanent, legible label shall be 
affixed in a readily visible position in the engine compartment.
    (ii) The label shall be affixed by the vehicle manufacturer who has 
been issued the certificate of conformity for such vehicle, in such a 
manner that it cannot be removed without destroying or defacing the 
label. The label shall not be affixed to any equipment which is easily 
detached from such vehicle.
    (iii) The label shall contain the following information lettered in 
the English language in block letters and numerals, which shall be of a 
color that contrasts with the background of the label:
    (A) The label heading: Vehicle Emission Control Information;
    (B) Full corporate name and trademark of manufacturer;
    (C) Engine displacement (in cubic inches), engine family 
identification and evaporative family identification;
    (D) Engine tune-up specifications and adjustments, as recommended by 
the manufacturer in accordance with the applicable emission standards 
(or family emission limits, as appropriate), including but not limited 
to idle speed(s), ignition timing, the idle air-fuel mixture setting 
procedure and value (e.g., idle CO, idle air-fuel ratio, idle speed 
drop), high idle speed, initial injection timing, and valve lash (as 
applicable), as well as other parameters deemed necessary 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;
    (E) An unconditional statement of compliance with the appropriate 
model year U.S. Environmental Protection Agency regulations which apply 
to light-duty vehicles;
    (F) For vehicles which are part of the diesel particulate averaging 
program, the family particulate emission limit to which the vehicle is 
certified;
    (G) For vehicles that have been exempted from compliance with the 
emission standards at high altitude, as specified in Sec. 86.087-8(h),
    (1) A highlighted statement (e.g., underscored or boldface letters) 
that the vehicle is certified to applicable emission standards at low 
altitude only,
    (2) A statement that the vehicle's unsatisfactory performance under 
high-altitude conditions makes it unsuitable for principal use at high 
altitude, and
    (3) A statement that the emission performance warranty provisions of 
40 CFR part 85, subpart V do not apply when the vehicle is tested at 
high altitude; and
    (H) For vehicles that have been exempted from compliance with the 
emission standards at low altitude, as specified in Sec. 86.087-8(i),
    (1) A highlighted statement (e.g., underscored or boldface letters) 
that the

[[Page 178]]

vehicle is certified to applicable emission standards at high altitude 
only, and
    (2) A statement that the emission performance warranty provisions of 
40 CFR part 85, subpart V do not apply when the vehicle is tested at low 
altitude.
    (2) Light-duty trucks. (i) A legible permanent label shall be 
affixed in a readily visible position in the engine compartment.
    (ii) The label shall be affixed by the vehicle manufacturer who has 
been issued the certificate of conformity for such vehicle, in such a 
manner that it cannot be removed without destroying or defacing the 
label. The label shall not be affixed to any equipment which is easily 
detached from such vehicle.
    (iii) The label shall contain the following information lettered in 
the English language in block letters and numerals, which shall be of a 
color that contrasts with the background of the label.
    (A) The label heading: Important Vehicle Information;
    (B) Full corporate name and trademark of manufacturer;
    (C) Engine displacement (in cubic inches) and engine family 
identification;
    (D) Engine tune-up specifications and adjustments, as recommended by 
the manufacturer in accordance with the applicable emission standards 
(or family emission limits, as appropriate), including but not limited 
to idle speed(s), ignition timing, the idle air-fuel mixture setting 
procedure and value (e.g., idle CO, idle air-fuel ratio, idle speed 
drop), high idle speed, initial injection timing, and valve lash (as 
applicable), as well as other parameters deemed necessary 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. If adjustments or 
modifications to the vehicle are necessary to insure compliance with 
emission standards (or family emission limits, as appropriate) at either 
high or low altitude, the manufacturer shall either include the 
instructions for such adjustments on the label, or indicate on the label 
where instructions for such adjustments may be found. The label shall 
indicate whether the engine tune-up or adjustment specifications are 
applicable to high altitude, low altitude or both;
    (E) The prominent statement: ``This vehicle conforms to U.S. EPA 
regulations applicable to 19__ Model Year New Light-Duty Trucks.''
    (F) If the manufacturer is provided an alternate useful-life period 
under the provisions of Sec. 86.088-21(f), the prominent statement: 
``This vehicle has been certified to meet U.S. EPA standards for a 
useful-life period of __ years or __ miles of operation, whichever 
occurs first. This vehicle'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 years of 
miles (e.g., hours, or miles only);
    (G) A statement, if applicable, that the adjustments or 
modifications indicated on the label are necessary to ensure emission 
control compliance at the altitude specified;
    (H) A statement, if applicable, that the high-altitude vehicle was 
designated or modified for principal use at high altitude. This 
statement must be affixed by the manufacturer at the time of assembly or 
by any dealer who performs the high-altitude modification or adjustment 
prior to sale to an ultimate purchaser;
    (I) For vehicles that have been exempted from compliance with the 
high-altitude emission standards, as specified in Sec. 86.088-9(g)(2),
    (1) A highlighted statement (e.g., underscored or boldface letters) 
that the vehicle is certified to applicable emission standards at low 
altitude only,
    (2) A statement that the vehicle's unsatisfactory performance under 
high-altitude conditions makes it unsuitable for principal use at high 
altitude, and
    (3) A statement that the emission performance warranty provisions of 
40 CFR part 85, subpart I do not apply when the vehicle is tested at 
high altitude; and,
    (J) For vehicles which are included in the diesel particulate 
averaging program, the family particulate emission limit to which the 
vehicle is certified.
    (K) For vehicles which are included in the light-duty truck 
NOX averaging

[[Page 179]]

program, the family NOX emission limit to which the vehicle 
is certified.
    (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) Full corporate name and trademark of manufacturer;
    (C) Engine displacement (in cubic inches) 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 tuneup 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 mm3/stroke, valve lash, 
initial injection timing, and idle speed;
    (H) The prominent statement: ``This engine conforms to U.S. EPA 
regulations applicable to 19__ Model Year New Heavy-Duty Engines.''
    (I) If the manufacturer is provided with an alternate useful-life 
period under the provisions of Sec. 86.088-21(f), the prominent 
statement: ``This engine has been certified to meet U.S. EPA standards 
for a useful-life period of __ miles or __ 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 ____-heavy-duty engine.'' (The 
primary intended service applications are light, medium, and heavy, as 
defined in Sec. 86.085-2);
    (K) For Otto-cycle engines. One of the following statements, as 
applicable:
    (1) For engines certified to the emission standards of Sec. 86.091-
10(a)(1)(i) or Sec. 86.091-10(a)(1)(iii), the statement: ``This engine 
is certified for use in all heavy-duty vehicles.''
    (2) For gasoline-fueled engines certified under the provisions of 
Sec. 86.091-10(a)(3)(i), the statement: ``This engine is certified for 
use in all heavy-duty vehicles under the special provision of 40 CFR 
86.091-10(a)(3)(i).''
    (3) For engines certified to the emission standards of Sec. 86.091-
10(a)(1)(ii) or Sec. 86.091-10(a)(1)(iv), the statement: ``This engine 
is certified for use only in heavy-duty vehicles with a gross vehicle 
weight rating above 14,000 lbs.''
    (L) For all heavy-duty engines which are included in the particulate 
averaging, trading, or banking programs, the particulate family emission 
limit to which the engine is certified.
    (M) For all heavy-duty engines which are included in the 
NOX averaging, trading, or banking programs, the 
NOX family emission limit to which the engine is certified.
    (N) For diesel engines which have been certified to comply with the 
urban bus particulate standard of 40 CFR 86.091-11(a)(1)(iv), the 
statement ``This engine is certified for use in an urban bus as defined 
at 40 CFR 86.091-2.'' Unless waived by the Administrator on the basis of 
impracticality, for diesel engines not certified to comply with the 
urban bus particulate standard, the statement ``This engine is not 
certified for use in an urban bus as defined at 40 CFR 86.091-2. Sales 
of this

[[Page 180]]

engine for use in an urban bus is a violation of Federal law under the 
Clean Air Act.''
    (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)(i) Gasoline-fueled and methanol-fueled heavy-duty vehicles. 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 paragraphs (a)(4) and (g)(1) of this 
section shall be affixed in a readily visible 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 lable shall contain the following information lettered in 
the English language in block letters and numericals, which shall be of 
a color that contrasts with the background of the label:
    (A) The label heading: Vehicle Emission Control Information;
    (B) Full corporate name and trademark of manufacturer;
    (C) Evaporative family identification;
    (D) The maximum nominal fuel tank capacity (in gallons) for which 
the evaporative control system is certified; and
    (E) One of the following, as appropriate:
    (1) An unconditional statement of compliance with the appropriate 
model year U.S. Environmental Protection Agency regulations which apply 
to gasoline-fueled heavy-duty vehicles.
    (2) An unconditional statement of compliance with the appropriate 
model year U.S. Environmental Protection Agency regulations which apply 
to methanol-fueled heavy-duty vehicles.
    (b) The provisions of this section shall not prevent a manufacturer 
from also reciting on the label that such vehicle (or engine) conforms 
to any applicable state emission standards for new motor vehicles (or 
new motor vehicle engines) or any other information that such 
manufacturer deems necessary for, or useful to, the proper operation and 
satisfactory maintenance of the vehicle (or engine).
    (c)(1) The manufacturer of any light-duty vehicle or light-duty 
truck subject to the emission standards (or family emission limits, as 
appropriate) of this subpart shall, in addition and subsequent to 
setting forth those statements on the label required by the Department 
of Transportation (DOT) pursuant to 49 CFR 567.4, set forth on the DOT 
label or on an additional label located in proximity to the DOT label 
and affixed as described in 40 CFR 567.4(b), the following information 
in the English language, lettered in block letters and numerals not less 
than three thirty-seconds of an inch high, of a color that contrasts 
with the background of the label:
    (i) The Heading: ``Vehicle Emission Control Information.''
    (ii)(A) For light-duty vehicles, the statement: ``This Vehicle 
Conforms to U.S. EPA Regulations Applicable to 19--Model Year New Motor 
Vehicles.''
    (B) For light-duty trucks. (1) The statement: ``This vehicle 
conforms to U.S. EPA regulations applicable to 19--Model Year New Light-
Duty Trucks.''
    (2) If the manufacturer is provided an alternate useful-life period 
under the provisions of Sec. 86.088-21(f), the prominent statement: 
``This vehicle has been certified to meet U.S. EPA standards for a 
useful-life period of __ years or __ miles of operation, whichever 
occurs first. This vehicle's actual life may vary depending on its 
service application.'' The manufacturer may alter this statement only to 
express the assigned alternative useful life in terms other than years 
or miles (e.g., hours, or miles only).
    (iii) One of the following statements, as applicable, in letters and 
numerals not less than six thirty-seconds of an inch high and of a color 
that contrasts with the background of the label:
    (A) For all vehicles certified as non-catalyst-equipped: ``NON-
CATALYST'';
    (B) For all vehicles certified as catalyst-equipped which are 
included in a manufacturer's catalyst control program for which approval 
has been given

[[Page 181]]

by the Administrator: ``CATALYST--APPROVED FOR IMPORT'';
    (C) For all vehicles certified as catalyst-equipped which are not 
included in a manufacturer's catalyst control program for which prior 
approval has been given by the Administrator: ``CATALYST'';
    (2) In lieu in of selecting either of the labeling options of 
paragraph (c)(1) of this section, the manufacturer may add the 
information required by paragraph (c)(1)(iii) of this section to the 
labeling required by paragraph (a) of this section. The required 
information will be set forth in the manner prescribed by paragraph 
(c)(1)(iii) of this section.
    (d) Incomplete light-duty trucks or incomplete heavy-duty vehicles 
optionally certified as light-duty trucks shall have the following 
prominent statement printed on the label required by paragraph (a)(2) of 
this section in lieu of the statement required by paragraph 
(a)(2)(iii)(E) of this section: ``This vehicle conforms to U.S. EPA 
regulations applicable to 19__ Model Year New Light-Duty Trucks when 
completed at a maximum curb weight of __ pounds or at a maximum gross 
vehicle weight rating of __ pounds or with a maximum frontal area of __ 
square feet.''
    (e) Incomplete heavy-duty vehicles having a gross vehicle weight 
rating of 8,500 pounds or less shall have one of the following 
statements printed on the label required by paragraph (a)(3) of this 
section in lieu of the statement required by paragraph (a)(3)(iii)(H) of 
this section: ``This engine conforms to U.S. EPA regulations applicable 
to 19__ Model Year New Heavy-Duty Engines when installed in a vehicle 
completed at a curb weight of more than 6,000 pounds or with a frontal 
area of greater than 45 square feet.''
    (f) The manufacturer of any incomplete light-duty vehicle or light-
duty truck shall notify the purchaser of such vehicle of any curb 
weight, frontal area, or gross vehicle weight rating limitations 
affecting the emission certificate applicable to that vehicle. This 
notification shall be transmitted in a manner consistent with National 
Highway Traffic Safety Administration safety notification requirements 
published in 49 CFR part 568.
    (g)(1)(i) Incomplete gasoline-fueled heavy-duty vehicles shall have 
the following prominent statement printed on the label required in 
paragraph (a)(4) of this section: ``(Manufacturer's corporate name) has 
determined that this vehicle conforms to U.S. EPA regulations applicable 
to 19__ Model Year New Gasoline-Fueled Heavy-Duty Vehicles when 
completed with a nominal fuel tank capacity not to exceed ____ gallons. 
Persons wishing to add fuel tank capacity beyond the above maximum must 
submit a written statement to the Administrator that the hydrocarbon 
storage system has been upgraded according to the requirements of 40 CFR 
86.091-35(g)(2).''
    (ii) Incomplete methanol-fueled heavy-duty vehicles shall have the 
following prominent statement printed on the label required in paragraph 
(a)(4) of this section: ``(Manufacturer's corporate name) has determined 
that this vehicle conforms to U.S. EPA regulations applicable to 19__ 
Model Year New Methanol-Fueled Heavy-Duty Vehicles when completed with a 
nominal fuel tank capacity not to exceed ____ gallons. Persons wishing 
to add fuel tank capacity beyond the above maximum must submit a written 
statement to the Administrator that the hydrocarbon storage system has 
been upgraded according to the requirements of 40 CFR 86.091-35(g)(2).''
    (2) Persons wishing to add fuel tank capacity beyond the maximum 
specified on the label required in paragraph (g)(1) of this section 
shall:
    (i) Increase the amount of fuel tank vapor storage material 
according to the following function:
[GRAPHIC] [TIFF OMITTED] TR06OC93.008

Where:
Capf = final amount of fuel tank vapor storage material, 
grams.
Capi = initial amount of fuel tank vapor storage material, 
grams.
T. Vol. = total fuel tank volume of completed vehicle, gallons.
Max. Vol. = maximum fuel tank volume as specified on the label required 
in paragraph (g)(1) of this section, gallons.

    (ii) Use, if applicable, hosing for fuel vapor routing which is at 
least as impermeable to hydrocarbon vapors as

[[Page 182]]

that used by the primary manufacturer.
    (iii) Use vapor storage material with the same adsorptive 
characteristics as that used by the primary manufacturer.
    (iv) Connect, if applicable, any new hydrocarbon storage device to 
the existing hydrocarbon storage device in series such that the original 
hydrocarbon storage device is situated between the fuel tank and the new 
hydrocarbon storage device. The original hydrocarbon storage device 
shall be sealed such that vapors cannot reach the atmosphere. The 
elevation of the original hydrocarbon storage device shall be equal to 
or lower than the new hydrocarbon storage device.
    (v) Submit a written statement to the Administrator that paragraphs 
(g)(2)(i) through (g)(2)(iv) of this section have been complied with.
    (3) If applicable, the Administrator will send a return letter 
verifying the receipt of the written statement required in paragraph 
(g)(2)(v) of this section.
    (h)(1) Light-duty trucks and heavy-duty 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 or on a separate permanent legible 
label in the English language and located in proximity to 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.
    (i) The statement: ``The manufacturer of this engine/vehicle will 
pay a 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 ______.'' (The 
manufacturer shall insert the applicable pollutant and compliance level 
calculated in accordance with Sec. 86.1112-87(a).)
    (ii) [Reserved]
    (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.


(Secs. 202, 203, 206, 207, 208, 301a, Clean Air Act, as amended; 42 
U.S.C. 7521, 7522, 7525, 7541, 7542, 7601a)

[50 FR 10690, Mar. 15, 1985, as amended at 54 FR 14498, Apr. 11, 1989; 
55 FR 30626, July 26, 1990; 55 FR 46628, Nov. 5, 1990]



Sec. 86.092-1  General applicability.

    (a) The provisions of this subpart apply to 1992 and later model 
year new Otto-cycle and diesel light-duty vehicles, 1992 and later model 
year new Otto-cycle and diesel light-duty trucks, and 1992 and later 
model year new Otto-cycle and diesel heavy-duty engines. The provisions 
of this subpart are optional for vehicles fueled with either natural gas 
or liquefied petroleum gas for the 1994 through 1996 model years. The 
provisions of this subpart also apply to aftermarket conversions of all 
model year Otto-cycle and diesel light-duty vehicles, Otto-cycle and 
diesel light-duty trucks, and Otto-cycle and diesel heavy-duty engines 
certified under the provisions of 40 CFR part 85, subpart F.
    (b) Optional applicability. A manufacturer may request to certify 
any heavy-duty vehicle of 10,000 pounds Gross Vehicle Weight Rating or 
less in accordance with the light-duty truck provisions. Heavy-duty 
engine or vehicle provisions do not apply to such a vehicle.
    (c) [Reserved]
    (d) Alternative Durability Program. For 1992 and later model year 
light-duty vehicles and light-duty trucks, a manufacturer may elect to 
participate in the Alternative Durability Program. This optional program 
provides an alternative method of determining exhaust emission control 
system durability.
    The general procedures and a description of the programs are 
contained in Sec. 86.085-13 and specific provisions on test vehicles and 
compliance procedures are contained in Sec. 86.092-24 and Sec. 86.091-28 
respectively.
    (e) Small volume manufacturers. Special certification procedures are 
available for any manufacturer whose projected combined U.S. sales of 
light-

[[Page 183]]

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 40 CFR 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. 86.092-14(b) before the Administrator's 
approval will be granted. The small-volume manufacturer's certification 
procedures are described in Sec. 86.092-14.
    (f) Optional procedures for determining exhaust opacity. (1) The 
provisions of subpart I apply to tests which are performed by the 
Administrator, and optionally, by the manufacturer.
    (2) Measurement procedures, other than that described in subpart I, 
may be used by the manufacturer provided the manufacturer satisfies the 
requirements of Sec. 86.091-23(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. 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.
    (4) If a confirmatory test(s) 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 subpart I data, EPA may require that all certificates of 
conformity not already issued be based on data from subpart I 
procedures.

[55 FR 7187, Feb. 28, 1990, as amended at 59 FR 48494, Sept. 21, 1994]



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]

[[Page 184]]



Sec. 86.092-14  Small-volume manufacturers certification procedures.

    (a) The small-volume manufacturers certification procedures 
described in paragraphs (b) and (c) of this section are optional. Small-
volume manufacturers may use these optional procedures to demonstrate 
compliance with the general standards and specific emission requirements 
contained in this subpart.
    (b)(1) The optional small-volume manufacturers certification 
procedures apply to light-duty vehicles, light-duty trucks, heavy-duty 
vehicles, and heavy-duty engines produced by manufacturers with U.S. 
sales, including all vehicles and engines imported under the provisions 
of 40 CFR 85.1505 and 40 CFR 85.1509 (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 the groupings identified below in this subparagraph.
    (i) Vehicles and/or engines produced by two or more firms, one of 
which is 10 percent or greater part owned by another;
    (ii) Vehicles and/or engines produced by any two or more firms if a 
third party has equity ownership of 10 percent or more in each of the 
firms;
    (iii) Vehicles and/or engines produced by two or more firms having a 
common corporate officer(s) who is(are) responsible for the overall 
direction of the companies;
    (iv) Vehicles and/or engines imported or distributed by all firms 
where the vehicles and/or engines are manufactured by the same entity 
and the importer or distributer 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 (40 CFR 86.092-24(e)) in accordance with the 
criteria identified below in this subparagraph.
    (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) Small-volume manufacturers shall demonstrate compliance with the 
applicable sections of this subpart. The appropriate model year of the 
following applicable sections shall be determined in accordance with 
Sec. 86.084-4:
    (1) Sections 86.092-1, 86.092-2, 86.090-3, 86.084-4, 86.090-5, 
86.078-6, 86.078-7, and 86.090-8 through 86.090-11 of this subpart are 
applicable.
    (2) Section 86.080-12 of this subpart is not applicable.
    (3) Section 86.085-13, 86.092-14, 86.084-15, and 86.085-20 of this 
subpart are applicable.
    (4) Small-volume manufacturers shall include in their records all of 
the

[[Page 185]]

information that EPA requires in Sec. 86.090-21 of this subpart. 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.
    (5) Section 86.085-22 of this subpart is applicable except as noted 
below.
    (i) Small-volume light-duty vehicle and light-duty truck 
manufacturers may satisfy the requirements of paragraph (e) of 
Sec. 86.085-22 by including a statement of compliance on adjustable 
parameters in the application for certification. In the statement of 
compliance the manufacturer shall state that the limits, stops, seals, 
or other means used to inhibit adjustment have been designed to 
accomplish their intended purpose based on good engineering practice and 
past experience. If the vehicle parameter is adjustable the vehicle must 
meet emission standards with the parameter set any place within the 
adjustable range (Reference Sec. 86.090-21 of this subpart).
    (6) Section 86.090-23 of this subpart is applicable.
    (7) Section 86.092-24 of this subpart is applicable except as noted 
below.
    (i) Small-volume manufacturers may satisfy the requirements of 
paragraph (b) and (c) of Sec. 86.092-24 of this subpart by:
    (A) Emission-data--Selecting one emission-data test vehicle (engine) 
per engine family by the worst-case emissions criteria as follows:
    (1) Light-duty vehicles and light-duty trucks. The manufacturer 
shall select the vehicle with the heaviest equivalent test weight 
(including options) within the engine family. Then within that vehicle 
the manufacturer shall select, 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 the engine family, and the maximum fuel flow 
calibration.
    (2) 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.
    (3) 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.
    (B) Testing light-duty vehicles or light-duty truck emission-data 
vehicles at any service accumulation distance of at least 2,000 miles 
(3,219 kilometers) or, catalyst equipped heavy-duty emission-data 
engines at any service accumulation time of at least 62 hours, or non-
catalyst equipped heavy-duty engine emission-data engines at any service 
accumulation time determined by the manufacturer to result in stabilized 
emissions. The emission performance of the emission-data vehicle or 
engine must be stabilized prior to emission testing.
    (C) Durability data--Satisfying the durability-data requirements by 
complying with the applicable procedures below:
    (1) Manufacturers with aggregated sales of less than 301 motor 
vehicles and motor vehicle engines per year may use assigned 
deterioration factors that the Administrator determines and prescribes. 
The factors will be the Administrator's estimate, periodically updated 
and published in an advisory letter or advisory circular, of the 70th 
percentile deterioration factors calculated using the industrywide 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.
    (2) 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

[[Page 186]]

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)(7)(i)(C)(2)(i), 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 industrywide 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.
    (i) 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 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.
    (3) 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-data vehicle (engine) mileage 
accumulation and emission tests are to be conducted according 
Sec. 86.092-26 of this subpart. The manufacturer must develop 
deterioration factors by generating durability data in accordance with 
Sec. 86.092-26 of this subpart on a minimum of 25 percent of the 
manufacturer's projected sales (by engine/system combination) that is 
equipped with unproven emission control systems. The manufacturer must 
complete the 25 percent durability requirement before the remainder of 
the manufacturer's sales equipped with unproven emission control systems 
is certified using manufacturer-determined assigned deterioration 
factors. Alternatively, any of these manufacturers may, at their option, 
accumulate miles on durability-data vehicles and complete emission tests 
for the purpose of establishing their own deterioration factors on the 
remaining sales.
    (4) For light-duty vehicle, light-duty truck, and heavy-duty vehicle 
evaporative emissions and light-duty truck, and heavy-duty engine 
exhaust emissions, deterioration factors shall be determined in 
accordance with Sec. 86.092-24 of this subpart.
    (ii) Paragraphs (d) and (e) of Sec. 86.092-24 of this subpart are 
not applicable.
    (8) Section 86.090-25 of this subpart is applicable to maintenance 
performed on durability-data light-duty vehicles, light-duty trucks, 
heavy-duty vehicles, and heavy-duty engines when the manufacturer 
completes durability-data vehicles or engines; section 86.087-38 of this 
subpart is applicable to the recommended maintenance the manufacturer 
includes in the maintenance instructions furnished the purchasers of

[[Page 187]]

new motor vehicles and new motor vehicle engines under Sec. 86.087-38 of 
this subpart.
    (9)(i) Section 86.092-26 of this subpart is applicable if the 
manufacturer completes durability-data vehicles or engines.
    (ii) Section 86.085-27 of this subpart is applicable.
    (10) Sections 86.090-28 and 86.090-29 of this subpart are 
applicable.
    (11)(i) Section 86.090-30 of this subpart is applicable, except for 
paragraph (a)(2) and (b) of that section. In the place of these 
paragraphs, small-volume manufacturer shall comply with paragraphs 
(c)(11)(ii) through (v) of this section, as shown below.
    (ii) Small-volume manufacturers shall submit an application for 
certification containing the following:
    (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 as applicable:
    (1) Engine evaporative 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 vehicles(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 paragraph 
(e) of Sec. 86.085-22 of this subpart, and schematics of hoses and other 
devices connecting these components.
    (16) Vehicle adjustments or modifications necessary for light-duty 
trucks to assure that they conform to high-altitude standards.
    (17) A description of the light-duty vehicles and light-duty trucks 
which are exempted from the high-altitude emission standards.
    (18) Proof that the manufacturer has obtained or entered an 
agreement to purchase, when applicable, the insurance policy, required 
by Sec. 85.1510(b). 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.
    (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, D, I, M, N, or P) of part 86, title 40, United 
States Code of Federal Regulations, and on the basis of those tests are 
in conformance with that subpart. All of the data and records required 
by that subpart are on file and are available for inspection by the 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) A statement as required by and contained in paragraph (c)(5) of 
this section signed by the authorized representative of the 
manufacturer.
    (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 188]]

as a defeat device as defined in Sec. 86.092-2 of this subpart.
    (4) A statement of compliance with section 206(a)(3) of the Clean 
Air Act.
    (5) A statement that, based on the manufacturer's engineering 
evaluation and/or emission testing, the light-duty vehicles comply with 
emission standards at high altitude unless exempt under paragraph (h) of 
Sec. 86.090-8 of this subpart.
    (6) A statement that, based on the manufacturer's engineering 
evaluation and/or emission testing, the light-duty trucks sold for 
principle use at designated high-altitude locations comply with the 
high-altitude emission requirements and that all other light-duty trucks 
are at least capable of being modified to meet high-altitude standards 
unless exempt under paragraph (g)(2) of Sec. 86.090-9 of this subpart.
    (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 (re: paragraph 
(c)(7)(i)(C)(2) of this section) shall provide a description of the 
method(s) used by the manufacturer to determine the deterioration 
factors.
    (iii) If the manufacturer meets requirements of this subpart, the 
Administrator will issue a certificate of conformity for the vehicles or 
engines described in the application for certification.
    (iv) 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.
    (v)(A) 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.
    (B) If the manufacturer does not request a hearing or present the 
required information the Administrator will deny certification.
    (12) Sections 86.079-31 and 86.079-32 of this subpart are not 
applicable.
    (13) Under Sec. 86.079-33 of this subpart, small-volume 
manufacturers are covered by the following.
    (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)(11)(ii) of this 
section. The manufacturer shall also amend as necessary its records 
required under paragraph (c)(4) of this section to confirm with the 
production design change.
    (14) Section 86.082-34 of this subpart is not applicable.
    (15) Sections 86.092-35, 86.079-36, 86.082-37, 86.087-38 and 86.084-
39 of this subpart are applicable.

[55 FR 7187, Feb. 28, 1990]

[[Page 189]]



Sec. 86.092-15  NOX and particulate averaging, trading, and banking for heavy-duty engines.

    (a)(1) Heavy-duty engines eligible for the NOX and 
particulate averaging, trading, and banking programs are described in 
the applicable emission standards sections in this subpart. 
Participation in these programs is voluntary.
    (2)(i) Engine families with FELs exceeding the applicable standard 
shall obtain emission credits in a mass amount sufficient to address the 
shortfall. Credits may be obtained from averaging, trading, or banking, 
within the averaging set restrictions described in this section.
    (ii) Engine families with FELs below the applicable standard will 
have emission credits available to average, trade, bank or a combination 
thereof. Credits may not be used 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.
    (iii) Credits scheduled to expire in the earliest model year shall 
be used, prior to using other available credits, to offset emissions of 
engine families with FELS exceeding the applicable standard.
    (b) Participation in the NOX 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 
and particulate).
    (ii) Declare an FEL for each engine family participating in one or 
more of these three 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 for 
NOX 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 and 
particulate emission standards.
    (iii) Calculate the projected emission credits (+/-) based on 
quarterly production projections for each participating family and for 
each pollutant (NOX and particulate), using the 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 paragraphs (d) and (e) of 
this section. Credits available for averaging, trading, or banking as 
defined in Sec. 86.090-2, may be applied to a given engine famil(y) 
(ies), 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:

[[Page 190]]

    (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. 86.091-23.
    (iii) 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 verification 
steps 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 actual NOX and/or particulate emission 
credits will violate the conditions of the certificate of conformity. 
The certificates of conformity may be voided ab initio for those engine 
families.
    (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 credit balances may be adjusted by EPA.
    (i) If EPA review of a manufacturer's end-of-year report indicates 
an inadvertent credit shortfall, the manufacturer will be permitted to 
purchase the necessary credits to bring the credit balance for that 
engine family to zero, at the ratio of 1.2 credits purchased for every 
credit needed to bring the balance to zero. If sufficient credits are 
not available to bring the credit balance for the engine 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. For the 1992 model year, corrections to the end-of-year 
reports may be submitted until May 9, 1994.
    (c)(1) For each participating engine family, NOX and 
particulate emission credits (positive or negative) are to be calculated 
according to one of the following equations and rounded, in accordance 
with ASTM E29-67, to the nearest one-tenth of a Megagram (Mg). 
Consistent units are to be used throughout the equation.
    For determining credit need for all engine families and credit 
availability for engine families generating credits for averaging 
programs only:

Emission credits = (StdFEL)  x  (CF)  x  (UL)  x  (Production)  x  (106)

    For determining credit availability for engine families generating 
credits for trading or banking programs:

Emission credits = (StdFEL)  x  (CF)  x  (UL)  x  (Production)  x  (106) 
 x  (0.8)

Where:

Std=the current and applicable heavy-duty engine NOX or 
particulate emission standard in grams per brake horsepower hour or 
grams per Megajoule.
FEL=the NOX 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, or alternative life as described in paragraph (f) of 
Sec. 86.090-21, 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.
0.8=a one-time discount applied to all credits to be banked or traded 
within the model year generated. 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) 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. When more

[[Page 191]]

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 the configuration generating 
the highest conversion factor when determining credit need and the 
lowest conversion factor when determining credit availability for 
banking, trading or averaging.
    (d) Averaging sets for NOX emission credits: The 
averaging and trading of NOX emission credits will only be 
allowed between heavy-duty engine families in the same averaging set and 
in the same regional category. Engines produced for sale in California 
constitute a separate regional category than engines produced for sale 
in the other 49 states. Banking and trading are not applicable to 
engines sold in California. The averaging sets for the averaging and 
trading of NOX emission credits for heavy-duty engines are 
defined as follows:
    (1) For 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) Gasoline-fueled heavy-duty vehicles certified under the 
provisions of Sec. 86.085-1(b) may not average or trade credits with 
gasoline-fueled heavy-duty Otto-cycle engines, but may average or trade 
credits with light-duty trucks.
    (2) For diesel cycle heavy-duty engines:
    (i) Each of the three primary intended service classes for heavy-
duty diesel engines, as defined in Sec. 86.090-2, 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 would otherwise 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 and in 
the same regional category. Engines produced for sale in California 
constitute a separate regional category than engines produced for sale 
in the other 49 states. Banking and trading are not applicable to 
engines sold in California. 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 
among all 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. 86.090-2, 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 and particulate emission credits:
    (1) Credit deposits. (i) Under this phase of the banking program, 
emission credits may be banked from engine families produced during the 
three model years prior to the effective model year of the new HDE 
NOX or particulate emission standard. Credits may not be 
banked from engine families made during any other model years.
    (ii) Manufacturers may bank credits only after the end of the model 
year and after EPA has reviewed their 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) After being generated, banked/reserved 
credits shall be available for use three model years prior to, through 
three model years immediately after the effective date of the new HDE 
NOX or particulate emission standard, as applicable. However, 
credits not used within the period specified above shall be forfeited.
    (ii) Manufacturers withdrawing banked emission credits shall 
indicate so during certification and in their credit reports, as 
described in Sec. 86.091-23.

[[Page 192]]

    (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, trading, or in any 
combination thereof, during the certification period. Credits declared 
for banking from the previous model year but unreviewed by EPA may also 
be used. However, they may be revoked at a later time following EPA 
review of the end-of-year report or any subsequent audit actions.
    (ii) Banked credits may not be used for NOX 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.
    (g)(1) For purposes of this paragraph (g), assume NOX and 
particulate nonconformance penalties (NCPs) will be available for the 
1991 and later model year HDEs.
    (2) Engine families paying an NCP for noncompliance of any emission 
standard may not:
    (i) Participate in the averaging program,
    (ii) Generate emission credits for any pollutant under banking and 
trading, and
    (iii) Use emission credits for any pollutant from banking and 
trading.
    (3) If a manufacturer has any engine family to which application of 
NCPs and averaging, 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 emission credits only.
    (4) If a manufacturer has any engine family in a given averaging set 
which is using NOX 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.

[59 FR 14106, Mar. 25, 1994]



Sec. 86.092-23  Required data.

    (a) The manufacturer shall perform the tests required by the 
applicable test procedures, and submit to the Administrator the 
following information: Provided, however, That if requested by the 
manufacturer, the Administrator may waive any requirement of this 
section for testing of vehicle (or engine) for which emission data are 
available or will be made available under the provisions of Sec. 86.091-
29.
    (b)(1)(i) Exhaust emission durability data on such light-duty 
vehicles tested in accordance with applicable test procedures and in 
such numbers as specified, which will show the performance of the 
systems installed on or incorporated in the vehicle for extended 
mileage, as well as a record of all pertinent maintenance performed on 
the test vehicles.
    (ii) Exhaust emission deterioration factors for light-duty trucks 
and heavy-duty engines, and all test data that are derived from the 
testing described under Sec. 86.091-21(b)(4)(iii)(A), as well as a 
record of all pertinent maintenance. Such testing shall be designed and 
conducted in accordance with good engineering practice to assure that 
the engines covered by a certificate issued under Sec. 86.091-30 will 
meet the emission standards (or family emission limits, as appropriate) 
in Sec. 86.091-9, Sec. 86.091-10, or Sec. 86.091-11 as appropriate, in 
actual use for the useful life of the engine.
    (2) For light-duty vehicles and light-duty trucks, evaporative 
emission deterioration factors for each evaporative emission family-
evaporative emission control system combination and all test data that 
are derived from testing

[[Page 193]]

described under Sec. 86.091-21(b)(4)(i) designed and conducted in 
accordance with good engineering practice to assure that the vehicles 
covered by a certificate issued under Sec. 86.091-30 will meet the 
evaporative emission standards in Sec. 86.091-8 or Sec. 86.091-9, as 
appropriate, for the useful life of the vehicle.
    (3) For heavy-duty vehicles equipped with gasoline-fueled or 
methanol-fueled engines, evaporative emission deterioration factors for 
each evaporative emission family-evaporative emission control system 
combination identified in accordance with Sec. 86.091-21(b)(4)(ii). 
Furthermore, a statement that the test procedure(s) used to derive the 
deterioration factors includes, but need not be limited to, a 
consideration of the ambient effects of ozone and temperature 
fluctuations, and the service accumulation effects of vibration, time, 
and vapor saturation and purge cycling. The deterioration factor test 
procedure shall be designed and conducted in accordance with good 
engineering practice to assure that the vehicles covered by a 
certificate issued under Sec. 86.091-30 will meet the evaporative 
emission standards in Sec. 86.091-10 and Sec. 86.091-11 in actual use 
for the useful life of the engine. Furthermore, a statement that a 
description of the test procedure, as well as all data, analyses and 
evaluations, is available to the Administrator upon request.
    (4)(i) For heavy-duty vehicles with a Gross Vehicle Weight Rating of 
up to 26,000 lbs and equipped with gasoline-fueled or methanol-fueled 
engines, a written statement to the Administrator certifying that the 
manufacturer's vehicles meet the standards of Sec. 86.091-10 or 
Sec. 86.091-11 (as applicable) as determined by the provisions of 
Sec. 86.091-28. 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.
    (ii) For heavy-duty vehicles with a Gross Vehicle Weight Rating of 
greater than 26,000 lbs and equipped with gasoline-fueled or methanol-
fueled engines, a written statement to the Administrator certifying that 
the manufacturer's evaporative emission control systems are designed, 
using good engineering practice, to meet the standards of Sec. 86.091-10 
or Sec. 86.091-11 (as applicable) as determined by the provisions of 
Sec. 86.091-28. 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.
    (c) Emission data. (1) Emission data, including in the case of 
methanol fuel, methanol, formaldehyde and total hydrocarbon equivalent 
on such vehicles tested in accordance with applicable test procedures 
and in such numbers as specified. These data shall include zero-mile 
data, if generated and emission data generated for certification as 
required under Sec. 86.090-26(a)(3)(i) or Sec. 86.090-26(a)(3)(ii). In 
lieu of providing emission data on idle CO emissions, smoke emissions or 
particulate emissions from methanol-fueled diesel certification vehicles 
the Administrator may, on request of the manufacturer, allow the 
manufacturer to demonstrate (on the basis of previous emission tests, 
development tests, or other information) that the engine will conform 
with the applicable emission standards of Sec. 86.090-8 or Sec. 86.090-
9.
    (2) Certification engines. Emission data on such engines tested in 
accordance with applicable emission test procedures of this subpart and 
in such numbers as specified. These data shall include zero-hour data, 
if generated, and emission data generated for certification as required 
under Sec. 86.090-26(c)(4). In lieu of providing emission data on idle 
CO emissions or particulate emissions from methanol-fueled diesel 
certification engines, or on CO emissions from petroleum-fueled or 
methanol-fueled diesel certification engines the Administrator may, on 
request of the manufacturer, allow the manufacturer to demonstrate (on 
the basis of previous emission tests, development tests, or other 
information) that the engine will conform with the applicable emission 
standards of Sec. 86.091-11.
    (d) A statement that the vehicles (or engines) for which 
certification is requested conform to the requirements in Sec. 86.084-
5(b), and that the descriptions

[[Page 194]]

of tests performed to ascertain compliance with the general standards in 
Sec. 86.084-5(b), and the data derived from such tests, are available to 
the Administrator upon request.
    (e)(1) A statement that the test vehicles (or test engines) with 
respect to which data are submitted to demonstrate compliance with the 
applicable standards (or family emission limits, as appropriate) of this 
subpart are in all material respects as described in the manufacturer's 
application for certification, have been tested in accordance with the 
applicable test procedures utilizing the fuels and equipment described 
in the application for certification and that on the basis of such tests 
the vehicles (or engines) conform to the requirements of this part. If 
such statements cannot be made with respect to any vehicle (or engine) 
tested, the vehicle (or engine) shall be identified, and all pertinent 
data relating thereto shall be supplied to the Administrator. If, on the 
basis of the data supplied and any additional data as required by the 
Administrator, the Administrator determines that the test vehicles (or 
test engine) was not as described in the application for certification 
or was not tested in accordance with the applicable test procedures 
utilizing the fuels and equipment as described in the application for 
certification, the Administrator may make the determination that the 
vehicle (or engine) does not meet the applicable standards (or family 
emission limits, as appropriate). The provisions of Sec. 86.091-30(b) 
shall then be followed.
    (2) For evaporative emission durability, or light-duty truck or 
heavy-duty engine exhaust emission durability, a statement of compliance 
with paragraph (b)(1)(ii), (b)(2), or (b)(3) of this section, as 
applicable.
    (f) Additionally, manufacturers participating in the particulate 
averaging program for diesel light-duty vehicles and diesel light-duty 
trucks shall submit:
    (1) In the application for certification, a statement that the 
vehicles for which certification is requested will not, to the best of 
the manufacturer's belief, when included in the manufacturer's 
production-weighted average emission level, cause the applicable 
particulate standard(s) to be exceeded.
    (2) No longer than 90 days after the end of a given model year of 
production of engine families included in one of the diesel particulate 
averaging programs, the number of vehicles produced in each engine 
family at each certified particulate FEL, along with the resulting 
production-weighted average particulate emission level.
    (g) Additionally, manufacturers participating in the NOX 
averaging program for light-duty trucks shall submit:
    (1) In the application for certification, a statement that the 
vehicles for which certification is required will not, to the best of 
the manufacturer's belief, when included in the manufacturer's 
production-weighted average emission level, cause the applicable 
NOX standard(s) to be exceeded.
    (2) No longer than 90 days after the end of a given model year of 
production of engine families included in the NOX averaging 
program, the number of vehicles produced in each engine family at each 
certified NOX emission level.
    (h) Additionally, manufacturers participating in any of the 
NOX and/or particulate averaging, trading, or banking 
programs for heavy-duty engines shall submit for each participating 
family:
    (1) In the application for certification:
    (i) A statement that the engines for which certification is 
requested will not, to the best of the manufacturer's belief, when 
included in any of the averaging, trading, or banking programs cause the 
applicable NOX or particulate standard(s) to be exceeded.
    (ii) The type (NOX or particulate) and the projected 
number of credits generated/needed for this family, the applicable 
averaging set, the projected U.S. (49-state) production volumes, by 
quarter, NCPs in use on a similar family and the values required to 
calculate credits as given in Sec. 86.091-15. Manufacturers shall also 
submit how and where credit surpluses are to be dispersed and how and 
through what means credit deficits are to be met, as explained in 
Sec. 86.091-15. The application must project that each engine family 
will be in compliance with the applicable NOX and/or 
particulate emission standards

[[Page 195]]

based on the engine mass emissions, and credits from averaging, trading 
and banking.
    (2) End-of-year reports for each engine family participating in any 
of the averaging, trading, or banking programs.
    (i) These reports shall be submitted within 90 days of the end of 
the model year to: Director, Manufacturers Operations Division (EN-
6405J), U.S. Environmental Protection Agency, 1200 Pennsylvania Ave., 
NW., Washington, DC 20460.
    (ii) These reports shall indicate the engine family, the averaging 
set, the actual U.S. (49-state) production volume, the values required 
to calculate credits as given in Sec. 86.091-15, the resulting type 
(NOX or particulate) and number of credits generated/
required, and the NCPs in use on a similar NCP family. Manufacturers 
shall also submit how and where credit surpluses were dispersed (or are 
to be banked) and how and through what means credit deficits were met. 
Copies of contracts related to credit trading must also be included or 
supplied by the broker if applicable. The report shall also include a 
calculation of credit balances to show that net mass emissions balances 
are within those allowed by the emission standards (equal to or greater 
than a zero credit balance). The credit discount factor described in 
Sec. 86.091-15 must be included as required.
    (iii) The 49-state production counts for end-of-year reports shall 
be based on the location of the first point of retail sale (e.g., 
customer, dealer, secondary manufacturer) by the manufacturer.
    (iv) Errors discovered by EPA or the manufacturer in the end-of-year 
report, including changes in the 49 state production counts, may be 
corrected up to 180 days subsequent to submission of the end-of-year 
report. Errors discovered by EPA after 180 days shall be corrected if 
credits are reduced. Errors in the manufacturer's favor will not be 
corrected if discovered after the 180 day correction period allowed.
    (i) Failure by a manufacturer participating in the averaging, 
trading, or banking programs to submit any quarterly or end-of-year 
report (as applicable) in the specified time for all vehicles and 
engines that are part of an averaging set is a violation of section 
203(a)(1) of the Clean Air Act for each such vehicle and engine.
    (j) Failure by a manufacturer generating credits for deposit only in 
either the HDE NOX or particulate banking programs to submit 
their end-of-year reports in the applicable specified time period (i.e., 
90 days after the end of the model year) shall result in the credits not 
being available for use until such reports are received and reviewed by 
EPA. Use of projected credits pending EPA review will not be permitted 
in these circumstances.
    (k) Engine families certified using NCPs are not required to meet 
the requirements outlined above.

[59 FR 14108, Mar. 25, 1994]



Sec. 86.092-24  Test vehicles and engines.

    (a)(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 
shall be defined as a separate engine family.
    (2) To be classed in the same engine family, engines must be 
identical in all the following respects:
    (i) The cylinder bore center-to-center dimensions.
    (ii)-(iii) [Reserved]
    (iv) The cylinder block configuration (air cooled or water cooled; 
L-6, 90 deg. V-8, etc.).
    (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 (e.g., 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 following features of each engine:

[[Page 196]]

    (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 size 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 shall be 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 (a)(3) 
of this section, the Administrator will establish 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 following features of each engine:
    (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) The gasoline-fueled and methanol-fueled light-duty vehicles and 
light-duty trucks covered by an application for certification will be 
divided into groupings which are expected to have similar evaporative 
emission characteristics throughout their useful life. Each group of 
vehicles with similar evaporative emission characteristics shall be 
defined as a separate evaporative emission family.
    (6) For gasoline-fueled or methanol-fueled light-duty vehicles and 
light-duty trucks to be classed in the same evaporative emission family, 
vehicles must be similar with respect to:
    (i) Type of vapor storage device (e.g., canister, air cleaner, 
crankcase).
    (ii) Basic canister design.
    (iii) Fuel system.
    (7) Where vehicles are of a type which cannot be divided into 
evaporative emission families based on the criteria listed above, the 
Administrator will establish families for those vehicles based upon the 
features most related to their evaporative emission characteristics.
    (8)(i) If the manufacturer elects to participate in the Alternative 
Durability Program, the engine families covered by an application for 
certification shall be grouped based upon similar engine design and 
emission control system characteristics. Each of these groups shall 
constitute a separate engine family group.
    (ii) To be classed in the same engine family group, engine families 
must contain engines identical in all of the following respects:
    (A) The combustion cycle.
    (B) The cylinder block configuration (air-cooled or water-cooled; L-
6, V-8, rotary, etc.).
    (C) Displacement (engines of different displacement within 50 cubic 
inches or 15 percent of the largest displacement and contained within a 
multi-displacement engine family will be included in the same engine 
family group).
    (D) Catalytic converter usage and basic type (non-catalyst, 
oxidation catalyst only, three-way catalyst equipped).
    (9) Engine families identical in all respects listed in paragraph 
(a)(8) of this section may be further divided into different engine 
family groups if the Administrator determines that they are expected to 
have significantly different exhaust emission control system 
deterioration characteristics.
    (10) A manufacturer may request the Administrator to include in an 
engine

[[Page 197]]

family group, engine families in addition to those grouped under the 
provisions of paragraph (a)(8) of this section. This request must be 
accompanied by information the manufacturer believes supports the 
inclusion of these additional engine families.
    (11) A manufacturer may combine into a single engine family group 
those light-duty vehicle and light-duty truck engine families which 
otherwise meet the requirements of paragraphs (a)(8) through (a)(10) of 
this section.
    (12) The vehicles covered by an application for certification 
equipped with gasoline-fueled and 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 shall 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:
    (i) Method of fuel/air metering (i.e., carburetion versus fuel 
injection).
    (ii) Carburetor bowl fuel volume, within a 10 cc range.
    (14) For vehicles equipped with gasoline-fueled and methanol-fueled 
heavy-duty engines to be classified in the same evaporative emission 
control system, vehicles must be identical with respect to:
    (i) Method of vapor storage.
    (ii) Method of carburetor sealing.
    (iii) Method of air cleaner sealing.
    (iv) Vapor storage working capacity, within a 20g range.
    (v) Number of storage devices.
    (vi) Method of purging stored vapors.
    (vii) Method of venting the carburetor during both engine off and 
engine operation.
    (viii) Liquid fuel hose material.
    (ix) Vapor storage material.
    (15) Where vehicles equipped with gasoline-fueled or methanol-fueled 
heavy-duty engines are types which cannot be divided into evaporative 
emission family-control system combinations based on the criteria listed 
above, the Administrator will establish evaporative emission family-
control system combinations for those vehicles based on features most 
related to their evaporative emission characteristics.
    (16) No 1992 or later model year heavy-duty engine which is to be 
used to generate emission credits for 1992 and later banking, trading 
and averaging programs may also utilize nonconformance penalties (NCPs). 
Use of an NCP thus becomes an engine family criterion.
    (i) Use of either a NOX or a particulate matter NCP by an 
engine family precludes that family from generating either 
NOX or particulate matter emission credits.
    (ii) If a manufacturer desires to use both banked credits and NCPs 
on an engine family, two separate engine families must be established. 
One engine family must consist of engines certified for only credit use 
following the procedure specified in this subpart. The other engine 
family must be certified for only NCP use following the procedure as 
specified in 40 CFR part 86, subpart L.
    (b) Emission data--(1) Emission-data vehicles. Paragraph (b)(1) of 
this section applies to light-duty vehicle and light-duty truck 
emission-data vehicles.
    (i) Vehicles will be chosen to be operated and tested for emission 
data based upon engine family groupings. Within each engine family, one 
test vehicle will be selected based on the following criteria: The 
Administrator shall select the vehicle with the heaviest equivalent test 
weight (including options) within the family. Then within that vehicle 
the Administrator shall select, 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 shall select one additional test vehicle from 
within each engine family. The vehicle selected shall be the vehicle 
expected to exhibit the highest emissions of those vehicles remaining in 
the engine family. If all vehicles within the engine family are similar 
the Administrator may waive the requirements of this paragraph.
    (iii) Within an engine family and exhaust emission control system, 
the

[[Page 198]]

manufacturer may alter any emission-data vehicle (or other vehicles such 
as including current or previous model year emission-data vehicles, fuel 
economy data vehicles, and development vehicles provided they meet 
emission-data vehicles' protocol) to represent more than one selection 
under paragraph (b)(1) (i), (ii), (iv), or (vii) of this section.
    (iv) If the vehicles selected in accordance with paragraphs (b)(1) 
(i) and (ii) of this section do not represent each engine-system 
combination, then one vehicle of each engine-system combination not 
represented will be selected by the Administrator. The vehicle selected 
shall be the vehicle expected to exhibit the highest emissions of those 
vehicles remaining in the engine family.
    (v) For high-altitude exhaust emission compliance for each engine 
family, the manufacturer shall follow one of the following procedures:
    (A) The manufacturer will select for testing under high-altitude 
conditions the vehicle expected to exhibit the highest emissions from 
the nonexempt vehicles selected in accordance with paragraphs (b)(1) 
(ii), (iii), and (iv) of this section or,
    (B) In lieu of testing vehicles according to paragraph (b)(1)(v)(A) 
of this section, a manufacturer may provide a statement in its 
application for certification that, based on the manufacturer's 
engineering evaluation of such high-altitude emission testing as the 
manufacturer deems appropriate,
    (1) That all light-duty vehicles not exempt under Sec. 86.090-8(h) 
comply with the emission standards at high altitude; and
    (2) That light-duty trucks sold for principal use at designated 
high-altitude locations comply with the high-altitude emission 
requirements and that all light-duty trucks sold at low altitude, which 
are not exempt under Sec. 86.091-9(g)(2), are capable of being modified 
to meet high-altitude standards.
    (vi) If 90 percent or more of the engine family sales will be in 
California, a manufacturer may substitute emission-data vehicles 
selected by the California Air Resources Board criteria for the 
selections specified in paragraphs (b)(1) (i), (ii), and (iv) of this 
section.
    (vii)(A) Vehicles of each evaporative emission family will be 
divided into evaporative emission control systems.
    (B) The Administrator will select the vehicle expected to exhibit 
the highest evaporative emissions, from within each evaporative family 
to be certified, from among the vehicles represented by the exhaust 
emission-data selections for the engine family, unless evaporative 
testing has already been completed on the vehicle expected to exhibit 
the highest evaporative emissions for the evaporative family as part of 
another engine family's testing.
    (C) If the vehicles selected in accordance with paragraph 
(b)(1)(vii)(B) of this section do not represent each evaporative 
emission control system then the Administrator will select the highest 
expected evaporative emission vehicle from within the unrepresented 
evaporative system.
    (viii) For high-altitude evaporative emission compliance for each 
evaporative emission family, the manufacturer shall follow one of the 
following procedures:
    (A) The manufacturer will select for testing under high-altitude 
conditions the one nonexempt vehicle previously selected under 
paragraphs (b)(1)(vii) (B) or (C) of this section which is expected to 
have the highest level of evaporative emissions when operated at high 
altitude or
    (B) In lieu of testing vehicles according to paragraph 
(b)(1)(viii)(A) of this section, a manufacturer may provide a statement 
in its application for certification that based on the manufacturer's 
engineering evaluation of such high-altitude emission testing as the 
manufacturer deems appropriate,
    (1) That all light-duty vehicles not exempt under Sec. 86.090-8(h) 
comply with the emission standards at high altitude, and
    (2) That light-duty trucks sold for principal use at designated 
high-altitude locations comply with the high-altitude emission 
requirements and that all light-duty trucks sold at low-altitude, which 
are not exempt under Sec. 86.091-9(g)(2), are capable of being modified 
to meet high-altitude standards.

[[Page 199]]

    (ix) Vehicles selected under paragraph (b)(1)(v)(A) of this section 
may be used to satisfy the requirements of (b)(1)(viii)(A) of this 
section.
    (x) Light-duty trucks only: (A) The manufacturer may reconfigure any 
of the low-altitude emission-data vehicles to represent the vehicle 
configuration required to be tested at high altitude.
    (B) The manufacturer is not required to test the reconfigured 
vehicle at low altitude.
    (2) Otto-cycle heavy-duty emission-data engines. Paragraph (b)(2) of 
this section applies to Otto-cycle heavy-duty engines.
    (i)-(ii) [Reserved]
    (iii) The Administrator shall select 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 as follows:
    (A) The Administrator shall select one emission-data engine first 
based on the largest displacement within the engine family. Then within 
the largest displacement the Administrator 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) The Administrator shall select one additional engine, from 
within each engine family. The engine selected shall be 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) 
(ii) and (iii) of this section do not represent each engine 
displacement-exhaust emission control system combination, then one 
engine of each engine displacement-exhaust emission control system 
combination not represented shall be selected by the Administrator.
    (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. Paragraph (b)(3) of 
this section applies to diesel heavy-duty emission-data vehicles.
    (i) Engines will be chosen to be run for emission data based upon 
engine family groupings. Within each engine family, the requirements of 
this paragraph 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 system 
combination shall 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 shall also be selected. The engine with the highest fuel feed per 
stroke will usually be 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 paragraph 
(b)(3)(ii) and (iii) of this section.
    (c) Durability data--(1) Light-duty vehicle durability-data 
vehicles. Paragraph (c)(1) of this section applies to light-duty vehicle 
durability-data vehicles.

[[Page 200]]

    (i) A durability-data vehicle will be selected by the Administrator 
to represent each engine-system combination. The vehicle selected shall 
be of the engine displacement with the largest projected sales volume of 
vehicles with that control-system combination in that engine family and 
will be designated by the Administration as to transmission type, fuel 
system, inertia weight class, and test weight.
    (ii) A manufacturer may elect to operate and test additional 
vehicles to represent any engine-system combination. The additional 
vehicles must be of the same engine displacement, transmission type, 
fuel system and inertia weight class as the vehicle selected for that 
engine-system combination in accordance with the provisions of paragraph 
(c)(1)(i) of this section. Notice of an intent to operate and test 
additional vehicles shall be given to the Administrator no later than 30 
days following notification of the test fleet selection.
    (2) Light-duty trucks. Paragraph (c)(2) of this section applies to 
vehicles, engines, subsystems, or components used to establish exhaust 
emission deterioration factors for light-duty trucks.
    (i) The manufacturer shall select the vehicles, engines, subsystems, 
or components to be used to determine exhaust emission deterioration 
factors for each engine-family control system combination. Whether 
vehicles, engines, subsystems, or components are used, they shall be 
selected so that their emissions deterioration characteristics may be 
expected to represent those of in-use vehicles, based on good 
engineering judgment.
    (ii) [Reserved]
    (3) Heavy-duty engines. Paragraph (c)(3) of this section applies to 
engines, subsystems, or components used to establish exhaust emission 
deterioration factors for heavy-duty engines.
    (i) The manufacturer shall 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 shall be selected so 
that their emissions deterioration characteristics may be expected to 
represent those of in-use engines, based on good engineering judgment.
    (ii) [Reserved]
    (d) For purposes of testing under Sec. 86.092-26 (a)(9) or (b)(11), 
the Administrator may require additional emission-data vehicles (or 
emission-data engines) and durability-data vehicles (light-duty vehicles 
only) identical in all material respects to vehicles (or engines) 
selected in accordance with paragraphs (b) and (c) of this section, 
Provided That the number of vehicles (or engines) selected shall not 
increase the size of either the emission-data fleet or the durability-
data fleet by more than 20 percent or one vehicle (or engine), whichever 
is greater.
    (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. 86.092-14 of this subpart for emission-data 
vehicle selection and determination of deterioration factors. The 
deterioration factors shall be applied only to entire engine families.
    (f) In lieu of testing an emission-data or durability-data vehicle 
(or engine) selected under paragraph (b) or (c) of this section, and 
submitting data therefore, a manufacturer may, with the prior written 
approval of the Administrator, submit exhaust emission data and/or fuel 
evaporative emission data, as applicable on a similar vehicle (or 
engine) for which certification has previously been obtained or for 
which all applicable data required under Sec. 86.091-23 has previously 
been submitted.
    (g)(1) This paragraph applies to light-duty vehicles and light-duty 
trucks, but does not apply to the production vehicles selected under 
paragraph (h) of this section.
    (2)(i) Where it is expected that more than 33 percent of a carline, 
within an engine-system combination, may be equipped with an item 
(whether that item is standard equipment or an option), the full 
estimated weight of that item shall be included in the curb weight 
computation of each vehicle

[[Page 201]]

available with that item in that carline, within that engine-system 
combination.
    (ii) Where it is expected that 33 percent or less of the carline, 
within an engine-system combination, will be equipped with an item 
(whether that item is standard equipment or an option), no weight for 
that item will be added in computing the curb weight for any vehicle in 
that carline, within that engine-system combination, unless that item is 
standard equipment on the vehicle.
    (iii) In the case of mutually exclusive options, only the weight of 
the heavier option will be added in computing the curb weight.
    (iv) Optional equipment weighing less than three pounds per item 
need not be considered.
    (3)(i) Where it is expected that more than 33 percent of a carline, 
within an engine-system combination, will be equipped with an item 
(whether that item is standard equipment or an option) that can 
reasonably be expected to influence emissions, then such items shall 
actually be installed (unless excluded under paragraph (g)(3)(ii) of 
this section) on all emission-data and durability-data vehicles of that 
carline, within that engine-system combination, on which the items are 
intended to be offered in production. Items that can reasonably be 
expected to influence emissions are: air conditioning, power steering, 
power brakes, and other items determined by the Administrator.
    (ii) If the manufacturer determines by test data or engineering 
evaluation that the actual installation of the optional equipment 
required by paragraph (g)(3)(i) of this section does not affect the 
emissions or fuel economy values, the optional equipment need not be 
installed on the test vehicle.
    (iii) The weight of the options shall be included in the design curb 
weight and also be represented in the weight of the test vehicles.
    (iv) The engineering evaluation, including any test data, used to 
support the deletion of optional equipment from test vehicles, shall be 
maintained by the manufacturer and shall be made available to the 
Administrator upon request.
    (4) Where it is expected that 33 percent or less of a carline within 
an engine-system combination will be equipped with an item (whether that 
item is standard equipment or an option) that can reasonably be expected 
to influence emissions, that item shall 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.
    (h) Alternative Durability Program durability-data vehicles. This 
section applies to light-duty vehicle and light-duty truck durability-
data vehicles selected under the Alternative Durability Program 
described in Sec. 86.085-13.
    (1) To update the durability data to be used to determine a 
deterioration factor for each engine family group, the Administrator 
will select durability-data vehicles from the manufacturer's production 
line. Production vehicles will be selected from each model year's 
production for those vehicles certified using the Alternative Durability 
Program procedures.
    (i) The Administrator shall select the production durability-data 
vehicle designs from the designs that the manufacturer offers for sale. 
For each model year and for each engine family group, the Administrator 
may select production durability-data vehicle designs of equal number to 
the number of engine families within the engine family group, up to a 
maximum of three vehicles.
    (ii) The production durability-data vehicles representing the 
designs selected in paragraph (h)(1)(i) of this section will be randomly 
selected from the manufacturer's production. The Administrator will make 
these random selections unless the manufacturer (with prior approval of 
the Administrator) elects to make the random selections.
    (iii) The manufacturer may select additional production durability-
data vehicle designs from within the engine family group. The production 
durability-data vehicles representing these designs shall be randomly 
selected from the manufacturer's production in

[[Page 202]]

accordance with paragraph (h)(1)(ii) of this section.
    (iv) For each production durability-data vehicle selected under 
paragraph (h)(1) of this section, the manufacturer shall provide to the 
Administrator (before the vehicle is tested or begins service 
accumulation) the vehicle identification number. Before the vehicle 
begins service accumulation the manufacturer shall also provide the 
Administrator with a description of the durability-data vehicle as 
specified by the Administrator.
    (v) In lieu of testing a production durability-data vehicle selected 
under paragraph (h)(1) of this section, and submitting data therefrom, a 
manufacturer may, with the prior written approval of the Administrator, 
submit exhaust emission data from a production vehicle of the same 
configuration for which all applicable data has previously been 
submitted.
    (2) If, within an existing engine family group, a manufacturer 
requests to certify vehicles of a new design, engine family, emission 
control system, or with any other durability-related design difference, 
the Administrator will determine if the existing engine family group 
deterioration factor is appropriate for the new design. If the 
Administrator cannot make this determination or deems the deterioration 
factor not appropriate, the Administrator shall select preproduction 
durability-data vehicles under the provisions of paragraph (c) of this 
section. If vehicles are then certified using the new design, the 
Administrator may select production vehicles with the new design under 
the provisions of paragraph (h)(1) of this section.
    (3) If a manufacturer requests to certify vehicles of a new design 
that the Administrator determines are a new engine family group, the 
Administrator shall select preproduction durability-data vehicles under 
the provisions of paragraph (c) of this section. If vehicles are then 
certified using the new design, the Administrator may select production 
vehicles of that design under the provisions of paragraph (h)(1) of this 
section.

[55 FR 7190, Feb. 28, 1990, as amended at 55 FR 30626, July 26, 1990]



Sec. 86.092-26  Mileage and service accumulation; emission measurements.

    (a)(1) Paragraph (a) of this section applies to light-duty vehicles.
    (2) The procedure for mileage accumulation will be the Durability 
Driving Schedule as specified in appendix IV to this part. A modified 
procedure may also be used if approved in advance by the Administrator. 
Except with the advance approval of the Administrator, all vehicles will 
accumulate mileage at a measured curb weight which is within 100 pounds 
of the estimated curb weight. If the loaded vehicle weight is within 100 
pounds of being included in the next higher inertia weight class as 
specified in Sec. 86.129, the manufacturer may elect to conduct the 
respect emission tests at higher loaded vehicle weight.
    (3) Emission-data vehicles. Unless otherwise provided for in 
Sec. 86.091-23(a), emission-data vehicles shall be operated and tested 
as follows:
    (i) Otto-cycle. (A) The manufacturer shall determine, for each 
engine family, the mileage 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 4,000 miles on each test vehicle within an engine family 
without making a determination. The manufacturer must accumulate a 
minimum of 2,000 miles (3,219 kilometers) on each test vehicle within an 
engine family. All test vehicle mileage must be accurately determined, 
recorded, and reported to the Administrator. Any vehicle used to 
represent emission-data vehicle selections under Sec. 86.092-24(b)(1) 
shall be equipped with an engine and emission control system that has 
accumulated the mileage the manufacturer chose to accumulate on the test 
vehicle. Fuel economy data generated from certification vehicles 
selected in accordance with Sec. 86.092-24(b)(1) with engine-system 
combinations that have accumulated more than 10,000 kilometers (6,200 
miles) shall be factored in accordance with Sec. 600.006-87(c). Complete 
exhaust and evaporative (if required) emission tests shall be conducted 
for each emission-data

[[Page 203]]

vehicle selection under Sec. 86.092-24(b)(1). The Administrator may 
determine under Sec. 86.092-24(f) that no testing is required.
    (B) Emission tests for emission-data vehicle(s) selected for testing 
under Sec. 86.092-24(b)(1)(v) or (viii) shall be conducted at the 
mileage (2,000 mile minimum) at which the engine-system combination is 
stabilized for emission testing under high-altitude conditions.
    (C) Exhaust and evaporative emissions tests for emission-data 
vehicle(s) selected for testing under Sec. 86.092-24(b)(1) (i), (ii), 
(iii), (iv), or (vii)(B) shall be conducted at the mileage (2,000 mile 
minimum) at which the engine-system combination is stabilized for 
emission testing under low-altitude conditions.
    (D) For each engine family, the manufacturer will either select one 
vehicle previously selected under Sec. 86.092-24(b)(1) (i) through (iv) 
to be tested under high-altitude conditions or provide a statement in 
accordance with Sec. 86.092-24(b)(1)(v). Vehicles shall meet emission 
standards under both low- and high-altitude conditions without manual 
adjustments or modifications. In addition, any emission control device 
used to conform with the emission standards under high-altitude 
conditions shall initially actuate (automatically) no higher than 4,000 
feet above sea level.
    (4)(i) Durability data vehicles. (A) Unless otherwise provided for 
in Sec. 86.091-23(a), each durability-data vehicle shall be driven, with 
all emission control systems installed and operating, for 50,000 miles 
or such lesser distance as the Administrator may agree to as meeting the 
objective of this procedure.
    (B) Complete exhaust emission tests shall be made at test point 
mileage intervals that the manufacturer determines.
    (C) At a minimum, two complete exhaust emission tests shall be made. 
The first test shall be made at a distance not greater than 6,250 miles. 
The last shall be made at 50,000 miles.
    (D) The mileage interval between test points must be of equal length 
except for the interval between zero miles and the first test, and any 
interval before or after testing conducted in conjunction with vehicle 
maintenance as specified in Sec. 86.090-25(g)(2).
    (ii) The manufacturer may, at its option, alter the durability-data 
vehicle at the selected test point to represent emission-data vehicle(s) 
within the same engine-system combination and perform emission tests on 
the altered vehicle. Upon completion of emission testing, the 
manufacturer may return the test vehicle to the durability-data vehicle 
configuration and continue mileage accumulation.
    (5)(i) All tests required by this subpart on emission-data vehicles 
shall be conducted at a mileage equal to or greater than the mileage the 
manufacturer determines under paragraph (a)(3) of this section.
    (ii) All tests required by this subpart on durability-data vehicles 
shall be conducted within 250 miles of each of the test points.
    (6)(i)(A) The manufacturer may conduct multiple tests at any test 
point at which the data are intended to be used in the deterioration 
factor. At each test point where multiple tests are conducted, the test 
results from all valid tests shall be averaged to determine the data 
point to be used in the deterioration factor calculation, except under 
paragraph (a)(6)(i)(B) of this section. The test results from emission 
tests performed before maintenance affecting emissions shall not be 
averaged with test results after the maintenance.
    (B) The manufacturer is not required to average multiple tests if 
the manufacturer conducts no more than three tests at each test point 
and if the number of tests at each test point is equal. All test points 
must be treated the same for all exhaust pollutants.
    (ii) 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 air

[[Page 204]]

posted or 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. 86.091-23. 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.
    (iii) The results of all emission tests shall be rounded, using the 
``Rounding Off Method'' specified in ASTM E 29-67, to the number of 
places to the right of the decimal point indicated by expressing the 
applicable emission standard of this subpart to one additional 
significant figure.
    (7) Whenever a manufacturer intends to operate and test a vehicle 
which may be used for emission or durability data, the manufacturer 
shall retain in its records all information concerning all emissions 
tests and maintenance, including vehicle alterations to represent other 
vehicle selections. For emission-data vehicles, this information shall 
be submitted, including the vehicle description and specification 
information required by the Administrator, to the Administrator 
following the emission-data test. For durability-data vehicles, this 
information shall be submitted following the 5,000-mile test.
    (8) Once a manufacturer submits the information required in 
paragraphs (a)(7) of this section for a durability-data vehicle, the 
manufacturer shall continue to run the vehicle to 50,000 miles, and the 
data from the vehicle will be used in the calculations under 
Sec. 86.091-28. Discontinuation of a durability-data vehicle shall be 
allowed only with the consent of the Administrator.
    (9)(i) The Administrator may elect to operate and test any test 
vehicle during all or any part of the mileage accumulation and testing 
procedure. In such cases, the manufacturer shall provide the vehicle(s) 
to the Administrator with all information necessary to conduct this 
testing.
    (ii) The test procedures in Secs. 86.106 through 86.145 will be 
followed by the Administrator. The Administrator will test the vehicles 
at each test point. Maintenance may be performed by the manufacturer 
under such conditions as the Administrator may prescribe.
    (iii) The data developed by the Administrator for the engine-system 
combination shall be combined with any applicable data supplied by the 
manufacturer on other vehicles of that combination to determine the 
applicable deterioration factors for the combination. In the case of a 
significant discrepancy between data developed by the Administrator and 
that submitted by the manufacturer, the Administrator's data shall be 
used in the determination of deterioration factors.
    (10) Emission testing of any type with respect to any certification 
vehicle other than that specified in this part is not allowed except as 
such testing may be specifically authorized by the Administrator.
    (11) This section does not apply to testing conducted to meet the 
requirements of Sec. 86.091-23(b)(2).
    (b)(1) Paragraph (b) of this section applies to light-duty trucks.
    (2) There are three types of mileage or service accumulation 
applicable to light-duty trucks:
    (i) Mileage or service accumulation on vehicles, engines, 
subsystems, or components selected by the manufacturer under 
Sec. 86.092-24(c)(2)(i). The manufacturer determines the form and extent 
of this mileage or service accumulation, consistent with good 
engineering practice, and describes it in the application for 
certification.
    (ii) Mileage accumulation of the duration selected by the 
manufacturer on emission-data vehicles selected under Sec. 86.092-
24(b)(1). The procedure for mileage accumulation will be the Durability 
Driving Schedule as specified in appendix IV to this part. A modified 
procedure may also be used if approved in advance by the Administrator. 
Except with the advance approval of the Administrator, all vehicles will 
accumulate mileage at a measured curb weight which is within 100 pounds 
of the estimated curb weight. If the loaded vehicle weight is within 100 
pounds of being included in the next higher inertia weight class as 
specified in Sec. 86.129, the manufacturer may elect to conduct the 
respective emission tests at the test weight corresponding to the higher 
loaded vehicle weight.

[[Page 205]]

    (iii) Service or mileage accumulation which may be part of the test 
procedures used by the manufacturer to establish evaporative emission 
deterioration factors.
    (3) Exhaust emission deterioration factors will be determined on the 
basis of the mileage or service accumulation described in paragraph 
(b)(2)(i) of this section and related testing, according to the 
manufacturer's procedures.
    (4) Each emission-data vehicle shall be operated and tested as 
follows:
    (i) Otto-cycle. (A) The manufacturer shall determine, for each 
engine family, the mileage 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 4,000 miles on each test vehicle within an engine family 
without making a determination. The manufacturer must accumulate a 
minimum of 2,000 miles (3,219 kilometers) on each test vehicle within an 
engine family. All test vehicle mileage must be accurately determined, 
recorded, and reported to the Administrator. Any vehicle used to 
represent emission-data vehicle selections under Sec. 86.092-24(b)(1) 
shall be equipped with an engine and emission control system that has 
accumulated the mileage the manufacturer chose to accumulate on the test 
vehicle. Fuel economy data generated from certification vehicles 
selected in accordance with Sec. 86.092-24(b)(1) with engine-system 
combinations that have accumulated more than 10,000 kilometers (6,200 
miles) shall be factored in accordance with Sec. 600.006-87(c). Complete 
exhaust emission tests shall be conducted for each emission-data vehicle 
selection under Sec. 86.092-24(b)(1). The Administrator may determine 
under Sec. 86.092-24(f) that no testing is required.
    (B) Emission tests for emission-data vehicle(s) selected for testing 
under Sec. 86.092-24 (b)(1)(v) or (b)(1)(viii) shall be conducted at the 
mileage (2,000 mile minimum) at which the engine-system combination is 
stabilized for emission testing or at 6,436 kilometers (4,000 miles) 
under high-altitude conditions.
    (C) Exhaust and evaporative emission tests for emission-data 
vehicle(s) selected for testing under Sec. 86.092-24(b)(1) (ii), (iii), 
(iv)(A), or (vii)(B) shall be conducted at the mileage (2,000 mile 
minimum) at which the engine-system combination is stabilized for 
emission testing or at 6,436 kilometer (4,000 mile) test point under 
low-altitude conditions.
    (D) If the manufacturer recommends adjustments or modifications in 
order to conform to emission standards at high altitude, such 
adjustments or modifications shall be made to the test vehicle selected 
under Sec. 86.092-24(b)(1) (v) and (viii) (in accordance with the 
instructions to be provided to the ultimate purchaser) before being 
tested under high-altitude conditions.
    (ii) Diesel. (A) The manufacturer shall determine, for each engine 
family, the mileage 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 
4,000 miles on each test vehicle within an engine family without making 
a determination. The manufacturer must accumulate a minimum of 2,000 
miles (3,219 kilometers) on each test vehicle within an engine family. 
All test vehicle mileage must be accurately determined, recorded, and 
reported to the Administrator. Any vehicle used to represent emission-
data vehicle selections under Sec. 86.092-24(b)(1) shall be equipped 
with an engine and emission control system that has accumulated the 
mileage the manufacturer chose to accumulate on the test vehicle. Fuel 
economy data generated from certification vehicles selected in 
accordance with Sec. 86.092-24(b)(1) with engine-system combinations 
that have accumulated more than 10,000 kilometers (6,200 miles) shall be 
factored in accordance with Sec. 600.006-87(c). Complete exhaust 
emission tests shall be conducted for each emission-data vehicle 
selection under Sec. 86.092-24(b)(1). The administrator may determine 
under Sec. 86.092-24(f) that no testing is required.
    (B) Emission tests for emission-data vehicle(s) selected for testing 
under Sec. 86.092-24 (b)(1)(v) shall be conducted at

[[Page 206]]

the mileage (2,000 mile minimum) at which the engine-system combination 
is stabilized for emission testing or at the 6,436 kilometer (4,000 
mile) test point under high-altitude conditions.
    (C) Exhaust and evaporative emission tests for emission-data 
vehicle(s) selected for testing under Sec. 86.092-24 (b)(1) (ii), (iii), 
and (iv) shall be conducted at the mileage (2,000 mile minimum) at which 
the engine-system combination is stabilized for emission testing or at 
the 6,436 kilometer (4,000 mile) test point under low-altitude 
conditions.
    (D) If the manufacturer recommends adjustments or modifications in 
order to conform to emission standards at high altitude, such 
adjustments or modifications shall be made to the test vehicle selected 
under Sec. 86.092-24(b)(1) (v) and (viii) (in accordance with the 
instructions to be provided to the ultimate purchaser) before being 
tested under high-altitude conditions.
    (iii) [Reserved]
    (iv) All tests required by this subpart on emission-data vehicles 
shall be conducted at a mileage equal to or greater than the mileage the 
manufacturer determines under paragraph (b)(4) of this section.
    (c)(1) Paragraph (c) of this section applies to heavy-duty engines.
    (2) There are two types of service accumulation applicable to heavy-
duty engines:
    (i) Service accumulation on engines, subsystems, or components 
selected by the manufacturer under Sec. 86.092-24(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. 86.092-24 (b)(2) or (b)(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 paragraph (b)(2)(i) of 
this section 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 (no 
less than 62 hours for catalyst equipped) 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. 86.092-24(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. 86.092-24(b)(2). Evaporative emission controls need 
not be connected provided normal operating conditions are maintained in 
the engine induction system. The Administrator may determine under 
Sec. 86.092-24(f) that no testing is required.
    (d)(1) Paragraph (d) of this section applies to both light-duty 
trucks and 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 air posted or 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. 86.092-23. 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

[[Page 207]]

Administrator. These test results shall be rounded, in accordance with 
ASTM E 29-67, to the number of decimal places contained in the 
applicable emission standard expressed to one additional significant 
figure.
    (3) Whenever a manufacturer intends to operate and test a vehicle 
(or engine) which may be used for emission data, the manufacturer shall 
retain in its records all information concerning all emissions 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-data test.
    (4)-(5) [Reserved]
    (6) 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.

[55 FR 7194, Feb. 28, 1990]



Sec. 86.092-35  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. 86.091-30(a).
    (1) Light-duty vehicles. (i) A permanent, legible label shall be 
affixed in a readily visible position in the engine compartment.
    (ii) The label shall be affixed by the vehicle manufacturer who has 
been issued the certificate of conformity for such vehicle, in such 
manner that it cannot be removed without destroying or defacing the 
label. The label shall not be affixed to any equipment which is easily 
detached from such vehicle.
    (iii) The label shall contain the following information lettered in 
the English language in block letters and numerals, which shall be of a 
color that contrasts with the background of the label:
    (A) The label heading: Vehicle Emission Control Information;
    (B) Full corporate name and trademark of manufacturer;
    (C) Engine displacement (in cubic inches or liters), engine family 
identification and evaporative family identification;
    (D) Engine tune-up specifications and adjustments, as recommended by 
the manufacutrer in accordance with the applicable emission standards 
(or family emission limits, as applicable), including but not limited to 
idle speeds(s), ignition timing, the idle air-fuel mixture setting 
procedure and value (e.g., idle CO, idle air-fuel ratio, idle speed 
drop), high idle speed, initial injection timing and valve lash (as 
applicable), as well as other parameters deemed necessary by the 
manufacturer. These specifications should indicate the proper 
transmission position during tuneup and what accessories (e.g., air 
conditioner), if any, should be in operation;
    (E) An unconditional statement of compliance with the appropriate 
model year U.S. Environmental Protection Agency regulations which apply 
to light-duty vehicles;
    (F) For vehicles which are part of the diesel particulate averaging 
program, the family particulate emission limit to which the vehicle is 
certified;
    (G) For vehicles that have been exempted from compliance with the 
emission standards at high altitude, as specified in Sec. 86.090-8(h):
    (1) A highlighted statement (e.g., underscored or boldface letters) 
that the vehicle is certified to applicable emission standards at low 
altitude only;
    (2) A statement that the vehicle's unsatisfactory performance under 
high-altitude conditions makes it unsuitable for principal use at high 
altitude, and
    (3) A statement that the emission performance warranty provisions of 
40 CFR part 85, subpart V do not apply when the vehicle is tested at 
high altitude; and
    (H) For vehicles that have been exempted from compliance with the 
emission standards at low altitude, as specified in Sec. 86.090-8(i):

[[Page 208]]

    (1) A highlighted statement (e.g., underscore or boldface letters) 
that the vehicle is certified to applicable emission standards at high 
altitude only; and
    (2) A statement that the emission performance warranty provisions of 
40 CFR part 85, subpart V do not apply when the vehicle is tested at low 
altitude.
    (I) The vacuum hose routing diagram applicable to the vehicles if 
the vehicles are equipped with vacuum actuated emission and emission-
related components. The manufacturer may, at its option, use a separate 
label for the vacuum hose routing diagram provided that the vacuum hose 
diagram is placed in a visible and accessible position as provided in 
this section.
    (J) Vehicles granted final admission under Sec. 85.1505 must comply 
with the labeling requirements contained in Sec. 85.1510.
    (2) Light-duty truck and heavy-duty vehicles optionally certified in 
accordance with the light-duty truck provisions. (i) A legible, 
permanent label shall be affixed in a readily visible position in the 
engine compartment.
    (ii) The label shall be affixed by the vehicle manufacturer who has 
been issued the certificate of conformity for such vehicle, in such a 
manner that it cannot be removed without destroying or defacing the 
label. The label shall not be affixed to any equipment which is easily 
detached from such vehicle.
    (iii) The label shall contain the following information lettered in 
the English language in block letters and numerals, which shall be of a 
color that contrasts with the background of the label.
    (A) The label heading: Important Vehicle Information;
    (B) Full corporate name and trademark of manufacturer;
    (C) Engine displacement (in cubic inches or liters) and engine 
family identification;
    (D) Engine tune-up specifications and adjustments, as recommended by 
the manufacturer in accordance with the applicable emission standards 
(or family emission limits, as appropriate), including but not limited 
to idle speed(s), ignition timing, the idle air-fuel mixture setting 
procedure and value (e.g., idle CO, idle air-fuel ratio, idle speed 
drop), high idle speed, initial injection timing, and valve lash (as 
applicable), as well as other parameters deemed necessary by the 
manufacturer. These specifications should indicate the proper 
transmission position during tuneup and what accessories (e.g., air 
conditioner), if any, should be in operation. If adjustments or 
modifications to the vehicle are necessary to insure compliance with 
emission standards (or family emission limits, as appropriate) at either 
high or low altitude, the manufacturer shall either include the 
instructions for such adjustments on the label, or indicate on the label 
where instructions for such adjustments may be found. The label shall 
indicate whether the engine tune-up or adjustment specifications are 
applicable to high altitude, low altitude, or both;
    (E)(1) Light-duty trucks. One of the prominent statements, as 
applicable:
    (i) Labels for light-duty trucks certified to the oxides of nitrogen 
standard of 1.12 grams per vehicle mile shall include the following 
statement: ``This vehicle conforms to U.S. EPA regulations applicable to 
19____ Model Year New Light-Duty Trucks.''
    (ii) Labels for light-duty trucks certified to the oxides of 
nitrogen standard of 1.7 grams per vehicle mile shall include the 
following statement: ``This vehicle conforms to U.S. EPA regulations 
applicable to 19____ Model Year New Light-Duty Trucks with a curb weight 
greater than 3,450 pounds.''
    (2) Heavy-duty vehicles optionally certified in accordance with the 
light-duty truck provisions. ``This heavy-duty vehicle conforms to the 
U.S. EPA regulations applicable to 19____ Model Year Light-Duty Trucks 
under the special provision of 40 CFR 86.092-1(b).''
    (F) If the manufacturer is provided an alternate useful life period 
under the provisions of Sec. 86.091-21(f), the prominent statement: 
``This vehicle has been certified to meet U.S. EPA standards for a 
useful-life period of ______ years or ______ miles of operation, 
whichever occurs first. This vehicle's actual life may vary depending on 
its service application.'' The manufacturer may alter this statement 
only to express the assigned alternate useful

[[Page 209]]

life in terms other than years or miles (e.g., hours, or miles only).
    (G) A statement, if applicable, that the adjustments or 
modifications indicated on the lable are necessary to ensure emission 
control compliance at the altitude specified.
    (H) A statement, if applicable, that the high-altitude vehicle was 
designated or modified for principal use at high altitude. This 
statement must be affixed by the manufacturer at the time of assembly or 
by any dealer who performs the high-altitude modification or adjustment 
prior to sale to an ultimate purchaser.
    (I) For vehicles that have been exempted from compliance with the 
high-altitude emission standards, as specified in Sec. 86.091-9(g)(2).
    (1) A highlighted statement (e.g., underscored or boldface letters) 
that the vehicle is certified to applicable emission standards at low 
altitude only.
    (2) A statement that the vehicle's unsatisfactory performance under 
high-altitude conditions makes it unsuitable for principal use at high 
altitude, and
    (3) A statement that the emission performance warranty provisions of 
40 CFR part 85, subpart V do not apply when the vehicle is tested at 
high altitude:
    (J) For vehicles which are included in the diesel particulate 
averaging program, the family particulate emission limit to which the 
vehicle is certified.
    (K) For vehicles which are included in the light-duty truck 
NOX averaging program, the family NOX emissions 
limit to which the vehicle is certified.
    (L) The vacuum hose routing diagram applicable to the vehicles if 
the vehicles are equipped with vacuum actuated emission and emission-
related components. The manufacturer may, at its option, use a separate 
label for the vacuum hose routing diagram provided that the vacuum hose 
diagram is placed in a visible and accessible position as provided by 
this section.
    (M) Vehicles granted final admission under Sec. 85.1505 must comply 
with the labeling requirements contained in Sec. 85.1510.
    (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) Full corporate name and trademark of manufacturer;
    (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 19____ Model Year New Heavy-Duty Engines.''
    (I) If the manufacturer is provided with an alternate useful life 
period under the provisions of Sec. 86.901-21(f), the prominent 
statement: ``This engine has been certified to meet U.S. EPA standards 
for a useful-life period of ______ miles or ______ hours of operation, 
whichever occurs first. This engine's actual life may vary depending

[[Page 210]]

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 ______ heavy-duty engine.'' 
(The primary intended service applications are light, medium, and heavy, 
as defined in Sec. 86.902-2.)
    (K) For Otto-cycle engines. One of the following statements, as 
applicable:
    (1) For engines certified to the emission standards under 
Sec. 86.091-10 (a)(1) (i) or (iii), the statement: ``This engine is 
certified for use in all heavy-duty vehicles.''
    (2) for gasoline-fueled engines certified under the provisions of 
Sec. 86.091-10(a)(3)(i), the statement: ``This engine is certified for 
use in all heavy-duty vehicles under the special provision of 40 CFR 
Sec. 86.091-10(a)(3)(i).''
    (3) For engines certified to the emission standards under 
Sec. 86.091-10 (a)(1) (ii) or (iv), the statement: ``This engine is 
certified for use only in heavy-duty vehicles with a gross vehicle 
weight rating above 14,000 lbs.''
    (L) For all heavy-duty engines which are included in diesel heavy-
duty particulate trading, banking or averaging programs, the particulate 
family emission limit to which the engine is certified.
    (M) For all heavy-duty engines which are included in NOX 
trading, banking or averaging programs, the NOX family 
emission limit to which the engine is certified.
    (N) Engines granted final admission under Sec. 85.1505 must comply 
with the labeling requirements contained in Sec. 85.1510.
    (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)(i) Gasoline-fueled and methanol-fueled heavy-duty vehicles. 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 paragraphs (a)(4) and (g)(1) of this 
section shall be affixed in a readily visible position on the operator's 
enclosure or on the engine.
    (ii) The label shall be affixed by the vehicle manufacturer who has 
been issued the certificate of conformity for such vehicle, in such a 
manner that it cannot be removed without destroying or defacing the 
label. The label shall not be affixed to any equipment which is easily 
detached from such vehicle.
    (iii) The label shall contain the following information lettered in 
the English language in block letters and numerals, which shall be of a 
color that contrasts with the background of the label:
    (A) The label heading: Vehicle Emission Control Information;
    (B) Full corporate name and trademark of manufacturer;
    (C) Evaporative family identification;
    (D) The maximum nominal fuel tank capacity (in gallons) for which 
the evaporative control system is certified; and,
    (E) One of the following, as appropriate:
    (1) An unconditional statement of compliance with the appropriate 
model year U.S. Environmental Protection Agency regulations which apply 
to gasoline-fueled heavy-duty vehicles.
    (2) An unconditional statement of compliance with the appropriate 
model year U.S. Environmental Protection Agency regulations which apply 
to methanol-fueled heavy-duty vehicles.
    (F) Vehicles granted final admission under Sec. 85.1505 must comply 
with the labeling requirements contained in Sec. 85.1510.
    (b) The provisions of this section shall not prevent a manufacturer 
from also reciting on the label that such vehicle (or engine) conforms 
to any applicable state emission standards for new motor vehicles (or 
new motor vehicle engines) or any other information that such 
manufacturer deems necessary for, or useful to, the proper operation and 
satisfactory maintenance of the vehicle (or engine).
    (c)(1) The manufacturer of any light-duty vehicle or light-duty 
truck subject to the emission standards (or family emission limits, as 
appropriate) of

[[Page 211]]

this subpart shall, in addition and subsequent to setting forth those 
statements on the label required by the Department of Transportation 
(DOT) pursuant to 49 CFR 567.4, set forth on the DOT label or an 
additional label located in proximity to the DOT label and affixed as 
described in 40 CFR 567.4(b), the following information in the English 
language, lettered in block letters and numerals not less than three 
thirty-seconds of an inch high, of a color that contrasts with the 
background of the label:
    (i) The heading: ``Vehicle Emission Control Information.''
    (ii)(A) For light-duty vehicles, The statement: ``This Vehicle 
Conforms to U.S. EPA Regulations Applicable to 19____ Model Year New 
Motor Vehicles.''
    (B) For light-duty trucks, (1) The statement: ``This vehicle 
conforms to U.S. EPA regulations applicable to 19____ Model Year New 
Light-Duty Trucks.''
    (2) If the manufacturer is provided an alternate useful life period 
under the provisions of Sec. 86.091-21(f), the prominent statement: 
``This vehicle has been certified to meet U.S. EPA standards for a 
useful-life period of ____ years or ____ miles of operation, whichever 
occurs first. This vehicle'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 years or 
miles (e.g., hours, or miles only)
    (iii) One of the following statements, as applicable, in letters and 
numerals not less than six thirty-seconds of an inch high and of a color 
that contrasts with the background of the label:
    (A) For all vehicles certified as noncatalyst-equipped: ``NON-
CATALYST''
    (B) For all vehicles certified as catalyst-equipped which are 
included in a manufacturer's catalyst control program for which approval 
has been given by the Administrator: ``CATALYST--APPROVED FOR IMPORT''
    (C) For all vehicles certified as catalyst-equipped which are not 
included in a manufacturer's catalyst control program for which prior 
approval has been given by the Administrator: ``CATALYST''
    (2) In lieu of selecting either of the labeling options of paragraph 
(c)(1) of this section, the manufacturer may add the information 
required by paragraph (c)(1)(iii) of this section to the label required 
by paragraph (a) of this section. The required information will be set 
forth in the manner prescribed by paragraph (c)(1)(iii) of this section.
    (d) Incomplete light-duty trucks or incomplete heavy-duty vehicles 
optionally certified in accordance with the light-duty truck provisions 
shall have one of the following prominent statements, as applicable, 
printed on the label required by paragraph (a)(2) of this section in 
lieu of the statement required by paragraph (a)(2)(iii)(E) of this 
section.
    (1) Light-duty trucks. (i) Labels for light-duty trucks certified to 
the oxides of nitrogen standard of 1.2 grams per vehicle mile shall 
include the following statement: ``This vehicle conforms to U.S. EPA 
regulations applicable to 19____ Model Year New Light-Duty Trucks when 
it does not exceed ____ pounds in curb weight, ____ pounds in gross 
vehicle weight rating, and ____ square feet in frontal area.''
    (ii) Labels for light-duty trucks certified to the oxides of 
nitrogen standards of 1.7 grams per vehicle mile shall include the 
following statement: ``This vehicle conforms to U.S. EPA regulations 
applicable to 19____ Model Year New Light-Duty Trucks when it is between 
3,450 pounds and ______ pounds in curb weight and it does not exceed 
______ pounds in gross vehicle weight rating nor ______ square feet in 
frontal area.''
    (2) Heavy-duty vehicles optionally certified in accordance with the 
light-duty truck provisions. ``This heavy-duty vehicle conforms to the 
U.S. EPA regulations applicable to 19____ Model Year Light-Duty Trucks 
under the special provision of 40 CFR 86.085-1(b) when it does not 
exceed ______ pounds in curb weight, ______ pounds in gross vehicle 
weight rating, and ______ square feet in frontal area.''
    (e) Incomplete heavy-duty vehicles having a gross vehicle weight 
rating of 8,500 pounds or less shall have one of the following 
statements printed on the label required by paragraph (a)(3) of this 
section in lieu of the statement

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required by paragraph (a)(3)(iii)(H) of this section: ``This engine 
conforms to U.S. EPA regulations applicable to 19____ Model Year Heavy-
Duty Engines when installed in a vehicle completed at a curb weight of 
more than 6,000 pounds or with a frontal area of greater than 45 square 
feet.''
    (f) The manufacturer of any incomplete light-duty vehicle or light-
duty truck shall notify the purchaser of such vehicle of any curb 
weight, frontal area, or gross vehicle weight rating limitations 
affecting the emission certificate applicable to that vehicle. This 
notification shall be transmitted in a manner consistent with National 
Highway Traffic Safety Administration safety notification requirements 
published in 49 CFR part 568.
    (g)(1)(i) Incomplete gasoline-fueled heavy-duty vehicles shall have 
the following prominent statement printed on the label required in 
paragraph (a)(4) of this section: ``(Manufacturer's corporate name) has 
determined that this vehicle conforms to U.S. EPA regulations applicable 
to 19____ Model Year New Gasoline-Fueled Heavy-Duty Vehicles when 
completed with a nominal fuel tank capacity not to exceed ______ 
gallons. Persons wishing to add fuel tank capacity beyond the above 
maximum must submit a written statement to the Administrator that the 
hydrocarbon storage system has been upgraded according to the 
requirements of 40 CFR 86.092-35(g)(2).''
    (ii) Incomplete methanol-fueled heavy-duty vehicles shall have the 
following prominent statement printed on the label required in paragraph 
(a)(4) of this section: ``(Manufacturer's corporate name) has determined 
that this vehicle conforms to U.S. EPA regulations applicable to 19____ 
Model Year New Methanol-Fueled Heavy-Duty Vehicles when completed with a 
nominal fuel tank capacity not to exceed ______ gallons. Persons wishing 
to add fuel tank capacity beyond the above maximum must submit a written 
statement to the Administrator that the hydrocarbon storage system has 
been upgraded according to the requirements of 40 CFR 86.091-35(g)(2).''
    (2) Persons wishing to add fuel tank capacity beyond the maximum 
specified on the label required in paragraph (g)(1) of this section 
shall:
    (i) Increase the amount of fuel tank vapor storage material 
according to the following function:
[GRAPHIC] [TIFF OMITTED] TR06OC93.009

Where:
Capf = final amount of fuel tank vapor storage material, 
grams.
Capi = initial amount of fuel tank vapor storage material, 
grams.
T. Vol. = total fuel tank volume of completed vehicle, gallons.
Max. Vol. = maximum fuel tank volume as specified on the label required 
in paragraph (g)(1) of this section, gallons.

    (ii) Use, if applicable, hosing for fuel vapor routing which is at 
least as impermeable to hydrocarbon vapors as that used by the primary 
manufacturer.
    (iii) Use vapor storage material with the same absorptive 
characteristics as that used by the primary manufacturer.
    (iv) Connect, if applicable, any new hydrocarbon storage device to 
the existing hydrocarbon storage device in series such that the original 
hydrocarbon storage device is situated between the fuel tank and the new 
hydrocarbon storage device. The original hydrocarbon storage device 
shall be sealed such that vapors cannot reach the atmosphere. The 
elevation of the original hydrocarbon storage device shall be equal to 
or lower than the new hydrocarbon storage device.
    (v) Submit a written statement to the Administrator that paragraphs 
(g)(2)(i) through (g)(2)(iv) of this section have been complied with.
    (3) If applicable, the Administrator will send a return letter 
verifying the receipt of the written statement required in paragraph 
(g)(2)(v) of this section.
    (h)(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.

[[Page 213]]

    (i) The statement: ``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 
______.'' (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.

[55 FR 7197, Feb. 28, 1990, as amended at 55 FR 30627, July 26, 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 Secs. 86.093-11 and 86.093-35.
    Centrally fueled bus means a bus that is refueled at least 75 
percent of the time at one refueling facility that is owned, operated, 
or controlled by the bus operator.
    Urban bus means a passenger-carrying vehicle powered by a heavy 
heavy-duty diesel engine, or of a type normally powered by a heavy 
heavy-duty diesel engine, with a load capacity of fifteen or more 
passengers and intended primarily for intracity operation, i.e., within 
the confines of a city or greater metropolitan area. Urban bus operation 
is characterized by short rides and frequent stops. To facilitate this 
type of operation, more than one set of quick-operating entrance and 
exit doors would normally be installed. Since fares are usually paid in 
cash or tokens, rather than purchased in advance in the form of tickets, 
urban buses would normally have equipment installed for collection of 
fares. Urban buses are also typically characterized by the absence of 
equipment and facilities for long distance travel, e.g., rest rooms, 
large luggage compartments, and facilities for stowing carry-on luggage. 
The useful life for urban buses is the same as the useful life for other 
heavy heavy-duty diesel engines.

[58 FR 15795, Mar. 24, 1993]



Sec. 86.093-11  Emission standards for 1993 and later model year diesel heavy-duty engines.

    (a)(1) Exhaust emissions from new 1993 and later model year diesel 
heavy-duty engines shall not exceed the following:
    (i)(A) Hydrocarbons (for petroleum-fueled diesel engines). 1.3 grams 
per brake horsepower-hour (0.48 gram per megajoule), as measured under 
transient operating conditions.
    (B) Total Hydrocarbon Equivalent (for methanol-fueled diesel 
engines). 1.3 grams per brake horsepower-hour (0.48 gram per megajoule), 
as measured under transient operating conditions.
    (ii) Carbon monoxide. (A) 15.5 grams per brake horsepower-hour (5.77 
grams per megajoule), as measured under transient operating conditions.
    (B) 0.50 percent of exhaust gas flow at curb idle (methanol-fueled 
diesel only).
    (iii) Oxides of nitrogen. (A) 5.0 grams per brake horsepower-hour 
(1.9 grams per megajoule), as measured under transient operating 
conditions.
    (B) A manufacturer may elect to include any or all of its diesel 
heavy-duty engine families in any or all of the NOX 
averaging, trading, or banking programs for heavy-duty engines, within 
the restrictions described in Sec. 86.091-15. If the manufacturer elects 
to include engine families in any of the programs, the NOX 
FELs may not exceed 6.0 grams per brake horsepower-hour (2.2 grams per 
megajoule). This ceiling value applies whether credits for the family 
are derived from averaging, trading or banking programs.
    (iv) Particulate. (A) For diesel engines to be used in buses, 0.10 
grams per brake horsepower-hour (0.037 gram per megajoule), as measured 
under transient operating conditions.
    (B) For all other diesel engines only, 0.25 grams per brake 
horsepower-hour

[[Page 214]]

(0.093 gram per megajoule), as measured under transient operating 
conditions.
    (C) A manufacturer may elect to include any or all of its diesel 
heavy-duty engine families in any or all of the particulate averaging, 
trading, or banking programs for heavy-duty engines, within the 
restrictions described in Sec. 86.094.15. If the manufacturer elects to 
include engine families in any of these programs, the particulate FEL 
may not exceed:
    (1) 0.25 gram per brake horsepower-hour (0.093 gram per megajoule) 
for diesel engines intended for use in urban buses.
    (2) 0.60 gram per brake horsepower-hour (0.22 gram per megajoule) 
for diesel engines not intended for use in urban buses.
    (3) The ceiling values in paragraphs (a)(1)(iv)(C) (1) and (2) of 
this section apply whether credits for the family are derived from 
averaging, trading or banking programs.
    (2) The standards set forth in paragraph (a)(1) of this section 
refer to the exhaust emitted over operating schedules as set forth in 
paragraph (f)(2) of appendix I of this part, and measured and calculated 
in accordance with the procedures set forth in subpart N of this part, 
except as noted in Sec. 86.091-23(c)(2) (i) and (ii).
    (b)(1) The opacity of smoke emission from new 1993 and later model 
year diesel heavy-duty engines shall not exceed:
    (i) 20 percent during the engine acceleration mode.
    (ii) 15 percent during the engine lugging mode.
    (iii) 50 percent during the peaks in either mode.
    (2) The standards set forth in paragraph (b)(1) of this section 
refer to exhaust smoke emissions generated under the conditions set 
forth in subpart I of this part and measured and calculated in 
accordance with those procedures.
    (3) Evaporative emissions (total of non-oxygenated hydrocarbons plus 
methanol) for 1993 and later model year heavy-duty vehicles equipped 
with methanol-fueled diesel engines shall not exceed:
    (i) For vehicles with Gross Vehicle Weight Rating of up to 14,000 
lbs., 3.0 grams per test.
    (ii) For vehicles with a Gross Vehicle Weight Rating of greater than 
14,000 lbs., 4.0 grams per test.
    (4)(i) 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 emission collected under the 
conditions set forth in subpart M of this part and measured in 
accordance with those procedures.
    (ii) For vehicles with a Gross Vehicle Weight Rating of greater than 
26,000 lbs., the standard set forth in paragraph (b)(3)(ii) of this 
section refers to the manufacturers' engineering design evaluation using 
good engineering practice (a statement of which is required in 
Sec. 86.091-23(b)(4)(ii)).
    (c) No crankcase emissions shall be discharged into the ambient 
atmosphere from any new 1993 or later model year methanol-fueled diesel, 
or any naturally-aspirated diesel heavy-duty engine. For petroleum 
fueled engines only, this provision does not apply to engines using 
turbocharters, pumps, blowers or superchargers for air induction.
    (d) Every manufacturer of new motor vehicle engines subject to the 
standard 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), and (c) and (d) of this section.

[56 FR 64711, Dec. 12, 1991, as amended at 58 FR 15795, Mar. 24, 1993]



Sec. 86.093-35  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 in this section, containing the information hereinafter 
provided, to all production models of such vehicles (or engines) 
available for

[[Page 215]]

sale to the public and covered by a certificate of conformity under 
Sec. 86.091-30(a). Where blanks appear in this section, manufacturers 
are required to fill in the appropriate information in the blanks.
    (1) Light-duty vehicles. (i) A permanent, legible label shall be 
affixed in a readily visible position in the engine compartment.
    (ii) The label shall be affixed by the vehicle manufacturer who has 
been issued the certificate of conformity for such vehicle, in such 
manner that it cannot be removed without destroying or defacing the 
label. The label shall not be affixed to any equipment which is easily 
detached from such vehicle.
    (iii) The label shall contain the following information lettered in 
the English language in block letters and numerals, which shall be of a 
color that contrasts with the background of the label:
    (A) The label heading: Vehicle Emission Control Information;
    (B) Full corporate name and trademark of manufacturer;
    (C) Engine displacement (in cubic inches or liters), engine family 
identification and evaporative family identification;
    (D) Engine tune-up specifications and adjustments, as recommended by 
the manufacturer in accordance with the applicable emission standards 
(or family emission limits, as applicable), including but not limited to 
idle speed(s), ignition timing, the idle air-fuel mixture setting 
procedures and value (e.g., idle CO, idle air-fuel ratio, idle speed 
drop), high idle speed, initial injection timing and valve lash (as 
applicable), as well as other parameters deemed necessary by the 
manufacturer. These specifications should indicate the proper 
transmission position during tuneup and what accessories (e.g., air 
conditioner), if any, should be in operation;
    (E) An unconditional statement of compliance with the appropriate 
model year U.S. Environmental Protection Agency regulations which apply 
to light-duty vehicles;
    (F) For vehicles which are part of the diesel particulate averaging 
program, the family particulate emission limit to which the vehicle is 
certified;
    (G) For vehicles that have been exempted from compliance with the 
emission standards at high altitude, as specified in Sec. 86.090-8(h):
    (1) A highlighted statement (e.g., underscored or boldface letters) 
that the vehicle is certified to applicable emission standards at low 
altitude only;
    (2) A statement that the vehicle's unsatisfactory performance under 
high-altitude conditions makes it unsuitable for principal use at high 
altitude; and
    (3) A statement that the emission performance warranty provisions of 
40 CFR part 85, subpart V do not apply when the vehicle is tested at 
high altitude;
    (H) For vehicles that have been exempted from compliance with the 
emission standards at low altitude, as specified in Sec. 86.090-8(i):
    (1) A highlighted statement (e.g., underscored or boldface letters) 
that the vehicle is certified to applicable emission standards at high 
altitude only; and
    (2) A statement that the emission performance warranty provisions of 
40 CFR part 85, subpart V do not apply when the vehicle is tested at low 
altitude;
    (I) The vacuum hose routing diagram applicable to the vehicles if 
the vehicles are equipped with vacuum actuated emission and emission-
related components. The manufacturer may, at its option, use a separate 
label for the vacuum hose routing diagram provided that the vacuum hose 
diagram is placed in a visible and accessible position as provided in 
this section; and
    (J) Vehicles granted final admission under Sec. 85.1505 must comply 
with the labeling requirements contained in Sec. 85.1510.
    (2) Light-duty truck and heavy-duty vehicles optionally certified in 
accordance with the light-duty truck provisions. (i) A legible, 
permanent label shall be affixed in a readily visible position in the 
engine compartment.
    (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.

[[Page 216]]

    (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 Vehicle Information;
    (B) Full corporate name and trademark of manufacturer;
    (C) Engine displacement (in cubic inches or liters) and engine 
family identification;
    (D) Engine tune-up specifications and adjustments, as recommended by 
the manufacturer in accordance with the applicable emission standards 
(or family emission limits, as appropriate), including but not limited 
to idle speed(s), ignition timing, the idle air-fuel mixture setting 
procedure and value (e.g., idle CO, idle air-fuel ratio, idle speed 
drop), high idle speed, initial injection timing, and valve lash (as 
applicable), as well as other parameters deemed necessary by the 
manufacturer. These specifications should indicate the proper 
transmission position during tuneup and what accessories (e.g., air 
conditioner), if any, should be in operation. If adjustments or 
modifications to the vehicle are necessary to insure compliance with 
emission standards (or family emission limits, as appropriate) at either 
high or low altitude, the manufacturer shall either include the 
instructions for such adjustments on the label, or indicate on the label 
where instructions for such adjustments may be found. The label shall 
indicate whether the engine tune-up or adjustment specifications are 
applicable to high altitude, low altitude, or both;
    (E)(1) Light-duty trucks. One of the prominent statements, as 
applicable:
    (i) Labels for light-duty trucks certified to the oxides of nitrogen 
standard of 1.12 grams per vehicle mile shall include the following 
statement: ``This vehicle conforms to U.S. EPA regulations applicable to 
19____ Model Year New Light-Duty Trucks.''
    (ii) Labels for light-duty trucks certified to the oxides of 
nitrogen standard of 1.7 grams per vehicle mile shall include the 
following statement: ``This vehicle conforms to U.S. EPA regulations 
applicable to 19____ Model Year New Light-Duty Trucks with a curb weight 
greater than 3,450 pounds.''
    (2) Heavy-duty vehicles optionally certified in accordance with the 
light-duty truck provisions. ``This heavy-duty vehicle conforms to U.S. 
EPA regulations applicable to 19____ Model Year New Light-Duty Trucks 
under the special provision of 40 CFR 86.092-1(b).'';
    (F) If the manufacturer is provided an alternate useful life period 
under the provisions of Sec. 86.091-21(f), the prominent statement: 
``This vehicle has been certified to meet U.S. EPA standards for a 
useful-life period of ____ years or ______ miles of operation, whichever 
occurs first. This vehicle'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 years or 
miles (e.g., hours, or miles only);
    (G) A statement, if applicable, that the adjustments or 
modifications indicated on the label are necessary to ensure emission 
control compliance at the altitude specified;
    (H) A statement, if applicable, that the high-altitude vehicle was 
designated or modified for principal use at high altitude. This 
statement must be affixed by the manufacturer at the time of assembly or 
by any dealer who performs the high-altitude modification or adjustment 
prior to sale to an ultimate purchaser;
    (I) For vehicles that have been exempted from compliance with the 
high-altitude emission standards, as specified in Sec. 86.091-9(g)(2).
    (1) A highlighted statement (e.g., underscored or boldface letters) 
that the vehicle is certified to applicable emission standards at low 
altitude only;
    (2) A statement that the vehicle's unsatisfactory performance under 
high-altitude conditions makes it unsuitable for principal use at high 
altitude; and
    (3) A statement that the emission performance warranty provisions of 
40 CFR part 85, subpart V do not apply when the vehicle is tested at 
high altitude;
    (J) For vehicles which are included in the diesel particulate 
averaging program, the family particulate emission limit to which the 
vehicle is certified;

[[Page 217]]

    (K) For vehicles which are included in the light-duty truck 
NOX averaging program, the family NOX emissions 
limit to which the vehicle is certified;
    (L) The vacuum hose routing diagram applicable to the vehicles if 
the vehicles are equipped with vacuum actuated emission and emission-
related components. The manufacturer may, at its option, use a separate 
label for the vacuum hose routing diagram provided that the vacuum hose 
diagram is placed in a visible and accessible position as provided by 
this section;
    (M) 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.
    (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) Full corporate name and trademark of manufacturer;
    (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 value 
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 19-- Model Year New Heavy-Duty Engines.'';
    (I) If the manufacturer is provided with an alternate useful life 
period under the provisions of Sec. 86.901-21(f), the prominent 
statement: ``This engine has been certified to meet U.S. EPA standards 
for a useful-life period of ______ miles or ______ 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 ______ heavy-duty engine.'' 
(The primary intended service applications are light, medium, and heavy, 
as defined in Sec. 86.902-2.);
    (K) For Otto-cycle engines. One of the following statements, as 
applicable:
    (1) For engines certified to the emission standards under 
Sec. 86.09--10(a)(1) (i) or (iii), the statement: ``This engine is 
certified for use in all heavy-duty vehicles.'';
    (2) For gasoline-fueled engines certified under the provisions of 
Sec. 86.091-10(a)(3)(i), the statement: ``This engine is certified for 
use in all heavy-duty vehicles under the special provision of 40 CFR 
86.091-10(a)(3)(i).'';
    (3) For engines certified to the emission standards under 
Sec. 86.091-10(a)(1) (ii) or (iv), the statement: ``This engine is 
certified for use only in heavy-duty vehicles with a gross vehicle 
weight rating above 14,000 lbs.'';
    (L) For all heavy-duty engines which are included in diesel heavy-
duty particulate trading, banking or averaging programs, the particulate 
family emission limit to which the engine is certified;

[[Page 218]]

    (M) For all heavy-duty engines which are included in NOX 
trading, banking or averaging programs, the NOX family 
emission limit to which the engine is certified;
    (N) Engines granted final admission under Sec. 85.1505 must comply 
with the labeling requirements contained in Sec. 85.1510; and
    (O) For diesel engines which have been certified to comply with the 
particulate standard of 40 CFR 86.093-11(a)(1)(iv)(A), the statement 
``This engine is certified for use in a bus as defined at 40 CFR 86.093-
2.'' Unless waived by the Administrator on the basis of impracticality, 
for diesel engines not certified to comply with the particulate standard 
40 CFR 86.093-11(a)(1)(iv)(A), the statement ``This engine is not 
certified for use in a bus as defined at 40 CFR 86.093-2. Sales of this 
engine for use in a bus is a violation of Federal law under the Clean 
Air Act.''
    (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) Gasoline-fueled and methanol-fueled heavy-duty vehicles. (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 paragraphs (a)(4) and (g)(1) of this 
section shall be affixed in a readily visible position on the operator's 
enclosure or on the engine.
    (ii) The label shall be affixed by the vehicle manufacturer who has 
been issued the certificate of conformity for such vehicle, in such a 
manner that it cannot be removed without destroying or defacing the 
label. The label shall not be affixed to any equipment which is easily 
detached from such vehicle.
    (iii) The label shall contain the following information lettered in 
the English language in block letters and numerals, which shall be of a 
color that contrasts with the background of the label:
    (A) The label heading: Vehicle Emission Control Information;
    (B) Full corporate name and trademark of manufacturer;
    (C) Evaporative family identification;
    (D) The maximum nominal fuel tank capacity (in gallons) for which 
the evaporative control system is certified; and
    (E) One of the following, as appropriate:
    (1) An unconditional statement of compliance with the appropriate 
model year U.S. Environmental Protection Agency regulations (40 CFR part 
86) which apply to gasoline-fueled heavy-duty vehicles;
    (2) An unconditional statement of compliance with the appropriate 
model year U.S. Environmental Protection Agency regulations (40 CFR part 
86) which apply to methanol-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)(1) The manufacturer of any light-duty vehicle or light-duty 
truck subject to the emission standards (or family emission limits, as 
appropriate) of this subpart shall, in addition and subsequent to 
setting forth those statements on the label required by the Department 
of Transportation (DOT) pursuant to 49 CFR 567.4, set forth on the DOT 
label or an additional label located in proximity to the DOT label and 
affixed as described in 40 CFR 567.4(b), the following information in 
the English language, lettered in block letters and numerals not less 
than three thirty-seconds of an inch high, of a color that contrasts 
with the background of the label:
    (i) The heading: ``Vehicle Emission Control Information.''
    (ii)(A) For light-duty vehicles, The statement: ``This Vehicle 
Conforms to U.S. EPA Regulations Applicable to 19____ Model Year New 
Motor Vehicles.''
    (B) For light-duty trucks:

[[Page 219]]

    (1) The statement: ``This vehicle conforms to U.S. EPA regulations 
applicable to 19____ Model Year New Light-Duty Trucks.''
    (2) If the manufacturer is provided an alternate useful life period 
under the provisions of Sec. 86.091-21(f), the prominent statement: 
``This vehicle has been certified to meet U.S. EPA standards for a 
useful-life period of ____ years or ______ miles of operation, whichever 
occurs first. This vehicle'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 years or 
miles (e.g., hours, or miles only).
    (iii) One of the following statements, as applicable, in letters and 
numerals not less than six thirty-seconds of an inch high and of a color 
that contrasts with the background of the label:
    (A) For all vehicles certified as noncatalyst-equipped: ``Non-
Catalyst''.
    (B) For all vehicles certified as catalyst-equipped which are 
included in a manufacturer's catalyst control program for which approval 
has been given by the Administrator: ``Catalyst--Approved for Import''.
    (C) For all vehicles certified as catalyst-equipped which are not 
included in a manufacturer's catalyst control program for which prior 
approval has been given by the Administrator: ``Catalyst''.
    (2) In lieu of selecting either of the labeling options of paragraph 
(c)(1) of this section, the manufacturer may add the information 
required by paragraph (c)(1)(iii) of this section to the label required 
by paragraph (a) of this section. The required information will be set 
forth in the manner prescribed by paragraph (c)(1)(iii) of this section.
    (d) Incomplete light-duty trucks or incomplete heavy-duty vehicles 
optionally certified in accordance with the light-duty truck provisions 
shall have one of the following prominent statements, as applicable, 
printed on the label required by paragraph (a)(2) of this section in 
lieu of the statement required by paragraph (a)(2)(iii)(E) of this 
section.
    (1) Light-duty trucks. (i) Labels for light-duty trucks certified to 
the oxides of nitrogen standard of 1.2 grams per vehicle mile shall 
include the following statement: ``This vehicle conforms to U.S. EPA 
regulations applicable to 19____ Model Year New Light-Duty Trucks when 
it does not exceed ____ pounds in curb weight, ____ pounds in gross 
vehicle weight rating, and ____ square feet in frontal area.''
    (ii) Labels for light-duty trucks certified to the oxides of 
nitrogen standards of 1.7 grams per vehicle mile shall include the 
following statement: ``This vehicle conforms to U.S. EPA regulations 
applicable to 19____ Model Year New Light-Duty Trucks when it is between 
3,450 pounds and ____ pounds in curb weight and it does not exceed ____ 
pounds in gross vehicle weight rating nor ____ square feet in frontal 
area.''
    (2) Heavy-duty vehicles optionally certified in accordance with the 
light-duty truck provisions. ``This heavy-duty vehicle conforms to the 
U.S. EPA regulations applicable to 19____ Model Year Light-Duty Trucks 
under the special provision of 40 CFR 86.085-1(b) when it does not 
exceed ____ pounds in curb weight, ____ pounds in gross vehicle weight 
rating, and ____ square feet in frontal area.''
    (e) Incomplete heavy-duty vehicles having a gross vehicle weight 
rating of 8,500 pounds or less shall have one of the following 
statements printed on the label required by paragraph (a)(3) of this 
section in lieu of the statement required by paragraph (a)(3)(iii)(H) of 
this section: ``This engine conforms to U.S. EPA regulations applicable 
to 19____ Model Year Heavy-Duty Engines when installed in a vehicle 
completed at a curb weight of more than 6,000 pounds or with a frontal 
area of greater than 45 square feet.''
    (f) The manufacturer of any incomplete light-duty vehicle or light-
duty truck shall notify the purchaser of such vehicle of any curb 
weight, frontal area, or gross vehicle weight rating limitations 
affecting the emission certificate applicable to that vehicle. This 
notification shall be transmitted in a manner consistent with National 
Highway Traffic Safety Administration safety notification requirements 
published in 49 CFR part 568.
    (g)(1)(i) Incomplete gasoline-fueled heavy-duty vehicles shall have 
the following prominent statement printed on

[[Page 220]]

the label required in paragraph (a)(4) of this section: 
``(Manufacturer's corporate name) has determined that this vehicle 
conforms to U.S. EPA regulations applicable to 19____ Model Year New 
Gasoline-Fueled Heavy-Duty Vehicles when completed with a nominal fuel 
tank capacity not to exceed ______ gallons. Persons wishing to add fuel 
tank capacity beyond the above maximum must submit a written statement 
to the Administrator that the hydrocarbon storage system has been 
upgraded according to the requirements of 40 CFR 86.092-35(g)(2).''
    (ii) Incomplete methanol-fueled heavy-duty vehicles shall have the 
following prominent statement printed on the label required in paragraph 
(a)(4) of this section: ``(Manufacturer's corporate name) has determined 
that this vehicle conforms to U.S. EPA regulations applicable to 19____ 
Model Year New Methanol-Fueled Heavy-Duty Vehicles when completed with a 
nominal fuel tank capacity not to exceed ______ gallons. Persons wishing 
to add fuel tank capacity beyond the above maximum must submit a written 
statement to the Administrator that the hydrocarbon storage system has 
been upgraded according to the requirements of 40 CFR 86.091-35(g)(2).''
    (2) Persons wishing to add fuel tank capacity beyond the maximum 
specified on the label required in paragraph (g)(1) of this section 
shall:
    (i) Increase the amount of fuel tank vapor storage material 
according to the following function:
[GRAPHIC] [TIFF OMITTED] TR06OC93.010

Where:

Capf=final amount of fuel tank vapor storage material, grams.
Capi=initial amount of fuel tank vapor storage material, grams.
T. Vol.=total fuel tank volume of completed vehicle, gallons.
Max. Vol.=maximum fuel tank volume as specified on the label required in 
paragraph (g)(1) of this section, gallons.

    (ii) Use, if applicable, hosing for fuel vapor routing which is at 
least as impermeable to hydrocarbon vapors as that used by the primary 
manufacturer.
    (iii) Use vapor storage material with the same absorptive 
characteristics as that used by the primary manufacturer.
    (iv) Connect, if applicable, any new hydrocarbon storage device to 
the existing hydrocarbon storage device in series such that the original 
hydrocarbon storage device is situated between the fuel tank and the new 
hydrocarbon storage device. The original hydrocarbon storage device 
shall be sealed such that vapors cannot reach the atmosphere. The 
elevation of the original hydrocarbon storage device shall be equal to 
or lower than the new hydrocarbon storage device.
    (v) Submit a written statement to the Administrator that paragraphs 
(g)(2)(i) through (g)(2)(iv) of this section have been complied with.
    (3) If applicable, the Administrator will send a return letter 
verifying the receipt of the written statement required in paragraph 
(g)(2)(v) of this section.
    (h)(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.
    (i) The statement: ``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 
______.'' (The manufacturer shall insert the applicable pollutant and 
compliance level calculated in accordance with Sec. 86.1112-87(a).)
    (ii) [Reserved]
    (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

[[Page 221]]

described in paragraph (h) of this section 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.

[58 FR 15795, Mar. 24, 1993]



Sec. 86.094-1  General applicability.

    (a) The provisions of this subpart generally apply to 1994 and later 
model year new Otto-cycle and diesel-cycle light-duty vehicles, 1994 and 
later model year new Otto-cycle and diesel-cycle light-duty trucks, and 
1994 and later model year new Otto-cycle and 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.
    (b) Optional applicability. A manufacturer may request to certify 
any heavy-duty vehicle of 10,000 pounds Gross Vehicle Weight Rating or 
less in accordance with the light-duty truck provisions. Heavy-duty 
engine or vehicle provisions do not apply to such a vehicle.
    (c)-(d) [Reserved]
    (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 Secs. 85.1505 and 85.1509 of this 
chapter 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. 86.092-14(b) before the 
Administrator's approval will be granted. The small-volume 
manufacturer's certification procedures are described in Sec. 86.092-14.
    (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 that described in subpart I 
of this part, may be used by the manufacturer provided the manufacturer 
satisfies the requirements of Sec. 86.091-23(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(s) 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.

[58 FR 4002, Jan. 12, 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

[[Page 222]]

own module) and transmitted between a network of modules and/or 
intelligent sensors connected in parallel with either one or two 
communication wires. The information is broadcast over the communication 
wires for use by other modules (e.g., chassis, transmission, etc.) to 
conduct normal vehicle operation or for use by diagnostic tools. Data 
stream information does not include engine calibration related 
information.
    Defeat device means an auxilary emission control device (AECD) that 
reduces the effectiveness of the emission control system under 
conditions which may reasonably be expected to be encountered in normal 
vehicle operation and use, unless:
    (1) Such conditions are substantially included in the Federal 
emission test procedure;
    (2) The need for the AECD is justified in terms of protecting the 
vehicle against damage or accident; or
    (3) The AECD does not go beyond the requirements of engine starting.
    Durability useful life means the highest useful life mileage out of 
the set of all useful life mileages that apply to a given vehicle. The 
durability useful life determines the duration of service accumulation 
on a durability data vehicle. The determination of durability useful 
life shall reflect any alternative useful life mileages approved by the 
Administrator under Sec. 86.094-21(f). The determination of durability 
useful life shall exclude any standard and related useful life mileage 
for which the manufacturer has obtained a waiver of emission data 
submission requirements under Sec. 86.094-23(c)
    Element of design means any control system (i.e., computer software, 
electronic control system, emission control system, computer logic), 
and/or control system calibrations, and/or the results of systems 
interaction, and/or hardware items on a motor vehicle or motor vehicle 
engine.
    Engine warm-up cycle means sufficient vehicle operation such that 
the coolant temperature has risen by at least 40  deg.F from engine 
starting and reaches a minimum temperature of 160  deg.F.
    Enhanced service and repair information means information which is 
specific for an original equipment manufacturer's brand of tools and 
equipment.
    Equivalent test weight means the weight, within an inertia weight 
class, which is used in the dynamometer testing of a vehicle and which 
is based on its loaded vehicle weight or adjusted loaded vehicle weight 
in accordance with the provisions of subparts A and B of this part.
    Gaseous fuel means natural gas or liquefied petroleum gas.
    Generic service and repair information means information which is 
not specific for an original equipment manufacturer's brand of tools and 
equipment.
    Heavy light-duty truck means any light-duty truck rated greater than 
6000 lbs GVWR.
    Indirect information means any information that is not specifically 
contained in the service literature, but is contained in items such as 
tools or equipment provided to franchised dealers (or others).
    Intermediary means any individual or entity, other than an original 
equipment manufacturer, which provides service or equipment to 
automotive technicians.
    Intermediate Temperature Cold Testing means testing done pursuant to 
the driving cycle and testing conditions contained in 40 CFR part 86, 
subpart C, at temperatures between 25  deg.F (-4  deg.C) and 68  deg.F 
(20  deg.C).
    Light-duty truck 1 means any light light-duty truck up through 3750 
lbs loaded vehicle weight.
    Light-duty truck 2 means any light light-duty truck greater than 
3750 lbs loaded vehicle weight.
    Light-duty truck 3 means any heavy light-duty truck up through 5750 
lbs adjusted loaded vehicle weight.
    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

[[Page 223]]

pressure = 1 atm), excluding natural gas.
    Multi-fuel means capable of operating on two or more different fuel 
types, either separately or simultaneously.
    Natural gas means a fuel whose primary constituent is methane.
    Non-Methane Hydrocarbon Equivalent means the sum of the carbon mass 
emissions of non-oxygenated non-methane hydrocarbons, methanol, 
formaldehyde, or other organic compounds that are separately measured, 
expressed as gasoline-fueled vehicle hydrocarbons. In the case of 
exhaust emissions, the hydrogen-to-carbon ratio of the equivalent 
hydrocarbon is 1.85:1. In the case of diurnal and hot soak emissions, 
the hydrogen-to-carbon ratios of the equivalent hydrocarbons are 2.33:1 
and 2.2:1, respectively.
    Petroleum fuel means liquid fuels normally derived from crude oil, 
excluding liquefied petroleum gas. Gasoline and diesel fuel are 
petroleum fuels.
    Test weight basis means the basis on which equivalent test weight is 
determined in accordance with Sec. 86.129-94 of subpart B of this part.
    Useful life means:
    (a) For light-duty vehicles, and for model year 1994 and later light 
light-duty trucks not subject to the Tier 0 standards of paragraph (a) 
of Sec. 86.094-9, intermediate useful life and/or full useful life. 
Intermediate useful life is a period of use of 5 years or 50,000 miles, 
whichever occurs first. Full useful life is a period of use of 10 years 
or 100,000 miles, whichever occurs first, except as otherwise noted in 
Sec. 86.094-9.
    (b) For light light-duty trucks subject to the Tier 0 standards of 
paragraph (a) of Sec. 86.094-9, and for heavy light-duty truck engine 
families, intermediate and/or full useful life. Intermediate useful life 
is a period of use of 5 years or 50,000 miles, whichever occurs first. 
Full useful life is a period of use of 11 years or 120,000 miles, 
whichever occurs first.
    (c) For an Otto-cycle heavy-duty engine family, a period of use of 8 
years or 110,000 miles, whichever first occurs.
    (d) For a diesel heavy-duty engine family:
    (1) For light heavy-duty diesel engines, period of use of 8 years or 
110,000 miles, whichever first occurs.
    (2) For medium heavy-duty diesel engines, a period of use of 8 years 
or 185,000 miles, whichever first occurs.
    (3) For heavy-duty diesel engines, a period of use of 8 years or 
290,000 miles, whichever first occurs, except as provided in paragraph 
(d)(4) of this definition.
    (4) for heavy heavy-duty diesel engines used in urban buses, for the 
particulate standard, a period of use of 10 years or 290,000 miles, 
whichever first occurs.
    (e) As an option for both light-duty trucks under certain conditions 
and heavy-duty engine families, an alternative useful life period 
assigned by the Administrator under the provisions of paragraph (f) of 
Sec. 86.094-21.
    (f) The useful-life period for purposes of the emissions defect 
warranty and emissions performance warranty shall be a period of 5 
years/50,000 miles, whichever first occurs, for light-duty trucks, Otto-
cycle heavy-duty engines and light heavy-duty diesel engines. For all 
other heavy-duty diesel engines the aforementioned period is 5 years/
100,000 miles, whichever first occurs. However, in no case may this 
period be less than the manufacturer's basic mechanical warranty period 
for the engine family.

[56 FR 25739, June 5, 1991, as amended at 57 FR 31897, July 17, 1992; 58 
FR 4002, Jan. 12, 1993; 58 FR 9485, Feb. 19, 1993; 58 FR 15799, Mar. 24, 
1993; 59 FR 48494, Sept. 21, 1994; 60 FR 34335, June 30, 1995; 60 FR 
40496, Aug. 9, 1995]



Sec. 86.094-3  Abbreviations.

    (a) The abbreviations in Sec. 86.090-3 remain effective. The 
abbreviations in this section apply beginning with the 1994 model year.
    (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

[[Page 224]]

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.

    Section 86.094-7 includes text that specifies requirements that 
differ from Sec. 86.091-7. Where a paragraph in Sec. 86.091-7 is 
identical and applicable to Sec. 86.094-7, this may be indicated by 
specifying the corresponding paragraph and the statement ``[Reserved]. 
For guidance see Sec. 86.091-7.'' Where a corresponding paragraph of 
Sec. 86.091-7 is not applicable, this is indicated by the statement 
``[Reserved].''
    (a) Introductory text through (a)(2) [Reserved]. For guidance see 
Sec. 86.091-7.
    (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) Through (c)(2) [Reserved]. For guidance see Sec. 86.091-7.
    (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) Through (d)(1)(v) [Reserved]. For guidance see Sec. 86.091-7.
    (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]. For guidance see Sec. 86.091-7.
    (h)(1) The manufacturer (or contractor for the manufacturer, if 
applicable) of any model year 1994 through 1997 light-duty vehicle or 
light light-duty truck or model year 1994 through 1998 heavy light-duty 
truck that is certified shall establish, maintain, and retain the 
following adequately organized and indexed records for each such 
vehicle:
    (i) EPA engine family;
    (ii) Vehicle identification number;
    (iii) Model year and production date;
    (iv) Shipment date;
    (v) Purchaser; and
    (vi) Purchase contract.
    (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

[[Page 225]]

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) Voiding a certificate. (i) EPA may void ab initio a certificate 
for a vehicle certified to Tier 0 certification standards for which the 
manufacturer fails to retain the records required in this section or to 
provide such information to the Administrator upon request.
    (ii) EPA may void ab initio a certificate for a 1994 or 1995 model 
year light-duty vehicle or light-duty truck that is not certified in 
compliance with the cold temperature CO standard for which the 
manufacturer fails to retain the records required in this section or to 
provide such information to the Administrator upon request.
    (iii) Any voiding ab initio of a certificate under Sec. 86.094-7(c) 
and paragraph (h) of this section will be made only after the 
manufacturer concerned has been offered an opportunity for a hearing 
conducted in accordance with Sec. 86.614 for light-duty vehicles or 
under Sec. 86.1014 for light-duty trucks and heavy-duty engines.
    (i) Any voiding ab initio of a certificate under Sec. 86.091-7 (c) 
and paragraph (h) of this section will be made only after the 
manufacturer concerned has been offered an opportunity for a hearing 
conducted in accordance with Sec. 86.614 for light-duty vehicles or 
under Sec. 86.1014 for light-duty trucks and heavy-duty engines.

[56 FR 25740, June 5, 1991, as amended at 57 FR 31897, July 17, 1992]



Sec. 86.094-8  Emission standards for 1994 and later model year light-duty vehicles.

    Section 86.094-8 includes text that specifies requirements that 
differ from Sec. 86.090-8. Where a paragraph in Sec. 86.090-8 is 
identical and applicable to Sec. 86.094-8, this may be indicated by 
specifying the corresponding paragraph and the statement ``[Reserved]. 
For guidance see Sec. 86.090-8.'' Where a corresponding paragraph of 
Sec. 86.090-8 is not applicable, this is indicated by the statement 
``[Reserved].''
    (a)(1) Standards. (i) Exhaust emissions from 1994 and later model 
year vehicles (optional for 1994 through 1996 model year gaseous-fueled 
vehicles) shall meet all standards in tables A94-2, A94-3, A94-5 and 
A94-6 in the rows designated with the applicable fuel type, according to 
the implementation schedule in tables A94-1 and A94-4, as follows:
    (A)(1)(i) A minimum of the percentage shown in table A94-1 of a 
manufacturer's sales of the applicable model year's light-duty vehicles 
shall not exceed the applicable Tier 1 standards in table A94-2 and 
shall not exceed the applicable Tier 1 standards in table A94-3. The 
remaining vehicles shall not exceed the applicable Tier 0 standards in 
table A94-2.
    (ii) Optionally, a minimum of the percentage shown in table A94-1 of 
a manufacturer's combined sales of the applicable model year's light-
duty vehicles and light light-duty trucks shall not exceed the 
applicable Tier 1 standards. Under this option, the light-duty vehicles 
shall not exceed the applicable Tier 1 standards in table A94-2 and 
shall not exceed the applicable Tier 1 standards in table A94-3. 
Further, the light light-duty trucks shall not exceed the applicable 
Tier 1 standards in table A94-8 of Sec. 86.094-9 and shall not exceed 
the applicable Tier 1 standards of table

[[Page 226]]

A94-9 of Sec. 86.094-9. The remaining percentage of the manufacturer's 
combined sales of the applicable model year's light-duty vehicles and 
light light-duty trucks shall not exceed the corresponding Tier 0 
standards.
    (2) A minimum of the percentage shown in table A94-4 of a 
manufacturer's sales of the applicable model year's light-duty vehicles 
shall not exceed the applicable Tier 1 standards in table A94-5 and 
shall not exceed the applicable Tier 1 standards in table A94-6. The 
remaining vehicles shall not exceed the applicable Tier 0 standards in 
table A94-5.

Table A94-1--Implementation Schedule for Light-Duty Vehicles for HCs, CO
                                 and NOX
------------------------------------------------------------------------
                                                                Tier 1
                         Model year                           percentage
------------------------------------------------------------------------
1994.......................................................           40
1995.......................................................           80
After 1995.................................................          100
------------------------------------------------------------------------


       Table A94-2--Intermediate Useful Life Standards (g/mi) for Light-Duty Vehicles for HCs, CO and NOX
----------------------------------------------------------------------------------------------------------------
             Fuel                  Standards       THC        NMHC       THCE      NMHCE        CO        NOX
----------------------------------------------------------------------------------------------------------------
Gasoline......................  Tier 0........       0.41  .........  .........  .........        3.4        1.0
Gasoline......................  Tier 1........       0.41       0.25  .........  .........        3.4        0.4
Diesel........................  Tier 0........       0.41  .........  .........  .........        3.4        1.0
Diesel........................  Tier 1........       0.41       0.25  .........  .........        3.4        1.0
Methanol......................  Tier 0........  .........  .........       0.41  .........        3.4        1.0
Methanol......................  Tier 1........  .........  .........       0.41       0.25        3.4        0.4
Natural Gas...................  Tier 0........  .........       0.34  .........  .........        3.4        1.0
Natural Gas...................  Tier 1........  .........       0.25  .........  .........        3.4        0.4
LPG...........................  Tier 0........       0.41  .........  .........  .........        3.4        1.0
LPG...........................  Tier 1........       0.41       0.25  .........  .........        3.4        0.4
----------------------------------------------------------------------------------------------------------------


           Table A94-3--Full Useful Life Standards (g/mi) for Light-Duty Vehicles for HCs, CO and NOX
----------------------------------------------------------------------------------------------------------------
             Fuel                 Standards       THC        NMHC       THCE      NMHCE        CO         NOX
----------------------------------------------------------------------------------------------------------------
Gasoline.....................  Tier 0........  .........  .........  .........  .........  .........  ..........
Gasoline.....................  Tier 1........  .........       0.31  .........  .........        4.2        0.6
Diesel.......................  Tier 0........  .........  .........  .........  .........  .........  ..........
Diesel.......................  Tier 1........  .........       0.31  .........  .........        4.2        1.25
Methanol.....................  Tier 0........  .........  .........  .........  .........  .........  ..........
Methanol.....................  Tier 1........  .........  .........  .........       0.31        4.2        0.6
Natural Gas..................  Tier 0........  .........  .........  .........  .........  .........  ..........
Natural Gas..................  Tier 1........  .........       0.31  .........  .........        4.2        0.6
LPG..........................  Tier 0........  .........  .........  .........  .........  .........  ..........
LPG..........................  Tier 1........  .........       0.31  .........  .........        4.2        0.6
----------------------------------------------------------------------------------------------------------------


   Table A94-4--Implementation Schedule for Light-Duty Vehicles for PM
------------------------------------------------------------------------
                                                                Tier 1
                         Model year                           percentage
------------------------------------------------------------------------
1994.......................................................           40
1995.......................................................           80
After 1995.................................................          100
------------------------------------------------------------------------


  Table A94-5--Intermediate Useful Life Standards (g/mi) for Light-Duty
                             Vehicles for PM
------------------------------------------------------------------------
                    Fuel                         Standards         PM
------------------------------------------------------------------------
Gasoline...................................  Tier 0..........  .........
Gasoline...................................  Tier 1..........       0.08
Diesel.....................................  Tier 0..........       0.20
Diesel.....................................  Tier 1..........       0.08
Methanol...................................  Tier 0..........   \1\ 0.20
Methanol...................................  Tier 1..........       0.08
Natural Gas................................  Tier 0..........   \1\ 0.20

[[Page 227]]

 
Natural Gas................................  Tier 1..........       0.08
LPG........................................  Tier 0..........   \1\ 0.20
LPG........................................  Tier 1..........       0.08
------------------------------------------------------------------------
\1\ Applicable only to diesel-cycle vehicles.


 Table A94-6--Full Useful Life Standards (g/mi) for Light-Duty Vehicles
                                 for PM
------------------------------------------------------------------------
                    Fuel                         Standards         PM
------------------------------------------------------------------------
Gasoline...................................  Tier 0..........  .........
Gasoline...................................  Tier 1..........       0.10
Diesel.....................................  Tier 0..........  .........
Diesel.....................................  Tier 1..........       0.10
Methanol...................................  Tier 0..........  .........
Methanol...................................  Tier 1..........       0.10
Natural Gas................................  Tier 0..........  .........
Natural Gas................................  Tier 1..........       0.10
LPG........................................  Tier 0..........  .........
LPG........................................  Tier 1..........       0.10
------------------------------------------------------------------------

    (B)(1)(i) Sales percentages for the purposes of determining 
compliance with paragraph (a)(1)(i)(A) of this section shall be based on 
total actual U.S. sales of light-duty vehicles of the applicable model 
year by a manufacturer to a dealer, distributor, fleet operator, broker, 
or any other entity which comprises the point of first sale. If the 
option of paragraph (a)(1)(i)(A)(1)(ii) of this section is taken, such 
sales percentages shall be based on the total actual combined U.S. sales 
of light-duty vehicles and light light-duty trucks of the applicable 
model year by a manufacturer to a dealer, distributor, fleet operator, 
broker, or any other entity which comprises the point of first sale.
    (ii) 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 
for purposes of determining compliance with the implementation schedule 
sales percentages of tables A94-1 and A94-4 of this section. Such 
petition shall be submitted within 30 days of the end of the model year 
to the Manufacturers Operations Division. For the petition to be 
granted, the manufacturer must establish to the satisfaction of the 
Administrator that actual production volume is functionally equivalent 
to actual sales volume.
    (iii) The manufacturer may count toward the sales percentages light-
duty vehicles of the applicable model year that meet certain standards 
for that same model year contained in Title 13, California Code of 
Regulations, Section 1960.1, and the incorporated ``California Exhaust 
Emission Standards and Test Procedures for 1988 and Subsequent Model 
Passenger Cars, Light-Duty Trucks, and Medium-Duty Vehicles.'' (Copies 
may be obtained from Barclays Law Publishers, P.O. Box 3066, San 
Francisco, CA 94080.) The relevant standards from that source are those 
that are designated as phase-in standards for selected pollutants and 
were first applied in the 1993 model year, as well as those for all 
remaining pollutants that require compliance at the one hundred percent 
level. If this option is taken, all light-duty vehicles sold in 
jurisdictions adopting such standards shall be counted toward the total 
upon which the sales percentage is based. If this option is not taken, 
light-duty vehicles sold in such jurisdictions are to be excluded from 
counting toward either the total upon which the sales percentage is 
based or the sales percentage itself.
    (iv) Small volume manufacturers, as defined in Sec. 86.092-14 (b)(1) 
and (2), are exempt from the implementation schedules of tables A94-1 
and A94-4 of this section for model years 1994 and 1995. For small 
volume manufacturers, Tier 0 standards of tables A94-2 and A94-5 
continue to apply until model year 1996 when one hundred percent

[[Page 228]]

compliance with the Tier 1 standards of tables A94-2, A94-3, A94-5, and 
A94-6 is required. This exemption does not apply to small volume engine 
families as defined in Sec. 86.092-14 (b)(5).
    (2)(i) Where the required implementation schedule sales percentages 
for in-use purposes, as prescribed in subpart H of this part, are the 
same in a given model year as the required implementation schedule sales 
percentages for certification purposes, as prescribed in this section, 
the same engine families must comprise the respective percentages.
    (ii) Where the required implementation schedule sales percentages 
for in-use purposes differ from implementation schedule sales 
percentages for certification purposes in a particular model year, the 
manufacturer must designate, at the time of Application for 
Certification, which families will meet each applicable in-use phase-in 
percentage.
    (3) The manufacturer must state at the time of Application for 
Certification, based on projected U.S. sales or projected production for 
U.S. sale, which families will be used to attain the required 
implementation schedule sales percentages for certification purposes.
    (4) A manufacturer can not use one set of engine families to meet 
its intermediate useful life standards and another to meet its full 
useful life standards. The same families which are used to meet the 
intermediate useful life standards will be required without deviation to 
meet the corresponding full useful life standards.
    (ii) A manufacturer may elect to include all or some of its diesel-
cycle light-duty vehicle engine families subject to the Tier 0 standards 
in the appropriate particulate averaging program (petroleum or 
methanol), provided that vehicles produced for sale in California or in 
designated high-altitude areas may be averaged only within each of these 
areas. Averaging is not permitted between fuel types. If the 
manufacturer elects to average light-duty vehicles and light-duty trucks 
together in the appropriate particulate averaging program, its composite 
particulate standard applies to the combined set of light-duty vehicles 
and light-duty trucks included in the average and is calculated as 
defined in Sec. 86.090-2.
    (2) The standards set forth in paragraph (a)(1)(i) of this section 
refer to the exhaust emitted over a driving schedule as set forth in 
subpart B of this part and measured and calculated in accordance with 
those procedures. The test weight basis for light-duty vehicles, for the 
purposes of determining equivalent test weight as prescribed in 
Sec. 86.129-94, shall be loaded vehicle weight.
    (b) Fuel evaporative emissions from 1994 and later model year light-
duty vehicles shall not exceed (compliance with these standards is 
optional for 1994 model year methanol-fueled engines):
    (1) Hydrocarbons (for gasoline-fueled vehicles). 2.0 grams per test.
    (2) Total Hydrocarbon Equivalent (for methanol-fueled vehicles). 2.0 
grams carbon per test.
    (3) The standards set forth in paragraphs (b) (1) and (2) of this 
section refers to a composite sample of the fuel evaporative emissions 
collected under the conditions set forth in subpart B of this part and 
measured in accordance with those procedures.
    (c) No crankcase emissions shall be discharged into the ambient 
atmosphere from any 1994 and later model year Otto-cycle, or methanol-or 
gaseous-fueled diesel light-duty vehicle. This requirement is optional 
for 1994 through 1996 model year gaseous-fueled light-duty vehicles.
    (d)-(f) [Reserved]. For guidance see Sec. 86.090-8.
    (g) Any 1994 and later model year light-duty vehicle that a 
manufacturer wishes to certify for sale shall meet the emission 
standards under both low- and high-altitude conditions as specified in 
Sec. 86.082-2, except as provided in paragraphs (h) and (i) of this 
section. Vehicles shall meet emission standards under both low- and 
high-altitude conditions without manual adjustments or modifications. 
Any emission control device used to meet emission standards under high-
altitude conditions shall initially actuate (automatically) no higher 
than 4,000 feet above sea level.
    (h) The manufacturer may exempt 1994 and later model year vehicles 
from

[[Page 229]]

compliance at high altitude with the emission standards set forth in 
paragraphs (a) and (b) of this section if the vehicles are not intended 
for sale at high altitude and if the requirements of paragraphs (h) (1) 
and (2) of this section are met.
    (1) A vehicle configuration shall only be considered eligible for 
exemption under paragraph (h) of this section if the requirements of 
either paragraph (h)(1) (i), (ii), (iii), or (iv) of this section are 
met.
    (i) Its design parameters (displacement-to-weight ratio (D/W) and 
engine speed-to-vehicle-speed ratio (N/V)) fall within the exempted 
range for that manufacturer for that year. The exempted range is 
determined according to the following procedure:
    (A) The manufacturer shall graphically display the D/W and N/V data 
of all vehicle configurations it will offer for the model year in 
question. The axis of the abscissa shall be D/W (where (D) is the engine 
displacement expressed in cubic centimeters and (W) is the equivalent 
vehicle test weight expressed in pounds), and the axis of the ordinate 
shall be N/V (where (N) is the crankshaft speed expressed in revolutions 
per minute and (V) is the vehicle speed expressed in miles per hour). At 
the manufacturer's option, either the 1:1 transmission gear ratio or the 
lowest numerical gear ratio available in the transmission will be used 
to determine N/V. The gear selection must be the same for all N/V data 
points on the manufacturer's graph. For each transmission/axle ratio 
combination, only the lowest N/V value shall be used in the graphical 
display.
    (B) The product line is then defined by the equation, N/V = C(D/W) 
-0.9, where the constant, C, is determined by the requirement 
that all the vehicle data points either fall on the line or lie to the 
upper right of the line as displayed on the graphs.
    (C) The exemption line is then defined by the equation, N/V = C(0.84 
D/W) -0.9, where the constant, C, is the same as that found 
in paragraph (h)(1)(i)(B) of this section.
    (D) The exempted range includes all values of N/V and D/W which 
simultaneously fall to the lower left of the exemption line as drawn on 
the graph.
    (ii) Its design parameters fall within the alternate exempted range 
for that manufacturer that year. The alternate exempted range is 
determined by substituting rated horsepower (hp) for displacement (D) in 
the exemption procedure described in paragraph (h)(1)(i) of this section 
and by using the product line N/V = C(hp/W) -0.9.
    (A) Rated horsepower shall be determined by using the Society of 
Automotive Engineers Test Procedure J 1349, June 1990, Engine Power Test 
Code--Spark Ignition and Compression Ignition--Net Power Rating. This 
incorporation by reference was approved by the Director of the Federal 
Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies 
may be obtained from SAE International, 400 Commonwealth Drive, 
Warrendale, PA, 15096-0001. Copies may be inspected at U.S. EPA, OAR, 
401 M St., SW., Washington, DC 20460, or at the Office of the Federal 
Register, 800 North Capitol Street, NW., suite 700, Washington, DC. Any 
of the horsepower determinants within that test procedure may be used, 
as long as it is used consistently throughout the manufacturer's product 
line in any model year.
    (B) No exemptions will be allowed under paragraph (h)(1)(ii) of this 
section to any manufacturer that has exempted vehicle configurations as 
set forth in paragraph (h)(1)(i) of this section.
    (iii) Its acceleration time (the time it takes a vehicle to 
accelerate from 0 miles per hour to a speed not less than 40 miles per 
hour and not greater than 50 miles per hour) under high-altitude 
conditions is greater than the largest acceleration time under low-
altitude conditions for that manufacturer for that year. The procedure 
to be followed in making this determination is:
    (A) The manufacturer shall list the vehicle configuration and 
acceleration time under low-altitude conditions of that vehicle 
configuration which has the highest acceleration time under low-altitude 
conditions of all the vehicle configurations it will offer for the model 
year in question. The manufacturer shall also submit a description of 
the methodology used to make this determination.

[[Page 230]]

    (B) The manufacturer shall then list the vehicle configurations and 
acceleration times under high-altitude conditions of all those vehicle 
configurations which have higher acceleration times under high-altitude 
conditions than the highest acceleration time at low altitude identified 
in paragraph (h)(1)(iii)(A) of this section.
    (iv) In lieu of performing the test procedure of paragraphs 
(h)(1)(iii) (A) and (B) of this section, its acceleration time can be 
estimated based on the manufacturer's engineering evaluation, in 
accordance with good engineering practice, to meet the exemption 
criteria of paragraph (h)(1)(iii) of this section.
    (2) A vehicle shall only be considered eligible for exemption under 
this paragraph (h) if at least one configuration of its model type (and 
transmission configuration in the case of vehicles equipped with manual 
transmissions, excluding differences due to the presence of overdrive) 
is certified to meet emission standards under high-altitude conditions 
as specified in paragraphs (a) through (c) and (g) of this section. The 
Certificate of Conformity (the Certificate) covering any exempted 
configuration(s) will also apply to the corresponding non-exempt 
configuration(s) required under this paragraph (h)(2). As a condition to 
the exemption, any suspension, revocation, voiding, or withdrawal of the 
Certificate as it applies to a non-exempt configuration for any reason 
will result in a suspension of the Certificate as it applies to the 
corresponding exempted configuration(s) of that model type, unless there 
is at least one other corresponding non-exempt configuration of the same 
model type still covered by the Certificate. The suspension of the 
Certificate as it applies to the exempted configuration(s) will be 
terminated when any one of the following occurs:
    (i) Another corresponding non-exempt configuration(s) receive(s) 
coverage under the Certificate; or
    (ii) Suspension of the Certificate as it applies to the 
corresponding non-exempt configuration(s) is terminated; or
    (iii) The Agency's action(s), with respect to suspension, 
revocation, voiding, or withdrawal of the Certificate as it applies to 
the corresponding non-exempt configuration(s), is reversed.
    (3) The sale of a vehicle for principal use at a designated high-
altitude location that has been exempted as set forth in paragraph (h) 
of this section will be considered a violation of section 203(a)(1) of 
the Clean Air Act.
    (i)(1) The manufacturers may exempt 1994 and later model year 
vehicles from compliance at low altitude with the emission standards set 
forth in paragraph (a) of this section and Sec. 86.090-8 (b) if the 
vehicles:
    (i) Are not intended for sale at low altitude; and
    (ii) Are equipped with a unique, high-altitude axle ratio (rear-
wheel drive vehicles) or a unique, high-altitude drivetrain (front-wheel 
drive vehicles) with a higher N/V ratio than other configurations of 
that model type which are certified in compliance with the emission 
standards of paragraph (a) of this section and Sec. 86.090-8 (b) under 
low-altitude conditions.
    (2) The sale of a vehicle for principal use at low altitude that has 
been exempted as set forth in paragraph (i)(1) of this section will be 
considered a violation of section 203(a)(1) of the Clean Air Act.
    (j) Any exempted light-duty vehicle that a manufacturer wishes to 
certify for sale under the provisions of Sec. 86.090-8 (h) or paragraph 
(i) of this section is subject to the provisions of subpart Q of this 
part.
    (k) Cold Temperature Carbon Monoxide (CO) Standards. (1) For 
gasoline-fueled light-duty vehicles, a minimum of the percentage shown 
in table A94-16 of a manufacturer's sales of the applicable model year's 
light-duty vehicles shall not exceed the applicable cold temperature CO 
standard of 10.0 grams per mile for an intermediate useful life of 
50,000 miles, as measured and calculated under the provisions set forth 
in subpart C of this part. This standard applies under both low and high 
altitude conditions. At the manufacturer's option, the manufacturer may 
combine the sales of gasoline-fueled light-duty vehicles and gasoline-
fueled light-duty trucks in determining compliance with the required 
1994 and 1995 model year phase-in percentages as included in table A94-
16.

[[Page 231]]

    (2)(i) Sales percentages for the purposes of determining compliance 
with paragraph (k)(1) of this section shall be based on total actual 
and, at the manufacturer's option, combined U.S. sales of light-duty 
vehicles, light light-duty trucks, and heavy light-duty trucks of the 
applicable model year by a manufacturer to a dealer, distributor, fleet 
operator, broker, or any other entity which comprises the point of first 
sale.
    (ii) The manufacturer may petition the Administrator to allow actual 
volume produced for U.S. sales to be used in lieu of actual U.S. sales 
for purposes of determining compliance with the implementation schedule 
sales percentages of table A94-16. Such petition shall be submitted 
within 30 days of the end of the model year the Manufacturers 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.
    (iii) The manufacturer may count towards the sales percentages those 
light-duty vehicles, light light-duty trucks, and heavy light-duty 
trucks of the applicable model year sold in the state of California or 
in jurisdictions which have adopted the California emission standards 
under section 177 of the Clean Air Act if those light-duty vehicles, 
light light-duty trucks, and heavy light-duty trucks certified have been 
to meet the federally mandated cold CO standards. If this option is 
taken, all light-duty vehicles, light light-duty trucks, and heavy 
light-duty trucks sold in California and such jurisdictions shall be 
counted toward the total upon which the sales percentage is based. If 
this option is not taken, light-duty vehicles, light light-duty trucks, 
and heavy light-duty trucks sold in California or such jurisdictions are 
to be excluded from counting toward either the total upon which the 
sales percentage is based or the sales percentage itself.
    (iv) Small volume manufacturers, as defined in Sec. 86.092-14(b) (1) 
and (2), are exempt from the implementation schedules of table A94-16 
for model years 1994 and 1995. This exemption does not apply to small 
volume engine families as defined in Sec. 86.092-14(b)(5).
    (v) The manufacturer must state at the time of applying for the 
Certificate, based on projected U.S. sales or projected production for 
U.S. sale, which engine families will be used to attain the required 
implementation schedule sales percentages.

[56 FR 25740, June 5, 1991, as amended at 57 FR 31898, July 17, 1992; 59 
FR 48494, Sept. 21, 1994; 62 FR 47120, Sept. 5, 1997]



Sec. 86.094-9  Emission standards for 1994 and later model year light-duty trucks.

    (a)(1) Standards--(i) Light light-duty trucks. Exhaust emission from 
1994 and later model year light light-duty trucks shall meet all 
standards in Tables A94-8, A94-9, A94-11 and A94-12 in the rows 
designated with the applicable fuel type and loaded vehicle weight, 
according to the implementation schedule in Tables A94-7 and A94-10 as 
follows (optional for 1994 through 1996 model year gaseous-fueled light 
light-duty trucks):
    (A)(1)(i) A minimum of the percentage shown in table A94-7 of a 
manufacturer's sales of the applicable model year's light light-duty 
trucks shall not exceed the applicable Tier 1 standards in table A94-8 
and shall not exceed the applicable Tier 1 standards in table A94-9. The 
remaining vehicles shall not exceed the applicable Tier 0 standards in 
table A94-9.
    (ii) Optionally, a minimum of the percentage shown in table A94-7 of 
a manufacturer's combined sales of the applicable model year's light-
duty vehicles and light light-duty trucks shall not exceed the 
applicable Tier 1 standards. Under this option, the light-duty vehicles 
shall not exceed the applicable Tier 1 standards in table A94-2 of 
Sec. 86.094-8 and shall not exceed the applicable Tier 1 standards in 
table A94-3 of Sec. 86.094-8. Further, the light light-duty trucks shall 
not exceed the applicable Tier 1 standards in table A94-8 and shall not 
exceed the applicable Tier 1 standards of table A94-9. The remaining 
percentage of the manufacturer's combined sales of the applicable model 
year's light-duty vehicles and light light-duty trucks shall not exceed 
the corresponding Tier 0 standards.

[[Page 232]]

    (2) A minimum of the percentage shown in table A94-10 of a 
manufacturer's sales of the applicable model year's light light-duty 
trucks shall not exceed the applicable Tier 1 standards in table A94-11 
and shall not exceed the applicable Tier 1 standards in table A94-12. 
The remaining vehicles shall not exceed the applicable Tier 0 standards 
in table A94-12.

  Table A94-7--Implementation Schedule for Light Light-Duty Trucks for
                            HCs, CO, and NOX
------------------------------------------------------------------------
                                                                Tier 1
                         Model year                           percentage
------------------------------------------------------------------------
1994.......................................................           40
1995.......................................................           80
After 1995.................................................          100
------------------------------------------------------------------------


                         Table A94-8--Intermediate Useful Life Standards (g/mi) for Light Light-Duty Trucks for HCs, CO and NOX
--------------------------------------------------------------------------------------------------------------------------------------------------------
                    Fuel                       LVW (lbs)            Standards              THC        NMHC       THCE      NMHCE        CO        NOX
--------------------------------------------------------------------------------------------------------------------------------------------------------
Gasoline...................................  0-3750        Tier 0.....................  .........  .........  .........  .........  .........  .........
Gasoline...................................  0-3750        Tier 1.....................  .........       0.25  .........  .........        3.4        0.4
Gasoline...................................  3751-5750     Tier 0.....................  .........  .........  .........  .........  .........  .........
Gasoline...................................  3751-5750     Tier 1.....................  .........       0.32  .........  .........        4.4        0.7
Diesel.....................................  0-3750        Tier 0.....................  .........  .........  .........  .........  .........  .........
Diesel.....................................  0-3750        Tier 1.....................  .........       0.25  .........  .........        3.4        1.0
Diesel.....................................  3751-5750     Tier 0.....................  .........  .........  .........  .........  .........  .........
Diesel.....................................  3751-5750     Tier 1.....................  .........       0.32  .........  .........        4.4  .........
Methanol...................................  0-3750        Tier 0.....................  .........  .........  .........  .........  .........  .........
Methanol...................................  0-3750        Tier 1.....................  .........  .........  .........       0.25        3.4        0.4
Methanol...................................  3751-5750     Tier 0.....................  .........  .........  .........  .........  .........  .........
Methanol...................................  3751-5750     Tier 1.....................  .........  .........  .........       0.32        4.4        0.7
Natural Gas................................  0-3750        Tier 0.....................  .........  .........  .........  .........  .........  .........
Natural Gas................................  0-3750        Tier 1.....................  .........       0.25  .........  .........        3.4        0.4
Natural Gas................................  3751-5750     Tier 0.....................  .........  .........  .........  .........  .........  .........
Natural Gas................................  3751-5750     Tier 1.....................  .........       0.32  .........  .........        4.4        0.7
LPG........................................  0-3750        Tier 0.....................  .........  .........  .........  .........  .........  .........
LPG........................................  0-3750        Tier 1.....................  .........       0.25  .........  .........        3.4        0.4
LPG........................................  3751-5750     Tier 0.....................  .........  .........  .........  .........  .........  .........
LPG........................................  3751-5750     Tier 1.....................  .........       0.32  .........  .........        4.4        0.7
--------------------------------------------------------------------------------------------------------------------------------------------------------


                             Table A94-9--Full Useful Life Standards (g/mi) for Light Light-Duty Trucks for HCs, CO and NOX
--------------------------------------------------------------------------------------------------------------------------------------------------------
                     Fuel                         LVW (lbs)            Standards             THC1       NMHC      THCE1      NMHCE       CO        NOX
--------------------------------------------------------------------------------------------------------------------------------------------------------
Gasoline......................................  0-3750        Tier 0....................       0.80  .........  .........  .........     10         1.2
Gasoline......................................  0-3750        Tier 1....................       0.80       0.31  .........  .........      4.2       0.6
Gasoline......................................  3751-5750     Tier 0....................       0.80  .........  .........  .........     10         1.7
Gasoline......................................  3751-5750     Tier 1....................       0.80       0.40  .........  .........      5.5       0.97
Diesel........................................  0-3750        Tier 0....................       0.80  .........  .........  .........     10         1.2
Diesel........................................  0-3750        Tier 1....................       0.80       0.31  .........  .........      4.2       1.25
Diesel........................................  3751-5750     Tier 0....................       0.80  .........  .........  .........     10         1.7
Diesel........................................  3751-5750     Tier 1....................       0.80       0.40  .........  .........      5.5       0.97
Methanol......................................  0-3750        Tier 0....................  .........  .........       0.80  .........     10         1.2
Methanol......................................  0-3750        Tier 1....................  .........  .........       0.80       0.31      4.2       0.6
Methanol......................................  3751-5750     Tier 0....................  .........  .........       0.80  .........     10         1.7
Methanol......................................  3751-5750     Tier 1....................  .........  .........       0.80       0.40      5.5       0.97
Natural Gas...................................  0-3750        Tier 0....................  .........       0.67  .........  .........     10         1.2
Natural Gas...................................  0-3750        Tier 1....................  .........       0.31  .........  .........      4.2       0.6
Natural Gas...................................  3751-5750     Tier 0....................  .........       0.67  .........  .........     10         1.7
Natural Gas...................................  3751-5750     Tier 1....................  .........       0.40  .........  .........      5.5       0.97
LPG...........................................  0-3750        Tier 0....................       0.80  .........  .........  .........     10         1.2
LPG...........................................  0-3750        Tier 1....................       0.80       0.31  .........  .........      4.2       0.6
LPG...........................................  3751-5750     Tier 0....................       0.80  .........  .........  .........     10         1.7
LPG...........................................  3751-5750     Tier 1....................       0.80       0.40  .........  .........      5.5       0.97
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Full useful life is 11 years or 120,000 miles, whichever occurs first.


[[Page 233]]


Table A94-10--Implementation Schedule for Light Light-Duty Trucks for PM
------------------------------------------------------------------------
                                                                Tier 1
                         Model year                           Percentage
------------------------------------------------------------------------
1994.......................................................            0
1995.......................................................           40
1996.......................................................           80
After 1996.................................................          100
------------------------------------------------------------------------


Table A94-11--Intermediate Useful Life Standards (g/mi) for Light Light-
                           Duty Trucks for PM
------------------------------------------------------------------------
             Fuel                 LVW (lbs)      Standards         PM
------------------------------------------------------------------------
Gasoline......................  0-3750        Tier 0.........  .........
Gasoline......................  0-3750        Tier 1.........       0.08
Gasoline......................  3751-5750     Tier 0.........  .........
Gasoline......................  3751-5750     Tier 1.........       0.08
Diesel........................  0-3750        Tier 0.........  .........
Diesel........................  0-3750        Tier 1.........       0.08
Diesel........................  3751-5750     Tier 0.........  .........
Diesel........................  3751-5750     Tier 1.........       0.08
Methanol......................  0-3750        Tier 0.........  .........
Methanol......................  0-3750        Tier 1.........       0.08
Methanol......................  3751-5750     Tier 0.........  .........
Methanol......................  3751-5750     Tier 1.........       0.08
Natural Gas...................  0-3750        Tier 0.........  .........
Natural Gas...................  0-3750        Tier 1.........       0.08
Natural Gas...................  3751-5750     Tier 0.........  .........
Natural Gas...................  3751-5750     Tier 1.........       0.08
LPG...........................  0-3750        Tier 0.........  .........
LPG...........................  0-3750        Tier 1.........       0.08
LPG...........................  3751-5750     Tier 0.........  .........
LPG...........................  3751-5750     Tier 1.........       0.08
------------------------------------------------------------------------


  Table A94-12--Full Useful Life Standards (g/mi) for Light Light-Duty
                              Trucks for PM
------------------------------------------------------------------------
             Fuel                 LVW (lbs)      Standards         PM
------------------------------------------------------------------------
Gasoline......................  0-3750        Tier 0.........  .........
Gasoline......................  0-3750        Tier 1.........       0.10
Gasoline......................  3751-5750     Tier 0.........  .........
Gasoline......................  3751-5750     Tier 1.........       0.10
Diesel........................  0-3750        Tier 0.........       0.26
Diesel........................  0-3750        Tier 1.........       0.10
Diesel........................  3751-5750     Tier 0.........       0.13
Diesel........................  3751-5750     Tier 1.........       0.10
Methanol......................  0-3750        Tier 0.........   \1\ 0.26
Methanol......................  0-3750        Tier 1.........       0.10
Methanol......................  3751-5750     Tier 0.........   \1\ 0.13
Methanol......................  3751-5750     Tier 1.........       0.10
Natural Gas...................  0-3750        Tier 0.........   \1\ 0.26
Natural Gas...................  0-3750        Tier 1.........       0.10
Natural Gas...................  3751-5750     Tier 0.........   \1\ 0.13
Natural Gas...................  3751-5750     Tier 1.........       0.10
LPG...........................  0-3750        Tier 0.........   \1\ 0.26
LPG...........................  0-3750        Tier 1.........       0.10
LPG...........................  3751-5750     Tier 0.........   \1\ 0.13
LPG...........................  3751-5750     Tier 1.........       0.10
------------------------------------------------------------------------
\1\ Applicable only to diesel-cycle vehicles.

    (B)(1)(i) Sales percentages for the purposes of determining 
compliance with paragraph (a)(1)(i)(A) of this section shall be based on 
total actual U.S. sales of light light-duty trucks of the applicable 
model year by a manufacturer to a dealer, distributor, fleet operator, 
broker, or any other entity which comprises the point of first sale. If 
the option of paragraph (a)(1)(i)(A)(1)(ii) of this section is taken, 
such sales percentages shall be based on the total actual combined U.S. 
sales of light-duty vehicles and

[[Page 234]]

light light-duty trucks of the applicable model year by a manufacturer 
to a dealer, distributor, fleet operator, broker, or any other entity 
which comprises the point of first sale.
    (ii) The manufacturer may petition the Administrator to allow actual 
volume produced for U.S. sales to be used in lieu of actual U.S. sales 
for purposes of determining compliance with the implementation schedule 
sales percentages of tables A94-7 and A94-10 of this section. Such 
petition shall be submitted within 30 days of the end of the model year 
to the Manufacturers Operations Division. For the petition to be 
granted, the manufacturer must establish to the satisfaction of the 
Administrator that actual production volume is functionally equivalent 
to actual sales volume.
    (iii) The manufacturer may count toward the sales percentages light 
light-duty trucks of the applicable model year that meet certain 
standards for that same model year contained in Title 13, ``California 
Code of Regulations, Section 1960.1, and the incorporated California 
Exhaust Emission Standards and Test Procedures for 1988 and Subsequent 
Model Passenger Cars, Light-Duty Trucks, and Medium-Duty Vehicles.'' 
(Copies may be obtained from Barclays Law Publishers, P.O. Box 3066, San 
Francisco, CA 94080.) The relevant standards from that source are those 
that are designated as phase-in standards for selected pollutants and 
were first applied in the 1993 model year, as well as those for all 
remaining pollutants that require compliance at the one hundred percent 
level. If this option is taken, all light light-duty trucks sold in 
jurisdictions adopting such standards shall be counted toward the total 
upon which the sales percentage is based. If this option is not taken, 
light light-duty trucks sold in such jurisdictions are to be excluded 
from counting toward either the total upon which the sales percentage is 
based or the sales percentage itself.
    (iv) Small volume manufacturers, as defined in Sec. 86.092-14(b) (1) 
and (2), are exempt from the implementation schedules of table A94-7 of 
this section for model years 1994 and 1995 and from the implementation 
schedules of table A94-10 of this section for model years 1995 and 1996. 
For small volume manufacturers, the Tier 0 standards of table A94-9 
continue to apply until model year 1996, and the Tier 0 standards of 
table A94-12 continue to apply until model year 1997, when one hundred 
percent compliance with the Tier 1 standards of tables A94-8, A94-9, 
A94-11, and A94-12 is required. This exemption does not apply to small 
volume engine families as defined in Sec. 86.092-14(b)(5).
    (2)(i)Where the required implementation schedule sales percentages 
for in-use purposes, as prescribed in subpart H of this part, are the 
same in a given model year as the required implementation schedule sales 
percentages for certification purposes, as prescribed in this section, 
the same engine families must comprise the respective percentages.
    (ii) Where the required implementation schedule sales percentages 
for in-use purposes differ from implementation schedule sales 
percentages for certification purposes in a particular model year, the 
manufacturer must designate, at the time of Application for 
Certification, which families will meet each applicable in-use phase-in 
percentage.
    (3) The manufacturer must state at the time of Application for 
Certification, based on projected U.S. sales or projected production for 
U.S. sale, which families will be used to attain the required 
implementation schedule sales percentages for certification purposes.
    (4) A manufacturer can not use one set of engine families to meet 
its intermediate useful life standards and another to meet its full 
useful life standards. The same families which are used to meet the 
intermediate useful life standards will be required without deviation to 
meet the corresponding full useful life standards.
    (ii) Heavy light-duty trucks. Exhaust emissions from 1994 and later 
model year heavy light-duty trucks shall meet all standards in Tables 
A94-14 and A94-15 in the rows designated with the applicable fuel type 
and loaded vehicle weight or adjusted loaded vehicle weight, as 
applicable, according to the implementation schedule in Table A94-13, as 
follows (optional for 1994 through

[[Page 235]]

1996 model year gaseous-fueled heavy light-duty trucks):
    (A) A minimum of the percentage shown in table A94-13 of a 
manufacturer's sales of the applicable model year's heavy light-duty 
trucks shall not exceed the applicable Tier 1 standards in table A94-14 
and shall not exceed the applicable Tier 1 standards in table A94-15. 
The remaining vehicles shall not exceed the applicable Tier 0 standards 
in table A94-15.

  Table A94-13--Implementation Schedule for Heavy Light-Duty Trucks for
                           HCs, CO, NOX and PM
------------------------------------------------------------------------
                                                                Tier 1
                         Model year                           percentage
------------------------------------------------------------------------
1994.......................................................            0
1995.......................................................            0
1996.......................................................           50
after 1996.................................................          100
------------------------------------------------------------------------


                       Table A94-14--Intermediate Useful Life Standards (g/mi) for Heavy Light-Duty Trucks for HCs, CO, NOX and PM
--------------------------------------------------------------------------------------------------------------------------------------------------------
                      Fuel                        ALVW (lbs)             Standards               THC      NMHC     THCE    NMHCE     CO    NOX      PM
--------------------------------------------------------------------------------------------------------------------------------------------------------
Gasoline........................................   3751-5750  Tier 0.........................  .......  .......  .......  .......  .....  .....  .......
Gasoline........................................   3751-5750  Tier 1.........................  .......     0.32  .......  .......    4.4    0.7  .......
Gasoline........................................      > 5750  Tier 0.........................  .......  .......  .......  .......  .....  .....  .......
Gasoline........................................      > 5750  Tier 1.........................  .......     0.39  .......  .......    5.0    1.1  .......
Diesel..........................................   3751-5750  Tier 0.........................  .......  .......  .......  .......  .....  .....  .......
Diesel..........................................   3751-5750  Tier 1.........................  .......     0.32  .......  .......    4.4  .....  .......
Diesel..........................................      > 5750  Tier 0.........................  .......  .......  .......  .......  .....  .....  .......
Diesel..........................................      > 5750  Tier 1.........................  .......     0.39  .......  .......    5.0  .....  .......
Methanol........................................   3751-5750  Tier 0.........................  .......  .......  .......  .......  .....  .....  .......
Methanol........................................   3751-5750  Tier 1.........................  .......  .......  .......     0.32    4.4    0.7  .......
Methanol........................................      > 5750  Tier 0.........................  .......  .......  .......  .......  .....  .....  .......
Methanol........................................      > 5750  Tier 1.........................  .......  .......  .......     0.39    5.0    1.1  .......
Natural Gas.....................................   3751-5750  Tier 0.........................  .......  .......  .......  .......  .....  .....  .......
Natural Gas.....................................   3751-5750  Tier 1.........................  .......     0.32  .......  .......    4.4    0.7  .......
Natural Gas.....................................      > 5750  Tier 0.........................  .......  .......  .......  .......  .....  .....  .......
Natural Gas.....................................      > 5750  Tier 1.........................  .......     0.39  .......  .......    5.0    1.1  .......
LPG.............................................   3751-5750  Tier 0.........................  .......  .......  .......  .......  .....  .....  .......
LPG.............................................   3751-5750  Tier 1.........................  .......     0.32  .......  .......    4.4    0.7  .......
LPG.............................................      > 5750  Tier 0.........................  .......  .......  .......  .......  .....  .....  .......
LPG.............................................      > 5750  Tier 1.........................  .......     0.39  .......  .......    5.0    1.1  .......
--------------------------------------------------------------------------------------------------------------------------------------------------------


                           Table A94-15--Full Useful Life Standards (g/mi) for Heavy Light-Duty Trucks for HCs, CO, NOX and PM
--------------------------------------------------------------------------------------------------------------------------------------------------------
                   Fuel                     LVW (lbs)  ALVW (lbs)          Standards           THC      NMHC     THCE     NMHCE      CO    NOX      PM
--------------------------------------------------------------------------------------------------------------------------------------------------------
Gasoline..................................     0-3750  ..........  Tier 0..................     0.80  .......  .......  .........     10    1.2  .......
Gasoline..................................      >3750  ..........  Tier 0..................     0.80  .......  .......  .........     10    1.7  .......
Gasoline..................................  .........   3751-5750  Tier 1..................     0.80     0.46  .......  .........    6.4   0.98     0.10
Gasoline..................................  .........       >5750  Tier 1..................     0.80     0.56  .......  .........    7.3   1.53     0.12
Diesel....................................     0-3750  ..........  Tier 0..................     0.80  .......  .......  .........     10   1.20     0.26
Diesel....................................      >3750  ..........  Tier 0..................     0.80  .......  .......  .........     10    1.7     0.13
Diesel....................................  .........   3751-5750  Tier 1..................     0.80     0.46  .......  .........    6.4   0.98     0.10
Diesel....................................  .........       >5750  Tier 1..................     0.80     0.56  .......  .........    7.3   1.53     0.12
Methanol..................................     0-3750  ..........  Tier 0..................  .......  .......     0.80  .........     10    1.2  \1\ 0.2
                                                                                                                                                       6
Methanol..................................      >3750  ..........  Tier 0..................  .......  .......     0.80  .........     10    1.7  \1\ 0.1
                                                                                                                                                       3
Methanol..................................  .........   3751-5750  Tier 1..................  .......  .......     0.80       0.46    6.4   0.98     0.10
Methanol..................................  .........       >5750  Tier 1..................  .......  .......     0.80       0.56    7.3   1.53     0.12
Natural Gas...............................     0-3750  ..........  Tier 0..................  .......     0.67  .......  .........     10    1.2  \1\ 0.2
                                                                                                                                                       6
Natural Gas...............................      >3750  ..........  Tier 0..................  .......     0.67  .......  .........     10    1.7  \1\ 0.1
                                                                                                                                                       3
Natural Gas...............................  .........   3751-5750  Tier 1..................  .......     0.46  .......  .........    6.4   0.98     0.10
Natural Gas...............................  .........       >5750  Tier 1..................  .......     0.56  .......  .........    7.3   1.53     0.12
LPG.......................................     0-3750  ..........  Tier 0..................     0.80  .......  .......  .........     10    1.2  \1\ 0.2
                                                                                                                                                       6
LPG.......................................      >3750  ..........  Tier 0..................     0.80  .......  .......  .........     10    1.7  \1\ 0.1
                                                                                                                                                       3
LPG.......................................  .........   3751-5750  Tier 1..................     0.80     0.46  .......  .........    6.4   0.98     0.10
LPG.......................................  .........       >5750  Tier 1..................     0.80     0.56  .......  .........    7.3   1.53     0.12
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Applicable only to diesel-cycle vehicles.


[[Page 236]]

    (B)(1)(i) Sales percentages for the purposes of determining 
compliance with paragraph (a)(1)(ii)(A) of this section shall be based 
on total actual U.S. sales of heavy light-duty trucks of the applicable 
model year by a manufacturer to a dealer, distributor, fleet operator, 
broker, or any other entity which comprises the point of first sale.
    (ii) 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 
for purposes of determining compliance with the implementation schedule 
sales percentages of table A94-13 of this section. Such petition shall 
be submitted within 30 days of the end of the model year to the 
Manufacturers Operations Division. For the petition to be granted, the 
manufacturer must establish to the satisfaction of the Administrator 
that actual production volume is functionally equivalent to actual sales 
volume.
    (iii) The manufacturer may count toward the sales percentages heavy 
light-duty trucks of the applicable model year that meet certain 
standards for that same model year contained in Title 13, California 
Code of Regulations, Section 1960.1, and the incorporated ``California 
Exhaust Emission Standards and Test Procedures for 1988 and Subsequent 
Model Passenger Cars, Light-Duty Trucks, and Medium-Duty Vehicles.'' The 
relevant standards from that source are those that are designated as 
phase-in standards for selected pollutants and were first applied in the 
1995 model year, as well as those for all remaining pollutants that 
require compliance at the one hundred percent level. If this option is 
taken, all heavy light-duty trucks sold in jurisdictions adopting such 
standards shall be counted toward the total upon which the sales 
percentage is based. If this option is not taken, heavy light-duty 
trucks sold in such jurisdictions are to be excluded from counting 
toward either the total upon which the sales percentage is based or the 
sales percentage itself.
    (iv) Small volume manufacturers, as defined in Sec. 86.092-14(b) (1) 
and (2), are exempt from the implementation schedule of table A94-13 of 
this section for model year 1996. For small volume manufacturers, the 
Tier 0 standards of table A94-15 continue to apply until model year 
1997, when one hundred percent compliance with the Tier 1 standards of 
tables A94-14 and A94-15 is required. This exemption does not apply to 
small volume engine families as defined in Sec. 86.092-14(b)(5).
    (2)(i) Where the required implementation schedule sales percentages 
for in-use purposes, as prescribed in subpart H of this part, are the 
same in a given model year as the required implementation schedule sales 
percentages for certification purposes, as prescribed in this section, 
the same engine families must comprise the respective percentages.
    (ii) Where the required implementation schedule sales percentages 
for in-use purposes differ from implementation schedule sales 
percentages for certification purposes in a particular model year, the 
manufacturer must designate, at the time of Application for 
Certification, which families will meet each applicable in-use phase-in 
percentage.
    (3) The manufacturer must state at the time of Application for 
Certification, based on projected U.S. sales or projected production for 
U.S. sale, which families will be used to attain the required 
implementation schedule sales percentages for certification purposes.
    (4) A manufacturer cannot use one set of engine families to meet its 
intermediate useful life standards and another to meet its full useful 
life standards. The same families which are used to meet the 
intermediate useful life standards will be required without deviation to 
meet the corresponding full useful life standards.
    (iii) Exhaust emissions of carbon monoxide from 1994 and later model 
year light-duty trucks shall not exceed 0.50 percent of exhaust gas flow 
at curb idle at a useful life of 11 years or 120,000 miles, whichever 
first occurs (for Otto-cycle, and methanol-and gaseous-fueled diesel 
light-duty trucks only--optional for 1994 through 1996 model year 
gaseous-fueled light-duty trucks).
    (iv)(A) A manufacturer may elect to include all or some of its 
light-duty truck engine families subject to the Tier 0 standards in the 
NOX averaging program, provided that it does not

[[Page 237]]

elect to pay an NCP for noncompliance with any emission standard 
applicable to that light-duty truck family. Trucks produced for sale in 
California or in designated high-altitude areas may be averaged only 
within each of those areas. Petroleum-fueled and methanol-fueled engine 
families may not be averaged together. Otto-cycle and diesel engines 
families also may not be averaged together. If the manufacturer elects 
to participate in the NOX averaging program, individual 
family NOX emission limits may not exceed 2.3 grams per mile. 
If the manufacturer elects to average together NOX emissions 
of light-duty trucks subject to different standards based on GVWR and 
loaded vehicle weight, its composite NOX standard applies to 
the combined fleets of light-duty trucks of all weight categories 
included in the average, and is calculated as defined in Sec. 86.088-2.
    (B) A manufacturer may elect to include any diesel light-duty truck 
engine families subject to the Tier 0 standards in the appropriate 
particulate averaging program (petroleum or methanol), provided that it 
does not elect to pay an NCP for noncompliance with any emission 
standard applicable to that light-duty truck family. Trucks produced for 
sale in California or in designated high-altitude areas may be averaged 
only within each of those areas, and light-duty trucks greater than 
3,750 lbs loaded vehicle weight may be averaged only with other light-
duty trucks greater than 3,750 lbs loaded vehicle weight. Averaging is 
not permitted between fuel types. If the manufacturer elects to average 
both light-duty trucks 3,750 lbs loaded vehicle weight or less and 
light-duty vehicles together in the appropriate particulate averaging 
program, its composite particulate standard applies to the combined set 
of light-duty vehicles and light-duty trucks included in the average and 
is calculated as defined in Sec. 86.088-2.
    (2) The standards set forth in paragraphs (a)(1)(i) and (a)(1)(ii) 
of this section refer to the exhaust emitted over a driving schedule as 
set forth in subpart B of this part and measured and calculated in 
accordance with those procedures. The test weight basis for light light-
duty trucks, and for heavy light-duty trucks certified to the Tier 0 
standards of this section, for the purposes of determining equivalent 
test weight as prescribed in Sec. 86.129-94, shall be loaded vehicle 
weight. The test weight basis for heavy light-duty trucks certified to 
the Tier 1 standards of this section, for the purposes of determining 
equivalent test weight as prescribed in Sec. 86.129-94, shall be 
adjusted loaded vehicle weight. The standard set forth in paragraph 
(a)(1)(iii) of this section refers to the exhaust emitted at curb idle 
and measured and calculated in accordance with the procedures set forth 
in subpart P of this part.
    (b) Fuel evaporative emissions from 1994 and later model year light-
duty trucks shall not exceed:
    (1) Hydrocarbons (for gasoline-fueled light-duty trucks). 2.0 grams 
per test.
    (2) Total Hydrocarbon Equivalent (for methanol-fueled light-duty 
trucks). 2.0 grams per test.
    (3) The standards set forth in paragraphs (b) (1) and (2) of this 
section refer to a composite sample of the fuel evaporative emissions 
collected under the conditions set forth in subpart B of this part and 
measured in accordance with those procedures.
    (c) No crankcase emissions shall be discharged into the ambient 
atmosphere from any 1994 and later model year light-duty truck. This 
requirement is optional for 1994 through 1996 model year gaseous-fueled 
light-duty trucks.
    (d) The CO, NOX, and particulate standards set forth in 
paragraphs (d)(1)(ii)(A), (d)(1)(iii), and (d)(1)(iv) of this section, 
respectively, are applicable only to model year 1994 light-duty trucks 
certified to the Tier 0 standards of paragraphs (a)(1)(i) and (a)(1)(ii) 
of this section. The HC, THCE, and idle CO standards set forth in 
paragraphs (d)(1)(i)(A), (d)(1)(i)(B) and (d)(1)(ii)(B) of this section, 
respectively, are applicable only to model year 1994 light-duty trucks.
    (1) Model year 1994 light-duty trucks sold for principal use at a 
designated high-altitude location shall be capable of meeting the 
following exhaust emission standards when tested under high-altitude 
conditions:

[[Page 238]]

    (i)(A) Hydrocarbons (for Otto-cycle and diesel light-duty trucks 
when fueled with petroleum fuel and/or liquefied petroleum gas). 1.0 
grams per vehicle mile (0.62 grams per vehicle kilometer).
    (B) Total Hydrocarbon Equivalent (for methanol-fueled Otto-cycle and 
diesel light-duty trucks). 1.0 gram per vehicle mile (0.62 gram per 
vehicle kilometer).
    (C) Nonmethane hydrocarbons (for Otto-cycle and diesel light-duty 
trucks when fueled with natural gas). 0.83 gram per vehicle mile (0.52 
gram per vehicle kilometer).
    (ii) Carbon Monoxide. (A) 14 grams per vehicle mile (8.7 grams per 
vehicle kilometer).
    (B) 0.50 percent of exhaust gas flow at curb idle (for Otto-cycle 
and methanol-fueled diesel light-duty trucks only).
    (iii) Oxides of Nitrogen. (A) For light-duty trucks up to and 
including 3,750 lbs. loaded vehicle weight, 1.2 grams per vehicle mile 
(0.75 grams per vehicle kilometer).
    (B) For light-duty trucks 3,751 lbs. and greater loaded vehicle 
weight, 1.7 grams per vehicle mile (1.1 grams per vehicle kilometer).
    (iv) Particulate (for diesel light-duty trucks only). (A) For light-
duty trucks up to and including 3,750 lbs. loaded vehicle weight, 0.26 
gram per vehicle mile (0.16 gram per vehicle kilometer).
    (B) For light-duty trucks 3,751 lbs. and greater loaded vehicle 
weight, 0.13 gram per vehicle mile (0.08 gram per vehicle kilometer).
    (2) The standards set forth in paragraphs (d)(1)(i), (d)(1)(ii)(A), 
(d)(1)(iii), and (d)(1)(iv) of this section refer to the exhaust emitted 
over a driving schedule as set forth in subpart B of this part and 
measured and calculated in accordance with those procedures. The 
standard set forth in paragraph (d)(1)(ii)(B) of this section refers to 
the exhaust emitted at curb idle and measured and calculated in 
accordance with the procedures set forth in subpart P of this part.
    (e) Fuel evaporative emissions from 1994 model year light-duty 
trucks sold for principal use at a designated high-altitude location, 
when tested under high-altitude conditions, shall not exceed:
    (1) Hydrocarbons (for gasoline-fueled light-duty trucks). 2.6 grams 
per test.
    (2) Total Hydrocarbon Equivalent (for methanol-fueled light-duty 
trucks). 2.6 grams per test.
    (3) The standards set forth in paragraphs (e) (1) and (2) of this 
section refer to a composite sample of the fuel evaporative emissions 
collected under the conditions set forth in subpart B of this part and 
measured in accordance with those procedures.
    (f) No crankcase emissions shall be discharged into the ambient 
atmosphere from any 1994 model year light-duty trucks sold for principal 
use at a designated high-altitude location.
    (g)(1) Any model year 1994 light-duty truck that a manufacturer 
wishes to certify for sale at low altitude must be capable of meeting 
high-altitude emission standards (specified in paragraphs (d) through 
(f) of this section). The manufacturer may specify vehicle adjustments 
or modifications to allow the vehicle to meet high-altitude standards 
but these adjustments or modifications may not alter the vehicle's basic 
engine, inertia weight class, transmission configuration, and axle 
ratio.
    (i) A manufacturer may certify unique configurations to meet the 
high-altitude standards but is not required to certify these vehicle 
configurations to meet the low-altitude standards.
    (ii) Any adjustments or modifications that are recommended to be 
performed on vehicles to satisfy the requirements of paragraph (g)(1) of 
this section:
    (A) Shall be capable of being effectively performed by commercial 
repair facilities, and
    (B) Must be included in the manufacturer's application for 
certification.
    (2) Any model year 1995 and later light-duty truck and optionally 
model year 1994 light-duty truck that a manufacturer wishes to certify 
for sale shall meet the emission standards of paragraphs (a) through (c) 
of this section under both low- and high-altitude conditions as 
specified in Sec. 86.082-2, except as provided in paragraphs (h) and (i) 
of this section. Vehicles shall meet emission standards under both low- 
and high-altitude conditions without manual adjustments or 
modifications. Any emission control device used to meet emission 
standards under high-altitude

[[Page 239]]

conditions shall initially actuate (automatically) no higher than 4,000 
feet above sea level.
    (h) The manufacturer may exempt 1994 and later model year light-duty 
trucks from compliance at high altitude with the emission standards set 
forth in paragraphs (a) and (b) of this section, and may exempt 1994 
model year light-duty trucks from compliance with the high-altitude 
emission standards set forth in paragraphs (d) and (e) of this section, 
if the vehicles are not intended for sale at high altitude and if the 
requirements of paragraphs (h)(1) and (2) of this section are met.
    (1) A vehicle configuration shall only be considered eligible for 
exemption under paragraph (h) of this section if the requirements of any 
of paragraphs (h)(1) (i), (ii), (iii), or (iv) of this section are met.
    (i) Its design parameters (displacement-to-weight ratio (D/W) and 
engine speed-to-vehicle-speed ratio (N/V)) fall within the exempted 
range for that manufacturer for that year. The exempted range is 
determined according to the following procedure:
    (A) The manufacturer shall graphically display the D/W and N/V data 
of all vehicle configurations it will offer for the model year in 
question. The axis of the abscissa shall be D/W (where (D) is the engine 
displacement expressed in cubic centimeters and (W) is the gross vehicle 
weight (GVW) expressed in pounds), and the axis of the ordinate shall be 
N/V (where (N) is the crankshaft speed expressed in revolutions per 
minute and (V) is the vehicle speed expressed in miles per hour). At the 
manufacturer's option, either the 1:1 transmission gear ratio or the 
lowest numerical gear ratio available in the transmission will be used 
to determine N/V. The gear selection must be the same for all N/V data 
points on the manufacturer's graph. For each transmission/axle ratio 
combination, only the lowest N/V value shall be used in the graphical 
display.
    (B) The product line is then defined by the equation, N/V = C(D/
W)-0.9 where the constant, C, is determined by the 
requirement that all the vehicle data points either fall on the line or 
lie to the upper right of the line as displayed on the graphs.
    (C) The exemption line is then defined by the equation, N/V = C(0.84 
D/W)-0.9 where the constant, C, is the same as that found in 
paragraph (h)(1)(i)(B) of this section.
    (D) The exempted range includes all values of N/V and D/W which 
simultaneously fall to the lower left of the exemption line as drawn on 
the graph.
    (ii) Its design parameters fall within the alternate exempted range 
for that manufacturer that year. The alternate exempted range is 
determined by substituting rated horsepower (hp) for displacement (D) in 
the exemption procedure described in paragraph (h)(1)(i) of this section 
and by using the product line N/V = C(hp/W)-0.9.
    (A) Rated horsepower shall be determined by using the Society of 
Automotive Engineers Test Procedure J 1349 (copies may be obtained from 
SAE, 400 Commonwealth Dr., Warrendale, PA 15096), or any subsequent 
version of that test procedure. Any of the horsepower determinants 
within that test procedure may be used, as long as it is used 
consistently throughout the manufacturer's product line in any model 
year.
    (B) No exemptions will be allowed under paragraph (h)(1)(ii) of this 
section to any manufacturer that has exempted vehicle configurations as 
set forth in paragraph (h)(1)(i) of this section.
    (iii) Its acceleration time (the time it takes a vehicle to 
accelerate from 0 to a speed not less than 40 miles per hour and not 
greater than 50 miles per hour) under high-altitude conditions is 
greater than the largest acceleration time under low-altitude conditions 
for that manufacturer for that year. The procedure to be followed in 
making this determination is:
    (A) The manufacturer shall list the vehicle configuration and 
acceleration time under low-altitude conditions of that vehicle 
configuration which has the highest acceleration time under low-altitude 
conditions of all the vehicle configurations it will offer for the model 
year in question. The manufacturer shall also submit a description of 
the methodology used to make this determination.

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    (B) The manufacturer shall then list the vehicle configurations and 
acceleration times under high-altitude conditions of all those vehicle 
configurations which have higher acceleration times under high-altitude 
conditions than the highest acceleration time at low altitude identified 
in paragraph (h)(1)(iii)(A) of this section.
    (iv) In lieu of performing the test procedure of paragraph 
(h)(1)(iii) of this section, its acceleration time can be estimated 
based on the manufacturer's engineering evaluation, in accordance with 
good engineering practice, to meet the exemption criteria of paragraph 
(h)(1)(iii) of this section.
    (2) A vehicle shall only be considered eligible for exemption under 
this paragraph if at least one configuration of its model type (and 
transmission configuration in the case of vehicles equipped with manual 
transmissions, excluding differences due to the presence of overdrive) 
is certified to meet emission standards under high-altitude conditions 
as specified in paragraphs (a) through (g) of this section. The 
Certificate of Conformity (the Certificate) covering any exempted 
configuration(s) will also apply to the corresponding non-exempt 
configuration(s) required under this subparagraph. As a condition to the 
exemption, any suspension, revocation, voiding, or withdrawal of the 
Certificate as it applies to a non-exempt configuration for any reason 
will result in a suspension of the Certificate as it applies to the 
corresponding exempted configuration(s) of that model type, unless there 
is at least one other corresponding non-exempt configuration of the same 
model type still covered by the Certificate. The suspension of the 
Certificate as it applies to the exempted configuration(s) will be 
terminated when any one of the following occurs:
    (i) Another corresponding non-exempt configuration(s) receive(s) 
coverage under the Certificate; or
    (ii) Suspension of the Certificate as it applies to the 
corresponding non-exempt configuration(s) is terminated; or
    (iii) The Agency's action(s), with respect to suspension, 
revocation, voiding or withdrawal of the Certificate as it applies to 
the corresponding non-exempt configuration(s), is reversed.
    (3) The sale of a vehicle for principal use at a designated high-
altitude location that has been exempted as set forth in paragraph 
(h)(1) of this section will be considered a violation of section 
203(a)(1) of the Clean Air Act.
    (i)(1) The manufacturers may exempt 1994 and later model year light-
duty trucks from compliance at low altitude with the emission standards 
set forth in paragraphs (a) and (b) of this section if the vehicles:
    (i) Are not intended for sale at low altitude; and
    (ii) Are equipped with a unique, high-altitude axle ratio (rear-
wheel drive vehicles) or a unique, high-altitude drivetrain (front-wheel 
drive vehicles) with a higher N/V ratio than other configurations of 
that model type which are certified in compliance with the emission 
standards of paragraphs (a) and (b) of this section under low-altitude 
conditions.
    (2) The sale of a vehicle for principal use at low altitude that has 
been exempted as set forth in paragraph (i)(1) of this section will be 
considered a violation of section 203(a)(1) of the Clean Air Act.
    (j) Any light-duty truck that a manufacturer wishes to certify for 
sale under the provisions of paragraphs (h) or (i) of this section is 
subject to the provisions of subpart Q of this part.
    (k) Cold Temperature Carbon Monoxide (CO) Standards--(1) Light 
light-duty trucks. Exhaust emissions from 1994 and later model year 
gasoline-fueled light light-duty trucks with a loaded vehicle weight of 
3,750 lbs or less shall meet a cold temperature CO standard of 10.0 
grams per mile and gasoline-fueled light light-duty trucks with a loaded 
vehicle weight of greater than 3,750 lbs shall meet a cold temperature 
CO standard of 12.5 grams per mile, both for an intermediate useful life 
of 50,000 miles and according to the implementation schedule in table 
A94-16. This standard applies under both high and low altitude 
conditions. At the manufacturer's option, the manufacturer may combine 
the sales of gasoline-fueled light-duty vehicles, light-duty trucks, and 
heavy light-duty trucks in determining compliance with the required 1994 
and 1995 model year phase-

[[Page 241]]

in percentages as included in table A94-16.

 Table A94-16--Implementation Schedule for Combined Sales of Light-duty
               Vehicles and Light-duty Trucks for Cold CO
------------------------------------------------------------------------
                                                                 Sales
                         Model year                           percentage
------------------------------------------------------------------------
1994........................................................         40
1995........................................................         80
After 1995..................................................        100
------------------------------------------------------------------------

    (2) Heavy light-duty trucks. Exhaust emissions from 1994 and later 
model year gasoline-fueled heavy light-duty trucks shall meet a cold 
temperature CO standard of 12.5 grams per mile for an intermediate 
useful life of 50,000 miles and according to the implementation schedule 
in table A94-16. This standard applies under both low and high altitude 
conditions. At the manufacturer's option, the manufacturer may combine 
the sales of gasoline-fueled light-duty vehicles, light light-duty 
trucks, and heavy light-duty trucks in determining compliance with the 
required 1994 and 1995 model year phase-in percentages as included in 
table A94-16.
    (3)(i) Sales percentages for the purposes of determining compliance 
with paragraphs (k)(1) and (k)(2) of this section shall be based on 
total actual and, at the manufacturer's option, combined U.S. sales of 
light-duty vehicles, light light-duty trucks, and heavy light-duty 
trucks of the applicable model year by a manufacturer to a dealer, 
distributor, fleet operator, broker, or any other entity which comprises 
the point of first sale.
    (ii) The manufacturer may petition the Administrator to allow actual 
volume produced for U.S. sales to be used in lieu of actual U.S. sales 
for purposes of determining compliance with the implementation schedule 
sales percentages of table A94-16. Such petition shall be submitted 
within 30 days of the end of the model year to the Manufacturers 
Operations Division. For the petition to be granted, the manufacturer 
must establish to the satisfaction of the Administrator that actual 
production volume is functionally equivalent to actual sales volume. 
Approval of the use of production data will be presumed unless otherwise 
notified by the Agency within 30 days of submittal of the petition.
    (iii) The manufacturer may count towards the sales percentages those 
light-duty vehicles, light light-duty trucks, and heavy light-duty 
trucks of the applicable model year sold in the state of C