[Title 40 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2011 Edition]
[From the U.S. Government Printing Office]



[[Page 1]]

          

          Title 40

Protection of Environment


________________________

Part 85 to Sec.  86.599-99

                         Revised as of July 1, 2011

          Containing a codification of documents of general 
          applicability and future effect

          As of July 1, 2011
                    Published by the Office of the Federal Register 
                    National Archives and Records Administration as a 
                    Special Edition of the Federal Register

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                            Table of Contents



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

  Title 40:
          Chapter I--Environmental Protection Agency 
          (Continued)                                                3
  Finding Aids:
      Table of CFR Titles and Chapters........................     735
      Alphabetical List of Agencies Appearing in the CFR......     755
      List of CFR Sections Affected...........................     765

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

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

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

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                               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, 2011), 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

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Register since the last revision of that volume of the Code. Source 
citations for the regulations are referred to by volume number and page 
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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 
April 1, 2001, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, 1973-1985, or 1986-2000, published in eleven separate 
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Sections Affected'' is published at the end of each CFR volume.

``[RESERVED]'' TERMINOLOGY

    The term ``[Reserved]'' is used as a place holder within the Code of 
Federal Regulations. An agency may add regulatory information at a 
``[Reserved]'' location at any time. Occasionally ``[Reserved]'' is used 
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not accidentally dropped due to a printing or computer error.

INCORPORATION BY REFERENCE

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established by statute and allows Federal agencies to meet the 
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to materials already published elsewhere. For an incorporation to be 
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This material, like any other properly issued regulation, has the force 
of law.
    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
the requirements of 1 CFR part 51 are met. Some of the elements on which 
approval is based are:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
process.
    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
    What if the material incorporated by reference cannot be found? If 
you have any problem locating or obtaining a copy of material listed as 
an approved incorporation by reference, please contact the agency that 
issued the regulation containing that incorporation. If, after 
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CFR INDEXES AND TABULAR GUIDES

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separate volume, revised annually as of January 1, entitled CFR Index 
and Finding Aids. This volume contains the Parallel Table of Authorities 
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    An index to the text of ``Title 3--The President'' is carried within 
that volume.

[[Page vii]]

    The Federal Register Index is issued monthly in cumulative form. 
This index is based on a consolidation of the ``Contents'' entries in 
the daily Federal Register.
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the revision dates of the 50 CFR titles.

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in the Code of Federal Regulations.

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    Raymond A. Mosley,
    Director,
    Office of the Federal Register.
    July 1, 2011.







[[Page ix]]



                               THIS TITLE

    Title 40--Protection of Environment is composed of thirty-three 
volumes. The parts in these volumes are arranged in the following order: 
Parts 1-49, parts 50-51, part 52 (52.01-52.1018), part 52 (52.1019-end 
of part 52), parts 53-59, part 60 (60.1-end of part 60, sections), part 
60 (Appendices), parts 61-62, part 63 (63.1-63.599), part 63 (63.600-
63.1199), part 63 (63.1200-63.1439), part 63 (63.1440-63.6175), part 63 
(63.6580-63.8830), part 63 (63.8980-end of part 63) parts 64-71, parts 
72-80, parts 81-84, part 85-Sec.  86.599-99, part 86 (86.600-1-end of 
part 86), parts 87-95, parts 96-99, parts 100-135, parts 136-149, parts 
150-189, parts 190-259, parts 260-265, parts 266-299, parts 300-399, 
parts 400-424, parts 425-699, parts 700-789, parts 790-999, and part 
1000 to end. The contents of these volumes represent all current 
regulations codified under this title of the CFR as of July 1, 2011.

    Chapter I--Environmental Protection Agency appears in all thirty-
three volumes. Regulations issued by the Council on Environmental 
Quality, including an Index to Parts 1500 through 1508, appear in the 
volume containing part 1000 to end. The OMB control numbers for title 40 
appear in Sec.  9.1 of this chapter.

    For this volume, Robert J. Sheehan, III was Chief Editor. The Code 
of Federal Regulations publication program is under the direction of 
Michael L. White, assisted by Ann Worley.

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                   TITLE 40--PROTECTION OF ENVIRONMENT




             (This book contains part 85 to Sec. 86.599-99)

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

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

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         CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY (CONTINUED)




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


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

                 SUBCHAPTER C--AIR PROGRAMS (CONTINUED)
Part                                                                Page
85              Control of air pollution from mobile sources           5
86              Control of emissions from new and in-use 
                    highway vehicles and engines............         155

[[Page 5]]



                  SUBCHAPTER C_AIR PROGRAMS (CONTINUED)


PART 85_CONTROL OF AIR POLLUTION FROM MOBILE SOURCES--Table of Contents



Subparts A-E [Reserved]

Subpart F_Exemption of Clean Alternative Fuel Conversions From Tampering 
                               Prohibition

Sec.
85.501 General applicability.
85.502 Definitions.
85.505 Overview.
85.510 Exemption provisions for new and relatively new vehicles/engines.
85.515 Exemption provisions for intermediate age vehicles/engines.
85.520 Exemption provisions for outside useful life vehicles/engines.
85.524 Legacy standards.
85.525 Applicable standards.
85.530 Vehicle/engine labels and packaging labels.
85.535 Liability, recordkeeping and end of year reporting.

Subparts G-N [Reserved]

                Subpart O_Urban Bus Rebuild Requirements

85.1401 General applicability.
85.1402 Definitions.
85.1403 Particulate standard for pre-1994 model year urban buses 
          effective at time of engine rebuild or engine replacement.
85.1404 Maintenance of records for urban bus operators; submittal of 
          information; right of entry.
85.1405 Applicability.
85.1406 Certification.
85.1407 Notification of intent to certify.
85.1408 Objections to certification.
85.1409 Warranty.
85.1410 Changes after certification.
85.1411 Labeling requirements.
85.1412 Maintenance and submittal of records for equipment certifiers.
85.1413 Decertification.
85.1414 Alternative test procedures.
85.1415 Treatment of confidential information.

    Subpart P_Importation of Motor Vehicles and Motor Vehicle Engines

85.1501 Applicability.
85.1502 Definitions.
85.1503 General requirements for importation of nonconforming vehicles 
          and engines.
85.1504 Conditional admission.
85.1505 Final admission of certified vehicles.
85.1506 Inspection and testing of imported motor vehicles and engines.
85.1507 Maintenance of certificate holder's records.
85.1508 ``In Use'' inspections and recall requirements.
85.1509 Final admission of modification and test vehicles.
85.1510 Maintenance instructions, warranties, emission labeling and fuel 
          economy requirements.
85.1511 Exemptions and exclusions.
85.1512 Admission of catalyst and O2 sensor-equipped 
          vehicles.
85.1513 Prohibited acts; penalties.
85.1514 Treatment of confidential information.
85.1515 Emission standards and test procedures applicable to imported 
          nonconforming motor vehicles and motor vehicle engines.

Subpart Q [Reserved]

 Subpart R_Exclusion and Exemption of Motor Vehicles and Motor Vehicle 
                                 Engines

85.1701 General applicability.
85.1702 Definitions.
85.1703 Definition of motor vehicle.
85.1704 Who may request an exemption.
85.1705 Testing exemption.
85.1706 Pre-certification exemption.
85.1707 Display exemption.
85.1708 National security exemption.
85.1709 Export exemptions.
85.1710 Granting of exemptions.
85.1711 Submission of exemption requests.
85.1712 Treatment of confidential information.
85.1713 Delegated-assembly exemption.
85.1714 Replacement-engine exemption.
85.1715 Aircraft meeting the definition of motor vehicle.

                      Subpart S_Recall Regulations

85.1801 Definitions.
85.1802 Notice to manufacturer of nonconformity; submission of Remedial 
          Plan.
85.1803 Remedial Plan.
85.1804 Approval of Plan: Implementation.
85.1805 Notification to vehicle or engine owners.
85.1806 Records and reports.
85.1807 Public hearings.
85.1808 Treatment of confidential information.

Appendix A to Subpart S--Interpretive Ruling for Sec. 85.1803--Remedial 
          Plans

[[Page 6]]

            Subpart T_Emission Defect Reporting Requirements

85.1901 Applicability.
85.1902 Definitions.
85.1903 Emissions defect information report.
85.1904 Voluntary emissions recall report; quarterly reports.
85.1905 Alternative report formats.
85.1906 Report filing: Record retention.
85.1907 Responsibility under other legal provisions preserved.
85.1908 Disclaimer of production warranty applicability.
85.1909 Treatment of confidential information.

Subpart U [Reserved]

Subpart V_Emissions Control System Performance Warranty Regulations and 
            Voluntary Aftermarket Part Certification Program

85.2101 General applicability.
85.2102 Definitions.
85.2103 Emission performance warranty.
85.2104 Owners' compliance with instructions for proper maintenance and 
          use.
85.2105 Aftermarket parts.
85.2106 Warranty claim procedures.
85.2107 Warranty remedy.
85.2108 Dealer certification.
85.2109 Inclusion of warranty provisions in owners' manuals and warranty 
          booklets.
85.2110 Submission of owners' manuals and warranty statements to EPA.
85.2111 Warranty enforcement.
85.2112 Applicability.
85.2113 Definitions.
85.2114 Basis of certification.
85.2115 Notification of intent to certify.
85.2116 Objections to certification.
85.2117 Warranty and dispute resolution.
85.2118 Changes after certification.
85.2119 Labeling requirements.
85.2120 Maintenance and submittal of records.
85.2121 Decertification.
85.2122 Emission-critical parameters.
85.2123 Treatment of confidential information.

Appendix I to Subpart V--Recommended Test Procedures and Test Criteria 
          and Recommended Durability Procedures To Demonstrate 
          Compliance With Emission Critical Parameters
Appendix II to Subpart V--Arbitration Rules

   Subpart W_Emission Control System Performance Warranty Short Tests

85.2201 Applicability.
85.2202 General provisions.
85.2203 Short test standards for 1981 and later model year light-duty 
          vehicles.
85.2204 Short test standards for 1981 and later model year light-duty 
          trucks.
85.2205-85.2206 [Reserved]
85.2207 On-board diagnostics test standards.
85.2208 Alternative standards and procedures.
85.2209 2500 rpm/idle test--EPA 81.
85.2210 Engine restart 2500 rpm/idle test--EPA 81.
85.2211 Engine restart idle test--EPA 81.
85.2212 Idle test--EPA 81.
85.2213 Idle test--EPA 91.
85.2214 Two speed idle test--EPA 81.
85.2215 Two speed idle test--EPA 91.
85.2216 Loaded test--EPA 81.
85.2217 Loaded test--EPA 91.
85.2218 Preconditioned idle test--EPA 91.
85.2219 Idle test with loaded preconditioning--EPA 91.
85.2220 Preconditioned two speed idle test--EPA 91.
85.2221 [Reserved]
85.2222 On-board diagnostic test procedures.
85.2223 On-board diagnostic test report.
85.2224 Exhaust analysis system--EPA 81.
85.2225 Steady state test exhaust analysis system--EPA 91.
85.2226-85.2228 [Reserved]
85.2229 Dynamometer--EPA 81.
85.2230 Steady state test dynamometer--EPA 91.
85.2231 On-board diagnostic test equipment requirements.
85.2232 Calibrations, adjustments--EPA 81.
85.2233 Steady state test equipment calibrations, adjustments, and 
          quality control--EPA 91.
85.2234-85.2236 [Reserved]
85.2237 Test report--EPA 81.
85.2238 Test report--EPA 91.

  Subpart X_Determination of Model Year for Motor Vehicles and Engines 
 Used in Motor Vehicles Under Section 177 and Part A of Title II of the 
                              Clean Air Act

85.2301 Applicability.
85.2302 Definition of model year.
85.2303 Duration of model year.
85.2304 Definition of production period.
85.2305 Duration and applicability of certificates of conformity.

   Subpart Y_Fees for the Motor Vehicle and Engine Compliance Program

85.2401 Assessment of fees.

Appendixes I-VII to Part 85 [Reserved]
Appendix VIII to Part 85--Vehicle and Engine Parameters and 
          Specifications

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

Subparts A-E [Reserved]

[[Page 7]]



Subpart F_Exemption of Clean Alternative Fuel Conversions From Tampering 
                               Prohibition

    Source: 76 FR 19866, Apr. 8, 2011, unless otherwise noted.



Sec. 85.501  General applicability.

    (a) This subpart describes the provisions related to an exemption 
from the tampering prohibition in Clean Air Act section 203(a) (42 
U.S.C. 7522(a)) for light-duty vehicles, light-duty trucks, medium-duty 
passenger vehicles, heavy-duty vehicles, and heavy-duty engines. This 
subpart F does not apply for highway motorcycles or for nonroad or 
stationary engines or equipment.
    (b) For purposes of this subpart, the term ``you'' generally means a 
clean alternative fuel conversion manufacturer, which may also be called 
``conversion manufacturer'' or ``converter''.



Sec. 85.502  Definitions.

    The definitions in this section apply to this subpart. All terms 
that are not defined in this subpart have the meaning given in 40 CFR 
part 86. All terms that are not defined in this subpart or in 40 CFR 
part 86 have the meaning given in the Clean Air Act. The definitions 
follow:
    Clean alternative fuel conversion (or ``fuel conversion'' or 
``conversion system'') means any alteration of a motor vehicle/engine, 
its fueling system, or the integration of these systems, that allows the 
vehicle/engine to operate on a fuel or power source different from the 
fuel or power source for which the vehicle/engine was originally 
certified; and that is designed, constructed, and applied consistent 
with good engineering judgment and in accordance with all applicable 
regulations. A clean alternative fuel conversion also means the 
components, design, and instructions to perform this alteration.
    Clean alternative fuel conversion manufacturer (or ``conversion 
manufacturer'' or ``converter'') means any person that manufactures, 
assembles, sells, imports, or installs a motor vehicle/engine fuel 
conversion for the purpose of use of a clean alternative fuel.
    Conversion model year means the clean alternative fuel conversion 
manufacturer's annual production period which includes January 1 of such 
calendar year. A specific model year may not include January 1 from the 
previous year or the following year. This is based on the expectation 
that production periods generally run on consistent schedules from year 
to year. Conversion model years may not circumvent or skip an annual 
production period. The term conversion model year means the calendar 
year if the converter does not have a different annual production 
period.
    Date of conversion means the date on which the clean alternative 
fuel conversion system is fully installed and operable.
    Dedicated vehicle/engine means any vehicle/engine engineered and 
designed to be operated using a single fuel.
    Dual-fuel vehicle/engine means any vehicle/engine engineered and 
designed to be operated on two or more different fuels, but not on a 
mixture of the fuels.
    Heavy-duty engines describes all engines intended for use in heavy-
duty vehicles, covered under the applicability of 40 CFR part 86, 
subpart A.
    Light-duty and heavy-duty chassis certified vehicles describes all 
light-duty vehicles, light-duty trucks, medium duty passenger vehicles, 
and heavy-duty complete and incomplete vehicles covered under the 
applicability of 40 CFR part 86, subpart S.
    Mixed-fuel vehicle/engine means any vehicle/engine engineered and 
designed to be operated on the original fuel(s), alternative fuel(s), or 
a mixture of two or more fuels that are combusted together. Mixed-fuel 
vehicles/engines include flexible-fuel vehicles/engines as defined in 40 
CFR part 86 subpart S.
    Original equipment manufacturer (OEM) means the original 
manufacturer of the new vehicle/engine or relating to the vehicle/engine 
in its original certified configuration.
    Original model year means the model year in which a vehicle/engine 
was originally certified by the original equipment manufacturer, as 
noted on the certificate and on the emission control information label.

[[Page 8]]

    We (us, our) means the Administrator of the Environmental Protection 
Agency or any authorized representative.



Sec. 85.505  Overview.

    (a) You are exempted from the tampering prohibition in Clean Air Act 
section 203(a)(3) (42 U.S.C. 7522)(a)(3) (``tampering'') if you satisfy 
all the provisions of this subpart.
    (b) The tampering exemption provisions described in this subpart are 
differentiated based on the age of the vehicle/engine at the point of 
conversion as follows:
    (1) ``New and relatively new'' refers to a vehicle/engine where the 
date of conversion is in a calendar year that is not more than one year 
after the original model year. See Sec. 85.510 for provisions that 
apply specifically to new and relatively new vehicles/engines.
    (2) ``Intermediate age'' refers to a vehicle/engine that has not 
exceeded the useful life (in years, miles, or hours of operation) 
applicable to the vehicle/engine as originally certified, excluding new 
and relatively new vehicles/engines. See Sec. 85.515 for provisions 
that apply specifically to intermediate-age vehicles/engines.
    (3) ``Outside useful life'' refers to any vehicle/engine that has 
exceeded the useful life (in years, miles, or hours of operation) 
applicable to the vehicle/engine as originally certified. See Sec. 
85.520 for provisions that apply specifically to outside useful life 
vehicles/engines.
    (c) If the converted vehicle/engine is a dual-fuel or mixed-fuel 
vehicle/engine, you must submit test data using each type of fuel, 
except that if you wish to certify to the same standards as the OEM 
vehicle/engine, you may omit testing for the fuel originally used to 
certify the vehicle/engine if you comply with Sec. 85.510(b)(10)(ii), 
(iii), and (iv), Sec. 85.515(b)(10)(iii)(B), (C), and (D), or Sec. 
85.520(b)(6)(iii)(B), (C), and (D), as applicable.
    (d) This subpart specifies certain reporting requirements. We may 
ask you to give us more information than we specify in this subpart to 
determine whether your vehicles/engines conform to the requirements of 
this subpart. We may ask you to give us less information or do less 
testing than we specify in this subpart.
    (e) EPA may require converters to submit vehicles/engines for EPA 
testing under any of the three age based programs. Under Sec. 85.510 or 
Sec. 85.515, if a vehicle/engine is selected for confirmatory testing 
as part of the demonstration and notification process, the vehicle/
engines must satisfy the applicable intermediate and full useful life 
standards using the appropriate deterioration factors to qualify for an 
exemption from the tampering prohibition. If an outside useful life 
vehicle/engine is selected for testing, the vehicle/engine must 
demonstrate that emissions are maintained or improved upon after 
conversion to qualify for an exemption from the tampering prohibition.
    (f) If you have previously used small volume conversion manufacturer 
or qualified small volume test group/engine family procedures and you 
may exceed the volume thresholds using the sum described in Sec. 
85.535(f) to determine small volume status in 40 CFR 86.1838-01, 40 CFR 
86.098-14, and 40 CFR 86.096-24(e)(2) as appropriate, you must satisfy 
the requirements for conversion manufacturers who do not qualify for 
small volume exemptions or your exemption from tampering is no longer 
valid.
    (g) An exemption from the prohibition on tampering applies to 
previously issued alternative fuel conversion certificates of conformity 
for the applicable conversion test group/engine family and/or 
evaporative/refueling family, as long as the conditions under which the 
certificate was issued remain unchanged, such as small volume 
manufacturer or qualified small volume test group/engine family status. 
Your exemption from tampering is valid only if the conversion is 
installed on the OEM test groups/engine families and/or evaporative 
emissions/refueling families listed on the certificate.
    (h) The applicable useful life of a clean alternative fuel converted 
vehicle/engine shall end at the same time the OEM vehicle's/engine's 
original useful life ends.



Sec. 85.510  Exemption provisions for new and relatively new vehicles/engines.

    (a) You are exempted from the tampering prohibition with respect to 
new and relatively new vehicles/engines if

[[Page 9]]

you certify the conversion system to the emission standards specified in 
Sec. 85.525 as described in paragraph (b) in this section; you meet the 
labeling and packaging requirements in Sec. 85.530 before you sell, 
import or otherwise facilitate the use of a clean alternative fuel 
conversion system; and you meet the liability, recordkeeping, and end of 
year reporting requirements in Sec. 85.535.
    (b) Certification under this section must be based on the 
certification procedures such as those specified in 40 CFR part 86, 
subparts A, B, and S and 40 CFR part 1065, as applicable, subject to the 
following exceptions and special provisions:
    (1) Test groups and evaporative/refueling families for light-duty 
and heavy-duty chassis certified vehicles.
    (i) Small volume conversion manufacturers and qualified small volume 
test groups.
    (A) If criteria for small volume manufacturer or qualified small 
volume test groups are met as defined in 40 CFR 86.1838-01, you may 
combine light-duty vehicles or heavy-duty vehicles which can be chassis 
certified under 40 CFR part 86, subpart S using good engineering 
judgment into conversion test groups if the following criteria are 
satisfied instead of those specified in 40 CFR 86.1827-01.
    (1) Same OEM and OEM model year.
    (2) Same OBD group.
    (3) Same vehicle classification (e.g. light-duty vehicle, heavy-duty 
vehicle).
    (4) Engine displacement is within 15% of largest displacement or 50 
CID, whichever is larger.
    (5) Same number of cylinders or combustion chambers.
    (6) Same arrangement of cylinders or combustion chambers (e.g. in-
line, v-shaped).
    (7) Same combustion cycle (e.g., two stroke, four stroke, Otto-
cycle, diesel-cycle).
    (8) Same engine type (e.g. piston, rotary, turbine, air cooled vs. 
water cooled).
    (9) Same OEM fuel type (except otherwise similar gasoline and E85 
flexible-fuel vehicles may be combined into dedicated alternative fuel 
vehicles).
    (10) Same fuel metering system (e.g. throttle body injection vs. 
port injection).
    (11) Same catalyst construction (e.g. metal vs. ceramic substrate).
    (12) All converted vehicles are subject to the most stringent 
emission standards used in certifying the OEM test groups within the 
conversion test group.
    (B) EPA-established scaled assigned deterioration factors for both 
exhaust and evaporative emissions may be used for vehicles with over 
10,000 miles if the criteria for small volume manufacturer or qualified 
small volume test groups are met as defined in 40 CFR 86.1838-01. This 
deterioration factor will be adjusted according to vehicle or engine 
miles of operation. The deterioration factor is intended to predict the 
vehicle's emission levels at the end of the useful life. EPA may adjust 
these scaled assigned deterioration factors if we find the rate of 
deterioration non-constant or if the rate differs by fuel type.
    (C) As part of the conversion system description provided in the 
application for certification, conversion manufacturers using EPA 
assigned deterioration factors must present detailed information to 
confirm the durability of all relevant new and existing components and 
to explain why the conversion system will not harm the emission control 
system or degrade the emissions.
    (ii) Conversion evaporative/refueling families are identical to the 
OEM evaporative/refueling families unless the OEM evaporative emission 
system is no longer functionally necessary. You must create any new 
evaporative families according to 40 CFR 86.1821-01.
    (2) Engine families and evaporative/refueling families for heavy-
duty engines.
    (i) Small volume conversion manufacturers and qualified small volume 
heavy-duty engine families.
    (A) If criteria for small volume manufacturer or qualified small 
volume engine families are met as defined in 40 CFR 86.098-14 and 40 CFR 
86.096-24(e)(2) you may combine heavy-duty engines using good 
engineering judgment into conversion engine families if the following 
criteria are satisfied instead of those specified in 40 CFR part 86, 
subpart A.
    (1) Same OEM.

[[Page 10]]

    (2) Same OBD group after MY 2013.
    (3) Same service class (e.g. light heavy-duty diesel engines, medium 
heavy-duty diesel engines, heavy heavy-duty diesel engines).
    (4) Engine displacement is within 15% of largest displacement or 50 
CID, whichever is larger.
    (5) Same number of cylinders.
    (6) Same arrangement of cylinders.
    (7) Same combustion cycle.
    (8) Same method of air aspiration.
    (9) Same fuel type (e.g. diesel/gasoline).
    (10) Same fuel metering system (e.g. mechanical direct or electronic 
direct injection).
    (11) Same catalyst/filter construction (e.g. metal vs. ceramic 
substrate).
    (12) All converted engines are subject to the most stringent 
emission standards. For example, 2005 and 2007 heavy-duty diesel engines 
may be in the same family if they meet the most stringent (2007) 
standards.
    (13) Same emission control technology (e.g., internal or external 
EGR).
    (B) EPA-established scaled assigned deterioration factors for both 
exhaust and evaporative emissions may be used for engines with over 
10,000 miles if the criteria for small volume manufacturer or qualified 
small volume engine families are met as defined in 40 CFR 86.098-14 and 
40 CFR 86.096-24(e)(2). This deterioration factor will be adjusted 
according to vehicle or engine miles of operation. The deterioration 
factor is intended to predict the engine's emission levels at the end of 
the useful life. EPA may adjust these scaled assigned deterioration 
factors if we find the rate of deterioration non-constant or if the rate 
differs by fuel type.
    (C) As part of the conversion system description provided in the 
application for certification, conversion manufacturers using EPA 
assigned deterioration factors must present detailed information to 
confirm the durability of all relevant new and existing components and 
to explain why the conversion system will not harm the emission control 
system or degrade the emissions.
    (ii) Conversion evaporative/refueling families are identical to the 
OEM evaporative/refueling families unless the OEM evaporative emission 
system is no longer functionally necessary. You must create any new 
evaporative families according to 40 CFR 86.096-24(a).
    (3) Conversion test groups/engine families for small volume 
conversion manufacturers and qualified small volume test groups/engine 
families may include vehicles/engines that are subject to different OEM 
emission standards; however, all the vehicles/engines certified under 
this subpart in a single conversion test group/engine family are subject 
to the most stringent standards that apply for vehicles/engines included 
in the conversion test group/engine family. For example, if OEM vehicle 
test groups originally certified to Tier 2, Bin 4 and Bin 5 standards 
are in the same conversion test group for purposes of fuel conversion, 
all the vehicles certified in the conversion test group under this 
subpart are subject to the Tier 2, Bin 4 standards. Conversion 
manufacturers may choose to certify a conversion test group/engine 
family to a more stringent standard than the OEM did. The optional, more 
stringent standard would then apply to all OEM test groups/engine 
families within the conversion test group/engine family. This paragraph 
(b)(3) does not apply to conversions to dual-fuel/mixed-fuel vehicles/
engines, as provided in paragraph (b)(7) of this section.
    (4)-(5) [Reserved]
    (6) Durability testing is required unless the criteria for small 
volume manufacturer or qualified small volume test groups/engine 
families are met as defined in 40 CFR 86.1838-01, 40 CFR 86.098-14, and 
40 CFR 86.096-24(e)(2), as applicable.
    (7) Conversion test groups/engine families for conversions to dual-
fuel or mixed-fuel vehicles/engines cannot include vehicles/engines 
subject to different emission standards unless applicable exhaust and 
OBD demonstrations are also conducted for the original fuel(s) 
demonstrating compliance with the most stringent standard represented in 
the test group. However for small volume conversion manufacturers and 
qualified small volume test groups/engine families the data generated 
from exhaust emission testing on the new fuel for dual-fuel or mixed-

[[Page 11]]

fuel test vehicles/engines may be carried over to vehicles/engines which 
otherwise meet the test group/engine family criteria and for which the 
test vehicle/engine data demonstrate compliance with the application 
vehicle/engine standard. Clean alternative fuel conversion evaporative 
families for dual-fuel or mixed-fuel vehicles may not include vehicles/
engines which were originally certified to different evaporative 
emissions standards unless evaporative/refueling demonstrations are also 
conducted for the original fuel(s) demonstrating compliance with the 
most stringent standard represented in the evaporative/refueling family.
    (8) The vehicle/engine selected for testing must qualify as a worst-
case vehicle/engine under 40 CFR 86.1828-10 or 40 CFR 86.096-24(b)(2) 
through (b)(3), as applicable.
    (9) OBD requirements.
    (i) The OBD system must properly detect and identify malfunctions in 
all monitored emission-related powertrain systems or components 
including any new monitoring capability necessary to identify potential 
emission problems associated with the new fuel.
    (ii) Conduct all OBD testing as required for OEM certification.
    (iii) In addition to conducting OBD testing as required for 
certification, submit the following statement of compliance, if the OEM 
vehicles/engines were required to be OBD equipped. The test group/engine 
family converted to an alternative fuel has fully functional OBD systems 
and therefore meets the OBD requirements such as those specified in 40 
CFR 86, subparts A and S when operating on the alternative fuel.
    (10) In lieu of specific certification test data, you may submit the 
following attestations for the appropriate statements of compliance, if 
you have sufficient basis to prove the statement is valid.
    (i) The test group/engine family converted to an alternative fuel 
has properly exercised the optional and applicable statements of 
compliance or waivers in the certification regulations such as those 
specified in 40 CFR part 86, subparts A, B, and S and 40 CFR part 1065. 
Attest to each statement or waiver in your application for 
certification.
    (ii) The test group/engine family converted to dual-fuel or mixed-
fuel operation retains all the OEM fuel system, engine calibration, and 
emission control system functionality when operating on the fuel with 
which the vehicle/engine was originally certified.
    (iii) The test group/engine family converted to dual fuel or mixed-
fuel operation retains all the functionality of the OEM OBD system (if 
so equipped) when operating on the fuel with which the vehicle/engine 
was originally certified.
    (iv) The test group/engine family converted to dual-fuel or mixed-
fuel operation properly purges hydrocarbon vapor from the evaporative 
emission canister when the vehicle/engine is operating on the 
alternative fuel.
    (11) Certification fees apply per 40 CFR 1027.
    (12) A certificate issued under this section is valid starting with 
the indicated effective date and expires on December 31 of the 
conversion model year for which it is issued. You may apply for a 
certificate of conformity for the next conversion model year using the 
applicable provisions for carryover certification. Even after the 
certificate expires, your exemption from the prohibition on tampering 
remains valid for the applicable conversion test group/engine family 
and/or evaporative/refueling family, as long as the conditions under 
which the certificate was issued remain unchanged, such as small volume 
manufacturer or qualified small volume test group/engine family status. 
Your exemption from tampering is valid only if the conversion is 
installed on the OEM test groups/engine families and/or evaporative 
emissions/refueling families listed on the certificate. For example, if 
you have received a clean alternative fuel conversion certificate of 
conformity in conversion model year 2011 for converting a 2010 model 
year OEM test group/evaporative/refueling family, your exemption from 
tampering continues to apply for the conversion of the same 2010 model 
year OEM test group/evaporative/refueling family as long as the 
conditions under which the

[[Page 12]]

certificate was issued remain unchanged, such as small volume 
manufacturer status.
    (13) Conversion systems must be properly installed and adjusted such 
that the vehicle/engine operates consistent with the principles of good 
engineering judgment and in accordance with all applicable regulations.



Sec. 85.515  Exemption provisions for intermediate age vehicles/engines.

    (a) You are exempted from the tampering prohibition with respect to 
intermediate age vehicles/engines if you properly test, document and 
notify EPA that the conversion system complies with the emission 
standards specified in Sec. 85.525 as described in paragraph (b) of 
this section; you meet the labeling requirements in Sec. 85.530 before 
you sell, import or otherwise facilitate the use of a clean alternative 
fuel conversion system; and you meet the liability, recordkeeping, and 
end of year reporting requirements in Sec. 85.535. You may also meet 
the requirements under this section by complying with the requirements 
in Sec. 85.510.
    (b) Documenting and notifying EPA under this section includes 
demonstrating compliance with all the provisions in this section and 
providing all notification information to EPA. You may notify us as 
described in this section instead of certifying the clean alternative 
fuel conversion system. You must demonstrate compliance with all exhaust 
and evaporative emissions standards by conducting all exhaust and 
evaporative emissions and durability testing as required for OEM 
certification subject to the exceptions and special provisions permitted 
in Sec. 85.510. This paragraph (b) provides additional special 
provisions applicable to intermediate age vehicles/engines. Paragraph 
(b) is applicable to all conversion manufacturers unless otherwise 
specified.
    (1) Conversion test groups for light-duty and heavy-duty chassis 
certified vehicles may be grouped together into an exhaust conversion 
test group using the criteria described in Sec. 85.510(b)(1)(i)(A), 
except that the same OBD group is not a criterion. Evaporative/refueling 
families may be grouped together using the criteria described in Sec. 
85.510(b)(1)(ii).
    (2) Conversion engine families for heavy-duty engines may be grouped 
together into an exhaust conversion engine family using the criteria 
described in Sec. 85.510(b)(2)(i)(A), except that the same OBD group is 
not a criterion. Evaporative/refueling families may be grouped together 
using the criteria described in Sec. 85.510(b)(2)(ii).
    (3) Conversion test groups/engine families may include vehicles/
engines that are subject to different OEM emission standards; however, 
all vehicles/engines in a single conversion test group/engine family are 
subject to the most stringent standards that apply for vehicles/engines 
included in the conversion test group/engine family. For example, if OEM 
vehicle test groups originally certified to Tier 2, Bin 4 and Bin 5 
standards are in the same conversion test group for purposes of fuel 
conversion, all the vehicles in the conversion test group under this 
subpart are subject to the Tier 2, Bin 4 standards. This paragraph 
(b)(3) does not apply to conversions to dual-fuel/mixed-fuel vehicles/
engines, as provided in paragraph (b)(7).
    (4) EPA-established scaled assigned deterioration factors for both 
exhaust and evaporative emissions may be used for vehicles/engines with 
over 10,000 miles if the criteria for small volume manufacturer or 
qualified small volume test groups/engine families are met as defined in 
40 CFR 86.1838-01, 40 CFR 86.098-14, or 40 CFR 86.096-24(e)(2), as 
appropriate. This deterioration factor will be adjusted according to 
vehicle/engine miles or hours of operation. The deterioration factor is 
intended to predict the vehicle/engine's emission level at the end of 
the useful life. EPA may adjust these scaled assigned deterioration 
factors if we find the rate of deterioration non-constant or if the rate 
differs by fuel type.
    (5) As part of the conversion system description required by 
paragraph (b)(10)(i) of this section, small volume conversion 
manufacturers and qualified small volume test groups/engine families 
using EPA assigned deterioration factors must present detailed 
information to confirm the durability of

[[Page 13]]

all relevant new and existing components and explain why the conversion 
system will not harm the emission control system or degrade the 
emissions.
    (6) Durability testing is required unless the criteria for small 
volume manufacturer or qualified small volume test groups/engine 
families are met as defined in 40 CFR 86.1838-01, 40 CFR 86.098-14, or 
40 CFR 86.096-24(e)(2), as applicable. Durability procedures for large 
volume conversion manufacturers of intermediate age light-duty and 
heavy-duty chassis certified vehicles that follow provisions in 40 CFR 
86.1820-01 may eliminate precious metal composition and catalyst 
grouping statistic when creating clean alternative fuel conversion 
durability groupings.
    (7) Conversion test groups/engine families for conversions to dual-
fuel or mixed-fuel vehicles/engines may not include vehicles/engines 
subject to different emissions standards unless applicable exhaust and 
OBD demonstrations are also conducted for the original fuel(s) 
demonstrating compliance with the most stringent standard represented in 
the test group/engine family. However the data generated from testing on 
the new fuel for dual-fuel or mixed/fuel test vehicles/engines may be 
carried over to vehicles/engines that otherwise meet the conversion test 
group/engine family criteria and for which the test vehicle/engine data 
demonstrate compliance with the applicable vehicle/engine standards. 
Clean alternative fuel conversion evaporative families for dual-fuel or 
mixed-fuel vehicles/engines cannot include vehicles/engines that were 
originally certified to different evaporative emissions standards unless 
evaporative/refueling demonstrations are also conducted for the original 
fuel(s) demonstrating compliance with the most stringent standard 
represented in the evaporative/refueling family.
    (8) You must conduct all exhaust and all evaporative and refueling 
emissions testing with a worst-case vehicle/engine to show that the 
conversion test group/engine family complies with exhaust and 
evaporative/refueling emission standards, based on the certification 
procedures such as those specified in 40 CFR part 86, subparts A, B, and 
S and 40 CFR part 1065.
    (9) OBD requirements. (i) The OBD system must properly detect and 
identify malfunctions in all monitored emission-related powertrain 
systems or components including any new monitoring capability necessary 
to identify potential emission problems associated with the new fuel. 
These include but are not limited to: Fuel trim lean and rich monitors, 
catalyst deterioration monitors, engine misfire monitors, oxygen sensor 
deterioration monitors, EGR system monitors, if applicable, and vapor 
leak monitors, if applicable. No original OBD system monitor that is 
still applicable to the vehicle/engine may be aliased, removed, 
bypassed, or turned-off. No MILs shall be illuminated after the 
conversion. Readiness flags must be properly set for all monitors that 
identify any malfunction for all monitored components.
    (ii) Subsequent to the vehicle/engine fuel conversion, you must 
clear all OBD codes and reset all OBD monitors to not-ready status using 
an OBD scan tool appropriate for the OBD system in the vehicle/engine in 
question. You must operate the vehicle/engine with the new fuel on 
representative road operation or chassis dynamometer/engine dynamometer 
testing cycles to satisfy the monitors' enabling criteria. When all 
monitors have reset to a ready status, you must submit an OBD scan tool 
report showing that with the vehicle/engine operating in the key-on/
engine-on mode, all supported monitors have reset to a ready status and 
no emission related ``pending'' (or potential) or ``confirmed'' (or MIL-
on) diagnostic trouble codes (DTCs) have been set. The MIL must not be 
commanded ``On'' or be illuminated. A MIL check must also be conducted 
in a key-on/engine-off mode to verify that the MIL is functioning 
properly. You must include the VIN/EIN number of the test vehicle/
engine. If necessary, the OEM evaporative emission readiness monitor may 
remain unset for dedicated gaseous fuel conversion systems.
    (iii) In addition to conducting OBD testing described in this 
paragraph (b)(9), you must submit to EPA the following statement of 
compliance, if the OEM vehicles/engines were required to

[[Page 14]]

be OBD equipped. The test group/engine family converted to an 
alternative fuel has fully functional OBD systems and therefore meets 
the OBD requirements such as those specified in 40 CFR 86, subparts A 
and S when operating on the alternative fuel.
    (10) You must notify us by electronic submission in a format 
specified by the Administrator with all required documentation. The 
following must be submitted:
    (i) You must describe how your conversion system qualifies as a 
clean alternative fuel conversion. You must include emission test 
results from the required exhaust, evaporative emissions, and OBD 
testing, applicable exhaust and evaporative emissions standards and 
deterioration factors. You must also include a description of how the 
test vehicle/engine selected qualifies as a worst-case vehicle/engine 
under 40 CFR 86.1828-10 or 40 CFR 86.096-24(b)(2) through (b)(3) as 
applicable.
    (ii) You must describe the group of vehicles/engines (conversion 
test group/conversion engine family) that are covered by your 
notification based on the criteria specified in paragraph (b)(1) or 
(b)(2) of this section.
    (iii) In lieu of specific test data, you may submit the following 
attestations for the appropriate statements of compliance, if you have 
sufficient basis to prove the statement is valid.
    (A) The test group/engine family converted to an alternative fuel 
has properly exercised the optional and applicable statements of 
compliance or waivers in the certification regulations such as those 
specified in 40 CFR part 86, subparts A, B, and S and 40 CFR part 1065. 
Attest to each statement or waiver in your notification.
    (B) The test group/engine family converted to dual-fuel or mixed-
fuel operation retains all the OEM fuel system, engine calibration, and 
emission control system functionality when operating on the fuel with 
which the vehicle/engine was originally certified.
    (C) The test group/engine family converted to dual-fuel or mixed-
fuel operation retains all the functionality of the OEM OBD system (if 
the OEM vehicles/engines were required to be OBD equipped) when 
operating on the fuel for which the vehicle/engine was originally 
certified.
    (D) The test group/engine family converted to dual-fuel or mixed-
fuel operation properly purges hydrocarbon vapor from the evaporative 
emission canister when the vehicle/engine is operating on the 
alternative fuel.
    (iv) Include any other information as the Administrator may deem 
appropriate to establish that the conversion system is for the purpose 
of conversion to a clean alternative fuel and meets applicable emission 
standards.
    (11) [Reserved]
    (12) Your exemption from the prohibition on tampering remains valid 
for the applicable conversion test group/engine family and/or 
evaporative/refueling family, as long as the conditions under which you 
previously complied remain unchanged, such as small volume manufacturer 
or qualified small volume test group/engine family status. Your 
exemption from tampering is valid only if the conversion is installed on 
the OEM test groups/engine families and/or evaporative emissions/
refueling families listed on the notification. For example, if you have 
complied properly with the provisions in this section in calendar year 
2011 for converting a model year 2006 OEM test group/evaporative/
refueling family, your exemption from tampering continues to apply for 
the conversion of the same model year 2006 OEM test group/evaporative/
refueling family as long as the conditions under which the notification 
was submitted remain unchanged.
    (13) Conversion systems must be properly installed and adjusted such 
that the vehicle/engine operates consistent with the principles of good 
engineering judgment and in accordance with all applicable regulations.



Sec. 85.520  Exemption provisions for outside useful life vehicles/engines.

    (a) You are exempted from the tampering prohibition with respect to 
outside useful life vehicles/engines if you properly document and notify 
EPA that the conversion system satisfies all the provisions in this 
section; you meet the labeling requirements in Sec. 85.530 before you 
sell, import or otherwise facilitate the use of a clean alternative

[[Page 15]]

fuel conversion system; and you meet the applicable requirements in 
Sec. 85.535. You may also meet the requirements under this section by 
complying with the provisions in Sec. 85.515.
    (b) Documenting and notifying EPA under this section includes the 
following provisions:
    (1) You must notify us as described in this section.
    (2) Conversion test groups, evaporative/refueling families, and 
conversion engine families may be the same as those allowed for the 
intermediate age vehicle/engine program in Sec. 85.515(b)(1) and (2).
    (3) You must use good engineering judgment to specify, use, and 
assemble fuel system components and other hardware and software that are 
properly designed and matched for the vehicles/engines in which they 
will be installed. Good engineering judgment also dictates that any 
testing or data used to satisfy demonstration requirements be generated 
at a quality laboratory that follows good laboratory practices and that 
is capable of performing official EPA emission tests.
    (4) OBD requirements. (i) The OBD system must properly detect and 
identify malfunctions in all monitored emission-related powertrain 
systems or components including any new monitoring capability necessary 
to identify potential emission problems associated with the new fuel. 
These include but are not limited to: Fuel trim lean and rich monitors, 
catalyst deterioration monitors, engine misfire monitors, oxygen sensor 
deterioration monitors, EGR system monitors, if applicable, and vapor 
leak monitors, if applicable. No original OBD system monitor that is 
still applicable to the vehicle/engine may be aliased, removed, 
bypassed, or turned-off. No MILs shall be illuminated after the 
conversion. Readiness flags must be properly set for all monitors that 
identify any malfunction for all monitored components.
    (ii) Subsequent to the vehicle/engine fuel conversion, you must 
clear all OBD codes and reset all OBD monitors to not-ready status using 
an OBD scan tool appropriate for the OBD system in the vehicle/engine in 
question. You must operate the vehicle/engine with the new fuel on 
representative road operation or chassis dynamometer/engine dynamometer 
testing cycles to satisfy the monitors' enabling criteria. When all 
monitors have reset to a ready status, you must submit an OBD scan tool 
report showing that with the vehicle/engine operating in the key-on/
engine-on mode, all supported monitors have reset to a ready status and 
no emission related ``pending'' (or potential) or ``confirmed'' (or MIL-
on) diagnostic trouble codes (DTCs) have been stored. The MIL must not 
be commanded ``On'' or be illuminated. A MIL check must also be 
conducted in a key-on/engine-off mode to verify that the MIL is 
functioning properly. You must include the VIN/EIN number of the test 
vehicle/engine. If necessary, the OEM evaporative emission readiness 
monitor may remain unset for dedicated gaseous fuel conversion systems.
    (iii) In addition to conducting OBD testing described in this 
paragraph (b)(4), you must submit to EPA the following statement of 
compliance, if the OEM vehicles/engines were required to be OBD 
equipped. The test group/engine family converted to an alternative fuel 
has fully functional OBD systems and therefore meets the OBD 
requirements such as those specified in 40 CFR 86, subparts A and S when 
operating on the alternative fuel.
    (5) Conversion test groups/engine families for conversions to dual-
fuel or mixed-fuel vehicles/engines may not include vehicles/engines 
subject to different emissions standards unless applicable exhaust and 
OBD demonstrations are also conducted for the original fuel(s) 
demonstrating compliance with the most stringent standard represented in 
the test group. However the data generated from testing on the new fuel 
for dual-fuel or mixed-fuel test vehicles/engines may be carried over to 
vehicles/engines that otherwise meet the conversion test group/engine 
family criteria and for which the test vehicle/engine data demonstrate 
compliance with the applicable vehicle/engine standards. Clean 
alternative fuel conversion evaporative families for dual-fuel or mixed-
fuel vehicles/engines cannot include vehicles/engines that were 
originally certified to different evaporative emissions standards.

[[Page 16]]

    (6) You must notify us by electronic submission in a format 
specified by the Administrator with all required documentation. The 
following must be submitted.
    (i) You must describe how your conversion system complies with the 
good engineering judgment criteria in Sec. 85.520(b)(3) and/or other 
requirements under this subpart or other applicable subparts such that 
the conversion system qualifies as a clean alternative fuel conversion. 
The submission must provide a level of technical detail sufficient for 
EPA to confirm the conversion system's ability to maintain or improve on 
emission levels in a worst case vehicle/engine. The submission of 
technical information must include a complete characterization of 
exhaust and evaporative emissions control strategies, the fuel delivery 
system, durability, and specifications related to OBD system 
functionality. You must present detailed information to confirm the 
durability of all relevant new and existing components and to explain 
why the conversion system will not harm the emission control system or 
degrade the emissions. EPA may ask you to supply additional information, 
including test data, to support the claim that the conversion system 
does not increase emissions and involves good engineering judgment that 
is being applied for purposes of conversion to a clean alternative fuel.
    (ii) You must describe the group of vehicles/engines (conversion 
test group/conversion engine family) that is covered by your 
notification based on the criteria specified in paragraph (b)(2) of this 
section.
    (iii) In lieu of specific test data, you may submit the following 
attestations for the appropriate statements of compliance, if you have 
sufficient basis to prove the statement is valid.
    (A) The test group/engine family converted to an alternative fuel 
has properly exercised the optional and applicable statements of 
compliance or waivers in the certification regulations such as those 
specified in 40 CFR part 86, subparts A, B, and S and 40 CFR part 1065. 
Attest to each statement or waiver in your notification.
    (B) The test group/engine family converted to dual-fuel or mixed-
fuel operation retains all the OEM fuel system, engine calibration, and 
emission control system functionality when operating on the fuel with 
which the vehicle/engine was originally certified.
    (C) The test group/engine family converted to dual-fuel or mixed-
fuel operation retains all the functionality of the OEM OBD system (if 
the OEM vehicles/engines were required to be OBD equipped) when 
operating on the fuel with which the vehicle/engine was originally 
certified.
    (D) The test group/engine family converted to dual-fuel or mixed-
fuel operation properly purges hydrocarbon vapor from the evaporative 
emission canister when the vehicle/engine is operating on the 
alternative fuel.
    (E) The test group/engine family converted to an alternative fuel 
uses fueling systems, evaporative emission control systems, and engine 
powertrain components that are compatible with the alternative fuel and 
designed with the principles of good engineering judgment.
    (iv) You must include any other information as the Administrator may 
deem appropriate, which may include test data, to establish the 
conversion system is for the purpose of conversion to a clean 
alternative fuel.
    (7) Conversion systems must be properly installed and adjusted such 
that the vehicle/engine operates consistent with the principles of good 
engineering judgment and in accordance with all applicable regulations.
    (8) EPA may ask for any documentation and/or ask you to conduct 
emission testing to demonstrate the conversion is for the purpose of a 
clean alternative fuel.



Sec. 85.524  Legacy standards.

    Prior to April 8, 2011, the following emission standards applied for 
conversions of vehicles/engines with an original model year of 1992 or 
earlier:
    (a) Exhaust hydrocarbons. Light-duty vehicles must meet the Tier 0 
hydrocarbon standard specified in 40 CFR 86.094-8. Light-duty trucks 
must meet the Tier 0 hydrocarbon standard specified in 40 CFR 86.094-9. 
Otto-cycle heavy-duty engines must meet the hydrocarbon standard 
specified in 40 CFR 86.096-10. Diesel heavy-duty engines

[[Page 17]]

must meet the hydrocarbon standard in 40 CFR 86.096-11.
    (b) CO, NOX and particulate matter. Vehicles/engines must 
meet the CO, NOX, and particulate matter emission standards 
that applied for the vehicle's/engine's original model year. If the 
engine was certified with a Family Emission Limit, as noted on the 
emission control information label, the modified engine may not exceed 
this Family Emission Limit.
    (c) Evaporative hydrocarbons. Vehicles/engines must meet the 
evaporative hydrocarbon emission standards that applied for the 
vehicle's/engine's original model year.



Sec. 85.525  Applicable standards.

    To qualify for an exemption from the tampering prohibition, 
vehicles/engines that have been converted to operate on a different fuel 
must meet emission standards and related requirements as follows:
    (a) The modified vehicle/engine must meet the requirements that 
applied for the OEM vehicle/engine, or the most stringent OEM vehicle/
engine standards in any allowable grouping. Fleet average standards do 
not apply unless clean alternative fuel conversions are specifically 
listed as subject to the standards.
    (1) If the vehicle/engine was certified with a Family Emission Limit 
for NOX, NOX+HC, or particulate matter, as noted 
on the vehicle/engine emission control information label, the modified 
vehicle/engine may not exceed this Family Emission Limit.
    (2) Compliance with light-duty vehicle greenhouse gas emission 
standards is demonstrated by complying with the N2O and 
CH4 standards and provisions set forth in 40 CFR 86.1818-
12(f)(1) and the in-use CO2 exhaust emission standard set 
forth in 40 CFR 86.1818-12(d) as determined by the OEM for the 
subconfiguration that is identical to the fuel conversion emission data 
vehicle (EDV). If the OEM complied with the light-duty greenhouse gas 
standards using the fleet averaging option for nitrous oxide 
(N2O) and methane (CH4), as allowed under 40 CFR 
86.1818-12(f)(2), the calculations of the carbon-related exhaust 
emissions require the input of grams/mile values for N2O and 
CH4. Compliance with N2O and CH4 
exhaust emission standards may be optionally demonstrated by following 
the same procedures set forth in 40 CFR 86.1818-12(f)(2), except that 
the carbon-related exhaust emission value determined for the fuel 
conversion EDV must comply with the in-use CO2 exhaust 
emission standard set forth in 40 CFR 86.1818-12(d) and determined by 
the OEM for the subconfiguration that is identical to the fuel 
conversion EDV.
    (3) Conversion systems for engines that would have qualified for 
chassis certification at the time of OEM certification may use those 
procedures, even if the OEM did not. Conversion manufacturers choosing 
this option must designate test groups using the appropriate criteria as 
described in this subpart and meet all vehicle chassis certification 
requirements set forth in 40 CFR part 86, subpart S.
    (b) [Reserved]



Sec. 85.530  Vehicle/engine labels and packaging labels.

    (a) The following labeling requirements apply for clean alternative 
fuel conversion manufacturers to qualify for an exemption from the 
tampering prohibition:
    (1) You must make a supplemental emission control information label 
for each clean alternative fuel conversion system.
    (2) On the supplemental label you must identify the OEM vehicles/
engines for which you authorize the use of your clean alternative fuel 
conversion system, consistent with the requirements of this subpart. You 
may do this by identifying the OEM test group/engine family names and 
original model year to which your conversion is applicable as described 
in Sec. 85.510(b)(1) or Sec. 85.510(b)(2), Sec. 85.515(b)(10)(ii), or 
Sec. 85.520(b)(6)(ii). Your commercial packaging materials must also 
clearly describe this information.
    (3) You must include the following on the supplemental label:
    (i) You must state that the vehicle/engine has been equipped with a 
clean alternative fuel conversion system designed to allow it to operate 
on a fuel other than the fuel it was originally certified to operate on. 
Identify the

[[Page 18]]

fuel or fuels the vehicle/engine is designed to use and provide a unique 
conversion test group/conversion engine family name and conversion 
evaporative/refueling emissions family name.
    (ii) You must identify your corporate name, address, and telephone 
number.
    (iii) You must include one of the following statements that 
describes how you comply under this subpart and any applicable mileage 
or age restrictions due to how compliance was demonstrated:
    (A) ``This clean alternative fuel conversion system has been 
certified to meet EPA emission standards.''
    (B) ``Testing has shown that this clean alternative fuel conversion 
system meets EPA emission standards under the intermediate age vehicle/
engine program.''
    (C) ``This conversion system is for the purpose of use of a clean 
alternative fuel in accordance with EPA regulations and is applicable 
only to vehicles/engines that are older than 11 years or 120,000 
miles.'' (Values must be adjusted to reflect OEM useful life; useful 
life in hours should be added, if applicable).
    (iv) State the following: ``This conversion was manufactured and 
installed consistent with the principles of good engineering judgment 
and all U.S. EPA regulations.''
    (4) On the supplemental label, you must identify any original parts 
that will be removed for the conversion and any associated changes in 
maintenance specifications.
    (5) On the supplemental label, you must include the date of 
conversion and the mileage of the vehicle/engine at the time of 
conversion. Include the hours of operation instead of mileage, if 
applicable.
    (b) The supplemental emission control information label shall be 
placed in a permanent manner adjacent to the vehicle's/engine's original 
emission control information label if possible. If it is impractical to 
place the supplemental label adjacent to the original label, it must be 
placed where it will be seen by a person viewing the original label on a 
part that is needed for normal operation and does not normally need 
replacement. If the supplemental label information cannot fit on one 
label, the information can be logically split among two labels that are 
both near the original VECI or engine label.
    (c) All information provided on clean alternative fuel conversion 
system packaging must be consistent with the required vehicle/engine 
labeling information.
    (d) Examples of all labeling and warranty information must be 
provided as part of the application for certification or notification 
process.
    (e) The marketing material and label information for a given 
conversion system must be consistent with the conversion manufacturer's 
demonstration/notification to EPA for that system.



Sec. 85.535  Liability, recordkeeping, and end of year reporting.

    (a) Clean alternative fuel conversion manufacturers are liable for 
in-use performance of their conversion systems as outlined in this part.
    (b) We may conduct or require testing on any vehicles/engines as 
allowed under the Clean Air Act. This may involve confirmatory testing, 
in-use testing, and/or selective enforcement audits for clean 
alternative fuel conversion systems. Dual-fuel vehicles/engines may be 
tested when operating on any of the fuels. Mixed-fuel vehicles/engines 
may be tested on any fuel blend ratio that is expected to occur during 
normal operation.
    (c) Except for an application for certification, your actions to 
document compliance and notify us under this subpart are not a request 
for our approval. We generally do not give any formal approval short of 
issuing a certificate of conformity. However, if we learn that your 
actions fall short of full compliance with applicable requirements we 
may notify you that you have not met applicable requirements or that we 
need more information to make that determination. The exemption from the 
tampering prohibition may be void ab initio if the conversion 
manufacturer has not satisfied all of the applicable provisions of this 
subpart even if a submission to EPA has been made and the conversion 
system appears on EPA's publicly available list of compliant systems.

[[Page 19]]

    (d) Clean alternative fuel conversion manufacturers must accept in-
use liability for warranty, are subject to defect reporting 
requirements, and may be required to recall any parts or systems for 
which the failure can be traced to the conversion, regardless of whether 
installation was proper or improper. The OEM shall remain liable for the 
performance of any parts or systems which retain their original function 
following conversion and are unaffected by the conversion.
    (e) Clean alternative fuel conversion manufacturers must keep 
sufficient records for five years from the date of notification or 
certification, or the date of the last conversion installation, 
whichever is later, to show that they meet applicable requirements.
    (f) Clean alternative fuel conversion manufacturers must submit an 
end of the year sales report to EPA describing the number of clean 
alternative fuel conversions by fuel type(s) and vehicle test group/
engine family by January 31 of the following year. The number of 
conversions is the sum of the calendar year intermediate age 
conversions, outside useful life conversions, and the same conversion 
model year certified clean alternative fuel conversions. The number of 
conversions will be added to any other vehicle and engine sales 
accounted for using 40 CFR 86.1838-01 or 40 CFR 86.098-14 as appropriate 
to determine small volume manufacturer or qualified small volume test 
group/engine family status.
    (g) Conversion manufacturers who market conversion systems for use 
on vehicles/engines other than the test group/engine families and 
evaporative/refueling families covered by the compliance demonstration 
and notification may be liable for a tampering violation for each 
vehicle/engine to which conversion system is misapplied.

Subparts G-N [Reserved]



                Subpart O_Urban Bus Rebuild Requirements

    Source: 58 FR 21386, Apr. 21, 1993, unless otherwise noted.



Sec. 85.1401  General applicability.

    The requirements of this subpart shall be applicable to 1993 and 
earlier model year urban buses operating in consolidated metropolitan 
statistical areas and metropolitan statistical areas with a 1980 
population of 750,000 or more that have their engines rebuilt or 
replaced after January 1, 1995.



Sec. 85.1402  Definitions.

    The definitions of this section apply to this subpart.
    Agency means the Environmental Protection Agency.
    Certified equipment or Retrofit/Rebuild Equipment means equipment 
certified in accordance with the certification regulations contained in 
this subpart.
    Emission related parts means those parts installed for the specific 
purpose of controlling emissions or those components, systems, or 
elements of design which must function properly to assure continued 
emission compliance.
    Engine configuration means the set of components, tolerances, 
specifications, design parameters, and calibrations related to the 
emissions performance of the engine and specific to a subset of an 
engine family having a unique combination of displacement, fuel 
injection calibration, auxiliary emission control devices and emission 
control system components.
    Engine rebuild means an activity, occurring over one or more 
maintenance events, involving:
    (1) Disassembly of the engine including the removal of the cylinder 
head(s); and
    (2) The replacement or reconditioning of more than one major 
cylinder component in more than half of the cylinders.
    Engine replacement means the removal of an engine from the coach 
followed by the installation of another engine.
    In-use compliance period for purposes of in-use testing means a 
period of 150,000 miles.
    Maintenance event means a single maintenance activity for which the 
engine is removed from service. Once the engine is returned to service, 
the maintenance event is considered done.

[[Page 20]]

    Major cylinder component means piston assembly, cylinder liner, 
connecting rod, or piston ring set.
    MOD Director means Director of Manufacturers Operations Division, 
Office of Mobile Sources--Office of Air and Radiation of the 
Environmental Protection Agency.
    Office Director means the Director for the Office of Mobile 
Sources--Office of Air and Radiation of the Environmental Protection 
Agency or an authorized representative of the Office Director.
    Operator means transit authority, state, city department, or private 
or public entity controlling the use of one or more urban buses.
    Original engine configuration means the engine configuration at time 
of initial sale.
    Original equipment part means a part present in or on an engine at 
the time an urban bus is originally sold to the ultimate purchaser.
    Scheduled maintenance means those maintenance events required by the 
equipment certifier in order to ensure that the retrofitted engine will 
maintain its emissions performance over the in-use compliance period.
    Urban bus has the meaning set forth in Sec. 86.091-2 of this 
chapter.
    Written instructions for proper maintenance and use means those 
maintenance and operation instructions specified in the warranty as 
being necessary to assure compliance of the retrofit/rebuild equipment 
with applicable emission standards for the in-use compliance period.



Sec. 85.1403  Particulate standard for pre-1994 model year urban buses

effective at time of engine rebuild or engine replacement.

    (a) Operators of urban buses in areas described in Sec. 85.1401 
shall be in compliance with one of the two programs described in 
paragraphs (b) and (c) of this section. An operator may switch between 
programs from year to year only if the operator has been in compliance 
with all the requirements of the newly chosen program at all times 
between January 1, 1995 and the date on which the operator chooses to 
switch programs.
    (b) Program 1: Performance based requirement. Program 1 requires 
that affected urban buses meet a particulate standard of 0.10 g/bhp-hr 
effective at time of engine rebuild or replacement and thereafter. The 
requirement to meet the 0.10 g/bhp-hr standard is automatically waived 
if no equipment has been certified that meets the 0.10 g/bhp-hr standard 
and has a life cycle cost of $7,940 or less (in 1992 dollars) for the 
engine being rebuilt. Program 1 contains fallback requirements for 
engines for which the 0.10 g/bhp-hr standard is waived. Such urban bus 
engines must receive equipment that provides a 25 percent reduction in 
particulate emissions relative to the particulate level of the original 
engine configuration. This 25 percent reduction requirement is 
automatically waived if no equipment has been certified for the engine 
being rebuilt that provides a 25 percent reduction in particulate 
emissions and has a life cycle cost $2,000 or less (in 1992 dollars). In 
cases where equipment is not available to either meet a 0.10 g/bhp-hr 
standard for less than the applicable cost ceiling or achieve a 25 
percent reduction for less than the applicable cost ceiling, the urban 
bus is required to be equipped with an engine rebuilt to the original 
engine configuration or a configuration certified to have a particulate 
level lower than that of the original engine configuration.
    (1) Exhaust emissions from any urban bus for which this subpart is 
applicable shall not exceed a particulate standard of 0.10 grams per 
brake horsepower-hour (0.037 grams per megajoule) if equipment is 
available for the engine model of such urban bus at time of engine 
rebuild or engine replacement, as specified in paragraph (b)(1)(i) of 
this section.
    (i) Equipment is available for a particular engine model if 
equipment has been certified to a particulate standard of 0.10 grams per 
brake horsepower-hour (0.037 grams per megajoule), and the equipment for 
the engine model has been approved for certification for six months or 
more, and has a life cycle cost as determined under paragraph (b)(1)(ii) 
of this section that does not

[[Page 21]]

exceed the life cycle cost ceiling specified in paragraph (b)(1)(iii) of 
this section.
    (ii) The life cycle cost of equipment is equal to the sum of the 
purchase price, the installation cost, the incremental fuel cost, the 
cost of any fuel additives required, and the incremental maintenance 
cost associated with the equipment each as defined in paragraphs 
(b)(1)(ii)(A) through (b)(1)(ii)(E) of this section minus an engine 
replacement credit as defined in paragraph (b)(1)(ii)(F) of this section 
if the equipment replaces an existing engine with a new engine.
    (A) The purchase price is defined as the price at which the 
equipment (including all parts necessary to install and operate the 
equipment properly) is offered to the operator. The purchase price 
excludes reasonable shipping and handling fees and taxes, and equipment 
costs incurred by the urban bus operator for a standard rebuild.
    (B)(1) The installation cost is defined as the labor cost of 
installing the equipment on an urban bus engine, incremental to a 
standard rebuild, based on a labor rate of $35 per hour. The 
installation cost is calculated using the following equation:
[GRAPHIC] [TIFF OMITTED] TN30AU93.007

Where,

CPIR is the most recent published Consumer Price Index at 
time of rebuild (for ``all items'' as published by the U.S. Bureau of 
Labor Statistics).
CPI1992 is the Consumer Price Index (for ``all items'' as 
published by the U.S. Bureau of Labor Statistics) for 1992.

    (2) The estimated number of hours necessary to install the equipment 
will be determined as part of the equipment certification process, as 
detailed in Sec. 85.1407.
    (C) The incremental fuel cost is defined as the increased fuel costs 
or the fuel savings due to the use of the equipment. (By definition, 
fuel savings will be negative values.) The calculation of incremental 
fuel cost will depend on the type of equipment being installed.
    (1)(i) For equipment not requiring a change from on road federal 
diesel fuel, the incremental fuel cost shall be calculated as follows:
[GRAPHIC] [TIFF OMITTED] TN30AU93.008

Where,

CPIR is the most recent published Consumer Price Index at 
time of rebuild (for ``all items'' as published by the U.S. Bureau of 
Labor Statistics).
CPI1992 is the Consumer Price Index (for ``all items'' as 
published by the U.S. Bureau of Labor Statistics) for 1992.

    (ii) The percent change in fuel economy will be determined as part 
of the equipment certification process, as detailed in Sec. 85.1407. If 
equipment causes the fuel economy of the engine to increase, the value 
of the fuel economy % reduction in the above equation shall be a 
negative value.
    (2) For equipment requiring a fuel other than on-road federal diesel 
fuel, the incremental fuel cost shall be calculated as follows:

[[Page 22]]

[GRAPHIC] [TIFF OMITTED] TN30AU93.009

Where,
[GRAPHIC] [TIFF OMITTED] TN30AU93.010

    (i) For equipment/alternative fuel that is being certified under 
Sec. 85.1407 as available to all affected operators for less than the 
life cycle cost ceiling, the discounted lifetime mileage is 129,104 
miles. For equipment/alternative fuel that is not being certified under 
Sec. 85.1407 as available to all affected operators for less than the 
life cycle cost ceiling, the discounted lifetime mileage is based on the 
age of the urban bus engine being rebuilt as specified in the following 
table:

------------------------------------------------------------------------
                                                             Discounted
             Age of engine at time of rebuild                 lifetime
                                                                miles
------------------------------------------------------------------------
5 Years...................................................       229,478
6 Years...................................................       204,881
7 Years...................................................       180,703
8 Years...................................................       155,902
9 Years...................................................       131,505
10 Years..................................................       109,680
11 Years..................................................        90,608
12 Years..................................................        70,200
13 Years..................................................        48,364
14 Years..................................................        25,000
15 or more Years..........................................             0
------------------------------------------------------------------------

    (ii) The cost per mile for diesel fuel is calculated based on the 
following equation:
[GRAPHIC] [TIFF OMITTED] TN30AU93.011

    (iii) For equipment/alternative fuel that is being certified under 
Sec. 85.1407 as available to all affected operators for less than the 
life cycle cost ceiling, the price of diesel fuel per gallon, excluding 
taxes, is $0.72 x (CPIR/CPI1992). For equipment/
alternative fuel that is not being certified under Sec. 85.1407 as 
available to all affected operators for less than the life cycle cost 
ceiling, the price of diesel fuel per gallon, excluding taxes, is the 
price at which the operator currently purchases diesel fuel, excluding 
taxes.
    (iv) The cost per mile for alternative fuels is calculated based on 
the following equation:

[[Page 23]]

[GRAPHIC] [TIFF OMITTED] TN30AU93.012

    (v) In order for the equipment/alternative fuel to be required, the 
fuel supplier must provide a contract to the urban bus operator 
specifying the cost of the fuel for the life of the engine being 
retrofitted. The contract must specify the maximum incremental cost, 
compared to the cost of diesel fuel on a per mile basis, at which the 
fuel will be sold. As part of the contract, the fuel supplier must also 
provide on-site facilities, meeting all applicable safety and fire code 
requirements, for refueling the urban bus engines being retrofitted, 
unless the operator already has sufficient refueling facilities or the 
operator agrees to use off-site refueling facilities.
    (vi) The fuel economy of the engine retrofitted with the equipment 
will be determined as part of the equipment certification process, as 
detailed in Sec. 85.1407.
    (D) For equipment requiring the use of a fuel additive, the fuel 
additive cost shall be calculated as follows:
[GRAPHIC] [TIFF OMITTED] TN30AU93.013

    (1) For diesel-fueled engines, the fuel economy of the engine is 3.3 
miles per gallon. For alternatively-fueled engines, the fuel economy of 
the engine shall be determined as part of the equipment certification 
process, as detailed in Sec. 85.1407.
    (2) For equipment/fuel additive that is being certified under Sec. 
85.1407 as available to all affected operators for less than the life 
cycle cost ceiling, the discounted lifetime mileage is 129,104 miles. 
For equipment/fuel additive that is not being certified under Sec. 
85.1407 as available to all affected operators for less than the life 
cycle cost ceiling, the discounted lifetime mileage is based on the age 
of the urban bus engine being rebuilt as specified in the following 
table:

------------------------------------------------------------------------
                                                             Discounted
             Age of engine at time of rebuild                 lifetime
                                                                miles
------------------------------------------------------------------------
5 Years...................................................       229,478
6 Years...................................................       204,881
7 Years...................................................       180,703
8 Years...................................................       155,902
9 Years...................................................       131,505
10 Years..................................................       109,680
11 Years..................................................        90,608
12 Years..................................................        70,200
13 Years..................................................        48,364
14 Years..................................................        25,000
15 or more Years..........................................             0
------------------------------------------------------------------------

    (3) The price of the fuel additive is the price at which the fuel 
additive supplier supplies the fuel additive to the urban bus operator. 
In order for the equipment/fuel additive to be required, the equipment/
fuel additive supplier must provide a contract to the urban

[[Page 24]]

bus operator specifying the maximum cost at which the fuel additive will 
be sold for the life of the engine being retrofitted.
    (4) The amount of fuel additive required per gallon of diesel fuel 
will be determined as part of the equipment certification process, as 
detailed in Sec. 85.1407.
    (E) The incremental maintenance cost of the equipment is equal to 
the cost of the parts necessary for scheduled maintenance of the 
retrofit equipment incremental to cost of the parts necessary for 
maintenance of an original, non-retrofitted engine. The incremental 
maintenance cost will be determined as part of the equipment 
certification process, as detailed in Sec. 85.1407.
    (F) For equipment which replaces an existing urban bus engine with a 
new, previously unused engine, a credit will be applied to the life 
cycle cost. The engine replacement credit will be determined as follows:
[GRAPHIC] [TIFF OMITTED] TN30AU93.014

Where,

CPIR is the most recent published Consumer Price Index at 
time of rebuild (for ``all items'' as published by the U.S. Bureau of 
Labor Statistics).
CP11992 is the Consumer Price Index (for ``all items'' as 
published by the U.S. Bureau of Labor Statistics) for 1992.

    (iii) The life cycle cost ceiling for complying with the 0.10 grams 
per brake horsepower-hour (0.037 grams per megajoule) particulate 
rebuild standard is calculated by the following equation at the time of 
rebuild:
[GRAPHIC] [TIFF OMITTED] TN30AU93.015

Where,

CPIR is the most recent published Consumer Price Index at 
time of rebuild (for ``all items'' as published by the U.S. Bureau of 
Labor Statistics).
CPI1992 is the Consumer Price Index (for ``all items'' as 
published by the U.S. Bureau of Labor Statistics) for 1992.

    (2) If no equipment meets the provisions of paragraph (b)(1) of this 
section for a particular model of urban bus engine, then any urban bus 
for which this subpart is applicable shall use equipment that has been 
certified to achieve at least a 25 percent reduction in particulate 
emissions from the original certified particulate emission level of the 
urban bus engine model being rebuilt, if such equipment is available as 
specified in paragraph (b)(2)(i) of this section. If no certification 
data exists for the emission level of the original urban bus engine 
configuration as initially certified, then other test data collected 
over the heavy-duty engine Federal Test Procedure, or an approved 
alternative test procedure prescribed under Sec. 85.1414, may be 
considered in determining the percent reduction.
    (i) Equipment is available for a particular engine model if 
equipment has been certified to achieve at least a 25 percent reduction 
in particulate emissions from original levels, and the equipment for the 
engine model has been approved for certification for six months or more, 
and has a life cycle cost as determined under paragraph (b)(2)(ii) of 
this section that does not exceed the life cycle cost ceiling specified 
in paragraph (b)(2)(iii) of this section.
    (ii) The life cycle cost of equipment is equal to the sum of the 
purchase price, the installation cost, the incremental fuel cost, the 
cost of any fuel additives required, and the incremental maintenance 
cost associated with the equipment each as defined in paragraphs 
(b)(2)(ii)(A) through (b)(2)(ii)(E)

[[Page 25]]

of this section minus an engine replacement credit as defined in 
paragraph (b)(2)(ii)(F) of this section if the equipment replaces an 
existing engine with a new engine.
    (A) The purchase price is defined as the price at which the 
equipment (including all parts necessary to install and operate the 
equipment properly) is offered to the operator. The purchase price 
excludes reasonable shipping and handling fees and taxes, and equipment 
costs incurred by the urban bus operator for a standard rebuild.
    (B)(1) The installation cost is defined as the labor cost of 
installing the equipment on an urban bus engine, incremental to a 
standard rebuild, based on a labor rate of $35 per hour. The 
installation cost is calculated using the following equation:
[GRAPHIC] [TIFF OMITTED] TN30AU93.016

Where,

CPIR is the most recent published Consumer Price Index at 
time of rebuild (for ``all items'' as published by the U.S. Bureau of 
Labor Statistics).
CPI1992 is the Consumer Price Index (for ``all items'' as 
published by the U.S. Bureau of Labor Statistics) for 1992.

    (2) The estimated number of hours necessary to install the equipment 
will be determined as part of the equipment certification process, as 
detailed in Sec. 85.1407.
    (C) The incremental fuel cost is defined as the increased fuel costs 
or the fuel savings due to the use of the equipment. (By definition, 
fuel savings will be negative values.) The calculation of incremental 
fuel cost will depend on the type of equipment being installed.
    (1)(i) For equipment not requiring a change from on road federal 
diesel fuel, the incremental fuel cost shall be calculated as follows:
[GRAPHIC] [TIFF OMITTED] TN30AU93.017

Where,

CPIR is the most recent published Consumer Price Index at 
time of rebuild (for ``all items'' as published by the U.S. Bureau of 
Labor Statistics).
CPI1992 is the Consumer Price Index (for ``all items'' as 
published by the U.S. Bureau of Labor Statistics) for 1992.

    (ii) The percent change in fuel economy will be determined as part 
of the equipment certification process, as detailed in Sec. 85.1407. If 
equipment causes the fuel economy of the engine to increase, the value 
of the fuel economy % reduction in the above equation shall be a 
negative value.
    (2) For equipment requiring a fuel other than on road federal diesel 
fuel, the incremental fuel cost shall be calculated as follows:

[[Page 26]]

[GRAPHIC] [TIFF OMITTED] TN30AU93.018

Where,
[GRAPHIC] [TIFF OMITTED] TN30AU93.019

    (i) For equipment/alternative fuel that is being certified under 
Sec. 85.1407 as available to all affected operators for less than the 
life cycle cost ceiling, the discounted lifetime mileage is 129,104 
miles. For equipment/alternative fuel that is not being certified under 
Sec. 85.1407 as available to all affected operators for less than the 
life cycle cost ceiling, the discounted lifetime mileage is based on the 
age of the urban bus engine being rebuilt as specified in the following 
table:

------------------------------------------------------------------------
                                                              Discounted
              Age of engine at time of rebuild                 lifetime
                                                                miles
------------------------------------------------------------------------
5 years....................................................      229,478
6 years....................................................      204,881
7 years....................................................      180,703
8 years....................................................      155,902
9 years....................................................      131,505
10 years...................................................      109,680
11 years...................................................       90,608
12 years...................................................       70,200
13 years...................................................       48,364
14 years...................................................       25,000
15 or more years...........................................            0
------------------------------------------------------------------------

    (ii) The cost per mile for diesel fuel is calculated based on the 
following equation:
[GRAPHIC] [TIFF OMITTED] TN30AU93.020

    (iii) For equipment/alternative fuel that is being certified under 
Sec. 85.1407 as available to all affected operators for less than the 
life cycle cost ceiling, the price of diesel fuel per gallon, excluding 
taxes, is $0.72x(CPIR/CPI1992). For equipment/
alternative fuel that is not being certified under Sec. 85.1407 as 
available to all affected operators for less than the life cycle cost 
ceiling, the price of diesel fuel per gallon, excluding taxes, is the 
price at which the operator currently purchases diesel fuel, excluding 
taxes.
    (iv) The cost per mile for alternative fuels is calculated based on 
the following equation:

[[Page 27]]

[GRAPHIC] [TIFF OMITTED] TN30AU93.021

    (v) In order for the equipment/alternative fuel to be required, the 
fuel supplier must provide a contract to the urban bus operator 
specifying the cost of the fuel for the life of the engine being 
retrofitted. The contract must specify the incremental cost, compared to 
the cost of diesel fuel on a per mile basis, at which the fuel will be 
sold. As part of the contract, the fuel supplier must also provide on-
site facilities, meeting all applicable safety and fire code 
requirements, for refueling, the urban bus engines being retrofitted, 
unless the operator already has sufficient refueling facilities or the 
operator agrees to use off-site refueling facilities. The fuel supplier 
must also provide for any modifications to existing facilities that are 
necessary due to the use of the equipment/alternative fuel to meet 
applicable safety and fire code requirements.
    (vi) The fuel economy of the engine retrofitted with the equipment 
will be determined as part of the equipment certification process, as 
detailed in Sec. 85.1407.
    (D) For equipment requiring the use of a fuel additive, the fuel 
additive cost shall be calculated as follows:
[GRAPHIC] [TIFF OMITTED] TN30AU93.022

    (1) For diesel-fueled engines, the fuel economy of the engine is 3.3 
miles per gallon. For alternatively-fueled engines, the fuel economy of 
the engine shall be determined as part of the equipment certification 
process, as detailed in Sec. 85.1407.
    (2) For equipment/fuel additive that is being certified under Sec. 
85.1407 as available to all affected operators for less than the life 
cycle cost ceiling, the discounted lifetime mileage is 129,104 miles. 
For equipment/fuel additive that is not being certified under Sec. 
85.1407 as available to all affected operators for less than the life 
cycle cost ceiling, the discounted lifetime mileage is based on the age 
of the urban bus engine being rebuilt as specified in the following 
table:

------------------------------------------------------------------------
                                                              Discounted
              Age of engine at time of rebuild                 lifetime
                                                                miles
------------------------------------------------------------------------
5 years....................................................      229,478
6 years....................................................      204,881
7 years....................................................      180,703
8 years....................................................      155,902
9 years....................................................      131,505
10 years...................................................      109,680
11 years...................................................       90,608
12 years...................................................       70,200
13 years...................................................       48,364
14 years...................................................       25,000
15 or more years...........................................            0
------------------------------------------------------------------------


[[Page 28]]

    (3) The price of the fuel additive is the price at which the fuel 
additive supplier supplies the fuel additive to the urban bus operator. 
In order for the equipment/fuel additive to be required, the equipment/
fuel additive supplier must provide a contract to the urban bus operator 
specifying the maximum cost at which the fuel additive will be sold for 
the life of the engine being retrofitted.
    (4) The amount of fuel additive required per gallon of diesel fuel 
will be determined as part of the equipment certification process, as 
detailed in Sec. 85.1407.
    (E) The incremental maintenance cost of the equipment is equal to 
the cost of the parts necessary for scheduled maintenance of the 
retrofit equipment incremental to cost of the parts necessary for 
maintenance of an original, non-retrofitted engine. The incremental 
maintenance cost will be determined as part of the equipment 
certification process, as detailed in Sec. 85.1407.
    (F) For equipment which replaces an existing urban bus engine with a 
new, previously unused engine, a credit will be applied to the life 
cycle cost. The engine replacement credit will be determined as follows:
[GRAPHIC] [TIFF OMITTED] TN30AU93.023

Where,

CPIR is the most recent published Consumer Price Index at 
time of rebuild (for ``all items'' as published by the U.S. Bureau of 
Labor Statistics).
CPI1992 is the Consumer Price Index (for ``all items'' as 
published by the U.S. Bureau of Labor Statistics) for 1992.

    (iii) The life cycle cost ceiling for complying with the 25 percent 
particulate emission reduction requirement is calculated by the 
following equation at the time of rebuild:
[GRAPHIC] [TIFF OMITTED] TN30AU93.024

Where,

CPIR is the most recent published Consumer Price Index at 
time of rebuild (for ``all items'' as published by the U.S. Bureau of 
Labor Statistics).
CPI1992 is the Consumer Price Index (for ``all items'' as 
published by the U.S. Bureau of Labor Statistics) for 1992.

    (3)(i) Urban buses covered by this subpart for which no equipment is 
available under paragraphs (b)(1) or (b)(2) of this section shall be 
equipped with one of the following:
    (A) The original engine rebuilt to its original engine configuration 
as specified in paragraph (b)(3)(ii) of this section; or
    (B) An engine identical to its original engine which has been 
rebuilt to its original configuration as specified in paragraph 
(b)(3)(ii) of this section; or
    (C) An engine of a configuration with a certification PM level lower 
than the original configuration; or
    (D) A replacement engine with a particulate matter certification 
level lower than the original engine.
    (ii) All replacement or rebuilt parts shall be equivalent to the 
original equipment specifications.
    (4) Notwithstanding paragraph (b)(3) of this section, if as of July 
1, 1996, no equipment has been certified to meet the cost ceiling 
requirements of paragraphs (b)(1) or (b)(2) of this section, then urban 
buses covered by this subpart shall be equipped with equipment that has 
been certified to achieve at least a 25 percent reduction in particulate 
emissions from the original certified particulate emission level of the 
urban bus engine model being rebuilt, provided the equipment does not 
require any of the following:

[[Page 29]]

    (i) A switch from mechanical control to electronic control; or
    (ii) Installation of exhaust aftertreatment equipment; or
    (iii) The use of a fuel different from the fuel on which the engine 
currently operates.
    (c) Program 2: Averaging based program. Program 2 requires affected 
urban bus operators to meet an annual average fleet particulate 
emissions level, rather than requiring each individual rebuilt urban bus 
engine in the operator's fleet to meet a specific particulate emission 
level. Under Program 2, each affected fleet operator must reduce 
particulate emissions from its affected urban buses (i.e., 1993 and 
earlier model year urban buses) to a level low enough to meet an annual 
average target level for a fleet (TLF) for particulate emissions (in 
grams per brake horsepower-hour). The TLF is calculated for each year of 
the program beginning in 1996. During each calendar year, the average 
particulate emissions level from all of the operator's pre-1994 model 
year urban buses must be at or below the TLF for that calendar year. The 
TLF for a particular calendar year is calculated based on the Agency's 
determination of the projected emission level for each engine model in 
the operator's pre-1994 model year urban bus fleet, as specified in 
paragraph (c)(1)(iii) of this section, and based on a schedule for 
rebuilding of affected urban bus engines, as specified in paragraph 
(c)(1)(iv) of this section.
    (1) During each calendar year starting with 1996, urban bus 
operators shall be in compliance with an annual Target Level for a Fleet 
(TLF) of particulate emissions calculated using the equation defined in 
paragraph (c)(1)(i) of this section. Operators must comply with a TLF, 
rounded to two places after the decimal, until all pre-1994 urban buses 
have been retired from the operator's fleet.
    (i) An urban bus operator's annual Target Level for a Fleet (TLF) 
for a particular calendar year shall be calculated as follows:
[GRAPHIC] [TIFF OMITTED] TN30AU93.025

Where,

CY is the calendar year.
MY is the model year.
BMY is the number of urban buses of that model year in the 
operator's fleet as of January 1, 1995, plus any urban buses of that 
model year added to the fleet after January 1, 1995.
WPMY is the weighted average of projected particulate 
emissions for urban buses of that model year calculated using the 
formula in paragraph (c)(1)(ii) of this section.

    (ii) The weighted average of projected particulate emissions for 
urban buses of a particular model year is calculated using the following 
equation:
[GRAPHIC] [TIFF OMITTED] TN30AU93.026


[[Page 30]]


Where,

MY is the model year.
z is the number of different engine models in the fleet of model year 
MY.
Bz is the number of urban buses in the operator's fleet as of 
January 1, 1995 (including those added after January 1, 1995) equipped 
with a specific engine model of the given model year.
Pz is the projected particulate emission level of that engine 
model provided in paragraphs (c)(1)(iii) and (c)(1)(iv) of this section.

    (iii)(A) Pre-rebuild particulate emission levels and projected post-
rebuild particulate emission levels in grams per brake horsepower-hour 
(g/bhp-hr) are based on engine type and model year and are specified in 
the following table. The appropriate particulate level, pre-rebuild or 
post-rebuild, shall be determined using the information contained in 
paragraph (c)(1)(iv) of this section.

----------------------------------------------------------------------------------------------------------------
                                                                                                      Projected
                                                                                        Pre-rebuild     post-
                                                                                        particulate    rebuild
                 Engine model                            Model year of engine            level (g/   particulate
                                                                                          bhp-hr)     level (g/
                                                                                                       bhp-hr)
----------------------------------------------------------------------------------------------------------------
DDC 6V92TA...................................  1979-1987..............................         0.50         0.30
                                               1988-1989..............................         0.30         0.10
DDC 6V92TA DDECI.............................  1986-1987..............................         0.30         0.30
DDC 6V92TA DDECII............................  1988-1991..............................         0.31         0.10
                                               1992...................................         0.25         0.10
                                               1993 (no trap).........................         0.25         0.10
                                               1993 (trap)............................         0.07         0.07
DDC Series 50................................  1993...................................         0.16         0.10
DDC 6V71N....................................  1973-1987..............................         0.50         0.50
                                               1988-1989..............................         0.50         0.10
DDC 6V71T....................................  1985-1986..............................         0.50         0.50
DDC 8V71N....................................  1973-1984..............................         0.50         0.50
DDC 6L71TA...................................  1990...................................         0.59         0.10
                                               1988-1989..............................         0.31         0.10
DDC 6L71TA DDEC..............................  1990-1991..............................         0.30         0.10
Cummins L10..................................  1985-1987..............................         0.65         0.65
                                               1988-1989..............................         0.55         0.10
                                               1990-1991..............................         0.46         0.10
Cummins L10 EC...............................  1992...................................         0.25         0.10
                                               1993 (trap)............................         0.05         0.05
Alternatively-fueled engines.................  Pre-1994...............................         0.10         0.10
Other engines................................  Pre-1988...............................         0.50         0.50
                                               1988-1993..............................        (\1\)        0.10
----------------------------------------------------------------------------------------------------------------
\1\ Certification level.

    (B) For the TLF calculations as specified in paragraph (c)(1)(iv) of 
this section, post-rebuild particulate emissions levels for a specific 
engine model shall be equal to the following:
    (1) 0.10 g/bhp-hr, for any engine model (other than any model year 
1984 and 1987 engine models, and those engine models indicated in 
paragraph (c)(1)(iii)(B)(4) of this section) for which equipment has 
been certified by July 1, 1994 as meeting the emission and cost 
requirements of paragraph (b)(1) of this section for all affected urban 
bus operators;
    (2) For any engine model for which no equipment has been certified 
by July 1, 1994 as meeting the requirements of paragraph (b)(1) of this 
section for all affected urban bus operators, (and for any model year 
1984 and 1987 engine models) for which equipment has been certified by 
July 1, 1994 as meeting the emission and cost requirements of paragraph 
(b)(2) of this section for all affected urban bus operators, the post-
rebuild particulate emission level shall equal the lowest emission level 
(greater than or equal to 0.10 g/bhp-hr) certified for any such 
equipment;
    (3) For any engine model for which no equipment has been certified 
by July 1, 1994 as meeting the emission and cost requirements of 
paragraph (b)(1) or paragraph (b)(2) of this section for all affected 
urban bus operators, the post-rebuild particulate emission level shall 
equal the pre-rebuild particulate level;
    (4) For any engine model with a pre-rebuild particulate level below 
0.10 g/

[[Page 31]]

bhp-hr, the post-rebuild particulate emission level shall equal the pre-
rebuild particulate level;
    (5) Notwithstanding paragraph (c)(1)(iii)(C)(3) of this section, if 
by July 1, 1994, no equipment has been certified for any of the engine 
models listed in the table at paragraph (c)(1)(iii)(A) of this section, 
then the post-rebuild particulate levels shall be as indicated in the 
table at paragraph (c)(1)(iii)(A) of this section.
    (C) For TLF calculations as specified in paragraph (c)(1)(iv) of 
this section, post-rebuild particulate emission levels for a specific 
engine model shall be equal to the following:
    (1) 0.10 g/bhp-hr, for any engine model (other than those indicated 
in paragraph (c)(1)(iii)(C)(4) of this section) for which equipment has 
been certified by July 1, 1996 as meeting the emission and cost 
requirements of paragraph (b)(1) of this section for all affected urban 
bus operators;
    (2) For any engine model for which no equipment has been certified 
by July 1, 1996 as meeting the requirements of paragraph (b)(1) of this 
section for all affected urban bus operators, but for which equipment 
has been certified by July 1, 1996 as meeting the emission and cost 
requirements of paragraph (b)(2) of this section for all affected urban 
bus operators, the post-rebuild particulate emission level shall equal 
the lowest emission level (greater than or equal to 0.10 g/bhp-hr) 
certified for any such equipment;
    (3) For any engine model for which no equipment has been certified 
by July 1, 1996 as meeting the requirements of either paragraph (b)(1) 
or paragraph (b)(2) of this section, the post-rebuild particulate 
emission level shall equal the pre-rebuild particulate level;
    (4) For any engine model with a pre-rebuild particulate level below 
0.10 g/bhp-hr, the post-rebuild particulate emission level shall equal 
the pre-rebuild particulate level;
    (5) Notwithstanding paragraph (c)(1)(iii)(C)(3) of this section, if 
by July 1, 1996, no equipment has been certified to meet the emission 
requirements of paragraph (b)(1) or paragraph (b)(2) of this section for 
any of the engine models listed in the table at paragraph (c)(1)(iii)(A) 
of this section, then the post-rebuild particulate levels shall be the 
pre-rebuild particulate levels specified in the table at paragraph 
(c)(1)(iii)(A) of this section.
    (D) For TLF calculations as specified in paragraph (c)(1)(iv) of 
this section, post-rebuild particulate emission levels for a specific 
engine model shall be equal to the following:
    (1) 0.10 g/bhp-hr, for any engine model (other than those indicated 
in paragraph (c)(1)(iii)(D)(4) of this section) for which equipment has 
been certified by July 1, 1998 as meeting the emission and cost 
requirements of paragraph (b)(1) of this section for all affected urban 
bus operators;
    (2) For any engine model for which no equipment has been certified 
by July 1, 1998 as meeting the requirements of paragraph (b)(1) of this 
section for all affected urban bus operators, but for which equipment 
has been certified by July 1, 1996 as meeting the emission and cost 
requirements of paragraph (b)(2) of this section for all affected urban 
bus operators, the post-rebuild particulate emission level shall equal 
the lowest emission level (greater than or equal to 0.10 g/bhp-hr) 
certified by July 1, 1998 for any such equipment;
    (3) For any engine model for which no equipment has been certified 
by July 1, 1998 as meeting the emission and cost requirements of 
paragraph (b)(1) or (b)(2) of this section, the post-rebuild particulate 
emission level shall equal the pre-rebuild particulate level;
    (4) For any engine model with a pre-rebuild particulate level below 
0.10 g/bhp-hr, the post-rebuild particulate emission level shall equal 
the pre-rebuild particulate level;
    (5) Notwithstanding paragraph (c)(1)(iii)(D)(3) of this section, if 
by July 1, 1998, no equipment has been certified to meet the emission 
requirements of paragraph (b)(1) or (b)(2) of this section for any of 
the engine models listed in the table at paragraph (c)(1)(iii)(A) of 
this section, then the post-rebuild particulate levels shall be the pre-
rebuild particulate levels specified in the table at paragraph 
(c)(1)(iii)(A) of this section; and
    (6) Notwithstanding paragraph (c)(1)(iii)(D)(3) of this section, if 
by

[[Page 32]]

July 1, 1998, equipment has been certified to meet the emissions 
requirements of paragraph (b)(1) or (b)(2) of this section for any of 
the engine models listed in the table at paragraph (c)(1)(iii)(A) of 
this section, but no equipment has been certified by July 1, 1998 to 
meet the life-cycle cost requirements of paragraph (b)(1) or (b)(2) of 
this section, then the post-rebuild particulate levels shall be as 
specified in the following table:

----------------------------------------------------------------------------------------------------------------
                                                                                                        Post-
                                                                                        Pre-rebuild   rebuild PM
                 Engine model                               Model year sold               PM level    level  (g/
                                                                                         (g/bhp-hr)    bhp-hr)
----------------------------------------------------------------------------------------------------------------
DDC 6V92TA....................................  1979-1987.............................         0.50         0.30
                                                1988-1989.............................          .30          .30
DDC 6V92TA DDECI..............................  1986-1987.............................          .30          .30
DDC 6V92TA DDECII.............................  1988-1991.............................          .31          .25
                                                1992..................................          .25          .25
                                                1993 (no trap)........................          .25          .25
                                                1993 (trap)...........................          .07          .07
DDC Series 50.................................  1993..................................          .16          .16
DDC 6V71N.....................................  1973-1987.............................          .50          .50
                                                1988-1989.............................          .50          .50
DDC 6V71T.....................................  1985-1986.............................          .50          .50
DDC 8V71N.....................................  1973-1984.............................          .50          .50
DDC 6L71TA....................................  1990..................................          .59          .59
                                                1988-1989.............................          .31          .31
DDC 6L71TA DDEC...............................  1990-1991.............................          .30          .30
Cummins L10...................................  1985-1987.............................          .65          .46
                                                1988-1989.............................          .55          .46
                                                1990-1991.............................          .46          .46
Cummins L10 EC................................  1992..................................          .25          .25
                                                1993 (trap)...........................          .05          .05
Alternatively-fueled Engines..................  Pre-1994..............................          .10          .10
Other Engines.................................  Pre-1988..............................          .50          .50
                                                1988-1993.............................        (\1\)        (\1\)
----------------------------------------------------------------------------------------------------------------
(\1\) New engine certification level.

    (iv) To determine which particulate (PM) emission level from 
paragraph (c)(1)(iii) of this section is used for a particular model 
year engine in a fleet for the TLF of a given calendar year, use the 
following table:

------------------------------------------------------------------------
                       Year for which
   Model year of        TLF is being     Particulate emission level (see
       engine            calculated        Sec.  85.1403(c)(1)(iii))
------------------------------------------------------------------------
1993...............  1996-1998........  Pre-Rebuild Level.\1\
                     1999-2001........  Post-Rebuild Level.\3\
                     2002-thereafter..  Post-Rebuild Level.\4\
1992...............  1996-1998........  Pre-Rebuild Level.\1\
                     1999-2003........  Post-Rebuild Level.\3\
                     2004-thereafter..  Post-Rebuild Level.\4\
1991...............  1996-1997........  Pre-Rebuild Level.\1\
                     1998-2002........  Post-Rebuild Level.\3\
                     2003-thereafter..  Post-Rebuild Level.\4\
1990...............  1996-1999........  Pre-Rebuild Level.\1\
                     2000-thereafter..  Post-Rebuild Level.\4\
1989...............  1996-1999........  Pre-Rebuild Level.\1\
                     2000-thereafter..  Post-Rebuild Level.\4\
1988...............  1996-1998........  Pre-Rebuild Level.\1\
                     1999-thereafter..  Post-Rebuild Level.\3\
1987...............  1996-1998........  Post-Rebuild Level.\2\
                     1999-thereafter..  Post-Rebuild Level.\3\
1986...............  1996-1997........  Pre-Rebuild Level.\1\
                     1998-thereafter..  Post-Rebuild Level.\3\
1985...............  1996.............  Pre-Rebuild Level.\1\
                     1997-thereafter..  Post-Rebuild Level.\2\
1984...............  1996-thereafter..  Post-Rebuild Level.\2\
Pre-1984...........  1996-thereafter..  Pre-Rebuild Level.\1\
------------------------------------------------------------------------
\1\ The pre-rebuild PM level established in paragraph (c)(1)(iii)(A) of
  this section.
\2\ The post-rebuild PM level established pursuant to paragraph
  (c)(1)(iii)(B) of this section.
\3\ The post-rebuild PM level established pursuant to paragraph
  (c)(1)(iii)(C) of this section.
\4\ The post-rebuild PM level established pursuant to paragraph
  (c)(1)(iii)(D) of this section.


[[Page 33]]

    (2) To determine compliance under this program, the TLF, rounded to 
two places after the decimal, shall be compared with an annual Fleet 
Level Attained (FLA) of particulate emissions calculated using the 
equation defined in paragraph (c)(2)(i) of this section, and also 
rounded to two places after the decimal. At all times during a given 
calendar year, the FLA must be at or below the TLF for the same calendar 
year in order for the fleet to be in compliance.
    (i) An urban bus operator shall calculate its Fleet Level Attained 
(FLA) using the following equation:
[GRAPHIC] [TIFF OMITTED] TN30AU93.027

Where,

MY is the model year.
MY1 is the model year of the oldest urban bus in an 
operator's fleet.
BMY is the number of urban buses of model year MY in an 
operator's fleet, excluding those urban buses older than fifteen years 
that meet a 0.10 grams per brake horsepower-hour particulate standard.
BR is the number of 1993 and earlier model year urban buses 
retired since January 1, 1995 that would have been less than 15 years 
old, as calculated by the model year of the urban bus on December 31st 
of the given calendar year, but does not include retired urban buses 
that are replaced by other 1993 and earlier model year urban buses.
WEMY is the weighted average of engine-specific particulate 
emissions for urban buses in that model year in an operator's fleet, 
excluding those urban buses older than fifteen years that meet a 0.10 
grams per brake horsepower-hour particulate standard, calculated using 
the formula in paragraph (c)(2)(ii) of this section.

    (ii) The weighted average of engine specific particulate emissions 
for urban buses of a particular model year, excluding those urban buses 
older than fifteen years that meet a 0.10 grams per brake horsepower-
hour particulate standard is calculated using the following equation:
[GRAPHIC] [TIFF OMITTED] TN30AU93.028

Where,

q is the number of different engine configurations in a given model 
year, excluding those urban buses older than fifteen years that meet a 
0.10 grams per brake horsepower-hour particulate standard.
Bq is the number of urban buses with a specific engine 
configuration.
Eq is the engine-specific particulate emission level for a 
given configuration.

    (iii) The Eq shall be defined as:
    (A) The pre-rebuild level as specified in paragraph (c)(1)(iii) of 
this section in cases where an engine has not been rebuilt after January 
1, 1995 or has been rebuilt to its original configuration; or
    (B) The particulate emission level (in grams per brake horsepower-
hour) achieved after installing emission control equipment on the urban 
bus at

[[Page 34]]

time of rebuild, where an engine has been rebuilt using emission control 
equipment after January 1, 1995. Such particulate emission levels will 
be established by the equipment certifier during equipment 
certification; or
    (C) 0.10 grams per brake horsepower-hour (0.037 grams per megajoule) 
for urban buses covered by the provisions specified in paragraph (d)(1) 
of this section; or
    (D) The particulate emission level (in grams per brake horsepower-
hour) of the upgrade engine configuration for urban buses covered by the 
provisions specified in paragraph (d)(3) of this section; or
    (E) The particulate emission level (in grams per brake horsepower-
hour) determined by applying an additional percent reduction in 
particulate emissions to the particulate levels determined in paragraphs 
(c)(2)(iii)(A) through (c)(2)(iii)(D) of this section for those urban 
buses operating on diesel-based fuels which achieve particulate 
reductions beyond federally required diesel fuel with 0.05 weight 
percent sulfur content. Such additional percent reductions will be 
determined through certification of such diesel-based fuels as specified 
in Sec. 85.1407.
    (d)(1) Operators of urban buses covered by this subpart which have 
had particulate traps installed prior to January 1, 1995, or are powered 
by an alternative fuel that significantly reduces particulate emissions 
compared to emissions from diesel fuel, may assume that such urban buses 
are operating at a PM level of 0.10 grams per brake horsepower-hour 
(0.037 grams per megajoule) for purposes of meeting the requirements set 
forth in paragraphs (b) and (c) of this section as long as such urban 
buses have engines that are properly calibrated and maintained in 
accordance with equipment manuals and instructions, and the operator has 
no reason to believe otherwise.
    (2) Any urban buses which have had particulate traps installed prior 
to January 1, 1995, or are powered by a fuel that significantly reduces 
particulate emissions compared to emissions from diesel fuel, whose 
engines have not been properly calibrated and maintained in accordance 
with equipment manuals and instructions or the operator has reason to 
believe otherwise, shall be treated as if such equipment was not 
installed for purposes of determining compliance with paragraphs (b) and 
(c) of this section.
    (3) Operators of urban buses covered by this subpart which have 
upgrade kits installed prior to January 1, 1995, may assume that such 
urban buses are operating at the PM level of the upgraded engine 
configuration for purposes of meeting the requirements set forth in 
paragraphs (b) and (c) of this section.
    (e)(1) The standard and percent emission reductions requirements set 
forth in paragraphs (b) and (c) of this section refer to exhaust emitted 
over the operating schedule set forth in paragraph (f)(2) of appendix I 
to part 86 of this chapter and measured and calculated in accordance 
with the procedures set forth in subpart N of part 86 of this chapter.
    (2) Equipment certifiers may also submit emission results from EPA-
approved alternative test procedures showing compliance with the 25 
percent reduction requirements of paragraphs (b) and (c) of this 
section. As required in Sec. 85.1414, the equipment certifier shall 
supply information on the alternative test procedure which supports the 
certifier's claims that the alternative test procedure is typical of in-
use urban bus operation.
    (f) Every operator subject to the requirements prescribed in this 
section shall keep records of all engine rebuilds and replacements 
performed on urban buses as required in Sec. 85.1404, and maintain 
evidence that their urban buses are in compliance with the requirements 
of paragraphs (b) or (c) of this section.
    (g) Operators shall affix the label provided with the equipment, 
required under Sec. 85.1411(a), to the engine being rebuilt with the 
equipment.

[58 FR 21386, Apr. 21, 1993, as amended at 63 FR 14635, Mar. 26, 1998]



Sec. 85.1404  Maintenance of records for urban bus operators; submittal of information; right of entry.

    (a) The operator of any urban bus for which this subpart is 
applicable shall maintain and retain the following adequately organized 
and indexed records

[[Page 35]]

beginning January 1, 1995. Each operator shall keep such records until 
the five year anniversary of a rebuild or until the engine is rebuilt 
again, whichever occurs first.
    (1) General records. The records required to be maintained under 
this paragraph shall consist of all purchase records, receipts, and part 
numbers for parts and components used in the rebuilding of urban bus 
engines.
    (2) Individual records. A brief history of each urban bus subject to 
the rebuild provisions prescribed under this section including the 
records and documentation required to be maintained under Sec. 
85.1403(f) of this subpart.
    (3) Fuel purchase records. The records required under this paragraph 
consist of all purchase records of fuels for which the operator is 
claiming additional emission reductions under Sec. 
85.1403(c)(2)(iii)(E), purchase records for fuel additives required for 
use with equipment, and purchase records for fuels, other than diesel 
fuel, which are used with dual-fueled engines.
    (b)(1) Any operator subject to the requirements under this section 
shall provide any EPA Enforcement Officer, upon presentation of 
credentials during operating hours, access to the following:
    (i) Any facility where records required to be maintained under this 
section are generated or stored.
    (ii) Any facility where engine rebuilding or replacement takes 
place.
    (2) Upon admission to any facility referred to in paragraph (b)(1) 
of this section, any EPA Enforcement Officer shall be allowed:
    (i) To inspect and make copies of records required to be maintained 
under this section.
    (ii) To inspect and photograph any urban bus and engine subject to 
the standards set forth in Sec. 85.1403 of this subpart.
    (iii) To inspect and monitor any activity related to the rebuilding 
or replacement of an engine in an urban bus for which these regulations 
are applicable as described in Sec. 85.1401 of this subpart.



Sec. 85.1405  Applicability.

    The provisions of Sec. Sec. 85.1405 through 85.1414 apply to 
retrofit/rebuild equipment which is to be installed on or used with 1993 
and earlier model year urban buses whose engines are rebuilt or replaced 
after January 1, 1995. For the purposes of Sec. Sec. 85.1405 through 
85.1414, ``equipment'' includes alternative fuels and fuel additives to 
be used with urban bus engines.



Sec. 85.1406  Certification.

    (a) Certification compliance shall be demonstrated as follows:
    (1) Test procedure and emission results. The emission test to be 
used is the heavy-duty engine Federal Test Procedure as set forth in the 
applicable portions of part 86 of this chapter or an approved 
alternative test procedure prescribed under Sec. 85.1414. Certification 
emission testing must be carried out using representative production 
equipment as provided in paragraph (b) of this section. The test results 
must demonstrate that the retrofit/rebuild equipment will comply with 
either the particulate emission requirements of Sec. Sec. 
85.1403(b)(1)(i) or 85.1403(b)(2)(i), or provide some level of 
particulate emission reduction, and will not cause the urban bus engine 
to fail to meet any applicable Federal emission requirements set for 
that engine in the applicable portions of 40 CFR part 86, provided the 
equipment is properly installed.
    (2) Emission test engine selection. (i) The test engine used must 
represent the ``worst case'' with respect to particulate emissions of 
all those engine configurations for which the retrofit/rebuild equipment 
is being certified. The worst case engine configuration shall be the 
engine configuration having the highest engine-out particulate matter 
emission levels, when properly maintained and used, prior to 
installation of the retrofit/rebuild equipment. EPA reserves the right 
to request data or information showing that the particulate emission 
reduction efficiency of the retrofit/rebuild equipment being certified 
under this paragraph, for use with more than one engine family, does not 
vary significantly among the engine families.
    (ii) The results of certification tests using the worst case engine 
selections made in this section shall be applicable for the other engine 
configurations for

[[Page 36]]

which the retrofit/rebuild equipment is designed.
    (iii) The worst case test engine selected for certification emission 
testing is not required to meet Federal emission standards before the 
retrofit/rebuild equipment is installed. However, each test engine shall 
have representative emissions performance that is close to the standards 
and have no obvious or suspected emission defects. Each test engine 
shall be tuned properly and set to the engine manufacturer's 
specifications before testing is performed. Any excessively worn or 
malfunctioning emission related part shall be repaired or replaced with 
a new part prior to testing.
    (iv) To demonstrate compliance with the particulate emission 
requirements of Sec. 85.1403(b)(1)(i), the test engine used may be a 
new unused engine, an in-use engine that has been rebuilt previously, or 
an in-use engine that has not been rebuilt previously.
    (v) (A) To demonstrate compliance with the particulate emission 
requirements of Sec. 85.1403(b)(2)(i) on engines for which particulate 
certification data exists, the test engine used may be a new unused 
engine, an in-use engine that has been rebuilt previously, or an in-use 
engine that has not been rebuilt previously.
    (B) To demonstrate compliance with the particulate emission 
requirements of Sec. 85.1403(b)(2)(i) on engines for which no 
particulate certification data exists, the test engine used may be a new 
unused engine, or an in-use engine that is newly rebuilt to its original 
configuration.
    (b) Diesel test fuel. Federally required low sulfur diesel fuel 
(with a sulfur content of 0.05 weight percent) shall be used for all new 
emissions testing required to be performed for certification of 
retrofit/rebuild equipment for diesel-fueled urban bus engines.
    (c) Test equipment selection. Certification shall be based upon 
tests utilizing representative production equipment selected in a random 
manner.
    (d) Replacing original equipment parts. Installation of any 
certified retrofit/rebuild equipment shall not result in the permanent 
removal or rendering inoperative of any original equipment emission 
related part other than the part(s) being replaced. Furthermore, 
installation of any certified retrofit/rebuild equipment shall not cause 
or contribute to an unreasonable risk to the public health, welfare or 
safety, or result in any additional range of parameter adjustability or 
accessibility to adjustment than that of the vehicle manufacturer's 
emission related part.
    (e) Affects on engine on-board diagnostic system. Installation of 
any certified retrofit/rebuild equipment shall not alter or render 
inoperative any feature of the on-board diagnostic system incorporated 
by the engine manufacturer. The certified equipment may integrate with 
the existing diagnostic system if it does not alter or render 
inoperative any features of the system.
    (f) In-use enforcement. (1) As a condition of certification, the 
equipment certifier agrees to notify operators who have installed this 
equipment and repair the equipment without cost to the operator when the 
Agency determines that a substantial number of the equipment kits, when 
properly maintained and used, and in actual use throughout the in-use 
compliance period, do not meet emission requirements.
    (2) If the equipment certifier disagrees with such determination of 
nonconformity and so advises the MOD Director, the MOD Director shall 
afford the equipment certifier and other interested persons an 
opportunity to present their views and evidence in support thereof at a 
public hearing conducted in accordance with procedures found in Sec. 
85.1807. For purposes of this section, substitute the word ``equipment'' 
in place of the phrase ``motor vehicles and engines.''



Sec. 85.1407  Notification of intent to certify.

    (a) Prior to the sale of any certified retrofit/rebuild equipment, 
notification of the intent to certify must be approved by the MOD 
Director.
    (1) All notifications shall include:
    (i) Identification of the candidate retrofit/rebuild equipment to be 
certified, including a list of parts and part numbers;
    (ii) Identification of all engine configurations for which the 
equipment is being certified including make(s), engine model(s), model 
year(s), engine

[[Page 37]]

size(s) and all other specific configuration characteristics necessary 
to assure that the equipment will not be installed in any configuration 
for which it has not been certified;
    (iii) All results and documentation of tests and procedures used by 
the equipment certifier as evidence of compliance with the emission 
requirements specified in Sec. 85.1406;
    (iv) A description of the test equipment selection criteria used, 
and a statement that the test equipment used for certification testing 
is representative production equipment consistent with Sec. 85.1406(c);
    (v) A description of the test engine selection criteria used, and 
rationale that supports the technical judgment of the equipment 
certifier that the engine configuration used for certification testing 
represents worst case with respect to particulate matter emissions of 
all those configurations for which the retrofit/rebuild equipment is 
being certified, and all data that supports that conclusion;
    (vi) A copy of the written instructions for proper maintenance and 
use of the equipment, including instructions as to whether the engine 
must be rebuilt to its original configuration before installing the 
equipment;
    (vii) The scheduled maintenance required for the equipment over the 
in-use compliance period, including service intervals of the retrofit/
rebuild equipment which detail the maintenance and replacement intervals 
in months and/or miles, as applicable;
    (viii) A copy of the warranty language to be provided to the 
operator pursuant to both Sec. Sec. 85.1409(a) and 85.1409(b);
    (ix) A statement of commitment and willingness to comply with all 
the relevant terms and conditions of this subpart;
    (x) A statement by the equipment certifier that use of its certified 
equipment will not cause a substantial increase to urban bus engine 
emissions in any normal driving mode not represented during 
certification testing; and
    (xi) The office or officer of the equipment certifier authorized to 
receive correspondence regarding certification requirements pursuant to 
this subpart.
    (2) If an equipment certifier wishes to certify equipment for use 
under Sec. 85.1403(b) for all affected urban bus operators as specified 
in Sec. 85.1401, the notification shall also contain all data and 
documentation used by the equipment certifier as evidence of compliance 
with the life cycle cost requirements specified in Sec. 
85.1403(b)(1)(ii) or Sec. 85.1403(b)(2)(ii); including:
    (i) The price to be charged to an urban bus operator for the 
equipment, excluding shipping and handling costs and taxes;
    (ii) A detailed breakout of the total number of hours necessary to 
install the equipment, and the number of hours necessary to install the 
equipment, incremental to a standard rebuild;
    (iii) For equipment not requiring a change from on road diesel fuel, 
the percent change in fuel economy for an urban bus engine retrofitted 
with the equipment compared to the original engine based on testing 
performed over the heavy-duty engine Federal test procedure or an 
approved alternative test procedure prescribed under Sec. 85.1414, 
including all test data supporting the reported change in fuel economy;
    (iv) For alternatively-fueled equipment, the fuel economy of the 
retrofitted engine based on testing performed over an approved test 
procedure prescribed under Sec. 85.1414, including all test data 
supporting the reported fuel economy, and the unit price of the 
alternative fuel that will be charged to all affected urban bus 
operators;
    (v) For equipment requiring a fuel additive, the amount of fuel 
additive required per gallon of fuel and the unit price of the fuel 
additive that will be charged to all affected urban bus operators; and
    (vi) A list of the scheduled maintenance for an engine with the 
retrofit, and a detailed breakdown of the cost of the parts necessary to 
perform scheduled maintenance, incremental to the cost of the parts 
necessary for maintenance typically performed on an engine without the 
equipment.
    (3) If an equipment certifier wishes to certify equipment for use 
under Sec. 85.1403(b), but not for use by all affected urban bus 
operators as specified

[[Page 38]]

in Sec. 85.1401, the notification shall, in addition to the data and 
documentation specified in paragraph (a)(1) of this section, also 
contain data and documentation that demonstrate compliance with the life 
cycle cost requirements specified in Sec. 85.1403(b)(1)(ii) or Sec. 
85.1403(b)(2)(ii) including:
    (i) A detailed breakout of the total number of hours necessary to 
install the equipment, and the number of hours necessary to install the 
equipment, incremental to a standard rebuild;
    (ii) The percent change in fuel economy for an urban bus engine 
retrofitted with the equipment compared to the original engine based on 
testing performed over the heavy-duty engine Federal test procedure or 
an approved alternative test procedure prescribed under Sec. 85.1414, 
including all test data supporting the reported change in fuel economy;
    (iii) A list of the scheduled maintenance for an engine with the 
retrofit, and a detailed breakdown of the cost of the scheduled 
maintenance, incremental to the cost of maintenance typically performed 
on an engine without the equipment;
    (iv) For alternatively-fueled equipment, the fuel economy of the 
retrofitted engine based on testing performed over an approved test 
procedure prescribed under Sec. 85.1414, including all test data 
supporting the reported fuel economy;
    (v) For equipment requiring a fuel additive, the amount of fuel 
additive required per gallon of fuel; and
    (vi) A description of the type of urban bus operator to which the 
equipment certifier expects to sell the equipment for less than the life 
cycle cost requirements specified in Sec. 85.1403(b)(1)(ii) or Sec. 
85.1403(b)(2)(ii).
    (4) The notification shall be signed by an officer of the equipment 
certifier attesting to the accuracy and completeness of the information 
supplied in the notification.
    (5) Notification to the Agency shall be by certified mail or another 
method by which date of receipt can be established.
    (6) Two complete and identical copies of the notification and any 
subsequent industry comments on any such notification shall be submitted 
by the equipment certifier to: MOD Director, MOD (6405J), Attention: 
Retrofit/Rebuild Equipment, 401 ``M'' Street SW., Washington, DC 20460.
    (7) A copy of the notification submitted under paragraph (a)(6) of 
this section will be placed in a public docket and a summary will be 
published in the Federal Register. Any party interested in the outcome 
of the decision as to whether retrofit/rebuild equipment may be 
certified, may submit comments to the MOD Director on any notice in the 
public docket for 45 days after the summary of the notification of 
intent to certify has been published in the Federal Register.
    (b)(1) For an urban bus operator to take credit for additional 
particulate emission reductions for use of a clean diesel fuel under 
Sec. 85.1403(c)(2)(iii)(E), the following information must be submitted 
to the Agency:
    (i) The additional percent reduction in particulate emissions for 
engines operated on the clean diesel fuel.
    (A) The additional percent reduction in particulate emissions shall 
be calculated based on the results of emission tests performed on urban 
bus engines using federally required low sulfur fuel and the fuel for 
which the certifier is demonstrating addition emission reductions.
    (B) The additional percent reduction in particulate emissions shall 
be calculated based on the following equation:

[[Page 39]]

[GRAPHIC] [TIFF OMITTED] TN30AU93.029

    (ii) The emission testing results for hydrocarbons, carbon monoxide, 
and oxides of nitrogen. The results must show that use of the clean 
diesel fuel does not lead to increases in any of these emissions.
    (2) Emission test results must be submitted for all of the engine 
models for which an urban bus operator wishes to claim additional 
particulate emission reductions.
    (3) Emissions test results shall be measured over the heavy-duty 
engine Federal test procedure or an approved alternative test procedure 
prescribed under Sec. 85.1414.
    (c) The MOD Director reserves the right to review an application to 
determine if the submitted documents adequately meet all the 
requirements for certification specified in Sec. Sec. 85.1406 and 
85.1407. The MOD Director shall determine and will publish in the 
Federal Register the effective date of certification of the candidate 
equipment. Equipment may be sold as certified after the effective date 
of certification.

    Effective Date Note: Information collection requirements in Sec. 
85.1407 have not been approved by the Office of Management and Budget 
(OMB) and are not effective until OMB has approved them.



Sec. 85.1408  Objections to certification.

    (a) At any time prior to certification, the MOD Director may notify 
the equipment certifier that such equipment shall not be certified 
pending further investigation. The basis upon which this notification 
shall be made may include, but not be limited to, information or test 
results submitted by the equipment certifier, or public comments 
submitted on the equipment which indicate:
    (1) The test procedure used to demonstrate compliance with the 
particulate matter emission standard or percent reduction of Sec. 
85.1403 was not in compliance with the heavy-duty engine Federal Test 
Procedure of 40 CFR part 86 or an alternative test procedure approved by 
the Agency under Sec. 85.1414; or
    (2) Use of the candidate equipment may cause an urban bus engine to 
exceed any applicable emission requirements; or
    (3) Use of the candidate equipment could cause or contribute to an 
unreasonable risk to public health, welfare or safety in its operation 
or function; or
    (4) Installation of the candidate equipment requires procedures or 
materials which would likely cause such equipment to be improperly 
installed under normal conditions or would likely result in an urban bus 
engine being misadjusted; or
    (5) Information and/or data required to be in the notification of 
intent to certify as provided by Sec. 85.1407 have not been provided or 
may be inadequate; or
    (6) The life cycle cost estimates provided by the equipment 
certifier do not accurately reflect the true life cycle costs for the 
candidate equipment.
    (b) The equipment certifier must respond in writing to the 
statements made in the notification by the MOD Director, or the MOD 
Director shall withdraw the equipment certifier's notification of intent 
to certify. A copy of the certifier's response will be placed in the 
public docket.
    (1) Any party interested in the outcome of a decision as to whether 
retrofit/rebuild equipment may be certified may provide the MOD Director 
with any relevant written information

[[Page 40]]

up to ten days after the certifier responds to the MOD Director's 
objection.
    (2) Any interested party may request additional time to respond to 
the information submitted by the equipment certifier. The MOD Director 
upon a showing of good cause by the interested party may grant an 
extension of time to reply up to 30 days.
    (3) The equipment certifier may reply to information submitted by 
interested parties. Notification of intent to reply shall be submitted 
to the MOD Director within 10 days of the date information from 
interested parties is submitted to the MOD Director.
    (4) The MOD Director may, at his or her discretion, allow oral 
presentations by the equipment certifier or any interested party in 
connection with contested equipment certification.
    (c) If notification has been provided to an equipment certifier 
pursuant to paragraph (a) of this section, the MOD Director shall, after 
reviewing all pertinent data and information, render a decision and 
inform the equipment certifier in writing as to whether such equipment 
may be certified and, if so, under what conditions the equipment may be 
certified. The written decision shall include an explanation of the 
reasons therefor.
    (1) The decision by the MOD Director shall be provided to the 
certifier after receipt of all necessary information by the certifier or 
interested parties, or of the date of any oral presentation regarding 
the certification, whichever occurs second.
    (2) A copy of the decision shall be sent to all interested parties 
identified in paragraphs (b)(3) and (b)(4) of this section.
    (3) Within 20 days of receipt of a decision made pursuant to 
paragraph (c) of this section, any party may file a written appeal to 
the Office Director. The Office Director may, in his or her discretion, 
allow additional oral or written submissions, prior to rendering a final 
decision. The schedule for such submission shall be in accordance with 
the schedule specified in Sec. 85.1408(b).
    (4) If no party files an appeal with the Office Director within 20 
days, then the decision of the MOD Director shall be final.
    (5) The Office Director shall make a final decision regarding the 
certification of equipment after receipt of all necessary information by 
the equipment certifier or from the date of any oral presentation, 
whichever occurs later.
    (6) A copy of all final decisions made under this section shall be 
published in the Federal Register.



Sec. 85.1409  Warranty.

    (a) As a condition of certification, the retrofit/rebuild equipment 
certifier shall warrant that if the certified equipment is properly 
installed and maintained as stated in the written instructions for 
proper maintenance and use, the equipment will not cause an urban bus 
engine to exceed the emission requirements of this subpart and the 
emission standards set forth in 40 CFR part 86. This retrofit/rebuild 
equipment warranty shall extend for a period of 150,000 miles from when 
the equipment is installed.
    (b) As a condition of certification, the retrofit/rebuild equipment 
certifier shall provide an emissions defect warranty that if the 
certified equipment is properly installed and maintained as stated in 
the written instructions for proper maintenance and use, the equipment 
certifier will replace all defective parts, free of charge. This 
emissions defect warranty shall extend for a period of 100,000 miles 
from when the equipment is installed.



Sec. 85.1410  Changes after certification.

    The equipment certifier shall recertify any retrofit/rebuild 
equipment which was certified pursuant to Sec. 85.1406 and to which 
modifications are made affect emissions or the capability of the 
equipment to meet any other requirement of this subpart.



Sec. 85.1411  Labeling requirements.

    (a) All retrofit/rebuild equipment certified pursuant to this 
subpart shall contain a label that shall be affixed to the rebuilt 
engine which states, ``Certified to EPA Urban Bus Engine Rebuild 
Standards,'' the model and serial number of the equipment, the 
particulate emissions certification level of the

[[Page 41]]

equipment, and the name of the equipment certifier or other party 
designated to determine the validity of warranty claims. The label 
containing the information must be made durable and readable for at 
least the in-use compliance period of the equipment.
    (b) The package in which the certified retrofit/rebuild equipment is 
contained, or an insert as described in paragraph (c) of this section, 
must have the following information conspicuously placed thereon:
    (1) The statement ``Certified by (name of certifier or warranter) to 
EPA Urban Bus Engine Rebuild Emission Standards''; and
    (2) A list of the vehicles or engines (in accordance with Sec. 
85.1407(a)(1)(ii)) for which the equipment is certified, unless such 
information is provided as specified in paragraph (d) of this section.
    (c) The package in which the certified retrofit/rebuild equipment is 
contained must include the following information provided on a written 
insert:
    (1) A list of the vehicles or engines (in accordance with Sec. 
85.1407(a)(1)(ii)) for which the equipment is certified, unless such 
information is provided as specified in paragraph (d) of this section;
    (2) A list of all of the parts and identification numbers for the 
parts included in the package;
    (3) The instructions for proper installation of the equipment;
    (4) A statement of the maintenance or replacement interval for which 
the retrofit/rebuild equipment is certified; and
    (5) A description of the maintenance necessary to be performed on 
the retrofit/rebuild equipment in the proper maintenance and use of the 
equipment.
    (d) The information required by paragraphs (b)(2) and (c)(1) of this 
section may be provided in a catalog rather than on the package or on an 
insert, provided that access to the catalog is readily available to 
purchasers and installers of the equipment.
    (e) When an equipment certifier desires to certify existing in-
service stocks of its products, it may do so provided:
    (1) The equipment does not differ in any operational or durability 
characteristic from the equipment specified in the notification made 
pursuant to Sec. 85.1407; and
    (2) An information sheet is made available to all parties selling 
the equipment.
    (i) The information sheet shall be provided with all equipment sold 
as certified; and
    (ii) The information sheet shall contain all of the information 
specified in paragraph (b) of this section.

    Effective Date Note: Information collection requirements in Sec. 
85.1411 have not been approved by the Office of Management and Budget 
(OMB) and are not effective until OMB has approved them.



Sec. 85.1412  Maintenance and submittal of records for equipment certifiers.

    (a) For each certified retrofit/rebuild equipment, the equipment 
certifier must establish, maintain and retain for 5 years from the date 
of certification the following adequately organized and indexed records:
    (1) Detailed production drawings showing all dimensions, tolerances, 
performance requirements and material specifications and any other 
information necessary to completely describe the equipment;
    (2) All data obtained during testing of the equipment and subsequent 
analyses based on that data, including the mileage and the vehicle or 
engine configuration determinants;
    (3) All information used in determining those vehicles or engine for 
which the equipment is represented as being equivalent from an emissions 
standpoint to the original equipment being replaced;
    (4) A description of the quality control plan used to monitor 
production and assure compliance of the equipment with the applicable 
certification requirements;
    (5) All data taken in implementing the quality control plan, and any 
subsequent analyses of that data; and
    (6) All in-service data, analyses performed by the equipment 
certifier and correspondence with vendors, distributors, consumers, 
retail outlets or engine manufacturers regarding any design, production 
or in-service problems associated with 25 or more pieces of any 
certified equipment.

[[Page 42]]

    (b) The records required to be maintained in paragraph (a) of this 
section shall be made available to the Agency upon the written request 
of the MOD Director.
    (c) If the equipment certifier is selling equipment that is not 
certified as available to all affected urban bus operators under Sec. 
85.1403(b) and Sec. 85.1407, then the equipment certifier shall submit 
to EPA, at the time an offer is made, a copy of all offers made to 
affected urban bus operators for which the equipment certifier has 
offered to sell its certified equipment for less than the life cycle 
cost limits specified in Sec. 85.1403(b)(1)(iii) or Sec. 
85.1403(b)(2)(iii). The equipment certifier may assert that some of the 
information is entitled to confidential treatment as provided in Sec. 
85.1414.

    Effective Date Note: Information collection requirements in Sec. 
85.1412 have not been approved by the Office of Management and Budget 
(OMB) and are not effective until OMB has approved them.



Sec. 85.1413  Decertification.

    (a) The MOD Director may notify an equipment certifier that the 
Agency has made a preliminary determination that certain retrofit/
rebuild equipment should be decertified.
    (1) Such a preliminary determination may be made if there is reason 
to believe that the equipment manufactured has failed to comply with 
Sec. Sec. 85.1405 through 85.1414. Information upon which such a 
determination will be made includes but is not limited to the following:
    (i) The equipment was certified on the basis of emission tests, and 
the procedures used in such tests were not in substantial compliance 
with a portion or portions of the heavy-duty engine Federal Test 
Procedure contained in 40 CFR part 86 or an alternative test prescribed 
under 40 CFR 85.1414; or
    (ii) Use of the certified equipment is causing urban bus engine 
emissions to exceed emission requirements for any regulated pollutant; 
or
    (iii) Use of the certified equipment causes or contributes to an 
unreasonable risk to public health, welfare or safety or severely 
degrades driveability operation or function; or
    (iv) The equipment has been modified in a manner requiring 
recertification pursuant to Sec. 85.1410; or
    (v) The certifier of such equipment has not established, maintained 
or retained the records required pursuant to Sec. 85.1412 or fails to 
make the records available to the MOD Director upon written request 
pursuant to Sec. 85.1412; or
    (vi) The life cycle cost of the equipment exceeds the limits 
specified in Sec. 85.1403(b)(1)(iii) or Sec. 85.1403(b)(2)(iii).
    (2) Notice of a preliminary determination to decertify shall 
contain:
    (i) A description of the noncomplying equipment;
    (ii) The basis for the MOD Director's preliminary decision; and
    (iii) The date by which the certifier must:
    (A) Terminate the sale of the equipment as certified equipment; or
    (B) Make the necessary change (if so recommended by the Agency); or
    (C) Request an opportunity in writing to dispute the allegations of 
the preliminary decertification.
    (b) If the equipment certifier requests an opportunity to respond to 
the preliminary determination, the certifier and other parties 
interested in the MOD Director's decision whether to decertify the 
equipment shall, within 15 days of the date of the request, submit 
written presentations, including the relevant information and data, to 
the MOD Director. The MOD Director, in his or her discretion, may 
provide an opportunity for oral presentations.
    (1) Any interested party may request additional time to respond to 
the information submitted by the equipment certifier. The MOD Director 
upon a showing of good cause by the interested party may grant an 
extension of time to reply up to 30 days.
    (2) The equipment certifier may have an extension of up to 30 days 
to reply to information submitted by interested parties. Notification of 
intent to reply shall be submitted to the MOD Director within 10 days of 
the date information from interested parties is submitted to the MOD 
Director.
    (c) If an equipment certifier has disputed the allegations of the 
preliminary decisions, the MOD Director shall,

[[Page 43]]

after reviewing any additional information, notify the equipment 
certifier of his or her decision whether the equipment may continue to 
be sold as certified. This notification shall include an explanation 
upon which the decision was made and the effective date for 
decertification, where appropriate.
    (d) Within 20 days from the date of a decision made pursuant to 
paragraph (c) of this section, any adversely affected party may appeal 
the decision to the Office Director.
    (1) A petition for appeal to the Office Director must state all of 
the reasons why the decision of the MOD Director should be reversed.
    (2) The Office Director may, in his or her discretion, allow 
additional oral or written testimony.
    (3) If no appeal is filed with the Office Director within the 
permitted time period, the decision of the MOD Director shall be final.
    (e) If a final decision is made to decertify equipment under 
paragraph (d) of this section, the certifier of such equipment shall 
notify his immediate customers that, as of the date of the final 
determination, the equipment in question has been decertified. The 
equipment certifier shall offer to replace decertified equipment in the 
customer's inventory with certified replacement equipment or, if unable 
to do so, shall at the customer's request repurchase such inventory at a 
reasonable price. The immediate customers must stop selling the 
equipment once the certifier has notified the customer that the 
equipment has been decertified.
    (f) Notwithstanding the requirements of paragraph (e) of this 
section, equipment purchased by an urban bus operator prior to 
decertification, shall be considered certified pursuant to this subpart.



Sec. 85.1414  Alternative test procedures.

    As a part of the certification process, as set forth in Sec. 
85.1406, a certifier may request that the Agency approve an alternative 
test procedure, other than the heavy-duty engine Federal test procedure, 
to show compliance with the 25 percent reduction in particulate matter 
emissions as noted in Sec. 85.1403(b)(2)(i). The alternative test may 
be a chassis-based test, but the alternative test shall be 
representative of in-use urban bus operation. The requestor shall supply 
relevant technical support to substantiate its claim of 
representativeness. Upon an acceptable showing that an alternative test 
is representative of in-use urban bus operation, the Agency shall 
determine whether to set such alternative test procedures through 
rulemaking. The provisions of the certification process apply to such a 
request for alternative procedures.

    Effective Date Note: Information collection requirements in Sec. 
85.1414 have not been approved by the Office of Management and Budget 
(OMB) and are not effective until OMB has approved them.



Sec. 85.1415  Treatment of confidential information.

    (a) Any certifier may assert that some or all of the information 
submitted pursuant to this subpart is entitled to confidential treatment 
as provided by 40 CFR part 2, subpart B.
    (b) Any claim of confidentiality must accompany the information at 
the time it is submitted to the Agency.
    (c) To assert that information submitted pursuant to this subpart is 
confidential, a certifier must indicate clearly the items of information 
claimed confidential by marking, circling, bracketing, stamping, or 
otherwise specifying the confidential information. In addition to the 
complete and identical copies submitted pursuant to Sec. 85.1407(a)(6), 
the submitter shall also provide two identical copies of its submittal 
from which all confidential information shall be deleted. If a need 
arises to publicly release nonconfidential information, the Agency will 
assume that the submitter has accurately deleted all confidential 
information from this second copy.
    (d) If a claim is made that some or all of the information submitted 
pursuant to this subpart is entitled to confidential treatment, the 
information covered by that confidentiality claim will be disclosed by 
the Administrator only to the extent and by means of the procedures set 
forth in 40 CFR part 2, subpart B.

[[Page 44]]

    (e) Information provided without a claim of confidentiality at the 
time of submission may be made available to the public by the Agency 
without further notice to the submitter, in accordance with 40 CFR 
2.204(c)(2)(i)(A).



    Subpart P_Importation of Motor Vehicles and Motor Vehicle Engines

    Authority: 42 U.S.C. 7522, 7525, 7541, 7542(a) and 7601(a).

    Source: 52 FR 36156, Sept. 25, 1987, unless otherwise noted.



Sec. 85.1501  Applicability.

    (a) Except where otherwise indicated, this subpart is applicable to 
motor vehicles and motor vehicle engines which are offered for 
importation or imported into the United States and for which the 
Administrator has promulgated regulations under part 86 prescribing 
emission standards but which are not covered by certificates of 
conformity issued under section 206(a) of the Clean Air Act (i.e., which 
are nonconforming vehicles as defined below), as amended, and part 86 at 
the time of conditional importation. Compliance with regulations under 
this subpart shall not relieve any person or entity from compliance with 
other applicable provisions of the Clean Air Act.
    (b) Regulations prescribing further procedures for importation of 
motor vehicles and motor vehicle engines into the Customs territory of 
the United States, as defined in 19 U.S.C. 1202, are set forth at 19 CFR 
12.73.
    (c) References in this subpart to engine families and emission 
control systems shall be deemed to apply to durability groups and test 
groups as applicable for manufacturers certifying new light-duty 
vehicles, light-duty trucks, and Otto-cycle complete heavy-duty vehicles 
under the provisions of 40 CFR part 86, subpart S.

[52 FR 36156, Sept. 25, 1987, as amended at 64 FR 23919, May 4, 1999; 65 
FR 59943, Oct. 6, 2000]



Sec. 85.1502  Definitions.

    (a) As used in this subpart, all terms not defined herein have the 
meanings given them in 19 CFR 12.73, in the Clean Air Act, as amended, 
and elsewhere in parts 85 and 86 of this chapter.
    (1) Act. The Clean Air Act, as amended (42 U.S.C. 7401 et seq.).
    (2) Administrator. The Administrator of the Environmental Protection 
Agency.
    (3) Certificate of conformity. The document issued by the 
Administrator under section 206(a) of the Act.
    (4) Certificate holder. The entity in whose name the certificate of 
conformity for a class of motor vehicles or motor vehicle engines has 
been issued.
    (5) The Federal Compliance Testing sequence (FCT). The testing 
sequence that incorporates all of the testing requirements of part 86 
applicable at the time of an emissions test conducted pursuant to this 
subpart.
    (6) FTP. The Federal Test Procedure at part 86.
    (7) Independent commercial importer (ICI). An importer who is not an 
original equipment manufacturer (OEM) (see definition below) or does not 
have a contractual agreement with an OEM to act as its authorized 
representative for the distribution of motor vehicles or motor vehicle 
engines in the U.S. market.
    (8) Model year. The manufacturer's annual production period (as 
determined by the Administrator) which includes January 1 of such 
calendar year; Provided, That if the manufacturer has no annual 
production period, the term ``model year'' shall mean the calendar year 
in which a vehicle is modified. A certificate holder shall be deemed to 
have produced a vehicle or engine when the certificate holder has 
modified the nonconforming vehicle or engine.
    (9) Nonconforming vehicle or engine. A motor vehicle or motor 
vehicle engine which is not covered by a certificate of conformity prior 
to final or conditional importation and which has not been finally 
admitted into the United States under the provisions of Sec. 85.1505, 
Sec. 85.1509 or the applicable provisions of Sec. 85.1512. Excluded 
from this definition are vehicles admitted under provisions of Sec. 
85.1512 covering EPA approved manufacturer and U.S. Government Agency 
catalyst and O2 sensor control programs.
    (10) Original equipment manufacturer (OEM). The entity which 
originally

[[Page 45]]

manufactured the motor vehicle or motor vehicle engine prior to 
conditional importation.
    (11) Original production (OP) year. The calendar year in which the 
motor vehicle or motor vehicle engine was originally produced by the 
OEM.
    (12) Original production (OP) years old. The age of a vehicle as 
determined by subtracting the original production year of the vehicle 
from the calendar year of importation.
    (13) Running changes. Those changes in vehicle or engine 
configuration, equipment or calibration which are made by an OEM or ICI 
in the course of motor vehicle or motor vehicle engine production.
    (14) United States. United States includes the States, the District 
of Columbia, the Commonwealth of Puerto Rico, the Commonwealth of the 
Northern Mariana Islands, Guam, American Samoa, and the U.S. Virgin 
Islands.
    (15) Useful life. A period of time/mileage as specified in part 86 
for a nonconforming vehicle which begins at the time of resale (for a 
motor vehicle or motor vehicle engine owned by the ICI at the time of 
importation) or release to the owner (for a motor vehicle or motor 
vehicle engine not owned by the ICI at the time of importation) of the 
motor vehicle or motor vehicle engine by the ICI after modification and/
or test pursuant to Sec. 85.1505 or Sec. 85.1509.
    (16) Working day. Any day on which Federal government offices are 
open for normal business. Saturdays, Sundays, and official Federal 
holidays are not working days.
    (b) [Reserved]

[52 FR 36156, Sept. 25, 1987, as amended at 61 FR 5842, Feb. 14, 1996; 
70 FR 40430, July 13, 2005]



Sec. 85.1503  General requirements for importation of nonconforming vehicles and engines.

    (a) A nonconforming vehicle or engine offered for importation into 
the United States must be imported by an ICI who is a current holder of 
a valid certificate of conformity unless an exemption or exclusion is 
granted by the Administrator under Sec. 85.1511 of this subpart or the 
vehicle is eligible for entry under Sec. 85.1512.
    (b) Final admission shall not be granted unless:
    (1) The vehicle or engine is covered by a certificate of conformity 
issued in the name of the importer under part 86 and the certificate 
holder has complied with all requirements of Sec. 85.1505; or
    (2) The vehicle or engine is modified and emissions tested in 
accordance with the provisions of Sec. 85.1509 and the certificate 
holder has complied with all other requirements of Sec. 85.1509; or
    (3) The vehicle or engine is exempted or excluded under Sec. 
85.1511; or
    (4) The vehicle was covered originally by a certificate of 
conformity and is otherwise eligible for entry under Sec. 85.1512.
    (c) In any one certificate year (e.g., the current model year), an 
ICI may finally admit no more than the following numbers of 
nonconforming vehicles or engines into the United States under the 
provisions of Sec. 85.1505 and Sec. 85.1509, except as allowed by 
paragraph (e) of this section:
    (1) 5 heavy-duty engines.
    (2) A total of 50 light-duty vehicles, light-duty trucks, and 
medium-duty passenger vehicles.
    (3) 50 highway motorcycles.
    (d) For ICIs owned by a parent company, the importation limits in 
paragraph (c) of this section include importation by the parent company 
and all its subsidiaries.
    (e) An ICI may exceed the limits outlined paragraphs (c) and (d) of 
this section, provided that any vehicles/engines in excess of the limits 
meet the emission standards and other requirements outlined in the 
provisions of Sec. 85.1515 for the model year in which the motor 
vehicle/engine is modified (instead of the emission standards and other 
requirements applicable for the OP year of the vehicle/engine).

[52 FR 36156, Sept. 25, 1987, as amended at 70 FR 40430, July 13, 2005]



Sec. 85.1504  Conditional admission.

    (a) A motor vehicle or motor vehicle engine offered for importation 
under Sec. 85.1505, Sec. 85.1509 or Sec. 85.1512 may be conditionally 
admitted into the United States, but shall be refused final admission 
unless:
    (1) At the time of conditional admission, the importer has submitted 
to the

[[Page 46]]

Administrator a written report that the subject vehicle or engine has 
been permitted conditional admission pending EPA approval of its 
application for final admission under Sec. 85.1505, Sec. 85.1509, or 
Sec. 85.1512. This written report shall contain the following:
    (i) Identification of the importer of the vehicle or engine and the 
importer's address and telephone number;
    (ii) Identification of the vehicle or engine owner and the vehicle 
or engine owner's address, telephone number and taxpayer identification 
number;
    (iii) Identification of the vehicle or engine;
    (iv) Information indicating under what provision of these 
regulations the vehicle or engine is to be imported;
    (v) Identification of the place where the subject vehicle or engine 
will be stored until EPA approval of the importer's application to the 
Administrator for final admission;
    (vi) Authorization for EPA Enforcement Officers to conduct 
inspections or testing otherwise permitted by the Act or regulations 
thereunder;
    (vii) Identification, where applicable, of the certificate by means 
of which the vehicle is being imported;
    (viii) The original production year of the vehicle; and
    (ix) Such other information as is deemed necessary by the 
Administrator.
    (b) Such conditional admission shall not be under bond for a vehicle 
or engine which is imported under Sec. 85.1505 or Sec. 85.1509. A bond 
will be required for a vehicle or engine imported under applicable 
provisions of Sec. 85.1512. The period of conditional admission shall 
not exceed 120 days. During this period, the importer shall store the 
vehicle or engine at a location where the Administrator will have 
reasonable access to the vehicle or engine for his/her inspection.



Sec. 85.1505  Final admission of certified vehicles.

    (a) A motor vehicle or engine may be finally admitted into the 
United States upon approval of the certificate holder's application to 
the Administrator. Such application shall be made either by completing 
EPA forms or by submitting the data electronically to EPA's computer, in 
accordance with EPA instructions. Such application shall contain:
    (1) The information required in Sec. 85.1504(a);
    (2) Information demonstrating that the vehicle or engine has been 
modified in accordance with a valid certificate of conformity. Such 
demonstration shall be made in one of the following ways:
    (i) Through an attestation by the certificate holder that the 
vehicle or engine has been modified in accordance with the provisions of 
the certificate holder's certificate, and presentation to EPA of a 
statement by the appropriate OEM that the OEM will provide to the 
certificate holder and to EPA information concerning running changes to 
the vehicle or engine described in the certificate holder's application 
for certification, and actual receipt by EPA of notification by the 
certificate holder of any running changes already implemented by the OEM 
at the time of application and their effect on emissions; or
    (ii) Through an attestation by the certificate holder that the 
vehicle or engine has been modified in accordance with the provisions of 
the certificate holder's certificate of conformity and that the 
certificate holder has conducted an FTP test, at a laboratory within the 
United States, that demonstrates compliance with Federal emission 
requirements on every third vehicle or third engine imported under that 
certificate within 120 days of entry, with sequencing of the tests to be 
determined by the date of importation of each vehicle or engine. Should 
the certificate holder have exceeded a threshold of 300 vehicles or 
engines imported under the certificate without adjustments or other 
changes in accordance with paragraph (a)(3) of this section, the amount 
of required FTP testing may be reduced to every fifth vehicle or engine. 
In order to make a demonstration under paragraph (a)(2)(i) of this 
section, a certificate holder must have received permission from the 
Administrator to do so;
    (3) The results of every FTP test which the certificate holder 
conducted on the vehicle or engine. Should a subject vehicle or engine 
have failed an

[[Page 47]]

FTP at any time, the following procedures are applicable:
    (i) The certificate holder may either:
    (A) Conduct one FTP retest that involves no adjustment of the 
vehicle or engine from the previous test (e.g., adjusting the RPM, 
timing, air-to-fuel ratio, etc.) other than adjustments to adjustable 
parameters that, upon inspection, were found to be out of tolerance. 
When such an allowable adjustment is made, the parameter may be reset 
only to the specified (i.e., nominal) value (and not any other value 
within the tolerance band); or
    (B) Initiate a change in production (running change) under the 
provisions of 40 CFR 86.084-14(c)(13) or 86.1842-01, as applicable, that 
causes the vehicle to meet Federal emission requirements.
    (ii) If the certificate holder chooses to retest in accordance with 
paragraph (a)(3)(i)(A) of this section:
    (A) Such retests must be completed no later than five working days 
subsequent to the first FTP test;
    (B) Should the subject vehicle or engine fail the second FTP, then 
the certificate holder must initiate a change in production (a running 
change) under the provisions of 40 CFR 86.084-14(c)(13) or 86.1842-01, 
as applicable, that causes the vehicle to meet Federal emission 
requirements.
    (iii) If the certificate holder chooses to initiate a change in 
production (a running change) under the provisions of 40 CFR 86.084-
14(c)(13) or 86.1842-01 as applicable, that causes the vehicle to meet 
Federal requirements, changes involving adjustments of adjustable 
vehicle parameters (e.g., adjusting the RPM, timing, air/fuel ratio) 
must be changes in the specified (i.e., nominal) values to be deemed 
acceptable by EPA.
    (iv) Production changes made in accordance with this section must be 
implemented on all subsequent vehicles or engines imported under the 
certificate after the date of importation of the vehicle or engine which 
gave rise to the production change.
    (v) Commencing with the first vehicle or engine receiving the 
running change, every third vehicle or engine imported under the 
certificate must be FTP tested to demonstrate compliance with Federal 
emission requirements until, as in paragraph (a)(2)(ii) of this section, 
a threshold of 300 vehicles or engines imported under the certificate is 
exceeded, at which time the amount of required FTP testing may be 
reduced to every fifth vehicle or engine.
    (vi) Reports concerning these running changes shall be made to both 
the Manufacturers Operations and Certification Divisions of EPA within 
ten working days of initiation of the running change. The cause of any 
failure of an FTP shall be identified, if known;
    (4) The applicable deterioration factor;
    (5) The FTP results adjusted by the deterioration factor;
    (6) Such other information that may be specified by applicable 
regulations or on the certificate under which the vehicle or engine has 
been modified in order to assure compliance with requirements of the 
Act;
    (7) All information required under Sec. 85.1510;
    (8) An attestation by the certificate holder that the certificate 
holder is responsible for the vehicle's or engine's compliance with 
Federal emission requirements, regardless of whether the certificate 
holder owns the vehicle or engine imported under this section;
    (9) The name, address and telephone number of the person who the 
certificate holder prefers to receive EPA notification under Sec. 
85.1505(c); and
    (10) Such other information as is deemed necessary by the 
Administrator.
    (b) EPA approval for final admission of a vehicle or engine under 
this section shall be presumed not to have been granted if a vehicle has 
not been properly modified to be in conformity in all material respects 
with the description in the application for certification or has not 
complied with the provisions of Sec. 85.1505(a)(2) or its final FTP 
results, adjusted by the deterioration factor, if applicable, do not 
comply with applicable emission standards.
    (c) Except as provided in Sec. 85.1505(b), EPA approval for final 
admission of a vehicle or engine under this section shall be presumed to 
have been granted should the certificate holder not have received oral 
or written notice from EPA to the contrary within 15 working

[[Page 48]]

days of the date of EPA's receipt of the certificate holder's 
application under Sec. 85.1505(a). Such EPA notice shall be made to an 
employee of the certificate holder. If application is made on EPA forms, 
the date on a certified mail receipt shall be deemed to be the official 
date of notification to EPA. If application is made by submitting the 
data electronically, the date of acceptance by EPA's computer shall be 
deemed to be the official date of notification to EPA. During this 15 
working day period, the vehicle or engine must be stored at a location 
where the Administrator will have reasonable access to the vehicle or 
engine for his/her inspection.

[52 FR 36156, Sept. 25, 1987, as amended at 64 FR 23919, May 4, 1999]



Sec. 85.1506  Inspection and testing of imported motor vehicles and engines.

    (a) In order to allow the Administrator to determine whether a 
certificate holder's production vehicles or engines comply with 
applicable emission requirements or requirements of this subpart, EPA 
Enforcement Officers are authorized to conduct inspections and/or tests 
of vehicles or engines imported by the certificate holder. EPA 
Enforcement Officers shall be admitted during operating hours upon 
demand and upon presentation of credentials to any of the following:
    (1) Any facility where any vehicle or engine imported by the 
certificate holder under this subpart was or is being modified, tested 
or stored; and
    (2) Any facility where any record or other document relating to 
modification, testing or storage of the vehicles or engines, or required 
to be kept by Sec. 85.1507, is located.


EPA may require inspection or retesting of vehicles or engines at the 
test facility used by the certificate holder or at an EPA-designated 
testing facility, with transportation and/or testing costs to be borne 
by the certificate holder.
    (b) Upon admission to any facility referred to in paragraph (a) of 
this section, any EPA Enforcement Officer shall be allowed during 
operating hours:
    (1) To inspect and monitor any part or aspect of activities relating 
to the certificate holder's modification, testing and/or storage of 
vehicles or engines imported under this subpart;
    (2) To inspect and make copies of any records or documents related 
to modification, testing and storage of a vehicle or engine, or required 
by Sec. 85.1507; and
    (3) To inspect and photograph any part or aspect of any such vehicle 
or engine and any component used in the assembly thereof.
    (c) Any EPA Enforcement Officer shall be furnished, by those in 
charge of a facility being inspected, with such reasonable assistance as 
he/she may request to help him/her discharge any function listed in this 
subpart. A certificate holder shall cause those in charge of a facility 
operated for its benefit to furnish such reasonable assistance without 
charge to EPA (whether or not the certificate holder controls the 
facility).
    (d) The requirements of paragraphs (a), (b) and (c) of this section 
apply whether or not the certificate holder owns or controls the 
facility in question. Noncompliance with the requirements of paragraphs 
(a), (b) and (c) may preclude an informed judgment that vehicles or 
engines which have been or are being imported under this subpart by the 
certificate holder comply with applicable emission requirements or 
requirements of this subpart. It is the certificate holder's 
responsibility to make such arrangements as may be necessary to assure 
compliance with paragraphs (a), (b) and (c) of this section. Failure to 
do so, or other failure to comply with paragraphs (a), (b) and (c), may 
result in sanctions as provided for in the Act or Sec. 85.1513(e).
    (e) Duly designated Enforcement Officers are authorized to proceed 
ex parte to seek warrants authorizing the inspection or testing of the 
motor vehicles or motor vehicle engines described in paragraph (a) of 
this section whether or not the Enforcement Officer first attempted to 
seek permission from the certificate holder or facility owner to inspect 
such motor vehicles or motor vehicle engines.
    (f) The results of the Administrator's test under this section shall 
comprise

[[Page 49]]

the official test data for the vehicle or engine for purposes of 
determining whether the vehicle or engine should be permitted final 
entry under Sec. 85.1505 or Sec. 85.1509.
    (g) For purposes of this section:
    (1) ``Presentation of Credentials'' shall mean display of the 
document designating a person as an EPA Enforcement Officer.
    (2) Where vehicle storage areas or facilities are concerned, 
``operating hours'' shall means all times during which personnel other 
than custodial personnel are at work in the vicinity of the area or 
facility and have access to it.
    (3) Where facilities or areas other than those specified in 
paragraph (g)(2) of this section are concerned, ``operating hours'' 
shall mean all times during which the facility is in operation.
    (4) ``Reasonable assistance'' includes, but is not limited to, 
clerical, copying, interpreting and translating services, and the making 
available on request of personnel of the facility being inspected during 
their working hours to inform the EPA Enforcement Officer of how the 
facility operates and to answer his/her questions.



Sec. 85.1507  Maintenance of certificate holder's records.

    (a) The certificate holder subject to any of the provisions of this 
subpart shall establish, maintain and retain for six years from the date 
of entry of a nonconforming vehicle or engine imported by the 
certificate holder, adequately organized and indexed records, 
correspondence and other documents relating to the certification, 
modification, test, purchase, sale, storage, registration and 
importation of that vehicle or engine, including but not limited to:
    (1) The declaration required by 19 CFR 12.73;
    (2) Any documents or other written information required by a Federal 
government agency to be submitted or retained in conjunction with the 
certification, importation or emission testing of motor vehicles or 
motor vehicle engines;
    (3) All bills of sale, invoices, purchase agreements, purchase 
orders, principal or agent agreements and correspondence between the 
certificate holder and the purchaser, of each vehicle or engine, and any 
agents of the above parties;
    (4) Documents providing parts identification data associated with 
the emission control system installed on each vehicle or engine 
demonstrating that such emission control system was properly installed 
on such vehicle or engine;
    (5) Documents demonstrating that, where appropriate, each vehicle or 
engine was emissions tested in accordance with the Federal Test 
Procedure.
    (6) Documents providing evidence that the requirements of Sec. 
85.1510 have been met.
    (7) Documents providing evidence of compliance with all relevant 
requirements of the Clean Air Act, the Energy Tax Act of 1978, and the 
Energy Policy and Conservation Act;
    (8) Documents providing evidence of the initiation of the ``15 day 
hold'' period for each vehicle or engine imported pursuant to Sec. 
85.1505 or Sec. 85.1509;
    (9) For vehicles owned by the ICI at the time of importation, 
documents providing evidence of the date of sale subsequent to 
importation, together with the name, address and telephone number of the 
purchaser, for each vehicle or engine imported pursuant to Sec. 85.1505 
or Sec. 85.1509;
    (10) For vehicles not owned by the ICI at the time of importation, 
documents providing evidence of the release to the owner subsequent to 
importation for each vehicle or engine imported pursuant to Sec. 
85.1505 or Sec. 85.1509; and
    (11) Documents providing evidence of the date of original 
manufacture of the vehicle or engine.
    (b) The certificate holder is responsible for ensuring the 
maintenance of records required by this section, regardless of whether 
facilities used by the certificate holder to comply with requirements of 
this subpart are under the control of the certificate holder.



Sec. 85.1508  ``In Use'' inspections and recall requirements.

    (a) Vehicles or engines which have been imported, modified and/or 
FTP tested by a certificate holder pursuant to Sec. 85.1505 or Sec. 
85.1509 may be inspected

[[Page 50]]

and emission tested by EPA throughout the useful lives of the vehicles 
or engines.
    (b) Certificate holders shall maintain for six years, and provide to 
EPA upon request, a list of owners of all vehicles or engines imported 
by the certificate holder under this subpart.
    (c) A certificate holder will be notified whenever the Administrator 
has determined that a substantial number of a class or category of the 
certificate holder's vehicles or engines, although properly maintained 
and used, do not conform to the regulations prescribed under section 202 
when in actual use throughout their useful lives (as determined under 
section 202(d)). After such notification, the Recall Regulations at part 
85, subpart S, shall govern the certificate holder's responsibilities 
and references to a manfacturer in the Recall Regulations shall apply to 
the certificate holder.



Sec. 85.1509  Final admission of modification and test vehicles.

    (a) Except as provided in paragraphs (b), (c), (d), (e), and (f) of 
this section, a motor vehicle or motor vehicle engine may be imported 
under this section by a certificate holder possessing a currently valid 
certificate of conformity only if:
    (1)(i) The vehicle or engine is six OP years old or older; or
    (ii) The vehicle was owned, purchased and used overseas by military 
or civilian employees of the U.S. Government and
    (A) An ICI does not hold a currently valid certificate for that 
particular vehicle; and
    (B) The Federal agency employing the owner of such vehicle 
determines that such owner is stationed in an overseas area which either 
prohibits the importation of U.S.-certified vehicles or which does not 
have adequate repair facilities for U.S.-certified vehicles; and
    (C) The Federal agency employing the personnel owning such vehicles 
determines that such vehicles are eligible for shipment to the United 
States at U.S. Government expense; and
    (2) The certificate holder's name has not been placed on a currently 
effective EPA list of certificate holders ineligible to import such 
modification/test vehicles, as described in paragraph (j) of this 
section.
    (b) In calendar year 1988, a motor vehicle or motor vehicle engine 
originally produced in calendar years 1983 through 1987 may be imported 
under this section by a certificate holder if:
    (1) The certificate holder possesses a currently valid certificate 
of conformity for a vehicle or engine model originally produced in 
calendar years 1987 or 1988 and the make (i.e., the OEM) and fuel type 
of such certified model is the same as the make and fuel type of the 
vehicle or engine being imported under this section; and
    (2) The certificate holder's name has not been placed on a currently 
effective EPA list of certificate holder's ineligible to import such 
modification/test vehicles, as described in paragraph (j) of this 
section.
    (c) In calendar year 1989, a motor vehicle or motor vehicle engine 
originally produced in calendar years 1984 through 1987 may be imported 
under this section by a certificate holder if:
    (1) The certificate holder possesses a currently valid certificate 
of conformity for a vehicle or engine model originally produced in 
calendar years 1988 or 1989 and the make and fuel type of such certified 
model is the same as the make and fuel type of the vehicle or engine 
being imported under this section; and
    (2) The certificate holder's name has not been placed on a currently 
effective EPA list of certificate holders ineligible to import such 
modification/test vehicles, as described in paragraph (j) of this 
section,
    (d) In calendar year 1990, a motor vehicle or motor vehicle engine 
originally produced in calendar years 1985 through 1987 may be imported 
under this section by a certificate holder if:
    (1) The certificate holder possesses a currently valid certificate 
of conformity for a vehicle or engine model originally produced in 
calendar years 1989 or 1990 and the make and fuel type of such certified 
model is the same as the make and fuel type of the vehicle or engine 
being imported under this section; and

[[Page 51]]

    (2) The certificate holder's name has not been placed on a currently 
effective EPA list of certificate holders ineligible to import such 
modification/test vehicles, as described in paragraph (j) of this 
section.
    (e) In calendar year 1991, a motor vehicle or motor vehicle engine 
originally produced in calendar years 1986 and 1987 may be imported 
under this section by a certificate holder if:
    (1) The certificate holder possesses a currently valid certificate 
of conformity for a vehicle or engine model originally produced in 
calendar years 1990 or 1991 and the make and fuel type of such certified 
model is the same as the make and fuel type of the vehicle or engine 
being imported under this section; and
    (2) The certificate holder's name has not been placed on a currently 
effective EPA list of certificate holders ineligible to import such 
modification/test vehicles, as described in paragraph (j) of this 
section.
    (f) In calendar year 1992, a motor vehicle or motor vehicle engine 
originally produced in calendar year 1987 may be imported under this 
section by a certificate holder if:
    (1) The certificate holder possesses a currently valid certificate 
of conformity for a vehicle or engine model originally produced in 
calendar year 1991 or 1992 and the make and fuel type of such certified 
model is the same as the make and fuel type of the vehicle or engine 
being imported under this section; and
    (2) The certificate holder's name has not been placed on a currently 
effective EPA list of certificate holders ineligible to import such 
modification/test vehicles, as described in paragraph (j) of this 
section.
    (g) A motor vehicle or motor vehicle engine conditionally imported 
under this section may be finally admitted into the United States upon 
approval of the certificate holder's application to the Administrator. 
Such application shall be made either by completing EPA forms or, if the 
applicant chooses, by submitting the data electronically to EPA's 
computer, in accordance with EPA instructions. Such application shall 
contain:
    (1) The identification information required in Sec. 85.1504;
    (2) An attestation by the certificate holder that the vehicle or 
engine has been modified and/emission tested in accordance with the FTP 
at a laboratory within the United States;
    (3) The results of any FTP;
    (4) The deterioration factor assigned by EPA;
    (5) The FTP results adjusted by the deterioration factor;
    (6) An attestation by the certificate holder that emission testing 
and development of fuel economy data as required by Sec. 85.1510 was 
performed after the vehicle or engine had been modified to conform to 
Department of Transportation safety standards;
    (7) All information required under Sec. 85.1510;
    (8) An attestation by the certificate holder that the certificate 
holder is responsible for the vehicle's or engine's compliance with 
Federal emission requirements, regardless of whether the certificate 
holder owns the vehicle or engine imported under this section.
    (9) The name, address and telephone number of the person who the 
certification holder prefers to receive EPA notification under Sec. 
85.1509(i).
    (10) For any vehicle imported in accordance with paragraphs (b) 
through (f) of this section, an attestation by the certificate holder 
that the vehicle is of the same make and fuel type as the vehicle 
covered by a qualifying certificate as described in paragraphs (b) 
through (f) of this section, as applicable.
    (11) Such other information as is deemed necessary by the 
Administrator.
    (h) EPA approval for final admission of a vehicle or engine under 
this section shall be presumed not to have been granted if a vehicle's 
final FTP results, adjusted by the deterioration factor, if applicable, 
do not comply with applicable emission standards.
    (i) Except as provided in Sec. 85.1509(h), EPA approval for final 
admission of a vehicle or engine under this section shall be presumed to 
have been granted should the certificate holder not have received oral 
or written notice from EPA to the contrary within 15 working days of the 
date of EPA's receipt of the

[[Page 52]]

certificate holder's application under Sec. 85.1509(g). Such EPA notice 
shall be made to an employee of the certificate holder. If application 
is made on EPA form, the date of a certified mail receipt shall be 
deemed to be the official date of notification to EPA. If application is 
made by submitting the data electronically, the date of acceptance by 
EPA's computer shall be deemed to be the official date of notification 
to EPA. During this 15 working day period, the vehicle or engine must be 
stored at a location where the Administrator will have reasonable access 
to inspect the vehicle or engine.
    (j) EPA list of certificate holders ineligible to import vehicles 
for modification/test. EPA shall maintain a current list of certificate 
holders who have been determined to be ineligible to import vehicles or 
engines under this section. Such determinations shall be made in 
accordance with the criteria and procedures in Sec. 85.1513(e) of this 
subpart.
    (k) Inspections. Prior to final entry, vehicles or engines imported 
under this section are subject to special inspections as described in 
Sec. 85.1506 with these additional provisions:
    (1) If a significant number of vehicles imported by a certificate 
holder fail to comply, in the judgment of the Administrator, with 
emission requirements upon inspection or retest, or if the certificate 
holder fails to comply with any provision of these regulations that 
pertain to vehicles imported pursuant to Sec. 85.1509, the certificate 
holder may be placed on the EPA list of certificate holders ineligible 
to import vehicles under this section as specified in paragraph (j) of 
this section and Sec. 85.1513(e);
    (2) Individual vehicles or engines which fail an FTP retest or 
inspection must be repaired and retested, as applicable, to demonstrate 
compliance with emission requirements before final admission.
    (3) Unless otherwise specified by EPA, the costs of all retesting 
under this subsection, including transportation, shall be borne by the 
certificate holder.
    (l) In-Use inspection and testing. Vehicles or engines imported 
under this section may be tested or inspected by EPA at any time during 
the vehicle's or engine's useful life in accordance with Sec. 85.1508 
(a) and (b). If, in the judgment of the Administrator, a significant 
number of properly maintained and used vehicles or engines imported by 
the certificate holder fail to meet emission requirements, the name of 
the certificate holder may be placed on the EPA list of certificate 
holders ineligible to import vehicles under the modification/test 
provision as specified in paragraph (j) of this section and Sec. 
85.1513(e).



Sec. 85.1510  Maintenance instructions, warranties, emission labeling 

and fuel economy requirements.

    The provisions of this section are applicable to all vehicles or 
engines imported under the provisions of Sec. Sec. 85.1505 and 85.1509.
    (a) Maintenance instructions. (1) The certificate holder shall 
furnish to the purchaser or to the owner of each vehicle or engine 
imported under Sec. 85.1505 or Sec. 85.1509 of this section, written 
instructions for the maintenance and use of the vehicle or engine by the 
purchaser or owner. Each application for final admission of a vehicle or 
engine shall provide an attestation that such instructions have been or 
will be (if the ultimate producer is unknown) furnished to the purchaser 
or owner of such vehicle or engine at the time of sale or redelivery. 
The certificate holder shall maintain a record of having furnished such 
instructions.
    (2) For each vehicle or engine imported under Sec. 85.1509, the 
maintenance and use instructions shall be maintained in a file 
containing the records for that vehicle or engine.
    (3) Such instructions shall not contain requirements more 
restrictive than those set forth in 40 CFR part 86, subpart A or subpart 
S, as applicable (Maintenance Instructions), and shall be in sufficient 
detail and clarity that an automotive mechanic of average training and 
ability can maintain or repair the vehicle or engine.
    (4) Certificate holders shall furnish with each vehicle or engine a 
list of the emission control parts, and emission-related parts added by 
the certificate holder and the emission control and emission related 
parts furnished by the OEM.

[[Page 53]]

    (b) Warranties. (1) Certificate holders shall provide to vehicle or 
engine owners emission warranties identical to those required by 
sections 207 (a) and (b) of the Act and 40 CFR part 85, subpart V. The 
warranty period for each vehicle or engine shall commence on the date 
the vehicle or engine is delivered by the certificate holder to the 
ultimate purchaser or owner.
    (2) Certificate holders shall ensure that these warranties:
    (i) Are insured by a prepaid mandatory service insurance policy 
underwritten by an independent insurance company;
    (ii) Are transferable to each successive owner for the periods 
specified in sections 207 (a) and (b); and
    (iii) Provide that in the absence of a certificate holder's facility 
being reasonably available (i.e., within 50 miles) for performance of 
warranty repairs, such warranty repairs may be performed anywhere.
    (3) Certificate holders shall attest in each application for final 
admission that such warranties will be or have been provided. Copies of 
such warranties shall be maintained in a file containing the records for 
that vehicle or engine.
    (c) Emission labeling. (1) The certificate holder shall affix a 
permanent legible label in a readily visible position in the engine 
compartment. The label shall meet all the requirements of part 86 and 
shall contain the following statement ``This vehicle or engine was 
originally produced in (month and year of original production). It has 
been imported and modified by (certificate holder's name, address and 
telephone number) to conform to U.S. emission regulations applicable to 
the (year) model year.'' If the vehicle or engine is owned by the 
certificate holder at the time of importation, the label shall also 
state ``this vehicle or engine is warranted for five years or 50,000 
miles from the date of purchase, whichever comes first.'' If the vehicle 
or engine is not owned by the certificate holder at the time of 
importation, the label shall state ``this vehicle or engine is warranted 
for five years or 50,000 miles from the date of release to the owner, 
whichever comes first.'' For vehicles imported under Sec. 85.1509, the 
label shall clearly state in bold letters that ``this vehicle has not 
been manufactured under a certificate of conformity but meets EPA air 
pollution control requirements under a modification/test program.'' In 
addition, for all vehicles, the label shall contain the vacuum hose 
routing diagram applicable to the vehicles.
    (2) As part of the application to the Administrator for final 
admission of each individual vehicle or engine under Sec. 85.1509, the 
certificate holder shall maintain a copy of such label for each vehicle 
or engine in a file containing the records for that vehicle or engine. 
Certificate holders importing under Sec. 85.1505 or Sec. 85.1509 shall 
attest to compliance with the above labeling requirements in each 
application for final admission.
    (d) Fuel economy labeling. (1) The certificate holder shall affix a 
fuel economy label that complies with the requirements of 40 CFR part 
600, subpart D.
    (2) For purposes of generating the fuel economy data to be 
incorporated on such label, each vehicle imported under Sec. 85.1509 
shall be considered to be a separate model type.
    (3) As part of the application to the Administrator for final 
admission of each individual vehicle or engine imported under Sec. 
85.1509, the certificate holder shall maintain a copy of such label for 
each vehicle or engine in a file containing the records for that vehicle 
or engine. In each application for final admission of a vehicle or 
engine under Sec. 85.1505 or Sec. 85.1509, the certificate holder 
shall attest to compliance with the above labeling requirements.
    (e) Gas guzzler tax. (1) Certificate holders shall comply with any 
applicable provisions of the Energy Tax Act of 1978, 26 U.S.C. 4064, for 
every vehicle imported under Sec. Sec. 85.1505 and 85.1509.
    (2) For vehicles not owned by the certificate holder, the 
certificate holder shall furnish to the vehicle owner applicable IRS 
forms (currently numbered 720 (Quarterly Federal Excise Tax) and 6197 
(Fuel Economy Tax Computation Form)) which relate to the collection of 
the gas guzzler tax under the Energy Tax Act of 1978, 26 U.S.C. 4064.

[[Page 54]]

    (3) As part of the certificate holder's application to EPA for final 
admission of each vehicle imported under Sec. 85.1509, the certificate 
holder shall furnish any fuel economy data required by the Energy Tax 
Act of 1978, 15 U.S.C. 4064.
    (f) Corporate Average Fuel Economy (CAFE). (1) Certificate holders 
shall comply with any applicable CAFE requirements of the Energy Policy 
and Conservation Act, 15 U.S.C. 2001 et seq., and 40 CFR part 600, for 
all vehicles imported under Sec. Sec. 85.1505 and 85.1509.

[52 FR 36156, Sept. 25, 1987, as amended at 64 FR 23919, May 4, 1999]



Sec. 85.1511  Exemptions and exclusions.

    (a) Individuals, as well as certificate holders, shall be eligible 
for importing vehicles into the United States under the provisions of 
this section, unless otherwise specified.
    (b) Notwithstanding any other requirements of this subpart, a motor 
vehicle or motor vehicle engine entitled to one of the temporary 
exemptions of this paragraph may be conditionally admitted into the 
United States if prior written approval for such conditional admission 
is obtained from the Administrator. Conditional admission shall be under 
bond. A written request for approval from the Administrator shall 
contain the identification required in Sec. 85.1504(a)(1) (except for 
Sec. 85.1504(a)(1)(v)) and information that indicates that the importer 
is entitled to the exemption. Noncompliance with provisions of this 
section may result in the forfeiture of the total amount of the bond or 
exporation of the vehicle or engine. The following temporary exemptions 
are permitted by this paragraph:
    (1) Exemption for repairs or alterations. Owners of fleet vehicles 
or engines may import such vehicles or engines solely for purposes of 
repairs or alterations. Such vehicles or engines may not be registered 
or licensed in the United States for use on public roads and highways. 
They may not be sold or leased in the United States and must be exported 
upon completion of the repairs or alterations.
    (2) Testing exemption. Testing vehicles or engines may be imported 
by any person subject to the requirements of 40 CFR 85.1705 and 85.1708. 
Test vehicles or engines may be operated on and registered for use on 
public roads or highways provided that the operation is an integral part 
of the test. The exemption shall be limited to a period not exceeding 
one year from the date of importation unless a request is made by the 
appropriate importer concerning the vehicle in accordance with Sec. 
85.1705(f) for a subsequent one-year period.
    (3) Precertification exemption. Prototype vehicles for use in 
applying to EPA for certification may be imported by independent 
commercial importers subject to applicable provisions of 40 CFR 85.1706 
and the following requirements:
    (i) No more than one prototype vehicle for each engine family for 
which an independent commercial importer is seeking certification shall 
be imported by each independent commercial importer.
    (ii) Unless a certificate of conformity is issued for the prototype 
vehicle, the total amount of the bond shall be forfeited or the vehicle 
must be exported within 180 days from the date of entry.
    (4) Display exemptions. (i) Vehicles or engines intended solely for 
display may be imported subject to the requirements of 40 CFR 85.1707.
    (ii) Display vehicles or engines may be imported by any person. 
Display vehicles or engines may not be sold in the United States and may 
not be registered or licensed for use on or operated on public roads or 
highways in the United States, unless an applicable certificate of 
conformity has been received.
    (c) Notwithstanding any other requirements of this subpart, a motor 
vehicle or motor vehicle engine may be finally admitted into the United 
States under this paragraph if prior written approval for such final 
admission is obtained from the Administrator. Conditional admission of 
these vehicles is not permitted for the purpose of obtaining written 
approval from the Administrator. A request for approval shall contain 
the identification information required in Sec. 85.1504(a)(1) (except 
for Sec. 85.1504(a)(1)(v)) and information that indicates that the 
importer is entitled to the exemption or exclusion.

[[Page 55]]

The following exemptions or exclusions are permitted by this paragraph:
    (1) National security exemption. Vehicles may be imported under the 
national security exemption found at 40 CFR 85.1708. Only persons who 
are manufacturers may import a vehicle under a national security 
exemption.
    (2) Hardship exemption. The Administrator may exempt on a case-by-
case basis certain motor vehicles from Federal emission requirements to 
accommodate unforeseen cases of extreme hardship or extraordinary 
circumstances. Some examples are as follows:
    (i) Handicapped individuals who needs a special vehicle unavailable 
in a certified configuration;
    (ii) Individuals who purchase a vehicle in a foreign country where 
resale is prohibited upon the departure of such as individual;
    (iii) Individuals emigrating from a foreign country to the U.S. in 
circumstances of severe hardship.
    (d) Foreign diplomatic and military personnel may import 
nonconforming vehicles without bond. At the time of admission, the 
importer shall submit to the Administrator the written report required 
in Sec. 85.1504(a)(1) (except for information required by Sec. 
85.1504(a)(1)(v)). Such vehicles may not be be sold in the United 
States.
    (e) Racing exclusion. Racing vehicles may be imported by any person 
provided the vehicles meet one or more of the exclusion criteria 
specified in 40 CFR 85.1703. Racing vehicles may not be registered or 
licensed for use on or operated on public roads and highways in the 
United States.
    (f) Exclusions/exemptions based on date of original manufacture. (1) 
Notwithstanding any other requirements of this subpart, the following 
motor vehicles or motor vehicle engines are excluded from the 
requirements of the Act in accordance with section 216(3) of the Act and 
may be imported by any person:
    (i) Gasoline-fueled light-duty vehicles and light-duty trucks 
originally manufactured prior to January 1, 1968.
    (ii) Diesel-fueled light-duty vehicles originally manufactured prior 
to January 1, 1975.
    (iii) Diesel-fueled light-duty trucks originally manufactured prior 
to January 1, 1976.
    (iv) Motorcycles originally manufactured prior to January 1, 1978.
    (v) Gasoline-fueled and diesel-fueled heavy-duty engines originally 
manufactured prior to January 1, 1970.
    (2) Notwithstanding any other requirements of this subpart, a motor 
vehicle or motor vehicle engine not subject to an exclusion under Sec. 
85.1511(f)(1) but greater than twenty OP years old is entitled to an 
exemption from the requirements of the Act, provided that it is imported 
into the United States by a certificate holder. At the time of 
admission, the certificate holder shall submit to the Administrator the 
written report required in Sec. 85.1504(a)(1) (except for information 
required by Sec. 85.1504(a)(1)(v)).
    (g) Applications for exemptions and exclusions provided for in 
paragraphs (b) and (c) of this section shall be mailed to: 
Investigation/Imports Section (EN-340F), Office of Mobile Sources, U.S. 
Environmental Protection Agency, Washington, DC 20460.
    (h) Vehicles conditionally or finally admitted under paragraphs 
(b)(2), (b)(4), (c)(1), (c)(2), and (f)(2) of this section must still 
comply with all applicable requirements, if any, of the Energy Tax Act 
of 1978, the Energy Policy and Conservation Act and any other Federal or 
state requirements.

[52 FR 36156, Sept. 25, 1987; 52 FR 43827, Nov. 16, 1987]



Sec. 85.1512  Admission of catalyst and O[bdi2] sensor-equipped vehicles.

    (a)(1) Notwithstanding other provisions of this subpart, any person 
may conditionally import a vehicle which:
    (i) Was covered by a certificate of conformity at the time of 
original manufacture or had previously been admitted into the United 
States under Sec. 85.1505 or Sec. 85.1509 (after June 30, 1988).
    (ii) Was certified, or previously admitted under Sec. 85.1505 or 
Sec. 85.1509 (after June 30, 1988), with a catalyst emission control 
system and/or O2 sensor;
    (iii) Is labeled in accordance with 40 CFR part 86, subpart A or 
subpart S, or, where applicable, Sec. 85.1510(c); and
    (iv) Has been driven outside the United States, Canada and Mexico or

[[Page 56]]

such other countries as EPA may designate.
    (2) Such vehicle must be entered under bond pursuant to 19 CFR 12.73 
unless it is included in a catalyst and O2 sensor control 
program approved by the Administrator upon such terms as may be deemed 
appropriate. Catalyst and O2 sensor programs conducted by 
manufacturers may be approved each model year.
    (b) For the purpose of this section, ``catalyst and O2 
sensor control program'' means a program instituted and maintained by a 
manufacturer, or any U.S. Government Agency for the purpose of 
preservation, replacement, or initial installation of catalytic 
converters and cleaning and/or replacement of O2 sensors and, 
if applicable, restricted fuel filler inlets.
    (c) For the purpose of this section, ``driven outside the United 
States, Canada and Mexico'' does not include mileage accumulated on 
vehicles solely under the control of manufacturers of new motor vehicles 
or engines for the purpose of vehicle testing and adjustment, and 
preparation for shipment to the United States.
    (d) Vehicles conditionally imported pursuant to this section and 
under bond must be modified in accordance with the certificate of 
conformity applicable at the time of manufacture. In the case of 
vehicles previously imported under Sec. 85.1509 or Sec. 85.1504 (prior 
to July 1, 1988), the replacement catalyst and O2 sensor, if 
applicable, must be equivalent (in terms of emission reduction) to the 
original catalyst and O2 sensor. Such vehicles may be granted 
final admission upon application to the Administrator, on forms 
specified by the Administrator. Such application shall contain the 
information required in Sec. 85.1504(a)(1) (i) through (v) and shall 
contain both an attestation by a qualified mechanic that the catalyst 
has been replaced and the O2 sensor has been replaced, if 
necessary, and that both parts are functioning properly, and a copy of 
the invoice for parts and labor.

[52 FR 36156, Sept. 25, 1987, as amended at 64 FR 23919, May 4, 1999]



Sec. 85.1513  Prohibited acts; penalties.

    (a) The importation of a motor vehicle or motor vehicle engine which 
is not covered by a certificate of conformity other than in accordance 
with this subpart and the entry regulations of the U.S. Customs Service 
at 19 CFR 12.73 is prohibited. Failure to comply with this section is a 
violation of section 203(a)(1) of the Act.
    (b) Unless otherwise permitted by this subpart, during a period of 
conditional admission, the importer of a vehicle shall not:
    (1) Operate the vehicle on streets or highways,
    (2) Sell or offer the vehicle or engine for sale, or
    (3) Store the vehicle on the premises of a dealer.
    (c) Any vehicle or engine conditionally admitted pursuant to Sec. 
85.1504, Sec. 85.1511 or Sec. 85.1512, and not granted final admission 
within 120 days of such conditional admission, or within such additional 
time as the U.S. Customs Service may allow, shall be deemed to be 
unlawfully imported into the United States in violation of section 
203(a)(1) of the Act, unless such vehicle or engine shall have been 
delivered to the U.S. Customs Service for export or other disposition 
under applicable Customs laws and regulations. Any vehicles or engines 
not so delivered shall be subject to seizure by the U.S. Customs 
Service.
    (d) Any importer who violates section 203(a)(1) of the Act is 
subject to a civil penalty under section 205 of the Act of not more than 
$32,500 for each vehicle or engine subject to the violation. In addition 
to the penalty provided in the Act, where applicable, under the 
exemption provisions of Sec. 85.1511(b), or under Sec. 85.1512, any 
person or entity who fails to deliver such vehicle or engine to the U.S. 
Customs Service is liable for liquidated damages in the amount of the 
bond required by applicable Customs laws and regulations.
    (e)(1) A certificate holder whose vehicles or engines imported under 
Sec. 85.1505 or Sec. 85.1509 fail to conform to Federal emission 
requirements after modification and/or testing under the Federal Test 
Procedure (FTP) or who fails to comply with applicable provisions of

[[Page 57]]

this subpart, may, in addition to any other applicable sanctions and 
penalties, be subject to any, or all, of the following sanctions:
    (i) The certificate holder's currently held certificates of 
conformity may be revoked or suspended;
    (ii) The certificate holder may be deemed ineligible to apply for 
new certificates for up to 3 years; and
    (iii) The certificate holder may be deemed ineligible to import 
vehicles or engines under Sec. 85.1509 in the future and be placed on a 
list of certificate holders ineligible to import vehicles or engines 
under the provisions of Sec. 85.1509.
    (2) Grounds for the actions described in paragraph (e)(1) of this 
section shall include, but not be limited to, the following:
    (i) Action or inaction by the certificate holder or the laboratory 
performing the FTP on behalf of the certificate holder which results in 
fraudulent, deceitful or grossly inaccurate representation of any fact 
or condition which affects a vehicle's or engine's eligibility for 
admission to the U.S. under this subpart;
    (ii) Failure of a significant number of vehicles or engines imported 
to comply with Federal emission requirements upon EPA inspection or 
retest; or
    (iii) Failure by a certificate holder to comply with requirements of 
this subpart.
    (3) The following procedures govern any decision to suspend, revoke, 
or refuse to issue certificates under this subpart:
    (i) When grounds appear to exist for the actions described in 
paragraph (e)(1) of this section, the Administrator shall notify the 
certificate holder in writing of any intended suspension or revocation 
of a certificate, proposed ineligibility to apply for new certificates, 
or intended suspension of eligibility to conduct modification/testing 
under Sec. 85.1509, and the grounds for such action.
    (ii) Except as provided by paragraph (e)(3)(iv) of this section, the 
certificate holder must take the following actions before the 
Administrator will consider withdrawing notice of intent to suspend or 
revoke the certificate holder's certificate or the certificate holder's 
eligibility to perform modification/testing under Sec. 85.1509:
    (A) Submit a written report to the Administrator which identifies 
the reason for the noncompliance of the vehicle or engines, describes 
the proposed remedy, including a description of any proposed quality 
control and/or quality assurance measures to be taken by the certificate 
holder to prevent the future occurrence of the problem, and states the 
date on which the remedies will be implemented; or
    (B) Demonstrate that the vehicles or engines do in fact comply with 
applicable regulations in this chapter by retesting such vehicles or 
engines in accordance with the FTP.
    (iii) A certificate holder may request within 15 calendar days of 
the Administrator's notice of intent to suspend or revoke a certificate 
holder's eligibility to perform modification/testing or certificate that 
the Administrator grant such certificate holder a hearing:
    (A) As to whether the tests have been properly conducted,
    (B) As to any substantial factual issue raised by the 
Administrator's proposed action.
    (iv) If, after the Administrator notifies a certificate holder of 
his/her intent to suspend or revoke a certificate holder's certificate 
of conformity or its eligibility to perform modification/testing under 
Sec. 85.1509 and prior to any final suspension or revocation, the 
certificate holder demonstrates to the Administrator's satisfaction that 
the decision to initiate suspension or revocation of the certificate or 
eligibility to perform modification/testing under Sec. 85.1509 was 
based on erroneous information, the Administrator will withdraw the 
notice of intent.
    (4) Hearings on suspensions and revocations of certificates of 
conformity or of eligibility to perform modification/testing under Sec. 
85.1509 shall be held in accordance with the following:
    (i) Applicability. The procedures prescribed by this section shall 
apply whenever a certificate holder requests a hearing pursuant to 
subsection (e)(3)(iii).
    (ii) Hearing under paragraph (e)(3)(iii) of this section shall be 
held in

[[Page 58]]

accordance with the procedures outlined in Sec. 88.613, where 
applicable, provided that where Sec. 86.612 is referred to in Sec. 
86.613: Section 86.612(a) is replaced by Sec. 85.1513(d)(2); and Sec. 
86.612(i) is replaced by Sec. 85.1513(d)(3)(iii).
    (5) When a hearing is requested under this paragraph and it clearly 
appears from the data or other information contained in the request for 
a hearing, or submitted at the hearing, that there is no genuine and 
substantial question of fact with respect to the issue of whether the 
certificate holder failed to comply with this subpart, the Administrator 
will enter an order denying the request for a hearing, or terminating 
the hearing, and suspending or revoking the certificate of conformity or 
the certificate holder's eligibility to perform modification/testing 
under Sec. 85.1509.
    (6) In lieu of requesting a hearing under paragraph (e)(3)(iii) of 
this section, a certificate holder may respond in writing to EPA's 
charges in the notice of intent to suspend or revoke. Such a written 
response must be received by EPA within 30 days of the date of EPA's 
notice of intent. No final decision to suspend or revoke will be made 
before that time.

[52 FR 36156, Sept. 25, 1987, as amended at 70 FR 40430, July 13, 2005]



Sec. 85.1514  Treatment of confidential information.

    (a) Any importer may assert that some or all of the information 
submitted pursuant to this subpart is entitled to confidential treatment 
as provided by 40 CFR part 2, subpart B.
    (b) Any claim of confidentiality must accompany the information at 
the time it is submitted to EPA.
    (c) To assert that information submitted pursuant to this subpart is 
confidential, an importer must indicate clearly the items of information 
claimed confidential by marking, circling, bracketing, stamping, or 
otherwise specifying the confidential information. Furthermore, EPA 
requests, but does not require, that the submitter also provide a second 
copy of its submittal from which all confidential information has been 
deleted. If a need arises to publicly release nonconfidential 
information, EPA will assume that the submitter has accurately deleted 
the confidential information from this second copy.
    (d) If a claim is made that some or all of the information submitted 
pursuant to this subpart is entitled to confidential treatment, the 
information covered by that confidentiality claim will be disclosed by 
the Administrator only to the extent and by means of the procedures set 
forth in part 2, subpart B, of this chapter.
    (e) Information provided without a claim of confidentiality at the 
time of submission may be made available to the public by EPA without 
further notice to the submitter.



Sec. 85.1515  Emission standards and test procedures applicable to imported

nonconforming motor vehicles and motor vehicle engines.

    (a) Notwithstanding any other requirements of this subpart, any 
motor vehicle or motor vehicle engine conditionally imported pursuant to 
Sec. 85.1505 or Sec. 85.1509 and required to be emission tested shall 
be tested using the FCT at 40 CFR part 86 applicable to current model 
year motor vehicles and motor vehicle engines at the time of testing.
    (b) The emission standards applicable to nonconforming light-duty 
vehicles and light-duty trucks imported pursuant to this subpart are 
outlined in tables 1 and 2 of this section, respectively. The useful 
life as specified in tables 1 and 2 of this section is applicable to 
imported light-duty vehicles and light-duty trucks, respectively.
    (c)(1) Nonconforming motor vehicles or motor vehicle engines of 1994 
OP model year and later conditionally imported pursuant to Sec. 85.1505 
or Sec. 85.1509 shall meet all of the emission standards specified in 
40 CFR part 86 for the OP year of the vehicle or motor vehicle engine. 
At the option of the ICI, the nonconforming motor vehicle may comply 
with the emissions standards in 40 CFR 86.1708-99 or 86.1709-99, as 
applicable to a light-duty vehicle or light light-duty truck, in lieu of 
the otherwise applicable emissions standards specified in 40 CFR part 86 
for the OP year of the vehicle. The provisions of 40 CFR 86.1710-99 do 
not apply to imported nonconforming motor vehicles. The useful life 
specified in 40 CFR part 86

[[Page 59]]

for the OP year of the motor vehicle or motor vehicle engine is 
applicable where useful life is not designated in this subpart.
    (2)(i) Nonconforming light-duty vehicles and light light-duty trucks 
(LDV/LLDTs) originally manufactured in OP years 2004, 2005 or 2006 must 
meet the FTP exhaust emission standards of bin 9 in Tables S04-1 and 
S04-2 in 40 CFR 86.1811-04 and the evaporative emission standards for 
light-duty vehicles and light light-duty trucks specified in 40 CFR 
86.1811-01(e)(5).
    (ii) Nonconforming LDT3s and LDT4s (HLDTs) and medium-duty passenger 
vehicles (MDPVs) originally manufactured in OP years 2004 through 2006 
must meet the FTP exhaust emission standards of bin 10 in Tables S04-1 
and S04-2 in 40 CFR 86.1811-04 and the applicable evaporative emission 
standards specified in 40 CFR 86.1811-04(e)(5). For 2004 OP year HLDTs 
and MDPVs where modifications commence on the first vehicle of a test 
group before December 21, 2003, this requirement does not apply to the 
2004 OP year. ICIs opting to bring all of their 2004 OP year HLDTs and 
MDPVs into compliance with the exhaust emission standards of bin 10 in 
Tables S04-1 and S04-2 in 40 CFR 86.1811-04 , may use the optional 
higher NMOG values for their 2004-2006 OP year LDT2s and 2004-2008 
LDT4s.
    (iii) Nonconforming LDT3s and LDT4s (HLDTs) and medium-duty 
passenger vehicles (MDPVs) originally manufactured in OP years 2007 and 
2008 must meet the FTP exhaust emission standards of bin 8 in Tables 
S04-1 and S04-2 in 40 CFR 86.1811-04 and the applicable evaporative 
standards specified in 40 CFR 86.1811-04(e)(5).
    (iv) Nonconforming LDV/LDTs originally manufactured in OP years 2007 
and later and nonconforming HLDTs and MDPVs originally manufactured in 
OP years 2009 and later must meet the FTP exhaust emission standards of 
bin 5 in Tables S04-1 and S04-2 in 40 CFR 86.1811-04, and the 
evaporative standards specified in 40 CFR 86.1811(e)(1) through (e)(4).
    (v) ICIs are exempt from the Tier 2 and the interim non-Tier2 phase-
in intermediate percentage requirements for exhaust, evaporative, and 
refueling emissions described in 40 CFR 86.1811-04.
    (vi) In cases where multiple standards exist in a given model year 
in 40 CFR part 86 due to phase-in requirements of new standards, the 
applicable standards for motor vehicle engines required to be certified 
to engine-based standards are the least stringent standards applicable 
to the engine type for the OP year.
    (vii) Nonconforming LDV/LLDTs originally manufactured in OP years 
2009 and later must meet the evaporative emission standards in Table 
S09-1 in 40 CFR 86.1811-09(e). However, LDV/LLDTs originally 
manufactured in OP years 2009 and 2010 and imported by ICIs who qualify 
as small volume manufacturers as defined in 40 CFR 86.1838-01 are exempt 
from the LDV/LLDT evaporative emission standards in Table S09-1 in 40 
CFR 86.1811-09(e), but must comply with the Tier 2 evaporative emission 
standards in Table S04-3 in 40 CFR 86.1811-04(e).
    (viii) Nonconforming HLDTs and MDPVs originally manufactured in OP 
years 2010 and later must meet the evaporative emission standards in 
Table S09-1 in 40 CFR 86.1811-09(e). However, HLDTs and MDPVs originally 
manufactured in OP years 2010 and 2011 and imported by ICIs, who qualify 
as small volume manufacturers as defined in 40 CFR 86.1838-01, are 
exempt from the HLDTs and MDPVs evaporative emission standards in Table 
S09-1 in 40 CFR 86.1811-09(e), but must comply with the Tier 2 
evaporative emission standards in Table S04-3 in 40 CFR 86.1811-04(e).
    (3)(i) As an option to the requirements of paragraph (c)(2) of this 
section, independent commercial importers may elect to meet lower bins 
in Tables S04-1 and S04-2 of 40 CFR 86.1811-04 than specified in 
paragraph (c)(2) of this section and bank or sell credits as permitted 
in 40 CFR 86.1860-04 and 40 CFR 86.1861-04. An ICI may not meet higher 
bins in Tables S04-1 and S04-2 of 40 CFR 86.1811-04 than specified in 
paragraph (c)(2) of this section unless it demonstrates to the 
Administrator at the time of certification that it has obtained 
appropriate and sufficient

[[Page 60]]

NOX credits from another manufacturer, or has generated them 
in a previous model year or in the current model year and not 
transferred them to another manufacturer or used them to address other 
vehicles as permitted in 40 CFR 86.1860-04 and 40 CFR 86.1861-04.
    (ii) Where an ICI desires to obtain a certificate of conformity 
using a bin higher than specified in paragraph (c)(2) of this section, 
but does not have sufficient credits to cover vehicles produced under 
such certificate, the Administrator may issue such certificate if the 
ICI has also obtained a certificate of conformity for vehicles certified 
using a bin lower than that required under paragraph (c)(2) of this 
section. The ICI may then produce vehicles to the higher bin only to the 
extent that it has generated sufficient credits from vehicles certified 
to the lower bin during the same model year.
    (4) [Reserved]
    (5) Except for the situation where an ICI desires to bank, sell or 
use NOX credits as described in paragraph (c)(3) of this 
section, the requirements of 40 CFR 86.1811-04 related to fleet average 
NOX standards and requirements to comply with such standards 
do not apply to vehicles modified under this subpart.
    (6) ICIs using bins higher than those specified in paragraph (c)(2) 
of this section must monitor their production so that they do not 
produce more vehicles certified to the standards of such bins than their 
available credits can cover. ICIs must not have a credit deficit at the 
end of a model year and are not permitted to use the deficit 
carryforward provisions provided in 40 CFR 86.1860-04(e).
    (7) The Administrator may condition the certificates of conformity 
issued to ICIs as necessary to ensure that vehicles subject to paragraph 
(c) of this section comply with the appropriate average NOX 
standard for each model year.
    (8)(i) Nonconforming LDV/LLDTs originally manufactured in OP years 
2010 and later must meet the cold temperature NHMC emission standards in 
Table S10-1 in 40 CFR 86.1811-10(g).
    (ii) Nonconforming HLDTs and MDPVs originally manufactured in OP 
years 2012 and later must meet the cold temperature NHMC emission 
standards in Table S10-1 in 40 CFR 86.1811-10(g).
    (iii) ICIs, which qualify as small volume manufacturers, are exempt 
from the cold temperature NMHC phase-in intermediate percentage 
requirements described in 40 CFR 86.1811-10(g)(3). See 40 CFR 86.1811-
04(k)(5)(vi) and (vii).
    (iv) As an alternative to the requirements of paragraphs (c)(8)(i) 
and (ii) of this section, ICIs may elect to meet a cold temperature NMHC 
family emission level below the cold temperature NMHC fleet average 
standards specified in Table S10-1 of 40 CFR 86.1811-10 and bank or sell 
credits as permitted in 40 CFR 86.1864-10. An ICI may not meet a higher 
cold temperature NMHC family emission level than the fleet average 
standards in Table S10-1 of 40 CFR 86.1811-10 as specified in paragraphs 
(c)(8)(i) and (ii) of this section, unless it demonstrates to the 
Administrator at the time of certification that it has obtained 
appropriate and sufficient NMHC credits from another manufacturer, or 
has generated them in a previous model year or in the current model year 
and not traded them to another manufacturer or used them to address 
other vehicles as permitted in 40 CFR 86.1864-10.
    (v) Where an ICI desires to obtain a certificate of conformity using 
a higher cold temperature NMHC family emission level than specified in 
paragraphs (c)(8)(i) and (ii) of this section, but does not have 
sufficient credits to cover vehicles imported under such certificate, 
the Administrator may issue such certificate if the ICI has also 
obtained a certificate of conformity for vehicles certified using a cold 
temperature NMHC family emission level lower than that required under 
paragraphs (c)(8)(i) and (ii) of this section. The ICI may then import 
vehicles to the higher cold temperature NMHC family emission level only 
to the extent that it has generated sufficient credits from vehicles 
certified to a family emission level lower than the cold temperature 
NMHC fleet average standard during the same model year.
    (vi) ICIs using cold temperature NMHC family emission levels higher 
than the cold temperature NMHC fleet average standards specified in 
paragraphs (c)(8)(i) and (ii) of this section

[[Page 61]]

must monitor their imports so that they do not import more vehicles 
certified to such family emission levels than their available credits 
can cover. ICIs must not have a credit deficit at the end of a model 
year and are not permitted to use the deficit carryforward provisions 
provided in 40 CFR 86.1864-10.
    (vii) The Administrator may condition the certificates of conformity 
issued to ICIs as necessary to ensure that vehicles subject to this 
paragraph (c)(8) comply with the applicable cold temperature NMHC fleet 
average standard for each model year.
    (d) Except as provided in paragraph (c) of this section, ICI's must 
not participate in emission-related programs for emissions averaging, 
banking and trading, or nonconformance penalties.

                         Table 1 to Sec.  85.1515--Emission Standards Applicable to Imported Light-Duty Motor Vehicles \1,2,3\
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                           Oxides of                            Diesel          Evaporative      Useful
             OP Year                 Hydrocarbon      Carbon monoxide      nitrogen         Particulate       hydrocarbon      (years/miles)      life
--------------------------------------------------------------------------------------------------------------------------------------------------------
1968-76.........................  1.5 gpm            15 gpm            3.1 gpm           ................  6.0 g/test        5/50,000
1977-79.........................  1.5 gpm            15 gpm            2.0 gpm           ................  6.0 g/test        5/50,000
1980............................  0.41 gpm           7.0 gpm           2.0 gpm           ................  6.0 g/test        5/50,000
1981............................  0.41 gpm           3.4 gpm           1.0 gpm           ................  2.0 g/test        5/50,000
1982-86.........................  0.41 gpm           3.4 gpm           1.0 gpm           0.60 gpm          2.0 g/test        5/50,000
1987-93.........................  0.41 gpm           3.4 gpm           1.0 gpm           0.20 gpm          2.0 g/test        5/50,000
1994 and later..................  (\4\)              (\4\)             (\4\)             (\4\)             (\4\)             (\4\)
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Diesel particulate standards apply only to diesel fueled light-duty vehicles. Evaporative hydrocarbon standards apply only to non-diesel fueled
  light-duty vehicles. For alternative fueled light-duty vehicles, the evaporative hydrocarbon standard is interpreted as organic material hydrocarbon
  equivalent grams carbon per test, as applicable.
\2\ No crankcase emissions shall be discharged into the ambient atmosphere from any non-diesel fueled light-duty vehicle.
\3\ All light-duty vehicles shall meet the applicable emission standards at both low and high-altitudes according to the procedures specified in 40 CFR
  part 86 for current model year motor vehicles at the time of testing.
\4\ Specified in 40 CFR part 86 for the OP year of the vehicle, per 85.1515(c).


                                    Table 2--Emission Standards Applicable to Imported Light-Duty Trucks \1,2,3,4,5\
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                           Oxides of                            Diesel          Evaporative      Useful
             OP year                 Hydrocarbon      Carbon monoxide      nitrogen         Particulate       hydrocarbon      (years/miles)      life
--------------------------------------------------------------------------------------------------------------------------------------------------------
1968-78.........................  2.0 gpm            20 gpm            3.1 gpm           ................  6.0 g/test        5/50,000
1979-80.........................  1.7 gpm            18 gpm            2.3 gpm           ................  6.0 g/test        5/50,000
1981............................  1.7 gpm            18 gpm            2.3 gpm           ................  2.0 g/test        5/50,000
1982-83.........................  1.7 gpm            18 gpm            2.3 gpm           0.60 gpm          2.0 g/test        5/50,000
                                  (2.0)              (26)              (2.3)             (0.60)            (2.6)
1984............................  0.80 gpm           10 gpm            2.3 gpm           0.60 gpm          2.0 g/test        5/50,000
                                  (1.0)              (14)              (2.3)             (0.60)            (2.6)
1985-86.........................  0.80 gpm           10 gpm            2.3 gpm           0.60 gpm          2.0 g/test        11/120,000
                                  (1.0)              (14)              (2.3)             (0.60)            (2.6)
1987............................  0.80 gpm           10 gpm            2.3 gpm           0.26 gpm          2.0 g/test        11/120,000
                                  (1.0)              (14)              (2.3)             (0.26)            (2.6)
1988-89.........................  0.80 gpm           10 gpm            1.2 gpm\6\        0.26 gpm\7\       2.0 g/test        11/120,000
                                  (1.0)              (14)              (1.2)             (2.0)             (2.6)
                                  0.80 gpm           10 gpm            1.7 gpm\6\        0.45 gpm\7\       2.0 g/test        11/120,000
                                  (1.0)              (14)              (1.7)             (0.26)            (2.6)
                                  0.80 gpm           10 gpm            2.3 gpm\6\        0.45 gpm\7\       2.0 g/test        11/120,000
                                  (1.0)              (14)              (2.3)             (0.26)            (2.6)
1990-93.........................  0.80 gpm           10 gpm            1.2 gpm\8\        0.26 gpm\7\       2.0 g/test        11/120,000
                                  (1.0)              (14)              (1.2)             (0.26)            (2.6)
                                  0.80 gpm           10 gpm            1.7 gpm\8\        0.45 gpm\7\       2.0 g/test        11/120,000
                                  (1.0)              (14)              (1.7)             (0.26)            (2.6)
1994 and later..................  (\9\)              (\9\)             (\9\)             (\9\)             (\9\)             (\9\)
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Diesel particulate standards apply only to diesel fueled light-duty trucks. Evaporative hydrocarbon standards apply only to non-diesel fueled light-
  duty trucks. For alternative fueled light-duty trucks, the evaporative hydrocarbon standard is interpreted as organic material hydrocarbon equivalent
  grams carbon per test, as applicable.
\2\ No crankcase emissions shall be discharged into the ambient atmosphere from any non-diesel fueled light-duty truck.
\3\ A carbon monoxide standard of 0.50% of exhaust flow at curb idle is applicable to all 1984 and later model year light-duty trucks sold to, or owned
  by, an importer for principal use at other than a designated high-altitude location. This requirement is effective for light-duty trucks sold to, or
  owned by an importer for principal use at a designated high-altitude location beginning with the 1988 model year.
\4\ All 1982 OP year and later light-duty trucks sold to, or owned by, an importer for principal use at a designated high-altitude location shall meet
  high-altitude emission standards according to the requirements specified in 40 CFR part 86 for current model year light-duty trucks at the time of
  testing.
\5\ Standards in parentheses apply to motor vehicles sold to, or owned by, an importer for principal use at a designated high-altitude location. These
  standards must be met at high-altitude according to the procedures specified in 40 CFR part 86 for current model year motor vehicles at the time of
  testing.

[[Page 62]]

 
\6\ The oxides of nitrogen standard of 1.2 gpm applies to light-duty trucks up to and including 3,750 pounds loaded vehicle weight and 6,000 pounds or
  less gross vehicle weight the 1.7 gpm standard applies to light-duty trucks greater than 3,750 pound loaded vehicle weight and 6,000 pounds or less
  gross vehicle weight; the 2.3 gpm standard applies to light-duty trucks 6,001 pounds gross vehicle weight and greater.
\7\ The diesel particulate standard of 0.26 gpm applies to light-duty trucks up to and including 3,750 pounds loaded vehicle weight; the 0.45 gpm
  standard applies to light-duty trucks 3,751 pounds and greater loaded vehicle weight.
\8\ The oxides of nitrogen standard of 1.2 gpm applies to light-duty trucks up to and including 3,750 pounds loaded vehicle weight; the 1.7 gpm standard
  applies to light-duty trucks 3,751 pounds and greater loaded vehicle weight.
\9\ Specified in 40 CFR part 86 for the OP year of the vehicle, per 85.1515(c).


[61 FR 5842, Feb. 14, 1996, as amended at 62 FR 31232, June 6, 1997; 63 
FR 964, Jan. 7, 1998; 65 FR 6847, Feb. 10, 2000; 70 FR 40430, July 13, 
2005; 72 FR 8560, Apri. 27, 2007]

Subpart Q [Reserved]



 Subpart R_Exclusion and Exemption of Motor Vehicles and Motor Vehicle 
                                 Engines

    Authority: Secs. 208(b)(1), 216(2), and 301, Clean Air Act (42 
U.S.C. 7522, 7550, and 7061).

    Source: 39 FR 32611, Sept. 10, 1974, unless otherwise noted.



Sec. 85.1701  General applicability.

    (a) The provisions of this subpart regarding exemption are 
applicable to new and in-use motor vehicles and motor vehicle engines.
    (b) The provisions of this subpart regarding exclusion are 
applicable after the effective date of these regulations.
    (c) References in this subpart to engine families and emission 
control systems shall be deemed to apply to durability groups and test 
groups as applicable for manufacturers certifying new light-duty 
vehicles, light-duty trucks, and Otto-cycle complete heavy-duty vehicles 
under the provisions of 40 CFR part 86, subpart S.

[39 FR 32611, Sept. 10, 1974, as amended at 64 FR 23919, May 4, 1999; 65 
FR 59943, Oct. 6, 2000]



Sec. 85.1702  Definitions.

    (a) As used in this subpart, all terms not defined herein shall have 
the meaning given them in the Act:
    (1) Export exemption means an exemption granted by statute under 
section 203(b)(3) of the Act for the purpose of exporting new motor 
vehicles or new motor vehicle engines.
    (2) National security exemption means an exemption which may be 
granted under section 203(b)(1) of the Act for the purpose of national 
security.
    (3) Pre-certification vehicle means an uncertified vehicle which a 
manufacturer employs in fleets from year to year in the ordinary course 
of business for product development, production method assessment, and 
market promotion purposes, but in a manner not involving lease or sale.
    (4) Pre-certification vehicle engine means an uncertified heavy-duty 
engine owned by a manufacturer and used in a manner not involving lease 
or sale in a vehicle employed from year to year in the ordinary course 
of business for product development, production method assessment and 
market promotion purposes.
    (5) Testing exemption means an exemption which may be granted under 
section 203(b)(1) for the purpose of research investigations, studies, 
demonstrations or training, but not including national security.

[39 FR 32611, Sept. 10, 1974, as amended at 45 FR 13733, Mar. 3, 1980; 
47 FR 30484, July 14, 1982]



Sec. 85.1703  Definition of motor vehicle.

    (a) For the purpose of determining the applicability of section 
216(2), a vehicle which is self-propelled and capable of transporting a 
person or persons or any material or any permanently or temporarily 
affixed apparatus shall be deemed a motor vehicle, unless any one or 
more of the criteria set forth below are met, in which case the vehicle 
shall be deemed not a motor vehicle:
    (1) The vehicle cannot exceed a maximum speed of 25 miles per hour 
over level, paved surfaces; or
    (2) The vehicle lacks features customarily associated with safe and 
practical street or highway use, such features including, but not being 
limited to, a reverse gear (except in the case of motorcycles), a 
differential, or safety features required by state and/or federal law; 
or

[[Page 63]]

    (3) The vehicle exhibits features which render its use on a street 
or highway unsafe, impractical, or highly unlikely, such features 
including, but not being limited to, tracked road contact means, an 
inordinate size, or features ordinarily associated with military combat 
or tactical vehicles such as armor and/or weaponry.
    (b) [Reserved]

[39 FR 32611, Sept. 10, 1974, as amended at 45 FR 13733, Mar. 3, 1980; 
73 FR 59178, Oct. 8, 2008; 75 FR 22977, Apr. 30, 2010]



Sec. 85.1704  Who may request an exemption.

    (a) Any person may request a testing exemption.
    (b) Any manufacturer may request a national security exemption under 
Sec. 85.1708.
    (c) For manufacturers, vehicles or engines for export purposes are 
exempt without application, subject to the provisions of Sec. 85.1709. 
For eligible manufacturers, as determined by Sec. 85.1706, vehicles or 
engines for pre-certification purposes are exempt without application, 
subject to the provisions of Sec. 85.1706(a).

[45 FR 13733, Mar. 3, 1980, as amended at 47 FR 30484, July 14, 1982]



Sec. 85.1705  Testing exemption.

    (a) Any person requesting a testing exemption must demonstrate the 
following:
    (1) That the proposed test program has a purpose which constitutes 
an appropriate basis for an exemption in accordance with section 
203(b)(1);
    (2) That the proposed test program necessitates the granting of an 
exemption;
    (3) That the proposed test program exhibits reasonableness in scope; 
and
    (4) That the proposed test program exhibits a degree of control 
consonant with the purpose of the program and the Environmental 
Protection Agency's (hereafter EPA) monitoring requirements. Paragraphs 
(b), (c), (d), and (e) of this section describe what constitutes a 
sufficient demonstration for each of the four above identified elements.
    (b) With respect to the purpose of the proposed test program, an 
appropriate purpose is one which is consistent with one or more of the 
bases for exemption set forth under section 203(b)(1), namely, research, 
investigations, studies, demonstrations, or training, but not including 
national security. A concise statement of purpose is a required item of 
information.
    (c) With respect to the necessity that an exemption be granted, 
necessity arises from an inability to achieve the stated purpose in a 
practicable manner without performing or causing to be performed one or 
more of the prohibited acts under section 203(a). In appropriate 
circumstances time constraints may be a sufficient basis for necessity, 
but the cost of certification alone, in the absence of extraordinary 
circumstances, is not a basis for necessity.
    (d) With respect to reasonableness, a test program must exhibit a 
duration of reasonable length and affect a reasonable number of vehicles 
or engines. In this regard, required items of information include:
    (1) An estimate of the program's duration;
    (2) The maximum number of vehicles or engines involved; and
    (e) With respect to control, the test program must incorporate 
procedures consistent with the purpose of the test and be capable of 
affording EPA monitoring capability. As a minimum, required items of 
information include:
    (1) The technical nature of the test;
    (2) The site of the test;
    (3) The time or mileage duration of the test;
    (4) The ownership arrangement with regard to the vehicles or engines 
involved in the test;
    (5) The intended final disposition of the vehicles or engines;
    (6) The manner in which vehicle identification numbers or the engine 
serial numbers will be identified, recorded, and made available; and
    (7) The means or procedure whereby test results will be recorded.
    (f) A manufacturer of new motor vehicles or new motor vehicle 
engines may request a testing exemption to cover any vehicles and/or 
engines intended for use in test programs planned

[[Page 64]]

or anticipated over the course of a subsequent one-year period. Unless 
otherwise required by the Director, Manufacturers Operations Division, a 
manufacturer requesting such an exemption need only furnish the 
information required by paragraphs (a)(1) and (d)(2) of this section 
along with a description of the recordkeeping and control procedures 
that will be employed to assure that the vehicles and/or engines are 
used for purposes consistent with section 203(b)(1).

[39 FR 32611, Sept. 10, 1974, as amended at 45 FR 13733, Mar. 3, 1980; 
47 FR 30484, July 14, 1982]



Sec. 85.1706  Pre-certification exemption.

    (a) Except as provided in paragraph (b) of this section, any pre-
certification vehicle or pre-certification vehicle engine, as defined by 
Sec. 85.1702(a) (3) or (4), is exempt from section 203(a), without 
application, if the manufacturer complies with the following terms and 
conditions:
    (1) The manufacturer shall create, maintain, and make available at 
reasonable times for review or copying by appropriate EPA employees 
records which provide each vehicle identification or engine serial 
number, indicate the use of the vehicle or engine on exempt status and 
indicate the final disposition of any vehicle or engine removed from 
exempt status; and
    (2) Unless the requirement is waived or an alternative procedure is 
approved by the Director, Manufacturers Operations Division, the 
manufacturer shall permanently affix to each vehicle or engine on exempt 
status in a readily visible portion of the engine compartment (on a 
readily visible portion of a heavy-duty engine or in a readily 
accessible position on a motorcycle) a label which cannot be removed 
without destruction or defacement and which states in the English 
language, in block letters and numerals of a color that contrasts with 
the background of the label, the following information:
    (i) The label heading: Emission Control Information;
    (ii) Full corporate name and trademark of manufacturer;
    (iii) Engine displacement, engine family identification and model 
year of vehicle or engine; or person or office to be contacted for 
further information about the vehicle or engine;
    (iv) The statement: THIS VEHICLE OR ENGINE IS EXEMPT FROM THE 
PROHIBITIONS OF SECTIONS 203(a)(1), (3) and (4) OF THE CLEAN AIR ACT, AS 
AMENDED.
    (3) No provision of paragraph (a)(2) of this section shall prevent a 
manufacturer from including any other information it desires on the 
label.
    (b) Any manufacturer that desires a pre-certification exemption and 
is in the business of importing, modifying or testing uncertified 
vehicles for resale under the provisions of 40 CFR 85.1501, et seq., 
must apply to the Director, Manufacturers Operations Division. The 
Director may require such manufacturers to submit information regarding 
the general nature of the fleet activities, the number of vehicles 
involved, and a demonstration that adequate record-keeping procedures 
for control purposes will be employed.

[47 FR 30484, July 14, 1982]



Sec. 85.1707  Display exemption.

    Where an uncertified vehicle or engine is a display vehicle or 
engine to be used solely for display purposes, will not be operated on 
the public streets or highways except for that operation incident and 
necessary to the display purpose, and will not be sold unless an 
applicable certificate of conformity has been received, no request for 
exemption of the vehicle or engine is necessary.

[39 FR 32611, Sept. 10, 1974. Redesignated and amended at 47 FR 30484, 
July 14, 1982]



Sec. 85.1708  National security exemption.

    A manufacturer requesting a national security exemption must state 
the purpose for which the exemption is required and the request must be 
endorsed by an agency of the Federal Government charged with 
responsibility for national defense.

[39 FR 32611, Sept. 10, 1974. Redesignated at 47 FR 30484, July 14, 
1982]



Sec. 85.1709  Export exemptions.

    (a) A new motor vehicle or new motor vehicle engine intended solely 
for export, and so labeled or tagged on the outside of the container and 
on the

[[Page 65]]

vehicle or engine itself, shall be subject to the provisions of section 
203(a) of the Act, unless the importing country has new motor vehicle 
emission standards which differ from the USEPA standards.
    (b) For the purpose of paragraph (a) of this section, a country 
having no standards, whatsoever, is deemed to be a country having 
emission standards which differ from USEPA standards.
    (c) EPA shall periodically publish in the Federal Register a list of 
foreign countries which have in force emissions standards identical to 
USEPA standards and have so notified EPA. New motor vehicles or new 
motor vehicle engines exported to such countries shall comply with USEPA 
certification regulations.
    (d) It is a condition of any exemption for the purpose of export 
under section 203(b)(3) of the Act, that such exemption shall be void ab 
initio with respect to a new motor vehicle or new motor vehicle engine 
intended solely for export where:
    (1) Such motor vehicle or motor vehicle engine is sold, or offered 
for sale, to an ultimate purchaser in the United States for purposes 
other than export; and
    (2) The motor vehicle or motor vehicle engine manufacturer had 
reason to believe that any such vehicle would be sold or offered for 
sale as described in paragraph (d)(1) of this section.

[39 FR 32611, Sept. 10, 1974. Redesignated at 47 FR 30484, July 14, 
1982]



Sec. 85.1710  Granting of exemptions.

    (a) If upon completion of the review of an exemption request, as 
required by Sec. Sec. 85.1705 and 85.1708, the granting of an exemption 
is deemed appropriate, a memorandum of exemption will be prepared and 
submitted to the person requesting the exemption. The memorandum will 
set forth the basis for the exemption, its scope, and such terms and 
conditions as are deemed necessary. Such terms and conditions will 
generally, include, but are not limited to, agreements by the applicant 
to conduct the exempt activity in the manner described to EPA, create 
and maintain adequate records accessible to EPA at reasonable times, 
employ labels for the exempt engines or vehicles setting forth the 
nature of the exemption, take appropriate measures to assure that the 
terms of the exemption are met, and advise EPA of the termination of the 
activity and the ultimate disposition of the vehicles or engines.
    (b) Any exemption granted pursuant to paragraph (a) of this section 
shall be deemed to cover any subject vehicle or engine only to the 
extent that the specified terms and conditions are complied with. A 
breach of any term or condition shall cause the exemption to be void ab 
initio with respect to any vehicle or engine. Consequently, the causing 
or the performing of an act prohibited under sections 203(a) (1) or (3) 
of the Clean Air Act other than in strict conformity with all terms and 
conditions of this exemption shall render the person to whom the 
exemption is granted, and any other person to whom the provisions of 
section 203 are applicable, liable to suit under sections 204 and 205 of 
the Act.

[39 FR 32611, Sept. 10, 1974, as amended at 45 FR 13733, Mar. 3, 1980. 
Redesignated and amended at 47 FR 30485, July 14, 1982]



Sec. 85.1711  Submission of exemption requests.

    Requests for exemption or furtheinformation concerning exemptions 
and/or the exemption request review procedure should be addressed to:

Director
Manufacturers Operations Division (EN-340)
Environmental Protection Agency
1200 Pennsylvania Ave., NW.,
Washington, DC 20460

[39 FR 32611, Sept. 10, 1974, as amended at 44 FR 61962, Oct. 29, 1979. 
Redesignated and amended at 47 FR 30485, July 14, 1982]



Sec. 85.1712  Treatment of confidential information.

    (a) Any person or manufacturer may assert that some or all of the 
information submitted pursuant to this subpart is entitled to 
confidential treatment as provided by 40 CFR part 2, subpart B.
    (b) Any claim of confidentiality must accompany the information at 
the time it is submitted to EPA.
    (c) To assert that information submitted pursuant to this subpart is 
confidential, a person or manufacturer

[[Page 66]]

must indicate clearly the items of information claimed confidential by 
marking, circling, bracketing, stamping, or otherwise specifying the 
confidential information. Furthermore, EPA requests, but does not 
require, that the submitter also provide a second copy of it submittal 
from which all confidential information has been deleted. If a need 
arises to publicly release nonconfidential information, EPA will assume 
that the submitter has accurately deleted the confidential information 
from this second copy.
    (d) If a claim is made that some or all of the information submitted 
pursuant to ths subpart is entitled to confidential treatment, the 
information covered by that confidentiality claim will be disclosed by 
the Administrator only to the extent and by means of the procedures set 
forth in part 2, subpart B, of this chapter.
    (e) Information provided without a claim of confidentiality at the 
time of submission may be made available to the public by EPA without 
further notice to the submitter, in accordance with 40 CFR 
2.204(c)(2)(i)(A).

[50 FR 34797, Aug. 27, 1985]



Sec. 85.1713  Delegated-assembly exemption.

    The provisions of 40 CFR 1068.261 related to shipping engines that 
are not yet in their certified configuration apply for manufacturers of 
heavy-duty highway engines starting in the 2010 model year, with the 
following exceptions and clarifications:
    (a) The relevant prohibitions are in Clean Air Act section 203 (42 
U.S.C. 7522), rather than 40 CFR 1068.101.
    (b) References to equipment should be understood as references to 
vehicles.
    (c) The provisions related to reduced auditing rates in 40 CFR 
1068.261(d)(3)(iii) apply starting with the 2014 model year.
    (d) The provisions related to supplemental labeling described in 40 
CFR 1068.261(c)(7)(i) and (ii) apply starting with the 2010 model year.
    (e) The engine's model year does not change based on the date the 
vehicle manufacturer adds the aftertreatment device.

[73 FR 59178, Oct. 8, 2008]



Sec. 85.1714  Replacement-engine exemption.

    (a) Engine manufacturers may use the provisions of 40 CFR 1068.240 
to exempt new replacement heavy-duty highway engines as specified in 
this section.
    (b) The following provisions from 40 CFR part 1068 apply for all 
complete and partially complete engines produced by an engine 
manufacturer choosing to produce any exempt replacement engines under 
this section:
    (1) The definition of engine in 40 CFR 1068.30.
    (2) The provisions of 40 CFR 1068.260 and 1068.262.
    (c) Notify us in writing that you intend to use the provisions of 
this section prior to producing such engines. An authorized 
representative of your company must approve and sign the notification. 
Your notification is considered to be your agreement to comply with all 
the requirements of this section.
    (d) Engine manufacturers choosing to use the provisions of this 
section may opt out by sending us written notice that they will no 
longer introduce into U.S. commerce engines exempted under this section.

[73 FR 59178, Oct. 8, 2008]



Sec. 85.1715  Aircraft meeting the definition of motor vehicle.

    This section applies for aircraft meeting the definition of motor 
vehicle in Sec. 85.1703.
    (a) For the purpose of this section, aircraft means any vehicle 
capable of sustained air travel above treetop heights.
    (b) The standards, requirements, and prohibitions of 40 CFR part 86 
do not apply for aircraft or aircraft engines. Standards apply 
separately to certain aircraft engines, as described in 40 CFR part 87.

[75 FR 22977, Apr. 30, 2010]



                      Subpart S_Recall Regulations

    Authority: Sec. 301(a), Clean Air Act, 81 Stat. 504, as amended by 
sec. 15(c), 84 Stat. 1713 (42 U.S.C. 1857g(a)). The regulations 
implement sec. 207(c) (1)-(2), Clean Air Act, 84 Stat. 1697 (42 U.S.C. 
1847f-5a(c)(1)-(2)); sec.

[[Page 67]]

208(a), Clean Air Act, 81 Stat. 501, as renumbered by sec. 8(a), 84 
Stat. 1694 (42 U.S.C. 1857f-6(a)).

    Source: 39 FR 44375, Dec. 23, 1974, unless otherwise noted.



Sec. 85.1801  Definitions.

    For the purposes of this subpart, except as otherwise provided, 
words shall be defined as provided for by sections 214 and 302 of the 
Clean Air Act, 42 U.S.C. 1857, as amended.
    (a) Act shall mean the Clean Air Act, 42 U.S.C. 1857, as amended.
    (b) Days shall mean calendar days.



Sec. 85.1802  Notice to manufacturer of nonconformity; submission of Remedial Plan.

    (a) A manufacturer will be notified whenever the Administrator has 
determined that a substantial number of a class or category of vehicles 
or engines produced by that manufacturer, although properly maintained 
and used, do not conform to the regulations prescribed under section 202 
of the Act in effect during (and applicable to) the model year of such 
vehicle. The notification will include a description of each class or 
category of vehicles or engines encompassed by the determination of 
nonconformity, will give the factual basis for the determination of 
nonconformity (except information previously provided the manufacturer 
by the Agency), and will designate a date, no sooner than 45 days from 
the date of receipt of such notification, by which the manufacturer 
shall have submitted a plan to remedy the nonconformity.
    (b) Unless a hearing is requested pursuant to Sec. 85.1807, the 
remedial plan shall be submitted to the Administrator within the time 
limit specified in the Administrator's notification, provided that the 
Administrator may grant the manufacturer an extension upon good cause 
shown.
    (c) If a manufacturer requests a public hearing pursuant to Sec. 
85.1807, unless as a result of such hearing the Administrator withdraws 
his determination of nonconformity, the manufacturer shall submit the 
remedial plan within 30 days of the end of such hearing.

[39 FR 44375, Dec. 23, 1974, as amended at 42 FR 36456, July 15, 1977]



Sec. 85.1803  Remedial Plan.

    (a) When any manufacturer is notified by the Administrator that a 
substantial number of any class or category of vehicles or engines, 
although properly maintained and used, do not conform to the regulations 
(including emission standards) or family particulate emission limits, as 
defined in part 86 promulgated under section 202 of the Act and in 
effect during (and applicable to) the model year of such class or 
classes of vehicles or engines, the manufacturer shall submit a plan to 
the Administrator to remedy such nonconformity. The plan shall contain 
the following:
    (1) A description of each class or category of vehicle or engine to 
be recalled including the model year, the make, the model, and such 
other information as may be required to identify the vehicles or engines 
to be recalled.
    (2) A description of the specific modifications, alterations, 
repairs, corrections, adjustments or other changes to be made to bring 
the vehicles or engines into conformity including a brief summary of the 
data and technical studies which support the manufacturer's decision as 
to the particular remedial changes to be used in correcting the 
nonconformity.
    (3) A description of the method by which the manufacturer will 
determine the names and addresses of vehicle or engine owners.
    (4) A description of the proper maintenance or use, if any, upon 
which the manufacturer conditions eligibility for repair under the 
remedial plan, an explanation of the manufacturer's reasons for imposing 
any such condition, and a description of the proof to be required of a 
vehicle or engine owner to demonstrate compliance with any such 
condition. Eligibility may not be denied solely on the basis that the 
vehicle or engine owner used parts not manufactured by the original 
equipment vehicle manufacturer, or had repairs performed by outlets 
other than the vehicle manufacturer's franchised dealers. No maintenance 
or use condition may be imposed unless it is, in the judgement of the 
Administrator, demonstrably related to preventing the nonconformity.

[[Page 68]]

    (5) A description of the procedure to be followed by vehicle or 
engine owners to obtain correction of the nonconformity. This shall 
include designation of the date on or after which the owner can have the 
nonconformity remedied, the time reasonably necessary to perform the 
labor required to correct the nonconformity, and the designation of 
facilities at which the nonconformity can be remedied: Provided, That 
repair shall be completed within a reasonable time designated by the 
Administrator from the date the owner first tenders his vehicle or 
engine after the date designated by the manufacturer as the date on or 
after which the owner can have the nonconformity remedied.
    (6) If some or all of the nonconforming vehicles or engines are to 
be remedied by persons other than dealers or authorized warranty agents 
of the manufacturer, a description of the class of persons other than 
dealers and authorized warranty agents of the manufacturer who will 
remedy the nonconformity, and a statement indicating that the 
participating members of the class will be properly equipped to perform 
such remedial action.
    (7) Three copies of the letters of notification to be sent to 
vehicle or engine owners.
    (8) A description of the system by which the manufacturer will 
assure that an adequate supply of parts will be available to perform the 
repair under the remedial plan including the date by which an adequate 
supply of parts will be available to initiate the repair campaign, the 
percentage of the total parts requirement of each person who is to 
perform the repair under the remedial plan to be shipped to initiate the 
campaign, and the method to be used to assure the supply remains both 
adequate and responsive to owner demand.
    (9) Three copies of all necessary instructions to be sent to those 
persons who are to perform the repair under the remedial plan.
    (10) A description of the impact of the proposed changes on fuel 
consumption, driveability, and safety of each class or category of 
vehicles or engines to be recalled and a brief summary of the data, 
technical studies, or engineering evaluations which support these 
conclusions.
    (11) Any other information, reports or data which the Administrator 
may reasonably determine is necessary to evaluate the remedial plan.
    (b)(1) Notification to vehicle or engine owners shall be made by 
first class mail or by such means as approved by the Administrator: 
Provided, That for good cause, the Administrator may require the use of 
certified mail to ensure an effective notification.
    (2) The manufacture shall use all reasonable means necessary to 
locate vehicle or engine owners: Provided, That for good cause, the 
Administrator may require the manufacturer to use motor vehicle 
registration lists as available from State or commercial sources to 
obtain the names and addresses of vehicle or engine owners to ensure an 
effective notification.
    (3) The Administrator reserves the right to require the manufacturer 
to send by first class mail or other reasonable means subsequent 
notification to vehicle or engine owners: Provided, That for good cause, 
the Administrator may require the use of certified mail to ensure an 
effectctive notification.
    (c)(1) The manufacturer shall require those who perform the repair 
under the remedial plan to affix a label to each vehicle or engine 
repaired or, when required, inspected under the remedial plan.
    (2) The label shall be placed in such location as approved by the 
Administrator consistent with State law and shall be fabricated of a 
material suitable for the location in which it is installed and which is 
not readily removable intact.
    (3) The label shall contain:
    (i) The recall campaign number; and
    (ii) A code designating the campaign facility at which the repair, 
or inspection for repair was performed.
    (4) The Administrator reserves the right to waive any or all of the 
requirements of this paragraph if he determines that they constitute an 
unwarranted burden to the manufacturer.
    (d) The Administrator may require the manufacturer to conduct tests 
on components and vehicles or engines incorporating a proposed change, 
repair, or modification reasonably designed

[[Page 69]]

and necessary to demonstrate the effectiveness of the change, repair, or 
modification.

    Note: An interpretive ruling regarding Sec. 85.1803 is published in 
appendix A to this subpart.

[39 FR 44375, Dec. 23, 1974, as amended at 40 FR 28067, July 3, 1975; 42 
FR 36456, July 15, 1977; 45 FR 36398, May 30, 1980; 48 FR 33462, July 
21, 1983]



Sec. 85.1804  Approval of Plan: Implementation.

    (a) If the Administrator finds that the remedial plan is designed 
and effective to correct the nonconformity, he will so notify the 
manufacturer in writing. If the remedial plan is not approved, the 
Administrator will provide the manufacturer notice of the disapproval 
and the reasons for the disapproval in writing.
    (b) Upon receipt of notice from the Administrator that the remedial 
plan has been approved, the manufacturer shall commence implementation 
of the approved plan. Notification of vehicle or engine owners shall be 
in accordance with requirements of this subpart and shall proceed as 
follows:
    (1) When no public hearing as described in Sec. 85.1807 is 
requested by the manufacturer, notification of vehicles or engine owners 
shall commence within 15 working days of the receipt by the manufacturer 
of the Administrator's approval unless otherwise specified by the 
Administrator.
    (2) When a public hearing as described in Sec. 85.1807 is held, 
unless as a result of such hearing the Administrator withdraws the 
determination of nonconformity, the Administrator shall, within 60 days 
after the completion of such hearing, order the manufacturer to provide 
prompt notification of such nonconformity.



Sec. 85.1805  Notification to vehicle or engine owners.

    (a) The notification of vehicle or engine owners shall contain the 
following:
    (1) The statement: ``The Administrator of the U.S. Environmental 
Protection Agency has determined that your vehicle or engine may be 
emitting pollutants in excess of the Federal emission standards or 
family particulate emission limits, as defined in part 86. These 
standards or family particulate emission limits, as defined in part 86 
were established to protect the public health or welfare from the 
dangers of air pollution.''
    (2) A statement that the nonconformity of any such vehicles or 
engines which have been, if required by the remedial plan, properly 
maintained and used, will be remedied at the expense of the 
manufacturer.
    (3) A description of the proper maintenance or use, if any, upon 
which the manufacturer conditions eligibility for repair under the 
remedial plan and a description of the proof to be required of a vehicle 
or engine owner to demonstrate compliance with such condition. 
Eligibility may not be denied solely on the basis that the vehicle or 
engine owner used parts not manufactured by the original equipment 
vehicle manufacturer, or had repairs performed by outlets other than the 
vehicle manufacturer's franchised dealers.
    (4) A clear description of the components which will be affected by 
the remedy and a general statement of the measures to be taken to 
correct the nonconformity.
    (5) A statement that such nonconformity if not repaired may cause 
the vehicle or engine to fail an emission inspection test when such 
tests are required under State or local law.
    (6) A description of the adverse affects, if any, that an 
uncorrected nonconformity would have on the performance or driveability 
of the vehicle or engine.
    (7) A description of the adverse affects, if any, that such 
nonconformity would have on the functions of other engine components.
    (8) A description of the procedure which the vehicle or engine owner 
should follow to obtain correction of the nonconformity. This shall 
include designation of the date on or after which the owner can have the 
nonconformity remedied, the time reasonably necessary to perform the 
labor required to correct the nonconformity, and the designation of 
facilities at which the nonconformity can be remedied.
    (9) A card to be used by a vehicle or engine owner in the event the 
vehicle or engine to be recalled has been sold.

[[Page 70]]

Such card should be addressed to the manufacturer and shall provide a 
space in which the owner may indicate the name and address of the person 
to whom the vehicle or engine was sold.
    (10) The statement: ``In order to ensure your full protection under 
the emission warranty made applicable to your (vehicle or engine) by 
Federal law, and your right to participate in future recalls, it is 
recommended that you have (vehicle or engine) serviced as soon as 
possible. Failure to do so could legally be determined to be a lack of 
proper maintenance of your (vehicle or engine).''
    (b) No notice sent pursuant to paragraph (a) of this section nor any 
other contemporaneous communication sent to vehicle or engine owners or 
dealers shall contain any statement or implication that the 
nonconformity does not exist or that the nonconformity will not degrade 
air quality.
    (c) The manufacturer shall be informed of any other requirements 
pertaining to the notification under this section which the 
Administrator has determined are reasonable and necessary to ensure the 
effectiveness of the recall campaign.

[39 FR 44375, Dec. 23, 1974, as amended at 48 FR 33462, July 21, 1983]



Sec. 85.1806  Records and reports.

    (a) The manufacturer shall provide to the Administrator a copy of 
all communications which relate to the remedial plan directed to dealers 
and other persons who are to perform the repair under the remedial plan. 
Such copies shall be mailed to the Administrator contemporaneously with 
their transmission to dealers and other persons who are to perform the 
repair under the remedial plan.
    (b) The manufacturer shall provide for the establishment and 
maintenance of records to enable the Administrator to conduct a 
continuing analysis of the adequacy of the recall campaign. The records 
shall include, for each class or category of vehicle or engine, but need 
not be limited to, the following:
    (1) Recall campaign number as designated by the manufacturer.
    (2) Date owner notification was begun, and date completed.
    (3) Number of vehicles or engines involved in the recall campaign.
    (4) Number of vehicles or engines known or estimated to be affected 
by the nonconformity.
    (5) Number of vehicles or engines inspected pursuant to the remedial 
plan.
    (6) Number of inspected vehicles found to be affected by the 
nonconformity.
    (7) Number of vehicles actually receiving repair under the remedial 
plan.
    (8) Number of vehicles determined to be unavailable for inspection 
or repair under the remedial plan due to exportation, theft, scrapping 
or for other reasons (specify).
    (9) Number of vehicles or engines determined to be ineligible for 
remedial action due to a failure to properly maintain or use such 
vehicles or engines.
    (c) If the manufacturer determines that the original answers for 
paragraphs (b) (3) and (4) of this section are incorrect, revised 
figures and an explanatory note shall be submitted. Answers to 
paragraphs (b) (5), (6), (7), and (8), and (9) of this section shall be 
cumulative totals.
    (d) Unless otherwise directed by the Administrator, the information 
specified in paragraph (b) of this section shall be included in 
quarterly reports, with respect to each recall campaign, for six 
consecutive quarters beginning with the quarter in which the 
notification of owners was initiated, or until all nonconforming 
vehicles or engines involved in the campaign have been remedied, 
whichever occurs sooner. Such reports shall be submitted no later than 
25 working days after the close of each calendar quarter.
    (e) The manufacturer shall maintain in a form suitable for 
inspection, such as computer information storage devices or card files, 
lists of the names and addresses of vehicles or engine owners.
    (1) To whom notification was given;
    (2) Who received remedial repair or inspection under the remedial 
plan; and
    (3) When eligibility for repair is conditioned on proper maintenance 
or use, that were determined not to qualify for such remedial action.

[[Page 71]]

    (f) The records described in paragraph (e) of this section shall be 
made available to the Administrator upon request.
    (g) The records and reports required by this section shall be 
retained for not less than 5 years.

[39 FR 44375, Dec. 23, 1974; 40 FR 3447, Jan. 22, 1975]



Sec. 85.1807  Public hearings.

    (a) Definitions. The following definitions shall be applicable to 
this section:
    (1) ``Hearing Clerk'' shall mean the Hearing Clerk of the 
Environmental Protection Agency.
    (2) ``Intervener'' shall mean a person who files a petition to be 
made an intervener pursuant to paragraph (g) of this section and whose 
petition is approved.
    (3) ``Manufacturer'' refers to a manufacturer contesting a recall 
order directed at that manufacturer.
    (4) ``Party'' shall include the Environmental Protection Agency, the 
manufacturer, and any interveners.
    (5) ``Presiding Officer'' shall mean an Administrative Law Judge 
appointed pursuant to 5 U.S.C. 3105 (see also 5 CFR part 930 as 
amended).
    (6) ``Environmental Appeals Board'' shall mean the Board within the 
Agency described in Sec. 1.25 of this title. The Administrator 
delegates authority to the Environmental Appeals Board to issue final 
decisions in appeals filed under this subpart. Appeals directed to the 
Administrator, rather than to the Environmental Appeals Board, will not 
be considered. This delegation of authority to the Environmental Appeals 
Board does not preclude the Environmental Appeals Board from referring 
an appeal or a motion filed under this subpart to the Administrator for 
decision when the Environmental Appeals Board, in its discretion, deems 
it appropriate to do so. When an appeal or motion is referred to the 
Administrator, all parties shall be so notified and the rules in this 
part referring to the Environmental Appeals Board shall be interpreted 
as referring to the Administrator.
    (b) Request for public hearing. (1)(i) If the manufacturer disagrees 
with the Administrator's finding of nonconformity he may request a 
public hearing as described in this section. Requests for such a hearing 
shall be filed with the Administrator not later than 45 days after the 
receipt of the Administrator's notification of nonconformity unless 
otherwise specified by the Administrator. Two copies of such request 
shall simultaneously be served upon the Director of the Manufacturers 
Operations Division and two copies filed with the Hearing Clerk. Failure 
of the manufacturer to request a hearing within the time provided shall 
constitute a waiver of his right to such a hearing. In such a case, the 
manufacturer shall carry out the recall order as required by Sec. 
85.1803-6.
    (ii) Subsequent to the expiration of the period for requesting a 
hearing as of right, the Administrator may, in his discretion and for 
good cause shown, grant the manufacturer a hearing to contest the 
nonconformity.
    (2) The request for a public hearing shall contain:
    (i) A statement as to which classes or categories of vehicles or 
engines are to be the subject of the hearing;
    (ii) A concise statement of the issues to be raised by the 
manufacturer at the hearing for each class or category of engine or 
vehicle for which the manufacturer has requested the hearing; and
    (iii) A statement as to reasons the manufacturer believes he will 
prevail on the merits on each of the issues so raised.
    (3) A copy of all requests for public hearings shall be kept on file 
in the Office of the Hearing Clerk and shall be made available to the 
public during Agency business hours.
    (c) Filing and service. (1) An original and two copies of all 
documents or papers required or permitted to be filed pursuant to this 
section shall be filed with the Hearing Clerk. Filing shall be deemed 
timely if mailed, as determined by the postmark, to the Hearing Clerk 
within the time allowed by this section. If filing is to be accomplished 
by mailing, the documents shall be sent to the address set forth in the 
notice of public hearing as described in paragraph (f) of this section.
    (2) Except for requests to commence a hearing, at the same time a 
party

[[Page 72]]

files with the Hearing Clerk any additional issues for consideration at 
the hearing or any written testimony, documents, papers, exhibits, or 
materials, proposed to be introduced into evidence or papers filed in 
connection with any appeal, it shall serve upon all other parties copies 
thereof. A certificate of service shall be provided on or accompany each 
document or paper filed with the Hearing Clerk. Documents to be served 
upon the Director of the Manufacturers Operations Division shall be 
mailed to: Director, Manufacturers Operations Division, U.S. 
Environmental Protection Agency (EG-340), 1200 Pennsylvania Ave., NW., 
WSM, Washington, DC 20460. Service by mail is complete upon mailing.
    (d) Time. (1) In computing any period of time prescribed or allowed 
by this section, except as otherwise provided, the day of the act or 
event from which the designated period of time begins to run shall not 
be included. Saturdays, Sundays, and Federal legal holidays shall be 
included in computing any such period allowed for the filing of any 
document or paper, except that when such period expires on a Saturday, 
Sunday, or Federal legal holiday, such period shall be extended to 
include the next following business day.
    (2) A prescribed period of time within which a party is required or 
permitted to do an act shall be computed from the time of service, 
except that when service is accomplished by mail, three days shall be 
added to the prescribed period.
    (e) Consolidation. The Administrator or the Presiding Officer in his 
discretion may consolidate two or more proceedings to be held under this 
section for the purpose of resolving one or more issues whenever it 
appears that such consolidation will expedite or simplify consideration 
of such issues. Consolidation shall not affect the right of any party to 
raise issues that could have been raised if consolidation had not 
occurred.
    (f) Notice of public hearings. (1) Notice of a public hearing under 
this section shall be given by publication in the Federal Register. 
Notice will be given at least 30 days prior to the commencement of such 
hearings.
    (2) The notice of a public hearing shall include the following 
information:
    (i) The purpose of the hearing and the legal authority under which 
the hearing is to be held;
    (ii) A brief summary of the Administrator's determination of 
nonconformity;
    (iii) A brief summary of the manufacturer's basis for contesting the 
Administrator's determination of nonconformity;
    (iv) Information regarding the time and location of the hearing and 
the address to which all documents required or permitted to be filed 
should be sent;
    (v) The address of the Hearing Clerk to whom all inquiries should be 
directed and with whom documents are required to be filed;
    (vi) A statement that all petitions to be made an intervener must be 
filed with the Hearing Clerk within 25 days from the date of the notice 
of public hearing and must conform to the requirements of paragraph (g) 
of this section.
    (3) The notice of public hearing shall be issued by the Assistant 
Administrator for Enforcement and General Counsel.
    (g) Interveners. (1) Any person desiring to intervene in a hearing 
to be held under section 207(c)(1) of the Act shall file a petition 
setting forth the facts and reasons why he thinks he should be permitted 
to intervene.
    (2) In passing upon a petition to intervene, the following factors, 
among other things, shall be considered by the Presiding Officer:
    (i) The nature of the petitioner's interest including the nature and 
the extent of the property, financial, environmental protection, or 
other interest of the petitioner;
    (ii) The effect of the order which may be entered in the proceeding 
on petitioner's interest;
    (iii) The extent to which the petitioner's interest will be 
represented by existing parties or may be protected by other means;
    (iv) The extent to which petitioner's participation may reasonably 
be expected to assist materially in the development of a complete 
record;

[[Page 73]]

    (v) The effect of the intervention on the Agency's statutory 
mandate.
    (3) A petition to intervene must be filed within 25 days following 
the notice of public hearing under section 207(c) (1) of the Act and 
shall be served on all parties. Any opposition to such petition must be 
filed within five days of such service.
    (4) All petitions to be made an intervener shall be reviewed by the 
Presiding Officer using the criteria set forth in paragraph (g)(2) of 
this section and considering any oppositions to such petition. Where the 
petition demonstrates that the petitioner's interest is limited to 
particular issues, the Presiding Officer may, in granting such petition, 
limit petitioner's participation to those particular issues only.
    (5) If the Presiding Officer grants the petition with respect to any 
or all issues, he shall so notify, or direct the Hearing Clerk to 
notify, the petitioner and all parties. If the Presiding Officer denies 
the petition he shall so notify, or direct the Hearing Clerk to notify, 
the petitioner and all parties and shall briefly state the reasons why 
the petition was denied.
    (6) All petitions to be made an intervener shall include an 
agreement by the petitioner, and any person represented by the 
petitioner, to be subject to examination and cross-examination and to 
make any supporting and relevant records available at its own expense 
upon the request of the Presiding Officer, on his own motion or the 
motion of any party or other intervener. If the intervener fails to 
comply with any such request, the Presiding Officer may in his 
discretion, terminate his status as an intervener.
    (h) Intervention by motion. Following the expiration of the time 
prescribed in paragraph (g) of this section for the submission of 
petitions to intervene in a hearing, any person may file a motion with 
the Presiding Officer to intervene in a hearing. Such a motion must 
contain the information and commitments required by paragraphs (g) (2) 
and (6) of this section, and, in addition, must show that there is good 
cause for granting the motion and must contain a statement that the 
intervener shall be bound by agreements, arrangements, and other 
determinations which may have been made in the proceeding.
    (i) Amicus Curiae. Persons not parties to the proceedings wishing to 
file briefs may do so by leave of the Presiding Officer granted on 
motion. A motion for leave shall identify the interest of the applicant 
and shall state the reasons why the proposed amicus brief is desirable.
    (j) Presiding Officer. The Presiding Officer shall have the duty to 
conduct a fair and impartial hearing in accordance with 5 U.S.C. 554, 
556 and 557, to take all necessary action to avoid delay in the 
disposition of the proceedings and to maintain order. He shall have all 
power consistent with Agency rule and with the Administrative Procedure 
Act necessary to this end, including the following:
    (1) To administer oaths and affirmations;
    (2) To rule upon offers of proof and receive relevant evidence;
    (3) To regulate the course of the hearings and the conduct of the 
parties and their counsel therein;
    (4) To hold conferences for simplification of the issues or any 
other proper purpose;
    (5) To consider and rule upon all procedural and other motions 
appropriate in such proceedings;
    (6) To require the submission of direct testimony in written form 
with or without affidavit whenever, in the opinion of the Presiding 
Officer, oral testimony is not necessary for full and true disclosure of 
the facts. Testimony concerning the conduct and results of tests and 
inspections may be submitted in written form.
    (7) To enforce agreements and orders requiring access as authorized 
by law;
    (8) To require the filing of briefs on any matter on which he is 
required to rule;
    (9) To require any party or any witness, during the course of the 
hearing, to state his position on any issue;
    (10) To take or cause depositions to be taken whenever the ends of 
justice would be served thereby;
    (11) To make decisions or recommend decisions to resolve the 
disputed issues of the record of the hearing.

[[Page 74]]

    (12) To issue, upon good cause shown, protective orders as described 
in paragraph (n) of this section.
    (k) Conferences. (1) At the discretion of the Presiding Officer, 
conferences may be held prior to or during any hearing. The Presiding 
Officer shall direct the Hearing Clerk to notify all parties and 
interveners of the time and location of any such conference. At the 
discretion of the Presiding Officer, persons other than parties may 
attend. At a conference the Presiding Officer may:
    (i) Obtain stipulations and admissions, receive requests and order 
depositions to be taken, identify disputed issues of fact and law, and 
require or allow the submission of written testimony from any witness or 
party;
    (ii) Set a hearing schedule for as many of the following as are 
deemed necessary by the Presiding Officer:
    (A) Oral and written statements;
    (B) Submission of written direct testimony as required or authorized 
by the Presiding Officer;
    (C) Oral direct and cross-examination of a witness where necessary 
as prescribed in paragraph (p) of this section;
    (D) Oral argument, if appropriate.
    (iii) Identify matters of which official notice may be taken;
    (iv) Consider limitation of the number of expert and other 
witnesses;
    (v) Consider the procedure to be followed at the hearing; and
    (vi) Consider any other matter that may expedite the hearing or aid 
in the disposition of the issue.
    (2) The results of any conference including all stipulations shall, 
if not transcribed, be summarized in writing by the Presiding Officer 
and made part of the record.
    (l) Primary discovery (exchange of witness lists and documents). (1) 
At a prehearing conference or within some reasonable time set by the 
Presiding Officer prior to the hearing, each party shall make available 
to the other parties the names of the expert and other witnesses the 
party expects to call, together with a brief summary of their expected 
testimony and a list of all documents and exhibits which the party 
expects to introduce into evidence. Thereafter, witnesses, documents, or 
exhibits may be added and summaries of expected testimony amended upon 
motion by a party.
    (2) The Presiding Officer, may, upon motion by a party or other 
person, and for good cause shown, by order (i) restrict or defer 
disclosure by a party of the name of a witness or a narrative summary of 
the expected testimony of a witness, and (ii) prescribe other 
appropriate measures to protect a witness. Any party affected by any 
such action shall have an adequate opportunity, once he learns the name 
of a witness and obtains the narrative summary of his expected 
testimony, to prepare for the presentation of his case.
    (m) Other discovery. (1) Except as so provided by paragraph (l) of 
this section, further discovery, under this paragraph, shall be 
permitted only upon determination by the Presiding Officer:
    (i) That such discovery will not in any way unreasonably delay the 
proceeding;
    (ii) That the information to be obtained is not obtainable 
voluntarily; and
    (iii) That such information has significant probative value. The 
Presiding Officer shall be guided by the procedures set forth in the 
Federal Rules of Civil Procedure, where practicable, and the precedents 
thereunder, except that no discovery shall be undertaken except upon 
order of the Presiding Officer or upon agreement of the parties.
    (2) The Presiding Officer shall order depositions upon oral 
questions only upon a showing of good cause and upon a finding that:
    (i) The information sought cannot be obtained by alternative 
methods; or
    (ii) There is a substantial reason to believe that relevant and 
probative evidence may otherwise not be preserved for presentation by a 
witness at the hearing.
    (3) Any party to the proceeding desiring an order of discovery shall 
make a motion or motions therefor. Such a motion shall set forth:
    (i) The circumstances warranting the taking of the discovery;
    (ii) The nature of the information expected to be discovered; and
    (iii) The proposed time and place where it will be taken. If the 
Presiding Officer determines the motion should

[[Page 75]]

be granted, he shall issue an order for the taking of such discovery 
together with the conditions and terms thereof.
    (4) Failure to comply with an order issued pursuant to this 
paragraph may lead to the inference that the information to be 
discovered would be adverse to the person or party from whom the 
information was sought.
    (n) Protective orders: in camera proceedings. (1) Upon motion by a 
party or by the person from whom discovery is sought, and upon a showing 
by the movant that the disclosure of the information to be discovered, 
or a particular part thereof, (other than emission data) would result in 
methods or processes entitled to protection as trade secrets of such 
person being divulged, the Presiding Officer may enter a protective 
order with respect to such material. Any protective order shall contain 
such terms governing the treatment of the information as may be 
appropriate under the circumstances to prevent disclosure outside the 
hearing: Provided, That the order shall state that the material shall be 
filed separately from other evidence and exhibits in the hearing. 
Disclosure shall be limited to parties to the hearing, their counsel and 
relevant technical consultants, and authorized representatives of the 
United States concerned with carrying out the Act. Except in the case of 
the government, disclosure may be limited to counsel to parties who 
shall not disclose such information to the parties themselves. Except in 
the case of the government, disclosure to a party or his counsel shall 
be conditioned on execution of a sworn statement that no disclosure of 
the information will be made to persons not entitled to receive it under 
the terms of the protective order. (No such provision is necessary where 
government employees are concerned because disclosure by them is subject 
to the terms of 18 U.S.C. 1905.)
    (2)(i) A party or person seeking a protective order may be permitted 
to make all or part of the required showing in camera. A record shall be 
made of such in camera proceedings. If the Presiding Officer enters a 
protective order following a showing in camera, the record of such 
showing shall be sealed and preserved and made available to the Agency 
or court in the event of appeal.
    (ii) Attendance at any in camera proceeding may be limited to the 
Presiding Officer, the Agency, and the person or party seeking the 
protective order.
    (3) Any party, subject to the terms and conditions of any protective 
order issued pursuant to paragraph (n)(1) of this section, desiring for 
the presentation of his case to make use of any in camera documents or 
testimony shall make application to the Presiding Officer by motion 
setting forth the justification therefor. The Presiding Officer, in 
granting any such motion, shall enter an order protecting the rights of 
the affected persons and parties and preventing unnecessary disclosure 
of such information, including the presentation of such information and 
oral testimony and cross-examination concerning it in executive session, 
as in his discretion is necessary and practicable.
    (4) In the submittal of proposed findings, briefs, or other papers, 
counsel for all parties shall make a good faith attempt to refrain from 
disclosing the specific details of in camera documents and testimony. 
This shall not preclude references in such proposed findings, briefs, or 
other papers to such documents or testimony including generalized 
statements based on their contents. To the extent that counsel consider 
it necessary to include specific details in their presentations, such 
data shall be incorporated in separate proposed findings, briefs, or 
other papers marked ``confidential'', which shall become part of the in 
camera record.
    (o) Motions. (1) All motions, except those made orally during the 
course of the hearing, shall be in writing and shall state with 
particularity the grounds therefor, shall set forth the relief or order 
sought, and shall be filed with the Hearing Clerk and served upon all 
parties.
    (2) Within ten days after service of any motion filed pursuant to 
this section, or within such other time as may be fixed by the 
Environmental Appeals Board or the Presiding Officer, as appropriate, 
any party may serve and file an answer to the motion. The movant

[[Page 76]]

shall, if requested by the Environmental Appeals Board or the Presiding 
Officer, as appropriate, serve and file reply papers within the time set 
by the request.
    (3) The Presiding Officer shall rule upon all motions filed or made 
prior to the filing of his decision or accelerated decision, as 
appropriate. The Environmental Appeals Board shall rule upon all motions 
filed prior to the appointment of a Presiding Officer and all motions 
filed after the filing of the decision of the Presiding Officer or 
accelerated decision. Oral argument of motions will be permitted only if 
the Presiding Officer or the Environmental Appeals Board, as 
appropriate, deems it necessary.
    (p) Evidence. (1) The official transcripts and exhibits, together 
with all papers and requests filed in the proceeding, shall constitute 
the record. Immaterial or irrelevant parts of an admissible document 
shall be segregated and excluded so far as practicable. Documents or 
parts thereof subject to a protective order under paragraph (n) of this 
section shall be segregated. Evidence may be received at the hearing 
even though inadmissible under the rules of evidence applicable to 
judicial proceedings. The weight to be given evidence shall be 
determined by its reliability and probative value.
    (2) The Presiding Officer shall allow the parties to examine and to 
crossexamine a witness to the extent that such examination and cross-
examination is necessary for a full and true disclosure of the facts.
    (3) Rulings of the Presiding Officer on the admissibility of 
evidence, the propriety of examination and cross-examination and other 
procedural matters shall appear in the record.
    (4) Parties shall automatically be presumed to have taken exception 
to an adverse ruling.
    (q) Interlocutory appeal. (1) An interlocutory appeal may be taken 
to the Environmental Appeals Board either (i) with the consent of the 
Presiding Officer and where he certifies on the record or in writing 
that the allowance of an interlocutory appeal is clearly necessary to 
prevent exceptional delay, expense or prejudice to any party or 
substantial detriment to the public interest, or (ii) absent the consent 
of the Presiding Officer, by permission of the Environmental Appeals 
Board.
    (2) Applications for interlocutory appeal of any ruling or order of 
the Presiding Officer may be filed with the Presiding Officer within 5 
days of the issuance of the ruling or order being appealed. Answers 
thereto by other parties may be filed within 5 days of the service of 
such applications.
    (3) The Presiding Officer shall rule on such applications within 5 
days of the filing of such application or answers thereto.
    (4) Applications to file such appeals absent consent of the 
Presiding Officer shall be filed with the Environmental Appeals Board 
within 5 days of the denial of any appeal by the Presiding Officer.
    (5) The Environmental Appeals Board will consider the merits of the 
appeal on the application and any answers thereto. No oral argument will 
be heard nor other briefs filed unless the Environmental Appeals Board 
directs otherwise.
    (6) Except under extraordinary circumstances as determined by the 
Presiding Officer, the taking of an interlocutory appeal will not stay 
the hearing.
    (r) Record. (1) Hearings shall be stenographically reported and 
transcribed, and the original transcript shall be part of the record and 
the sole official transcript. Copies of the record shall be filed with 
the Hearing Clerk and made available during Agency business hours for 
public inspection. Any person desiring a copy of the record of the 
hearing or any part thereof shall be entitled to the same upon payment 
of the cost thereof.
    (2) The official transcripts and exhibits, together with all papers 
and requests filed in the proceeding, shall constitute the record.
    (s) Proposed findings, conclusions. (1) Within 20 days of the close 
of the reception of evidence, or within such longer time as may be fixed 
by the Presiding Officer, any party may submit for the consideration of 
the Presiding Officer proposed findings of fact, conclusions of law, and 
a proposed rule or order, together with reasons therefor and briefs

[[Page 77]]

in support thereof. Such proposals shall be in writing, shall be served 
upon all parties, and shall contain adequate references to the record 
and authorities relied on.
    (2) The record shall show the Presiding Officer's ruling on the 
proposed findings and conclusions except when his order disposing of the 
proceeding otherwise informs the parties of the action taken by him 
thereon.
    (t) Decision of the Presiding Officer. (1) Unless extended by the 
Environmental Appeals Board, the Presiding Officer shall issue and file 
with the Hearing Clerk his decision within 30 days after the period for 
filing proposed findings as provided for in paragraph (s) of this 
section has expired.
    (2) The Presiding Officer's decision shall become the opinion of the 
Environmental Appeals Board (i) when no notice of intention to appeal as 
described in paragraph (u) of this section is filed, 30 days after the 
issuance thereof, unless in the interim the Environmental Appeals Board 
shall have taken action to review or stay the effective date of the 
decision; or (ii) when a notice of intention to appeal is filed but the 
appeal is not perfected as required by paragraph (u) of this section, 5 
days after the period allowed for perfection of an appeal has expired 
unless within that 5 day period, the Environmental Appeals Board shall 
have taken action to review or stay the effective date of the decision.
    (3) The Presiding Officer's decision shall include a statement of 
findings and conclusions, as well as the reasons or basis therefor, upon 
all the material issues of fact or law presented on the record and an 
appropriate rule or order. Such decision shall be supported by 
substantial evidence and based upon a consideration of the whole record.
    (4) At any time prior to the issuance of his decision, the Presiding 
Officer may reopen the proceeding for the reception of further evidence. 
Except for the correction of clerical errors, the jurisdiction of the 
Presiding Officer is terminated upon the issuance of his decision.
    (u) Appeal from the Decision of the Presiding Officer. (1) Any party 
to a proceeding may appeal the Presiding Officer's decision to the 
Environmental Appeals Board, Provided, That within 10 days after 
issuance of the Presiding Officer's decision such party files a notice 
of intention to appeal and an appeal brief within 30 days of such 
decision.
    (2) When an appeal is taken from the decision of the Presiding 
Officer, any party may file a brief with respect to such appeal. The 
brief shall be filed within 20 days of the date of the filing of the 
appellant's brief.
    (3) Any brief filed pursuant to this paragraph shall contain in the 
order indicated, the following:
    (i) A subject index of the matter in the brief, with page 
references, and a table of cases (alphabetically arranged), textbooks, 
statutes, and other material cited, with page references thereto;
    (ii) A specification of the issues intended to be urged;
    (iii) The argument presenting clearly the points of fact and law 
relied upon in support of the position taken on each issue, with 
specific page references to the record and the legal or other material 
relied upon; and
    (iv) A proposed form of rule or order for the Environmental Appeals 
Board's consideration if different from the rule or order contained in 
the Presiding Officer's decision.
    (4) No brief in excess of 40 pages shall be filed without leave of 
the Environmental Appeals Board.
    (5) Oral argument will be allowed in the discretion of the 
Environmental Appeals Board.
    (v) Review of the Presiding Officer's Decision in Absence of Appeal. 
(1) If, after the expiration of the period for taking an appeal as 
provided for by paragraph (u) of this section, no notice of intention to 
appeal the decision of the Presiding Officer has been filed, or if 
filed, not perfected, the Hearing Clerk shall so notify the 
Environmental Appeals Board.
    (2) The Environmental Appeals Board, upon receipt of notice from the 
Hearing Clerk that no notice of intention to appeal has been filed, or 
if filed, not perfected pursuant to paragraph (u) of this section, may, 
on its own motion, within the time limits specified

[[Page 78]]

in paragraph (t)(2) of this section, review the decision of the 
Presiding Officer. Notice of the intention of the Environmental Appeals 
Board to review the decision of the Presiding Officer shall be given to 
all parties and shall set forth the scope of such review and the issue 
which shall be considered and shall make provision for filing of briefs.
    (w) Decision on appeal or review. (1) Upon appeal from or review of 
the Presiding Officer's decision, the Environmental Appeals Board shall 
consider such parts of the record as are cited or as may be necessary to 
resolve the issues presented and, in addition shall to the extent 
necessary or desirable exercise all the powers which it could have 
exercised if it had presided at the hearing.
    (2) In rendering its decision, the Environmental Appeals Board shall 
adopt, modify, or set aside the findings, conclusions, and rule or order 
contained in the decision of the Presiding Officer and shall set forth 
in its decision a statement of the reasons or bases for its action.
    (3) In those cases where the Environmental Appeals Board determines 
that it should have further information or additional views of the 
parties as to the form and content of the rule or order to be issued, 
the Environmental Appeals Board, in its discretion, may withhold final 
action pending the receipt of such additional information or views, or 
may remand the case to the Presiding Officer.
    (x) Reconsideration. Within twenty (20) days after issuance of the 
Environmental Appeals Board's decision, any party may file with the 
Environmental Appeals Board a petition for reconsideration of such 
decision, setting forth the relief desired and the grounds in support 
thereof. Any petition filed under this subsection must be confined to 
new questions raised by the decision or the final order and upon which 
the petitioner had no opportunity to argue before the Presiding Officer 
or the Environmental Appeals Board. Any party desiring to oppose such a 
petition shall file and answer thereto within ten (10) days after the 
filing of the petition. The filing of a petition for reconsideration 
shall not operate to stay the effective date of the decision or order or 
to toll the running of any statutory time period affecting such decision 
or order unless specifically so ordered by the Environmental Appeals 
Board.
    (y) Accelerated decision: Dismissal. (1) The Presiding Officer, upon 
motion of any party or sua sponte, may at any time render an accelerated 
decision in favor of the Agency or the manufacturer as to all or any 
part of the proceeding, without further hearing or upon such limited 
additional evidence such as affidavits as he may require, or dismiss any 
party with prejudice, under any of the following conditions:
    (i) Failure to state a claim upon which relief can be granted, or 
direct or collateral estoppel;
    (ii) There is no genuine issue of material fact and a party is 
entitled to judgment as a matter of law; or
    (iii) Such other and further reasons as are just, including 
specifically failure to obey a procedural order of the Presiding 
Officer.
    (2) If under this paragraph an accelerated decision is issued as to 
all the issues and claims joined in the proceeding, the decision shall 
be treated for the purposes of these procedures as the decision of the 
Presiding Officer as provided in paragraph (p) of this section.
    (3) If under this paragraph, judgment is rendered on less than all 
issues or claims in the proceeding, the Presiding Officer shall 
determine what material facts exist without substantial controversy and 
what material facts are actually and in good faith controverted. He 
shall thereupon issue an order specifying the facts which appear without 
substantial controversy, and the issues and claims upon which the 
hearing will proceed.
    (z) Conclusion of hearing. (1) If, after the expiration of the 
period for taking an appeal as provided for by paragraph (u) of this 
section, no appeal has been taken from the Presiding Officer's decision, 
and, after the expiration of the period for review by the Environmental 
Appeals Board on its own motion as provided for by paragraph (v) of this 
section, the Environmental Appeals Board does not move to review such 
decision, the hearing will be deemed to

[[Page 79]]

have ended at the expiration of all periods allowed for such appeal and 
review.
    (2) If an appeal of the Presiding Officer's decision is taken 
pursuant to paragraph (u) of this section, or if, in the absence of such 
appeal, the Environmental Appeals Board moves to review the decision of 
the Presiding Officer pursuant to paragraph (v) of this section, the 
hearing will be deemed to have ended upon the rendering of a final 
decision by the Environmental Appeals Board.
    (aa) Judicial Review. (1) The Administrator hereby designates the 
Deputy General Counsel, Environmental Protection Agency as the officer 
upon whom copy of any petition for judicial review shall be served.
    Such officer shall be responsible for filing in the court the record 
on which the order of the Environmental Appeals Board is based.
    (2) Before forwarding the record to the court, the Agency shall 
advise the petitioner of costs of preparing it and as soon as payment to 
cover fees is made shall forward the record to the court.

[39 FR 44375, Dec. 23, 1974; 40 FR 3447, Jan. 22, 1975, as amended at 44 
FR 61962, Oct. 29, 1979; 57 FR 5329, Feb. 13, 1992]



Sec. 85.1808  Treatment of confidential information.

    (a) Any manufacturer may assert that some or all of the information 
submitted pursuant to this subpart is entitled to confidential treatment 
as provided by 40 CFR part 2, subpart B.
    (b) Any claim of confidentiality must accompany the information at 
the time it is submitted to EPA.
    (c) To assert that information submitted pursuant to this subpart is 
confidential, a person or manufacturer must indicate clearly the items 
of information claimed confidential by marking, circling bracketing, 
stamping, or otherwise specifying the confidential information. 
Furthermore, EPA requests, but does not require, that the submitter also 
provide a second copy of its submittal from which all confidential 
information has been deleted. If a need arises to publicly release 
nonconfidential information, EPA will assume that the submitter has 
accurately deleted the confidential information from this second copy.
    (d) If a claim is made that some or all of the information submitted 
pursuant to this subpart is entitled to confidential treatment, the 
information covered by that confidentiality claim will be disclosed by 
the Environmental Appeals Board only to the extent and by means of the 
procedures set forth in part 2, subpart B, of this chapter.
    (e) Information provided without a claim of confidentiality at the 
time of submission may be made available to the public by EPA without 
further notice to the submitter, in accordance with 40 CFR 
2.204(c)(2)(i)(A).

[50 FR 34797, Aug. 27, 1985, as amended at 57 FR 5330, Feb. 13, 1992]



 Sec. Appendix A to Subpart S of Part 85--Interpretive Ruling for Sec. 
                         85.1803--Remedial Plans

    The purpose of this rule is to set forth EPA's interpretation 
regarding one aspect of a motor vehicle or motor vehicle engine 
manufacturer's recall liability under section 207(c)(1) of the Clean Air 
Act, 42 U.S.C. 7641(c)(1). This rule will provide guidance to vehicle 
and engine manufacturers to better enable them to submit acceptable 
remedial plans.
    Section 207(c)(1) requires the Administrator to base a recall order 
on a determination that a substantial number of in-use vehicles or 
engines within a given class or category of vehicles or engines, 
although properly maintained and used, fail to conform to the 
regulations prescribed under section 202 when in actual use throughout 
their useful lives. After making such a determination, he shall require 
the manufacturer to submit a plan to remedy the nonconformity of any 
such vehicles or engines. The plan shall provide that the manufacturer 
will remedy, at the manufacturer's expense, all properly maintained and 
used vehicles which experienced the nonconformity during their useful 
lives regardless of their age or mileage at the time of repair.

(Secs. 207 and 301(a), Clean Air Act, as amended, 42 U.S.C. 7541 and 
7601(a))

[45 FR 36398, May 30, 1980]



            Subpart T_Emission Defect Reporting Requirements

    Authority: Secs. 208(a) and 301(a), Clean Air Act, as amended (42 
U.S.C. 1857f-6(a) and 1857g(a)).

[[Page 80]]


    Source: 42 FR 28128, June 2, 1977, unless otherwise noted.



Sec. 85.1901  Applicability.

    The requirements of this subpart shall be applicable to all 1972 and 
later model year vehicles and engines. The requirement to report 
emission-related defects affecting a given class or category of vehicles 
or engines shall remain applicable for five years from the end of the 
model year in which such vehicles or engines were manufactured.



Sec. 85.1902  Definitions.

    For the purposes of this subpart and unless otherwise noted:
    (a) Act shall mean the Clean Air Act, 42 U.S.C. 1857, as amended.
    (b) The phrase emission-related defect shall mean:
    (1) A defect in design, materials, or workmanship in a device, 
system, or assembly described in the approved Application for 
Certification (required by 40 CFR 86.1843-01 and 86.1844-01, and by 40 
CFR 86.001-22 and similar provisions of 40 CFR part 86) which affects 
any parameter or specification enumerated in appendix VIII of this part; 
or
    (2) A defect in the design, materials, or workmanship in one or more 
emissions control or emission-related parts, components, systems, 
software or elements of design which must function properly to assure 
continued compliance with vehicle emission requirements, including 
compliance with CO2, CH4, N2O, and 
carbon-related exhaust emission standards;
    (c) The phrase useful life shall be given the meaning ascribed to it 
by section 202(d) of the Act and regulations promulgated thereunder.
    (d) The phrase Voluntary Emissions Recall shall mean a repair, 
adjustment, or modification program voluntarily initiated and conducted 
by a manufacturer to remedy any emission-related defect for which direct 
notification of vehicle or engine owners has been provided, including 
programs to remedy defects related to emissions standards for 
CO2, CH4, N2O, and/or carbon-related 
exhaust emissions.
    (e) The phrase ultimate purchaser shall be given the meaning 
ascribed to it by section 214 of the Act.
    (f) The term manufacturer shall be given the meaning ascribed to it 
by section 214 of the Act.

[42 FR 28128, June 2, 1977, as amended at 64 FR 23919, May 4, 1999; 75 
FR 25677, May 7, 2010]



Sec. 85.1903  Emissions defect information report.

    (a) A manufacturer shall file a defect information report whenever, 
on the basis of data obtained subsequent to the effective date of these 
regulations:
    (1) The manufacturer determines in accordance with procedures 
established by the manufacturer to identify safety related defects 
(pursuant to 15 U.S.C. 1381 et seq., as amended) that a specific 
emission-related defect exists; and
    (2) That the specific emission-related defect exists in twenty-five 
or more vehicles or engines of the same model year.

No report shall be filed under this paragraph for any emission-related 
defect corrected prior to the sale of the affected vehicles or engines 
to an ultimate purchaser.
    (b) Defect information reports required under paragraph (a) of this 
section shall be submitted not more than 15 working days after an 
emission-related defect is found to affect twenty-five vehicles or 
engines of the same model year. Items of information required by 
paragraph (c) of this section that are either not available within that 
period or are significantly revised shall be submitted as they become 
available.
    (c) Except as provided in paragraph (b) of this section, each defect 
report shall contain the following information in substantially the 
format outlined below:
    (1) The manufacturer's corporate name.
    (2) A description of the defect.
    (3) A description of each class or category of vehicles or engines 
potentially affected by the defect including make, model, model year, 
and such other information as may be required to identify the vehicles 
or engines affected.
    (4) For each class or category of vehicle or engine described in 
response to paragraph (c)(3) of this section, the following shall also 
be provided:

[[Page 81]]

    (i) The number of vehicles or engines known or estimated to have the 
defect and an explanation of the means by which this number was 
determined.
    (ii) The address of the plant(s) at which the potentially defective 
vehicles or engines were produced.
    (5) An evaluation of the emissions impact of the defect and a 
description of any driveability problems which a defective vehicle might 
exhibit.
    (6) Available emissions data which relate to the defect.
    (7) An indication of any anticipated manufacturer follow-up.



Sec. 85.1904  Voluntary emissions recall report; quarterly reports.

    (a) When any manufacturer initiates a voluntary emissions recall 
campaign involving twenty-five or more vehicles or engines, the 
manufacturer shall submit a report describing the manufacturer's 
voluntary emissions recall plan as prescribed by this section within 15 
working days of the date owner notification was begun. The report shall 
contain the following:
    (1) A description of each class or category of vehicle or engine 
recalled including the number of vehicles to be recalled, the model 
year, the make, the model, and such other information as may be required 
to identify the vehicles or engines recalled.
    (2) A description of the specific modifications, alterations, 
repairs, corrections, adjustments, or other changes to be made to 
correct the vehicles or engines affected by the emission-related defect.
    (3) A description of the method by which the manufacturer will 
determine the names and addresses of vehicle or engine owners and the 
method by which they will be notified.
    (4) A description of the proper maintenance or use, if any, upon 
which the manufacturer conditions eligibility for repair under the 
remedial plan, an explanation of the manufacturer's reasons for imposing 
any such condition, and a description of the proof to be required of a 
vehicle or engine owner to demonstrate compliance with any such 
condition.
    (5) A description of the procedure to be followed by vehicle or 
engine owners to obtain correction of the nonconformity. This shall 
include designation of the date on or after which the owner can have the 
nonconformity remedied, the time reasonably necessary to perform the 
labor to remedy the defect, and the designation of facilities at which 
the defect can be remedied.
    (6) If some or all of the nonconforming vehicles or engines are to 
be remedied by persons other than dealers or authorized warranty agents 
of the manufacturer, a description of the class of persons other than 
dealers and authorized warranty agents of the manufacturer who will 
remedy the defect.
    (7) Three copies of the letters of notification to be sent to 
vehicle or engine owners.
    (8) A description of the system by which the manufacturer will 
assure that an adequate supply of parts will be available to perform the 
repair under the remedial plan including the date by which an adequate 
supply of parts will be available to initiate the repair campaign, the 
percentage of the total parts requirement of each person who is to 
perform the repair under the remedial plan to be shipped to initiate the 
campaign, and the method to be used to assure the supply remains both 
adequate and responsive to owner demand.
    (9) Three copies of all necessary instructions to be sent to those 
persons who are to perform the repair under the remedial plan.
    (10) A description of the impact of the proposed changes on fuel 
consumption, driveability, and safety of each class or category of 
vehicles or engines to be recalled.
    (11) A sample of any label to be applied to vehicles or engines 
which participate in the voluntary recall campaign.
    (b) Unless otherwise specified by the Administrator, the 
manufacturer shall report on the progress of the recall campaign by 
submitting subsequent reports for six consecutive quarters commencing 
with the quarter after the voluntary emissions recall campaign actually 
begins. Such reports shall be submitted no later than 25 working days 
after the close of each calendar quarter. For each class or category of 
vehicle or engine subject to the voluntary

[[Page 82]]

emissions recall campaign, the quarterly report shall contain the:
    (1) Emission recall campaign number, if any, designated by the 
manufacturer.
    (2) Date owner notification was begun, and date completed.
    (3) Number of vehicles or engines involved in the voluntary 
emissions recall campaign.
    (4) Number of vehicles or engines known or estimated to be affected 
by the emission-related defect and an explanation of the means by which 
this number was determined.
    (5) Number of vehicles or engines inspected pursuant to the 
voluntary emissions recall plan.
    (6) Number of inspected vehicles found to be affected by the 
emission-related defect.
    (7) Number of vehicles actually receiving repair under the remedial 
plan.
    (8) Number of vehicles determined to be unavailable for inspection 
or repair under the remedial plan due to exportation, theft, scrapping, 
or for other reasons (specify).
    (9) Number of vehicles or engines determined to be ineligible for 
remedial action due to a failure to properly maintain or use such 
vehicles or engines.
    (10) Three copies of any service bulletins transmitted to dealers 
which relate to the defect to be corrected and which have not previously 
been reported.
    (11) Three copies of all communications transmitted to vehicle or 
engine owners which relate to the defect to be corrected and which have 
not previously been submitted.
    (c) If the manufacturer determines that any of the information 
requested in paragraph (b) of this section has changed or was incorrect, 
revised information and an explanatory note shall be submitted. Answers 
to paragraphs (b)(5), (6), (7), (8), and (9) of this section shall be 
cumulative totals.
    (d) The manufacturer shall maintain in a form suitable for 
inspection, such as computer information storage devices or card files, 
the names and addresses of vehicles or engine owners:
    (1) To whom notification was given;
    (2) Who received remedial repair or inspection under the remedial 
plan; and
    (3) Who were determined not to qualify for such remedial action when 
eligibility is conditioned on proper maintenance or use.
    (e) The records described in paragraph (d) of this section shall be 
made available to the Administrator upon request.



Sec. 85.1905  Alternative report formats.

    (a) Any manufacturer may submit a plan for making either of the 
reports required by Sec. Sec. 85.1903 and 85.1904 on computer cards, 
magnetic tape or other machine readable format. The proposed plan shall 
be accompanied by sufficient technical detail to allow a determination 
that data requirements of these sections will be met and that the data 
in such format will be usable by EPA.
    (b) Upon approval by the Administrator of the proposed reporting 
system, the manufacturer may utilize such system until otherwise 
notified by the Administrator.



Sec. 85.1906  Report filing: Record retention.

    (a) The reports required by Sec. Sec. 85.1903 and 85.1904 shall be 
sent to: Director, Manufacturers Operations Division (EN 340), 
Environmental Protection Agency, 1200 Pennsylvania Ave., NW., 
Washington, DC 20460.
    (b) The information gathered by the manufacturer to compile the 
reports required by Sec. Sec. 85.1903 and 85.1904 shall be retained for 
not less than five years from the date of the manufacture of the 
vehicles or engines and shall be made available to duly authorized 
officials of the EPA upon request.

[42 FR 28128, June 2, 1977, as amended at 44 FR 61962, Oct. 29, 1979]



Sec. 85.1907  Responsibility under other legal provisions preserved.

    The filing of any report under the provisions of this subpart shall 
not affect a manufacturer's responsibility to file reports or 
applications, obtain approval, or give notice under any provision of 
law.



Sec. 85.1908  Disclaimer of production warranty applicability.

    (a) The act of filing an Emission Defect Information Report pursuant 
to

[[Page 83]]

Sec. 85.1903 is inconclusive as to the existence of a defect subject to 
the Production Warranty provided by section 207 (a) of the Act.
    (b) A manufacturer may include on each page of its Emission Defect 
Information Report a disclaimer stating that the filing of a Defect 
Information Report pursuant to these regulations is not conclusive as to 
the applicability of the Production Warranty provided by section 207(a) 
of the Act.



Sec. 85.1909  Treatment of confidential information.

    (a) Any manufacturer may assert that some or all of the information 
submitted pursuant to this subpart is entitled to confidential treatment 
as provided by 40 CFR part 2, subpart B.
    (b) Any claim of confidentiality must accompany the information at 
the time it is submitted to EPA.
    (c) To assert that information submitted pursuant to this subpart is 
confidential, a manufacturer must indicate clearly the items of 
information claimed confidential by marking, circling, bracketing, 
stamping, or otherwise specifying the confidential information. 
Furthermore, EPA requests, but does not require, that the submitter also 
provide a second copy of its submittal from which all confidential 
information has been deleted. If a need arises to publicly release 
nonconfidential information, EPA will assume that the submitter has 
accurately deleted all confidential information from this second copy.
    (d) If a claim is made that some or all of the information submitted 
pursuant to this subpart is entitled to confidential treatment, the 
information covered by that confidentiality claim will be disclosed by 
the Administrator only to the extent and by means of the procedures set 
forth in part 2, subpart B, of this chapter.
    (e) Information provided without a claim of confidentiality at the 
time of submission may be made available to the public by EPA without 
further notice to the submitter, in accordance with 40 CFR 
2.204(c)(2)(i)(A).

[50 FR 34798, Aug. 27, 1985]

Subpart U [Reserved]



Subpart V_Emissions Control System Performance Warranty Regulations and 
            Voluntary Aftermarket Part Certification Program

    Authority: Secs. 203, 207, 208, and 301(a), Clean Air Act, as 
amended (42 U.S.C. 7522, 7541, 7542, and 7601(a)).

    Source: 45 FR 34839, May 22, 1980, unless otherwise noted.



Sec. 85.2101  General applicability.

    (a) Sections 85.2101 through 85.2111 are applicable to all 1981 and 
later model year light-duty vehicles and light-duty trucks.
    (b) References in this subpart to engine families and emission 
control systems shall be deemed to apply to durability groups and test 
groups as applicable for manufacturers certifying new light-duty 
vehicles and light-duty trucks under the provisions of 40 CFR part 86, 
subpart S.

[64 FR 23919, May 4, 1999]



Sec. 85.2102  Definitions.

    (a) As used in Sec. Sec. 85.2101 through 85.2111 all terms not 
defined herein shall have the meaning given them in the Act:
    (1) Act means Part A of Title II of the Clean Air Act, 42 U.S.C. 
7421 et seq. (formerly 42 U.S.C. 1857 et seq.), as amended.
    (2) Office Director means the Director for the Office of Mobile 
Sources--Office of Air and Radiation of the Environmental Protection 
Agency or other authorized representative of the Office Director.
    (3) Certified part means a part certified in accordance with the 
aftermarket part certification regulations contained in this subpart.
    (4) Emission performance warranty means that warranty given pursuant 
to this subpart and section 207(b) of the Act.
    (5) Office Director-approved emission test or Emission Short Test 
means any test prescribed under 40 CFR 85.2201 et seq., and meeting all 
of the requirements thereunder.

[[Page 84]]

    (6) Model year means the manufacturer's annual production period (as 
determined by the Office Director) which includes January 1 of such 
calendar year; however, if the manufacturer has no annual production 
period, the term ``model year'' shall mean the calendar year.
    (7) Original equipment part means a part present in or on a vehicle 
at the time the vehicle is sold to the ultimate purchaser, except for 
components installed by a dealer which are not manufactured by the 
vehicle manufacturer or are not installed at the direction of the 
vehicle manufacturer.
    (8) Owner means the original purchaser or any subsequent purchaser 
of a vehicle.
    (9) Owner's manual means the instruction booklet normally provided 
to the purchaser of a vehicle.
    (10) Useful life means that period established pursuant to section 
202(d) of the Act and regulations promulgated thereunder.
    (11) Vehicle means a light duty vehicle or a light duty truck.
    (12) Warranty booklet means a booklet, separate from the owner's 
manual, containing all warranties provided with the vehicle.
    (13) Written instructions for proper maintenance and use means those 
maintenance and operation instructions specified in the owner's manual 
as being necessary to assure compliance of a vehicle with applicable 
emission standards for the useful life of the vehicle that are:
    (i) In accordance with the instructions specified for performance on 
the manufacturer's prototype vehicle used in certification (including 
those specified for vehicles used under special circumstances), and
    (ii) In compliance with the requirements of 40 CFR 86.094-38 or 
86.1808-01 (as appropriate for the applicable model year vehicle/engine 
classification); and
    (iii) In compliance with any other regulations promulgated by the 
Office Director governing maintenance and use instructions.
    (14) Emission related parts means those parts installed for the 
specific purpose of controlling emissions or those components, systems, 
or elements of design which must function properly to assure continued 
vehicle emission compliance.
    (15) Objective evidence of an emission related repair means all 
diagnostic information and data, the actual parts replaced during 
repair, and any other information directly used to support a warranty 
claim, or to support denial of such a claim.
    (16) Valid emission performance warranty claim means a claim in 
which there is no evidence that the vehicle had not been properly 
maintained and operated in accordance with manufacturer instructions, 
the vehicle failed to conform to applicable emission standards as 
measured by an Office Director-approved type of emission warranty test 
during its useful life and the owner is subject to sanction as a result 
of the test failure.
    (17) Reasonable expense means any expense incurred due to repair of 
a warranty failure caused by a non-original equipment certified part, 
including, but not limited to, all charges in any expense categories 
that would be considered payable by the involved vehicle manufacturer to 
its authorized dealer under a similar warranty situation where an 
original equipment part was the cause of the failure. Included in 
``reasonable expense'' are any additional costs incurred specifically 
due to the processing of a claim involving a certified aftermarket part 
or parts as covered in these regulations. The direct parts and labor 
expenses of carrying out repairs is immediately chargeable to the part 
manufacturer. All charges beyond the actual parts and labor repair 
expenses must be amortized over the number of claims and/or over a 
number of years in a manner that would be considered consistent with 
generally accepted accounting principles. These expense categories shall 
include but are not limited to the cost of labor, materials, record 
keeping, special handling, and billing as a result of replacement of a 
certified aftermarket part.
    (18) MOD Director means Director of Manufacturers Operations 
Division, Office of Mobile Sources--Office of Air

[[Page 85]]

and Radiation of the Environmental Protection Agency.

[45 FR 34839, May 22, 1980, as amended at 54 FR 32587, Aug. 8, 1989; 64 
FR 23919, May 4, 1999]



Sec. 85.2103  Emission performance warranty.

    (a) The manufacturer of each vehicle to which this subpart applies 
shall warrant in writing that if:
    (1) The vehicle is maintained and operated in accordance with the 
written instructions for proper maintenance and use and
    (2) The vehicle fails to conform at any time during its useful life 
to the applicable emission standards or family emission limits as 
determined by an EPA-approved emission test, and
    (3) Such nonconformity results or will result in the vehicle owner 
having to bear any penalty or other sanction (including the denial of 
the right to use the vehicle) under local, State or Federal law, then 
the manufacturer shall remedy the nonconformity at no cost to the owner; 
except that, if the vehicle has been in operation for more than 24 
months or 24,000 miles, the manufacturer shall be required to remedy 
only those nonconformities resulting from the failure of components 
which have been installed in or on the vehicle for the sole or primary 
purpose of reducing vehicle emissions and that were not in general use 
prior to model year 1968.
    (b) The warranty period shall begin on the date the vehicle is 
delivered to its ultimate purchaser, or if the vehicle is first placed 
in service as a ``demonstrator'' or ``company'' car prior to delivery, 
on the date it is first placed in service.

[45 FR 34839, May 22, 1980, as amended at 54 FR 32587, Aug. 8, 1989]



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

    (a) An emission performance warranty claim may be denied on the 
basis of noncompliance by a vehicle owner with the written instructions 
for proper maintenance and use.
    (b) When determining whether an owner has complied with the written 
instructions for proper maintenance and use, a vehicle manufacturer may 
require an owner to submit evidence of compliance only with those 
written maintenance instructions for which the manufacturer has an 
objective reason for believing:
    (1) Were not performed; and
    (2) If not performed could be the cause of the particular vehicle's 
exceeding applicable emission standards.
    (c) Evidence of compliance with a maintenance instruction may 
consist of:
    (1) A maintenance log book which has been validated at the 
approximate time or mileage intervals specified for service by someone 
who regularly engages in the business of servicing automobiles for the 
relevant maintenance instruction(s); or
    (2) A showing that the vehicle has been submitted for scheduled 
maintenance servicing at the approximate time or mileage intervals 
specified for service to someone who regularly engages in the business 
of servicing automobiles for the purpose of performing the relevant 
maintenance; or
    (3) A statement by the vehicle owner that he or she performed the 
maintenance at the approximate time or mileage interval specified 
including a showing,
    (i) That the owner purchased and used proper parts, and
    (ii) Upon request by the vehicle manufacturer, that the owner is 
able to perform the maintenance properly.
    (d) Except as provided in paragraph (e) of this section, the time/
mileage interval for scheduled maintenance services shall be the service 
interval specified for the part in the written instructions for proper 
maintenance and use.
    (e) For certified parts having a maintenance or replacement interval 
different from that specified in the written instructions for proper 
maintenance and use, the time/mileage interval shall be the service 
interval for which the part was certified.
    (f) The owner may perform maintenance or have maintenance performed 
more frequently then required in the maintenance instructions.
    (g) Except as provided in paragraph (h) of this section, a 
manufacturer may

[[Page 86]]

deny an emission performance warranty claim on the basis of 
noncompliance with the written instructions for proper maintenance and 
use only if:
    (1) An owner is not able to comply with a request by a manufacturer 
for evidence pursuant to paragraph (c) of this section; or
    (2) Notwithstanding the evidence presented pursuant to paragraph (c) 
of this section, the manufacturer is able to prove that the vehicle 
failed an emission short test because:
    (i) The vehicle was abused, or
    (ii) An instruction for the proper maintenance and use was performed 
in a manner resulting in a component's being improperly installed or a 
component or related parameter's being adjusted substantially outside of 
the manufacturer's specifications, or
    (iii) Unscheduled maintenance was performed on a vehicle which 
resulted in the removing or rendering inoperative of any component 
affecting the vehicle's emissions.
    (h) In no case may a manufacturer deny an emission performance 
warranty claim on the basis of:
    (1) Warranty work or predelivery service performed by any facility 
authorized by the vehicle manufacturer to perform such work or service; 
or
    (2) Work performed in an emergency situation to rectify an unsafe 
condition, including an unsafe driveability condition, attributable to 
the manufacturer, provided the vehicle owner has taken steps to put the 
vehicle back in a conforming condition in a timely manner; or
    (3) The use of any uncertified part or non-compliance with any 
written instruction for proper maintenance and use which is not relevant 
to the reason that the vehicle failed to comply with applicable emission 
standards; or
    (4) Any cause attributable to the vehicle manufacturer; or
    (5) The use of any fuel which is commonly available in the 
geographical area in which the vehicle or engine is located, unless the 
written instructions for proper maintenance and use specify that the use 
of that fuel would adversely affect the emission control devices and 
systems of the vehicle, and there is commonly available information for 
the owner to identify the proper fuel to be used.

[45 FR 34839, May 22, 1980, as amended at 54 FR 32587, Aug. 8, 1989]



Sec. 85.2105  Aftermarket parts.

    (a) No valid emission performance warranty claim shall be denied on 
the basis of the use of a properly installed certified aftermarket part 
in the maintenance or repair of a vehicle. A vehicle manufacturer that 
honors a valid emission performance warranty claim involving a certified 
aftermarket part may seek reimbursement for reasonable expenses incurred 
in honoring the claim by following the warranty claim procedures listed 
in Sec. 85.2107(c).
    (b) Except as provided in Sec. 85.2104(h), a vehicle manufacturer 
may deny an emission performance warranty claim on the basis of an 
uncertified aftermarket part used in the maintenance or repair of a 
vehicle if the vehicle manufacturer can demonstrate that the vehicle's 
failure to meet emission standards was caused by use of the uncertified 
part. A warranty claim may be denied if the vehicle manufacturer submits 
a written document to the vehicle owner that the vehicle owner is unable 
or unwilling to refute. The document must:
    (1) Establish a causal connection between the emissions short test 
failure and use of the uncertified part, and,
    (2) Assert that:
    (i) Removal of the uncertified part and installation of any 
comparable certified or original equipment part previously removed or 
replaced during installation of the uncertified part will resolve the 
observed emissions failure in the vehicle, and/or
    (ii) Use of the uncertified part has caused subsequent damage to 
other specified certified components such that replacement of these 
components would also be necessary to resolve the observed vehicle 
emissions failure, and,
    (3) List all objective evidence as defined in Sec. 85.2102 that was 
used in the determination to deny warranty. This evidence must be made 
available to the vehicle owner or EPA upon request, and
    (c) A part not required to be replaced at a definite interval in 
accordance

[[Page 87]]

with the written instructions for maintenance and use shall be warranted 
for the full term of any warranty mandated by the Act. Instructions to 
replace a component only if checked and found to be operating below 
specification shall have no bearing on warrranty coverage, unless an 
owner did not follow such an instruction prior to the short test failure 
and noncompliance with that instruction caused the failure of another 
vehicle component relevant to the nonconformity.

[45 FR 34839, May 22, 1980, as amended at 54 FR 32587, Aug. 8, 1989]



Sec. 85.2106  Warranty claim procedures.

    (a) A claim under the emission performance warranty may be raised 
immediately upon the failure of an EPA-approved emission test if, as a 
result of that failure, an owner is required to take action of any kind 
in order to avoid imposition of a penalty or sanction. An owner need not 
suffer the loss of the right to use a vehicle, be fined, incur repair 
expenses, or actually bear any penalty or sanction to satisfy the 
requirement of Sec. 85.2103(a)(3). That requirement shall be met if a 
test failure sets a procedure in motion under which the owner will bear 
a penalty or sanction if a vehicle is not brought into conformity or 
repaired to some specified extent within some specified period of time.
    (b) A warranty claim may be submitted by bringing a vehicle to:
    (1) Any repair facility authorized by the vehicle manufacturer to 
service that model vehicle, or
    (2) Any repair facility authorized by the vehicle manufacturer to 
perform emission performance warranty repairs for that model vehicle.
    (c) To the extent required by any Federal or State law, whether 
statutory or common law, a vehicle manufacturer shall be required to 
provide a means for non-franchised repair facilities to perform emission 
performance warranty repairs.
    (d) The manufacturer of each vehicle to which the warranty is 
applicable shall establish procedures as to the manner in which a claim 
under the emission performance warranty is to be processed. The 
procedures shall:
    (1) Provide for a final decision by the vehicle manufacturer within 
a reasonable time, not to exceed 30 days from the time at which the 
vehicle is initially presented for repair or within the time period 
during which an owner is required by local, State or federal law to have 
the vehicle repaired without incurring further penalties or sanctions 
(whichever is shorter), unless a delay
    (i) Is requested by the vehicle owner, or
    (ii) Is caused by an event not attributable to the vehicle 
manufacturer or the warranty repair facility; and
    (2) Require that if the facility at which the vehicle is initially 
presented for repair is unable for any reason to honor the particular 
claim, then, unless this requirement is waived in writing by the vehicle 
owner, the repair facility shall forward the claim to an individual or 
office authorized to make emission performance warranty determinations 
for the manufacturer.
    (e) Within the time period specified in paragraph (d) of this 
section the manufacturer shall:
    (1) Notify the owner that it will honor the claim; or
    (2) Provide the owner, in writing, with an explanation of the basis 
upon which the claim is being denied; or
    (3) If the basis of the claim denial involves use of an uncertified 
part, provide the owner in writing with an explanation of the basis upon 
which the claim is being denied according to all criteria specified in 
Sec. 85.2105(b).
    (f) Failure to notify an owner within the required time period (as 
determined under paragraph (d) of this section) for reasons that are not 
attributable to the vehicle owner or events which are not beyond the 
control of the vehicle manufacturer or the repair facility, shall result 
in the vehicle manufacturer being responsible for repairing the 
warranted items free of charge to the vehicle owner.
    (g) The vehicle manufacturer shall incur all costs associated with a 
determination that an emission performance warranty claim is valid.

[45 FR 34839, May 22, 1980, as amended at 54 FR 32588, Aug. 8, 1989]

[[Page 88]]



Sec. 85.2107  Warranty remedy.

    (a) The manufacturer's obligation under the emission performance 
warranty shall be to make all adjustments, repairs or replacements 
necessary to assure that the vehicle complies with applicable emission 
standards of the U.S. Environmental Protection Agency, that it will 
continue to comply for the remainder of its useful life (if proper 
maintenance and operation are continued), and that it will operate in a 
safe manner. The manufacturer shall bear all costs incurred as a result 
of the above obligation, except that after the first 24 months or 24,000 
miles (whichever first occurs) the manufacturer shall be responsible 
only for:
    (1) The adjustment, repair or replacement of those components which 
have been installed in or on a vehicle for the sole or primary purpose 
of reducing vehicle emissions, and which were not in general use prior 
to model year 1968; and
    (2) All other components which must be adjusted, repaired or 
replaced to enable a component repaired or replaced under paragraph 
(a)(1) of this section to perform properly.
    (b) Under the Emissions Performance Warranty, the manufacturer shall 
be liable for the total cost of the remedy for any vehicle validly 
presented for repair to any authorized service facility authorized by 
the vehicle manufacturer. State or local limitations as to the extent of 
the penalty or sanction imposed upon an owner of a failed vehicle shall 
have no bearing on this liability.
    (c) The remedy provided under paragraph (a) of this section shall 
include the repair or replacement of certified parts as required in 
Sec. 85.2105(a). To seek reimbursement from the involved certified 
aftermarket part manufacturer for reasonable expenses incurred due to 
the certified aftermarket parts determined to be the cause of a 
performance warranty failure, the vehicle manufacturer must:
    (1) Retain all parts replaced during the performance warranty 
repair, and
    (2) Follow the procedures laid out in Sec. 85.2117.
    (d) If a manufacturer is unable (for reasons not attributable to the 
vehicle owner or events beyond the control of the vehicle manufacturer 
or an authorized repair facility) to repair a vehicle within the time 
period specified under Sec. 85.2106(d) after the initial presentation 
of the vehicle to an authorized repair facility, then the owner shall be 
entitled to have the warranty remedy performed, at the expense of the 
manufacturer, by any repair facility of the owner's choosing.
    (e) The vehicle manufacturer may deny warranty for a failure caused 
by an uncertified part in accordance with the criteria in Sec. 85.2105.

[45 FR 34839, May 22, 1980, as amended at 54 FR 32588, Aug. 8, 1989]



Sec. 85.2108  Dealer certification.

    (a) Upon the delivery of each new light-duty motor vehicle, the 
dealer shall furnish to the purchaser a certificate which states that:
    (1) Based upon written notification furnished by the manufacturer, 
the dealer has knowledge that the vehicle is covered by an EPA 
Certificate of Conformity;
    (2) Based upon a visual inspection of emissions control devices, 
there are no apparent deficiencies in the installation of such devices 
by the manufacturer. The visual inspection required by this subsection 
is limited to those emission control devices or portions thereof which 
are visible without removal or adjustment of any component or system of 
the vehicle, whether emissions related or otherwise.
    (3) The dealer has performed all emission control system preparation 
required by the manufacturer prior to the sale of the vehicle, as set 
forth in the current predelivery service manual furnished by the 
manufacturer.
    (b) The certificate shall further state that if the vehicle fails an 
EPA-approved emission test prior to the expiration of three months or 
4,000 miles (whichever occurs first) from the date or mileage at the 
time of delivery of the vehicle to the ultimate purchaser, and the 
vehicle has been maintained and used in accordance with the written 
instructions for proper maintenance and use, then the vehicle 
manufacturer shall remedy the nonconformity under the emission 
performance warranty.

[[Page 89]]

    (c) For the purpose of this section, the term emission control 
devices shall be limited to all devices installed on a vehicle for the 
sole or primary purpose of controlling vehicle emissions and which were 
not in general use prior to 1968.
    (d) A vehicle manufacturer shall provide the Sec. 85.2108 remedy 
free of charge to the vehicle owner for any vehicle which, although 
maintained in accordance with the written instructions for proper 
maintenance and use, fails an emission short test prior to the 
expiration of three months or 4,000 miles from the time of sale to the 
ultimate purchaser, without regard to whether a penalty or sanction is 
imposed because of the emissions short-test failure.
    (e) The dealer certification required by this section shall not be 
construed as either a representation or a warranty, express or implied, 
by the dealer that the emission control system or any part thereof is 
without defect nor that the system will properly perform.

[46 FR 38692, July 29, 1981]



Sec. 85.2109  Inclusion of warranty provisions in owners' manuals and warranty booklets.

    (a) A manufacturer shall furnish with each new motor vehicle, a full 
explanation of the Emission Performance Warranty, including at a minimum 
the following information:
    (1) A basic statement of the coverage of the emissions performance 
warranty as set out in Sec. 85.2103. This shall be separated from any 
other warranty given by the manufacturer and shall be prefaced by the 
title ``Emissions Performance Warranty'' set in bold face type; and
    (2) A list of all items which are covered by the emission 
performance warranty for the full useful life of the vehicle. This list 
shall contain all components which have been installed in or on a 
vehicle solely or primarily for the purpose of reducing vehicle 
emissions, except those components which were in general use prior to 
model year 1968. All items listed pursuant to this subsection shall be 
described in the same manner as they are likely to be described on a 
service facility work receipt for that vehicle; and
    (3) A list or a reference to the location of the instructions for 
proper maintenance and use, together with the time and/or mileage 
interval at which such instructions are to be performed; and
    (4) An explanation of the effect that the use of certified parts 
will have on the emission performance warranty. This explanation shall 
comport with the provisions of Sec. 85.2105 (b) and (c), including a 
statement in boldface type that maintenance, replacement, or repair of 
the emission control devices and systems may be performed by any 
automotive repair establishment or individual using any certified part; 
and
    (5) Complete instructions as to when and how an owner may bring a 
claim under the emissions performance warranty, as governed by 
Sec. Sec. 85.2104 and 85.2106. These instructions shall include:
    (i) An explanation of the point in time at which a claim may be 
raised; and
    (ii) Complete procedures as to the manner in which a claim may be 
raised; and
    (iii) The provisions for manufacturer liability contained in Sec. 
85.2106(f) if the manufacturer fails to respond within the time period 
set in accordance with Sec. 85.2106(d);
    (6) An explanation that an owner may obtain further information 
concerning the emission performance warranty or that an owner may report 
violations of the terms of the Emission Performance Warranty by 
contacting the Director, Field Operations and Support Division (6406J), 
Environmental Protection Agency, 401 ``M'' Street, SW., Washington, DC 
20460 (Attention: Warranty Claim).
    (b) The warranty information shall be provided in the same document 
as other warranties provided with the vehicle.
    (c) If a separate warranty booklet is provided with the vehicle, the 
owner's manual shall contain, at a minimum, the following information:
    (1) A general list of all warranties covering the vehicle; and
    (2) A statement that detailed warranty information can be found in 
the warranty booklet.

[[Page 90]]

    (d) If a separate warranty booklet is not provided with the vehicle, 
the information specified in paragraph (a) of this section shall be 
contained in the owner's manual.

[45 FR 34839, May 22, 1980, as amended at 58 FR 65554, Dec. 15, 1993]



Sec. 85.2110  Submission of owners' manuals and warranty statements to EPA.

    (a) The manufacturer of each vehicle to which this subpart applies 
shall submit a copy to EPA of both the owner's manual and warranty 
booklet (if applicable) for each model vehicle, except that, if the same 
warranty information is to be provided for more than one model vehicle, 
the manufacturer may submit copies for a single model vehicle with a 
statement that such copies are complete and accurate representation of 
the warranty information provided with all other specified models.
    (1) The owner's manuals and warranty booklets should be received by 
EPA 60 days prior to the introduction of the vehicle for sale.
    (2) If the manuals and warranty booklets are not in their final 
printed format 60 days prior to the introduction of the vehicle for 
sale, a manufacturer may submit the most recent draft at that time, 
provided that final versions are submitted within 15 days of the final 
printing.
    (b) All materials described in paragraph (a) of this section shall 
be sent to: Director, Field Operations and Support Division (6406J), 
Environmental Protection Agency, 401 ``M'' Street, SW., Washington, DC 
20460 (Attention: Warranty Booklet).

[45 FR 34839, May 22, 1980, as amended at 58 FR 65554, Dec. 15, 1993]



Sec. 85.2111  Warranty enforcement.

    The following acts are prohibited and may subject a manufacturer to 
up to a $32,500 civil penalty for each offense, except as noted in 
paragraph (d) of this section:
    (a) Selling or leasing a light duty vehicle without providing in 
writing the warranty information required by Sec. 85.2109;
    (b) Failing or refusing to comply with the terms and conditions of 
the Emission Performance Warranty with respect to any vehicle to which 
this subpart applies. Acts constituting such a failure or refusal shall 
include, but are not limited to, the following,
    (1) Failure to honor a valid warranty claim,
    (2) Performance of a warranty repair in a manner which cannot 
reasonably be expected to allow the vehicle to meet applicable emission 
standards for the remainder of its useful life,
    (3) Failure of a manufacturer to reimburse a dealer or other 
designated agent for performance of a vehicle repair made pursuant to 
this subpart, and
    (4) Failure of a manufacturer to supply a part necessary to perform 
a warranty repair within the time limit specified under Sec. 
85.2106(d), unless such failure is for a reason not attributable to the 
vehicle manufacturer or the warranty repair facility;
    (c) To provide directly or indirectly in any communication to the 
ultimate purchaser or any subsequent purchaser that the emission 
performance warranty coverage is conditioned upon the use of any name 
brand part, component, or system or upon service (other than a component 
or service provided without charge under the terms of the purchase 
agreement), unless the communication is made pursuant to a written 
waiver by the Office Director.
    (d) The maximum penalty value listed in this section is shown for 
calendar year 2004. Maximum penalty limits for later years may be 
adjusted based on the Consumer Price Index. The specific regulatory 
provisions for changing the maximum penalties, published in 40 CFR part 
19, reference the applicable U.S. Code citation on which the prohibited 
action is based.

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



Sec. 85.2112  Applicability.

    The provisions of Sec. Sec. 85.2112 through 85.2122 apply to 
emission related automotive aftermarket parts which are to be installed 
in or on 1968 and later model year light-duty vehicles and light-duty 
trucks.

[54 FR 32588, Aug. 8, 1989]

[[Page 91]]



Sec. 85.2113  Definitions.

    As used in this subpart, all terms not defined shall have the 
meaning given them in the Act:
    (a) Act means Part A of Title II of the Clean Air Act, 42 U.S.C. 
7421 et seq. (formerly 42 U.S.C. 1857 et seq.) as amended.
    (b) Aftermarket part means any part offered for sale for 
installation in or on a motor vehicle after such vehicle has left the 
vehicle manufacturer's production line.
    (c) Aftermarket part manufacturer means:
    (1) A manufacturer of an aftermarket part or,
    (2) A party that markets aftermarket parts under its own brand name, 
or,
    (3) A rebuilder of original equipment or aftermarket parts, or
    (4) A party that licenses others to sell its parts.
    (d) Agency means the Environmental Protection Agency.
    (e) Certified aftermarket part means any aftermarket part which has 
been certified pursuant to this subpart.
    (f) Emission warranty means those warranties given by vehicle 
manufacturers pursuant to section 207 of the Act.
    (g) Emission-critical parameters means those critical parameters and 
tolerances which, if equivalent from one part to another, will not cause 
the vehicle to exceed applicable emission standards with such parts 
installed.
    (h) Engine family means the basic classification unit of a vehicle's 
product line for a single model year used for the purpose of emission-
data vehicle or engine selection and as determined in accordance with 40 
CFR 86.078-24.
    (i) Vehicle or engine configuration means the specific 
subclassification unit of an engine family or certified part application 
group as determined by engine displacement, fuel system, engine code, 
transmission and inertia weight class, as applicable.
    (j) Certification vehicle emission margin for a certified engine 
family means the difference between the EPA emission standards and the 
average FTP emission test results of that engine family's emission-data 
vehicles at the projected applicable useful life mileage point (i.e., 
useful life mileage for light-duty vehicles is 50,000 miles and for 
light-duty trucks is 120,000 miles for 1985 and later model years or 
50,000 miles for 1984 and earlier model years).
    (k) Applications means all vehicle or engine configurations for 
which one part is being certified as set forth in the aftermarket part 
manufacturer's notification of intent to certify pursuant to Sec. 
85.2115(a)(1).

[45 FR 78458, Nov. 25, 1980, as amended at 54 FR 32588, Aug. 8, 1989]



Sec. 85.2114  Basis of certification.

    (a) Prior to certifying, the aftermarket part manufacturer must 
determine:
    (1) Whether the part to be certified is an emission related part as 
defined in Sec. 85.2102. The MOD Director shall deny certification to 
any parts which he or she determines is not an emission related part.
    (2) The vehicle or engine configurations for which this part is 
being certified. These are the vehicle and engine designs for which the 
aftermarket part manufacturer intends to sell the certified aftermarket 
part.
    (3) Whether the part qualifies under one of the part categories, 
listed in Sec. 85.2122 of this subpart that are eligible to certify 
using emission critical parameters and, if so, whether the manufacturer 
elects to demonstrate certification using emission critical parameters. 
An aftermarket part may be certified under this category only if the 
part's emission-critical parameters, as set forth in Sec. 85.2122, are 
equivalent to those of the original equipment or previously certified 
part it is to replace. Compliance with the emission-critical parameters 
discussed in paragraph (b) of this section may be demonstrated by 
compliance with the relevant test procedures and criteria specified in 
appendix I to this subpart. The requirements of this paragraph apply to 
all on-road vehicles and engines. Alternatively, the manufacturer may 
elect to demonstrate certification compliance according to the emission 
test procedures described in paragraph (c) of this section.
    (b) For parts eligible to certify using emission-critical 
parameters, certification

[[Page 92]]

compliance can be demonstrated as follows. (1) The durability procedure 
contained in appendix I to this subpart can be used. As an alternative, 
the aftermarket part manufacturer may use a different durability 
procedure if it can demonstrate to the MOD Director that the alternative 
procedure results in an improved technical evaluation of the part's 
influence on vehicle or engine emissions for its useful life mileage 
interval, or results in a significant cost savings to the aftermarket 
part manufacturer with no loss in technical validity compared to the 
recommended durability procedure. The aftermarket part manufacturer 
shall receive the written approval from the MOD Director prior to 
implementation of the alternative procedures.
    (2) Compliance with certification requirements is based on 
conformance with all emission-critical parameters in Sec. 85.2122. This 
shall be accomplished by performing such procedures, tests, or analyses 
described in appendix I, or other procedures subject to the MOD 
Director's approval, necessary to ascertain with a high degree of 
certainty the emission-critical parameter specifications and tolerances 
for the aftermarket part and the original equipment or previously 
certified part for which an equivalent aftermarket certified part is to 
be used.
    (i) If information is available in appendix I of this subpart to 
identify the applicable emission-critical parameters, the aftermarket 
part certifier must use such information.
    (ii) If sampling and analysis of original equipment or previously 
certified parts is relied upon, the aftermarket part certifier must use 
sound statistical sampling techniques to ascertain the mean and range of 
the applicable emission parameters.
    (iii) If an aftermarket part replaces more than one part on the same 
application, it may be certified only if the aftermarket part meets the 
applicable emission-critical parameters of Sec. 85.2122 for each part 
or parts which the aftermarket part is to replace. If an aftermarket 
part is to replace more than one part or an entire system, compliance 
must be demonstrated for all emission-critical parameters involved, 
except those which relate solely to the interface between the parts 
being replaced by the aftermarket part.
    (c) For parts certifying on the basis of emission test results, 
durability demonstration testing shall be conducted as follows. (1) 
Prior to certification emission testing, the actual aftermarket part 
used for certification testing must meet the durability demonstration 
requirements of this paragraph for at least the part's useful life 
mileage interval.
    (i) If an original equipment part has no scheduled replacement 
interval, then the useful life mileage interval of the aftermarket part 
of that type or which replaces the function of that part may be 
certified with a service interval less than the useful life of the motor 
vehicle or motor vehicle engine, or
    (ii) If any provision of 40 CFR part 86 establishes a minimum 
replacement or service interval for an original equipment part during 
vehicle or engine certification, then the useful life mileage interval 
of the aftermarket part of that type or which replaces the function of 
that part is said minimum interval.
    (2) The part manufacturer must decide whether it can demonstrate to 
the MOD Director that, during normal vehicle operation, the candidate 
part will not accelerate deterioration of any original equipment 
emission related parts. This demonstration must be based on technical 
rationale that shows that the candidate part has no significant physical 
or operational effect on any original emission components or system 
which would be different than that experienced by the vehicle operating 
with all original equipment emission system parts. The part's effect on 
each major emission system must be addressed separately in the 
demonstration.
    (i) If the aftermarket part to be certified accelerates 
deterioration of any existing emission related parts then certification 
shall be carried out as specified under the paragraph (c)(3) of this 
section for parts that accelerate deterioration of existing emission 
related parts.
    (ii) If the aftermarket part manufacturer can demonstrate that the 
part to be certified will not accelerate deterioration of any existing 
emission related

[[Page 93]]

components, then the manufacturer can certify according to paragraph 
(c)(4) in this section for parts demonstrated to not accelerate 
deterioration of existing emission related parts.
    (3) For aftermarket parts that accelerate deterioration of existing 
emission related parts during normal operation. (i) The aftermarket test 
part can be installed on the durability test vehicle and aged for 50,000 
miles using the vehicle durability driving schedules contained in part 
86, appendix IV. As an alternative, the aftermarket part manufacturer 
may use a different durability procedure if it can demonstrate to the 
MOD Director that the alternative procedure results in an improved 
technical evaluation of the part's influence on vehicle or engine 
emissions for the part's useful life mileage interval, or results in a 
significant cost savings to the aftermarket part manufacturer with no 
loss in technical validity compared to the recommended durability 
schedules in part 86, appendix IV. The aftermarket part manufacturer 
shall receive the written approval from the MOD Director prior to 
implementation of the alternative procedures.
    Note: At the time of certification emission testing, the same part 
and vehicle combination used for mileage accumulation shall be used for 
emission testing.
    (ii) Where the comparable original equipment part has a recommended 
replacement interval of less than 50,000 miles, the test part shall be 
replaced no sooner than its useful life mileage interval during the 
required 50,000 mile durability demonstration.
    Note: At the time of certification emission testing, one of the 
aftermarket parts that accumulated at least its useful life mileage 
during the aging process under this paragraph shall be installed on the 
durability test vehicle that has accumulated 50,000 miles.
    (4) For aftermarket parts demonstrated not to accelerate 
deterioration on existing emission related parts during normal 
operation, the part manufacturer must determine whether the part will 
cause a noticeable change in vehicle driveability.
    (i) Parts that cause no noticeable change in vehicle driveability, 
performance, and/or fuel economy when the part fails, the durability 
driving schedules contained in part 86, appendix IV can be used. As an 
alternative, the aftermarket part manufacturer may use a different 
durability procedure if it can demonstrate to the MOD Director that the 
alternative procedure results in an improved technical evaluation of the 
part's influence on vehicle or engine emissions for its useful life 
mileage interval, or results in a significant cost savings to the 
aftermarket part manufacturer with no loss in technical validity 
compared to the durability schedules in part 86, appendix IV. The 
aftermarket part manufacturer shall receive the written approval from 
the MOD Director prior to implementation of the alternative procedures.
    (ii) Parts demonstrated to cause a noticeable change in vehicle 
driveability, performance, and/or fuel economy when the part fails, are 
exempt from aging if the part manufacturer can demonstrate to the MOD 
Director that the primary failure mode of the aftermarket component or 
system affects the driveability, performance, and/or fuel economy of the 
vehicle at a level readily detectable by the driver and likely to result 
in near term repair of failing components and correction of the 
emissions failure. (Use of on-board diagnostics and malfunction 
indicators as covered in paragraph (g) of this section is not 
necessarily an adequate demonstration that the certified part will be 
replaced. The part manufacturer must demonstrate that the diagnostic and 
malfunction indicator system will routinely result in repair or 
replacement of the part in use).
    (5) For parts which only affect evaporative emissions performance, 
the aftermarket part manufacturer shall determine and demonstrate to the 
MOD Director the appropriate durability procedure to age its part. The 
demonstration shall include all documentation, analyses, and test 
results that support this determination, and the documentation that 
support the durability procedure results shall be submitted with the 
notification of intent to certify as per Sec. 85.2115 and is subject to 
MOD Director's review.
    (6) Durability demonstration vehicle selection. The demonstration 
vehicle used must represent the ``worst case'' of all the configurations 
for which the

[[Page 94]]

aftermarket part is being certified. The worst case configuration shall 
be that configuration which will likely cause the most deterioration in 
the performance characteristics of the aftermarket part which influence 
emissions during the part's useful life mileage. The worst case 
configuration shall be selected from among those configurations for 
which the aftermarket part is to be certified. One of the following two 
methods shall be used to select the worst case durability demonstration 
vehicle(s):
    (i) In the first method, the selection shall be based on a technical 
judgment by the aftermarket part manufacturer of the impact of the 
particular design, or calibration of a particular parameter or 
combination of parameters, and/or an analysis of appropriate data, or
    (ii) In the second alternative method, the selection shall be made 
from among those vehicle configurations with the heaviest equivalent 
test weight, and within that group, the largest displacement engine.
    (d) For parts certifying on the basis of emission test results, 
certification compliance shall be demonstrated as follows. (1) The 
emission test to be used is the Federal Test Procedure as set forth in 
the applicable portions of 40 CFR part 86. Certification emission 
testing must be carried out using representative production aftermarket 
parts as provided in paragraph (e) of this section. The test results 
must demonstrate that the proper installation of the certified 
aftermarket part will not cause the vehicle to fail to meet any 
applicable Federal emission requirements under section 202 of the Act.
    (2) The following portions of the Federal Test Procedure are not 
required to be performed when certifying a part using emission testing:
    (i) The evaporative emissions portion, if the aftermarket 
manufacturer has an adequate technical basis for believing that the part 
has no effect on the vehicle's evaporative emissions;
    (ii) The exhaust emissions portion, if the part manufacturer has an 
adequate technical basis for believing that the part has no affect on 
the vehicle's exhaust emissions; and
    (iii) Other portions therein which the part manufacturer believes 
are not relevant; Provided, That the part manufacturer has requested and 
been granted a waiver in writing by the MOD Director for excluding such 
portion.
    (3) Exhaust Emission Testing. Certification exhaust emission testing 
for aftermarket parts shall be carried out in the following manner:
    (i) For light duty vehicle parts that accelerate deterioration of 
existing emission related parts, at least one emission test is required. 
The test(s) shall be performed according to the Federal Test Procedure 
on the same test vehicle and aftermarket part combination that was 
previously aged as required. The results of all tests performed shall be 
averaged for each emission constituent. The average values shall meet 
all applicable Federal emission requirements under section 202 of the 
Act.
    (A) For aftermarket parts where the comparable original equipment 
part has no recommended replacement interval, the same part and vehicle 
combination used for the durability demonstration shall be used for 
certification exhaust emission testing.
    (B) For aftermarket parts where the comparable original equipment 
part has a recommended replacement interval of less than 50,000 miles, 
one of the aftermarket parts that accumulated at least the part's useful 
life mileage during the durability demonstration must be installed on 
the durability demonstration vehicle that has accumulated 50,000 miles 
for certification exhaust emission testing.
    (ii) For light duty truck parts that accelerate deterioration of 
existing emission related parts.
    (A) An emission test shall be performed on emission test vehicles at 
4000 miles and at 50,000 miles, with the part installed. Exhaust 
emission deterioration factors for the test vehicle shall be calculated 
from these two test results. The aftermarket part manufacturer may elect 
to perform other emission tests at interim mileages. However, any 
interim tests must be spaced at equal mileage intervals. If more than 
one test is performed at any one mileage point, then all tests at this

[[Page 95]]

point shall be averaged prior to determining the deterioration factor. 
The deterioration factor shall be calculated using the least squares 
straight line method, in accordance with Sec. 86.088-28(a). The 
deterioration factor for each emission constituent shall be used to 
linearly project the 50,000 mile test result out to 120,000 miles. The 
projected 120,000 mile test result shall meet light duty truck emission 
standards.
    (B) As an option, the light-duty truck part manufacturer may 
durability age the test vehicle and aftermarket part to 120,000 miles, 
and then perform one Federal Test Procedure test. The actual test 
results in this case must pass all Federal emission standards.
    (iii) For parts demonstrated to not accelerate deterioration of 
existing emission related parts during normal operation:
    (A) If parts cause no noticeable change in vehicle driveability, 
performance, and/or fuel economy when the part fails, the certification 
exhaust emission test vehicle need not be the same vehicle as that used 
for durability demonstration. Upon completion of aging, one Federal Test 
Procedure test shall be performed with the aged aftermarket part 
installed on a test vehicle that has just completed one Federal Test 
Procedure test in the original equipment configuration (i.e., before the 
aftermarket part or system is installed). If more than one test is 
performed either before or after the aftermarket part is installed, then 
an equivalent number of tests must be performed in both configurations. 
The results of all tests performed before the part is installed shall be 
averaged and the results of all tests performed after the part is 
installed shall be averaged for each emission constituent. The 
difference in Federal Test Procedure emission results between the tests 
with the aged aftermarket part installed and the test vehicle in the 
original equipment configuration shall be less than or equal to the 
certification vehicle emission margin of any and all of the 
certification test vehicles from the various configurations for which 
the aftermarket part is being certified.
    (B) For parts demonstrated to cause a noticeable change in vehicle 
driveability, performance, and/or fuel economy when the part fails, no 
durability aging of the part is required before certification emission 
testing. One Federal Test Procedure test shall be performed on the test 
vehicle in its original equipment configuration (i.e., before the 
aftermarket part or system is installed) and one test with an 
aftermarket part representative of production (as provided in paragraph 
(e) of this section) installed on the test vehicle. If more than one 
test is performed either before or after the aftermarket part is 
installed, then an equivalent number of tests must be performed in both 
configurations. The results of all tests performed with the aftermarket 
part installed shall be averaged and the results of all tests performed 
in the original equipment configuration shall be averaged for each 
emission constituent. The difference in Federal Test Procedure emission 
results between the tests with the aftermarket part installed and the 
test vehicle in the original equipment configuration shall be less than 
or equal to the certification vehicle emission margin of any and all of 
the certification test vehicles from the various configurations for 
which the aftermarket part is being certified.
    (4) Evaporative emission testing. For parts determined by the part 
manufacturer (with appropriate technical rationale) to affect only 
evaporative emissions performance, at least one evaporative emissions 
portion of the Federal Test Procedure test shall be performed on the 
vehicle in its original equipment configuration and at least one with 
the aftermarket part installed. Both the original equipment and 
aftermarket part shall be aged according to paragraph (c)(5) of this 
section prior to testing. If more than one test is performed either 
before or after the aftermarket part is installed, then an equivalent 
number of tests must be performed in both configurations. The emission 
results of all tests performed before the part is installed shall be 
averaged and the emission results of all tests performed after the part 
is installed shall be averaged. The difference in Federal Test Procedure 
emission results between the tests with the aged aftermarket part 
installed

[[Page 96]]

and the test vehicle in the original equipment configuration shall be 
less than or equal to the certification vehicle emission margin of any 
and all of the certification test vehicles from the various 
configurations for which the aftermarket part is being certified.
    (5) Emission test vehicle selection: The test vehicle used must 
represent the ``worst case'' with respect to emissions of all those 
configurations for which the aftermarket part is being certified. The 
worst case configuration shall be that configuration which, having the 
aftermarket part installed, is least likely to meet the applicable 
emission standards among all those configurations on which the 
aftermarket part is intended to be installed as a certified aftermarket 
part. One of the following two methods shall be used to select the worst 
case emission test vehicle(s):
    (i) In the first method, the selection shall be based on a technical 
judgment by the aftermarket part manufacturer of the impact of the 
particular design or calibration of a particular parameter or 
combination of parameters and/or an analysis of appropriate data, or
    (ii) In the second alternative method, two defined worst case test 
vehicles shall be selected from the vehicle configurations using the 
following criteria:
    (A) The first test vehicle is that engine family for which the 
largest number of parts are projected to be sold. Within that family the 
manufacturer shall select the configurations with the heaviest 
equivalent test weight, and then within that group the configuration 
with the largest displacement engine.
    (B) The second test vehicle shall be from a different vehicle 
manufacturer than the first test vehicle, or if the aftermarket part 
applies to only one vehicle manufacturer, from a different engine 
family. Engine families are determined by the vehicle manufacturer or 
when certifying under 40 CFR part 86. Within that group, the second test 
vehicle is selected from the vehicle configurations with the heaviest 
equivalent test weight, and then, within that group, the configuration 
with the largest displacement engine. If a part applies to only one 
engine family then only the vehicle specified in paragraph 
(d)(5)(ii)(A), of this section, is required to be tested.
    (iii) The results of certification tests using the worst case 
vehicle selections made in this section shall only be applicable for 
configurations that are required to meet the same or less stringent 
(numerically higher) emission standards than those of the worst case 
configuration.
    (iv) The worst case test vehicle(s) selected for certification 
emission testing is(are) not required to meet Federal emission standards 
in its original configuration. However, each test vehicle shall have 
representative emissions performance that is close to the standards and 
have no obvious emission defects. Each test vehicle shall be tuned 
properly and set to the vehicle manufacturer's specifications before 
testing is performed. Any excessively worn or malfunctioning emission 
related part shall be repaired prior to testing.
    (e) Test part selection. Certification shall be based upon tests 
utilizing representative production aftermarket parts selected in a 
random manner in accordance with accepted statistical procedures.
    (f) Replacing original equipment parts. Installation of any 
certified aftermarket part shall not result in the removal or rendering 
inoperative of any original equipment emission related part other than 
the part(s) being replaced. Furthermore, installation of any certified 
aftermarket part shall not require the readjustment of any other 
emission related part to other than the vehicle manufacturer 
specifications, cause or contribute to an unreasonable risk to the 
public health, welfare or safety, or result in any additional range of 
parameter adjustability or accessibility to adjustment than that of the 
vehicle manufacturer's emission related parts.
    (g) Affects on vehicle on board diagnostic system. Installation of 
any certified aftermarket part shall not alter or render inoperative any 
feature of the on-board diagnostic system incorporated by the vehicle 
manufacturer. The certified part may integrate with the existing 
diagnostic system if it does not alter or render inoperative any 
features of the system. However,

[[Page 97]]

use of on-board diagnostics or warning indicators to alert the driver to 
part failure is not sufficient by itself to qualify the part for 
exemption from aging under paragraph (c)(4)(ii) of this section. The 
part manufacturer must demonstrate that the diagnostic and malfunction 
indicator system will routinely result in repair or replacement of the 
aftermarket part in use.

[54 FR 32588, Aug. 8, 1989]



Sec. 85.2115  Notification of intent to certify.

    (a) At least 45 days prior to the sale of any certified automotive 
aftermarket part, notification of the intent to certify must be received 
by the Office Director.
    (1) The notification shall include:
    (i) Identification of each part to be certified; and.
    (ii) Identification of all vehicle or engine configurations for 
which the part is being certified including make(s), model(s), year(s), 
engine size(s) and all other specific configuration characteristics 
necessary to assure that the part will not be installed in any 
configuration for which it has not been certified; and
    (iii) All determinations, demonstrations, technical rationale, and 
documentation provided in Sec. 85.2114; and
    (iv) Any and all written waivers and approvals obtained from the MOD 
director as provided in Sec. 85.2114, and any correspondence with EPA 
regarding certification of that part; and
    (v) A description of the tests, techniques, procedures, and results 
utilized to demonstrate compliance with Sec. 85.2114(b) applicable to 
parts eligible to certify using emission-critical parameters, except 
that, if the procedure utilized is recommended in appendix I of this 
subpart, then only a statement to this effect is necessary. A 
description of all statistical methods and analyses used to determine 
the emission-critical parameters of the original equipment parts and 
compliance of the certified part(s) with those parameters including 
numbers of parts tested, selection criteria, means, variance, etc; and
    (vi) All results and documentation of tests and procedures used by 
the part manufacturer as evidence of compliance with the durability and 
emission requirements specified in Sec. 85.2114; and
    (vii) A discussion of the technical basis(es) for foregoing any 
portion of the Federal Test Procedure when applicable; and
    (viii) A description of the test part selection criteria used, and a 
statement that the test part(s) used for certification testing is(are) a 
representative production aftermarket part(s) consistent with Sec. 
85.2114(e); and
    (ix) A description of the test and demonstration vehicle selection 
criteria used, and rationale that supports the technical judgment that 
the vehicle configurations used for emission testing and durability 
demonstration represent worst case with respect to emissions of all 
those configurations for which the aftermarket part is being certified, 
and all data that supports that conclusion; and
    (x) The service intervals of the part, including maintenance and 
replacement intervals in months and/or miles, as applicable, and a 
statement indicating whether it is different than the service, 
maintenance, and replacement interval of the original equipment 
requirements; and
    (xi) A statement, if applicable, that the part will not meet the 
labeling requirements of Sec. 85.2119(a) and the description of the 
markings the aftermarket manufacturer intends to put on the part in 
order to comply with Sec. 85.2119(b); and
    (xii) A statement that the aftermarket part manufacturer accepts, as 
a condition of certification, the obligation to comply with the warranty 
requirements and dispute resolution procedures provided in Sec. 
85.2117; and
    (xiii) A statement of commitment and willingness to comply with all 
the relevant terms and conditions of this subpart; and
    (xiv) A statement by the aftermarket part manufacturer that use of 
its certified part will not cause a substantial increase to vehicle 
emissions in any normal driving mode not represented during 
certification or compliance testing; and

[[Page 98]]

    (xv) The office or officer of the aftermarket part manufacturer 
authorized to receive correspondence regarding certification 
requirements pursuant to this subpart.
    (2) The notification shall be signed by an individual attesting to 
the accuracy and completeness of the information supplied in the 
notification.
    (3) Notification to the Agency shall be by certified mail or another 
method by which date of receipt can be established.
    (4) Two complete and identical copies of the notification and any 
subsequent industry comments on any such notification shall be submitted 
by the aftermarket manufacturer to: Mod Director, MOD (EN-340F), 
Attention: Aftermarket Parts, 401 ``M'' St. SW., Washington, DC 20460.
    (5) A copy of the notification submitted under paragraph (a)(4) of 
this section will be placed in a public docket. Comments on any notice 
in the public docket may be made to the MOD Director.
    (b) The MOD Director reserves the right to review an application to 
determine if the submitted documents adequately meet all the 
requirements for certification specified in Sec. Sec. 85.2114 and 
85.2115. A part may be sold as certified 45 days after the receipt by 
the Agency of the notification given pursuant to this subsection 
provided that the Office Director has not notified the part manufacturer 
otherwise.

[54 FR 32591, Aug. 8, 1989]



Sec. 85.2116  Objections to certification.

    (a) At any time prior to the end of the 45-day period after a 
notification of intent to certify an aftermarket part is received as 
specified in Sec. 85.2115, the MOD Director may notify the manufacturer 
of the aftermarket part that such aftermarket part may not be certified 
pending further investigation. The basis upon which this notification 
shall be made may include, but not be limited to, information or test 
results which indicate:
    (1) Compliance with the applicable emission-critical parameters was 
not achieved or that the testing methods used to demonstrate compliance 
with the emission-critical parameters were inadequate;
    (2) The part is to be certified on the basis of emission testing, 
and the procedure used in such tests was not in compliance with those 
portions of the Federal Test Procedure not waived pursuant to Sec. 
85.2114(d)(2).
    (3) Use of the certified part may cause a vehicle to exceed any 
applicable emission requirements;
    (4) The durability requirement of Sec. 85.2114 has not been 
complied with;
    (5) Use of the certified part could cause or contribute to an 
unreasonable risk to public health, welfare or safety in its operation 
or function;
    (6) Installation of the certified part requires procedures or 
equipment which would likely cause it to be improperly installed under 
normal conditions or would likely result in a vehicle being misadjusted; 
or
    (7) Information and/or data required to be in the notification of 
intent to certify as provided by Sec. 85.2115 have not been provided or 
may be inadequate; or,
    (8) Documentation submitted under Sec. 85.2114(c)(4)(ii) was 
determined inadequate for durability exemption.
    (b) The aftermarket part manufacturer must respond in writing to the 
statements made in the notification by the MOD Director, or the 
aftermarket part manufacturer shall withdraw its notification of intent 
to certify.
    (1) Any party interested in the outcome of a decision as to whether 
a part may be certified may provide the MOD Director with any relevant 
written information up to ten days after the manufacturer responds to 
the MOD Director's objection.
    (2) Any interested party may request additional time to respond to 
the information submitted by the part manufacturer. The MOD Director 
upon a showing of good cause by the interested party may grant an 
extension of time to reply up to 30 days.
    (3) The part manufacturer may reply to information submitted by 
interested parties. Notification of intent to reply shall be submitted 
to the MOD Director within 10 days of the date information from 
interested parties is submitted to the MOD Director.
    (4) The MOD Director may, at his or her discretion, allow oral 
presentations by the aftermarket manufacturer or

[[Page 99]]

any interested party in connection with a contested part certification.
    (c) If an objection has been sent to an aftermarket part 
manufacturer pursuant to paragraph (a) of this section, the MOD Director 
shall, after reviewing all pertinent data and information, render a 
decision and inform the aftermarket part manufacturer in writing as to 
whether such part may be certified and, if so, under what conditions the 
part may be certified. The written decision shall include an explanation 
of the reasons therefor.
    (1) The decision by the MOD Director shall be provided to the 
manufacturer within 30 working days of receipt of all necessary 
information by the manufacturer or interested parties, or of the date of 
any oral presentation regarding the certification, whichever occurs 
second.
    (2) A copy of the decision shall be sent to all identified 
interested parties.
    (3) Within 20 days of receipt of a decision made pursuant to this 
subsection, any party may file a written appeal to the Office Director. 
The Office Director may, in his or her discretion, allow additional oral 
or written submissions, prior to rendering a final decision. The 
schedule for such submission shall be in accordance with the schedule 
specified in Sec. 85.2116(b).
    (4) If no party files an appeal with the Office Director within 20 
days, then the decision of the MOD Director shall be final.
    (5) The Office Director shall make a final decision regarding the 
certification of a part within 30 working days of receipt of all 
necessary information by the part manufacturer or from the date of any 
oral presentation, whichever occurs later.
    (6) A copy of all final decisions made under this section shall be 
published in the Federal Register.

[45 FR 78460, Nov. 25, 1980, as amended at 54 FR 32592, Aug. 8, 1989]



Sec. 85.2117  Warranty and dispute resolution.

    (a) Warranty. (1) As a condition of certification, the aftermarket 
part manufacturer shall warrant that if the certified part is properly 
installed it will not cause a vehicle to exceed Federal emission 
requirements as determined by an emission test approved by EPA under 
section 207(b)(1) of the Act. This aftermarket part warranty shall 
extend for the remaining performance warranty period of any vehicle on 
which the part is installed, or for the warranty period specified for an 
equivalent original equipment component, if this period is shorter than 
the remaining warranty period of the vehicle.
    (2) The aftermarket part manufacturer's minimum obligation under 
this warranty shall be to reimburse vehicle manufacturers for all 
reasonable expenses incurred as a result of honoring a valid emission 
performance warranty claim which arises because of the use of the 
certified aftermarket part.
    (3) The procedure used to process a certified aftermarket part 
warranty claim is as follows. The time requirements are in units of 
calendar days.
    (i) The vehicle manufacturer shall submit, by certified mail or 
another method by which date of receipt can be established, a bill for 
reasonable expenses incurred to the part manufacturer for reimbursement. 
Accompanying the bill shall be a letter to the part manufacturer with an 
explanation of how the certified part caused the failure and a copy of 
the warranty repair order or receipt establishing the date that the 
performance repair was initiated by the vehicle owner.
    (ii) The parts retained pursuant to Sec. 85.2107(c)(1) shall be 
retained until the reimbursement process is resolved. The vehicle 
manufacturer shall store these parts or transfer these parts to the 
involved certified part manufacturer for storage. If the vehicle 
manufacturer transfers these parts to the certified part manufacturer, 
the part manufacturer shall retain these parts:
    (A) For at least one year from the date of repair involving these 
parts, if the part manufacturer does not receive a bill from the vehicle 
manufacturer within that time period, or
    (B) Until the claim reimbursement process has been resolved, if the 
part manufacturer receives a bill from the vehicle manufacturer within 
one year of the date of repair involving these parts.
    (iii) If the vehicle manufacturer transfers the parts retained 
pursuant to paragraph (a)(3)(ii) of this section to

[[Page 100]]

the part manufacturer, a bill shall be submitted to the part 
manufacturer within one year of the date of initiation of the actual 
repair by the vehicle owner. If this requirement is not met, the vehicle 
manufacturer shall forfeit all rights to the reimbursement provisions 
provided in this regulation.
    (iv) Storage costs are not reimbursable as part of a performance 
warranty claim.
    (b) Dispute resolution. (1) The part manufacturer shall respond to 
the vehicle manufacturer within 30 days of receipt of the bill by paying 
the claim or requesting a meeting to resolve any disagreement. A meeting 
shall occur within the next two week period. At this meeting the parties 
shall, in all good faith, attempt to resolve their disagreement. 
Discussions should be completed within 60 days of receipt of the bill 
for the warranty claim by the part manufacturer.
    (2) If the parties cannot resolve their disagreement within 60 days, 
either party may file for arbitration. Neither party may file for 
arbitration within 60 days unless both parties agree to seek arbitration 
prior to the end of the 60-day period. If, after 60 days, either party 
files, then both parties shall submit to arbitration.
    (3) This arbitration shall be carried out pursuant to the 
Arbitration Rules contained in appendix II of this subpart which are 
based on Commercial Arbitration Rules published by the American 
Arbitration Association, revised and in effect as of September 1, 1988. 
The Arbitration Rules detail the procedures to be followed by the 
parties and the arbitrator in resolving disputes under this section. 
They can be varied only with the agreement of both parties. If either 
involved manufacturer refuses to participate in the arbitration process, 
that party is treated as if it had lost the arbitration and is required 
to pay all reasonable expenses.
    (4) Any party losing the arbitration has the right to resort to an 
appropriate federal district court or state court, subject to the 
established rules of that court regarding subject matter jurisdiction 
and personal jurisdiction.
    (5) If the vehicle manufacturer wins the arbitration, the part 
manufacturer must provide reimbursement in accordance with the 
arbitrator's award and decision. Such reimbursement must be made within 
30 days of the award and decision.
    (6)(i) If the part manufacturer refuses to pay a lost arbitration 
award, the involved part will be decertified pursuant to 40 CFR 85.2121, 
provided that if the part manufacturer resorts to a court of competent 
jurisdiction, decertification will be withheld pending the outcome of 
such judicial determination.
    (ii) In addition, under these circumstances, the vehicle 
manufacturer has the right to bring an enforcement action on the 
arbitration award and decision in the appropriate federal district court 
or state court, subject to the established rules of that court regarding 
subject matter jurisdiction and personal jurisdiction. If this court 
agrees with the arbitrator's award and decision, reimbursement shall be 
made within 30 days of the court's decision unless the court orders 
otherwise.

[54 FR 32592, Aug. 8, 1989]



Sec. 85.2118  Changes after certification.

    The aftermarket part manufacturer shall be required to recertify any 
part which:
    (a) Was certified pursuant to Sec. 85.2114(b) and to which 
modifications are subsequently made which could affect the results of 
any test or judgment made that the part meets all of the applicable 
Emission-Critical Parameters;
    (b) Was certified pursuant to Sec. 85.2114(c) and to which 
modifications are made which are likely to affect emissions or the 
capability of the part to meet any other requirement of this subpart; or
    (c) Was certified and is subsequently modified in a manner affecting 
the durability of the part or any emission control device, engine or the 
vehicle upon which such part is installed.

[45 FR 78461, Nov. 25, 1980, as amended at 54 FR 32593, Aug. 8, 1989]



Sec. 85.2119  Labeling requirements.

    (a) Except as specified in paragraph (b) of this section, each part 
certified pursuant to these regulations shall have ``Certified to EPA 
Standards'' and the name of the aftermarket part manufacturer or other 
party designated to

[[Page 101]]

determine the validity of warranty claims placed on the part. The name 
of the aftermarket part manufacturer or other party and the statement, 
``Certified to EPA Standards,'' must be made durable and readable for at 
least the useful life mileage interval of the part.
    (b) In lieu of the name of the aftermarket part manufacturer or 
other party and ``Certified to EPA Standards,'' the part may contain 
unique identification markings. A description of the marking and 
statement that such marking is intended in lieu of the name of the 
aftermarket part manufacturer or other party and ``Certified to EPA 
Standards,'' shall be made to the Agency in the notification of intent 
to certify. The unique symbol shall not be used on any uncertified or 
decertified part built or assembled after the date of decertification.
    (c) The package in which the certified aftermarket part is contained 
must have the following information conspicuously placed thereon:
    (1) The statement ``Certified by (name of manufacturer or warranter) 
to EPA Emission Standards'',
    (2) A list of the vehicles or engines (in accordance with Sec. 
85.2115(a)(1)(ii)) for which the part has been certified,
    (3) A statement of the maintenance or replacement interval for which 
the part has been certified, if the interval is of a shorter duration 
than the interval specified in the written instructions for proper 
maintenance and use for the original equipment,
    (4) A description of the maintenance necessary to be performed on 
the part in the proper maintenance and use of the part, if such 
maintenance is in addition to or different from that maintenance 
necessary on the original equipment part, and
    (5) The instructions for proper installation if different from the 
vehicle manufacturer's recommended installation instruction for that 
part.
    (d) The information required by paragraphs (c )(4) and (5) of this 
section may be provided on a written insert with the certified 
aftermarket part if the insert also contains the information required in 
paragraphs (c) (1), (2) and (3) of this section.
    (e) The information required by paragraph (c)(2) of this section may 
be provided in a catalog rather than on the package or on an insert: 
Provided, That access to the catalog is readily available to purchasers 
and installers of the part.
    (f) When an aftermarket part manufacturer desires to certify 
existing in-service stocks of its products, it may do so provided:
    (1) The part does not differ in any operational or durability 
characteristic from the aftermarket parts specified in the notification 
made pursuant to Sec. 85.2115, and
    (2) A supplemental information sheet is made available to all 
parties selling the part.
    (i) The supplemental sheet shall be made available in sufficient 
quantities so that it can be provided with all parts sold as certified, 
and
    (ii) The supplemental sheet shall contain all of the information 
specified in paragraph (c) of this section.

[45 FR 78461, Nov. 25, 1980, as amended at 54 FR 32593, Aug. 8, 1989]



Sec. 85.2120  Maintenance and submittal of records.

    (a) For each certified aftermarket part, the aftermarket part 
manufacturer must establish, maintain and retain for 5 years the 
following adequately organized and indexed records:
    (1) Detailed production drawings showing all dimensions, tolerances, 
performance requirements and material specifications and any other 
information necessary to completely describe the part;
    (2) A description of the testing program, including all production 
part sampling techniques used to verify compliance of the certified 
aftermarket part with the applicable Emission-Critical Parameters and 
durability requirements;
    (3) All data obtained during testing of the part and subsequent 
analyses based on that data, including the milege and the vehicle or 
engine configuration determinants if emission testing is utilized as the 
basis for certification;
    (4) All information used in determining those vehicles for which the 
part is represented as being equivalent

[[Page 102]]

from an emissions standpoint to the original equipment part;
    (5) A description of the quality control plan used to monitor 
production and assure compliance of the part with the applicable 
certification requirements;
    (6) All data taken in implementing the quality control plan, and any 
subsequent analyses of that data;
    (7) A description of all the methodology, analysis, testing and/or 
sampling techniques used to ascertain the emission critical parameter 
specifications of the originial equipment part; and
    (8) All in-service data, analyses performed by the manufacturer and 
correspondence with vendors, distributors, consumers, retail outlets or 
vehicle manufacturers regarding any design, production or in-service 
problems associated with 25 or more of any certified part.
    (b) The records required to be maintained in paragraph (a) of this 
section shall be made available to the Agency upon the written request 
of the MOD Director.
    (c) For parts certified only for vehicles with less than 5 years of 
emission performance warranty coverage remaining, records must be kept 
for 3 years or until they determine that approximately 80% of the 
applicable vehicles are outside the warranty period, whichever occurs 
second.
    (d) This section shall expire 5 years from the effective date of 
this regulation unless renewed prior to that date.

[45 FR 78461, Nov. 25, 1980]



Sec. 85.2121  Decertification.

    (a) The MOD Director may notify an aftermarket part manufacturer 
that the Agency has made a preliminary determination that one or more 
parts should be decertified.
    (1) Such a preliminary determination may be made if there is reason 
to believe that the part manufactured has failed to comply with 
Sec. Sec. 85.2112 through 85.2122. Information upon which such a 
determination will be made includes but is not limited to the following.
    (i) Tests required to be performed to demonstrate compliance of the 
part with the applicable Emission-Critical Parameters
    (A) Were not performed on the part(s), or
    (B) Were insufficient to demonstrate compliance;
    (ii) The part was certified on the basis of emission tests, and
    (A) The procedures used in such tests were not in substantial 
compliance with a portion or portions of the Federal Test Procedure 
which were not waived pursuant to Sec. 85.2114(d);
    (B) The emission results were not in compliance with the 
requirements of Sec. 85.2114(d); or
    (C) The procedures used for part aging for durability demonstration 
were not in substantial compliance with the durability cycle required by 
Sec. 85.2114.
    (iii) Use of the certified part is causing vehicle emissions to 
exceed emission requirements for any regulated pollutant;
    (iv) Use of the certified part causes or contributes to an 
unreasonable risk to public health, welfare or safety or severely 
degrades drivability operation or function;
    (v) The part has been modified in a manner requiring recertification 
pursuant to Sec. 85.2118; or
    (vi) The manufacturer of such parts has not established, maintained 
or retained the records required pursuant to Sec. 85.2120 or fails to 
make the records available to the MOD Director upon written request 
pursuant to Sec. 85.2120.
    (vii) Documentation required to support the type of durability 
demonstration used for a part under Sec. 85.2114:
    (A) Were not submitted for the part, or
    (B) Were insufficient to justify a claim of durability exemption 
status.
    (viii) The aftermarket part manufacturer failed to pay a lost 
arbitration settlement within 30 days of the arbitrator's decision or 
within 30 days after completion of judicial review, if any.
    (2) Notice of a preliminary determination to decertify shall 
contain:
    (i) A description of the noncomplying part(s);
    (ii) The basis for the MOD Director's preliminary decision; and
    (iii) The date by which the manufacturer must
    (A) Terminate the sale of the part as a certified part, or

[[Page 103]]

    (B) Make the necessary change (if so recommended by the Agency), and
    (C) Request an opportunity in writing to dispute the allegations of 
the preliminary decertification.
    (b) If the aftermarket part manufacturer requests an opportunity to 
respond to the preliminary determination, the manufacturer and other 
parties interested in the MOD Director's decision whether to decertify a 
part may, within 15 days of the date of the request, submit written 
presentations, including the relevant information and data, to the MOD 
Director. The MOD Director, in his or her discretion, may provide an 
opportunity for oral presentations.
    (1) Any interested party may request additional time to respond to 
the information submitted by the part manufacturer. The MOD Director 
upon a showing of good cause by the interested party may grant an 
extension of time to reply up to 30 days.
    (2) The part manufacturer may have an extension of up to 30 days to 
reply to information submitted by interested parties. Notification of 
intent to reply shall be submitted to the MOD Director within 10 days of 
the date information from interested parties is submitted to the MOD 
Director.
    (c) If a part manufacturer has disputed the allegations of the 
preliminary decisions, the MOD Director shall, after reviewing any 
additional information, notify the aftermarket part manufacturer of his 
or her decision whether the part may continue to be sold as certified. 
This notification shall include an explanation upon which the decision 
was made and the effective date for decertification, where appropriate.
    (d) Within 20 days from the date of a decision made pursuant to 
paragraph (c) of this section, any adversely affected party may appeal 
the decision to the Office Director.
    (1) A petition for appeal to the Office Director must state all of 
the reasons why the decision of the MOD Director should be reversed.
    (2) The Office Director may, in his or her discretion, allow 
additional oral or written testimony.
    (3) If no appeal is filed with the Office Director within the 
permitted time period, the decision of the MOD Director shall be final.
    (e) If a final decision is made to decertify a part under paragraph 
(d) of this section, the manufacturer of such part shall notify his 
immediate customers (other than retail customers) that, as of the date 
of the final determination, the part in question has been decertified. 
The part manufacturer shall offer to replace decertified parts in the 
customer's inventory with certified replacement parts or, if unable to 
do so, shall at the customer's request repurchase such inventory at a 
reasonable price.
    (f) Notwithstanding the requirements of paragraph (e) of this 
section, a part purchased by a vehicle owner as certified, shall be 
considered certified pursuant to this subpart.

[45 FR 78462, Nov. 25, 1980, as amended at 54 FR 32593, Aug. 8, 1989]



Sec. 85.2122  Emission-critical parameters.

    (a) The following parts may be certified in accordance with Sec. 
85.2114(b):
    (1) Carburetor Vacuum Break (Choke Pull-Off). (i) The emission-
critical parameters for carburetor vacuum breaks are:
    (A) Diaphragm Displacement.
    (B) Timed Delay.
    (C) Modulated Stem Displacement.
    (D) Modulated Stem Displacement Force.
    (E) Vacuum Leakage.
    (ii) For the purposes of this paragraph:
    (A) ``Diaphragm Displacement'' means the distance through which the 
center of the diaphragm moves when activated. In the case of a non-
modulated stem, diaphragm displacement corresponds to stem displacement.
    (B) ``Timed Delay'' means a delayed diaphragm displacement 
controlled to occur within a given time period.
    (C) ``Modulated Stem Displacement'' means the distance through which 
the modulated stem may move when actuated independent of diaphragm 
displacement.
    (D) ``Modulated Stem Displacement Force'' means the amount of force 
required at start and finish of a modulated stem displacement.

[[Page 104]]

    (E) ``Vacuum Leakage'' means leakage into the vacuum cavity of a 
vacuum break.
    (F) ``Vacuum Break'' (``Choke Pull-off'') means a vacuum-operated 
device to open the carburetor choke plate a predetermined amount on cold 
start.
    (G) ``Modulated Stem'' means a stem attached to the vacuum break 
diaphragm in such a manner as to allow stem displacement independent of 
diaphragm displacement.
    (H) ``Vacuum Purge System'' means a vacuum system with a controlled 
air flow to purge the vacuum system of undesirable manifold vapors.
    (2) Carburetor Choke Thermostats. (i) The emission-critical 
parameters for all Choke Thermostats are:
    (A) Thermal Deflection Rate.
    (B) Mechanical Torque Rate.
    (C) Index Mark Position.
    (ii) The emission-critical parameters for Electrically-Heated Choke 
Thermostats are:
    (A) Those parameters set forth in paragraph (a)(2)(i) of this 
section
    (B) Time to rotate coil tang when electrically energized
    (C) Electrical circuit resistance
    (D) Electrical switching temperature
    (iii) For the purpose of this paragraph:
    (A) ``Choke'' means a device to restrict air flow into a carburetor 
in order to enrich the air/fuel mixture delivered to the engine by the 
carburetor during cold-engine start and cold-engine operation.
    (B) ``Thermostat'' means a temperature-actuated device.
    (C) ``Electrically-heated Choke'' means a device which contains a 
means for applying heat to the thermostatic coil by electrical current.
    (D) ``Thermostatic Coil'' means a spiral-wound coil of thermally-
sensitive material which provides rotary force (torque) and/or 
displacement as a function of applied temperature.
    (E) ``Thermostatic Switch'' means an element of thermally-sensitive 
material which acts to open or close an electrical circuit as a function 
of temperature.
    (F) ``Mechanical Torque Rate'' means a term applied to a 
thermostatic coil, defined as the torque accumulation per angular degree 
of deflection of a thermostatic coil.
    (G) ``Thermal Deflection Rate'' means the angular degrees of 
rotation per degree of temperature change of the thermostatic coil.
    (H) ``Index or Index Mark'' means a mark on a choke thermostat 
housing, located in a fixed relationship to the thermostatic coil tang 
position to aid in assembly and service adjustment of the choke.
    (I) ``PTC Type Choke Heaters'' means a positive termperature 
coefficient resistant ceramic disc capable of providing heat to the 
thermostatic coil when electrically energized.
    (3) Carburetor Accelerator Pumps. (i) The emission-critical 
parameter for accelerator pumps (plungers or diaphragms) is the average 
volume of fuel delivered per stroke by the pump within prescribed time 
limits.
    (ii) For the purpose of this paragraph an ``Accelerator Pump 
(Plunger or Diaphragm)'' means a device used to provide a supplemental 
supply of fuel during increasing throttle opening as required.
    (4) Positive Crankcase Ventilation (PCV) Valves. (i) The emission-
critical parameter for a PCV valve is the volume of flow as a function 
of pressure differential across the valve.
    (ii) For the purposes of this paragraph a ``PCV Valve'' means a 
device to control the flow of blow-by gasses and fresh air from the 
crankcase to the fuel induction system of the engine.
    (5) Breaker Points. (i) The emission-critical parameters for breaker 
points are:
    (A) Bounce.
    (B) Dwell Angle.
    (C) Contact Resistance.
    (ii) For the purposes of this paragraph:
    (A) ``Breaker Point'' means a mechanical switch operated by the 
distributor cam to establish and interrupt the primary ignition coil 
current.
    (B) ``Bounce'' means unscheduled point contact opening(s) after 
initial closure and before scheduled reopening.
    (C) ``Dwell Angle'' means the number of degrees of distributor 
mechanical rotation during which the breaker points are conducting 
current.

[[Page 105]]

    (D) ``Contact Resistance'' means the opposition to the flow of 
current between the mounting bracket and the insulated terminal.
    (6) Capacitors/Condensers. (i) The emission-critical parameters for 
capacitors/condensers are:
    (A) Capacitance.
    (B) Series Resistance.
    (C) Breakdown Voltage.
    (ii) For the purposes of this paragraph:
    (A) ``Capacitance'' means the property of a device which permits 
storage of electrically-separated charges when differences in electrical 
potential exist between the conductors and measured as the ratio of 
stored charge to the difference in electrical potential between 
conductors.
    (B) ``Series Resistance'' means the sum of resistances from the 
condenser plates to the condenser's external connections.
    (C) ``Breakdown Voltage'' means the voltage level at which the 
capacitor fails.
    (D) ``Capacitor/Condenser'' means a device for the storage of 
electrical energy consisting of two oppositely charged conducting plates 
separated by a dielectric and which resists the flow of direct current.
    (7) Distributor Caps and/or Rotors. (i) The emission-critical 
parameters for distributor caps and/or rotors are:
    (A) Physical and Thermal Integrity.
    (B) Dielectric Strength.
    (C) Flashover.
    (ii) For the purposes of this paragraph:
    (A) ``Flashover'' means the discharge of ignition voltage across the 
surface of the distributor cap and/or rotor rather than at the spark 
plug gap.
    (B) ``Dielectric Strength'' means the ability of the material of the 
cap and/or rotor to resist the flow of electric current.
    (C) ``Physical and Thermal Integrity'' means the ability of the 
material of the cap and/or rotor to resist physical and thermal 
breakdown.
    (8) Spark Plugs. (i) The emission critical parameters for spark 
plugs are:
    (A) Heat Rating.
    (B) Gap Spacing.
    (C) Gap Location.
    (D) Flashover.
    (E) Dielectric Strength.
    (ii) For the purposes of this paragraph:
    (A) ``Spark Plug'' means a device to suitably deliver high tension 
electrical ignition voltage to the spark gap in the engine combustion 
chamber.
    (B) ``Heat Rating'' means that measurement of engine indicated mean 
effective pressure (IMEP) value obtained on the engine at a point when 
the supercharge pressure is 25.4mm (one inch) Hg below the preignition 
point of the spark plug, as rated according to SAE J549A Recommended 
Practice.
    (C) ``Gap Spacing'' means the distance between the center electrode 
and the ground electrode where the high voltage ignition arc is 
discharged.
    (D) ``Gap Location'' means the position of the electrode gap in the 
combustion chamber.
    (E) ``Dielectric Strength'' means the ability of the spark plug's 
ceramic insulator material to resist electrical breakdown.
    (F) ``Flashover'' means the discharge of ignition voltage at any 
point other than at the spark plug gap.
    (9) Inductive System Coils. (i) The emission-critical parameters for 
inductive system coils are:
    (A) Open Circuit Voltage Output.
    (B) Dielectric Strength.
    (C) Flashover.
    (D) Rise Time.
    (ii) For the purposes of this paragraph:
    (A) ``Coil'' means a device used to provide high voltage in an 
inductive ignition system.
    (B) ``Flashover'' means the discharge of ignition voltage across the 
coil.
    (C) ``Dielectric Strength'' means the ability of the material of the 
coil to resist electrical breakdown.
    (D) ``Rise Time'' means the time required for the spark voltage to 
increase from 10% to 90% of its maximum value.
    (10) Primary Resistors. (i) The emission-critical parameter for 
primary resistors is the DC resistance.
    (ii) For the purpose of this paragraph, a ``Primary Resistor'' means 
a device used in the primary circuit of an inductive ignition system to 
limit the flow of current.

[[Page 106]]

    (11) Breaker Point Distributors. (i) The emission-critical 
parameters for breaker point distributors are:
    (A) Spark Timing.
    (1) Centrifugal Advance Characteristics.
    (2) Vacuum Advance Characteristics.
    (B) Dwell Angle.
    (C) Breaker point contact operation.
    (D) Electrical resistance to ground.
    (E) Capacity for compatibility with generally available original 
equipment and certified replacement parts listed in Sec. 85.2112(a) 
(5), (6), (7), and (9).
    (ii) For the purposes of this paragraph:
    (A) ``Distributor'' means a device for directing the secondary 
current from the induction coil to the spark plugs at the proper 
intervals and in the proper firing order.
    (B) ``Distributor Firing Angle'' means the angular relationship of 
breaker point opening from one opening to the next in the firing 
sequence.
    (C) ``Dwell Angle'' means the number of degrees of distributor 
mechanical rotation during which the breaker points are capable of 
conducting current.
    (12) Engine Valves. [Reserved]
    (13) Camshafts. [Reserved]
    (14) Pistons. [Reserved]
    (15) Oxidizing Catalytic Converter. (i) The emission-critical 
parameters for oxidizing catalytic converters are:
    (A) Conversion Efficiency.
    (B) Light-off Time.
    (C) Mechanical and Thermal Integrity.
    (ii) For the purposes of this paragraph including the relevant test 
procedures in the appendix:
    (A) ``Catalytic Converter'' means a device installed in the exhaust 
system of an internal combustion engine that utilizes catalytic action 
to oxidize hydrocarbon (HC) and carbon monoxide (CO) emissions to carbon 
dioxide (CO2) and water (H2O).
    (B) ``Conversion Efficiency'' means the measure of the catalytic 
converter's ability to oxidize HC/CO to CO2/H2O 
under fully warmed-up conditions stated as a percentage calculated by 
the following formula:
[GRAPHIC] [TIFF OMITTED] TC15NO91.093

    (C) ``Light-off Time'' or ``LOT'' means the time required for a 
catalytic converter (at ambient temperature 68-86 [deg]F) to warm-up 
sufficiently to convert 50% of the incoming HC and CO to CO2 
and H2 O.
    (D) ``Peak Air Flow'' means the maximum engine intake mass air flow 
rate measure during the 195 second to 202 second time interval of the 
Federal Test Procedure.
    (E) ``Feed Gas'' means the chemical composition of the exhaust gas 
measured at the converter inlet.
    (F) ``Aged Catalytic Converter'' means a converter that has been 
installed on a vehicle or engine stand and operated thru a cycle 
specifically designed to chemically age, including exposure to 
representative lead concentrations, and mechanically stress the 
catalytic converter in a manner representative of in-use vehicle or 
engine conditions.
    (G) ``Mechanical and Thermal Intergrity'' means the ability of a 
converter to continue to operate at its previously determined efficiency 
and light-off time and be free from exhaust leaks when subject to 
thermal and mechanical stresses representative of the intended 
application.
    (16) Air Cleaner Filter Element. (i) The emission-critical 
parameters for Air Cleaner Filter Elements are:
    (A) Pressure drop.
    (B) Efficiency.
    (ii) For the purpose of this paragraph:
    (A) ``Air Cleaner Filter Element'' means a device to remove 
particulates from the primary air that enters the air induction system 
of the engine.
    (B) ``Pressure Drop'' means a measure, in kilopascals, of the 
difference in static pressure measured immediately upstream and 
downstream of the air filter element.
    (C) ``Efficiency'' means the ability of the air cleaner or the unit 
under test to remove contaminant.
    (17) Electronic Inductive Ignition System and Components. [Reserved]
    (18) Electronic Inductive Distributors. [Reserved]
    (b) Additional part standards. [Reserved]

[45 FR 78462, Nov. 25, 1980, as amended at 54 FR 32593, Aug. 8, 1989]

[[Page 107]]



Sec. 85.2123  Treatment of confidential information.

    (a) Any manufacturer may assert that some or all of the information 
submitted pursuant to this subpart is entitled to confidential treatment 
as provided by 40 CFR part 2, subpart B.
    (b) Any claim of confidentiality must accompany the information at 
the time it is submitted to EPA.
    (c) To assert that information submitted pursuant to this subpart is 
confidential, a manufacturer must indicate clearly the items of 
information claimed confidential by marking, circling, bracketing, 
stamping, or otherwise specifying the confidential information. 
Furthermore, EPA requests, but does not require, that the submitter also 
provide a second copy of its submittal from which all confidential 
information shall be deleted. If a need arises to publicly release 
nonconfidential information, EPA will assume that the submitter has 
accurately deleted all confidential information from this second copy.
    (d) If a claim is made that some or all of the information submitted 
pursuant to this subpart is entitled to confidential treatment, the 
information covered by that confidentiality claim will be disclosed by 
the Administrator only to the extent and by means of the procedures set 
forth in part 2, subpart B, of this chapter.
    (e) Information provided without a claim of confidentiality at the 
time of submission may be made available to the public by EPA without 
further notice to the submitter, in accordance with 40 CFR 
2.204(c)(2)(i)(A).

[50 FR 34798, Aug. 27, 1985]



Sec. Appendix I to Subpart V of Part 85--Recommended Test Procedures and 
  
  Test Criteria and Recommended Durability Procedures To Demonstrate 
              Compliance With Emission Critical Parameters

               A. Carburetor Vacuum Break (Choke Pull-Off)

    1. Test Procedure and Criteria
    a. Vacuum leakage: Apply 457 13 mm (18.0 
0.5 inches) Hg. vacuum to the vacuum unit to 
achieve full diaphragm displacement. Seal vacuum source to unit. There 
shall be no visible loss of diaphragm displacement or drop in vacuum 
gauge reading after a 15 second observation. Vacuum purge system and 
diaphragm displacement adjusting screw holes should be temporarily 
sealed during this test when applicable.
    b. Diaphragm displacement: At stabilized temperature of -29 [deg]C 
and 121 [deg]C (-20 [deg]F and 250 [deg]F) with 457 13 mm (18.0 0.5 inches) Hg. vacuum 
applied to unit, the diaphragm displacement shall be within 1 mm (0.04 inches) of the nominal original equipment 
displacement. The vacuum purge system must be open during this test when 
applicable. Adjusting screws that limit displacement should be 
temporarily removed and adjusting screw holes temporarily sealed during 
this test.
    c. Timed delay (when applicable): With 457 13 
mm (18.0 0.5 inches) Hg. applied to the unit, the 
vacuum break diaphragm displacement shall occur within 20% of the original equipment time over the specified 
range of displacement. The diaphragm displacement shall be timed over 
the same distance for the original equipment as the replacement part and 
shall not be less than 60% of the total displacement range. The vacuum 
purge system must be open and the adjusting screw holes should be 
temporarily sealed during this test when applicable.
    d. Modulated stem displacement (when applicable): With a force 
sufficient to extend the modulated stem to its full displacement, the 
displacement shall be within 0.8 mm (0.03 inches) of the original equipment specification.
    e. Modulated stem displacement force (when applicable): The force 
required to start and finish the modulated stem displacement shall be 
within 35% of the original equipment specification 
for forces up to 142 grams (5 ounces) and shall be within 20% of the original equipment specification for forces 
exceeding 142 grams (5 ounces).
    2. Durability Procedures: After 250,000 full displacement cycles 
(from atmospheric pressure to a minimum of 530mm (21 inches) Hg. vacuum 
at a temperature of 79 [deg]C (175 [deg]F)) in air, the following 
conditions shall be met:
    a. Diaphragm displacement shall not degrade more than 10% from the 
original test measurements of paragraph 1.b. above.
    b. Timed delay shall not degrade more than 10% from the original 
test measurement in paragraph 1.c. above.
    c. Following these tests, the units must be free of visible defects.

                     B. Carburetor Choke Thermostats

    1. Test Procedures and Criteria
    a. All chokes
    i. Thermal deflection rate
    When tested on a suitable fixture, the deflection rate shall be 
within 6% of the original equipment value. The 
initial temperature and final temperature for purposes of this test may 
vary but shall exhibit a test temperature range of at least 44 [deg]C 
(80 [deg]F).

[[Page 108]]

Recommended test equipment, test procedures, and associated calculations 
are outlined in ASTM B389 (latest revision) or American National 
Standards Institute Z155-20.
    ii. Mechanical torque rate
    When tested on a suitable fixture, the torque rate shall be within 
12% of the mean original equipment value. 
Recommended test equipment, test procedures, and associated calculations 
are outlined in ASTM B362 (latest revision) or American National 
Standards Institute Z155-18 (latest revision).
    iii. Index mark position
    When stabilized for four hours at room temperature, the relative 
position of the thermostatic coil outer tang or loop and the index mark, 
when corrected to 24 [deg]C (75 [deg]F), shall be within 5 angular degrees of the mean original equipment 
positions.
    b. Electrically-heated Chokes
    i. Time to rotate coil tang
    When tested on a suitable fixture, the time to rotate through a 
prescribed angle at a prescribed temperature and prescribed voltage, for 
the specfic choke device under test shall be within 12 seconds or 25% of the mean 
original equipment value whichever is greater.
    ii. Electrical circuit resistance
    In an electrically-heated choke utilizing PTC type choke heater, the 
circuit resistance shall be within 1.5 ohms of the 
mean original equipment value at 24 3 [deg]C 
(75[deg] 5 [deg]F) unenergized.
    iii. Electrical switching temperature
    In an electrically heated choke thermostat utilizing a thermostatic 
disc switch in the electrical circuit, the temperature to open the 
circuit shall be within 5.5 [deg]C (10 [deg]F) and 
the temperature to close the circuit shall be within 11 [deg]C (20 [deg]F) of the mean original equipment 
value. Circuit opening temperature shall be measured on a decreasing 
temperature change, and the circuit closing temperature shall be 
measured on an increasing temperature change.

                     C. Carburetor Accelerator Pumps

    1. Test Procedure and Criteria
    a. Expose plunger or diaphragm assembly to temperatures of -30 
[deg]C (-20 [deg]F) for 70 hours and at 70 [deg]C (158 [deg]F) for 24 
hours, with a commercial grade fuel or equivalent.
    b. Within one hour after temperature exposure of 1.a. above, each 
plunger or diaphragm assembly, when installed in an applicable 
carburetor or test fixture, shall at room temperature deliver a volume 
of test fluid (Stoddard solvent or equivalent) from a 10 stroke cycle,* 
within 30% of the volume from a 10 stroke cycle of 
an original equipment plunger or diaphragm assembly.
---------------------------------------------------------------------------

    *10 stroke cycle: 10 strokes from closed throttle plate position to 
wide open throttle plate position occurring within a 15-25 second time 
period.
---------------------------------------------------------------------------

    2. Durability Procedure: After 250,000 operational cycles, at 
approximately 30 cycles per minute at room temperature in test fluid, 
the output of the plunger/diaphragm shall not drop below 90% of the low 
limit as established in 1.b.

              D. Positive Crankcase Ventilation (PCV) Valve

    1. Test Procedure and Criteria
    a. Measure the flow of the PCV valve in standard cubic feet per 
minute (SCFM) vs. pressure differential across the valve over a range of 
operating pressures from 4-22 inches Hg., at standard atmospheric 
conditions (21.1 [deg]C (70 [deg]F) at 755mm (29.92 inches).
    b. A PCV valve shall flow within the vehicle manufacturer's 
specifications or shall meet the following criteria: Whenever the mean 
of the original equipment flow curve is below 1 SCFM, a maximum 
deviation of the mean replacement PCV valve shall not exceed 0.1 SCFM. Whenever the mean original equipment curve is 
equal to or greater than 1 SCFM, a maximum deviation of the mean of the 
replacement PCV valve shall not exceed 10%. The 
total flow tolerance of the replacement valve shall not exceed the 
original equipment variation from the mean, at any pressure 
differential.
    2. Durability Procedure: The flow of any specific PCV valve must not 
deviate from the flow curve of the original equipment PCV valve by more 
than the total original allowable tolerance when each is similarly 
operated in the intended vehicle application over the service interval 
stated by the certifier.

                            E. Breaker Points

    1. Test Procedures and Criteria
    a. Set up test system circuit and equipment per Figure 1 with an OE 
breaker point assembly. Connect the primary to a 14 .5 V DC regulated power supply.
    b. Record dwell angle and open-circuit output voltage at 300 and 500 
distributor rpm and at 500 rpm intervals up to the maximum speed of the 
intended application.
    c. Insert the replacement part in the test system and repeat the 
observations per b above under identical test conditions.
    d. The data observed with the replacement part in the system must 
meet the following criteria:
    (1) The dwell angle change: Not to exceed that of the original 
equipment by more than 2[deg] at all measured rpm 
intervals.

[[Page 109]]

[GRAPHIC] [TIFF OMITTED] TC01MY92.109

    (2) The open circuit output voltage (M-3): Not less than 90% of the 
OE breaker point assembly at any measured rpm.
    e. Repeat step c above at -40 [deg]C (-40 [deg]F) and 100 [deg]C 
(212 [deg]F).
    f. The breaker points shall operate without evidence of point bounce 
at all test speeds and temperatures and shall operate easily without 
binding when operated manually.
    2. Durability Procedures
    a. Set up a bench ignition system using an applicable distributor or 
electro-mechanical equivalent.
    b. Install the breaker point assembly under test in the distributor, 
lubricate and adjust per applicable vehicle manufacturer's 
specifications. Use applicable coil, primary resistor, capacitor, cap 
and rotor.
    c. Connect the primary of the test system with a power supply 
regulated at 14 0.5 V DC for a 12V system.
    d. The secondary portion of the test system is to be connected to a 
12 2KV spark gap.
    e. An external heat source shall generate an ambient temperature of 
70[deg] (158 [deg]F) for the distributor.
    f. Drive the distributor at 1750 50 rpm for 
200 hours. After each 50 hour interval, run the distributor for 5 
minutes with one open circuit spark gap instead of a 12KV gap.
    g. The replacement breaker point assembly must have the capability 
of performing throughout the duration of the test without evidence of 
any failure resulting in loss of spark in the 12KV spark gap.
    h. After the 200 hours repeat step 1.c. above. The open circuit 
output voltage must be at least 90% of that measured in 1.c.

                        F. Capacitors/Condensers

    1. Test Procedures and Criteria
    a. The electrostatic capacitance of the replacement condenser shall 
be within 20% of the value of the original part at 
20 3 [deg]C (68 5 [deg]F). 
The capacitance is to be measured on

[[Page 110]]

a capacitance bridge having an accuracy of 1% at 1 
KHz frequency.
    b. Set up the test system in accordance with Figure 1. The condenser 
series resistance shall be such that the output voltage at 500 
distributor rpm with the replacement condenser shall not be less than 
90% of the output voltage (M-3) with the original equipment condenser.
    c. The capacitor must be able to withstand a minimum test voltage of 
500V DC for a minimum of 0.1 seconds without failure.
    d. (1) Measure capacitance after 4 hours minimum soak at 70[deg] 
(158 [deg]F).
    (2) After one hour at room temperature, place capacitor at -18 
[deg]C (0 [deg]F) for 4 hours minimum and measure capacitance.
    (3) Place capacitor at room temperature for 4 hours minimum and 
measure capacitance.
    e. After thermal cycling, repeat 1.a. and b. The results must be 
within 10 percent of the intital measurements.
    2. Durability Procedure
    a. Set up a bench ignition system using an applicable distributor or 
an electro-mechanical equivalent.
    b. Install the capacitor under test in the distributor adjusted to 
applicable vehicle manufacturer's specifications. Use applicable coil, 
primary resistor, breaker points, cap and rotor.
    c. Connect the primary of the test system with a power supply 
regulated at 14 0.5V DC for 12V system.
    d. The secondary portion of the test system is to be connected to a 
12 2KV spark gap.
    e. An external heat source shall generate an ambient temperature of 
70 [deg]C (158 [deg]F) for the distributor.
    f. Drive the distributor at 1750 50 rpm for 
200 hours. After each 50 hour interval, run the distributor for 5 
minutes with one open circuit spark gap instead of a 12KV gap.
    g. The replacement part must have the capability of performing 
throughout the duration of the test without evidence of any failure 
resulting in loss of spark in the 12KV spark gap.
    h. After the 200 hours, the condenser shall be within 10 percent of 
the capacitance and voltage measured in 1.a. and b. respectively.

                    G. Distributor Caps and/or Rotors

    1. Test Procedures and Criteria
    a. Set up test system in accordance with the circuit and equipment 
per Figure 1 with OE distributor cap and/or rotor. Connect the primary 
to a 14 .5V DC regulated power supply.
    b. Record open circuit output voltage (M-3) at 300 and 500 
distributor rpm and at intervals of 500 distributor rpm up to the 
maximum speed of the intended application.
    c. Insert the intended replacement part(s) in the system and repeat 
step b. above under identical test conditions.
    d. Subject the intended replacement part to the following thermal 
sequence through five complete cycles:
    1. 12 hours at -40 [deg]C (-40 [deg]F)
    2. 2 hours at room temperature
    3. 4 hours at 100 [deg]C (212 [deg]F)
    4. 2 hours at room temperature.
    e. Repeat step b. above with the replacement part(s).
    f. The output voltages measured with the replacement part(s) in the 
system must be at least 90% of the output voltage with the OE cap and/or 
rotor.
    2. Durability Procedures
    a. Set up test system in accordance with circuit and equipment per 
Figure 1.
    b. Install the cap and/or rotor under test in distributor, lubricate 
and adjust per applicable vehicle manufacturer's specifications. Use 
equivalent coil, primary resistor, breaker points and capacitor.
    c. Connect the primary of the test system with a power supply 
regulated at 14 0.5 V D.C.
    1. In breaker point operated systems, connect secondary to a 12 
KV2 KV gap.
    2. In electronic ignition systems, connect secondary to a gap 
equivalent to at least 50% of peak open-circuit voltage.
    d. An external heat source shall generate an ambient temperature of 
70[deg] (158 [deg]F) for the distributor.
    e. Distributor shall be driven at 1750 50 rpm 
for 200 hours. After each 50 hours interval, run the distributor for 5 
minutes with one open-circuit spark gap instead of a 12KV gap.
    f. The replacement part(s) must have the capability of performing 
throughout the duration of the test without evidence of any failure 
resulting in loss of spark at the spark gap.
    g. Repeat step 1.c. above. The open circuit output voltage must be 
at least 90% of that measured in step 1.c.
    h. The replacement cap and/or rotor must be free of any visual 
cracks, arcing or melting.

                             H. Spark Plugs

    1. Test Procedures and Criteria
    a. Heat rating: When comparatively rated in the SAE 17.6 Spark Plug 
Rating engine according to the SAE J549A Recommended Practice, the 
comparative average rating of at least five (5) replacement spark plugs 
shall be within 15 percent of the average IMEP of at least five (5) OE 
spark plugs.
    b. Gap spacing: The electrode spark gap shall be equivalent or 
adjustable to the recommended gap for the original equipment spark plug.

[[Page 111]]

    c. Gap location: The electrode gap position in the chamber shall be 
the same as specified by the vehicle manufacturer.
    d. Flashover: The spark plug terminal end, with the properly fitted 
connecting boot, shall not flash-over at peak anticipated voltage for 
the intended application when electrode gap is 15% larger than vehicle 
manufacturer's gap specifications.

                        I. Inductive System Coils

    1. Test Procedures and Criteria
    a. Set up the circuit in accordance with Figure 1. Operate the 
circuit by an applicable distributor or equivalent triggering device and 
applicable primarly resistor with a 50 pf load at 14.0 0.50 volts DC input as applicable and stabilized at an 
ambient temperature of 20 [deg]C 3 [deg]C (68 
[deg]F 5 [deg]F).
    b. With the original equipment coil installed, record the 
predominant minimum peak voltage and rise time at 300 and 500 
distributor rpm, and at 500 rpm intervals up to the maximum intended 
operating speed. The measurement is to be taken after 4 minutes 
operation at each speed.
    c. Install the replacement coil to be tested and repeat step b. 
above.
    d. The replacement coil shall have an open-circuit output voltage 
(M-3) at least 90% of the OE coil output voltage and a rise time not to 
exceed 110% of original equipment coil at each distributor test speed.
    2. Durability Procedure
    a. Install the replacement ignition coil in the ignition system 
using the applicable rotor, cap, capacitor, breaker points, and primary 
resistor.
[GRAPHIC] [TIFF OMITTED] TC01MY92.110

    b. Operate the circuit with a regulated power supply of 14.0 .5 volts DC connected to the primary at an ambient 
temperature of 70 [deg]C (158 [deg]F) at 1750 50 
distributor rpm for a duration of 200 hours. After each 50 hour 
interval, run the distributor for 5 minutes with one open-circuit spark 
gap instead of a 12KV gap.
    c. The ignition coil shall perform throughout the test without any 
evidence of coil failure which would result in the loss of the spark in 
the 12 KV spark gap.
    d. Repeat Step 1.c. above. The open-circuit output voltage must be 
at least 90% of that measured in 1.c.

                          J. Primary Resistors

    1. Test Procedures and Criteria.
    a. Configure the circuit shown in Figure 2, using the original 
equipment resistor.
    b. At 20 3 [deg]C (68 5 
[deg]F), apply voltage for 15 minutes; maintain current at 2.5 amps. At 
conclusion of 15 minutes, read voltage and current. Calculate resistance 
using the relationship

R=E/I,

where:
R=Resistance in ohms,
E=Voltage (V) in volts,
I=Current (A) in amps.

    c. Replace OE test sample with part to be certified and repeat step 
b. above.
    d. Resistance of the part shall be within 20% 
of original equipment resistance.
    2. Durability Procedure.
    a. Using the circuit shown in Figure 1, apply current at 70 [deg]C 
(150 [deg]F), for 200 hours.
    b. After 200 hours retest as in step 1.c. above, and verify that 
resistance is within 20% of the value as measured 
in step 1.b. above.

                     K. Distributors--Breaker Point

    1. Test Procedures and Criteria.
    a. Using an appropriate test installation, operate the distributor 
through its intended speed range.
    b. The advance mechanism shall function within the tolerance of the 
vehicle manufacturer's original specification over the speed range of 
the intended application as to vacuum and centrifugal advance.
    c. The advance mechanism shall repeatedly return to the zero setting

0.5 distributor degrees after advancing and 
retarding through the operating range.


[[Page 112]]


    d. The distributor firing angle accuracy shall remain within the 
originally specified tolerances throughout the speed range of the 
intended application.
    e. The distributor shall be capable of maintaining the dwell angle 
of the original equipment specification with 2 
degrees throughout the speed range of the intended application.
    f. The distributor shall be capable of open-circuit output voltage 
(M-3) equal to at leat 90 percent of the voltage produced by the 
original equipment system over the speed range of the intended 
application.
    2. Durability Procedure.
    a. At an ambient temperature of 70 [deg]C (150 [deg]F), operate the 
distributor at 1750 50 rpm for 200 hours.
    b. The distributor must meet the requirements of paragraph 1.b. 
through f. after the 200 hours.

                      L. Reserved for Engine Valves

                        M. Reserved for Camshafts

                         N. Reserved for Pistons

                    O. Oxidizing Catalytic Converters

    1. Test Procedures and Criteria.
    (a) The fresh and aged conversion efficiencies of the replacement 
oxidizing catalytic converter shall be equal to or exceed those of the 
original equipment converter for CO and HC emissions. The fresh and aged 
Light-off Time (LOT) of the replacement converter shall be equal to or 
less than those of the original equipment converter for CO and HC 
emissions. These parameters shall be determined for both fresh and aged 
converters under the same conditions using the following steady state 
feed gas concentrations and conditions for LOT and Conversion Efficiency 
respectively:

------------------------------------------------------------------------
                                                          Conversion
                                          LOT             efficiency
------------------------------------------------------------------------
Exhaust mass flow rate..........  See note (2)......  See note (1).
Total hydrocarbons..............  See note (3)......  See note (3).
Carbon monoxide.................  1.0 to 2.5%.......  1.0 to 2.5%.
Hydrogen........................  0.33x% CO maximum.  0.33x% CO maximum.
Oxygen..........................  1.5x% CO minimum..  1.5x% CO minimum.
Converter inlet gas temperature.  650 [deg]F to 850   650 [deg]F to 850
                                   [deg]F.             [deg]F.
------------------------------------------------------------------------

    Note 1: Not less than peak air flow of the vehicle or engine 
configuration being certified for. If more than one vehicle or engine 
application is to be covered by a generic converter, the greatest peak 
vehicle or engine air flow shall be used.
    Note 2: Between 0.10 and 0.40 times the value determined in Note 1.
    Note 3: 500-2000 parts per million by volume minimum based on 
Methane calibration. If a non-engine simulator gas source is used, a 
mixture ratio of 10% propane to 90% propylene by volume will constitute 
an acceptable synthetic for total exhaust hydrocarbons.

    (i) LOT tests shall be conducted by exposing the converter to a step 
change in temperature, from ambient to that specified above: 650[deg]-
850 [deg]F. Converter inlet and outlet exhaust emissions as measured. 
Light-off Time is then determined by recording the time required for the 
converter to reduce the outlet emissions (HC and CO) to 50% of the inlet 
emissions, on a volumetric concentration basis, measured from the step 
temperature change.
    (ii) Conversion efficiency measurements shall be obtained by passing 
stabilized-feed gas through the converter (at conditions specified 
above) and making simultaneous measurements of inlet and outlet emission 
volume concentrations. The conversion efficiency for CO and HC is then 
calculated.
    (iii) The particular conditions for which LOT and conversion 
efficiency are measured (i.e., exhaust mass flow rate, total 
hydrocarbons, carbon monoxide, hydrogen, oxygen, and converter inlet 
temperature) for the replacement converter and original equipment 
converter tests must not vary from one another by more than 10%.
    (b) Fresh and aged catalytic converters may be obtained by operating 
the converter on individual vehicle or engine application for which it 
is intended on the Federal Test Procedure road durability driving cycle. 
A fresh converter results when the converter has operated between 2000 
and 5000 miles or equivalent hours. An aged converter results when the 
converter has been operated for the warranted life of the original 
equipment converter.
    (c) Where one generic converter is intended to cover multiple 
vehicle or engine configurations, converter aging may be obtained per 
Paragraph (b) above, on a vehicle or engine which represents the 
greatest peak air flow of the group of vehicle configurations to be 
covered, and whose calibration and feed gas concentrations are 
representative of the vehicle or engine configurations being certified 
for.
    2. Other Considerations.
    (a) Replacement converter must fit within the width and length space 
envelope of the original equipment converter. Converter spacing from the 
underbody and for ground clearance must be the same or greater than the 
original equipment converter application.
    (b) Pressure drop measured between inlet and outlet pipe 
interconnecting points on the replacement converter shall be within 
25% of similar measurements for the original 
equipment converter being replaced, when measured at each of three flow 
conditions 50 SCFM, 100 SCFM, and 150 SCFM

[[Page 113]]

with a suitable fluid medium such as air. Maximum allowable exhaust gas 
leakage from the replacement coverter shall be 0.4 cubic feet per minute 
measured at 4.0 pounds per square inch differential. All measurements 
must be normalized to equal density conditions.
    (c) Converter skin temperature shall be measured during the 
converter efficiency test. The skin temperature for the replacement 
converter must equal or be less than that for the original equipment 
converter.

                      P. Air Cleaner Filter Element

    1. Test Procedures and Criteria.
    (a) Using test equipment and procedures specified in SAE-J726c, 
perform:
    (i) Air Flow and Pressure Drop Test (2.3) at 200 SCFM, record test 
conditions and pressure drop.
    (ii) Efficiency Test (2.4) to measure full life efficiency at 200 
SCFM to a total pressure drop of 9 inches of water, record test 
conditions and test duration from first to last addition of standard 
dust, weigh test element and absolute filter at end of test using three 
randomly selected original equipment air filter elements.
    (b) Perform tests as in (a) above, under conditions controlled to 
within 10% of the corresponding original equipment 
test conditions, for three randomly selected replacement air filter 
elements.
    (c) The replacement air filter element average recorded test 
results. The pressure drop in (i) and absolute filter weight in (ii) 
must be equal to or less than those average results for the original 
equipment test results. The replacement air filter averaged test results 
for element weight in (ii) must be equal to or larger than averaged 
result for the original equipment averaged test results.
    2. Durability Procedure.
    (a) After use in the intended vehicle or engine application for the 
recommended service interval, the replacement element shall evidence an 
increase in pressure drop (as measured in 1 (a)(i) above) equal to or 
less than that of the original equipment air filter element tested in 
the identical manner.

[45 FR 78464, Nov. 25, 1980, as amended at 54 FR 32593, Aug. 8, 1989]



       Sec. Appendix II to Subpart V of Part 85--Arbitration Rules

                           Part A--Pre-Hearing

                  Section 1: Initiation of Arbitration

    Either party may commence an arbitration under these rules by filing 
at any regional office of the American Arbitration Association (the AAA) 
three copies of a written submission to arbitrate under these rules, 
signed by either party. It shall contain a statement of the matter in 
dispute, the amount of money involved, the remedy sought, and the 
hearing locale requested, together with the appropriate administrative 
fee as provided in the Administrative Fee Schedule of the AAA in effect 
at the time the arbitration is filed. The filing party shall notify the 
MOD Director in writing within 14 days of when it files for arbitration 
and provide the MOD Director with the date of receipt of the bill by the 
part manufacturer.
    Unless the AAA in its discretion determines otherwise and no party 
disagrees, the Expedited Procedures (as described in Part E of these 
Rules) shall be applied in any case where no disclosed claim or 
counterclaim exceeds $32,500, exclusive of interest and arbitration 
costs. Parties may also agree to the Expedited Procedures in cases 
involving claims in excess of $32,500.
    All other cases, including those involving claims not in excess of 
$32,500 where either party so desires, shall be administered in 
accordance with Parts A through D of these Rules.

                 Section 2: Qualification of Arbitrator

    Any arbitrator appointed pursuant to these Rules shall be neutral, 
subject to disqualification for the reasons specified in Section 6. If 
the parties specifically so agree in writing, the arbitrator shall not 
be subject to disqualification for said reasons.
    The term ``arbitrator'' in these rules refers to the arbitration 
panel, whether composed of one or more arbitrators.

      Section 3: Direct Appointment by Mutual Agreement of Parties

    The involved manufacturers should select a mutually-agreeable 
arbitrator through which they will resolve their dispute. This step 
should be completed within 90 days from the date of receipt of the 
warranty claim bill by the part manufacturer.

                    Section 4: Appointment From Panel

    If the parties have not appointed an arbitrator and have not 
provided any other method of appointment, the arbitrator shall be 
appointed in the following manner: 90 days from the date of receipt of 
the warranty claim bill by the part manufacturer, the AAA shall submit 
simultaneously to each party to the dispute an identical list of names 
of persons chosen from the National Panel of Commercial Arbitrators, 
established and maintained by the AAA.
    Each party to the dispute shall have ten days from the mailing date 
in which to cross off any names objected to, number the remaining names 
in order of preference, and return the list to the AAA. If a party does 
not return the list within the time specified, all persons named therein 
shall be deemed acceptable. From among the persons who

[[Page 114]]

have been approved on both lists, and in accordance with the designated 
order of mutual preference, the AAA shall invite the acceptance of an 
arbitrator to serve. If the parties fail to agree on any of the persons 
named, or if acceptable arbitrators are unable to act, or if for any 
other reason the appointment cannot be made from the submitted lists, 
the AAA shall have the power to make the appointment from among other 
members of the panel without the submission of additional lists.

  Section 5: Number of Arbitrators; Notice to Arbitrator of Appointment

    The dispute shall be heard and determined by one arbitrator, unless 
the AAA in its discretion, directs that a greater number of arbitrators 
be appointed.
    Notice of the appointment of the arbitrator shall be mailed to the 
arbitrator by the AAA, together with a copy of these rules, and the 
signed acceptance of the arbitrator shall be filed with the AAA prior to 
the opening of the first hearing.

              Section 6: Disclosure and Challenge Procedure

    Any person appointed as an arbitrator shall disclose to the AAA any 
circumstance likely to affect impartiality, including any bias or any 
financial or personal interest in the result of the arbitration or any 
past or present relationship with the parties or their representatives. 
Upon receipt of such information from the arbitrator or another source, 
the AAA shall communicate the information to the parties and, if it 
deems it appropriate to do so, to the arbitrator and others. Upon 
objection of a party to the continued service of an arbitrator, the AAA 
shall determine whether the arbitrator should be disqualified and shall 
inform the parties of its decision, which shall be conclusive.

                          Section 7: Vacancies

    If for any reason an arbitrator should be unable to perform the 
duties of the office, the AAA may, on proof satisfactory to it, declare 
the office vacant. Vacancies shall be filled in accordance with the 
applicable provisions of these rules.
    In the event of a vacancy in a panel of arbitrators after the 
hearings have commenced, the remaining arbitrator or arbitrators may 
continue with the hearing and determination of the controversy, unless 
the parties agree otherwise.

           Section 8: Interpretation and Application of Rules

    The arbitrator shall interpret and apply these rules insofar as they 
relate to the arbitrator's powers and duties. When there is more than 
one arbitrator and a difference arises among them concerning the meaning 
or application of these rules, it shall be decided by a majority vote. 
If that is unobtainable, either an arbitrator or a party may refer the 
question to the AAA for final decision. All other rules shall be 
interpreted and applied by the AAA.

      Section 9: Administrative Conference and Preliminary Hearing

    At the request of any party or at the discretion of the AAA, an 
administrative conference with the AAA and the parties and/or their 
representatives will be scheduled in appropriate cases to expedite the 
arbitration proceedings.
    In large or complex cases, at the request of any party or at the 
discretion of the arbitrator or the AAA, a preliminary hearing with the 
parties and/or their representatives and the arbitrator may be scheduled 
by the arbitrator to specify the issues to be resolved, stipulate to 
uncontested facts, and to consider any other matters that will expedite 
the arbitration proceedings. Consistent with the expedited nature of 
arbitration, the arbitrator may, at the preliminary hearing, establish 
(i) the extent of and the schedule for the production of relevant 
documents and other information, (ii) the identification of any 
witnesses to be called, and (iii) a schedule for further hearings to 
resolve the dispute.

                      Section 10: Fixing of Locale

    The parties may mutually agree on the locale where the arbitration 
is to be held. If any party requests that the hearing be held in a 
specific locale and the other party files no objection thereto within 
ten days after notice of the request has been mailed to it by the AAA, 
the locale shall be the one requested. If a party objects to the locale 
requested by the other party, the AAA shall have the power to determine 
the locale and its decision shall be final and binding.

                           Part B--The Hearing

               Section 1: Date, Time, and Place of Hearing

    The arbitrator shall set the date, time, and place for each hearing. 
The AAA shall mail to each party notice thereof at least ten days in 
advance, unless the parties by mutual agreement waive such notice or 
modify the terms thereof.

                        Section 2: Representation

    Any party may be represented by counsel or other authorized 
representative. A party intending to be so represented shall notify the 
other party and the AAA of the name and address of the representative at 
least three days prior to the date set for the hearing at which that 
person is first to appear.

[[Page 115]]

When such a representative initiates an arbitration or responds for a 
party, notice is deemed to have been given.

                    Section 3: Attendance at Hearings

    The arbitrator shall maintain the privacy of the hearings unless the 
law provides to the contrary. Representatives of the MOD director, and 
any persons having a direct interest in the arbitration are entitled to 
attend hearings. The arbitrator shall otherwise have the power to 
require the exclusion of any witness, other than a party or other 
essential person, during the testimony of any other witness. It shall be 
discretionary with the arbitrator to determine the propriety of the 
attendance of any other person.

                            Section 4: Oaths

    Before proceeding with the first hearing, each arbitrator may take 
an oath of office and, if required by law, shall do so. The arbitrator 
may require witnesses to testify under oath administered by any duly 
qualified person and, if it is required by law or requested by any 
party, shall do so.

                      Section 5: Majority Decision

    All decisions of the arbitrators must be by a majority. The award 
must also be made by a majority.

    Section 6: Order of Proceedings and Communication with Arbitrator

    A hearing shall be opened by the filing of the oath of the 
arbitrator, where required; by the recording of the date, time, and 
place of the hearing, and the presence of the arbitrator, the parties 
and their representatives, if any; and by the receipt by the arbitrator 
of the statement of the claim and the answering statement, if any.
    The arbitrator may, at the beginning of the hearing, ask for 
statements clarifying the issues involved. In some cases, part or all of 
the above will have been accomplished at the preliminary hearing 
conducted by the arbitrator pursuant to Part A Section 9 of these Rules.
    The complaining party shall then present evidence to support its 
claim. The defending party shall then present evidence supporting its 
defense. Witnesses for each party shall submit to questions or other 
examination. The arbitrator has the discretion to vary this procedure 
but shall afford a full and equal opportunity to all parties for the 
presentation of any material and relevant evidence.
    Exhibits, when offered by either party, may be received in evidence 
by the arbitrator.
    The names and addresses of all witnesses and a description of the 
exhibits in the order received shall be made a part of the record.
    There shall be no direct communication between the parties and an 
arbitrator other than at oral hearing, unless the parties and the 
arbitrator agree otherwise. Any other oral or written communication from 
the parties to the neutral arbitrator shall be directed to the AAA for 
transmittal to the arbitrator.

                           Section 7: Evidence

    The parties may offer such evidence as is relevant and material to 
the dispute and shall produce such evidence as the arbitrator may deem 
necessary to an understanding and determination of the dispute. An 
arbitrator or other person authorized by law to subpoena witnesses or 
documents may do so upon the request of any party or independently.
    The arbitrator shall be the judge of the relevance and materiality 
of the evidence offered, and conformity to legal rules of evidence shall 
not be necessary. All evidence shall be taken in the presence of all of 
the arbitrators and all of the parties, except where any of the parties 
is absent, in default, or has waived the right to be present.

Section 8: Evidence by Affidavit and Post-hearing Filing of Documents or 
                             Other Evidence

    The arbitrator may receive and consider the evidence of witnesses by 
affidavit, but shall give it only such weight as the arbitrator deems it 
entitled to after consideration of any objection made to its admission.
    If the parties agree or the arbitrator directs that documents or 
other evidence be submitted to the arbitrator after the hearing, the 
documents or other evidence shall be filed with the AAA for transmission 
to the arbitrator. All parties shall be afforded an opportunity to 
examine such documents or other evidence.

                      Section 9: Closing of Hearing

    The arbitrator shall specifically inquire of all parties whether 
they have any further proofs to offer or witnesses to be heard. Upon 
receiving negative replies or if satisfied that the record is complete, 
the arbitrator shall declare the hearing closed and a minute thereof 
shall be recorded. If briefs are to be filed, the hearing shall be 
declared closed as of the final date set by the arbitrator for the 
receipt of briefs. If documents are to be filed as provided for in Part 
B Section 9 and the date set for their receipt is later than that set 
for the receipt of briefs, the later date shall be the date of closing 
the hearing. The time limit within which the arbitrator is required to 
make the award shall commence to run, in the absence of other agreements 
by the parties, upon the closing of the hearing.

[[Page 116]]

                    Section 10: Reopening of Hearing

    The hearing may be reopened on the arbitrator's initiative, or upon 
application of a party, at any time before the award is made. The 
arbitrator may reopen the hearing and shall have 30 days from the 
closing of the reopened hearing within which to make an award.

                   Section 11: Waiver of Oral Hearing

    The parties may provide, by written agreement, for the waiver of 
oral hearings.

                       Section 12: Waiver of Rules

    Any party who proceeds with the arbitration after knowledge that any 
provision or requirement of these rules has not been complied with and 
who fails to state an objection thereto in writing, shall be deemed to 
have waived the right to object.

                     Section 13: Extensions of Time

    The parties may modify any period of time by mutual agreement. The 
AAA or the arbitrator may for good cause extend any period of time 
established by these rules, except the time for making the award. The 
AAA shall notify the parties of any extension.

                      Section 14: Serving of Notice

    Each party shall be deemed to have consented that any papers, 
notices, or process necessary or proper for the initiation or 
continuation of an arbitration under these rules; for any court action 
in connection therewith; or for the entry of judgment on any award made 
under these rules may be served on a party by mail addressed to the 
party or its representative at the last known address or by personal 
service, inside or outside the state where the arbitration is to be 
held, provided that reasonable opportunity to be heard with regard 
thereto has been granted to the party.
    The AAA and the parties may also use facsimile transmission, telex, 
telegram, or other written forms of electronic communication to give the 
notices required by these rules.

                       Part C--Award and Decision

                        Section 1: Time of Award

    The award shall be made promptly by the arbitrator and, unless 
otherwise agreed by the parties or specified by law, no later than 30 
days from the date of closing the hearing, or, if oral hearings have 
been waived, from the date of the AAA's transmittal of the final 
statements and proofs to the arbitrator.

                        Section 2: Form of Award

    The award shall be in writing and shall be signed by the arbitrator, 
or if a panel is utilized, a majority of the arbitrators. It shall be 
accompanied by a written decision which sets forth the reasons for the 
award. Both the award and the decision shall be filed by the arbitrator 
with the MOD Director.

                        Section 3: Scope of Award

    The arbitrator may grant to the vehicle manufacturer any repair 
expenses that he or she deems to be just and equitable.

                    Section 4: Award upon Settlement

    If the parties settle their dispute during the course of the 
arbitration, the arbitrator may set forth the terms of the agreed 
settlement in an award. Such an award is referred to as a consent award. 
The consent award shall be filed by the arbitrator with the MOD 
Director.

                 Section 5: Delivery of Award to Parties

    Parties shall accept as legal delivery of the award, the placing of 
the award, or a true copy thereof in the mail addressed to a party or 
its representative at the last known address, personal service of the 
award, or the filing of the award in any other manner that is permitted 
by law.

        Section 6: Release of Documents for Judicial Proceedings

    The AAA shall, upon the written request of a party, furnish to the 
party, at its expense, certified copies of any papers in the AAA's 
possession that may be required in judicial proceedings relating to the 
arbitration.

                        Part D--Fees and Expenses

                      Section 1: Administrative Fee

    The AAA shall be compensated for the cost of providing 
administrative services according to the AAA Administrative Fee Schedule 
and the AAA Refund Schedule. The Schedules in effect at the time the 
demand for arbitration or submission agreement is received shall be 
applicable.
    The administrative fee shall be advanced by the initiating party or 
parties, subject to final allocation at the end of the case.
    When a claim or counterclaim is withdrawn or settled, the refund 
shall be made in accordance with the Refund Schedule. The AAA may, in 
the event of extreme hardship on the part of any party, defer or reduce 
the administrative fee.

                           Section 2: Expenses

    The loser of the arbitration is liable for all arbitration expenses 
unless determined otherwise by the arbitrator.

[[Page 117]]

                       Section 3: Arbitrator's Fee

    An arrangement for the compensation of an arbitrator shall be made 
through discussions by the parties with the AAA and not directly between 
the parties and the arbitrator. The terms of compensation of arbitrators 
on a panel shall be identical.

                           Section 4: Deposits

    The AAA may require the parties to deposit in advance of any 
hearings such sums of money as it deems necessary to defray the expense 
of the arbitration, including the arbitrator's fee, if any, and shall 
render an accounting to the parties and return any unexpended balance at 
the conclusion of the case.

                      Part E--Expedited Procedures

                     Section 1: Notice by Telephone

    The parties shall accept all notices from the AAA by telephone. Such 
notices by the AAA shall subsequently be confirmed in writing to the 
parties. Should there be a failure to confirm in writing any notice 
hereunder, the proceeding shall nonetheless be valid if notice has, in 
fact, been given by telephone.

         Section 2: Appointment and Qualifications of Arbitrator

    The AAA shall submit simultaneously to each party an identical list 
of five proposed arbitrators drawn from the National Panel of Commercial 
Arbitrators, from which one arbitrator shall be appointed.
    Each party may strike two names from the list on a preemptory basis. 
The list is returnable to the AAA within seven days from the date of the 
AAA's mailing of the list to the parties.
    If for any reason the appointment of an arbitrator cannot be made 
from the list, the AAA may make the appointment from among other members 
of the panel without the submission of additional lists.
    The parties will be given notice by the AAA by telephone of the 
appointment of the arbitrator, who shall be subject to disqualification 
for the reasons specified in Part A, Section 6. The parties shall notify 
the AAA, by telephone, within seven days of any objection to the 
arbitrator appointed. Any objection by a party to the arbitrator shall 
be confirmed in writing to the AAA with a copy to the other party or 
parties.

               Section 3: Date, Time, and Place of Hearing

    The arbitrator shall set the date, time, and place of the hearing. 
The AAA will notify the parties by telephone, at least seven days in 
advance of the hearing date. Formal Notice of Hearing will be sent by 
the AAA to the parties and the MOD Director.

                         Section 4: The Hearing

    Generally, the hearing shall be completed within one day, unless the 
dispute is resolved by the submission of documents. The arbitrator, for 
good cause shown, may schedule an additional hearing to be held within 
seven days.

                        Section 5: Time of Award

    Unless otherwise agreed by the parties, the award shall be rendered 
not later than 14 days from the date of the closing of the hearing.

                    Section 6: Applicability of Rules

    Unless explicitly contradicted by the provisions of this part, 
provisions of other parts of the Rules apply to proceedings conducted 
under this part.

[54 FR 32593, Aug. 8, 1989, as amended at 70 FR 40432, July 13, 2005]



   Subpart W_Emission Control System Performance Warranty Short Tests

    Authority: Secs. 207, 301(a), Clean Air Act as amended (42 U.S.C. 
7541(b) and 7601(a)).



Sec. 85.2201  Applicability.

    (a) This subpart contains the short tests and standards to be 
employed in conjunction with the Emissions Performance Warranty, subpart 
V.
    (b) Calendar and model year limitations. Certain test procedures 
contained in this subpart are subject to calendar and model year 
limitations. Otherwise, unless specifically indicated, the provisions of 
this subpart may be used to establish warranty eligibility for any 1981 
and later model year light-duty vehicle and light-duty truck when tested 
during its useful life as prescribed under the Emissions Performance 
Warranty, in subpart V of this part.
    (c) Special recommendations for Ford Motor Company and Honda Prelude 
vehicles. Due to unique emission control systems, 1981 through 1987 
model year vehicles manufactured by Ford Motor Company and 1984 through 
1985 model year Honda Preludes must be tested with procedures that 
either incorporate a special engine restart feature or utilize a 
dynamometer to simulate a road load. The Agency has included short tests 
with the special engine restart feature in this subpart even

[[Page 118]]

though these vehicles are no longer eligible for the Emissions 
Performance Warranty, to ensure they are properly tested by state or 
other I/M authorities. Short tests incorporating the restart feature are 
the Engine restart 2500 rpm/Idle test--EPA 81 (Sec. 85.2210), Engine 
restart idle test--EPA 81 (Sec. 85.2211), Idle test--EPA 91 (Sec. 
85.2213), Two speed idle test--EPA 91 (Sec. 85.2215), Preconditioned 
idle test--EPA 91 (Sec. 85.2218), Idle test with loaded 
preconditioning--EPA 91 (Sec. 85.2219), and Preconditioned two speed 
idle test--EPA 91 (Sec. 85.2220). Short tests utilizing a dynamometer 
are the Loaded test--EPA 81 (Sec. 85.2216) and Loaded test--EPA 91 
(Sec. 85.2217). This recommendation does not apply to tests conducted 
at altitudes above 4000 feet. Any of the short test procedures may be 
used for other vehicles which are similarly no longer eligible for 
performance warranty coverage.

[49 FR 24323, June 12, 1984, as amended at 58 FR 58400, Nov. 1, 1993]



Sec. 85.2202  General provisions.

    The definitions and abbreviations in subpart A of part 86 of this 
chapter apply to this subpart.

[49 FR 24323, June 12, 1984]



Sec. 85.2203  Short test standards for 1981 and later model year light-duty vehicles.

    (a) For light-duty vehicles for which the test procedures described 
in Sec. 85.2209, Sec. 85.2210, Sec. 85.2211, Sec. 85.2212, Sec. 
85.2214, or Sec. 85.2216 are used to establish Emissions Performance 
Warranty eligibility (that is, 1981 and later model year light-duty 
vehicles at low altitude and 1982 and later model year vehicles at high 
altitude to which high altitude certification standards of 1.5 g/mile HC 
and 15 g/mile CO or less apply), short test emissions for all tests and 
test modes may not exceed the standards listed in paragraphs (a)(1) and 
(2) of this section.
    (1) Hydrocarbons: 220 ppm as hexane.
    (2) Carbon monoxide: 1.2%.
    (b) For light-duty vehicles for which the test procedure described 
in Sec. 85.2214 is used to establish Emissions Performance Warranty 
eligibility (that is, 1981 and later model year light-duty vehicles at 
low altitude and 1982 and later model year vehicles at high altitude to 
which high altitude certification standards of 1.5 g/mile HC and 15 g/
mile CO or less apply), the lowest readings from the two idle modes must 
be used to determine compliance. Short test emissions may not exceed the 
standards listed in paragraphs (b)(1) and (2) of this section.
    (1) Hydrocarbons: 200 ppm as hexane.
    (2) Carbon monoxide: 1.0%.
    (c) For gasoline-fueled light-duty vehicles for which any of the 
test procedures described in Sec. 85.2213, Sec. 85.2215, Sec. 
85.2217, Sec. 85.2218, Sec. 85.2219, or Sec. 85.2220 are utilized to 
establish Emissions Performance Warranty eligibility (that is, 1981 and 
later model year light-duty vehicles at low altitude and 1982 and later 
model year vehicles at high altitude to which high altitude 
certification standards of 1.5 g/mile HC and 15 g/mile CO or less 
apply), short test emissions for all tests and test modes may not exceed 
the standards listed in paragraphs (c)(1) and (2) of this section.
    (1) Hydrocarbons: 220 ppm as hexane.
    (2) Carbon monoxide: 1.2%.

[58 FR 58401, Nov. 1, 1993]



Sec. 85.2204  Short test standards for 1981 and later model year light-duty trucks.

    (a) For light-duty trucks for which the test procedures described in 
Sec. 85.2209, Sec. 85.2210, Sec. 85.2211, Sec. 85.2212, Sec. 
85.2214, or Sec. 85.2216 are used to establish Emissions Performance 
Warranty eligibility (that is, 1981 and later model year light-duty 
trucks at low altitude and 1982 and later model year trucks at high 
altitude to which high altitude certification standards of 2.0 g/mile HC 
and 26 g/mile CO or less apply), short test emissions may not exceed the 
standards listed in paragraphs (a)(1) and (2) of this section.
    (1) Hydrocarbons: 220 ppm as hexane.
    (2) Carbon monoxide: 1.2%.
    (b) For light-duty trucks for which the test procedure described in 
Sec. 85.2214 is used to establish Emissions Performance Warranty 
eligibility (that is, 1981 and later model year light-duty trucks at low 
altitude and 1982 and later model year trucks at high altitude to which 
high altitude certification standards of 2.0 g/mile HC and 26 g/mile CO

[[Page 119]]

or less apply), the lowest readings from the two idle modes must be used 
to determine compliance. Short test emissions may not exceed the 
standards listed in paragraphs (b)(1) and (2) of this section.
    (1) Hydrocarbons: 200 ppm as hexane.
    (2) Carbon monoxide: 1.0%.
    (c) For 1981 and later model year gasoline-fueled light-duty trucks 
for which any of the test procedures described in Sec. 85.2213, Sec. 
85.2215, Sec. 85.2217, Sec. 85.2218, Sec. 85.2219, or Sec. 85.2220 
are utilized to establish Emissions Performance Warranty eligibility 
(that is, 1981 and later model year light-duty trucks at low altitude 
and 1982 and later model year trucks at high altitude to which high 
altitude certification standards of 2.0 g/mile HC and 26 g/mile CO or 
less apply), short test emissions for all tests and test modes may not 
exceed the standards listed in paragraphs (c)(1) and (2) of this 
section.
    (1) Hydrocarbons: 220 ppm as hexane.
    (2) Carbon monoxide: 1.2%.

[58 FR 58401, Nov. 1, 1993]



Sec. Sec. 85.2205-85.2206  [Reserved]



Sec. 85.2207  On-board diagnostics test standards.

    (a) [Reserved]
    (b) A vehicle shall fail the on-board diagnostics test if it is a 
1996 or newer vehicle and the vehicle connector is missing, has been 
tampered with, or is otherwise inoperable.
    (c) A vehicle shall fail the on-board diagnostics test if the 
malfunction indicator light is commanded to be illuminated and it is not 
visually illuminated according to visual inspection.
    (d) A vehicle shall fail the on-board diagnostics test if the 
malfunction indicator light is commanded to be illuminated for one or 
more OBD diagnostic trouble codes (DTCs), as defined by SAE J2012. The 
procedure shall be done in accordance with SAE J2012 Diagnostic Trouble 
Code Definitions, (MAR92). 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 of SAE J2012 may be obtained from the 
Society of Automotive Engineers, Inc., 400 Commonwealth Drive, 
Warrendale, PA 15096-0001. Copies may be inspected at the EPA Docket No. 
A-94-21 at EPA's Air Docket, (LE-131) Room 1500 M, 1st Floor, Waterside 
Mall, 401 M Street SW, Washington, DC, or at the National Archives and 
Records Administration (NARA). For information on the availability of 
this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html.
    (e) [Reserved]

[61 FR 40946, Aug. 6, 1996, as amended at 63 FR 24433, May 4, 1998; 66 
FR 18178, Apr. 5, 2001]



Sec. 85.2208  Alternative standards and procedures.

    (a)(1) As a part of the certification process, as set forth in 40 
CFR part 86, subparts A and S, a manufacturer may request an alternative 
short test standard or short test procedure for any vehicle or engine 
for which the standards or procedures specified in this subpart are not 
appropriate. The requestor shall supply relevant test data and technical 
support to substantiate the claim and shall also recommend alternative 
test procedures and/or standards for the Administrator's consideration. 
Upon an acceptable showing that the general standards or procedures are 
not appropriate, the Administrator shall set alternative standards or 
procedures through rulemaking. The administrative provisions of the 
certification process (see 40 CFR part 86, subparts A and S), apply to 
such a request for alternative standards or procedures.
    (2) Any such alternative standards or test procedures must be 
specified on the emission control information label to be effective for 
that particular vehicle or engine. The Administrator may waive this 
requirement if it is determined that a given model year of production 
for which an alternative test procedure is promulgated is too far 
advanced at the time of promulgation to make such a requirement 
practical.
    (3) Alternative test procedures may be approved if the Administrator 
finds that:
    (i) Such procedures are in accordance with good engineering 
practice, including errors of commission (at cutpoints corresponding to 
equivalent emission

[[Page 120]]

reductions) no higher than the tests they would replace;
    (ii) Such procedures show a correlation with the Federal Test 
Procedure (with respect to their ability to detect high emitting 
vehicles and ensure their effective repair) equal to or better than the 
tests they would replace; and
    (iii) Such procedures would produce equivalent emission reductions 
in combination with other program elements.
    (b) A State or other I/M authority conducting or supervising tests 
under this subpart may request to use quality control procedures which 
are different than those in Sec. 85.2217. After an appropriate 
opportunity for public comment, the Administrator may approve the 
requested procedures provided the requested procedures are equivalent to 
those in Sec. 85.2217. The requestor shall supply relevant test data 
and technical support to substantiate the claim that the procedures are 
equivalent to the specifications described in Sec. 85.2217. Following a 
preliminary determination by the Administrator that an alternative 
procedure is equvalent, a Federal Register notice will be published 
announcing the request and explaining EPA's preliminary determination. 
All information relevant to the preliminary determination will be made 
available for comment in the public docket. Interested parties will be 
given 30 days to submit comments, and if EPA concludes that the 
preliminary determination was not in error, a final Federal Register 
notice will be published granting the State permission to use the 
alternative procedure.
    (c)(1) A state or other I/M authority conducting or supervising 
tests under this subpart may request to use alternative short test 
standards or procedures. The requester must supply relevant test data 
and technical support to substantiate the claim and must also recommend 
alternative standards or test procedures for the Administrator's 
consideration. If the Administrator determines that the alternative 
standards or procedures satisfy the provisions of the Clean Air Act, 42 
U.S.C. 7541 paragraphs (b)(i), (b)(ii), and (b)(iii) of this section, 
the Administrator will set alternative standards or procedures through 
rulemaking.
    (2) Alternative test procedures may be approved if the Administrator 
finds that:
    (i) Such procedures are in accordance with good engineering 
practice, including errors of commission (at cutpoints corresponding to 
equivalent emission reductions) no higher than the tests they would 
replace;
    (ii) Such procedures show a correlation with the Federal Test 
Procedure (with respect to their ability to detect high emitting 
vehicles and ensure their effective repair) equal to or better than the 
tests they would replace; and
    (iii) Such procedures would produce equivalent emission reductions 
in combination with other program elements.

[49 FR 24323, June 12, 1984, as amended at 58 FR 58401, Nov. 1, 1993; 64 
FR 23920, May 4, 1999]



Sec. 85.2209  2500 rpm/idle test--EPA 81.

    (a)(1) General calendar year applicability. The test procedure 
described in this section may be used to establish Emissions Performance 
Warranty eligibility through December 31, 1993, except as allowed in 
paragraph (a)(2) of this section.
    (2) Special calendar and model year applicability. (i) The extended 
applicability described in paragraphs (a)(2) (ii) through (iv) of this 
section is restricted to 1995 and earlier model year vehicles or 
engines.
    (ii) In a state for which the Administrator has approved a State 
Implementation Plan revision providing for the implementation of a basic 
decentralized program meeting the requirements of part 51, subpart S of 
this chapter, according to the schedule specified in Sec. 51.373 of 
this chapter, the test procedure described in this section may be used 
to establish Emissions Performance Warranty eligibility through December 
31, 1993.
    (iii) In a state for which the Administrator has approved a State 
Implementation Plan revision providing for the implementation of a basic 
centralized program meeting the requirements of part 51, subpart S of 
this chapter, according to the schedule specified in Sec. 51.373 of 
this chapter, the test procedure described in this section may be

[[Page 121]]

used to establish Emissions Performance Warranty eligibility through 
June 30, 1994.
    (iv) In a state for which the Administrator has approved a State 
Implementation Plan revision providing for the implementation of an 
enhanced program meeting the requirements of part 51, subpart S of this 
chapter, according to the schedule specified in Sec. 51.373 of this 
chapter, the test procedure described in this section may be used to 
establish Emissions Performance Warranty eligibility through December 
31, 1995.
    (b) General requirements. Vehicles shall be tested in as-received 
condition. Engines shall be at normal operating temperature and not 
overheating (as indicated by gauge, warning light or boiling radiator) 
with all accessories off.
    (c) Test sequence. (1) Analyzers shall be warmed-up, in stabilized 
operating condition and adjusted as required in Sec. 85.2217.
    (2) Attach tachometer pick up.
    (3) With engine idling and transmission in neutral, the sample probe 
shall be inserted into the tailpipe.
    (4) The engine speed shall be increased to 2500 300 rpm, with transmission in neutral. Record exhaust 
concentrations after stabilized readings are obtained or at the end of 
30 seconds, whichever occurs first. This process shall be repeated as 
necessary for multiple exhaust pipes, or hardware which is capable of 
simultaneously sampling multiple tailpipes may be used. However, if this 
hardware is not used, exhaust concentrations from each pipe shall be 
measured within the 30 second period if stable readings can be obtained 
from both pipes before the 30 seconds have elapsed. If this is not 
possible, the procedures shall be conducted through step (5) for the 
first pipe and then the entire procedure beginning from step (3) shall 
be repeated for the second pipe. Neither multiple readings nor 
simultaneous sampling hardware is necessary for exhaust systems in which 
the exhaust pipes originate from a common point.
    (5) The engine speed shall be reduced to free idle with transmission 
in neutral. Record exhaust concentrations after stabilized readings are 
obtained or at the end of 30 seconds, whichever occurs first. Repeat as 
specified in paragraph (b)(4) of this section for multiple exhaust 
pipes, unless hardware capable of simultaneous sampling of multiple 
exhaust pipes is used.
    (6) For vehicles with multiple exhaust pipes, the separate results 
from each pipe for each mode (as specified in paragraphs (c)(4) and (5) 
of this section) must be numerically averaged for each pollutant, unless 
hardware which is capable of simultaneously sampling multiple exhaust 
pipes has been used.
    (7) Exhaust concentration measurements from both the idle mode and 
the high speed mode are required.

[49 FR 24323, June 12, 1984, as amended at 58 FR 58402, Nov. 1, 1993]



Sec. 85.2210  Engine restart 2500 rpm/idle test--EPA 81.

    (a)(1) General calendar year applicability. The test procedure 
described in this section may be used to establish Emissions Performance 
Warranty eligibility through December 31, 1993, except as allowed in 
paragraph (a)(2) of this section.
    (2) Special calendar and model year applicability. (i) The extended 
applicability described in paragraphs (a)(2) (ii) through (iv) of this 
section is restricted to 1995 and earlier model year vehicles or 
engines.
    (ii) In a state for which the Administrator has approved a State 
Implementation Plan revision providing for the implementation of a basic 
decentralized program meeting the requirements of part 51, subpart S of 
this chapter, according to the schedule specified in Sec. 51.373 of 
this chapter, the test procedure described in this section may be used 
to establish Emissions Performance Warranty eligibility through December 
31, 1993.
    (iii) In a state for which the Administrator has approved a State 
Implementation Plan revision providing for the implementation of a basic 
centralized program meeting the requirements of part 51, subpart S of 
this chapter, according to the schedule specified in Sec. 51.373 of 
this chapter, the test procedure described in this section may be used 
to establish Emissions Performance Warranty eligibility through June 30, 
1994.

[[Page 122]]

    (iv) In a state for which the Administrator has approved a State 
Implementation Plan revision providing for the implementation of an 
enhanced program meeting the requirements of part 51, subpart S of this 
chapter, according to the schedule specified in Sec. 51.373 of this 
chapter, the test procedure described in this section may be used to 
establish Emissions Performance Warranty eligibility through December 
31, 1995.
    (b) General requirements. Vehicles shall be tested in as-received 
condition. Engines shall be at normal operating temperature and not 
overheating (as indicated by gauge, warning light or boiling radiator) 
with all accessories off.
    (c) Test sequence. (1) Analyzers shall be warmed-up, in stabilized 
operating condition and adjusted as required in Sec. 85.2217.
    (2) Attach tachometer pick up.
    (3) The engine shall be turned off and then restarted.
    (4) With engine idling and transmission in neutral, the sample probe 
shall be inserted into the tailpipe.
    (5) The engine speed shall be increased to 2500 300 rpm, with the transmission in neutral. Record 
exhaust concentrations after stabilized readings are obtained or at the 
end of 30 seconds, whichever occurs first. This process shall be 
repeated as necessary for multiple exhaust pipes, or hardware which is 
capable of simultaneously sampling vehicles with multiple tailpipes may 
be used. However, if this hardware is not used, exhaust concentrations 
from each pipe shall be measured within the 30 second period if stable 
readings can be obtained from both pipes before the 30 seconds have 
elapsed. If this is not possible, the procedure shall be conducted 
through step (6) for the first pipe and then the entire procedure 
beginning from step (3) shall be repeated for the second pipe. Neither 
multiple readings nor simultaneous sampling hardware is necessary for 
exhaust pipes originating from a common point.
    (6) The engine speed shall be reduced to free idle with transmission 
in neutral. Record exhaust concentrations after stabilized readings are 
obtained or at the end of 30 seconds, whichever occurs first. This 
process shall be repeated as necessary for multiple exhaust pipes, or 
hardware which is capable of simultaneously sampling vehicles with 
multiple tailpipes may be used. However, if this hardware is not used, 
exhaust concentrations from both pipes shall be measured in this step 
(6) within the 30 second period if stable readings can be obtained 
before the 30 seconds have elasped. If this is not possible, the entire 
procedure beginning from step (3) shall be repeated for the second pipe. 
For vehicles with multiple exhaust pipes only one of which was measured 
in step (5) before the 30 seconds at 2500 300 rmp 
had elapsed, the entire procedure beginning from step (3) shall be 
repeated for the second pipe after this step (6) is completed for the 
first pipe. Neither multiple readings nor simultaneous sampling hardware 
is necessary for exhaust pipes originating from a common point.
    (7) For vehicles with multiple exhaust pipes, the separate results 
from each pipe for each mode (as specified in paragraphs (c) (5) and (6) 
of this section) must be numerically averaged for each pollutant, unless 
hardware which is capable of simultaneously sampling multiple exhaust 
pipes has been used.
    (8) Exhaust concentration measurements from both the idle mode and 
the high speed mode are required.

[49 FR 24323, June 12, 1984, as amended at 58 FR 58402, Nov. 1, 1993]



Sec. 85.2211  Engine restart idle test--EPA 81.

    (a)(1) General calendar year applicability. The test procedure 
described in this section may be used to establish Emissions Performance 
Warranty eligibility through December 31, 1993, except as allowed in 
paragraph (a)(2) of this section.
    (2) Special calendar and model year applicability. (i) The extended 
applicability described in paragraphs (a)(2) (ii) through (iv) of this 
section is restricted to 1995 and earlier model year vehicles or 
engines.
    (ii) In a state for which the Administrator has approved a State 
Implementation Plan revision providing for the implementation of a basic 
decentralized program meeting the requirements

[[Page 123]]

of part 51, subpart S of this chapter, according to the schedule 
specified in Sec. 51.373 of this chapter, the test procedure described 
in this section may be used to establish Emissions Performance Warranty 
eligibility through December 31, 1993.
    (iii) In a state for which the Administrator has approved a State 
Implementation Plan revision providing for the implementation of a basic 
centralized program meeting the requirements of part 51, subpart S of 
this chapter, according to the schedule specified in Sec. 51.373 of 
this chapter, the test procedure described in this section may be used 
to establish Emissions Performance Warranty eligibility through June 30, 
1994.
    (iv) In a state for which the Administrator has approved a State 
Implementation Plan revision providing for the implementation of an 
enhanced program meeting the requirements of part 51, subpart S of this 
chapter, according to the schedule specified in Sec. 51.373 of this 
chapter, the test procedure described in this section may be used to 
establish Emissions Performance Warranty eligibility through December 
31, 1995.
    (b) General requirements. Vehicles shall be tested in as-received 
condition. Engines shall be at normal operating temperature and not 
overheating (as indicated by gauge, warning light or boiling radiator) 
with all accessories off.
    (c) Test sequence. (1) Analyzers shall be warmed-up, in stabilized 
operation condition and adjusted as required in Sec. 85.2217.
    (2) Attach tachometer pick up.
    (3) The engine shall be turned off and then restarted.
    (4) With engine idling and transmission in neutral, the sample probe 
shall be inserted into the tailpipe.
    (5) The engine speed shall be increased to 2500 rpm 300 rpm, with transmission in neutral, for 30 seconds.
    (6) The engine speed shall be reduced to free idle with transmission 
in neutral. Record exhaust concentrations after stabilized readings are 
obtained or at the end of 30 seconds, whichever occurs first. This 
process shall be repeated as necessary for multiple exhaust pipes, or 
hardware which is capable of simultaneously sampling vehicles with 
multiple tailpipes may be used. However, if this type of hardware is not 
used, exhaust concentrations from each pipe shall be measured within the 
30 second period if stable readings can be obtained from both pipes 
before the 30 seconds have elapsed. If this is not possible, the entire 
procedure beginning from step (3) shall be repeated for the second pipe. 
Neither multiple readings nor simultaneous sampling hardware is 
necessary for exhaust systems in which the exhaust pipes originate from 
a common point.
    (7) Multiple readings from multiple exhaust pipes shall be 
numerically averaged, if taken.

[49 FR 24323, June 12, 1984, as amended at 58 FR 58402, Nov. 1, 1993]



Sec. 85.2212  Idle test--EPA 81.

    (a)(1) General calendar year applicability. The test procedure 
described in this section may be used to establish Emissions Performance 
Warranty eligibility through December 31, 1993, except as allowed in 
paragraph (a)(2) of this section.
    (2) Special calendar and model year applicability. (i) The extended 
applicability described in paragraphs (a)(2) (ii) through (iv) of this 
section is restricted to 1995 and earlier model year vehicles or 
engines.
    (ii) In a state for which the Administrator has approved a State 
Implementation Plan revision providing for the implementation of a basic 
decentralized program meeting the requirements of part 51, subpart S of 
this chapter, according to the schedule specified in Sec. 51.373 of 
this chapter, the test procedure described in this section may be used 
to establish Emissions Performance Warranty eligibility through December 
31, 1993.
    (iii) In a state for which the Administrator has approved a State 
Implementation Plan revision providing for the implementation of a basic 
centralized program meeting the requirements of part 51, subpart S of 
this chapter, according to the schedule specified in Sec. 51.373 of 
this chapter, the test procedure described in this section may be used 
to establish Emissions Performance Warranty eligibility through June 30, 
1994.

[[Page 124]]

    (iv) In a state for which the Administrator has approved a State 
Implementation Plan revision providing for the implementation of an 
enhanced program meeting the requirements of part 51, subpart S of this 
chapter, according to the schedule specified in Sec. 51.373 of this 
chapter, the test procedure described in this section may be used to 
establish Emissions Performance Warranty eligibility through December 
31, 1995.
    (b) General requirements. Vehicles shall be tested in as-received 
condition. Engines shall be at normal operating temperature and not 
overheating (as indicated by gauge, warning light or boiling radiator) 
with all accessories off.
    (c) Test sequence. (1) Analyzers shall be warmed-up, in stabilized 
operating condition and adjusted as required in Sec. 85.2217.
    (2) Optional: The engine may be preconditioned by operating it at 
2500 300 rpm for up to 30 seconds.
    (3) With engine idling and transmission in neutral, the sample probe 
shall be inserted into the tailpipe. Record exhaust concentrations after 
stabilized readings are obtained or at the end of 30 seconds, whichever 
occurs first. This process shall be repeated as necessary for multiple 
exhaust pipes, or hardware which is capable of simultaneously sampling 
vehicles with multiple tailpipes may be used. Neither multiple readings 
nor simultaneous sampling hardware is necessary for exhaust systems in 
which the exhaust pipes originate from a common point.
    (4) Multiple readings from multiple exhaust pipes shall be 
numerically averaged, if taken.

[49 FR 24323, June 12, 1984, as amended at 58 FR 58403, Nov. 1, 1993]



Sec. 85.2213  Idle test--EPA 91.

    (a) General requirements--(1) Exhaust gas sampling algorithm. The 
analysis of exhaust gas concentrations must begin ten seconds after the 
applicable test mode begins. Exhaust gas concentrations must be analyzed 
at a minimum rate of once every 0.75 second. The measured value for 
pass/fail determinations is a simple running average of the measurements 
taken over five seconds.
    (2) Pass/fail determination. A pass or fail determination is made 
for each applicable test mode based on a comparison of the short test 
standards contained in Sec. Sec. 85.2203 and 85.2204, and the measured 
value for HC and CO as described in paragraph (a)(1) of this section. A 
vehicle passes the test mode if any pair of simultaneous measured values 
for HC and CO are below or equal to the applicable short test standards. 
A vehicle fails the test mode if the values for either HC or CO, or 
both, in all simultaneous pairs of values are above the applicable 
standards.
    (3) Void test conditions. The test immediately terminates and any 
exhaust gas measurements are voided if the measured concentration of CO 
plus CO2 falls below six percent or the vehicle's engine 
stalls at any time during the test sequence.
    (4) Multiple exhaust pipes. Exhaust gas concentrations from vehicle 
engines equipped with multiple exhaust pipes must be sampled 
simultaneously.
    (5) The test is immediately terminated upon reaching the overall 
maximum test time.
    (b) Test sequence. (1) The test sequence consists of a first-chance 
test and a second-chance test as described in paragraphs (b)(1) (i) and 
(ii) of this section.
    (i) The first-chance test, as described under paragraph (c) of this 
section, consists of an idle mode.
    (ii) The second-chance test as described under paragraph (d) of this 
section is performed only if the vehicle fails the first-chance test.
    (2) The test sequence begins only after the requirements listed in 
paragraphs (b)(2) (i) through (iv) of this section are met.
    (i) The vehicle is tested in as-received condition with the 
transmission in neutral or park and all accessories turned off. The 
engine must be at normal operating temperature (as indicated by a 
temperature gauge, temperature lamp, touch test on the radiator hose, or 
other visual observation indicating that overheating has not occurred).
    (ii) For all pre-1996 model year vehicles, a tachometer shall be 
attached to the vehicle in accordance with the analyzer manufacturer's 
instructions. For

[[Page 125]]

1996 and newer model year vehicles the OBD data link connector will be 
used to monitor RPM. In the event that an OBD data link connector is not 
available or that an RPM signal is not available over the data link 
connector, a tachometer shall be used instead.
    (iii) The sample probe is inserted into the vehicle's tailpipe to a 
minimum depth of 10 inches. If the vehicle's exhaust system prevents 
insertion to this depth, a tailpipe extension must be used.
    (iv) The measured concentration of CO plus CO2 must be 
greater than or equal to six percent.
    (c) First-chance test. The test timer starts (tt=0) when the 
conditions specified in paragraph (b)(2) of this section are met. The 
overall maximum test time for the first-chance test is 145 seconds 
(tt=145). The first-chance test consists of an idle mode only.
    (1) The mode timer starts (mt=0) when the vehicle engine speed is 
between 350 and 1100 rpm. If engine speed exceeds 1100 rpm or falls 
below 350 rpm, the mode timer resets to zero and resumes timing. The 
minimum mode length is determined as described under paragraph (c)(2) of 
this section. The maximum mode length is 90 seconds elapsed time 
(mt=90).
    (2) The pass/fail analysis begins after an elapsed time of ten 
seconds (mt=10). A pass or fail determination is made for the vehicle 
and the mode is terminated in accordance with paragraphs (c)(2) (i) 
through (v) of this section.
    (i) The vehicle passes the idle mode and the test is immediately 
terminated if, prior to an elapsed time of 30 seconds (mt=30), measured 
values are less than or equal to 100 ppm HC and 0.5 percent CO.
    (ii) The vehicle passes the idle mode and the test terminates at the 
end of an elapsed time of 30 seconds (mt=30), if prior to that time the 
criteria of paragraph (c)(2)(i) of this section are not satisfied and 
the measured values are less than or equal to the applicable short test 
standards as determined by the procedure described in paragraph (a)(2) 
of this section.
    (iii) The vehicle passes the idle mode and the test is immediately 
terminated if, at any point between an elapsed time of 30 seconds 
(mt=30) and 90 seconds (mt=90), the measured values are less than or 
equal to the applicable short test standards as determined by the 
procedure described in paragraph (a)(2) of this section.
    (iv) The vehicle fails the idle mode and the test is terminated if 
none of the provisions of paragraphs (c)(2) (i), (ii), and (iii) of this 
section is satisfied by an elapsed time of 90 seconds (mt=90). 
Alternatively, the vehicle may be failed if the provisions of paragraphs 
(c)(2) (i) and (ii) of this section are not met within an elapsed time 
of 30 seconds.
    (v) Optional. The vehicle may fail the first-chance test and the 
second-chance test may be omitted if no exhaust gas concentration lower 
than 1800 ppm HC is found by an elapsed time of 30 seconds (mt=30).
    (d) Second-chance test. If the vehicle fails the first-chance test, 
the test timer resets to zero (tt=0) and a second-chance test is 
performed. The overall maximum test time for the second-chance test is 
425 seconds (tt=425). The test consists of a preconditioning mode 
followed immediately by an idle mode.
    (1) Preconditioning mode. The mode timer starts (mt=0) when the 
engine speed is between 2200 and 2800 rpm. The mode continues for an 
elapsed time of 180 seconds (mt=180). If engine speed falls below 2200 
rpm or exceeds 2800 rpm for more than five seconds in any one excursion, 
or 15 seconds over all excursions, the mode timer resets to zero and 
resumes timing.
    (2) Idle mode--(i) Ford Motor Company and Honda vehicles. The 
engines of 1981-1987 model year Ford Motor Company vehicles and 1984-
1985 model year Honda Preludes must be shut off for not more than ten 
seconds and restarted. This procedure may also be used for 1988-1989 
model year Ford Motor Company vehicles but may not be used for other 
vehicles. The probe may be removed from the tailpipe or the sample pump 
turned off if necessary to reduce analyzer fouling during the restart 
procedure.
    (ii) The mode timer starts (mt=0) when the vehicle engine speed is 
between 350 and 1100 rpm. If engine speed exceeds 1100 rpm or falls 
below 350 rpm, the mode timer resets to zero and resumes timing. The 
minimum idle mode

[[Page 126]]

length is determined as described in paragraph (d)(2)(iii) of this 
section. The maximum idle mode length is 90 seconds elapsed time 
(mt=90).
    (iii) The pass/fail analysis begins after an elapsed time of ten 
seconds (mt=10). A pass or fail determination is made for the vehicle 
and the idle mode is terminated in accordance with paragraphs 
(d)(2)(iii) (A) through (D) of this section.
    (A) The vehicle passes the idle mode and the test is immediately 
terminated if, prior to an elapsed time of 30 seconds (mt=30), measured 
values are less than or equal to 100 ppm HC and 0.5 percent CO.
    (B) The vehicle passes the idle mode and the test is terminated at 
the end of an elapsed time of 30 seconds (mt=30), if prior to that time 
the criteria of paragraph (d)(2)(iii)(A) of this section are not 
satisfied and the measured values are less than or equal to the 
applicable short test standards as determined by the procedure described 
in paragraph (a)(2) of this section.
    (C) The vehicle passes the idle mode and the test is immediately 
terminated if, at any point between an elapsed time of 30 seconds 
(mt=30) and 90 seconds (mt=90), measured values are less than or equal 
to the applicable short test standards described in paragraph (a)(2) of 
this section.
    (D) The vehicle fails the idle mode and the test is terminated if 
none of the provisions of paragraphs (d)(2)(iii) (A), (B), and (C) of 
this section is satisfied by an elapsed time of 90 seconds (mt=90).

[58 FR 58403, Nov. 1, 1993, as amended at 61 FR 40947, Aug. 6, 1996]



Sec. 85.2214  Two speed idle test--EPA 81.

    (a)(1) General calendar year applicability. The test procedure 
described in this section may be used to establish Emissions Performance 
Warranty eligibility through December 31, 1993, except as allowed in 
paragraph (a)(2) of this section.
    (2) Special calendar and model year applicability. (i) The extended 
applicability described in paragraphs (a)(2) (ii) through (iv) of this 
section is restricted to 1995 and earlier model year vehicles or 
engines.
    (ii) In a state for which the Administrator has approved a State 
Implementation Plan revision providing for the implementation of a basic 
decentralized program meeting the requirements of part 51, subpart S of 
this chapter, according to the schedule specified in Sec. 51.373 of 
this chapter, the test procedure described in this section may be used 
to establish Emissions Performance Warranty eligibility through December 
31, 1993.
    (iii) In a state for which the Administrator has approved a State 
Implementation Plan revision providing for the implementation of a basic 
centralized program meeting the requirements of part 51, subpart S of 
this chapter, according to the schedule specified in Sec. 51.373 of 
this chapter, the test procedure described in this section may be used 
to establish Emissions Performance Warranty eligibility through June 30, 
1994.
    (iv) In a state for which the Administrator has approved a State 
Implementation Plan revision providing for the implementation of an 
enhanced program meeting the requirements of part 51, subpart S of this 
chapter, according to the schedule specified in Sec. 51.373 of this 
chapter, the test procedure described in this section may be used to 
establish Emissions Performance Warranty eligibility through December 
31, 1995.
    (b) General requirements. Vehicles shall be tested in as-received 
condition. Engines shall be at normal operating temperature and not 
overheating (as indicated by gauge, warning light or boiling radiator) 
with all accessories off.
    (c) Test sequence. (1) Analyzers shall be warmed-up, in stabilized 
operating condition and adjusted as required in Sec. 85.2217.
    (2) Attach tachometer pick up.
    (3) With engine idling and transmission in neutral, the sample probe 
shall be inserted into the tailpipe. Record exhaust concentrations after 
stabilized readings are obtained or at the end of 30 seconds, whichever 
occurs first. This process shall be repeated as necessary for multiple 
exhaust pipes, or hardware which is capable of simultaneously sampling 
vehicles with multiple tailpipes may be used. Neither

[[Page 127]]

multiple readings nor simultaneous sampling hardware is necessary for 
exhaust systems in which the exhaust pipes originate from a common 
point.
    (4) The engine speed is increased to 2500 300 
rpm, with transmission in neutral. Record exhaust concentrations after 
stabilized readings are obtained or at the end of 30 seconds, whichever 
occurs first. Repeat as specified in paragraph (c)(3) of this section 
for multiple exhaust pipes, if necessary.
    (5) The engine speed is reduced to free idle with transmission in 
neutral. Record exhaust concentrations after stabilized readings are 
obtained or at the end of 30 seconds, whichever occurs first. Repeat as 
specified in paragraph (c)(3) of this section for multiple exhaust 
pipes, if necessary.
    (6) For vehicles with multiple exhaust pipes, the separate results 
from each pipe for each mode (as specified in paragraphs (c)(3), (4), 
and (5) of this section) must be numerically averaged for each 
pollutant, unless hardware which is capable of simultaneously sampling 
multiple tailpipe vehicles has been used.
    (7) The idle mode final results shall be the lowest HC and lowest CO 
readings from steps (3) and (5).
    (d) Exhaust concentration measurements from both the idle mode and 
the high-speed mode are not required. The short test may be used to 
evaluate emissions from either mode alone or from both modes, the choice 
being made by the jurisdiction implementing the inspection program. If 
exhaust concentrations are not measured on a given mode, the vehicle 
must be operated at the specified test condition for 15 to 30 seconds. 
The final idle mode, described in paragraph (c)(5) of this section, may 
be omitted if only high-speed mode exhaust concentrations are to be 
measured or if the vehicle is below idle standards on the first 
measurement, paragraph (c)(3) of this section. The high-speed mode may 
be omitted if only idle mode exhaust concentrations are to be measured 
and if the vehicle is below idle standards on the first measurement.

[49 FR 24323, June 12, 1984. Redesignated and amended at 58 FR 58403, 
58404, Nov. 1, 1993]



Sec. 85.2215  Two speed idle test--EPA 91.

    (a) General requirements--(1) Exhaust gas sampling algorithm. The 
analysis of exhaust gas concentrations begins ten seconds after the 
applicable test mode begins. Exhaust gas concentrations must be analyzed 
at a rate of once every 0.75 second. The measured value for pass/fail 
determinations is a simple running average of the measurements taken 
over five seconds.
    (2) Pass/fail determination. A pass or fail determination is made 
for each applicable test mode based on a comparison of the short test 
standards contained in Sec. Sec. 85.2203 and 85.2204, and the measured 
value for HC and CO as described in paragraph (a)(1) of this section. A 
vehicle passes the test mode if any pair of simultaneous values for HC 
and CO are below or equal to the applicable short test standards. A 
vehicle fails the test mode if the values for either HC or CO, or both, 
in all simultaneous pairs of values are above the applicable standards.
    (3) Void test conditions. The test immediately terminates and any 
exhaust gas measurements are voided if the measured concentration of CO 
plus CO\2\ falls below six percent or the vehicle's engine stalls at any 
time during the test sequence.
    (4) Multiple exhaust pipes. Exhaust gas concentrations from vehicle 
engines equipped with multiple exhaust pipes must be sampled 
simultaneously.
    (5) The test is immediately terminated upon reaching the overall 
maximum test time.
    (b) Test sequence. (1) The test sequence consists of a first-chance 
test and a second-chance test as described in paragraphs (b)(1) (i) and 
(ii) of this section.
    (i) The first-chance test, as described under paragraph (c) of this 
section, consists of an idle mode followed by a high-speed mode.
    (ii) The second-chance high-speed mode, as described under paragraph 
(c) of this section, immediately follows the first-chance high-speed 
mode. It is performed only if the vehicle fails the first-chance test. 
The second-chance idle mode, as described under paragraph (d) of this 
section, follows the second-chance high-speed mode and is

[[Page 128]]

performed only if the vehicle fails the idle mode of the first-chance 
test.
    (2) The test sequence begins only after the requirements listed in 
paragraphs (b)(2) (i) through (iv) of this section are met.
    (i) The vehicle is tested in as-received condition with the 
transmission in neutral or park and all accessories turned off. The 
engine must be at normal operating temperature (as indicated by a 
temperature gauge, temperature lamp, touch test on the radiator hose, or 
other visual observation indicating that overheating has not occurred).
    (ii) For all pre-1996 model year vehicles, a tachometer shall be 
attached to the vehicle in accordance with the analyzer manufacturer's 
instructions. For 1996 and newer model year vehicles the OBD data link 
connector will be used to monitor RPM. In the event that an OBD data 
link connector is not available or that an RPM signal is not available 
over the data link connector, a tachometer shall be used instead.
    (iii) The sample probe is inserted into the vehicle's tailpipe to a 
minimum depth of 10 inches. If the vehicle's exhaust system prevents 
insertion to this depth, a tailpipe extension must be used.
    (iv) The measured concentration of CO plus CO\2\ must be greater 
than or equal to six percent.
    (c) First-chance test and second-chance high-speed mode. The test 
timer starts (tt=0) when the conditions specified in paragraph (b)(2) of 
this section are met. The overall maximum test time for the first-chance 
test and second-chance high-speed mode is 425 seconds (tt=425). The 
first-chance test consists of an idle mode followed immediately by a 
high-speed mode. This is followed immediately by an additional second-
chance high-speed mode, if necessary.
    (1) First-chance idle mode. (i) The mode timer starts (mt=0) when 
the vehicle engine speed is between 350 and 1100 rpm. If engine speed 
exceeds 1100 rpm or falls below 350 rpm, the mode timer resets to zero 
and resumes timing. The minimum idle mode length is determined as 
described in paragraph (c)(1)(ii) of this section. The maximum idle mode 
length is 90 seconds elapsed time (mt=90).
    (ii) The pass/fail analysis begins after an elapsed time of ten 
seconds (mt=10). A pass or fail determination is made for the vehicle 
and the mode terminated as described in paragraphs (c)(1)(ii) (A) 
through (E) of this section.
    (A) The vehicle passes the idle mode and the mode is immediately 
terminated if, prior to an elapsed time of 30 seconds (mt=30), measured 
values are less than or equal to 100 ppm HC and 0.5 percent CO.
    (B) The vehicle passes the idle mode and the mode is terminated at 
the end of an elapsed time of 30 seconds (mt=30) if, prior to that time, 
the criteria of paragraph (c)(1)(ii)(A) of this section are not 
satisfied, and the measured values are less than or equal to the 
applicable short test standards as determined by the procedure described 
in paragraph (a)(2) of this section.
    (C) The vehicle passes the idle mode and the mode is immediately 
terminated if, at any point between an elapsed time of 30 seconds 
(mt=30) and 90 seconds (mt=90), the measured values are less than or 
equal to the applicable short test standards as determined by the 
procedure described in paragraph (a)(2) of this section.
    (D) The vehicle fails the idle mode and the mode is terminated if 
none of the provisions of paragraphs (c)(1)(ii) (A), (B), and (C) of 
this section is satisfied by an elapsed time of 90 seconds (mt=90). 
Alternatively, the vehicle may be failed if the provisions of paragraphs 
(c)(1)(ii) (A) and (B) of this section are not met within an elapsed 
time of 30 seconds.
    (E) Optional. The vehicle may fail the first-chance test and the 
second-chance test may be omitted if no exhaust gas concentration less 
than 1800 ppm HC is found by an elapsed time of 30 seconds (mt=30).
    (2) First-chance and second-chance high-speed modes. This mode 
includes both the first-chance and second-chance high-speed modes, and 
follows immediately upon termination of the first-chance idle mode.
    (i) The mode timer resets (mt=0) when the vehicle engine speed is 
between 2200 and 2800 rpm. If engine speed falls below 2200 rpm or 
exceeds 2800 rpm for more than two seconds in one excursion, or more 
than six seconds over

[[Page 129]]

all excursions within 30 seconds of the final measured value used in the 
pass/fail determination, the measured value is invalidated and the mode 
continued. If any excursion lasts for more than ten seconds, the mode 
timer resets to zero (mt=0) and timing resumes. The minimum high-speed 
mode length is determined as described under paragraphs (c)(2) (ii) and 
(iii) of this section. The maximum high-speed mode length is 180 seconds 
elapsed time (mt=180).
    (ii) Ford Motor Company and Honda vehicles. For 1981-1987 model year 
Ford Motor Company vehicles and 1984-1985 model year Honda Preludes, the 
pass/fail analysis begins after an elapsed time of ten seconds (mt=10) 
using the following procedure. This procedure may also be used for 1988-
1989 model year Ford Motor Company vehicles but may not be used for 
other vehicles.
    (A) For vehicles that passed the idle mode, a pass or fail 
determination is used to determine whether the high-speed test should be 
terminated prior to or at the end of an elapsed time of 180 seconds 
(mt=180), as described in paragraphs (c)(2)(ii)(A) (1) through (4) of 
this section.
    (1) The vehicle passes the high-speed mode and the test is 
immediately terminated if, prior to an elapsed time of 30 seconds 
(mt=30), the measured values are less than or equal to 100 ppm HC and 
0.5 percent CO.
    (2) The vehicle passes the high-speed mode and the test is 
terminated at the end of an elapsed time of 30 seconds (mt=30) if, prior 
to that time, the criteria of paragraph (c)(2)(ii)(A)(1) of this section 
are not satisfied, and the measured values are less than or equal to the 
applicable short test standards as determined by the procedure described 
in paragraph (a)(2) of this section.
    (3) The vehicle passes the high-speed mode and the test is 
immediately terminated if, at any point between an elapsed time of 30 
seconds (mt=30) and 180 seconds (mt=180), the measured values are less 
than or equal to the applicable short test standards as determined by 
the procedure described in paragraph (a)(2) of this section.
    (4) Restart. If at an elapsed time of 90 seconds (mt=90) the 
measured values are greater than the applicable short test standards as 
determined by the procedure described in paragraph (a)(2) of this 
section, the vehicle's engine must be shut off for not more than ten 
seconds after returning to idle and then is restarted. The probe may be 
removed from the tailpipe or the sample pump turned off if necessary to 
reduce analyzer fouling during the restart procedure. The mode timer 
will stop upon engine shut off (mt=90) and resume upon engine restart. 
The pass/fail determination resumes as follows after 100 seconds have 
elapsed (mt=100).
    (i) The vehicle passes the high-speed mode and the test is 
immediately terminated if, at any point between an elapsed time of 100 
seconds (mt=100) and 180 seconds (mt=180), the measured values are less 
than or equal to the applicable short test standards described in 
paragraph (a)(2) of this section.
    (ii) The vehicle fails the high-speed mode and the test is 
terminated if paragraph (c)(2)(ii)(A)(4)(i) of this section is not 
satisfied by an elapsed time of 180 seconds (mt=180).
    (B) A pass or fail determination is made for vehicles that failed 
the idle mode and the high-speed mode terminated at the end of an 
elapsed time of 180 seconds (mt=180) as described in paragraphs 
(c)(2)(ii)(B) (1) and (2) of this section.
    (1) The vehicle passes the high-speed mode and the mode is 
terminated at an elapsed time of 180 seconds (mt=180) if any measured 
values of HC and CO exhaust gas concentrations during the high-speed 
mode are less than or equal to the applicable short test standards as 
determined by the procedure described in paragraph (a)(2) of this 
section.
    (2) Restart. If at an elapsed time of 90 seconds (mt=90) the 
measured values of HC and CO exhaust gas concentrations during the high-
speed mode are greater than the applicable short test standards as 
determined by the procedure in paragraph (a)(2) of this section, the 
vehicle's engine must be shut off for not more than ten seconds after 
returning to idle and then is restarted. The probe may be removed from 
the tailpipe or the sample pump turned off if necessary to reduce 
analyzer fouling during the restart procedure. The mode timer will stop 
upon engine shut off

[[Page 130]]

(mt=90) and resume upon engine restart. The pass/fail determination 
resumes, as described in paragraphs (c)(2)(ii)(B)(2) (i) and (ii) of 
this section after 100 seconds have elapsed (mt=100).
    (i) The vehicle passes the high-speed mode and the mode is 
terminated at an elapsed time of 180 seconds (mt=180) if any measured 
values of HC and CO exhaust gas concentrations during the high-speed 
mode are less than or equal to the applicable short test standards as 
determined by the procedure described in paragraph (a)(2) of this 
section.
    (ii) The vehicle fails the high-speed mode and the test is 
terminated if paragraph (c)(2)(ii)(B)(2)(i) of this section is not 
satisfied by an elapsed time of 180 seconds (mt=180).
    (iii) All other light-duty motor vehicles. The pass/fail analysis 
for vehicles not specified in paragraph (c)(2)(ii) of this section 
begins after an elapsed time of ten seconds (mt=10) using the procedure 
described in paragraphs (c)(2)(iii) (A) and (B) of this section.
    (A) For vehicles that passed the idle mode, a pass or fail 
determination is used to determine whether the high-speed mode should be 
terminated prior to or at the end of an elapsed time of 180 seconds 
(mt=180), as described in paragraphs (c)(2)(iii)(A) (1) through (4) of 
this section.
    (1) The vehicle passes the high-speed mode and the test is 
immediately terminated if, prior to an elapsed time of 30 seconds 
(mt=30), any measured values are less than or equal to 100 ppm HC and 
0.5 percent CO.
    (2) The vehicle passes the high-speed mode and the test is 
terminated at the end of an elapsed time of 30 seconds (mt=30) if, prior 
to that time, the criteria of paragraph (c)(2)(iii)(A)(1) of this 
section are not satisfied, and the measured values are less than or 
equal to the applicable short test standards as determined by the 
procedure in paragraph (a)(2) of this section.
    (3) The vehicle passes the high-speed mode and the test is 
immediately terminated if, at any point between an elapsed time of 30 
seconds (mt=30) and 180 seconds (mt=180), the measured values are less 
than or equal to the applicable short test standards as determined by 
the procedure described in paragraph (a)(2) of this section.
    (4) The vehicle fails the high-speed mode and the test is terminated 
if none of the provisions of paragraphs (c)(2)(iii)(A) (1), (2), and (3) 
of this section is satisfied by an elapsed time of 180 seconds (mt=180).
    (B) A pass or fail determination is made for vehicles that failed 
the idle mode and the high-speed mode terminated at the end of an 
elapsed time of 180 seconds (mt=180) as described in paragraphs 
(c)(2)(iii)(B) (1) and (2) of this section.
    (1) The vehicle passes the high-speed mode and the mode is 
terminated at an elapsed time of 180 seconds (mt=180) if any measured 
values are less than or equal to the applicable short test standards as 
determined by the procedure described in paragraph (a)(2) of this 
section.
    (2) The vehicle fails the high-speed mode and the test is terminated 
if paragraph (c)(2)(iii)(B)(1) of this section is not satisfied by an 
elapsed time of 180 seconds (mt=180).
    (d) Second-chance idle mode. If the vehicle fails the first-chance 
idle mode and passes the high-speed mode, the test timer resets to zero 
(tt=0) and a second-chance idle mode begins. The overall maximum test 
time for the second-chance idle mode is 145 seconds (tt=145). The test 
consists of an idle mode only.
    (1) The engines of 1981-1987 model year Ford Motor Company vehicles 
and 1984-1985 model year Honda Preludes must be shut off for not more 
than ten seconds and restarted. The probe may be removed from the 
tailpipe or the sample pump turned off if necessary to reduce analyzer 
fouling during the restart procedure. This procedure may also be used 
for 1988-1989 model year Ford Motor Company vehicles but may not be used 
for other vehicles.
    (2) The mode timer starts (mt=0) when the vehicle engine speed is 
between 350 and 1100 rpm. If the engine speed exceeds 1100 rpm or falls 
below 350 rpm the mode timer resets to zero and resumes timing. The 
minimum second-chance idle mode length is determined as described in 
paragraph (d)(3) of this section. The maximum second-

[[Page 131]]

chance idle mode length is 90 seconds elapsed time (mt=90).
    (3) The pass/fail analysis begins after an elapsed time of ten 
seconds (mt=10). A pass or fail determination is made for the vehicle 
and the second-chance idle mode is terminated in accordance with 
paragraphs (d)(3) (i) through (iv) of this section.
    (i) The vehicle passes the second-chance idle mode and the test is 
immediately terminated if, prior to an elapsed time of 30 seconds 
(mt=30), any measured values are less than or equal to 100 ppm HC and 
0.5 percent CO.
    (ii) The vehicle passes the second-chance idle mode and the test is 
terminated at the end of an elapsed time of 30 seconds (mt=30) if, prior 
to that time, the criteria of paragraph (d)(3)(i) of this section are 
not satisfied, and the measured values are less than or equal to the 
applicable short test standards as determined by the procedure described 
in paragraph (a)(2) of this section.
    (iii) The vehicle passes the second-chance idle mode and the test is 
immediately terminated if, at any point between an elapsed time of 30 
seconds (mt=30) and 90 seconds (mt=90), the measured values are less 
than or equal to the applicable short test standards as determined by 
the procedure described in paragraph (a)(2) of this section.
    (iv) The vehicle fails the second-chance idle mode and the test is 
terminated if none of the provisions of paragraphs (d)(3) (i), (ii), and 
(iii) of this section is satisfied by an elapsed time of 90 seconds 
(mt=90).

[58 FR 58405, Nov. 1, 1993, as amended at 61 FR 40947, Aug. 6, 1996]



Sec. 85.2216  Loaded test--EPA 81.

    (a)(1) General calendar year applicability. The test procedure 
described in this section may be used to establish Emissions Performance 
Warranty eligibility through December 31, 1993, except as allowed in 
paragraph (a)(2) of this section.
    (2) Special calendar and model year applicability. (i) The extended 
applicability described in paragraphs (a)(2) (ii) through (iv) of this 
section is restricted to 1995 and earlier model year vehicles or 
engines.
    (ii) In a state for which the Administrator has approved a State 
Implementation Plan revision providing for the implementation of a basic 
decentralized program meeting the requirements of part 51, subpart S of 
this chapter, according to the schedule specified in Sec. 51.373 of 
this chapter, the test procedure described in this section may be used 
to establish Emissions Performance Warranty eligibility through December 
31, 1993.
    (iii) In a state for which the Administrator has approved a State 
Implementation Plan revision providing for the implementation of a basic 
centralized program meeting the requirements of part 51, subpart S of 
this chapter, according to the schedule specified in Sec. 51.373 of 
this chapter, the test procedure described in this section may be used 
to establish Emissions Performance Warranty eligibility through June 30, 
1994.
    (iv) In a state for which the Administrator has approved a State 
Implementation Plan revision providing for the implementation of an 
enhanced program meeting the requirements of part 51, subpart S of this 
chapter, according to the schedule specified in Sec. 51.373 of this 
chapter, the test procedure described in this section may be used to 
establish Emissions Performance Warranty eligibility through December 
31, 1995.
    (b) General requirements. Vehicles shall be tested in as-received 
condition. Engines shall be at normal operating temperature and not 
overheating (as indicated by gauge, warning light or boiling radiator) 
with all accessories off. An auxiliary cooling fan is optional
    (c) Test sequence. (1) The dynamometer and analyzers shall be 
warmed-up, in stabilized operating condition and adjusted as required in 
Sec. Sec. 85.2216 and 85.2217.
    (2) The vehicle shall be placed on the dynamometer.
    (3) The sample probe shall be inserted into the tailpipe.
    (4) Optional. A high speed mode, maximum 50 mph and 30 seconds 
duration, is permitted if vehicle overheating does not occur.
    (5) Drive for automatic or 3rd gear for manual transmissions shall 
be used. The vehicle shall be operated at 30 1

[[Page 132]]

mph roll speed while measuring exhaust HC and CO. Record exhaust 
concentrations after stabilized readings are obtained or at the end of 
30 seconds, whichever occurs first. This process shall be repeated as 
necessary for multiple exhaust pipes, or hardware which is capable of 
simultaneously sampling vehicles with multiple tailpipes may be used. 
Neither multiple readings nor simultaneous sampling hardware is 
necessary for exhaust systems in which the exhaust pipes originate from 
a common point.
    (6) The vehicle must be idled with transmission in neutral. Record 
exhaust concentrations after stabilized readings are obtained or at the 
end of 30 seconds, whichever occurs first. Repeat as specified in 
paragraph (c)(5) of this section for multiple exhaust pipes, if 
necessary.
    (7) For vehicles with multiple exhaust pipes, the separate results 
from each pipe for each mode (as specified in paragraphs (c)(5) and (6) 
of this section) must be numerically averaged for each pollutant, unless 
hardware which is capable of simultaneously sampling multiple tailpipe 
vehicles has been used.
    (d) Exhaust concentration measurements from both the loaded mode and 
the idle mode are not required. The short test may be used to evaluate 
emissions from either mode alone or from both modes, the choice being 
made by the jurisdiction implementing the inspection program. If exhaust 
concentrations are not measured on the loaded mode the vehicle shall be 
operated at the specified test condition for 15 to 30 seconds. If idle 
exhaust concentrations are not measured, the idle mode may be omitted.

[49 FR 24323, June 12, 1984. Redesignated and amended at 58 FR 58403, 
58407, Nov. 1, 1993]



Sec. 85.2217  Loaded test--EPA 91.

    (a) General requirements--(1) Exhaust gas sampling algorithm. The 
analysis of exhaust gas concentrations begins ten seconds after the 
applicable test mode begins. Exhaust gas concentrations must be analyzed 
at a minimum rate of once every 0.75 seconds. The measured value for 
pass/fail determinations is a simple running average of the measurements 
taken over five seconds.
    (2) Pass/fail determination. A pass or fail determination is made 
for each applicable test mode based on a comparison of the short test 
standards contained in Sec. Sec. 85.2203 and 85.2204, and the measured 
value for HC and CO as described in paragraph (a)(1) of this section. A 
vehicle passes the test mode if any pair of simultaneous values for HC 
and CO are below or equal to the applicable short test standards. A 
vehicle fails the test mode if the values for either HC or CO, or both, 
in all simultaneous pairs of values are above the applicable standards.
    (3) Void test conditions. The test immediately terminates and any 
exhaust gas measurements are voided if the measured concentration of CO 
plus CO2 falls below six percent or the vehicle's engine 
stalls at any time during the test sequence.
    (4) Multiple exhaust pipes. Exhaust gas concentrations from vehicle 
engines equipped with multiple exhaust pipes must be sampled 
simultaneously.
    (5) The test is immediately terminated upon reaching the overall 
maximum test time.
    (b) Test sequence. (1) The test sequence consists of a loaded mode 
using a chassis dynamometer followed immediately by an idle mode as 
described in paragraphs (c) (1) and (2) of this section.
    (2) The test sequence begins only after the requirements described 
in paragraphs (b)(2) (i) through (v) of this section are met.
    (i) The dynamometer must be warmed up, in stabilized operating 
condition, adjusted, and calibrated in accordance with the procedures of 
Sec. 85.2233. Prior to each test, variable-curve dynamometers must be 
checked for proper setting of the road-load indicator or road-load 
controller.
    (ii) The vehicle is tested in as-received condition with all 
accessories turned off. The engine must be at normal operating 
temperature (as indicated by a temperature gauge, temperature lamp, 
touch test on the radiator hose, or other visual observation indicating 
that overheating has not occurred).
    (iii) The vehicle must be operated during each mode of the test with 
the gear selector in the position described

[[Page 133]]

in paragraphs (b)(2)(iii) (A) and (B) of this section.
    (A) In drive for automatic transmissions and in second (or third if 
more appropriate) for manual transmissions for the loaded mode.
    (B) In park or neutral for the idle mode.
    (iv) The sample probe is inserted into the vehicle's tailpipe to a 
minimum depth of 10 inches. If the vehicle's exhaust system prevents 
insertion to this depth, a tailpipe extension must be used.
    (v) The measured concentration of CO plus CO2 must be 
greater than or equal to six percent.
    (c) Overall test procedure. The test timer starts (tt=0) when the 
conditions specified in paragraph (b)(2) of this section are met and the 
mode timer initiates as specified in paragraph (c)(1) of this section. 
The overall maximum test time is 240 seconds (tt=240). The test is 
immediately terminated upon reaching the overall maximum test time.
    (1) Loaded mode--(i) Ford Motor Company and Honda vehicles. 
(Optional.) The engines of 1981-1987 model year Ford Motor Company 
vehicles and 1984-1985 model year Honda Preludes must be shut off for 
not more than ten seconds and restarted. This procedure may also be used 
for 1988-1989 model year Ford Motor Company vehicles but may not be used 
for other vehicles. The probe may be removed from the tailpipe or the 
sample pump turned off if necessary to reduce analyzer fouling during 
the restart procedure.
    (ii) The mode timer starts (mt=0) when the dynamometer speed is 
within the limits specified for the vehicle engine size according to the 
following schedule. If the dynamometer speed falls outside the limits 
for more than five seconds in one excursion, or 15 seconds over all 
excursions, the mode timer resets to zero and resumes timing. The 
minimum mode length is determined as described in paragraph 
(c)(1)(iii)(A) of this section. The maximum mode length is 90 seconds 
elapsed time (mt=90).

                        Dynamometer Test Schedule
------------------------------------------------------------------------
                                                        Normal loading,
    Gasoline engine size, No.       Roll speed, mph        brake hp
            cylinders                    (kph)            (kilowatts)
------------------------------------------------------------------------
4 or less.......................  22-25 (35-40).....  2.8-4.1 (2.1-3.1)
5-6.............................  29-32 (47-52).....  6.8-8.4 (5.1-6.3)
7 or more.......................  32-35 (52-56).....  8.4-10.8 (6.3-8.1)
------------------------------------------------------------------------

    (iii) The pass/fail analysis begins after an elapsed time of ten 
seconds (mt=10). A pass or fail determination is made for the vehicle 
and the mode is terminated in accordance with paragraphs (c)(1)(iii)(A) 
through (C) of this section.
    (A) The vehicle passes the loaded mode and the mode is immediately 
terminated if, at any point between an elapsed time of 30 seconds 
(mt=30) and 90 seconds (mt=90), measured values are less than or equal 
to the applicable short test standard described in paragraph (a)(2) of 
this section.
    (B) The vehicle fails the loaded mode and the mode is terminated if 
paragraph (c)(1)(iii)(A) of this section is not satisfied by an elapsed 
time of 90 seconds (mt=90).
    (C) Optional. The vehicle may fail the loaded mode and any 
subsequent idle mode may be omitted if no exhaust gas concentration less 
than 1800 ppm HC is found by an elapsed time of 30 seconds (mt=30).
    (2) Idle mode--(i) Ford Motor Company and Honda vehicles. 
(Optional.) The engines of 1981-1987 model year Ford Motor Company 
vehicles and 1984-1985 model year Honda Preludes must be shut off for 
not more than ten seconds and restarted. This procedure may also be used 
for 1988-1989 model year Ford Motor Company vehicles but may not be used 
for other vehicles. The probe may be removed from the tailpipe or the 
sample pump turned off if necessary to reduce analyzer fouling during 
the restart procedure.
    (ii) The mode timer starts (mt=0) 5 seconds after the dynamometer 
speed has reached zero. The minimum idle mode length is determined as 
described in paragraph (c)(2)(iii) of this section. The maximum idle 
mode length is 90 seconds elapsed time (mt=90).
    (iii) The pass/fail analysis begins after an elapsed time of ten 
seconds (mt=10). A pass or fail determination is made for the vehicle 
and the mode is

[[Page 134]]

terminated in accordance with paragraphs (c)(2)(iii) (A) through (D) of 
this section.
    (A) The vehicle passes the idle mode and the test is immediately 
terminated if, prior to an elapsed time of 30 seconds (mt=30), measured 
values are less than or equal to 100 ppm HC and 0.5 percent CO.
    (B) The vehicle passes the idle mode and the test is terminated at 
the end of an elapsed time of 30 seconds (mt=30) if, prior to that time, 
the criteria of paragraph (c)(2)(iii)(A) of this section are not 
satisfied, and the measured values are less than or equal to the 
applicable short test standards as determined by the procedure described 
in paragraph (a)(2) of this section.
    (C) The vehicle passes the idle mode and the test is immediately 
terminated if, at any point between an elapsed time of 30 seconds 
(mt=30) and 90 seconds (mt=90), measured values are less than or equal 
to the applicable short test standards described in paragraph (a)(2) of 
this section.
    (D) The vehicle fails the idle mode and the test terminates if none 
of the provisions of paragraphs (c)(2)(iii) (A), (B), and (C) of this 
section is satisfied by an elapsed time of 90 seconds (mt=90).

[58 FR 58407, Nov. 1, 1993]



Sec. 85.2218  Preconditioned idle test--EPA 91.

    (a) General requirements--(1) Exhaust gas sampling algorithm. The 
analysis of exhaust gas concentrations begins ten seconds after the 
applicable test mode begins. Exhaust gas concentrations must be analyzed 
at a minimum rate of once every 0.75 second. The measured value for 
pass/fail determinations is a simple running average of the measurements 
taken over five seconds.
    (2) Pass/fail determination. A pass or fail determination is made 
for each applicable test mode based on a comparison of the short test 
standards contained in Sec. Sec. 85.2203 and 85.2204, and the measured 
value for HC and CO as described in paragraph (a)(1) of this section. A 
vehicle passes the test mode if any pair of simultaneous values for HC 
and CO are below or equal to the applicable short test standards. A 
vehicle fails the test mode if the values for either HC or CO, or both, 
in all simultaneous pairs of values are above the applicable standards.
    (3) Void test conditions. The test immediately terminates and any 
exhaust gas measurements are voided if the measured concentration of CO 
plus CO2 falls below six percent or the vehicle's engine 
stalls at any time during the test sequence.
    (4) Multiple exhaust pipes. Exhaust gas concentrations from vehicle 
engines equipped with multiple exhaust pipes must be sampled 
simultaneously.
    (5) The test is immediately terminated upon reaching the overall 
maximum test time.
    (b) Test sequence. (1) The test sequence consists of a first-chance 
test and a second-chance test as described in paragraphs (b)(1) (i) and 
(ii) of this section.
    (i) The first-chance test, as described under paragraph (c) of this 
section, consists of a preconditioning mode followed by an idle mode.
    (ii) The second-chance test as described under paragraph (d) of this 
section is performed only if the vehicle fails the first-chance test.
    (2) The test sequence begins only after the requirements described 
in paragraphs (b)(2) (i) through (iv) of this section are met.
    (i) The vehicle is tested in as-received condition with the 
transmission in neutral or park and all accessories turned off. The 
engine must be at normal operating temperature (as indicated by a 
temperature gauge, temperature lamp, touch test on the radiator hose, or 
other visual observation indicating that overheating has not occurred).
    (ii) For all pre-1996 model year vehicles, a tachometer shall be 
attached to the vehicle in accordance with the analyzer manufacturer's 
instructions. For 1996 and newer model year vehicles the OBD data link 
connector will be used to monitor RPM. In the event that an OBD data 
link connector is not available or that an RPM signal is not available 
over the data link connector, a tachometer shall be used instead.
    (iii) The sample probe is inserted into the vehicle's tailpipe to a 
minimum depth of 10 inches. If the vehicle's exhaust system prevents 
insertion to this

[[Page 135]]

depth, a tailpipe extension must be used.
    (iv) The measured concentration of CO plus CO2 must be 
greater than or equal to six percent.
    (c) First-chance test. The test timer starts (tt=0) when the 
conditions specified in paragraph (b)(2) of this section are met. The 
overall maximum test time is 200 seconds (tt=200). The first-chance test 
consists of a preconditioning mode followed immediately by an idle mode.
    (1) Preconditioning mode. The mode timer starts (mt=0) when the 
engine speed is between 2200 and 2800 rpm. The mode continues for an 
elapsed time of 30 seconds (mt=30). If engine speed falls below 2200 rpm 
or exceeds 2800 rpm for more than five seconds in any one excursion, or 
15 seconds over all excursions, the mode timer resets to zero and 
resumes timing.
    (2) Idle mode. (i) The mode timer starts (mt=0) when the vehicle 
engine speed is between 350 and 1100 rpm. If engine speed exceeds 1100 
rpm or falls below 350 rpm, the mode timer resets to zero and resumes 
timing. The minimum idle mode length is determined as described in 
paragraph (c)(2)(ii) of this section. The maximum idle mode length is 90 
seconds elapsed time (mt=90).
    (ii) The pass/fail analysis begins after an elapsed time of ten 
seconds (mt=10). A pass or fail determination is made for the vehicle 
and the mode terminates as described in paragraphs (c)(2)(ii) (A) 
through (E) of this section.
    (A) The vehicle passes the idle mode and the test is immediately 
terminated if, prior to an elapsed time of 30 seconds (mt=30), measured 
values are less than or equal to 100 ppm HC and 0.5 percent CO.
    (B) The vehicle passes the idle mode and the test terminates at the 
end of an elapsed time of 30 seconds (mt=30) if, prior to that time, the 
criteria of paragraph (c)(2)(ii)(A) of this section are not satisfied, 
and the measured values are less than or equal to the applicable short 
test standards as determined by the procedure described in paragraph 
(a)(2) of this section.
    (C) The vehicle passes the idle mode and the test is immediately 
terminated if, at any point between an elapsed time of 30 seconds 
(mt=30) and 90 seconds (mt=90), measured values are less than or equal 
to the applicable short test standards as determined by the procedure 
described in paragraph (a)(2) of this section.
    (D) The vehicle fails the idle mode and the test terminates if none 
of the provisions of paragraphs (c)(2)(ii) (A), (B), and (C) of this 
section is satisfied by an elapsed time of 90 seconds (mt=90). 
Alternatively, the vehicle may be failed if the provisions of paragraphs 
(c)(2) (i) and (ii) of this section are not met within an elapsed time 
of 30 seconds.
    (E) Optional. The vehicle may fail the first-chance test and the 
second-chance test may be omitted if no exhaust gas concentration less 
than 1800 ppm HC is found at an elapsed time of 30 seconds (mt=30).
    (d) Second-chance test. If the vehicle fails the first-chance test, 
the test timer resets to zero and a second-chance test is performed. The 
overall maximum test time for the second-chance test is 425 seconds. The 
test consists of a preconditioning mode followed immediately by an idle 
mode.
    (1) Preconditioning mode. The mode timer starts (mt=0) when engine 
speed is between 2200 and 2800 rpm. The mode continues for an elapsed 
time of 180 seconds (mt=180). If the engine speed falls below 2200 rpm 
or exceeds 2800 rpm for more than five seconds in any one excursion, or 
15 seconds over all excursions, the mode timer resets to zero and 
resumes timing.
    (2) Idle mode--(i) Ford Motor Company and Honda vehicles. The 
engines of 1981-1987 model year Ford Motor Company vehicles and 1984-
1985 model year Honda Preludes must be shut off for not more than ten 
seconds and then restarted. The probe may be removed from the tailpipe 
or the sample pump turned off if necessary to reduce analyzer fouling 
during the restart procedure. This procedure may also be used for 1988-
1989 model year Ford Motor Company vehicles but may not be used for 
other vehicles.
    (ii) The mode timer starts (mt=0) when the vehicle engine speed is 
between 350 and 1100 rpm. If the engine speed exceeds 1100 rpm or falls 
below 350 rpm, the mode timer resets to zero

[[Page 136]]

and resumes timing. The minimum idle mode length is determined as 
described in paragraph (d)(2)(iii) of this section. The maximum idle 
mode length is 90 seconds elapsed time (mt=90).
    (iii) The pass/fail analysis begins after an elapsed time of ten 
seconds (mt=10). A pass or fail determination is made for the vehicle 
and the mode is terminated in accordance with paragraphs (d)(2)(iii) (A) 
through (D) of this section.
    (A) The vehicle passes the idle mode and the test immediately 
terminates if, prior to an elapsed time of 30 seconds (mt=30), measured 
values are less than or equal to 100 ppm HC and 0.5 percent CO.
    (B) The vehicle passes the idle mode and the test is terminated at 
the end of an elapsed time of 30 seconds (mt=30) if, prior to that time, 
the criteria of paragraph (d)(2)(iii)(A) of this section are not 
satisfied, and the measured values are less than or equal to the 
applicable short test standards as determined by the procedure described 
in paragraph (a)(2) of this section.
    (C) The vehicle passes the idle mode and the test is immediately 
terminated if, at any point between an elapsed time of 30 seconds 
(mt=30) and 90 seconds (mt=90), measured values are less than or equal 
to the applicable short test standards described in paragraph (a)(2) of 
this section.
    (D) The vehicle fails the idle mode and the test is terminated if 
none of the provisions of paragraphs (d)(2)(iii) (A), (B), and (C) of 
this section is satisfied by an elapsed time of 90 seconds (mt=90).

[58 FR 58408, Nov. 1, 1993, as amended at 61 FR 40947, Aug. 6, 1996]



Sec. 85.2219  Idle test with loaded preconditioning--EPA 91.

    (a) General requirements--(1) Exhaust gas sampling algorithm. The 
analysis of exhaust gas concentrations begins ten seconds after the 
applicable test mode begins. Exhaust gas concentrations must be analyzed 
at a minimum rate of once every 0.75 second. The measured value for 
pass/fail determinations is a simple running average of the measurements 
taken over five seconds.
    (2) Pass/fail determination. A pass or fail determination is made 
for each applicable test mode based on a comparison of the short test 
standards contained in Sec. Sec. 85.2203 and 85.2204, and the measured 
value for HC and CO as described in paragraph (a)(1) of this section. A 
vehicle passes the test mode if any pair of simultaneous values for HC 
and CO are below or equal to the applicable short test standards. A 
vehicle fails the test mode if the values for either HC or CO, or both, 
in all simultaneous pairs of values are above the applicable standards.
    (3) Void test conditions. The test immediately terminates and any 
exhaust gas measurements are voided if the measured concentration of CO 
plus CO2 falls below 6 percent or the vehicle's engine stalls 
at any time during the test sequence.
    (4) Multiple exhaust pipes. Exhaust gas concentrations from vehicle 
engines equipped with multiple exhaust pipes must be sampled 
simultaneously.
    (5) The test is immediately terminated upon reaching the overall 
maximum test time.
    (b) Test sequence. (1) The test sequence consists of a first-chance 
test and a second-chance test as described in paragraphs (b)(1) (i) and 
(ii) of this section.
    (i) The first-chance test, as described under paragraph (c) of this 
section, consists of an idle mode.
    (ii) The second-chance test as described under paragraph (d) of this 
section is performed only if the vehicle fails the first-chance test.
    (2) The test sequence begins only after the requirements described 
in paragraphs (b)(2) (i) through (v) of this section are met.
    (i) The dynamometer must be warmed up, in stabilized operating 
condition, adjusted, and calibrated in accordance with the procedures of 
Sec. 85.2233. Prior to each test, variable-curve dynamometers must be 
checked for proper setting of the road-load indicator or road-load 
controller.
    (ii) The vehicle is tested in as-received condition with all 
accessories turned off. The engine must be at normal operating 
temperature (as indicated by a temperature gauge, temperature lamp, 
touch test on the radiator hose, or other visual observation

[[Page 137]]

indicating that overheating has not occurred).
    (iii) The vehicle must be operated during each mode of the test with 
the gear selector in the position described in paragraphs (b)(2)(iii) 
(A) and (B) of this section.
    (A) In drive for automatic transmissions and in second (or third if 
more appropriate) for manual transmissions for the loaded 
preconditioning mode.
    (B) In park or neutral for the idle mode.
    (iv) The sample probe is inserted into the vehicle's tailpipe to a 
minimum depth of 10 inches. If the vehicle's exhaust system prevents 
insertion to this depth, a tailpipe extension must be used.
    (v) The measured concentration of CO plus CO2 must be 
greater than or equal to 6 percent.
    (c) First-chance test. The test timer starts (tt=0) when the 
conditions specified in paragraph (b)(2) of this section are met. The 
overall maximum test time is 155 seconds (tt=155). The first-chance test 
consists of an idle mode only.
    (1) The minimum mode length is determined as described in paragraph 
(c)(2) of this section. The maximum mode length is 90 seconds elapsed 
time (mt=90).
    (2) The pass/fail analysis begins after an elapsed time of ten 
seconds (mt=10). A pass or fail determination is made for the vehicle 
and the mode terminates in accordance with paragraphs (c)(2) (i) through 
(v) of this section.
    (i) The vehicle passes the idle mode and the test is immediately 
terminated if, prior to an elapsed time of 30 seconds (mt=30), measured 
values are less than or equal to 100 ppm HC and 0.5 percent CO.
    (ii) The vehicle passes the idle mode and the test is terminated at 
the end of an elapsed time of 30 seconds (mt=30) if, prior to that time, 
the criteria of paragraph (c)(2)(i) of this section are not satisfied, 
and the measured values are less than or equal to the applicable short 
test standards as determined by the procedure described in paragraph 
(a)(2) of this section.
    (iii) The vehicle passes the idle mode and the test is immediately 
terminated if, at any point between an elapsed time of 30 seconds 
(mt=30) and 90 seconds (mt=90), the measured values are less than or 
equal to the applicable short test standards as determined by the 
procedure described in paragraph (a)(2) of this section.
    (iv) The vehicle fails the idle mode and the test is terminated if 
none of the provisions of paragraphs (c)(2)(i), (ii), and (iii) of this 
section is satisfied by an elapsed time of 90 seconds (mt=90). 
Alternatively, the vehicle may be failed if the provisions of paragraphs 
(c)(2)(i) and (ii) of this section are not met within an elapsed time of 
30 seconds.
    (v) Optional. The vehicle may fail the first-chance test and the 
second-chance test may be omitted if no exhaust gas concentration less 
than 1800 ppm HC is found at an elapsed time of 30 seconds (mt=30).
    (d) Second-chance test. If the vehicle fails the first-chance test, 
the test timer resets to zero (tt=0) and a second-chance test is 
performed. The overall maximum test time for the second-chance test is 
200 seconds (tt=200). The test consists of a preconditioning mode using 
a chassis dynamometer, followed immediately by an idle mode.
    (1) Preconditioning mode. (i) The mode timer starts (mt=0) when the 
dynamometer speed is within the limits specified for the vehicle engine 
size in accordance with the following schedule. The mode continues for a 
minimum elapsed time of 30 seconds (mt=30). If the dynamometer speed 
falls outside the limits for more than five seconds in one excursion, or 
15 seconds over all excursions, the mode timer resets to zero and 
resumes timing.

                        Dynamometer Test Schedule
------------------------------------------------------------------------
                                                        Normal loading,
    Gasoline engine size, No.       Roll speed, mph        brake hp
            cylinders                    (kph)            (kilowatts)
------------------------------------------------------------------------
4 or less.......................  22-25 (35-40).....  2.8-4.1 (2.1-3.1).
5-6.............................  29-32 (47-52).....  6.8-8.4 (5.1-6.3).
7 or more.......................  32-35 (52-56).....  8.4-10.8 (6.3-
                                                       8.1).
------------------------------------------------------------------------

    (2) Idle mode--(i) Ford Motor Company and Honda vehicles. 
(Optional.) The engines of 1981-1987 model year Ford Motor Company 
vehicles and 1984-1985 model year Honda Preludes must be shut off for 
not more than ten seconds

[[Page 138]]

and restarted. This procedure may also be used for 1988-1989 model year 
Ford Motor Company vehicles but may not be used for other vehicles. The 
probe may be removed from the tailpipe or the sample pump turned off if 
necessary to reduce analyzer fouling during the restart procedure.
    (ii) The mode timer starts (mt=0) 5 seconds after the dynamometer 
speed has reached zero. The minimum idle mode length is determined as 
described in paragraph (d)(2)(iii) of this section. The maximum idle 
mode length is 90 seconds elapsed time (mt=90).
    (iii) The pass/fail analysis begins after an elapsed time of ten 
seconds (mt=10). A pass or fail determination is made for the vehicle 
and the mode is terminated in accordance with paragraphs (d)(2)(iii) (A) 
through (D) of this section.
    (A) The vehicle passes the idle mode and the test is immediately 
terminated if, prior to an elapsed time of 30 seconds (mt=30), measured 
values are less than or equal to 100 ppm HC and 0.5 percent CO.
    (B) The vehicle passes the idle mode and the test is terminated at 
the end of an elapsed time of 30 seconds (mt=30) if, prior to that time, 
the criteria of paragraph (d)(2)(ii)(A) of this section are not 
satisfied, and the measured values are less than or equal to the 
applicable short test standards as determined by the procedure described 
in paragraph (a)(2) of this section.
    (C) The vehicle passes the idle mode and the test is immediately 
terminated if, at any point between an elapsed time of 30 seconds 
(mt=30) and 90 seconds (mt=90), measured values are less than or equal 
to the applicable short test standards described in paragraph (a)(2) of 
this section.
    (D) The vehicle fails the idle mode and the test is terminated if 
none of the provisions of paragraphs (d)(2)(ii)(A), (B), and (C) of this 
section is satisfied by an elapsed time of 90 seconds (mt=90).

[58 FR 58409, Nov. 1, 1993]



Sec. 85.2220  Preconditioned two speed idle test--EPA 91.

    (a) General requirements--(1) Exhaust gas sampling algorithm. The 
analysis of exhaust gas concentrations begins ten seconds after the 
applicable test mode begins. Exhaust gas concentrations must be analyzed 
at a minimum rate of once every 0.75 second. The measured value for 
pass/fail determinations is a simple running average of the measurements 
taken over five seconds.
    (2) Pass/fail determination. A pass or fail determination is made 
for each applicable test mode based on a comparison of the short test 
standards contained in Sec. Sec. 85.2203 and 85.2204, and the measured 
value for HC and CO as described in paragraph (a)(1) of this section. A 
vehicle passes the test mode if any pair of simultaneous values for HC 
and CO are below or equal to the applicable short test standards. A 
vehicle fails the test mode if the values for either HC or CO, or both, 
in all simultaneous pairs of values are above the applicable standards.
    (3) Void test conditions. The test immediately terminates and any 
exhaust gas measurements are voided if the measured concentration of CO 
plus CO2 falls below six percent or the vehicle's engine 
stalls at any time during the test sequence.
    (4) Multiple exhaust pipes. Exhaust gas concentrations from vehicle 
engines equipped with multiple exhaust pipes must be sampled 
simultaneously.
    (5) The test is immediately terminated upon reaching the overall 
maximum test time.
    (b) Test sequence. (1) The test sequence consists of a first-chance 
test and a second-chance test as described in paragraphs (b)(1) (i) and 
(ii) of this section.
    (i) The first-chance test, as described under paragraph (c) of this 
section, consists of a first-chance high-speed mode followed immediately 
by a first-chance idle mode.
    (ii) The second-chance test as described under paragraph (d) of this 
section is performed only if the vehicle fails the first-chance test.
    (2) The test sequence begins only after the requirements described 
in paragraphs (b)(2) (i) through (iv) of this section are met.
    (i) The vehicle is tested in as-received condition with the 
transmission in neutral or park and all accessories

[[Page 139]]

turned off. The engine must be at normal operating temperature (as 
indicated by a temperature gauge, temperature lamp, touch test on the 
radiator hose, or other visual observation indicating that overheating 
has not occurred).
    (ii) For all pre-1996 model year vehicles, a tachometer shall be 
attached to the vehicle in accordance with the analyzer manufacturer's 
instructions. For 1996 and newer model year vehicles the OBD data link 
connector will be used to monitor RPM. In the event that an OBD data 
link connector is not available or that an RPM signal is not available 
over the data link connector, a tachometer shall be used instead.
    (iii) The sample probe is inserted into the vehicle's tailpipe to a 
minimum depth of 10 inches. If the vehicle's exhaust system prevents 
insertion to this depth, a tailpipe extension must be used.
    (iv) The measured concentration of CO plus CO2 must be greater than 
or equal to six percent.
    (c) First-chance test. The test timer starts (tt=0) when the 
conditions specified in paragraph (b)(2) of this section are met. The 
overall maximum test time is 290 seconds (tt=290). The first-chance test 
consists of a high-speed mode followed immediately by an idle mode.
    (1) First-chance high-speed mode. (i) The mode timer starts (mt=0) 
when the vehicle engine speed is between 2200 and 2800 rpm. If the 
engine speed falls below 2200 rpm or exceeds 2800 rpm for more than two 
seconds in one excursion, or more than six seconds over all excursions 
within 30 seconds of the final measured value used in the pass/fail 
determination, the measured value is invalidated and the mode continued. 
If any excursion lasts for more than ten seconds, the mode timer resets 
to zero (mt=0) and timing resumes. The high-speed mode length is 90 
seconds elapsed time (mt=90).
    (ii) The pass/fail analysis begins after an elapsed time of ten 
seconds (mt=10). A pass or fail determination is made for the vehicle 
and the mode is terminated in accordance with paragraphs (c)(1)(ii)(A) 
through (C) of this section.
    (A) The vehicle passes the high-speed mode and the mode is 
terminated at an elapsed time of 90 seconds (mt=90) if any measured 
values are less than or equal to the applicable short test standards as 
determined by the procedure described in paragraph (a)(2) of this 
section.
    (B) The vehicle fails the high-speed mode and the mode is terminated 
if the requirements of paragraph (c)(1)(ii)(A) of this section are not 
satisfied by an elapsed time of 90 seconds (mt=90).
    (C) Optional. The vehicle may fail the first-chance test and any 
subsequent test may be omitted if no exhaust gas concentration lower 
than 1800 ppm HC is found at an elapsed time of 30 seconds (mt=30).
    (2) First-chance idle mode. (i) The mode timer starts (mt=0) when 
the vehicle engine speed is between 350 and 1100 rpm. If the engine 
speed exceeds 1100 rpm or falls below 350 rpm, the mode timer resets to 
zero and resumes timing. The minimum first-chance idle mode length is 
determined as described in paragraph (c)(2)(ii) of this section. The 
maximum first-chance idle mode length is 90 seconds elapsed time 
(mt=90).
    (ii) The pass/fail analysis begins after an elapsed time of ten 
seconds (mt=10). A pass or fail determination is made for the vehicle 
and the mode is terminated in accordance with paragraphs (c)(2)(ii) (A) 
through (D) of this section.
    (A) The vehicle passes the idle mode and the test is immediately 
terminated if, prior to an elapsed time of 30 seconds (mt=30), measured 
values are less than or equal to 100 ppm HC and 0.5 percent CO.
    (B) The vehicle passes the idle mode and the test is terminated at 
the end of an elapsed time of 30 seconds (mt=30) if, prior to that time, 
the criteria of paragraph (c)(2)(ii)(A) of this section are not 
satisfied, and the measured values are less than or equal to the 
applicable short test standards as determined by the procedure described 
in paragraph (a)(2) of this section.
    (C) The vehicle passes the idle mode and the test is immediately 
terminated if, at any point between an elapsed time of 30 seconds 
(mt=30) and 90 seconds (mt=90), the measured values are less than or 
equal to the applicable short test standards as determined by

[[Page 140]]

the procedure described in paragraph (a)(2) of this section.
    (D) The vehicle fails the idle mode and the test is terminated if 
none of the provisions of paragraphs (c)(2)(ii) (A), (B), and (C) of 
this section is satisfied by an elapsed time of 90 seconds (mt=90). 
Alternatively, the vehicle may be failed if the provisions of paragraphs 
(c)(2) (i) and (ii) of this section are not met within the elapsed time 
of 30 seconds.
    (d) Second-chance test. (1) If the vehicle fails either mode of the 
first-chance test, the test timer resets to zero (tt=0) and a second-
chance test begins. The second-chance test is performed based on the 
first-chance test failure mode or modes as described in paragraphs 
(d)(1) (i) through (iii) of this section.
    (i) If the vehicle failed only the first-chance high-speed mode, the 
second-chance test consists of a second-chance high-speed mode as 
described in paragraph (d)(2) of this section. The overall maximum test 
time is 280 seconds (tt=280).
    (ii) If the vehicle failed only the first-chance idle mode, the 
second-chance test consists of a second-chance pre-conditioning mode 
followed immediately by a second-chance idle mode as described in 
paragraphs (d) (3) and (4) of this section. The overall maximum test 
time is 425 seconds (tt=425).
    (iii) If both the first-chance high-speed mode and first-chance idle 
mode were failed, the second-chance test consists of the second-chance 
high-speed mode followed immediately by the second-chance idle mode as 
described in paragraphs (d) (2) and (4) of this section. However, if 
during this second-chance procedure, the vehicle fails the second-chance 
high-speed mode, then the second-chance idle mode may be eliminated. The 
overall maximum test time is 425 seconds (tt=425).
    (2) Second-chance high-speed mode--(i) Ford Motor Company and Honda 
vehicles. The engines of 1981-1987 model year Ford Motor Company 
vehicles and 1984-1985 model year Honda Preludes must be shut off for 
not more than ten seconds and then restarted. The probe may be removed 
from the tailpipe or the sample pump turned off if necessary to reduce 
analyzer fouling during the restart procedure. This procedure may also 
be used for 1988-1989 model year Ford Motor Company vehicles but may not 
be used for other vehicles.
    (ii) The mode timer resets (mt=0) when the vehicle engine speed is 
between 2200 and 2800 rpm. If the engine speed falls below 2200 rpm or 
exceeds 2800 rpm for more than two seconds in one excursion, or more 
than six seconds over all excursions within 30 seconds of the final 
measured value used in the pass/fail determination, the measured value 
is invalidated and the mode continued. The minimum second-chance high-
speed mode length is determined as described in paragraphs (d)(2) (iii) 
and (iv) of this section. If any excursion lasts for more than ten 
seconds, the mode timer resets to zero (mt=0) and timing resumes. The 
maximum second-chance high-speed mode length is 180 seconds elapsed time 
(mt=180).
    (iii) In the case where the second-chance high-speed mode is not 
followed by the second-chance idle mode, the pass/fail analysis begins 
after an elapsed time of ten seconds (mt=10). A pass or fail 
determination is made for the vehicle and the mode is terminated in 
accordance with paragraphs (d)(2)(iii) (A) through (D) of this section.
    (A) The vehicle passes the high-speed mode and the test is 
immediately terminated if, prior to an elapsed time of 30 seconds 
(mt=30), measured values are less than or equal to 100 ppm HC and 0.5 
percent CO.
    (B) The vehicle passes the high-speed mode and the test is 
terminated if at the end of an elapsed time of 30 seconds (mt=30) if, 
prior to that time, the criteria of paragraph (d)(2)(iii)(A) of this 
section are not satisfied, and the measured values are less than or 
equal to the applicable short test standards as determined by the 
procedure described in paragraph (a)(2) of this section.
    (C) The vehicle passes the high-speed mode and the test is 
immediately terminated if, at any point between an elapsed time of 30 
seconds (mt=30) and

[[Page 141]]

180 seconds (mt=180), the measured values are less than or equal to the 
applicable short test standards as determined by the procedure described 
in paragraph (a)(2) of this section.
    (D) The vehicle fails the high-speed mode and the test is terminated 
if none of the provisions of paragraphs (d)(2)(iii) (A), (B), and (C) of 
this section is satisfied by an elapsed time of 180 seconds (mt=180).
    (iv) In the case where the second-chance high-speed mode is followed 
by the second-chance idle mode, the pass/fail analysis begins after an 
elapsed time of ten seconds (mt=10). A pass or fail determination is 
made for the vehicle and the mode is terminated in accordance with 
paragraphs (d)(2)(iv)(A) and (B) of this section.
    (A) The vehicle passes the high-speed mode and the mode is 
terminated at the end of an elapsed time of 180 seconds (mt=180) if any 
measured values are less than or equal to the applicable short test 
standards as determined by the procedure described in paragraph (a)(2) 
of this section.
    (B) The vehicle fails the high-speed mode and the mode is terminated 
if paragraph (d)(2)(iv)(A) of this section is not satisfied by an 
elapsed time of 180 seconds (mt=180).
    (3) Second-chance preconditioning mode. The mode timer starts (mt=0) 
when engine speed is between 2200 and 2800 rpm. The mode continues for 
an elapsed time of 180 seconds (mt=180). If the engine speed falls below 
2200 rpm or exceeds 2800 rpm for more than five seconds in any one 
excursion, or 15 seconds over all excursions, the mode timer resets to 
zero and resumes timing.
    (4) Second-chance idle mode--(i) Ford Motor Company and Honda 
vehicles. The engines of 1981-1987 model year Ford Motor Company 
vehicles and 1984-1985 model year Honda Preludes must be shut off for 
not more than ten seconds and then restarted. The probe may be removed 
from the tailpipe or the sample pump turned off if necessary to reduce 
analyzer fouling during the restart procedure. This procedure may also 
be used for 1988-1989 model year Ford Motor Company vehicles but may not 
be used for other vehicles.
    (ii) The mode timer starts (mt=0) when the vehicle engine speed is 
between 350 and 1100 rpm. If the engine speed exceeds 1100 rpm or falls 
below 350 rpm the mode timer resets to zero and resumes timing. The 
minimum second-chance idle mode length is determined as described in 
paragraph (d)(4)(iii) of this section. The maximum second-chance idle 
mode length is 90 seconds elapsed time (mt=90).
    (iii) The pass/fail analysis begins after an elapsed time of ten 
seconds (mt=10). A pass or fail determination is made for the vehicle 
and the mode is terminated in accordance with paragraphs (d)(4)(iii) (A) 
through (D) of this section.
    (A) The vehicle passes the second-chance idle mode and the test is 
immediately terminated if, prior to an elapsed time of 30 seconds 
(mt=30), measured values are less than or equal to 100 ppm HC and 0.5 
percent CO.
    (B) The vehicle passes the second-chance idle mode and the test is 
terminated at the end of an elapsed time of 30 seconds (mt=30) if, prior 
to that time, the criteria of paragraph (d)(4)(iii)(A) of this section 
are not satisfied, and the measured values are less than or equal to the 
applicable short test standards as determined by the procedure described 
in paragraph (a)(2) of this section.
    (C) The vehicle passes the second-chance idle mode and the test is 
immediately terminated if, at any point between an elapsed time of 30 
seconds (mt=30) and 90 seconds (mt=90), measured values are less than or 
equal to the applicable short test standards described in paragraph 
(a)(2) of this section.
    (D) The vehicle fails the second-chance idle mode and the test is 
terminated if none of the provisions of paragraphs (d)(4)(iii) (A), (B), 
and (C) of this section is satisfied by an elapsed time of 90 seconds 
(mt=90).

[58 FR 58411, Nov. 1, 1993, as amended at 61 FR 40947, Aug. 6, 1996]



Sec. 85.2221  [Reserved]



Sec. 85.2222  On-board diagnostic test procedures.

    The test sequence for the inspection of on-board diagnostic systems 
on 1996

[[Page 142]]

and newer light-duty vehicles and light-duty trucks shall consist of the 
following steps:
    (a) The on-board diagnostic inspection shall be conducted with the 
key-on/engine running (KOER), with the exception of inspecting for MIL 
illumination as required in paragraph (d)(4) of this section, during 
which the inspection shall be conducted with the key-on/engine off 
(KOEO).
    (b) The inspector shall locate the vehicle connector and plug the 
test system into the connector.
    (c) The test system shall send a Mode $01, PID $01 request in 
accordance with SAE J1979 to determine the evaluation status of the 
vehicle's on-board diagnostic system. The test system shall determine 
what monitors are supported by the on-board diagnostic system, and the 
readiness evaluation for applicable monitors in accordance with SAE 
J1979. The procedure shall be done in accordance with SAE J1979 ``E/E 
Diagnostic Test Modes,'' (DEC91). 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 of SAE J1979 may be obtained 
from the Society of Automotive Engineers, Inc., 400 Commonwealth Drive, 
Warrendale, PA 15096-0001. Copies may be inspected at the EPA Docket No. 
A-94-21 at EPA's Air Docket (LE-131), Room 1500 M, 1st Floor, Waterside 
Mall, 401 M Street SW., Washington, DC, or at the National Archives and 
Records Administration (NARA). For information on the availability of 
this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html.
    (1) Coincident with the beginning of mandatory testing, repair, and 
retesting based upon the OBD-I/M check, if the readiness evaluation 
indicates that any on-board tests are not complete the customer shall be 
instructed to return after the vehicle has been run under conditions 
that allow completion of all applicable on-board tests. If the readiness 
evaluation again indicates that any on-board test is not complete the 
vehicle shall be failed.
    (2) An exception to paragraph (c)(1) of this section is allowed for 
MY 1996 to MY 2000 vehicles, inclusive, with two or fewer unset 
readiness monitors, and for MY 2001 and newer vehicles with no more than 
one unset readiness monitor. Vehicles from those model years which would 
otherwise pass the OBD inspection, but for the unset readiness code(s) 
in question may be issued a passing certificate without being required 
to operate the vehicle in such a way as to activate those particular 
monitors. Vehicles from those model years with unset readiness codes 
which also have diagnostic trouble codes (DTCs) stored resulting in a 
lit malfunction indicator light (MIL) must be failed, though setting the 
unset readiness flags in question shall not be a prerequisite for 
passing the retest.
    (d) The test system shall evaluate the malfunction indicator light 
status bit and record status information in the vehicle test record.
    (1) If the malfunction indicator status bit indicates that the 
malfunction indicator light (MIL) has been commanded to be illuminated 
the test system shall send a Mode $03 request to determine the stored 
diagnostic trouble codes (DTCs). The system shall repeat this cycle 
until the number of codes reported equals the number expected based on 
the Mode 1 response. All DTCs resulting in MIL illumination shall be 
recorded in the vehicle test record and the vehicle shall fail the on-
board diagnostic inspection.
    (2) If the malfunction indicator light bit is not commanded to be 
illuminated the vehicle shall pass the on-board diagnostic inspection, 
even if DTCs are present.
    (3) If the malfunction indicator light bit is commanded to be 
illuminated, the inspector shall visually inspect the malfunction 
indicator light to determine if it is illuminated. If the malfunction 
indicator light is commanded to be illuminated but is not, the vehicle 
shall fail the on-board diagnostic inspection.
    (4) If the malfunction indicator light (MIL) does not illuminate at 
all when the vehicle is in the key-on/engine-off (KOEO) condition, the 
vehicle shall fail the on-board diagnostic inspection,

[[Page 143]]

even if no DTCs are present and the MIL has not been commanded on.

[61 FR 40947, Aug. 6, 1996, as amended at 63 FR 24433, May 4, 1998; 66 
FR 18178, Apr. 5, 2001]



Sec. 85.2223  On-board diagnostic test report.

    (a) Motorists whose vehicles fail the on-board diagnostic test 
described in Sec. 85.2222 shall be provided with the on-board 
diagnostic test results, including the codes retrieved, the name of the 
component or system associated with each fault code, the status of the 
MIL illumination command, and the customer alert statement as stated in 
paragraph (c) of this section.
    (b) [Reserved]
    (c) In addition to any codes which were retrieved, the test report 
shall include the following language:

    Your vehicle's computerized self-diagnostic system (OBD) registered 
the fault(s) listed below. This fault(s) is probably an indication of a 
malfunction of an emission component. However, multiple and/or seemingly 
unrelated faults may be an indication of an emission-related problem 
that occurred previously but upon further evaluation by the OBD system 
was determined to be only temporary. Therefore, proper diagnosis by a 
qualified technician is required to positively identify the source of 
any emission-related problem.

[61 FR 40948, Aug. 6, 1996, as amended at 66 FR 18179, Apr. 5, 2001]



Sec. 85.2224  Exhaust analysis system--EPA 81.

    (a) Applicability. The requirements of this subsection apply to 
short tests conducted under Emissions Performance Warranty through 
December 31, 1993. The requirements of Sec. 85.2225 apply concurrently 
until December 31, 1993, after which the requirements of Sec. 85.2225 
are solely in effect. The following exceptions apply: In a state where 
the Administrator has approved a SIP revision providing for 
implementation of a basic centralized program meeting the requirements 
of part 51, subpart S of this chapter, according to the schedule 
specified in Sec. 51.373 of this chapter, the requirements of this 
section are concurrently in effect until June 30, 1994 for 1995 and 
earlier model year vehicles or engines; in a state where the 
Administrator has approved a SIP revision providing for implementation 
of an enhanced program meeting the requirements of part 51, subpart S of 
this chapter, according to the schedule specified in Sec. 51.373 of 
this chapter, the requirements of this section are concurrently in 
effect until December 31, 1995 for 1995 and earlier model year vehicles 
or engines.
    (b) Sampling system--(1) General requirements. The exhaust sampling 
system shall consist of a sample probe, moisture separator and analyzers 
for HC and CO.
    (2) Dual sample probe requirements. If used, a dual sample probe 
must provide equal flow in each leg. The equal flow criterion is 
considered to be met if the flow rate in each leg of the probe (or an 
identical model) has been measured under two sample flow rates (the 
normal rate and a rate equal to the onset of low flow), and if the flow 
rates in each of the legs are found to be equal to each other (15%).
    (c) Analyzers--(1) Accuracy. The HC analyzer shall have an accuracy 
of 15 ppm at 200 to 220 ppm concentration HC (as 
hexane). The CO analyzer shall have an accuracy of 0.1% CO from 1.0% to 1.2% concentration.
    (2) Response time. Response time of the analyzers shall be 15 
seconds to 95% of the final reading.
    (3) Drift. Analyzer drift (up-scale and down-scale zero and span 
wander) shall not exceed 0.1% CO and 15 ppm HC (as hexane) on the lowest range capable of 
reading 1.0% or 200 ppm HC (as hexane) during a one-hour period.

[49 FR 24323, June 12, 1984. Redesignated and amended at 58 FR 58403, 
58412, Nov. 1, 1993]



Sec. 85.2225  Steady state test exhaust analysis system--EPA 91.

    (a) Special calendar and model year applicability. The requirements 
of Sec. 85.2224 apply concurrently for tests conducted under Emission 
Performance Warranty on 1995 and earlier model year vehicles or engines 
until December 31, 1993, after which the requirements of this section 
are solely in effect. The following exceptions apply: in a state where 
the Administrator has approved a SIP revision providing for 
implementation of a basic centralized program meeting the requirements 
of part 51, subpart S of this chapter, according to

[[Page 144]]

the schedule specified in Sec. 51.373 of this chapter, the requirements 
of Sec. 85.2224 are concurrently in effect until June 30, 1994, for 
1995 and earlier model year vehicles or engines; in a state where the 
Administrator has approved a SIP revision providing for implementation 
of an enhanced program meeting the requirements of part 51, subpart S of 
this chapter, according to the schedule specified in Sec. 51.373 of 
this chapter, the requirements of Sec. 85.2224 are concurrently in 
effect until December 31, 1995, for 1995 and earlier model year vehicles 
or engines.
    (b) Sampling System--(1) General requirements. The sampling system 
for steady state short tests consists, at a minimum, of a tailpipe 
probe; a flexible sample line; a water removal system; particulate trap; 
sample pump; flow control components; tachometer or dynamometer; 
analyzers for HC, CO, and CO2; and digital displays for exhaust 
concentrations of HC, CO, and CO2; and for engine rpm. Materials that 
are in contact with the gases sampled may not contaminate or change the 
character of the gases to be analyzed, including gases from alcohol-
fueled vehicles. The probe must be capable of being inserted to a depth 
of at least ten inches into the tailpipe of the vehicle being tested or 
into an extension boot, if one is used. A digital display for 
dynamometer speed and load must be included if the test procedures 
described in Sec. 85.2217 or Sec. 85.2219 are conducted. Minimum 
specifications for optional NO analyzers are also described in this 
section. The analyzer system must be able to test, as specified in 
Sec. Sec. 85.2213, 85.2215, 85.2217, 85.2218, 85.2219, and 85.2220 all 
model vehicles in service at the time of sale of the analyzer.
    (2) Temperature operating range. The sampling system and all 
associated hardware must be of a design certified to operate within the 
performance specifications described in paragraph (c) of this section in 
ambient air temperatures ranging from 41 to 110 [deg]F. The analyzer 
system must, where necessary, include features to keep the sampling 
system within the specified range.
    (3) Humidity operating range. The sampling system and all associated 
hardware must be of a design certified to operate within the performance 
specifications described in paragraph (c) of this section at a minimum 
of 80 percent relative humidity throughout the required temperature 
range.
    (4) Barometric pressure compensation. Barometric pressure 
compensation must be provided. Compensation is made for elevations up to 
6000 feet (above mean sea level). At any given altitude and ambient 
conditions specified in paragraphs (b) (2) and (3) of this section, 
errors due to barometric pressure changes of 2 
inches of mercury may not exceed the accuracy limits specified in 
paragraph (c) of this section.
    (5) Dual sample probe requirements. When testing a vehicle with dual 
exhaust pipes, a dual sample probe of a design certified by the analyzer 
manufacturer to provide equal flow in each leg must be used. The equal 
flow requirement is considered to be met if the flow rate in each leg of 
the probe has been measured under two sample pump flow rates (the normal 
rate and a rate equal to the onset of low flow), and if the flow rates 
in each of the legs are found to be equal to each other (within 15 
percent of the flow rate in the leg having lower flow).
    (6) System lockout during warmup. Functional operation of the gas 
sampling unit must remain disabled through a system lockout until the 
instrument meets stability and warmup requirements. The instrument is 
considered ``warmed up'' when the zero and span readings for HC, CO, and 
CO2 have stabilized, within 3 percent 
of the full range of low scale, for five minutes without adjustment.
    (7) Electromagnetic isolation and interference. Electromagnetic 
signals found in an automotive service environment may not cause 
malfunctions or changes in the accuracy in the electronics of the 
analyzer system. The instrument design must ensure that readings do not 
vary as a result of electromagnetic radiation and induction devices 
normally found in the automotive service environment, including high 
energy vehicle ignition systems, radio frequency transmission radiation 
sources, and building electrical systems.
    (8) Vibration and shock protection. System operation must be 
unaffected by

[[Page 145]]

the vibration and shock encountered under the normal operating 
conditions encountered in an automotive service environment.
    (9) Propane Equivalency Factor. The Propane Equivalency Factor must 
be displayed in a manner that enables it to be viewed conveniently, 
while permitting it to be altered only by personnel specifically 
authorized to do so.
    (c) Analyzers--(1) Accuracy. The analyzers must be of a design 
certified to meet the following accuracy requirements when calibrated to 
the span points specified in Sec. 85.2233(e)(2):

----------------------------------------------------------------------------------------------------------------
                 Channel                             Range               Accuracy        Noise     Repeatability
----------------------------------------------------------------------------------------------------------------
HC, as hexane...........................  0-400 12.
                                          401-1000 30.
                                          1001-2000 80.
CO, %...................................  0-2.00 0.06.
                                          2.01-5.00 0.15.
                                          5.01-9.99 0.40.
CO2, %..................................  0-4.0 0.6.
                                          4.1-14.0 0.5.
                                          14.1-16.0 0.6.
NO, ppm.................................  0-1000 32.
                                          1001-2000 60.
                                          2001-4000 120.
----------------------------------------------------------------------------------------------------------------

    (2) Minimum analyzer display resolution. The analyzer electronics 
must have sufficient resolution to achieve the level of accuracy 
indicated in paragraphs (c)(2)(i) through (v) of this section.
    (i) HC 1 ppm HC as hexane.
    (ii) CO 0.01% CO.
    (iii) CO2 0.1% CO2.
    (iv) NO 1 ppm NO.
    (v) RPM 1 rpm.
    (3) Response time. The response time from the probe to the display 
for HC, CO, and CO2 analyzers may not exceed eight seconds to 
90 percent of a step change in input. For NO analyzers, the response 
time may not exceed twelve seconds to 90 percent of a step change in 
input.
    (4) Display refresh rate. Dynamic information being displayed must 
be refreshed at a minimum rate of twice per second.
    (5) Interference effects. The interference effects for non-interest 
gases may not exceed 10 ppm for hydrocarbons, 
0.05 percent for carbon monoxide, 0.20 percent for carbon dioxide, and 20 ppm for oxides of nitrogen.
    (6) Low flow indication. The analyzer must provide an indication 
when the sample flow is below the acceptable level. The sampling system 
must be equipped with a flow meter (or equivalent) that indicates sample 
flow degradation when meter error exceeds three percent of full scale, 
or causes system response time to exceed 13 seconds to 90 percent of a 
step change in input, whichever is less.
    (7) Engine speed detection. The analyzer must utilize a tachometer 
capable of detecting engine speed in revolutions per minute (rpm) with a 
0.5 second response time and an accuracy of 3 
percent of the true rpm.
    (8) Test and mode timers. The analyzer must be capable of 
simultaneously determining the amount of time elapsed in a test, and in 
a mode within that test.
    (9) Sample rate. The analyzer must be capable of measuring exhaust 
concentrations of gases specified in this section at a minimum rate of 
once every 0.75 second.
    (d) Demonstration of conformity. The analyzer must be demonstrated 
to the satisfaction of the inspection program manager, through 
acceptance testing procedures, to meet the requirements of this section 
and to be capable of being maintained as required in Sec. 85.2233.

[58 FR 58413, Nov. 1, 1993; 59 FR 33913, July 1, 1994]



Sec. Sec. 85.2226-85.2228  [Reserved]



Sec. 85.2229  Dynamometer--EPA 81.

    (a) Applicability. The requirements of this subsection apply to 
short tests

[[Page 146]]

conducted under Emissions Performance Warranty through December 31, 
1993. The requirements of Sec. 85.2230 apply concurrently until 
December 31, 1993, after which the requirements of Sec. 85.2230 are 
solely in effect. The following exceptions apply: in a state where the 
Administrator has approved a SIP revision providing for implementation 
of a basic centralized program meeting the requirements of part 51, 
subpart S of this chapter, according to the schedule specified in Sec. 
51.373 of this chapter, the requirements of this section are 
concurrently in effect until June 30, 1994 for 1995 and earlier model 
year vehicles or engines; in a state where the Administrator has 
approved a SIP revision providing for implementation of an enhanced 
program meeting the requirements of part 51, subpart S of this chapter, 
according to the schedule specified in Sec. 51.373 of this chapter, the 
requirements of this section are concurrently in effect until December 
31, 1995 for 1995 and earlier model year vehicles or engines.
    (b) The loaded test dynamometer shall be adjusted to produce a load 
of 9.0 1.0 hp at 30 mph.
    (c) Speed shall be measured from the dynamometer roll(s) with an 
accuracy of 1.5 mph at 30 mph true roll speed.

[49 FR 24323, June 12, 1984. Redesignated and amended at 58 FR 58403, 
58414, Nov. 1, 1993]



Sec. 85.2230  Steady state test dynamometer--EPA 91.

    (a) Special calendar and model year applicability. The requirements 
of Sec. 85.2229 apply concurrently for tests conducted under Emission 
Performance Warranty on 1995 and earlier model year vehicles or engines 
until December 31, 1993, after which the requirements of this section 
are solely in effect. The following exceptions apply: In a state where 
the Administrator has approved a SIP revision providing for 
implementation of a basic centralized program meeting the requirements 
of part 51, subpart S of this chapter, according to the schedule 
specified in Sec. 51.373 of this chapter, the requirements of Sec. 
85.2229 are concurrently in effect until June 30, 1994 for 1995 and 
earlier model year vehicles or engines; in a state where the 
Administrator has approved a SIP revision providing for implementation 
of an enhanced program meeting the requirements of part 51, subpart S of 
this chapter, according to the schedule specified in Sec. 51.373 of 
this chapter, the requirements of Sec. 85.2229 are concurrently in 
effect until December 31, 1995 for 1995 and earlier model year vehicles 
or engines.
    (b) The chassis dynamometer for steady state short tests must 
provide the capabilities described in paragraphs (b) (1) through (7) of 
this section.
    (1) Power absorption. The dynamometer must be capable of applying a 
load to the vehicle's driving tire surfaces at the horsepower and speed 
levels specified in paragraph (c) of this section.
    (2) Short-term stability. Power absorption at constant speed may not 
drift more than 0.5 horsepower (hp) during any 
single test mode.
    (3) Roll weight capacity. The dynamometer must be capable of 
supporting a driving axle weight up to four thousand (4,000) pounds or 
greater.
    (4) Between roll wheel lifts. For dual-roll dynamometers, these must 
be controllable and capable of lifting a minimum of four thousand 
(4,000) pounds.
    (5) Roll brakes. Rolls must be locked when the wheel lift is up.
    (6) Speed indications. The dynamometer speed display must have a 
range of 0 mph to 60 mph (or 0 kph to 100 kph), and a resolution and 
accuracy of at least 1 mph (or 1 kph).
    (7) Safety interlock. A roll speed sensor and safety interlock 
circuit must be provided which prevents the application of the roll 
brakes and upward lift movement at any roll speed above 0.5 mph (0.8 
kph).
    (c) The dynamometer must produce the load speed relationships 
specified in Sec. Sec. 85.2217 and 85.2219.

[58 FR 58414, Nov. 1, 1993]



Sec. 85.2231  On-board diagnostic test equipment requirements.

    (a) The test system interface to the vehicle shall include a plug 
that conforms to SAE J1962 ``Diagnostic Connector.'' The procedure shall 
be done in accordance with SAE J1962 ``Diagnostic Connector'' (JUN92). 
This incorporation of reference was approved by the Director of the 
Federal Register in accordance with 5 U.S.C. 552 (a) and 1

[[Page 147]]

CFR part 51. Copies of SAE J1962 may be obtained from the Society of 
Automotive Engineers, Inc., 400 Commonwealth Drive, Warrendale, PA 
15096-0001. Copies may be inspected at the EPA Docket No. A-94-21 at 
EPA's Air Docket, (LE-131) Room 1500 M, 1st Floor, Waterside Mall, 1200 
Pennsylvania Ave., NW., Washington, DC, or at the National Archives and 
Records Administration (NARA). For information on the availability of 
this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html.
    (b) The test system shall be capable of communicating with the 
standard data link connector of vehicles with certified OBD systems.
    (c) The test system shall be capable of checking for the monitors 
supported by the on-board diagnostic system and the evaluation status of 
supported monitors (test complete/test not complete) in Mode $01 PID 
$01, as well as be able to request the diagnostic trouble codes, as 
specified in SAE J1979. In addition, the system shall have the 
capability to include bi-directional communication for control of the 
evaporative canister vent solenoid. SAE J1979 is incorporated by 
reference and approved by the Director of the Federal Register in 
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies of all the SAE 
documents cited above may be obtained from the Society of Automotive 
Engineers, Inc., 400 Commonwealth Drive, Warrendale, PA 15096-0001. 
Copies may be inspected at the EPA Docket No. A-94-21 at EPA's Air 
Docket, (LE-131) Room 1500 M, 1st Floor, Waterside Mall, 1200 
Pennsylvania Ave., NW., Washington, DC, or at the National Archives and 
Records Administration (NARA). For information on the availability of 
this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html.
    (d) [Reserved]

[61 FR 40948, Aug. 6, 1996, as amended at 63 FR 24434, May 4, 1998; 66 
FR 18179, Apr. 5, 2001]



Sec. 85.2232  Calibrations, adjustments--EPA 81.

    (a) Applicability. The requirements of this subsection apply to 
short tests conducted under Emissions Performance Warranty through 
December 31, 1993. The requirements of Sec. 85.2233 apply concurrently 
until December 31, 1993, after which the requirements of Sec. 85.2233 
are solely in effect. The following exceptions apply: In a state where 
the Administrator has approved a SIP revision providing for 
implementation of a basic centralized program meeting the requirements 
of part 51, subpart S of this chapter, according to the schedule 
specified in Sec. 51.373 of this chapter, the requirements of this 
section are concurrently in effect until June 30, 1994 for 1995 and 
earlier model year vehicles or engines; in a state where the 
Administrator has approved a SIP revision providing for implementation 
of an enhanced program meeting the requirements of part 51, subpart S of 
this chapter, according to the schedule specified in Sec. 51.373 of 
this chapter, the requirements of this section are concurrently in 
effect until December 31, 1995 for 1995 and earlier model year vehicles 
or engines.
    (b) Equipment shall be calibrated in accordance with the 
manufacturers' instructions.
    (c) Hourly checks. Within one hour prior to a test, the analyzers 
shall be zeroed and spanned. Ambient air is acceptable as a zero gas; an 
electrical span check is acceptable. Zero and span checks shall be made 
on the lowest range capable of reading the short test standard. 
Analyzers that perform an automatic zero/span adjustment every time a 
test sequence is initiated are considered to meet the hourly checks.
    (d) Daily checks. Within eight hours prior to a loaded test, the 
dynamometer shall be checked for proper power absorber settings.
    (e) Weekly checks--(1) Leak check. For analyzers with a separate 
calibration or span port, CO readings using the span gas through the 
probe and through the calibration port shall be made and compared; 
discrepancies of over 3% shall require repair of leaks. No analyzer 
adjustments shall be permitted during this check. The leak

[[Page 148]]

check and the following gas span check may be combined into one 
operation.
    (2) Gas span check. Within one week of the test, the analyzers shall 
have been spanned using calibration gases which meet the requirements in 
paragraph (d)(4) of this section and shall not have been readjusted 
since to a non-conforming gas. If the analyzer reads the span gas within 
2% of the span gas value or within .05% CO and 6 ppm HC (use the larger 
of the two tolerances), then no adjustment of the analyzer is needed. 
For this check the span gas may be introduced either through the 
calibration port (if so equipped) or through the probe. This paragraph 
does not prevent those who wish to always adjust the analyzer to the 
exact span value from doing so.
    (3) Gas span adjustment. If the analyzer fails to meet the gas span 
check specifications, then the analyzer shall be adjusted by the 
following procedures:
    (i) For analyzers without a calibration port, perform a simple leak 
check (e.g., cap the probe). Repair any leaks before continuing with 
this procedure. Introduce the span gas through the probe for this 
adjustment.
    (ii) For analyzers with a calibration port, introduce the span gas 
through the port for this adjustment.
    (iii) Perform a zero adjustment and a flowing span gas adjustment. 
Iterate between span and zero, as necessary, to obtain stable readings 
within the gas span check specifications.
    (iv) Check the electrical span without changing the zero or span 
adjustments set in step (iii). If the electrical span does not match the 
electrical span line or voltage level, locate the potentiometer that 
controls the relationship between the gas span and the electrical span. 
Adjust this control until the electrical span target is achieved.
    (v) Following this procedure, if the gas span value cannot be held 
within the 2% tolerance (or .05% CO and 6 ppm HC) while also meeting the 
electrical span criteria, then the analysis system and calibration 
bottle shall be removed from service until the problem is resolved and 
the adjustment tolerance met.
    (vi) Automatic analyzers that perform either a substantially similar 
adjustment procedure or mathematical correction procedure are considered 
to meet this adjustment procedure.
    (4) Span gases. The span gas used for the weekly check shall be 
traceable to NBS standards 2% and have 
concentrations either:
    (i) Between the standards specified in this subpart and the 
jurisdiction's inspection standards for the 1981 model year light duty 
vehicles, or
    (ii) Within -50% to +100% of the standards in this subpart.
    (f) Other checks. In addition to performing span and leak checks on 
a periodic basis, these checks shall also be used to verify system 
performance under the following special circumstances.
    (1) Gas span check. Within one week of the test, the analyzers must 
have been spanned using calibration gases which met the requirements in 
paragraph (e)(4) of this section and must not have been readjusted since 
to a non-conforming gas. If the analyzer reads the span gas within two 
percent of the span gas value or within .05 percent of the CO and 6 ppm 
HC (use the larger of the two tolerances), then no adjustment of the 
analyzer is needed. (However, adjusting the analyzer to the exact span 
value is not precluded.) For this check the span gas may be introduced 
either through the calibration port, if so equipped, or through the 
probe.
    (2) Leak checks. Each time the sample line integrity is broken, a 
leak check shall be performed prior to testing. A simple vacuum leak 
check (i.e., block the probe and check for low flow) is considered 
acceptable for these non-periodic checks.

[49 FR 24323, June 12, 1984. Redesignated and amended at 58 FR 58403, 
58415, Nov. 1, 1993]



Sec. 85.2233  Steady state test equipment calibrations, adjustments, and 

quality control--EPA 91.

    (a) Special calendar and model year applicability. The requirements 
of Sec. 85.2232 apply concurrently for tests conducted under Emission 
Performance Warranty on 1995 and earlier model year vehicles or engines 
until December 31, 1993, after which the requirements of this section 
are solely in effect. The following exceptions apply: in a state

[[Page 149]]

where the Administrator has approved a SIP revision providing for 
implementation of a basic centralized program meeting the requirements 
of part 51, subpart S of this chapter, according to the schedule 
specified in Sec. 51.373 of this chapter, the requirements of Sec. 
85.2232 are concurrently in effect until June 30, 1994 for 1995 and 
earlier model year vehicles or engines; in a state where the 
Administrator has approved a SIP revision providing for implementation 
of an enhanced program meeting the requirements of part 51, subpart S of 
this chapter, according to the schedule specified in Sec. 51.373 of 
this chapter, the requirements of Sec. 85.2232 are concurrently in 
effect until December 31, 1995 for 1995 and earlier model year vehicles 
or engines.
    (b) Equipment must be calibrated in accordance with the 
manufacturers' instructions.
    (c) Prior to each test--(1) Hydrocarbon hang-up check. Immediately 
prior to each test the analyzer automatically performs a hydrocarbon 
hang-up check. If the HC reading, when the probe is sampling ambient 
air, exceeds 20 ppm, the system must be purged with clean air or zero 
gas. The analyzer must be inhibited from continuing the test until HC 
levels drop below 20 ppm.
    (2) Automatic zero and span. The analyzer conducts an automatic zero 
and span check prior to each test. The span check must include the HC, 
CO, and CO2 channels and, if present, the NO channel. If zero and/or 
span drift cause the signal levels to move beyond the adjustment range 
of the analyzer, it must lock out from testing.
    (3) Low flow. The system locks out from testing if the sample flow 
is below the acceptable level as defined in Sec. 85.2225(c)(6).
    (d) Leak check. A system leak check is performed within 24 hours 
before the test in low volume stations (those performing less than 4,000 
inspections per year) and within four hours in high-volume stations 
(4,000 or more inspections per year) and may be performed in conjunction 
with the gas calibration described in paragraph (e)(1) of this section. 
If a leak check is not performed within the preceding 24 hours in low 
volume stations and within four hours in high-volume stations or if the 
analyzer fails the leak check, the analyzer must lock out from testing. 
The leak check must be a procedure demonstrated to effectively check the 
sample hose and probe for leaks and is performed in accordance with good 
engineering practices. An error of more than 2 
percent of the reading using low range span gas must cause the analyzer 
to lock out from testing, and requires repair of leaks.
    (e) Gas calibration. (1) On each operating day in high-volume 
stations, analyzers must automatically require and successfully pass a 
two-point gas calibration for HC, CO, and CO2 and must continually 
compensate for changes in barometric pressure. Calibration must be 
checked within four hours before the test and the analyzer adjusted if 
the reading is more than two percent different from the span gas value. 
In low-volume stations, analyzers must undergo a two-point calibration 
within 72 hours before each test, unless changes in barometric pressure 
are compensated for automatically and statistical process control 
demonstrates equal or better quality control using different 
frequencies. Gas calibration is accomplished by introducing span gas 
that meets the requirements of paragraph (e)(3) of this section into the 
analyzer through the calibration port. No adjustment of the analyzer is 
necessary if the analyzer reads the span gas within the allowable 
tolerance range; that is, the square root of sum of the squares of the 
span gas tolerance (described in paragraph (e)(3) of this section) and 
the calibration tolerance (which is equal to two percent). The gas 
calibration procedure corrects readings that exceed the allowable 
tolerance range to the center of the allowable tolerance range. The 
pressure in the sample cell must be the same with the calibration gas 
flowing during calibration as with the sample gas flowing during 
sampling. If the system is not calibrated, or the system fails the 
calibration check, the analyzer must lock out from testing.
    (2) Span points. A two-point gas calibration procedure must be 
followed. The span is accomplished at one of the pairs of span points 
listed in paragraphs (e)(2)(i) and (ii) of this section.

[[Page 150]]

    (i)(A) 300 ppm and 1200 ppm propane (HC).
    (B) 1.0% and 4.0% carbon monoxide (CO).
    (C) 6.0% and 12.0% carbon dioxide (CO2).
    (D) (if equipped for nitric oxide) 1000 ppm and 3000 ppm nitric 
oxide (NO).
    (ii)(A) 0 ppm and 600 ppm propane (HC).
    (B) 0.0% and 1.6% carbon monoxide (CO).
    (C) 0.0% and 11.0% carbon dioxide (CO2)
    (D) (if equipped for nitric oxide) 0 ppm and 1200 ppm nitric oxide 
(NO).
    (3) Span gases. The analyzed concentrations for the span gases used 
for calibration must be nominally within two percent of the span points 
specified in paragraph (d)(2) of this section and must be traceable to 
National Institute of Standards and Technology (NIST) standards within 
two percent. Zero gases must conform to the specifications given in 
Sec. 86.114-79 (a)(5) of this chapter.
    (f) Dynamometer checks--(1) Monthly check. Within one month 
preceding each loaded test, the accuracy of the roll speed indicator 
must be verified and the dynamometer must be checked for proper power 
absorber settings.
    (2) Semi-annual check. Within six months preceding each loaded test 
as described in Sec. 85.2217, the road-load response of the variable-
curve dynamometer or the frictional power absorption of the dynamometer 
must be checked by a coast down procedure similar to that described in 
Sec. 86.118-78 of this chapter. The check is done at 30 mph (48 kph), 
and a power absorption load setting to generate a power of 4.1 
horsepower (or 3.057 kilowatts). The actual coast down time from 45 mph 
to 15 mph (72 kph to 24 kph) must be within +1 second of the time 
calculated by the equation in paragraph (f)(2)(i) of this section for 
English system units or paragraph (f)(2)(ii) of this section for SI 
units.
[GRAPHIC] [TIFF OMITTED] TR01NO93.000


where W is the total inertia weight as represented by the weight of the 
rollers (excluding free rollers), and any inertia flywheels used, 
measured in pounds, and P is power, measured in horsepower. If the coast 
down time is not within the specified tolerance the dynamometer must be 
taken out of service and corrective action must be taken.
[GRAPHIC] [TIFF OMITTED] TR01NO93.001


where W is the total inertia weight as represented by the weight of the 
rollers (excluding free rollers), and any inertia flywheels used, 
measured in kilograms, and P is power, measured in kilowatts. If the 
coast down time is not within the specified tolerance the dynamometer 
must be taken out of service and corrective action must be taken.
    (g) Other checks. In addition to the other periodic checks described 
in this section, those described in paragraphs (g)(1) and (2) of this 
section are also used to verify system performance under the special 
circumstances described therein.
    (1) Gas calibration. (i) Each time the analyzer electronic or 
optical systems are repaired or replaced, a gas calibration is performed 
prior to returning the unit to service.
    (ii) In high-volume stations, monthly multi-point calibrations are 
performed. Low-volume stations must perform multi-point calibrations 
every six months. The calibration curve is checked at 20 percent, 40 
percent, 60 percent, and 80 percent of full scale, and must be adjusted 
or repaired if the specifications in Sec. 85.2225(c)(1) are not met.
    (2) Leak checks. Each time the sample line integrity is broken, a 
leak check is performed prior to testing.

[58 FR 58415, Nov. 1, 1993; 59 FR 33913, July 1, 1994]



Sec. Sec. 85.2234-85.2236  [Reserved]



Sec. 85.2237  Test report--EPA 81.

    (a) Applicability. The requirements of this subsection apply to 
short tests conducted under Emissions Performance Warranty through 
December 31, 1993. The requirements of Sec. 85.2238 apply concurrently 
until December 31, 1993, after which the requirements of

[[Page 151]]

Sec. 85.2238 are solely in effect. The following exceptions apply: In a 
state where the Administrator has approved a SIP revision providing for 
implementation of a basic centralized program meeting the requirements 
of part 51, subpart S of this chapter, according to the schedule 
specified in Sec. 51.373 of this chapter, the requirements of this 
section are concurrently in effect until June 30, 1994, for 1995 and 
earlier model year vehicles or engines; in a state where the 
Administrator has approved a SIP revision providing for implementation 
of an enhanced program meeting the requirements of part 51, subpart S of 
this chapter, according to the schedule specified in Sec. 51.373 of 
this chapter, the requirements of this section are concurrently in 
effect until December 31, 1995, for 1995 and earlier model year vehicles 
or engines.
    (b) Upon failure of a short test, the vehicle's operator or owner 
shall be furnished with a test report containing:
    (1) Vehicle description, including either license plate or 
manufacturer identification number, and odometer readings.
    (2) Date of test.
    (3) Name of individual or organization performing the test and 
location thereof.
    (4) Type of short test performed.
    (5) Test results, exhaust concentrations for each mode measured.
    (c) The test report shall certify that the short test was performed 
in accordance with these regulations and it shall be signed by an 
individual who either performed the test or has actual knowledge of the 
performance of the test.
    (d) For purposes of this section, ``failure of a short test'' means 
that the vehicle exceeded the standards in this subpart or the 
Inspection/Maintenance standards of the jurisdiction, whichever is less 
stringent.

[49 FR 24323, June 12, 1984. Redesignated and amended at 58 FR 58403, 
58416, Nov. 1, 1993]



Sec. 85.2238  Test report--EPA 91.

    (a) Special calendar and model year applicability. The requirements 
of Sec. 85.2237 apply concurrently for tests conducted under Emission 
Performance Warranty on 1995 and earlier model year vehicles or engines 
until December 31, 1993, after which the requirements of this section 
are solely in effect. The following exceptions apply: In a state where 
the Administrator has approved a SIP revision providing for 
implementation of a basic centralized program meeting the requirements 
of part 51, subpart S of this chapter, according to the schedule 
specified in Sec. 51.373 of this chapter, the requirements of Sec. 
85.2237 are concurrently in effect until June 30, 1994 for 1995 and 
earlier model year vehicles or engines; in a state where the 
Administrator has approved a SIP revision providing for implementation 
of an enhanced program meeting the requirements of part 51, subpart S of 
this chapter, according to the schedule specified in Sec. 51.373 of 
this chapter, the requirements of Sec. 85.2237 are concurrently in 
effect until December 31, 1995 for 1995 and earlier model year vehicles 
or engines.
    (b) Upon failure of a short test, the vehicle's owner or operator 
must be furnished with a test report containing the information listed 
in paragraphs (b)(1) through (7) of this section.
    (1) Vehicle description, including license plate number, vehicle 
identification number, weight class, and odometer reading.
    (2) Date and time of test.
    (3) Name or identification number of the individual performing the 
test and the location of the test station and lane.
    (4) Type of emission test performed.
    (5) Applicable emission test standards.
    (6) Test results, including exhaust concentrations for each mode 
measured.
    (i) The reported exhaust concentrations are that pair of passing 
exhaust concentrations or, if none are obtained, that pair of failing 
exhaust concentrations, for which the product of HC+(151*CO) is a 
minimum.
    (ii) If a second-chance test is conducted the reported exhaust 
concentrations are those obtained from the second-chance test.
    (7) A statement indicating the availability of warranty coverage as 
provided in section 207 of the Clean Air Act (42 U.S.C. 7541).

[[Page 152]]

    (c) The test report must certify that the short test was performed 
in accordance with these regulations and, in the case of service station 
based programs, it must be signed by the individual who performed the 
test.

[58 FR 58416, Nov. 1, 1993]



  Subpart X_Determination of Model Year for Motor Vehicles and Engines 
 
 Used in Motor Vehicles Under Section 177 and Part A of Title II of the 
                              Clean Air Act

    Source: 60 FR 4738, Jan. 24, 1995, unless otherwise noted.



Sec. 85.2301  Applicability.

    The definitions provided by this subpart are effective February 23, 
1995 and apply to all light-duty motor vehicles and trucks, heavy-duty 
motor vehicles and heavy-duty engines used in motor vehicles, and on-
highway motorcycles as such vehicles and engines are regulated under 
section 177 and Title II part A of the Clean Air Act.



Sec. 85.2302  Definition of model year.

    Model year means the manufacturer's annual production period (as 
determined under Sec. 85.2304) which includes January 1 of such 
calendar year, provided, that if the manufacturer has no annual 
production period, the term ``model year'' shall mean the calendar year.



Sec. 85.2303  Duration of model year.

    A specific model year must always include January 1 of the calendar 
year for which it is designated and may not include a January 1 of any 
other calendar year. Thus, the maximum duration of a model year is one 
calendar year plus 364 days.



Sec. 85.2304  Definition of production period.

    (a) The ``annual production period'' for all models within an engine 
family of light-duty motor vehicles, heavy-duty motor vehicles and 
engines, and on-highway motorcycles begins either: when any vehicle or 
engine within the engine family is first produced; or on January 2 of 
the calendar year preceding the year for which the model year is 
designated, whichever date is later. The annual production period ends 
either: When the last such vehicle or engine is produced; or on December 
31 of the calendar year for which the model year is named, whichever 
date is sooner.
    (b) The date when a vehicle or engine is first produced is the ``Job 
1 date,'' which is defined as that calendar date on which a manufacturer 
completes all manufacturing and assembling processes necessary to 
produce the first saleable unit of the designated model which is in all 
material respects the same as the vehicle or engine described in the 
manufacturer's application for certification. The ``Job 1 date'' may be 
a date earlier in time than the date on which the certificate of 
conformity is issued.



Sec. 85.2305  Duration and applicability of certificates of conformity.

    (a) Except as provided in paragraph (b) of this section, a 
certificate of conformity is deemed to be effective and cover the 
vehicles or engines named in such certificate and produced during the 
annual production period, as defined in Sec. 85.2304.
    (b) Section 203 of the Clean Air Act prohibits the sale, offering 
for sale, delivery for introduction into commerce, and introduction into 
commerce, of any new vehicle or engine not covered by a certificate of 
conformity unless it is an imported vehicle exempted by the 
Administrator or otherwise authorized jointly by EPA and U.S. Customs 
Service regulations. However, the Act does not prohibit the production 
of vehicles or engines without a certificate of conformity. Vehicles or 
engines produced prior to the effective date of a certificate of 
conformity, as defined in paragraph (a) of this section, may also be 
covered by the certificate if the following conditions are met:
    (1) The vehicles or engines conform in all material respects to the 
vehicles or engines described in the application for the certificate of 
conformity:
    (2) The vehicles or engines are not sold, offered for sale, 
introduced into

[[Page 153]]

commerce, or delivered for introduction into commerce prior to the 
effective date of the certificate of conformity;
    (3) The Agency is notified prior to the beginning of production when 
such production will start, and the Agency is provided full opportunity 
to inspect and/or test the vehicles during and after their production; 
for example, the Agency must have the opportunity to conduct selective 
enforcement auditing production line testing as if the vehicles had been 
produced after the effective date of the certificate.
    (c) New vehicles or engines imported by an original equipment 
manufacturer after December 31 of the calendar year for which the model 
year was named are still covered by the certificate of conformity as 
long as the production of the vehicle or engine was completed before 
December 31 of that year. This paragraph does not apply to vehicles that 
may be covered by certificates held by independent commercial importers 
unless specifically approved by EPA.
    (d) Vehicles or engines produced after December 31 of the calendar 
year for which the model year is named are not covered by the 
certificate of conformity for that model year. A new certificate of 
conformity demonstrating compliance with currently applicable standards 
must be obtained for these vehicles or engines even if they are 
identical to vehicles or engines built before December 31.
    (e) The extended coverage period described here for a certificate of 
conformity (i.e., up to one year plus 364 days) is primarily intended to 
allow flexibility in the introduction of new models. Under no 
circumstances should it be interpreted that existing models may ``skip'' 
yearly certification by pulling ahead the production of every other 
model year.



   Subpart Y_Fees for the Motor Vehicle and Engine Compliance Program



Sec. 85.2401  Assessment of fees.

    See 40 CFR part 1027 for the applicable fees associated with 
certifying engines, vehicles, and equipment under this chapter.

[73 FR 59178, Oct. 8, 2008]



               Sec. Appendixes I-VII to Part 85 [Reserved]



    Sec. Appendix VIII to Part 85--Vehicle and Engine Parameters and 
                             Specifications

           a. light duty vehicle parameters and specifications

    I. Basic Engine Parameters-Reciprocating
Engines.
    1. Compression ratio.
    2. Cranking compression pressure.
    3. Valves (intake and exhaust).
    a. Head diameter dimension.
    b. Valve lifter or actuator type and valve lash dimension.
    4. Camshaft timing.
    a. Valve opening (degrees BTDC).
    b. Valve closing (degrees ATDC).
    c. Valve overlap (inch-degrees).
    II. Basic Engine Parameters--Rotary Engines.
    1. Intake port(s).
    a. Timing and overlap if exposed to the combustion chamber.
    2. Exhaust port(s).
    a. Timing and overlap if exposed to the combustion chamber.
    3. Cranking compression pressure.
    4. Compression ratio.
    III. Air Inlet System.
    1. Temperature control system calibration.
    IV. Fuel System.
    1. General.
    a. Engine idle speed.
    b. Engine idle mixture.
    2. Carburetion.
    a. Air-fuel flow calibration.
    b. Transient enrichment system calibration.
    c. Starting enrichment system calibration.
    d. Altitude compensation system calibration.
    e. Hot idle compensation system calibration.
    3. Fuel injection.
    a. Control parameters and calibration.
    b. Fuel shutoff system calibration.
    c. Starting enrichment system calibration.
    d. Transient enrichment system calibration.
    e. Air-fuel flow calibration.
    f. Altitude compensation system calibration.
    g. Operating pressure(s).
    h. Injector timing calibrations.
    V. Injection System.
    1. Control parameters and calibration.
    2. Initial timing setting.
    3. Dwell setting.

[[Page 154]]

    4. Altitude compensation system calibration.
    5. Spark plug voltage.
    VI. Engine Cooling System.
    1. Thermostat calibration.
    VII. Exhaust Emission Control System.
    1. Air injection system.
    a. Control parameters and calibrations.
    b. Pump flow rate.
    2. EGR system.
    a. Control parameters and calibrations.
    b. EGR valve flow calibration.
    3. Catalytic converter system.
    a. Active surface area.
    b. Volume of catalyst.
    c. Conversion efficiency.
    4. Backpressure.
    VIII. Evaporative Emission Control System.
    1. Control parameters and calibrations.
    2. Fuel tank.
    a. Pressure and vacuum relief settings.
    IX. Crankcase Emission Control System.
    1. Control parameters and calibrations.
    2. Valve calibration.
    X. Auxiliary Emission Control Devices (AECD).
    1. Control parameters and calibrations.
    2. Component calibration(s).
    XI. Emission Control Related Warning Systems.
    1. Control parameters and calibrations.
    2. Component calibrations.
    XII. Driveline Parameters.
    1. Axle ratio(s).

       b. heavy duty gasoline engine parameters and specifications

    I. Basic Engine Parameters.
    1. Compression ratio.
    2. Cranking compression pressure.
    3. Supercharger/turbocharger calibration.
    4. Valves (intake and exhaust).
    a. Head diameter dimension.
    b. Valve lifter or actuator type and valve lash dimension.
    5. Camshaft timing.
    a. Valve opening (degrees BTDC).
    b. Valve closing (degrees ATDC).
    c. Valve overlap (inch-degrees).
    II. Air Inlet System.
    1. Temperature control system calibration.
    III. Fuel System.
    1. General.
    a. Engine idle speed.
    b. Engine idle mixture.
    2. Carburetion.
    a. Air-fuel flow calibration.
    b. Transient enrichment system calibration.
    c. Starting enrichment system calibration.
    d. Altitude compensation system calibration.
    e. Hot idle compensation system calibration.
    3. Fuel injection.
    a. Control parameters and calibrations.
    b. Fuel shutoff system calibration.
    c. Starting enrichment system calibration.
    d. Transient enrichment system calibration.
    e. Air-fuel flow calibration.
    f. Altitude compensation system calibration.
    g. Operating pressure(s).
    h. Injector timing calibration.
    IV. Ignition System.
    1. Control parameters and calibration.
    2. Initial timing setting.
    3. Dwell setting.
    4. Altitude compensation system calibration.
    5. Spark plug voltage.
    V. Engine Cooling System.
    1. Thermostat calibration.
    VI. Exhaust Emission Control System.
    1. Air injection system.
    a. Control parameters and calibrations.
    b. Pump flow rate.
    2. EGR system.
    a. Control parameters and calibrations.
    b. EGR valve flow calibration.
    3. Catalytic converter system.
    a. Active surface area.
    b. Volume of catalyst.
    c. Conversion efficiency.
    4. Backpressure.
    VII. Evaporative Emission Control System.
    1. Control parameters and calibrations.
    2. Fuel tank.
    a. Pressure and vacuum relief settings.
    VIII. Crankcase Emission Control System.
    1. Control parameters and calibrations.
    2. Valve calibrations.
    IX. Auxiliary Emission Control Devices (AECD).
    1. Control parameters and calibrations.
    2. Component calibrations.
    X. Emission Control Related Warning Systems.
    1. Control parameters and calibrations.
    2. Component calibrations.

        c. heavy duty diesel engine parameters and specifications

    I. Basic Engine Parameters-Four Stroke Cycle Reciprocating Engines.
    1. Compression ratio.
    2. Cranking compression pressure.
    3. Supercharger/turbocharger calibration.
    4. Valves (intake and exhaust).
    a. Head diameter dimension.
    b. Valve lifter or actuator type and valve lash dimension.
    5. Camshaft timing.
    a. Valve opening (degrees BTDC).
    b. Valve closing (degrees ATDC).
    c. Valve overlap (inch-degrees).
    II. Basic Engine Parameters--Two-Stroke Cycle Reciprocating Engine.
    1.-5. Same as Section C.I.
    6. Intake port(s).
    a. Timing in combustion cycle.

[[Page 155]]

    7. Exhaust port(s).
    a. Timing in combustion cycle.
    III. Air Inlet System.
    1. Temperature control system calibration.
    2. Maximum allowable air inlet restriction.
    IV. Fuel System.
    1. Fuel injection.
    a. Control parameters and calibrations.
    b. Transient enrichment system calibration.
    c. Air-fuel flow calibration.
    d. Altitude compensation system calibration.
    e. Operating pressure(s).
    f. Injector timing calibration.
    V. Exhaust Emission Control System.
    1. Maximum allowable backpressure.
    VI. Crankcase Emission Control System.
    1. Control parameters and calibrations.
    2. Valve calibrations.
    VII. Auxiliary Emission Control Devices (AECD).
    1. Control parameters and calibrations.
    2. Component calibration(s).

[42 FR 28129, June 2, 1977]



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



Sec.
86.1 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.
86.000-16 Prohibition of defeat devices.
86.000-24 Test vehicles and engines.
86.000-26 Mileage and service accumulation; emission measurements.
86.000-28 Compliance with emission standards.
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.
86.007-17 On-board Diagnostics for engines used in applications less 
          than or equal to 14,000 pounds GVWR.
86.007-21 Application for certification.
86.007-23 Required data.
86.007-25 Maintenance.
86.007-30 Certification.
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.
86.010-2 Definitions.
86.010-18 On-board Diagnostics for engines used in applications greater 
          than 14,000 pounds GVWR.
86.010-38 Maintenance instructions.
86.078-3 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.

[[Page 156]]

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.
86.085-2 Definitions.
86.085-20 Incomplete vehicles, classification.
86.085-37 Production vehicles and engines.
86.087-2 Definitions.
86.088-2 Definitions.
86.090-2 Definitions.
86.090-3 Abbreviations.
86.090-5 General standards; increase in emissions; unsafe conditions.
86.090-27 Special test procedures.
86.091-2 Definitions.
86.091-7 Maintenance of records; submittal of information; right of 
          entry.
86.091-29 Testing by the Administrator.
86.092-2 Definitions.
86.093-2 Definitions.
86.094-2 Definitions.
86.094-3 Abbreviations.
86.094-7 Maintenance of records; submittal of information; right of 
          entry.
86.094-13 Light-duty exhaust durability programs.
86.094-14 Small-volume manufacturers certification procedures.
86.094-16 Prohibition of defeat devices.
86.094-21 Application for certification.
86.094-22 Approval of application for certification; test fleet 
          selections; determinations of parameters subject to adjustment 
          for certification and Selective Enforcement Audit, adequacy of 
          limits, and physically adjustable ranges.
86.094-25 Maintenance.
86.094-26 Mileage and service accumulation; emission requirements.
86.094-28 Compliance with emission standards.
86.094-30 Certification.
86.095-14 Small-volume manufacturers certification procedures.
86.095-23 Required data.
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.
86.096-21 Application for certification.
86.096-24 Test vehicles and engines.
86.096-26 Mileage and service accumulation; emission measurements.
86.096-30 Certification.
86.096-35 Labeling.
86.096-38 Maintenance instructions.
86.097-9 Emission standards for 1997 and later model year light-duty 
          trucks.
86.098-2 Definitions.
86.098-3 Abbreviations.
86.098-10 Emission standards for 1998 and later model year Otto-cycle 
          heavy-duty engines and vehicles.
86.098-14 Small-volume manufacturers certification procedures.
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.
86.099-8 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.

 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.
86.106-96 Equipment required; overview.
86.107-96 Sampling and analytical systems; evaporative emissions.
86.107-98 Sampling and analytical system.
86.108-00 Dynamometer.
86.108-79 Dynamometer.
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.

[[Page 157]]

86.113-94 Fuel specifications.
86.114-94 Analytical gases.
86.115-00 EPA urban dynamometer driving schedules.
86.115-78 EPA urban dynamometer driving schedule.
86.116-94 Calibrations, frequency and overview.
86.117-96 Evaporative emission enclosure calibrations.
86.118-00 Dynamometer calibrations.
86.118-78 Dynamometer calibration.
86.119-90 CVS calibration.
86.120-94 Gas meter or flow instrumentation calibration; particulate, 
          methanol and formaldehyde measurement.
86.121-90 Hydrocarbon analyzer calibration.
86.122-78 Carbon monoxide analyzer calibration.
86.123-78 Oxides of nitrogen analyzer calibration.
86.124-78 Carbon dioxide analyzer calibration.
86.125-94 Methane analyzer calibration.
86.126-90 Calibration of other equipment.
86.127-00 Test procedures; overview.
86.127-12 Test procedures; overview.
86.127-96 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.
86.130-96 Test sequence; general requirements.
86.131-00 Vehicle preparation.
86.131-96 Vehicle preparation.
86.132-00 Vehicle preconditioning.
86.132-96 Vehicle preconditioning.
86.133-96 Diurnal emission test.
86.134-96 Running loss test.
86.135-00 Dynamometer procedure.
86.135-12 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.
86.138-96 Hot soak test.
86.139-90 Particulate filter handling and weighing.
86.140-94 Exhaust sample analysis.
86.142-90 Records required.
86.143-96 Calculations; evaporative emissions.
86.144-94 Calculations; exhaust emissions.
86.145-82 Calculations; particulate emissions.
86.146-96 Fuel dispensing spitback procedure.
86.150-98 Refueling test procedure; overview.
86.151-98 General requirements; refueling test.
86.152-98 Vehicle preparation; refueling test.
86.153-98 Vehicle and canister preconditioning; refueling test.
86.154-98 Measurement procedure; refueling test.
86.155-98 Records required; refueling test.
86.156-98 Calculations; refueling test.
86.157-98 Refueling test procedures for liquefied petroleum gas-fueled 
          vehicles.
86.158-00 Supplemental Federal Test Procedures; overview.
86.158-08 Supplemental Federal Test Procedures; overview.
86.159-00 Exhaust emission test procedures for US06 emissions.
86.159-08 Exhaust emission test procedures for US06 emissions.
86.160-00 Exhaust emission test procedure for SC03 emissions.
86.161-00 Air conditioning environmental test facility ambient 
          requirements.
86.162-00 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.
86.164-08 Supplemental Federal Test Procedure calculations.
86.165-12 Air conditioning idle test procedure.
86.166-12 Method for calculating emissions due to air conditioning 
          leakage.

 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

86.201-11 General applicability.
86.201-94 General applicability.
86.202-94 Definitions.
86.203-94 Abbreviations.
86.204-94 Section numbering; construction.
86.205-11 Introduction; structure of this subpart.
86.205-94 Introduction; structure of this subpart.
86.206-11 Equipment required; overview.
86.206-94 Equipment required; overview.
86.207-94 [Reserved]

[[Page 158]]

86.208-94 Dynamometer.
86.209-94 Exhaust gas sampling system; gasoline-fueled vehicles.
86.210-08 Exhaust gas sampling system; Diesel-cycle vehicles not 
          requiring particulate emissions measurements.
86.210-94 [Reserved]
86.211-94 Exhaust gas analytical system.
86.212-94 [Reserved]
86.213-04 Fuel specifications.
86.213-11 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.
86.230-11 Test sequence: general requirements.
86.230-94 Test sequence; general requirements.
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.
86.237-08 Dynamometer test run, gaseous emissions.
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

86.401-97 General applicability.
86.401-2006 General applicability.
86.402-78 Definitions.
86.402-98 Definitions.
86.403-78 Abbreviations.
86.404-78 Section numbering.

[[Page 159]]

86.405-78 Measurement system.
86.406-78 Introduction, structure of subpart, further information.
86.407-78 Certificate of conformity required.
86.408-78 General standards; increase in emissions; unsafe conditions.
86.409-78 Defeat devices, prohibition.
86.410-90 Emission standards for 1990 and later model year motorcycles.
86.410-2006 Emission standards for 2006 and later model year 
          motorcycles.
86.411-78 Maintenance instructions, vehicle purchaser.
86.412-78 Maintenance instructions, submission to Administrator.
86.413-78 Labeling.
86.413-2006 Labeling.
86.414-78 Submission of vehicle identification number.
86.415-78 Production vehicles.
86.416-80 Application for certification.
86.417-78 Approval of application for certification.
86.418-78 Test fleet selection.
86.419-78 Engine displacement, motorcycle classes.
86.419-2006 Engine displacement, motorcycle classes.
86.420-78 Engine families.
86.421-78 Test fleet.
86.422-78 Administrator's fleet.
86.423-78 Test vehicles.
86.425-78 Test procedures.
86.426-78 Service accumulation.
86.427-78 Emission tests.
86.428-80 Maintenance, scheduled; test vehicles.
86.429-78 Maintenance, unscheduled; test vehicles.
86.430-78 Vehicle failure.
86.431-78 Data submission.
86.432-78 Deterioration factor.
86.434-78 Testing by the Administrator.
86.435-78 Extrapolated emission values.
86.436-78 Additional service accumulation.
86.437-78 Certification.
86.438-78 Amendments to the application.
86.439-78 Alternative procedure for notification of additions and 
          changes.
86.440-78 Maintenance of records.
86.441-78 Right of entry.
86.442-78 Denial, revocation, or suspension of certification.
86.443-78 Request for hearing.
86.444-78 Hearings on certification.
86.445-2006 What temporary provisions address hardship due to unusual 
          circumstances?
86.446-2006 What are the provisions for extending compliance deadlines 
          for small-volume manufacturers under hardship?
86.447-2006 What provisions apply to motorcycle engines below 50 cc that 
          are certified under the Small SI program or the Recreational-
          vehicle program?
86.448-2006 What provisions apply to vehicles certified under the 
          Recreational-vehicle program?
86.449 Averaging provisions.

Subpart F_Emission Regulations for 1978 and Later New Motorcycles, Test 
                               Procedures

86.501-78 Applicability.
86.502-78 Definitions.
86.503-78 Abbreviations.
86.504-78 Section numbering.
86.505-78 Introduction; structure of subpart.
86.505-2004 Introduction; structure of subpart.
86.508-78 Dynamometer.
86.509-90 Exhaust gas sampling system.
86.511-90 Exhaust gas analytical system.
86.513-94 Fuel and engine lubricant specifications.
86.513-2004 Fuel and engine lubricant specifications.
86.514-78 Analytical gases.
86.515-78 EPA urban dynamometer driving schedule.
86.516-90 Calibrations, frequency and overview.
86.518-78 Dynamometer calibration.
86.519-90 Constant volume sampler calibration.
86.521-90 Hydrocarbon analyzer calibration.
86.522-78 Carbon monoxide analyzer calibration.
86.523-78 Oxides of nitrogen analyzer calibration.
86.524-78 Carbon dioxide analyzer calibration.
86.526-90 Calibration of other equipment.
86.527-90 Test procedures, overview.
86.528-78 Transmissions.
86.529-98 Road load force and inertia weight determination.
86.530-78 Test sequence, general requirements.
86.531-78 Vehicle preparation.
86.532-78 Vehicle preconditioning.
86.535-90 Dynamometer procedure.
86.536-78 Engine starting and restarting.
86.537-90 Dynamometer test runs.
86.540-90 Exhaust sample analysis.
86.542-90 Records required.
86.544-90 Calculations; exhaust emissions.

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

    Editorial Note: Nomenclature changes to part 86 appear at 60 FR 
34377, June 30, 1995 and 69 FR 18803, Apr. 9, 2004.



Sec. 86.1  Reference materials.

    (a) The documents in paragraph (b) of this section have been 
incorporated by reference into this part with the approval of the 
Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 
51. To enforce any edition

[[Page 160]]

other than that specified in this section, a notice of change must be 
published in the Federal Register and the material must be available to 
the public. All approved material is available for inspection at the 
National Archives and Records Administration (NARA). For information on 
the availability of this material at NARA, call 202-741-6030 or go to 
http://www.archives.gov/federal--register/code--of--federal--
regulations/ibr-- locations.html. Also, the material is available for 
inspection at the Air Docket, EPA/DC, EPA West, Room B102, 1301 
Constitution Ave., NW., Washington, DC. The Public Reading Room is open 
from 8:30 a.m. to 4:30 p.m., Monday through Friday, excluding legal 
holidays. The telephone number for the Air Docket is 202-566-1742. 
Copies are also available from the sources listed below.
    (b) The following paragraphs set forth the material that has been 
incorporated by reference in this part.
    (1) ASTM material. Copies of these materials may be obtained from 
American Society for Testing and Materials, 100 Barr Harbor Drive, West 
Conshohocken, PA 19428-2959, or by calling 610-832-9585, or at http://
www.astm.org.
    (i) ASTM D 975-04c, Standard Specification for Diesel Fuel Oils, IBR 
approved for Sec. Sec. 86.1910, 86.213-11.
    (ii) ASTM D1945-91, Standard Test Method for Analysis of Natural Gas 
by Gas Chromatography, IBR approved for Sec. Sec. 86.113-94, 86.513-94, 
86.1213-94, 86.1313-94.
    (iii) ASTM D2163-91, Standard Test Method for Analysis of Liquefied 
Petroleum (LP) Gases and Propane Concentrates by Gas Chromatography, IBR 
approved for Sec. Sec. 86.113-94, 86.1213-94, 86.1313-94.
    (iv) ASTM D2986-95a, Reapproved 1999, Standard Practice for 
Evaluation of Air Assay Media by the Monodisperse DOP (Dioctyl 
Phthalate) Smoke Test, IBR approved for Sec. Sec. 86.1310-2007.
    (v) ASTM D5186-91, Standard Test Method for Determination of 
Aromatic Content of Diesel Fuels by Supercritical Fluid Chromatography, 
IBR approved for Sec. Sec. 86.113-07, 86.1313-91, 86.1313-94, 86.1313-
98, 1313-2007.
    (vi) ASTM E29-67, Reapproved 1980, Standard Recommended Practice for 
Indicating Which Places of Figures Are To Be Considered Significant in 
Specified Limiting Values, IBR approved for Sec. 86.1105-87.
    (vii) ASTM E29-90, Standard Practice for Using Significant Digits in 
Test Data to Determine Conformance with Specifications, IBR approved for 
Sec. Sec. 86.609-84, 86.609-96, 86.609-97, 86.609-98, 86.1009-84, 
86.1009-96, 86.1442, 86.1708-99, 86.1709-99, 86.1710-99, 86.1728-99.
    (viii) ASTM E29-93a, Standard Practice for Using Significant Digits 
in Test Data to Determine Conformance with Specifications, IBR approved 
for Sec. Sec. 86.098-15, 86.004-15, 86.007-11, 86.007-15, 86.1803-01, 
86.1823-01, 86.1824-01, 86.1825-01, 86.1837-01.
    (ix) ASTM F1471-93, Standard Test Method for Air Cleaning 
Performance of a High-Efficiency Particulate Air-Filter System, IBR 
approved Sec. 86.1310-2007.
    (2) SAE material. Copies of these materials may be obtained from 
Society of Automotive Engineers International, 400 Commonwealth Dr., 
Warrendale, PA 15096-0001, or by calling 724-776-4841, or at http://
www.sae.org.
    (i) SAE J1151, December 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), IBR approved for Sec. Sec. 86.111-94; 
86.1311-94.
    (ii) SAE J1349, June 1990, Engine Power Test Code--Spark Ignition 
and Compression Ignition, IBR approved for Sec. Sec. 86.094-8, 86.096-
8.
    (iii) SAE J1850, July 1995, Class B Data Communication Network 
Interface, IBR approved for Sec. Sec. 86.099-17, 86.1806-01.
    (iv) SAE J1850, Revised May 2001, Class B Data Communication Network 
Interface, IBR approved for Sec. Sec. 86.005-17, 86.007-17, 86.1806-04, 
86.1806-05.
    (v) SAE J1877, July 1994, Recommended Practice for Bar-Coded Vehicle 
Identification Number Label, IBR approved for Sec. Sec. 86.095-35, 
86.1806-01.

[[Page 161]]

    (vi) SAE J1892, October 1993, Recommended Practice for Bar-Coded 
Vehicle Emission Configuration Label, IBR approved for Sec. Sec. 
86.095-35, 86.1806-01.
    (vii) SAE J1930, Revised May 1998, Electrical/Electronic Systems 
Diagnostic Terms, Definitions, Abbreviations, and Acronyms, IBR approved 
for Sec. Sec. 86.096-38, 86.004-38, 86.007-38, 86.010-38, 86.1808-01, 
86.1808-07.
    (viii) SAE J1930, Revised April 2002, Electrical/Electronic Systems 
Diagnostic Terms, Definitions, Abbreviations, and Acronyms--Equivalent 
to ISO/TR 15031-2: April 30, 2002, IBR approved for Sec. Sec. 86.005-
17, 86.007-17, 86.010-18, 86.1806-04, 86.1806-05.
    (ix) SAE J1937, November 1989, Engine Testing with Low Temperature 
Charge Air Cooler Systems in a Dynamometer Test Cell, IBR approved for 
Sec. Sec. 86.1330-84, 86.1330-90.
    (x) SAE J1939, Revised October 2007, Recommended Practice for a 
Serial Control and Communications Vehicle Network, IBR approved for 
Sec. Sec. 86.010-18.
    (xi) SAE J1939-11, December 1994, Physical Layer--250K bits/s, 
Shielded Twisted Pair, IBR approved for Sec. Sec. 86.005-17, 86.1806-
05.
    (xii) SAE J1939-11, Revised October 1999, Physical Layer--250K bits/
s, Shielded Twisted Pair, IBR approved for Sec. Sec. 86.005-17, 86.007-
17, 86.1806-04, 86.1806-05.
    (xiii) SAE J1939-13, July 1999, Off-Board Diagnostic Connector, IBR 
approved for Sec. Sec. 86.005-17, 86.007-17, 86.1806-04, 86.1806-05.
    (xiv) SAE J1939-13, Revised March 2004, Off-Board Diagnostic 
Connector, IBR approved for Sec. 86.010-18.
    (xv) SAE J1939-21, July 1994, Data Link Layer, IBR approved for 
Sec. Sec. 86.005-17, 86.1806-05.
    (xvi) SAE J1939-21, Revised April 2001, Data Link Layer, IBR 
approved for Sec. Sec. 86.005-17, 86.007-17, 86.1806-04, 86.1806-05.
    (xvii) SAE J1939-31, Revised December 1997, Network Layer, IBR 
approved for Sec. Sec. 86.005-17, 86.007-17, 86.1806-04, 86.1806-05.
    (xviii) SAE J1939-71, May 1996, Vehicle Application Layer, IBR 
approved for Sec. Sec. 86.005-17, 86.1806-05.
    (xix) SAE J1939-71, Revised August 2002, Vehicle Application Layer--
J1939-71 (through 1999), IBR approved for Sec. Sec. 86.005-17, 86.007-
17, 86.1806-04, 86.1806-05.
    (xx) SAE J1939-71, Revised January 2008, Vehicle Application Layer 
(Through February 2007), IBR approved for Sec. 86.010-38.
    (xxi) SAE J1939-73, February 1996, Application Layer--Diagnostics, 
IBR approved for Sec. Sec. 86.005-17, 86.1806-05.
    (xxii) SAE J1939-73, Revised June 2001, Application Layer--
Diagnostics, IBR approved for Sec. Sec. 86.005-17, 86.007-17, 86.1806-
04, 86.1806-05.
    (xxiii) SAE J1939-73, Revised September 2006, Application Layer--
Diagnostics, IBR approved for Sec. Sec. 86.010-18, 86.010-38.
    (xxiv) SAE J1939-81, July 1997, Recommended Practice for Serial 
Control and Communications Vehicle Network Part 81--Network Management, 
IBR approved for Sec. Sec. 86.005-17, 86.007-17, 86.1806-04, 86.1806-
05.
    (xxv) SAE J1939-81, Revised May 2003, Network Management, IBR 
approved for Sec. 86.010-38.
    (xxvi) SAE J1962, January 1995, Diagnostic Connector, IBR approved 
for Sec. Sec. 86.099-17, 86.1806-01.
    (xxvii) SAE J1962, Revised April 2002, Diagnostic Connector 
Equivalent to ISO/DIS 15031-3; December 14, 2001, IBR approved for 
Sec. Sec. 86.005-17, 86.007-17, 86.010-18, 86.1806-04, 86.1806-05.
    (xxviii) SAE J1978, Revised April 2002, OBD II Scan Tool--Equivalent 
to ISO/DIS 15031-4; December 14, 2001, IBR approved for Sec. Sec. 
86.005-17, 86.007-17, 86.010-18, 86.1806-04, 86.1806-05.
    (xxix) SAE J1979, July 1996, E/E Diagnostic Test Modes, IBR approved 
for Sec. Sec. 86.099-17, 86.1806-01.
    (xxx) SAE J1979, Revised September 1997, E/E Diagnostic Test Modes, 
IBR approved for Sec. Sec. 86.096-38, 86.004-38, 86.007-38, 86.010-38, 
86.1808-01, 86.1808-07.
    (xxxi) SAE J1979, Revised April 2002, E/E Diagnostic Test Modes--
Equivalent to ISO/DIS 15031-5; April 30, 2002, IBR approved for 
Sec. Sec. 86.099-17, 86.005-17, 86.007-17, 86.1806-01, 86.1806-04, 
86.1806-05.
    (xxxii) SAE J1979, Revised May 2007, (R) E/E Diagnostic Test Modes, 
IBR approved for Sec. 86.010-18, 86.010-38.
    (xxxiii) SAE J2012, July 1996, Recommended Practice for Diagnostic 
Trouble Code Definitions, IBR approved for Sec. Sec. 86.099-17, 
86.1806-01.

[[Page 162]]

    (xxxiv) SAE J2012, Revised April 2002, (R) Diagnostic Trouble Code 
Definitions Equivalent to ISO/DIS 15031-6: April 30, 2002, IBR approved 
for Sec. Sec. 86.005-17, 86.007-17, 86.010-18, 86.1806-04, 86.1806-05.
    (xxxv) SAE J2284-3, May 2001, High Speed CAN (HSC) for Vehicle 
Applications at 500 KBPS, IBR approved for Sec. Sec. 86.096-38, 86.004-
38, 86.007-38, 86.010-38, 86.1808-01, 86.1808-07.
    (xxxvi) SAE J2403, Revised August 2007, Medium/Heavy-Duty E/E 
Systems Diagnosis Nomenclature--Truck and Bus, IBR approved for 
Sec. Sec. 86.007-17, 86.010-18, 86.010-38, 86.1806-05.
    (xxxvii) SAE J2534, February 2002, Recommended Practice for Pass-
Thru Vehicle Programming, IBR approved for Sec. Sec. 86.096-38, 86.004-
38, 86.007-38, 86.010-38, 86.1808-01, 86.1808-07.
    (xxxviii) SAE J2534-1, Revised December 2004, (R) Recommended 
Practice for Pass-Thru Vehicle Programming, IBR approved for Sec. 
86.010-38.
    (xxxix) SAE J2064, Revised December 2005, R134a Refrigerant 
Automotive Air-Conditioned Hose, IBR approved for Sec. 86.166-12.
    (xl) SAE J2765, October, 2008, Procedure for Measuring System COP 
[Coefficient of Performance] of a Mobile Air Conditioning System on a 
Test Bench, IBR approved for Sec. 86.1866-12.
    (3) ANSI material. Copies of these materials may be obtained from 
the American National Standards Institute, 25 W 43rd Street, 4th Floor, 
New York, NY 10036, or by calling 212-642-4900, or at http://
www.ansi.org.
    (i) ANSI/AGA NGV1-1994, Standard for Compressed Natural Gas Vehicle 
(NGV) Fueling Connection Devices, IBR approved for Sec. Sec. 86.001-9, 
86.004-9, 86.098-8, 86.099-8, 86.099-9, 86.1810-01.
    (ii) [Reserved]
    (4) California regulatory requirements. Copies of these materials 
may be obtained from U.S. EPA, see paragraph (a) of this section, or 
from the California Air Resources Board by calling 916-322-2884, or at 
http://www.arb.ca.gov.
    (i) California Regulatory Requirements Applicable to the ``LEV II'' 
Program, including:
    (A) California Exhaust Emission Standards and Test Procedures for 
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, IBR approved for 
Sec. Sec. 86.1806-01, 86.1811-04, 86.1844-01.
    (B) California Non-Methane Organic Gas Test Procedures, August 5, 
1999, IBR approved for Sec. Sec. 86.1803-01, 86.1810-01, 86.1811-04.
    (ii) California Regulatory Requirements Applicable to the National 
Low Emission Vehicle Program, October 1996, IBR approved for Sec. Sec. 
86.113-04, 86.612-97, 86.1012-97, 86.1702-99, 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.
    (iii) California Regulatory Requirements known as On-board 
Diagnostics II (OBD-II), Approved on April 21, 2003, Title 13, 
California Code Regulations, Section 1968.2, Malfunction and Diagnostic 
System Requirements for 2004 and Subsequent Model-Year Passenger Cars, 
Light-Duty Trucks, and Medium-Duty Vehicles and Engines (OBD-II), IBR 
approved for Sec. 86.1806-05.
    (iv) California Regulatory Requirements known as On-board 
Diagnostics II (OBD-II), Approved on November 9, 2007, Title 13, 
California Code Regulations, Section 1968.2, Malfunction and Diagnostic 
System Requirements for 2004 and Subsequent Model-Year Passenger Cars, 
Light-Duty Trucks, and Medium-Duty Vehicles and Engines (OBD-II), IBR 
approved for Sec. Sec. 86.007-17, 86.1806-05.
    (5) ISO material. Copies of these materials may be obtained from the 
International Organization for Standardization, Case Postale 56, CH-1211 
Geneva 20, Switzerland, or by calling 41-22-749-01-11, or at http://
www.iso.org.
    (i) ISO 9141-2, February 1, 1994, Road vehicles--Diagnostic 
systems--Part 2: CARB requirements for interchange of digital 
information, IBR approved for Sec. Sec. 86.099-17, 86.005-17, 86.007-
17, 86.1806-01, 86.1806-04, 86.1806-05.
    (ii) ISO 14230-4:2000(E), June 1, 2000, Road vehicles--Diagnostic 
systems--KWP 2000 requirements for Emission-related systems, IBR 
approved for Sec. Sec. 86.099-17, 86.005-17, 86.007-17, 86.1806-01, 
86.1806-04, 86.1806-05.
    (iii) ISO 15765-4.3:2001, December 14, 2001, Road Vehicles--
Diagnostics on Controller Area Networks (CAN)--Part

[[Page 163]]

4: Requirements for emissions-related systems, IBR approved for 
Sec. Sec. 86.005-17, 86.007-17, 86.1806-04, 86.1806-05.
    (iv) ISO 15765-4:2005(E), January 15, 2005, Road Vehicles--
Diagnostics on Controller Area Networks (CAN)--Part 4: Requirements for 
emissions-related systems, IBR approved for Sec. Sec. 86.007-17, 
86.010-18, 86.1806-05.
    (6) NIST material. NIST publications are sold by the Government 
Printing Office (GPO) and by the National Technical Information Service 
(NTIS). To purchase a NIST publication you must have the order number. 
Order numbers are available from the NIST Public Inquiries Unit at (301) 
975-NIST. Mailing address: NIST Public Inquiries, NIST, 100 Bureau 
Drive, Stop 3460, Gaithersburg, Md., 20899-3460. If you have a GPO stock 
number, you can purchase printed copies of NIST publications from GPO. 
Orders should be sent to the Superintendent of Documents, U.S. 
Government Printing Office, Washington, DC 20402-9325. For more 
information, or to place an order, call (202) 512-1800, fax: (202) 512-
2250. More information can also be found at http://www.nist.gov.
    (i) NIST Special Publication 811, 1995 Edition, Guide for the Use of 
the International System of Units (SI), IBR approved for Sec. 86.1901.
    (ii) [Reserved]
    (7) Truck and Maintenance Council material. Copies of these 
materials may be obtained from the Truck and Maintenance Council, 950 
North Glebe Road, Suite 210, Arlington, VA 22203-4181, or by calling 
703-838-1754.
    (i) TMC RP 1210B, Revised June 2007, WINDOWSTM 
COMMUNICATION API, IBR approved for Sec. 86.010-38.
    (ii) [Reserved]

[74 FR 8354, Feb. 24, 2009, as amended at 75 FR 25677, May 7, 2010]



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 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.

[[Page 164]]

    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)-(c)(2) [Reserved]. For guidance see Sec. 86.091-7.
    (c)(3) [Reserved]. For guidance see Sec. 86.094-7.
    (c)(4)-(d)(1)(v) [Reserved]. For guidance see Sec. 86.091-7.
    (d)(1)(vi)-(d)(2)(iv) [Reserved]. For guidance see Sec. 86.094-7.
    (d)(3)-(g) [Reserved]. For guidance see Sec. 86.091-7.
    (h)(1) 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)-(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 standards or 
to the respective evaporative and/or refueling test procedure and 
accompanying evaporative and/or refueling standards as set forth or 
otherwise referenced in Sec. 86.000-8, Sec. 86.000-9, or Sec. 86.098-
10 for which the manufacturer fails to retain the records required in 
this section or to provide such information to the Administrator upon 
request.
    (h)(6)(ii)-(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

[[Page 165]]

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)-(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 dtandards. (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 Sec. Sec. 86.096-8 
(a)(1) introductory text through (a)(1)(ii)(B) and 86.099-8 (a)(1)(iii)-
(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 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

[[Page 166]]

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 Sec. Sec. 
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)-(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)-(b)(4) [Reserved]. For guidance see Sec. 86.099-9.
    (b)(5) [Reserved]
    (c) [Reserved]. For guidance see Sec. 86.097-9.
    (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 Sec. Sec. 86.097-9(a)(1) introductory text through (a)(1)(iii) and 
86.099-9(a)(1)(iv)-(a)(3):

[[Page 167]]



  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.
    (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.

[[Page 168]]

    (v) The requirement to use a single roll dynamometer (or a 
dynamometer which produces equivalent results), discussed in Sec. Sec. 
86.108-00, 86.118-00, and 86.129-00, 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 Sec. Sec. 86.097-9(a)(1) 
introductory text through (a)(1)(iii) and 86.099-9(a)(1)(iv)-(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
                                        Diesel...................  LDT3.....................   3751-5750          NA          NA          NA          NA
                                                                   LDT4.....................  5750
Full..................................  Gasoline.................  LDT3.....................   3751-5750        1.44         5.6        16.9         6.4
                                                                   LDT4.....................  5750
                                        Diesel...................  LDT3.....................   3751-5750          NA          NA          NA          NA
                                                                   LDT4.....................  5750
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (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.

[[Page 169]]

    (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 Sec. Sec. 
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)-(k) [Reserved]. For guidance see Sec. 86.097-9.

[61 FR 54879, Oct. 22, 1996]



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

[[Page 170]]

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)-(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. 86.000-24  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)-(a)(7) [Reserved]. For guidance see Sec. 86.098-24.
    (a)(8)-(b)(1) introductory text [Reserved]. For guidance see Sec. 
86.096-24.
    (b)(1)(i) Vehicles are chosen to be operated and tested for emission 
data based upon engine family groupings. Within each engine family, one 
test vehicle is selected. If air conditioning is projected to be 
available on any vehicles within the engine family, the Administrator 
will limit selections to engine codes which have air conditioning 
available and will require that any vehicle selected under this section 
has air conditioning installed and operational. The Administrator 
selects as the test vehicle the vehicle with the heaviest equivalent 
test weight (including options) within the family which meets the air 
conditioning eligibility requirement discussed earlier in this section. 
If more than one vehicle meets this criterion, then within that vehicle 
grouping, the Administrator selects, in the order listed, the highest 
road-load power, largest displacement, the transmission with the highest 
numerical final gear ratio (including overdrive), the highest numerical 
axle ratio offered in that engine family, and the maximum fuel flow 
calibration.
    (ii) The Administrator selects one additional test vehicle from 
within each engine family. The additional vehicle selected is the 
vehicle expected to exhibit the highest emissions of those vehicles 
remaining in the engine family. The selected vehicle will include an air 
conditioning engine code unless the Administrator chooses a worst 
vehicle configuration that is not available with air conditioning. If 
all vehicles within the engine family are similar, the Administrator may 
waive the requirements of this paragraph.
    (b)(1)(iii)-(b)(1)(vi) [Reserved]. For guidance see Sec. 86.096-24.
    (b)(1)(vii)(A)-(b)(1)(viii)(A) [Reserved]. For guidance see Sec. 
86.098-24.
    (b)(1)(viii)(B)-(e)(2) [Reserved]. For guidance see Sec. 86.096-24.
    (f) [Reserved]. For guidance see Sec. 86.098-24.
    (g)(1)-(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 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. 86.000-26  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

[[Page 171]]

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 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)-(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)-(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)-(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

[[Page 172]]

with Specifications (incorporated by reference; see Sec. 86.1).
    (a)(7)-(a)(9)(i) [Reserved]. For guidance see Sec. 86.094-26.
    (a)(9)(ii) The test procedures in Sec. Sec. 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)-(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).
    (b)(2)(iii)-(b)(4)(i)(C) [Reserved]. For guidance see Sec. 86.094-
26.
    (b)(4)(i)(D)-(b)(4)(ii)(D) [Reserved]. For guidance see Sec. 
86.095-26.
    (b)(4)(iii) [Reserved]
    (b)(4)(iv)-(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)-(d)(6) [Reserved]. For guidance see Sec. 86.094-26.

[61 FR 54883, Oct. 22, 1996]



Sec. 86.000-28  Compliance with emission standards.

    (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 Sec. Sec. 86.000-2 and 86.000-8.
    (3) [Reserved]
    (a)(4) Introductory text [Reserved]. For guidance see Sec. 86.098-
28.
    (a)(4)(i)(A)-(a)(4)(i)(B)(2)(i) [Reserved]
    (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)(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 NMHC and NOX must each be multiplied by 
their corresponding deterioration factors before the composite 
(NMHC+NOX) standard is calculated.

[[Page 173]]

    (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) [Reserved]
    (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)(5)-(a)(6) [Reserved]
    (a)(7) introductory text [Reserved]. For guidance see Sec. 86.098-
28.
    (a)(7)(ii)-(b)(4)(i) [Reserved]
    (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 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

[[Page 174]]

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]

[61 FR 54884, Oct. 22, 1996, as amended at 75 FR 22978, Apr. 30, 2010]



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.

[[Page 175]]

    (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.''
    (a)(1) introductory text through (a)(1)(iii) [Reserved]. For 
guidance see Sec. 86.097-9.
    (a)(1)(iv)-(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)-(k) [Reserved]. For guidance see Sec. 86.097-9.

[61 FR 54886, Oct. 22, 1996]

[[Page 176]]



Sec. 86.001-21  Application for certification.

    Section 86.001-21 includes text that specifies requirements that 
differ from Sec. 86.094-21 or Sec. 86.096-21. Where a paragraph in 
Sec. 86.094-21 or Sec. 86.096-21 is identical and applicable to Sec. 
86.001-21, this may be indicated by specifying the corresponding 
paragraph and the statement ``[Reserved]. For guidance see Sec. 86.094-
21.'' or ``[Reserved]. For guidance see Sec. 86.096-21.''
    (a)-(b)(1)(i)(B) [Reserved]. For guidance see Sec. 86.094-21.
    (b)(1)(i)(C) The manufacturer must submit a Statement of Compliance 
in the application for certification which attests to the fact that they 
have assured themselves that the engine family is designed to comply 
with the intermediate temperature cold testing criteria of subpart C of 
this part, and does not unnecessarily reduce emission control 
effectiveness of vehicles operating at high altitude or other conditions 
not experienced within the US06 (aggressive driving) and SC03 (air 
conditioning) test cycles.
    (b)(1)(i)(C)(1)-(b)(1)(ii)(C) [Reserved]. For guidance see Sec. 
86.094-21.
    (b)(2) Projected U.S. sales data sufficient to enable the 
Administrator to select a test fleet representative of the vehicles (or 
engines) for which certification is requested, and data sufficient to 
determine projected compliance with the standards implementation 
schedules of Sec. 86.000-8 and 86.000-9. Volume projected to be 
produced for U.S. sale may be used in lieu of projected U.S. sales.
    (b)(3) A description of the test equipment and fuel proposed to be 
used.
    (b)(4)(i) For light-duty vehicles and light-duty trucks, a 
description of the test procedures to be used to establish the 
evaporative emission and/or refueling emission deterioration factors, as 
appropriate, required to be determined and supplied in Sec. 86.001-
23(b)(2).
    (b)(4)(ii)-(b)(5)(iv) [Reserved]. For guidance see Sec. 86.094-21.
    (b)(5)(v) For light-duty vehicles and applicable light-duty trucks 
with non-integrated refueling emission control systems, the number of 
continuous UDDS cycles, determined from the fuel economy on the UDDS 
applicable to the test vehicle of that evaporative/refueling emission 
family-emission control system combination, required to use a volume of 
fuel equal to 85% of fuel tank volume.
    (b)(6)-(b)(8) [Reserved]. For guidance see Sec. 86.094-21.
    (b)(9) For each light-duty vehicle, light-duty truck, evaporative/
refueling emission family or heavy-duty vehicle evaporative emission 
family, a description of any unique procedures required to perform 
evaporative and/or refueling emission tests, as applicable, (including 
canister working capacity, canister bed volume, and fuel temperature 
profile for the running loss test) for all vehicles in that evaporative 
and/or evaporative/refueling emission family, and a description of the 
method used to develop those unique procedures.
    (10) For each light-duty vehicle or applicable light-duty truck 
evaporative/refueling emission family, or each heavy-duty vehicle 
evaporative emission family:
    (i) Canister working capacity, according to the procedures specified 
in Sec. 86.132-96(h)(1)(iv);
    (ii) Canister bed volume; and
    (iii) Fuel temperature profile for the running loss test, according 
to the procedures specified in Sec. 86.129-94(d).
    (c)-(j) [Reserved]. For guidance see Sec. 86.094-21.
    (k) and (l) [Reserved]. For guidance see Sec. 86.096-21.

[61 FR 54886, Oct. 22, 1996]



Sec. 86.001-22  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)-(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

[[Page 177]]

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)-(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 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)-(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)-(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)-(a)(4) [Reserved]. For guidance see Sec. 86.096-24.
    (a)(5)-(a)(7) [Reserved]. For guidance see Sec. 86.098-24.
    (a)(8)-(b)(1) introductory text [Reserved]. For guidance see Sec. 
86.096-24.
    (b)(1)(i)-(b)(1)(ii) [Reserved]. For guidance see Sec. 86.000-24.
    (b)(1)(iii)-(b)(1)(vi) [Reserved]. For guidance see Sec. 86.096-24.
    (b)(1)(vii)(A)-(b)(1)(viii)(A) [Reserved]. For guidance see Sec. 
86.098-24.
    (b)(1)(viii)(B)-(e)(2) [Reserved]. For guidance see Sec. 86.096-24.
    (f) Carryover and carryacross of durability and emission data. In 
lieu of testing an emission-data or durability vehicle (or engine) 
selected under Sec. 86.096-24(b)(1) introductory text,

[[Page 178]]

(b)(1)(iii)-(b)(1)(vi) and Sec. 86.000-24(b)(1)(i)-(b)(1)(ii) and Sec. 
86.098-24(b)(1)(vii)(A)-(b)(1)(viii)(A) or Sec. 86.096-24(c), and 
submitting data therefor, a manufacturer may, with the prior written 
approval of the Administrator, submit exhaust emission data, evaporative 
emission data and/or refueling emission data, as applicable, on a 
similar vehicle (or engine) for which certification has been obtained or 
for which all applicable data required under Sec. 86.001-23 has 
previously been submitted.
    (g)(1)-(g)(2) [Reserved]. For guidance see Sec. 86.096-24.
    (g)(3)-(g)(4) [Reserved]. For guidance see Sec. 86-000-24.
    (h) [Reserved]. For guidance see Sec. 86.096-24.

[61 FR 54887, Oct. 22, 1996]



Sec. 86.001-25  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)-(b)(3)(vi)(J) [Reserved]. For guidance see Sec. 
86.098-25.
    (b)(3)(vii)-(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)-(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)-(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)-(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)-(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)-(a)(6)(ii) [Reserved]. For guidance see Sec. 86.094-
26.
    (a)(6)(iii) [Reserved]. For guidance see Sec. 86.000-26.
    (a)(7)-(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)-(b)(2) introductory text [Reserved]. For guidance see 
Sec. 86.094-26.
    (b)(2)(i)-(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)-(b)(4)(i)(B) [Reserved]. For guidance see Sec. 86.094-26.

[[Page 179]]

    (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)-(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 
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)-(c)(3) [Reserved]. For guidance see Sec. 86.094-26.
    (c)(4) [Reserved]. For guidance see Sec. 86.096-26.
    (d)-(d)(2)(i) [Reserved]. For guidance see Sec. 86.094-26.
    (d)(2)(ii) [Reserved]. For guidance see Sec. 86.000-26.
    (d)(3)-(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)-(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)-(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)-(a)(4)(i)(B)(2)(iv) [Reserved]. For guidance 
see Sec. 86.094-28.
    (a)(4)(i)(C)-(a)(4)(i)(D)(2) [Reserved]. For guidance see Sec. 
86.098-28.
    (a)(4)(ii)(A)(1)-(a)(4)(ii)(A)(2) [Reserved]. For guidance see Sec. 
86.000-28.
    (a)(4)(ii)(B)-(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)-(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 
Sec. Sec. 86.098-2 and 86.001-9.
    (b)(3)-(b)(4)(i) [Reserved]. For guidance see Sec. 86.094-28.
    (b)(4)(ii)-(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.

[[Page 180]]

    (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).
    (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)-(d)(4) [Reserved]. For guidance see Sec. 86.094-28.
    (d)(5)-(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 Sec. Sec. 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

[[Page 181]]

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 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)-(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)-(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)-(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)-(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

[[Page 182]]

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)-(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)-(iv) [Reserved]. For guidance see Sec. 86.098-30.
    (b)(5)-(e) [Reserved]. For guidance see Sec. 86.094-30.
    (f) introductory text through (f)(3) [Reserved]. For guidance see 
Sec. 86.095-30.
    (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)-(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)-(a)(2)(iii)(E) [Reserved]. For guidance see Sec. 
86.095-35.
    (a)(2)(iii)(F) [Reserved]
    (a)(2)(iii)(G)-(a)(2)(iii)(K) [Reserved]. For guidance see Sec. 
86.095-35.
    (a)(2)(iii)(L) [Reserved]
    (a)(2)(iii)(M)-(a)(2)(iii)(N) [Reserved]. For guidance see Sec. 
86.095-35.
    (a)(2)(iii) (O)-(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)-(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

[[Page 183]]

emission control systems on the portion of these vehicles subject to the 
evaporative emission test requirements of Sec. 86.130-96, and/or the 
refueling emission test requirements of Sec. 86.151-98, is defined as a 
period of use of 10 years or 100,000 miles, whichever occurs first.
    (2) For light light-duty trucks subject to the Tier 0 standards of 
Sec. 86.094-9(a), and for heavy light-duty truck engine families, 
intermediate and/or full useful life. Intermediate useful life is a 
period of use of 5 years or 50,000 miles, whichever occurs first. Full 
useful life is a period of use of 11 years or 120,000 miles, whichever 
occurs first. The useful life of evaporative emission and/or refueling 
control systems on the portion of these vehicles subject to the 
evaporative emission test requirements of Sec. 86.130-96, and/or the 
refueling emission test requirements of Sec. 86.151-98, is also defined 
as a period of 11 years or 120,000 miles, whichever occurs first.
    (3) For an Otto-cycle HDE family:
    (i) For hydrocarbon and carbon monoxide standards, a period of use 
of 10 years or 110,000 miles, whichever first occurs.
    (ii) For the oxides of nitrogen standard, a period of use of 10 
years or 110,000 miles, whichever first occurs.
    (iii) For the portion of evaporative emission control systems 
subject to the evaporative emission test requirements of Sec. 86.1230-
96, a period of use of 10 years or 110,000 miles, whichever first 
occurs.
    (4) For a diesel HDE family:
    (i) For light heavy-duty diesel engines, for carbon monoxide, 
particulate, and oxides of nitrogen plus non-methane hydrocarbons 
emissions standards, a period of use of 10 years or 110,000 miles, 
whichever first occurs.
    (ii) For medium heavy-duty diesel engines, for carbon monoxide, 
particulate, and oxides of nitrogen plus non-methane hydrocarbons 
emission standards, a period of use of 10 years or 185,000 miles, 
whichever first occurs.
    (iii) For heavy heavy-duty diesel engines, for carbon monoxide, 
particulate, and oxides of nitrogen plus non-methane hydrocarbon 
emissions standards, a period of use of 10 years or 435,000 miles, or 
22,000 hours, whichever 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,

[[Page 184]]

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)-(b)(4) [Reserved]. For guidance see Sec. 86.099-9.
    (b)(5) [Reserved]
    (b)(6) [Reserved]. For guidance see Sec. 86.001-9.
    (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)-(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)-(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

[[Page 185]]

programs for HDEs, within the restrictions described in Sec. 86.004-15 
or superseding applicable sections. If the manufacturer elects to 
include engine families in any of these programs, the NOX 
plus NMHC (or NOX plus NMHCE for methanol-fueled engines) 
FELs may not exceed 4.5 grams per brake horsepower-hour (1.7 grams per 
megajoule). This ceiling value applies whether credits for the family 
are derived from averaging, banking, or trading programs. Additionally, 
families certified to the optional standard contained in paragraph 
(a)(1)(i)(C) of this section shall not exceed 0.50 grams per brake 
horsepower-hour (0.19 gram per megajoule) NMHC (or NMHCE for methanol-
fueled engines) through the use of credits.
    (E) [Reserved]
    (ii) Carbon monoxide. (A) 15.5 grams per brake horsepower-hour (5.77 
grams per megajoule), as measured under transient operating conditions.
    (B) 0.50 percent of exhaust gas flow at curb idle (methanol-, 
natural gas-, and liquefied petroleum gas-fueled diesel HDEs only).
    (iii) Particulate. (A) For diesel engines to be used in urban buses, 
0.05 gram per brake horsepower-hour (0.019 gram per megajoule) for 
certification testing and selective enforcement audit testing, and 0.07 
gram per brake horsepower-hour (0.026 gram per megajoule) for in-use 
testing, as measured under transient operating conditions.
    (B) For all other diesel engines, 0.10 gram per brake horsepower-
hour (0.037 gram per megajoule), as measured under transient operating 
conditions.
    (C) A manufacturer may elect to include any or all of its diesel HDE 
families in any or all of the particulate ABT programs for HDEs, within 
the restrictions described in Sec. 86.004-15 or superseding applicable 
sections. If the manufacturer elects to include engine families in any 
of these programs, the particulate FEL may not exceed 0.25 gram per 
brake horsepower-hour (0.093 gram per megajoule).
    (2) The standards set forth in paragraph (a)(1) of this section 
refer to the exhaust emitted over the operating schedule set forth in 
paragraph (f)(2) of appendix I to this part, and measured and calculated 
in accordance with the procedures set forth in subpart N or P of this 
part, except as noted in Sec. 86.098-23(c)(2) or superceding sections.
    (b)(1) The opacity of smoke emission from new 2004 and later model 
year diesel HDEs shall not exceed:
    (i) 20 percent during the engine acceleration mode.
    (ii) 15 percent during the engine lugging mode.
    (iii) 50 percent during the peaks in either mode.
    (2) The standards set forth in paragraph (b)(1) of this section 
refer to exhaust smoke emissions generated under the conditions set 
forth in subpart I of this part and measured and calculated in 
accordance with those procedures.
    (3) 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

[[Page 186]]

(b)(3) of this section refer to a composite sample of evaporative 
emissions collected under the conditions and measured in accordance with 
the procedures set forth in subpart M of this part. For certification 
vehicles only, manufacturers may conduct testing to quantify a level of 
nonfuel background emissions for an individual test vehicle. Such a 
demonstration must include a description of the source(s) of emissions 
and an estimated decay rate. The demonstrated level of nonfuel 
background emissions may be subtracted from emission test results from 
certification vehicles if approved in advance by the Administrator.
    (B) For vehicles with a Gross Vehicle Weight Rating of greater than 
26,000 lbs., the standards set forth in paragraph (b)(3)(ii) of this 
section refer to the manufacturer's engineering design evaluation using 
good engineering practice (a statement of which is required in Sec. 
86.091-23(b)(4)(ii)).
    (iv) All fuel vapor generated during in-use operations shall be 
routed exclusively to the evaporative control system (e.g., either 
canister or engine purge). The only exception to this requirement shall 
be for emergencies.
    (4) Evaporative emissions from 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

[[Page 187]]

Sec. 86.005-10(f), the ABT program requirements contained in Sec. 
86.000-15 apply for 2004 model year Otto-cycle engines, rather than the 
provisions contained in this Sec. 86.004-15. Participation in these 
programs is voluntary.
    (2)(i) Engine families with FELs exceeding the applicable standard 
shall obtain emission credits in a mass amount sufficient to address the 
shortfall. Credits may be obtained from averaging, trading, or banking, 
within the averaging set restrictions described in this section.
    (ii) Engine families with FELs below the applicable standard will 
have emission credits available to average, trade, bank or a combination 
thereof. Credits may not be used for averaging or trading to offset 
emissions that exceed an FEL. Credits may not be used to remedy an in-
use nonconformity determined by a Selective Enforcement Audit or by 
recall testing. However, credits may be used to allow subsequent 
production of engines for the family in question if the manufacturer 
elects to recertify to a higher FEL.
    (b) Participation in the NOX plus NMHC and/or particulate 
averaging, trading, and banking programs shall be done as follows:
    (1) During certification, the manufacturer shall:
    (i) Declare its intent to include specific engine families in the 
averaging, trading and/or banking programs. Separate declarations are 
required for each program and for each pollutant (i.e., NOX 
plus NMHC, and particulate).
    (ii) Declare an FEL for each engine family participating in one or 
more of these two programs.
    (A) The FEL must be to the same level of significant digits as the 
emission standard (one-tenth of a gram per brake horsepower-hour for 
NOX plus NMHC emissions and one-hundredth of a gram per brake 
horsepower-hour for particulate emissions).
    (B) In no case may the FEL exceed the upper limit prescribed in the 
section concerning the applicable heavy-duty engine NOX plus 
NMHC and particulate emission standards.
    (iii) Calculate the projected emission credits (positive or 
negative) based on quarterly production projections for each 
participating family and for each pollutant, using the applicable 
equation in paragraph (c) of this section and the applicable factors for 
the specific engine family.
    (iv)(A) Determine and state the source of the needed credits 
according to quarterly projected production for engine families 
requiring credits for certification.
    (B) State where the quarterly projected credits will be applied for 
engine families generating credits.
    (C) Credits may be obtained from or applied to only engine families 
within the same averaging set as described in paragraph (d) or (e) of 
this section. Credits available for averaging, trading, or banking as 
defined in Sec. 86.090-2, may be applied exclusively to a given engine 
family, or reserved as defined in Sec. 86.091-2.
    (2) Based on this information each manufacturer's certification 
application must demonstrate:
    (i) That at the end of model year production, each engine family has 
a net emissions credit balance of zero or 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

[[Page 188]]

the quarterly records required under Sec. 86.091-7(c)(8).
    (4) Projected credits based on information supplied in the 
certification application may be used to obtain a certificate of 
conformity. However, any such credits may be revoked based on review of 
end-of-model year reports, follow-up audits, and any other compliance 
measures deemed appropriate by the Administrator.
    (5) Compliance under averaging, banking, and trading will be 
determined at the end of the model year. Engine families without an 
adequate amount of NOX. NOX plus NMHC, and/or 
particulate emission credits will violate the conditions of the 
certificate of conformity. The certificates of conformity may be voided 
ab initio for engine families exceeding the emission standard.
    (6) If EPA or the manufacturer determines that a reporting error 
occurred on an end-of-year report previously submitted to EPA under this 
section, the manufacturer's credits and credit calculations will be 
recalculated. Erroneous positive credits will be void. Erroneous 
negative balances may be adjusted by EPA for retroactive use.
    (i) If EPA review of a manufacturer's end-of-year report indicates a 
credit shortfall, the manufacturer will be permitted to purchase the 
necessary credits to bring the credit balance for that engine family to 
zero, using the discount specified in paragraph (c)(1) of this section 
on the ratio of credits purchased for every credit needed to bring the 
balance to zero. If sufficient credits are not available to bring the 
credit balance for the family in question to zero, EPA may void the 
certificate for that engine family ab initio.
    (ii) If within 180 days of receipt of the manufacturer's end-of-year 
report, EPA review determines a reporting error in the manufacturer's 
favor (i.e., resulting in a positive credit balance) or if the 
manufacturer discovers such an error within 180 days of EPA receipt of 
the end-of-year report, the credits will be restored for use by the 
manufacturer.
    (c)(1) For each participating engine family, NOX plus 
NMHC, and particulate emission credits (positive or negative) are to be 
calculated according to one of the following equations and rounded, in 
accordance with ASTM E29-93a (incorporated by reference at Sec. 86.1), 
to the nearest one-tenth of a Megagram (Mg). Consistent units are to be 
used throughout the equation.
    (i) For determining credit need for all engine families and credit 
availability for engine families generating credits for averaging 
programs only:

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

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

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

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

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

[[Page 189]]

diesel heavy-duty engines, the equivalent mileage is 6.5 miles.
    (ii) When more than one configuration is chosen by EPA to be tested 
in the certification of an engine family (as described in Sec. 86.085-
24), the conversion factor used is to be based upon a production 
weighted average value of the configurations in an engine family to 
calculate the conversion factor.
    (d) Averaging sets for NOX plus NMHC emission credits. The averaging 
and trading of NOX plus NMHC emission credits will only be 
allowed between heavy-duty engine families in the same averaging set. 
The averaging sets for the averaging and trading of NOX plus 
NMHC emission credits for heavy-duty engines are defined as follows:
    (1) For NOX+NMHC credits from Otto-cycle heavy-duty 
engines:
    (i) Otto-cycle heavy-duty engines constitute an averaging set. 
Averaging and trading among all Otto-cycle heavy-duty engine families is 
allowed. There are no subclass restrictions.
    (ii) Otto-cycle heavy-duty vehicles certified under the chassis-
based provisions of subpart S of this part may not average or trade with 
heavy-duty Otto-cycle engines except as allowed in Sec. 86.1817-05(o).
    (2) For NOX plus NMHC credits from diesel-cycle heavy-
duty engines:
    (i) Each of the three primary intended service classes for heavy-
duty diesel engines, as defined in Sec. 86.004-2, constitute an 
averaging set. Averaging and trading among all diesel-cycle engine 
families within the same primary service class is allowed.
    (ii) Urban buses are treated as members of the primary intended 
service class where they otherwise would fall.
    (e) Averaging sets for particulate emission credits. The averaging 
and trading of particulate emission credits will only be allowed between 
diesel cycle heavy-duty engine families in the same averaging set. The 
averaging sets for the averaging and trading of particulate emission 
credits for diesel cycle heavy-duty engines are defined as follows:
    (1) Engines intended for use in urban buses constitute a separate 
averaging set from all other heavy-duty engines. Averaging and trading 
between diesel cycle bus engine families is allowed.
    (2) For heavy-duty engines, exclusive of urban bus engines, each of 
the three primary intended service classes for heavy-duty diesel cycle 
engines, as defined in Sec. 86.004-2, constitute an averaging set. 
Averaging and trading between diesel-cycle engine families within the 
same primary service class is allowed.
    (3) Otto cycle engines may not participate in particulate averaging, 
trading, or banking.
    (f) Banking of NOX plus NMHC, and particulate emission credits--(1) 
Credit deposits. (i) NOX plus NMHC, and particulate emission 
credits may be banked from engine families produced in any model year.
    (ii) Manufacturers may bank credits only after the end of the model 
year and after actual credits have been reported to EPA in the end-of-
year report. During the model year and before submittal of the end-of-
year report, credits originally designated in the certification process 
for banking will 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.

[[Page 190]]

    (ii) Banked credits may not be used for NOX plus NMHC or 
particulate averaging and trading to offset emissions that exceed an 
FEL. Banked credits may not be used to remedy an in-use nonconformity 
determined by a Selective Enforcement Audit or by recall testing. 
However, banked credits may be used for subsequent production of the 
engine family if the manufacturer elects to recertify to a higher FEL.
    (iii) NOX credits banked under paragraph Sec. 86.098-
15(j) or Sec. 86.000-15(k) may be used in place of NOX plus 
NMHC credits in 2004 and later model years provided that they are used 
in the correct averaging set. NOX credits banked under 
paragraph Sec. 86.000-15(k) may also be used in place of NOX 
plus NMHC credits in the 2003 model year for manufacturers selecting 
Option 1 contained in Sec. 86.005-10(f)(1), provided that they are used 
in the correct averaging set.
    (iv) Except for early credits banked under Sec. 86.000-15(k), 
NOX credits banked in accordance with Sec. 86.000-15 may not 
be used to meet the Otto-cycle engine standards contained in Sec. 
86.005-10.
    (g)(1) This paragraph (g) assumes NOX plus NMHC, and 
particulate nonconformance penalties (NCPs) will be available for the 
2004 and later model year HDEs.
    (2) Engine families using NOX plus NMHC and/or 
particulate NCPs but not involved in averaging:
    (i) May not generate NOX plus NMHC or particulate credits 
for banking and trading.
    (ii) May not use NOX plus NMHC or particulate credits 
from banking and trading.
    (3) If a manufacturer has any engine family to which application of 
NCPs and banking and trading credits is desired, that family must be 
separated into two distinct families. One family, whose FEL equals the 
standard, must use NCPs only while the other, whose FEL does not equal 
the standard, must use credits only.
    (4) If a manufacturer has any engine family in a given averaging set 
which is using NOX plus NMHC and/or particulate NCPs, none of 
that manufacturer's engine families in that averaging set may generate 
credits for banking and trading.
    (h) In the event of a negative credit balance in a trading 
situation, both the buyer and the seller would be liable.
    (i) Certification fuel used for credit generation must be of a type 
that is both available in use and expected to be used by the engine 
purchaser. Therefore, upon request by the Administrator, the engine 
manufacturer must provide information acceptable to the Administrator 
that the designated fuel is readily available commercially and would be 
used in customer service.
    (j) Credit apportionment. At the manufacturer's option, credits 
generated under the provisions described in this section may be sold to 
or otherwise provided to another party for use in programs other than 
the averaging, trading and banking program described in this section.
    (1) The manufacturer shall pre-identify two emission levels per 
engine family for the purposes of credit apportionment. One emission 
level shall be the FEL and the other shall be the level of the standard 
that the engine family is required to certify to under Sec. 86.005-10 
or Sec. 86.004-11. For each engine 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

[[Page 191]]

may not be provided to an engine purchaser for use in another program.
    (4) Manufacturers shall determine and state the number of engines 
sold as ``ABT-only credits'' and ``nonmanufacturer-owned credits'' in 
the end-of-model year reports required under Sec. 86.001-23.
    (k) Additional flexibility for diesel-cycle engines. If a diesel-
cycle engine family meets the conditions of either paragraph (k)(1) or 
(2) of this section, a Discount of 1.0 may be used in the trading and 
banking calculation, for both NOX plus NMHC and for 
particulate, described in paragraph (c)(1) of this section.
    (1) The engine family certifies with a certification level of 1.9 g/
bhp-hr NOX plus NMHC or lower for all diesel-cycle engine 
families.
    (2) All of the following must apply to the engine family:
    (i) Diesel-cycle engines only;
    (ii) 2004, 2005, and 2006 model years only;
    (iii) Must be an engine family using carry-over certification data 
from prior to model year 2004 where the NOX plus the HC 
certification level prior to model year 2004 is below the NOX 
plus NMHC or NOX plus NMHCE standard set forth in Sec. 
86.004-11. Under this option, the NOX credits generated from 
this engine family prior to model year 2004 may be used as 
NOX plus NMHC credits.
    (l) Additional flexibility for Otto-cycle engines. If an Otto-cycle 
engine family meets the conditions of paragraph (l)(1) or (2) of this 
section, a discount of 1.0 may be used in the trading and banking 
credits calculation for NOX plus NMHC described in paragraph 
(c)(1) of this section, as follows:
    (1) The engine family has a FEL of 0.5 g/bhp-hr NOX plus 
NMHC or lower;
    (2) All of the following conditions are met:
    (i) For first three consecutive model years that the engine family 
is certified to a NOX plus NMHC standard contained in Sec. 
86.005-10;
    (ii) The engine family is certified using carry-over data from an 
engine family which was used to generate early NOX credits 
per Sec. 86.000-15(k) where the sum of the NOX FEL plus the 
HC (or hydrocarbon equivalent where applicable) certification level is 
below 1.0 g/bhp-hr.

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



Sec. 86.004-16  Prohibition of defeat devices.

    (a) No new heavy-duty vehicle or heavy-duty engine shall be equipped 
with a defeat device.
    (b) The Administrator may test or require testing on any vehicle or 
engine at a designated location, using driving cycles and conditions 
which may reasonably be expected to be encountered in normal operation 
and use, for the purpose of investigating a potential defeat device.
    (c) [Reserved]
    (d) For vehicle and engine designs designated by the Administrator 
to be investigated for possible defeat devices:
    (1) General. The manufacturer must show to the satisfaction of the 
Administrator that the vehicle or engine design does not incorporate 
strategies that reduce emission control effectiveness exhibited during 
the applicable Federal emissions test procedures when the vehicle or 
engine is operated under conditions which may reasonably be expected to 
be encountered in normal operation and use, unless one of the specific 
exceptions set forth in the definition of ``defeat device'' in Sec. 
86.004-2 has been met.
    (2) Information submissions required. The manufacturer will provide 
an explanation containing detailed information (including information 
which the Administrator may request to be submitted) regarding test 
programs, engineering evaluations, design specifications, calibrations, 
on-board computer algorithms, and design strategies incorporated for 
operation both during and outside of the applicable Federal emission 
test procedure.

[65 FR 59947, Oct. 6, 2000, as amended at 70 FR 40432, July 13, 2005]



Sec. 86.004-21  Application for certification.

    Section 86.004-21 includes text that specifies requirements that 
differ from Sec. 86.094-21 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

[[Page 192]]

may be indicated by specifying the corresponding paragraph and the 
statement ``[Reserved]. For guidance see Sec. 86.094-21.'' or 
``[Reserved]. For guidance see Sec. 86.096-21.''.
    (a)-(b)(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)-(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.
    (6) Participation in averaging programs--(i) Particulate averaging. 
(A) If the manufacturer elects to participate in the particulate 
averaging program for diesel light-duty vehicles and/or diesel light-
duty trucks or the particulate averaging program for heavy-duty diesel 
engines, the application must list the family particulate emission limit 
and the projected U.S. production volume of the family for the model 
year.
    (B) The manufacturer shall choose the level of the family 
particulate emission limits, accurate to hundredth of a gram per mile or 
hundredth of a gram per brake horsepowerhour for HDEs.
    (C) The manufacturer may at any time during production elect to 
change the level of any family particulate emission limit(s) by 
submitting the new limit(s) to the Administrator and by demonstrating 
compliance with the limit(s) as described in Sec. Sec. 86.090-2 and 
86.094-28(b)(5)(i).
    (ii) NOX and NOX plus NMHC averaging. (A) If the manufacturer elects 
to participate in the NOX averaging program for light-duty 
trucks or otto-cycle HDEs or the NOX plus NMHC averaging 
program for diesel-cycle HDEs, the application must list the family 
emission limit and the projected U.S. production volume of the family 
for the model year.
    (B) The manufacturer shall choose the level of the family emission 
limits, accurate to one-tenth of a gram per mile or to one-tenth of a 
gram per brake horsepower-hour for HDEs.
    (C) The manufacturer may at any time during production elect to 
change the level of any family emission limit(s) by submitting the new 
limits to the Administrator and by demonstrating compliance with the 
limit(s) as described in Sec. Sec. 86.088-2 and 86.094-28(b)(5)(ii).
    (b)(7) and (b)(8) [Reserved]. For guidance see Sec. 86.094-21.
    (b)(9) For each light-duty vehicle, light-duty truck, evaporative/
refueling emission family or heavy-duty vehicle evaporative emission 
family, a description of any unique procedures required to perform 
evaporative and/or refueling emission tests, as applicable, (including 
canister working capacity, canister bed volume, and fuel temperature 
profile for the running loss test) for all vehicles in that evaporative 
and/or evaporative/refueling emission family, and a description of the 
method used to develop those unique procedures.
    (10) For each light-duty vehicle or applicable light-duty truck 
evaporative/refueling emission family, or each heavy-duty vehicle 
evaporative emission family:
    (i) Canister working capacity, according to the procedures specified 
in Sec. 86.132-96(h)(1)(iv);
    (ii) Canister bed volume; and
    (iii) Fuel temperature profile for the running loss test, according 
to the procedures specified in Sec. 86.129-94(d).
    (c)-(j) [Reserved]. For guidance see Sec. 86.094-21.
    (k) 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

[[Page 193]]

Test data submissions are not necessary for carry-over engine families 
for which Load Response Test data has been previously submitted. In 
addition, upon approval of the Administrator, manufacturers may carry 
Load Response Test data across from one engine family to other engine 
families, provided that the carry-across engine families use similar 
emission control technology hardware which would be expected to result 
in the generation of similar emission data when run over the Load 
Response Test.
    (n) Upon request from EPA, a manufacturer must provide to EPA any 
hardware (including scan tools), passwords, and/or documentation 
necessary for EPA to read, interpret, and store (in engineering units if 
applicable) any information broadcast by an engine's on-board computers 
and electronic control modules which relates in any way to emission 
control devices and auxiliary emission control devices, provided that 
such hardware, passwords, or documentation exists and is not otherwise 
commercially available. Passwords include any information necessary to 
enable generic scan tools or personal computers access to proprietary 
emission related information broadcast by an engine's on-board computer, 
if such passwords exist. This requirement includes access by EPA to any 
proprietary code information which may be broadcast by an engine's on-
board computer and electronic control modules. Information which is 
confidential business information must be marked as such. Engineering 
units refers to the ability to read, interpret, and store information in 
commonly understood engineering units, for example, engine speed in 
revolutions per minute or per second, injection timing parameters such 
as start of injection in degree's before top-dead center, fueling rates 
in cubic centimeters per stroke, vehicle speed in miles per hour or 
kilometers per hour. This paragraph (n) does not restrict EPA authority 
to take any action authorized by section 208 of the Clean Air Act.

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



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)-(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)-
(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.

[[Page 194]]

    (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)-(b)(3)(vi)(D) [Reserved]. For guidance see Sec. 
86.094-25.
    (b)(3)(vi)(E)-(b)(3)(vi)(J) [Reserved]. For guidance see Sec. 
86.098-25.
    (4) For diesel-cycle light-duty vehicles, light-duty trucks, and 
HDEs, emission-related maintenance in addition to or at shorter 
intervals than that listed in paragraphs (b)(4) (i)-(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)-
(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)-(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)-(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)-(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

[[Page 195]]

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)-(F) of this section 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. For HDEs, the system must not be designed to 
deactivate upon the end of the useful life of the engine or thereafter.
    (D) A manufacturer may desire to demonstrate through a survey that a 
critical maintenance item is likely to be performed without a visible 
signal on a maintenance item for which there is no prior in-use 
experience without the signal. To that end, the manufacturer may in a 
given model year market up to 200 randomly selected vehicles per 
critical emission-related maintenance item without such visible signals, 
and monitor the performance of the critical maintenance item by the 
owners to show compliance with paragraph (b)(6)(ii)(B) of this section. 
This option is restricted to two consecutive model years and may not be 
repeated until any previous survey has been completed. If the critical 
maintenance involves more than one engine family, the sample will be 
sales weighted to ensure that it is representative of all the families 
in question.
    (E) The manufacturer provides the maintenance free of charge, and 
clearly informs the customer that the maintenance is free in the 
instructions provided under Sec. 86.087-38.
    (F) Any other method which the Administrator approves as 
establishing a reasonable likelihood that the critical maintenance will 
be performed in-use.
    (iii) Visible signal systems used under paragraph (b)(6)(ii)(C) of 
this section are considered an element of design of the emission control 
system. Therefore, disabling, resetting, or otherwise rendering such 
signals inoperative without also performing the indicated maintenance 
procedure is a prohibited act under section 203(a)(3) of the Clean Air 
Act (42 U.S.C. 7522(a)(3)).
    (b)(7)-(h) [Reserved]. For guidance see Sec. 86.094-25.

[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.''

[[Page 196]]

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)-(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)-(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)-(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)-(a)(6)(ii) [Reserved]. For guidance see Sec. 86.094-
26.
    (a)(6)(iii) [Reserved]. For guidance see Sec. 86.000-26.
    (a)(7)-(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)-(b)(2) introductory text [Reserved]. For guidance see 
Sec. 86.094-26.
    (b)(2)(i)-(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)-(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)-(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.
    (4) The manufacturer shall determine, for each engine family, the 
number of hours at which the engine system combination is stabilized for 
emission-data testing. The manufacturer shall maintain, and provide to 
the Administrator if requested, a record of the rationale used in making 
this determination. The manufacturer may elect to accumulate 125 hours 
on each test engine within an engine family without making a 
determination. Any engine used to represent emission-data engine 
selections under Sec. 86.094-24(b)(2) shall be equipped with an engine 
system combination that has accumulated

[[Page 197]]

at least the number of hours determined under this paragraph. Complete 
exhaust emission tests shall be conducted for each emission-data engine 
selection under Sec. 86.094-24(b)(2). Evaporative emission controls 
must be connected, as described in 40 CFR part 1065, subpart F. The 
Administrator may determine under Sec. 86.094-24(f) that no testing is 
required.
    (d)(1)-(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)-(5) [Reserved].
    (d)(6) [Reserved]. For guidance see Sec. 86.094-26.

[65 FR 59947, Oct. 6, 2000, as amended at 70 FR 40432, July 13, 2005]



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)-(a)(2) [Reserved. For guidance see Sec. 86.000-28.
    (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) [Reserved]. For guidance see Sec. 86.000-28.
    (a)(4)(i)(A)-(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)-(a)(4)(i)(B)(2)(iv) [Reserved]. For guidance 
see Sec. 86.094-28.
    (a)(4)(i)(C)-(a)(4)(i)(D)(2) [Reserved]. For guidance see Sec. 
86.098-28.
    (a)(4)(ii)(A)(1)-(a)(4)(ii)(A)(2) [Reserved]. For guidance see Sec. 
86.000-28.
    (a)(4)(ii)(B)-(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)-(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 
Sec. Sec. 86.098-2 and 86.004-9.
    (b)(3)-(b)(4)(i) [Reserved]. For guidance see Sec. 86.094-28.
    (b)(4)(ii)-(b)(6) [Reserved]. For guidance see Sec. 86.000-28.
    (b)(7)(i)-(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

[[Page 198]]

deterioration of the other pollutant. Where negative deterioration 
occurs for NOX and/or NMHC, the official exhaust emission 
test result shall be used for purposes of determining the NOX 
plus NMHC deterioration factor.
    (ii) Separate exhaust emission deterioration factors, determined 
from tests of engines, subsystems, or components conducted by the 
manufacturer, shall be supplied for each engine-system combination. For 
Otto-cycle engines, separate factors shall be established for transient 
NMHC (NMHCE), CO, NOX. NOX plus NMHC, and idle CO, 
for those engines utilizing aftertreatment technology (e.g., catalytic 
converters). For diesel-cycle engines, separate factors shall be 
established for transient NMHC (NMHCE), CO, NOX. 
NOX plus NMHC and exhaust particulate. For diesel-cycle smoke 
testing, separate factors shall also be established for the acceleration 
mode (designated as ``A''), the lugging mode (designated as ``B''), and 
peak opacity (designated as ``C'').
    (iii)(A) Paragraphs (c)(4)(iii)(A) (1) and (2) of this section apply 
to Otto-cycle HDEs.
    (1) Otto-cycle HDEs not utilizing aftertreatment technology (e.g., 
catalytic converters). For transient NMHC (NMHCE), CO, NOX. 
the official exhaust emission results for each emission data engine at 
the selected test point shall be adjusted by the addition of the 
appropriate deterioration factor. However, if the deterioration factor 
supplied by the manufacturer is less than zero, it shall be zero for the 
purposes of this paragraph.
    (2) Otto-cycle HDEs utilizing aftertreatment technology (e.g., 
catalytic converters). For transient NMHC (NMHCE), CO, NOX. 
and for idle CO, the official exhaust emission results for each emission 
data engine at the selected test point shall be adjusted by 
multiplication by the appropriate deterioration factor, except as 
otherwise provided in paragraph (c)(4)(iii)(A)(3) of this section. The 
deterioration factor must be calculated by dividing the exhaust 
emissions at full useful life by the stabilized mileage emission level 
(reference Sec. 86.096-26(c)(4), e.g., 125 hours). However, if the 
deterioration factor supplied by the manufacturer is less than one, it 
shall be one for purposes of this paragraph (c)(4)(iii)(A)(2).
    (3) An Otto-cycle heavy-duty engine manufacturer who believes that a 
deterioration factor derived using the calculation methodology described 
in paragraph (c)(4)(iii)(4)(A)(2) of this section are significantly 
unrepresentative for one or more engine families (either too high or too 
low) may petition the Administrator to allow for the use of an additive 
rather than a multiplicative deterioration factor. This petition must 
include full rationale behind the request together with any supporting 
data or other evidence. Based on this or other information the 
Administration may allow for an alternative procedure. Any petition 
should be submitted in a timely manner, to allow adequate time for a 
thorough evaluation. Manufacturers using an additive deterioration 
factor under this paragraph (c)(4)(iii)(A)(3) must perform in-use 
verification testing to determine if the additive deterioration factor 
reasonably predicts actual in-use emissions. The plan for the in-use 
verification testing must be approved by the Administrator as part of 
the approval process described in this paragraph (c)(4)(iii)(4)(A)(3) 
prior to the use of the additive deterioration factor. The Administrator 
may consider the results of the in-use verification testing both in 
certification and in-use compliance programs.
    (B) Paragraph (c)(4)(iii)(B) of this section applies to diesel-cycle 
HDEs.
    (1) Additive deterioration factor for exhaust emissions. Except as 
specified in paragraph (c)(4)(iii)(B)(2) of this section, use an 
additive deterioration factor for exhaust emissions. An additive 
deterioration factor for a pollutant is the difference between exhaust 
emissions at the end of the useful life and exhaust emissions at the 
low-hour test point. In these cases, adjust the official emission 
results for each tested engine at the selected test point by adding the 
factor to the measured emissions. If the factor is less than zero, use 
zero. Additive deterioration factors must be specified to one more 
decimal place than the applicable standard.
    (2) Multiplicative deterioration factor for exhaust emissions. Use a 
multiplicative deterioration factor if good

[[Page 199]]

engineering judgment calls for the deterioration factor for a pollutant 
to be the ratio of exhaust emissions at the end of the useful life to 
exhaust emissions at the low-hour test point. For example, if you use 
aftertreatment technology that controls emissions of a pollutant 
proportionally to engine-out emissions, it is often appropriate to use a 
multiplicative deterioration factor. Adjust the official emission 
results for each tested engine at the selected test point by multiplying 
the measured emissions by the deterioration factor. If the factor is 
less than one, use one. A multiplicative deterioration factor may not be 
appropriate in cases where testing variability is significantly greater 
than engine-to-engine variability. Multiplicative deterioration factors 
must be specified to one more significant figure than the applicable 
standard.
    (3) Diesel-cycle HDEs only. For acceleration smoke (``A''), lugging 
smoke (``B''), and peak smoke (``C''), the official exhaust emission 
results for each emission data engine at the selected test point shall 
be adjusted by the addition of the appropriate deterioration factor. 
However, if the deterioration factor supplied by the manufacturer is 
less than zero, it shall be zero for the purposes of this paragraph.
    (4) The emission values to compare with the standards (or family 
emission limits, as appropriate) shall be the adjusted emission values 
of paragraph (c)(4)(iii) of this section, rounded to the same number of 
significant figures as contained in the applicable standard in 
accordance with ASTM E 29-93a (as referenced in Sec. 86.094-28 
(a)(4)(i)(B)(2)(ii)), for each emission data engine.
    (5) and (6) [Reserved]
    (7) Every test engine of an engine family must comply with all 
applicable standards (or family emission limits, as appropriate), as 
determined in paragraph (c)(4)(iv) of this section, before any engine in 
that family will be certified.
    (8) For the purposes of setting an NMHC plus NOX 
certification level or FEL for a diesel-fueled engine family, the 
manufacturer may use one of the following options for the determination 
of NMHC for an engine family. The manufacturer must declare which option 
is used in its application for certification of that engine family.
    (i) THC may be used in lieu of NMHC for the standards set forth in 
Sec. 86.004-11.
    (ii) The manufacturer may choose its own method to analyze methane 
with prior approval of the Administrator.
    (iii) The manufacturer may assume that two percent of the measured 
THC is methane (NMHC =0.98 x THC).
    (d)(1) Paragraph (d) of this section applies to heavy-duty vehicles 
equipped with gasoline-fueled or methanol-fueled engines.
    (2) The applicable evaporative emission standards in this subpart 
apply to the emissions of vehicles for their useful life.
    (3)(i) For vehicles with a GVWR of up to 26,000 pounds, because it 
is expected that emission control efficiency will change during the 
useful life of the vehicle, an evaporative emission deterioration factor 
shall be determined from the testing described in Sec. 86.098-23(b)(3) 
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

[[Page 200]]

(a)(4)(i)(B)(2)(ii)), to two significant figures. The rounded emission 
values may not exceed the standard.
    (6) Every test vehicle of an evaporative emission family must comply 
with the evaporative emission standard, as determined in paragraph 
(d)(5) of this section, before any vehicle in that family may be 
certified.
    (e) [Reserved]
    (f)-(g)(3) [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)-(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 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

[[Page 201]]

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; 71 FR 31486, Aug. 
30, 2006]



Sec. 86.004-30  Certification.

    Section 86.004-30 includes text that specifies requirements that 
differ from Sec. 86.094-30, Sec. 86.095-30, Sec. 86.096-30, Sec. 
86.098-30 or Sec. 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).
    (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.

[[Page 202]]

    (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)-(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)-(C) 
of this section apply.
    (A) All certificates issued are conditional upon the manufacturer 
complying with the provisions of Sec. 86.098-15 or superseding ABT 
sections as applicable and the ABT related provisions of other 
applicable sections, both during and after the model year production.
    (B) Failure to comply with all provisions of Sec. 86.098-15 or 
superseding ABT sections as applicable will be considered to be a 
failure to satisfy the conditions upon which the certificate was issued, 
and the certificate may be deemed void ab initio.
    (C) The manufacturer shall bear the burden of establishing to the 
satisfaction of the Administrator that the conditions upon which the 
certificate was issued were satisfied or excused.
    (11)(i) 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)-(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)-(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.

[[Page 203]]

    (a)(21) For all light-duty trucks certified to refueling emission 
standards under Sec. 86.004-9, the provisions of paragraphs (a)(21) 
(i)-(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)-(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)-(b)(4)(iv) [Reserved]. For guidance see Sec. 86.098-
30.
    (b)(5)-(e) [Reserved]. For guidance see Sec. 86.094-30.
    (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

[[Page 204]]

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.

    This section includes text that specifies requirements that differ 
from those specified in Sec. 86.096-38. Where a paragraph in Sec. 
86.096-38 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. 86.096-38.''.
    (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 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

[[Page 205]]

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. 86.096-38. For incorporation 
by reference see Sec. Sec. 86.1 and 86.096-38.
    (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, as amended at 68 FR 38455, June 27, 2003]



Sec. 86.004-40  Heavy-duty engine rebuilding practices.

    The provisions of this section are applicable to heavy-duty engines 
subject to model year 2004 or later standards and are applicable to the 
process of engine rebuilding (or rebuilding a portion of an engine or 
engine system). The process of engine rebuilding generally includes 
disassembly, replacement of multiple parts due to wear, and reassembly, 
and also may include the removal of the engine from the vehicle and 
other acts associated with rebuilding an engine. Any deviation from the 
provisions contained in this section is a prohibited act under section 
203(a)(3) of the Clean Air Act (42 U.S.C. 7522(a)(3)).
    (a) When rebuilding an engine, portions of an engine, or an engine 
system, there must be a reasonable technical basis for knowing that the 
resultant engine is equivalent, from an emissions standpoint, to a 
certified configuration (i.e., tolerances, calibrations, specifications) 
and the model year(s) of the resulting engine configuration must be 
identified. A reasonable basis would exist if:
    (1) Parts installed, whether the parts are new, used, or rebuilt, 
are such that a person familiar with the design and function of motor 
vehicle engines would reasonably believe that the parts perform the same 
function with respect to emissions control as the original parts; and
    (2) Any parameter adjustment or design element change is made only:
    (i) In accordance with the original engine manufacturer's 
instructions; or
    (ii) Where data or other reasonable technical basis exists that such 
parameter adjustment or design element change, when performed on the 
engine or similar engines, is not expected to adversely affect in-use 
emissions.
    (b) When an engine is being rebuilt and remains installed or is 
reinstalled in the same vehicle, it must be rebuilt to a configuration 
of the same or later model year as the original engine. When an engine 
is being replaced, the replacement engine must be an engine of (or 
rebuilt to) a configuration of the same or later model year as the 
original engine.
    (c) At time of rebuild, emissions-related codes or signals from on-
board monitoring systems may not be erased or reset without diagnosing 
and responding appropriately to the diagnostic codes, regardless of 
whether the systems are installed to satisfy requirements in Sec. 
86.004-25 or for other reasons and regardless of form or interface. 
Diagnostic systems must be free of all such codes when the rebuilt 
engine is returned to service. Such signals may not be rendered 
inoperative during the rebuilding process.
    (d) When conducting a rebuild without removing the engine from the 
vehicle, or during the installation of a rebuilt engine, all critical 
emissions-related components listed in Sec. 86.004-25(b) not otherwise 
addressed by paragraphs

[[Page 206]]

(a) through (c) of this section must be checked and cleaned, adjusted, 
repaired, or replaced as necessary, following manufacturer recommended 
practices.
    (e) Records shall be kept by parties conducting activities included 
in paragraphs (a) through (d) of this section. The records shall include 
at minimum the mileage and/or hours at time of rebuild, a listing of 
work performed on the engine and emissions-related control components 
including a listing of parts and components used, engine parameter 
adjustments, emissions-related codes or signals responded to and reset, 
and work performed under paragraph (d) of this section.
    (1) Parties may keep records in whatever format or system they 
choose as long as the records are understandable to an EPA enforcement 
officer or can be otherwise provided to an EPA enforcement officer in an 
understandable format when requested.
    (2) Parties are not required to keep records of information that is 
not reasonably available through normal business practices including 
information on activities not conducted by themselves or information 
that they cannot reasonably access.
    (3) Parties may keep records of their rebuilding practices for an 
engine family rather than on each individual engine rebuilt in cases 
where those rebuild practices are followed routinely.
    (4) Records must be kept for a minimum of two years after the engine 
is rebuilt.

[62 FR 54729, Oct. 21, 1997, as amended at 66 FR 5160, Jan. 18, 2001]



Sec. 86.005-1  General applicability.

    Section 86.005-1 includes text that specifies requirements that 
differ from Sec. 86.001-1. Where a paragraph in Sec. 86.001-1 is 
identical and applicable to Sec. 86.005-1, this may be indicated by 
specifying the corresponding paragraph and the statement ``[Reserved]. 
For guidance see Sec. 86.001-1.''.
    (a) Applicability. The provisions of this subpart generally apply to 
2005 and later model year new Otto-cycle heavy-duty engines used in 
incomplete vehicles and vehicles above 14,000 pounds GVWR and 2005 and 
later model year new diesel-cycle heavy-duty engines. In cases where a 
provision applies only to a certain vehicle group based on its model 
year, vehicle class, motor fuel, engine type, or other distinguishing 
characteristics, the limited applicability is cited in the appropriate 
section or paragraph. The provisions of this subpart continue to 
generally apply to 2000 and earlier model year new Otto-cycle and 
diesel-cycle light-duty vehicles, 2000 and earlier model year new Otto-
cycle and diesel-cycle light-duty trucks, and 2004 and earlier model 
year new Otto-cycle complete heavy-duty vehicles at or below 14,000 
pounds GVWR. Provisions generally applicable to 2001 and later model 
year new Otto-cycle and diesel-cycle light-duty vehicles, 2001 and later 
model year new Otto-cycle and diesel-cycle light-duty trucks, and 2005 
and later model year Otto-cycle complete heavy-duty vehicles at or below 
14,000 pounds GVWR are located in subpart S of this part.
    (b) Optional applicability. (1) A manufacturer may request to 
certify any 2003 or 2004 model year heavy-duty vehicle of 14,000 pounds 
Gross Vehicle Weight Rating or less in accordance with the light-duty 
truck provisions located in subpart S of this part. Heavy-duty engine or 
vehicle provisions of this subpart A do not apply to such a 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

[[Page 207]]

section. This option is available starting with the 2004 model year to 
manufacturers choosing Otto-cycle HDE option 2 in paragraph (c)(1) of 
this section.
    (c) Otto-cycle heavy-duty engines and vehicles. The manufacturer 
must select one of the three options for Otto-cycle heavy-duty engines 
and vehicles in paragraphs (c)(1) through (c)(3) of this section. The 
emission standards and other requirements that apply under a given 
option shall apply to all Otto-cycle heavy-duty engines and vehicles 
certified by the manufacturer (e.g., a manufacturer may not select one 
option for certain engine families and the other option for other engine 
families). The requirements under each option shall remain effective, 
once selected, for subsequent model years, until superceded or otherwise 
revised by the Administrator (e.g., a manufacturer may not select one 
option prior to the 2004 model year and change to another option in the 
2006 model year). The complete requirements under each option are 
contained in subparts A and S of this part.
    (1) Otto-cycle HDE Option 1. The following requirements apply to 
Otto-cycle heavy-duty engines and vehicles certified by manufacturers 
selecting this option:
    (i) Emission standards for 2003 and later model year Otto-cycle 
heavy-duty engines, according to the provisions of Sec. 86.005-
10(f)(1).
    (ii) Emission standards for 2003 and later model year Otto-cycle 
complete heavy-duty vehicles, according to the provisions of Sec. 
86.1816-05, except that, for 2003 through 2006 model year Otto-cycle 
complete heavy-duty vehicles, manufacturers may optionally comply with 
the standards in either 86.005-10 or 86.1816-05.
    (iii) Averaging, banking, and trading provisions that allow transfer 
of credits between a manufacturer's complete vehicle averaging set and 
their heavy-duty Otto-cycle engine averaging set, according to the 
provisions of Sec. 86.1817-05(o).
    (iv) On-board diagnostics requirements effective starting with the 
2004 model year for Otto-cycle engines and complete vehicles, according 
to the provisions of Sec. Sec. 86.005-17 and 86.1806-05.
    (v) Refueling emissions requirements effective starting with the 
2004 model year for Otto-cycle complete vehicles, according to the 
provisions of Sec. Sec. 86.1810-01 and 86.1816-05.
    (2) Otto-cycle HDE Option 2. The following requirements apply to 
Otto-cycle heavy-duty engines and vehicles certified by manufacturers 
selecting this option:
    (i) Emission standards for 2004 and later model year Otto-cycle 
heavy-duty engines, according to the provisions of Sec. 86.005-
10(f)(2).
    (ii) Emission standards for 2004 and later model year Otto-cycle 
complete heavy-duty vehicles, according to the provisions of Sec. 
86.1816-05.
    (iii) Averaging, banking, and trading provisions that allow transfer 
of credits between a manufacturer's complete vehicle averaging set and 
their heavy-duty Otto-cycle engine averaging set, according to the 
provisions of Sec. 86.1817-05(o).
    (iv) On-board diagnostics requirements effective starting with the 
2004 model year for Otto-cycle engines and complete vehicles, according 
to the provisions of Sec. Sec. 86.005-17 and 86.1806-05.
    (v) Refueling emissions requirements effective starting with the 
2004 model year for Otto-cycle complete vehicles, according to the 
provisions of Sec. Sec. 86.1810-01 and 86.1816-05.
    (3) Otto-cycle HDE Option 3. The following requirements apply to 
Otto-cycle heavy-duty engines and vehicles certified by manufacturers 
that do not select one of the options for 2003 or 2004 model year 
compliance in paragraph (c)(1) or (c)(2) of this section:
    (i) Emission standards for 2005 and later model year Otto-cycle 
heavy-duty engines, according to the provisions of Sec. 86.005-10.
    (ii) Emission standards for 2005 and later model year Otto-cycle 
complete heavy-duty vehicles, according to the provisions of Sec. 
86.1816-05.
    (iii) On-board diagnostics requirements effective starting with the 
2005 model year for Otto-cycle engines and complete vehicles, according 
to the provisions of Sec. Sec. 86.005-17 and 86.1806-05.
    (iv) Refueling emissions requirements effective starting with the 
2005

[[Page 208]]

model year for Otto-cycle complete vehicles, according to the provisions 
of Sec. Sec. 86.1810-01 and 86.1816-05.
    (v) Manufacturers selecting this option may exempt 2005 model year 
Otto-cycle heavy-duty engines and vehicles whose model year commences 
before July 31, 2004 from the requirements in paragraphs (c)(3)(i) 
through (iv) of this section.
    (vi) For 2005 model year engines or vehicles exempted under 
paragraph (c)(3)(v) of this section, a manufacturer shall certify such 
Otto-cycle heavy-duty engines and vehicles to all requirements in this 
subpart applicable to 2004 model year Otto-cycle heavy-duty engines. The 
averaging, banking, and trading provisions contained in Sec. 86.000-15 
remain effective for these engines.
    (d) [Reserved]
    (e)-(f) [Reserved]. For guidance see Sec. 86.001-1.

[65 FR 59949, Oct. 6, 2000]



Sec. 86.005-10  Emission standards for 2005 and later model year Otto-cycle

heavy-duty engines and vehicles.

    Section 86.005-10 includes text that specifies requirements that 
differ from Sec. 86.098-10 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 Hydrocarbon Equivalent (NOX 
+ NMHCE) for engines fueled with methanol. 1.0 grams per brake 
horsepower-hour (0.37 grams per megajoule).
    (C) A manufacturer may elect to include any or all of its Otto-cycle 
HDE families in any or all of the emissions ABT programs for HDEs, 
within the restrictions described in Sec. 86.098-15. If the 
manufacturer elects to include engine families in any of these programs, 
the NOX plus NMHC (or NOX plus NMHCE for methanol-
fueled engines) FELs may not exceed 4.5 grams per brake horsepower-hour 
(1.7 grams per megajoule). This ceiling value applies whether credits 
for the family are derived from averaging, banking, or trading programs.
    (ii)(A) Carbon monoxide for engines intended for use in all 
vehicles, except as provided in paragraph (a)(3) of this section. 14.4 
grams per brake horsepower-hour (5.36 grams per megajoule), as measured 
under transient operating conditions.
    (B) Carbon monoxide for engines intended for use only in vehicles 
with a Gross Vehicle Weight Rating of greater than 14,000 pounds. 37.1 
grams per brake horsepower-hour (13.8 grams per megajoule), as measured 
under transient operating conditions.
    (C) Idle carbon monoxide. For all Otto-cycle HDEs utilizing 
aftertreatment technology, and not certified to the onboard diagnostics 
requirements of Sec. 86.005-17: 0.50 percent of exhaust gas flow at 
curb idle.
    (2) The standards set forth in paragraphs (a)(1) and (f) of this 
section refer to the exhaust emitted over the operating schedule set 
forth in paragraph (f)(1) of appendix I to this part, and measured and 
calculated in accordance with the procedures set forth in subpart N or P 
of this part.
    (3)(i) A manufacturer may certify one or more Otto-cycle HDE 
configurations intended for use in all vehicles to the emission standard 
set forth in paragraph (a)(1)(ii)(B) of this section: Provided, that the 
total model year sales of such configuration(s), segregated by fuel 
type, being certified to the emission standard in paragraph 
(a)(1)(ii)(B) of this section represent no more than five percent of 
total model year sales of each fuel type Otto-cycle HDE intended for use 
in vehicles with a Gross Vehicle Weight Rating of up to 14,000 pounds by 
the manufacturer.
    (ii) The configurations certified to the emission standards of 
paragraph (a)(1)(ii)(B) of this section under the

[[Page 209]]

provisions of paragraph (a)(3)(i) of this section shall still be 
required to meet the evaporative emission standards set forth in Sec. 
86.099-10(b)(1)(i), (b)(2)(i) and (b)(3)(i).
    (4) The manufacturer may exempt 2005 model year HDE engine families 
whose model year begins before July, 31, 2004 from the requirements in 
this paragraph (a). Exempted engine families shall be subject to the 
requirements in Sec. 86.099-10.
    (5) For certification purposes, where the applicable California 
evaporative emission standard is as stringent or more stringent than the 
applicable federal evaporative emission standard, the Administrator may 
accept California certification test data indicating compliance with the 
California standard to demonstrate compliance with the appropriate 
federal certification evaporative emission standard. The Administrator 
may require the manufacturer to provide comparative test data which 
clearly demonstrates that a vehicle meeting the California evaporative 
standard (when tested under California test conditions/test procedures) 
will also meet the appropriate federal evaporative emission standard 
when tested under federal test conditions/test procedures described in 
this part 86.
    (b) [Reserved]. For guidance see Sec. 86.099-10.
    (c) [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 fueled with either gasoline, natural gas, or liquefied 
petroleum gas. 1.5 grams per brake horsepower-hour (0.55 grams per 
megajoule).
    (ii) Oxides of Nitrogen plus Non-methane Hydrocarbon Equivalent (NOX 
+ NMHCE) for engines fueled with methanol. 1.5 grams per brake 
horsepower-hour (0.55 grams per megajoule).

[65 FR 59950, Oct. 6, 2000, as amended at 66 FR 5160, Jan. 18, 2001; 70 
FR 72927, Dec. 8, 2005]



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

[[Page 210]]

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 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

[[Page 211]]

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 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

[[Page 212]]

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 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

[[Page 213]]

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,'' 
(Revised, May 2001) 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 check 
sums.
    (ii) Basic diagnostic data (as specified in Sec. 86.094-17(e) and 
(f)) shall be provided in the format and units in SAE J1979 ``E/E 
Diagnostic Test Modes--Equivalent to ISO/DIS 15031-5: April 30, 2002'', 
(Revised, April 2002).
    (iii) Diagnostic trouble codes shall be consistent with SAE J2012 
``Diagnostic Trouble Code Definitions--Equivalent to ISO/DIS 15031-6: 
April 30, 2002'', (Revised, April 2002).
    (iv) The connection interface between the OBD system and test 
equipment and diagnostic tools shall meet the functional requirements of 
SAE J1962 ``Diagnostic Connector--Equivalent to ISO/DIS 15031-3: 
December 14, 2001'' (Revised, April 2002).
    (v) All acronyms, definitions and abbreviations shall be formatted 
according to SAE J1930 ``Electrical/Electronic Systems Diagnostic Terms, 
Definitions, Abbreviations, and Acronyms'' Equivalent to ISO/TR 15031-2: 
April 30, 2002'', (Revised, April 2002).
    (vi) All equipment used to interface, extract and display OBD-
related information shall meet SAE J1978 ``OBD II Scan Tool'' Equivalent 
to ISO 15031-4: December 14, 2001'', (Revised, April 2002).
    (vii) As an alternative to the above standards, heavy-duty vehicles 
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.

[[Page 214]]

    (i) ISO 9141-2 ``Road vehicles--Diagnostic systems--Part 2: CARB 
requirements for interchange of digital information,'' (February 1, 
1994) may be used as an alternative to SAE J1850 as the on-board to off-
board communications protocol.
    (ii) ISO 14230-4:2000(E) ``Road vehicles--Diagnostic systems--KWP 
2000 requirements for Emission-related systems'', (June 1, 2000) may 
also be used as an alternative to SAE J1850.
    (iii) ISO 15765-4.3:2001 ``Road Vehicles-Diagnostics on Controller 
Area Network (CAN)--Part 4: Requirements for emission-related systems'', 
(December 14, 2001) may also be used as an alternative to SAE J1850.
    (3) Beginning with the 2008 model year and beyond, ISO 15765-
4.3:2001 ``Road Vehicles-Diagnostics on Controller Area Network (CAN)--
Part 4: Requirements for emission-related systems'', (December 14, 2001) 
shall be the only acceptable protocol used for standardized on-board to 
off-board communications for vehicles below 8500 pounds. For vehicles 
8500 to 14000 pounds ISO 15765-4.3 or the SAE J1939 series of standards 
(SAE J1939-11, J1939-13, J1939-21, J1939-31, J1939-71, J1939-73, J1939-
81). All other standardized on-board to off-board communications 
protocols: SAE J1850 ``Class B Data Communication Network Interface,'' 
(Revised, May 2001) in (h)(1)(i), ISO 9141-2 ``Road vehicles--Diagnostic 
systems--Part 2: CARB requirements for interchange of digital 
information,'' (February 1, 1994) in (h)(2)(i), and ISO 14230-4 ``Road 
vehicles--Diagnostic systems--KWP 2000 requirements for Emission-related 
systems'', (June 1, 2000) in paragraph (h)(2)(ii) of this section will 
at that time no longer be accepted.
    (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 OBDII compliance option. For heavy-duty engines 
weighing 14,000 pounds GVWR or less, demonstration of compliance with 
California OBD II requirements (Title 13 California Code of Regulations 
Sec. 1968.2 (13 CCR 1968.2)), as modified, approved and filed on April 
21, 2003, shall satisfy the requirements of this section, except that 
compliance with 13 CCR 1968.2(e)(4.2.2)(C), pertaining to 0.02 inch 
evaporative leak detection, and 13 CCR 1968.2(d)(1.4), pertaining to 
tampering protection, are not required to satisfy the requirements of 
this section. Also, the deficiency provisions of 13 CCR 1968.2(i) do not 
apply. The deficiency provisions of paragraph (i) of this section and 
the evaporative leak detection requirement of paragraph (b)(4) of this 
section apply to manufacturers selecting this paragraph for 
demonstrating compliance. In addition, demonstration of

[[Page 215]]

compliance with 13 CCR 1968.2(e)(16.2.1)(C), to the extent it applies to 
the verification of proper alignment between the camshaft and 
crankshaft, applies only to vehicles equipped with variable valve 
timing.
    (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 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; 70 
FR 75410, Dec. 20, 2005]



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

[[Page 216]]

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 other applicable 
sections. If the manufacturer elects to include engine families in any 
of these programs, the particulate FEL may not exceed 0.02 grams per 
brake horsepower-hour (0.0075 grams per megajoule).
    (2) The standards set forth in paragraph (a)(1) of this section 
refer to the exhaust emitted over the duty cycle specified in paragraphs 
(a)(2)(i) through (iii) of this section, where exhaust emissions are 
measured and calculated as specified in paragraphs (a)(2)(iv) and (v) of 
this section in accordance with the procedures set forth in subpart N of 
this part, except as noted in Sec. 86.007-23(c)(2):
    (i) Perform the test interval set forth in paragraph (f)(2) of 
appendix I of this part with a cold-start according to 40 CFR part 1065, 
subpart F. This is the cold-start test interval.
    (ii) Shut down the engine after completing the test interval and 
allow 20 minutes to elapse. This is the hot-soak.
    (iii) Repeat the test interval. This is the hot-start test interval.
    (iv) Calculate the total emission mass of each constituent, m, and 
the total work, W, over each test interval according to 40 CFR 1065.650.
    (v) Determine your engine's brake-specific emissions using the 
following calculation, which weights the emissions from the cold-start 
and hot-start test intervals:
[GRAPHIC] [TIFF OMITTED] TR30AU06.001

    (3) SET (i) Exhaust emissions, as determined under Sec. 86.1360-
2007(b) pertaining to the supplemental emission test cycle, for each 
regulated pollutant shall not exceed 1.0 times the applicable emission 
standards or FELs specified in paragraph (a)(1) of this section.
    (ii) For engines not having a NOX FEL less than1.5 g/bhp-
hr, gaseous exhaust emissions shall not exceed the steady-state 
interpolated values determined by the Maximum Allowable Emission Limits 
(for the corresponding speed and load), as determined under Sec. 
86.1360-2007(f), when the engine is operated in the steady-state control 
area defined under Sec. 86.1360-2007(d).
    (4) NTE (i)(A) The brake-specific exhaust NMHC or NOX 
emissions in g/bhp-hr, as determined under Sec. 86.1370-2007 pertaining 
to the not-to-exceed test procedures, shall not exceed 1.5 times the 
applicable NMHC or NOX emission standards or FELs specified 
in paragraph (a)(1) of this section, during engine and vehicle operation 
specified in paragraph (a)(4)(ii) of this section except as noted in 
paragraph (a)(4)(iii) of this section.
    (B) For engines not having a NOX FEL less than1.50 g/bhp-
hr, the brake-specific NOX and NMHC exhaust emissions in g/
bhp-hr, as determined under Sec. 86.1370-2007 pertaining to the not-to-
exceed test procedures, shall not exceed 1.25 times the applicable 
emission standards or FELs specified in paragraph (a)(1) of this section 
(or of

[[Page 217]]

Sec. 86.004-11, as allowed by paragraph (g) of this section), during 
engine and vehicle operation specified in paragraph (a)(4)(ii) of this 
section except as noted in paragraph (a)(4)(iii) of this section.
    (C) The brake-specific exhaust PM emissions in g/bhp-hr, as 
determined under Sec. 86.1370-2007 pertaining to the not-to-exceed test 
procedures, shall not exceed 1.5 times the applicable PM emission 
standards or FEL (for FELs above the standard only) specified in 
paragraph (a)(1) of this section, during engine and vehicle operation 
specified in paragraph (a)(4)(ii) of this section except as noted in 
paragraph (a)(4)(iii) of this section.
    (D) The brake-specific exhaust CO emissions in g/bhp-hr, as 
determined under Sec. 86.1370-2007 pertaining to the not-to-exceed test 
procedures, shall not exceed 1.25 times the applicable CO emission 
standards or FEL specified in paragraph (a)(1) of this section, during 
engine and vehicle operation specified in paragraph (a)(4)(ii) of this 
section except as noted in paragraph (a)(4)(iii) of this section.
    (ii) For each engine family, the not-to-exceed emission limits must 
apply during one of the following two ambient operating regions:
    (A) The not-to-exceed limits apply for all altitudes less than or 
equal to 5,500 feet above sea-level, during all ambient conditions 
(temperature and humidity). Temperature and humidity ranges for which 
correction factors are allowed are specified in Sec. 86.1370-2007(e); 
or
    (B)(1) The not-to-exceed emission limits apply at all altitudes less 
than or equal to 5,500 feet above sea-level, for temperatures less than 
or equal to the temperature determined by the following equation at the 
specified altitude:

T = -0.00254 x A + 100

Where:

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

    (2) Temperature and humidity ranges for which correction factors are 
allowed are specified in Sec. 86.1370-2007(e);
    (iii) For engines equipped with exhaust gas recirculation, the not-
to-exceed emission limits specified in paragraph (a)(4)(i) of this 
section do not apply to engine or vehicle operation during cold 
operating conditions as specified in Sec. 86.1370-2007(f).
    (iv) Deficiencies for NTE emission standards. (A) For model years 
2007 through 2009, upon application by the manufacturer, the 
Administrator may accept a HDDE as compliant with the NTE standards even 
though specific requirements are not fully met. Such compliances without 
meeting specific requirements, or deficiencies, will be granted only if 
compliance would be infeasible or unreasonable considering such factors 
as, but not limited to: Technical feasibility of the given hardware and 
lead time and production cycles including phase-in or phase-out of 
engines or vehicle designs and programmed upgrades of computers. 
Deficiencies will be approved on an engine model and/or horsepower 
rating basis within an engine family, and each approval is applicable 
for a single model year. A manufacturer's application must include a 
description of the auxiliary emission control device(s) which will be 
used to maintain emissions to the lowest practical level, considering 
the deficiency being requested, if applicable. An application for a 
deficiency must be made during the certification process; no deficiency 
will be granted to retroactively cover engines already certified.
    (B) Unmet requirements should not be carried over from the previous 
model year except where unreasonable hardware or software modifications 
would be necessary to correct the deficiency, and the manufacturer has 
demonstrated an acceptable level of effort toward compliance as 
determined by the Administrator. The NTE deficiency should only be seen 
as an allowance for minor deviations from the NTE requirements. The NTE 
deficiency provisions allow a manufacturer to apply for relief from the 
NTE emission requirements under limited conditions. EPA expects that 
manufacturers should have the necessary functioning emission control 
hardware in place to comply with the NTE.
    (C) For model years 2010 through 2013, the Administrator may allow 
up to three deficiencies per engine family.

[[Page 218]]

The provisions of paragraphs (a)(4)(iv)(A) and (B) of this section apply 
for deficiencies allowed by this paragraph (a)(4)(iv)(C). In determining 
whether to allow the additional deficiencies, the Administrator may 
consider any relevant factors, including the factors identified in 
paragraph (a)(4)(iv)(A) of this section. If additional deficiencies are 
approved, the Administrator may set any additional conditions that he/
she determines to be appropriate.
    (v) The emission limits specified in paragraphs (a)(3) and (a)(4) of 
this section shall be rounded to the same number of significant figures 
as the applicable standards in paragraph (a)(1) of this section using 
ASTM E29-93a (Incorporated by reference at Sec. 86.1).
    (vi) Manufacturers are not required to provide engine information 
exclusively related to in-use testing as part of initial certification. 
However, upon request from EPA the manufacturers must provide the 
information which clearly identifies parameters defining all NTE 
deficiencies described under paragraph (a)(4)(iv) of this section and 
parameters defining all NTE limited testing regions described under 
Sec. 86.1370-2007(b)(6) and (7) that are requested. When requested, 
deficiencies and limited testing regions must be reported for all engine 
families and power ratings in English with sufficient detail for us to 
determine if a particular deficiency or limited testing region will be 
encountered in the emission test data from the portable emission-
sampling equipment and field-testing procedures referenced in Sec. 
86.1375. Such information is to be provided within 60 days of the 
request from EPA.
    (b)(1) introductory text through (b)(1)(iii) [Reserved]. For 
guidance see Sec. 86.004-11.
    (b)(1)(iv) Operation within the NTE zone (defined in Sec. 86.1370-
2007) must comply with a filter smoke number of 1.0 under steady-state 
operation, or the following alternate opacity limits:
    (A) A 30 second transient test average opacity limit of 4% for a 5 
inch path; and
    (B) A 10 second steady state test average opacity limit of 4% for a 
5 inch path.
    (2)(i) The standards set forth in Sec. 86.004-11 (b)(1)(i)-(iii) 
refer to exhaust smoke emissions generated under the conditions set 
forth in subpart I of this part and measured and calculated in 
accordance with those procedures.
    (ii) The standards set forth in paragraph (b)(1)(iv) of this section 
refer to exhaust smoke emissions generated under the conditions set 
forth in Sec. 86.1370-2007 and calculated in accordance with the 
procedures set forth in Sec. 86.1372-2007.
    (b)(3) and (b)(4) [Reserved]. For guidance see Sec. 86.004-11.
    (c) No crankcase emissions shall be discharged directly into the 
ambient atmosphere from any new 2007 or later model year diesel HDE, 
with the following exception: HDEs equipped with turbochargers, pumps, 
blowers, or superchargers for air induction may discharge crankcase 
emissions to the ambient atmosphere if the emissions are added to the 
exhaust emissions (either physically or mathematically) during all 
emission testing. Manufacturers taking advantage of this exception must 
manufacture the engines so that all crankcase emission can be routed 
into a dilution tunnel (or other sampling system approved in advance by 
the Administrator), and must account for deterioration in crankcase 
emissions when determining exhaust deterioration factors. For the 
purpose of this paragraph (c), crankcase emissions that are routed to 
the exhaust upstream of exhaust aftertreatment during all operation are 
not considered to be ``discharged directly into the ambient 
atmosphere.''
    (d) Every manufacturer of new motor vehicle engines subject to the 
standards prescribed in this section shall, prior to taking any of the 
actions specified in section 203(a)(1) of the Act, test or cause to be 
tested motor vehicle engines in accordance with applicable procedures in 
subpart I or N of this part to ascertain that such test engines meet the 
requirements of paragraphs (a), (b), (c), and (d) of this section.
    (e) [Reserved]. For guidance see Sec. 86.004-11.
    (f) (1) Model year 2007 and later diesel-fueled heavy-duty engines 
and vehicles for sale in Guam, American Samoa, or the Commonwealth of 
the

[[Page 219]]

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 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)

[[Page 220]]

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.
    (6) Manufacturers may determine the number of engines and vehicles 
that are required to certify to the NOX standard in this 
section (including the phase-out engines certified to the 
NOX+NMHC standard referenced in this paragraph (g)) based on 
calendar years 2007, 2008, and 2009, rather than model years 2007, 2008, 
and 2009.
    (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; 70 
FR 34619, June 14, 2005; 70 FR 40432, July 13, 2005; 71 FR 51486, Aug. 
30, 2006; 73 FR 37192, June 30, 2008]



Sec. 86.007-15  NOX and particulate averaging, trading, and banking 

for heavy-duty engines.

    Section 86.007-15 includes text that specifies requirements that 
differ from Sec. 86.004-15. Where a paragraph in Sec. 86.004-15 is 
identical and applicable to Sec. 86.007-15, this may be indicated by 
specifying the corresponding paragraph and the statement ``[Reserved]. 
For guidance see Sec. 86.004-15.''
    (a)-(l) [Reserved]. For guidance see Sec. 86.004-15.
    (m) The following provisions apply for model year 2007 and later 
engines (including engines certified during years 2007-2009 under the 
phase-in provisions of Sec. 86.007-11(g)(1), Sec. 86.005-10(a), or 
Sec. 86.008-10(f)(1)). These provisions apply instead of the provisions 
of paragraphs Sec. 86.004-15 (a) through (k) to the extent that they 
are in conflict.
    (1) Manufacturers of Otto-cycle engines may participate in an NMHC 
averaging, banking and trading program to show compliance with the 
standards specified in Sec. 86.008-10. The generation and use of NMHC 
credits are subject to the same provisions in paragraphs Sec. 86.004-15 
(a) through (k) that apply for NOX plus NMHC credits, except 
as otherwise specified in this section.
    (2) Credits are calculated as NOX or NMHC credits for 
engines certified to separate NOX and NMHC standards. 
NOX plus NMHC credits (including banked credits and credits 
that are generated during years 2007-2009 under the phase-in provisions 
of Sec. 86.007-11(g)(1), Sec. 86.005-10(a), or Sec. 86.008-10(f)(1)) 
may be used to show compliance with 2007 or later NOX 
standards ( NOX or NMHC standards for Otto-cycle engines), 
subject to an 0.8 discount factor (e.g., 100 grams of NOX 
plus NMHC credits is equivalent to 80 grams of NOX credits).
    (3) NOX or NMHC (or NOX plus NMHC) credits may 
be exchanged between heavy-duty Otto-cycle engine families certified to 
the engine standards of this

[[Page 221]]

subpart and heavy-duty Otto-cycle engine families certified to the 
chassis standards of subpart S of this part, subject to an 0.8 discount 
factor (e.g., 100 grams of NOX (or NOX plus NMHC) 
credits generated from engines would be equivalent to 80 grams of 
NOX credits if they are used in the vehicle program of 
subpart S, and vice versa).
    (4) Credits that were previously discounted when they were banked 
according to paragraph (c) of Sec. 86.004-15, are subject to an 
additional discount factor of 0.888 instead of the 0.8 discount factor 
otherwise required by paragraph (m)(2) or (m)(3) of this section. This 
results in a total discount factor of 0.8 (0.9 x 0.888 = 0.8).
    (5) For diesel engine families, the combined number of engines 
certified to FELs higher than 0.50 g/bhp-hr using banked NOX 
(and/or NOX plus NMHC) credits in any given model year may 
not exceed 10 percent of the manufacturer's U.S.-directed production of 
engines in all heavy-duty diesel engine families for that model year.
    (6) The FEL must be expressed to the same number of decimal places 
as the standard (generally, one-hundredth of a gram per brake 
horsepower-hour). For engines certified to standards expressed only one-
tenth of a gram per brake horsepower-hour, if the FEL is below 1.0, then 
add a zero to the standard in the second decimal place and express the 
FEL to nearest one-hundredth of a gram per brake horsepower-hour.
    (7) Credits are to be rounded to the nearest one-hundredth of a 
Megagram using ASTM E29-93a (Incorporated by reference at Sec. 86.1).
    (8) Credits generated for 2007 and later model year diesel engine 
families, or generated for 2008 and later model year Otto-cycle engine 
families are not discounted (except as specified in paragraph (m)(2) or 
(m)(3) of this section), and do not expire.
    (9) For the purpose of using or generating credits during a phase-in 
of new standards, a manufacturer may elect to split an engine family 
into two subfamilies (e.g., one which uses credits and one which 
generates credits). The manufacturer must indicate in the application 
for certification that the engine family is to be split, and may assign 
the numbers and configurations of engines within the respective 
subfamilies at any time prior to the submission of the end-of-year 
report required by Sec. 86.001-23.
    (i) Manufacturers certifying a split diesel engine family to both 
the Phase 1 and Phase 2 standards with equally sized subfamilies may 
exclude the engines within that split family from end-of-year 
NOX (or NOX+NMHC) ABT calculations, provided that 
neither subfamily generates credits for use by other engine families, or 
uses banked credits, or uses averaging credits from other engine 
families. All of the engines in that split family must be excluded from 
the phase-in calculations of Sec. 86.007-11(g)(1) (both from the number 
of engines complying with the standards being phased-in and from the 
total number of U.S.-directed production engines.)
    (ii) Manufacturers certifying a split Otto-cycle engine family to 
both the Phase 1 and Phase 2 standards with equally sized subfamilies 
may exclude the engines within that split family from end-of-year 
NOX (or NOX+NMHC) ABT calculations, provided that 
neither subfamily generates credits for use by other engine families, or 
uses banked credits, or uses averaging credits from other engine 
families. All of the engines in that split family must be excluded from 
the phase-in calculations of Sec. 86.008-10(f)(1) (both from the number 
of engines complying with the standards being phased-in and from the 
total number of U.S.-directed production engines.)
    (iii) Manufacturers certifying a split engine family may label all 
of the engines within that family with a single NOX or 
NOX+NMHC FEL. The FEL on the label will apply for all SEA or 
other compliance testing.
    (iv) Notwithstanding the provisions of paragraph (m)(9)(iii) of this 
section, for split families, the NOX FEL shall be used to 
determine applicability of the provisions of Sec. Sec. 86.007-
11(a)(3)(ii), (a)(4)(i)(B), and (h)(1), and 86.008-10(g).
    (10) For model years 2007 through 2009, to be consistent with the 
phase-in provisions of Sec. 86.007-11(g)(1), credits generated from 
engines in one diesel engine service class (e.g., light-heavy duty 
diesel engines) may be used for

[[Page 222]]

averaging by engines in a different diesel engine service class, 
provided the credits are calculated for both engine families using the 
conversion factor and useful life of the engine family using the 
credits, and the engine family using the credits is certified to the 
standards listed in Sec. 86.007-11(a)(1). Banked or traded credits may 
not be used by any engine family in a different service class than the 
service class of the engine family generating the credits.

[66 FR 5163, Jan. 18, 2001]



Sec. 86.007-17  On-board Diagnostics for engines used in applications 

less than or equal to 14,000 pounds GVWR.

    (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 judgment.
    (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 filters--(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 family emission limit 
(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, reduction catalyst deterioration or 
malfunction before it results in exhaust NOX emissions 
exceeding, for model years 2007 through 2012, either 1.75 times the 
applicable NOX standard for engines certified to a 
NOX family emission limit (FEL) greater than 0.50 g/bhp-hr, 
or the applicable NOX FEL+0.6 g/bhp-hr for engines certified 
to a NOX FEL less than or equal to 0.50 g/bhp-hr and, for 
model years 2013 and later, the applicable NOX FEL+0.3 g/bhp-
hr. If equipped, diesel oxidation catalyst (DOC) deterioration or 
malfunction before it results in exhaust NMHC emissions exceeding, for 
model years 2010 through 2012, 2.5 times the applicable NMHC standard 
and, for model years 2013 and later, 2 times the applicable NMHC 
standard. These catalyst monitoring requirements need not be done if the 
manufacturer can demonstrate that deterioration or malfunction of the 
system will not result in exceedance of the threshold. As an 
alternative, oxidation catalyst deterioration or malfunction before it 
results in an inability to achieve a temperature rise of 100 degrees C, 
or to reach the necessary diesel particulate filter (DPF) regeneration 
temperature, within 60 seconds of initiating an active DPF regeneration. 
Further, oxidation catalyst deterioration or malfunction when the DOC is 
unable to sustain the necessary regeneration temperature for the 
duration of the regeneration event. The OBD or control system must abort 
the regeneration if the regeneration temperature has not been reached 
within five

[[Page 223]]

minutes of initiating an active regeneration event, and if the 
regeneration temperature cannot be sustained for the duration of the 
regeneration event.
    (B) If equipped with a DPF for model years 2007 through 2009, 
catastrophic failure of the device must be detected. Any DFP 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. If equipped with a DPF for model years 2010 and later, DPF 
deterioration or malfunction before it results in exhaust emissions 
exceeding the applicable PM FEL+0.04 g/bhp-hr or 0.05 g/bhp-hr PM, 
whichever is higher. As an alternative to this requirement for 2010 
through 2012, the OBD system can be designed to detect a malfunction 
based on a detectable decrease in the expected pressure drop across the 
DPF for a period of 5 seconds or more, whenever the engine is speed is 
greater than or equal to 50% (as defined in Sec. 1065.610, Eq. 
1065.610-3) and engine load, or torque, is greater than or equal to 50% 
of the maximum available at that speed under standard emission test 
conditions. For purposes of this paragraph, the detectable change in 
pressure drop is defined by operating the engine at its 50% speed and 
50% load point under standard emission test conditions, observing the 
pressure drop on a clean DPF, and multiplying the observed pressure drop 
by 0.5. The detectable change in pressure drop shall be reported in 
units of kilopascals (kPa). At time of certification, manufacturers 
shall provide the detectable change in pressure drop value along with 
OBD engine data parameters recorded at the following nine engine speed/
load operating points with a clean DPF: 50% speed, 50% load; 50% speed, 
75% load, 50% speed, 100% load; 75% speed, 50% load; 75% speed, 75% 
load; 75% speed, 100% load; 100% speed, 50% load; 100% speed, 75% load; 
and 100% speed, 100% load. The OBD engine data pararmeters to be 
reported are described in Sec. 86.010-18(k)(4)(ii) and shall include 
the following: engine speed; calculated load; air flow rate from mass 
air flow sensor (if so equipped); fuel rate; and DPF delta pressure. On 
all engines so equipped, catastrophic failure of the particulate trap 
must also be detected. In addition, the absence of the particulate trap 
or the trapping substrate must be detected.
    (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) Exhaust gas sensors--(i) Oxygen sensors and air-fuel ratio 
sensors downstream of aftertreatment devices--(A) Otto-cycle. If 
equipped, sensor deterioration or malfunction resulting in exhaust 
emissions exceeding 1.5 times the applicable standard or FEL for NMHC, 
NOX or CO.
    (B) Diesel. If equipped, sensor deterioration or malfunction 
resulting in exhaust emissions exceeding any of the following levels: 
The applicable PM FEL+0.04 g/bhp-hr or 0.05 g/bhp-hr PM, whichever is 
higher; or, for model years 2007 through 2012, 1.75 times the applicable 
NOX standard for engines certified to a NOX FEL 
greater than 0.50 g/bhp-hr, or, the applicable NOX FEL+0.6 g/
bhp-hr for engines certified to a NOX FEL less than or equal 
to 0.50 g/bhp-hr and, for model years 2013 and later, the applicable 
NOX FEL+0.3 g/bhp-hr; or, for model years 2010 through 2012, 
2.5 times the applicable NMHC standard and, for model years 2013 and 
later, 2 times the applicable NMHC standard.
    (ii) Oxygen sensors and air-fuel ratio sensors upstream of 
aftertreatment devices--(A) Otto-cycle. If equipped, sensor 
deterioration or malfunction resulting in exhaust emissions exceeding 
1.5 times the applicable standard or FEL for NMHC, NOX or CO.
    (B) Diesel. If equipped, sensor deterioration or malfunction 
resulting in exhaust emissions exceeding any of the following levels: 
for model years 2007 through 2009, the applicable PM FEL+0.04 g/bhp-hr 
or 0.05 g/bhp-hr PM, whichever is higher and, for model years 2010 and 
later, the applicable PM

[[Page 224]]

FEL+0.02 g/bhp-hr or 0.03 g/bhp-hr PM, whichever is higher; or, for 
model years 2007 through 2012, 1.75 times the applicable NOX 
standard for engines certified to a NOX FEL greater than 0.50 
g/bhp-hr, or the applicable NOX FEL+0.6 g/bhp-hr for engines 
certified to a NOX FEL less than or equal to 0.50 g/bhp-hr 
and, for model years 2013 and later, the applicable NOX 
FEL+0.3 g/bhp-hr ; or, for model years 2007 through 2012, 2.5 times the 
applicable NMHC standard and, for model years 2013 and later, 2 times 
the applicable NMHC standard; or, for 2007 through 2012, 2.5 times the 
applicable CO standard and, for model years 2013 and later, 2 times the 
applicable CO standard.
    (iii) NOX sensors--(A) Otto-cycle. If equipped, sensor deterioration 
or malfunction resulting in exhaust emissions exceeding 1.5 times the 
applicable standard or FEL for NMHC, NOX or CO.
    (B) Diesel. If equipped, sensor deterioration or malfunction 
resulting in exhaust emissions exceeding any of the following levels: 
the applicable PM FEL+0.04 g/bhp-hr or 0.05 g/bhp-hr PM, whichever is 
higher; or, for model years 2007 through 2012, 1.75 times the applicable 
NOX standard for engines certified to a NOX FEL 
greater than 0.50 g/bhp-hr; or, the applicable NOX FEL+0.6 g/
bhp-hr for engines certified to a NOX FEL less than or equal 
to 0.50 g/bhp-hr and, for model years 2013 and later, the applicable 
NOX FEL+0.3 g/bhp-hr.
    (4) Evaporative leaks. If equipped, any vapor leak in the 
evaporative and/or refueling system (excluding the tubing and 
connections between the purge valve and the intake manifold) greater 
than or equal in magnitude to a leak caused by a 0.040 inch diameter 
orifice; an absence of evaporative purge air flow from the complete 
evaporative emission control system. 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 and components--(i) Otto-cycle. 
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 CO. 
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.
    (ii) Diesel. Any deterioration or malfunction occurring in an engine 
system or component directly intended to control emissions, including 
but not necessarily limited to, the exhaust gas recirculation (EGR) 
system, if equipped, and the fuel control system, singularly resulting 
in exhaust emissions exceeding any of the following levels: for model 
years 2007 through 2009, the applicable PM FEL+0.04 g/bhp-hr or 0.05 g/
bhp-hr PM, whichever is higher and, for model years 2010 and later, the 
applicable PM FEL+0.02 g/bhp-hr or 0.03 g/bhp-hr PM, whichever is 
higher; or, for model years 2007 through 2012, 1.75 times the applicable 
NOX standard for engines certified to a NOX FEL 
greater than 0.50 g/bhp-hr or the applicable NOX FEL+0.6 g/
bhp-hr for engines certified to a NOX FEL less than or equal 
to 0.50 g/bhp-hr and, for model years 2013 and later, the applicable 
NOX FEL+0.3 g/bhp-hr; or, for model years 2007 through 2012, 
2.5 times the applicable NMHC standard and, for model years 2013 and 
later, 2 times the applicable NMHC standard; or, for model

[[Page 225]]

years 2007 through 2012, 2.5 times the applicable CO standard and, for 
model years 2013 and later, 2 times the applicable CO standard. 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 a malfunction would not cause 
emissions to exceed the applicable levels. This demonstration is subject 
to Administrator approval. For engines equipped with crankcase 
ventilation (CV), monitoring of the CV system is not necessary provided 
the manufacturer can demonstrate to the Administrator's satisfaction 
that the CV system is unlikely to fail.
    (6) Other emission-related 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. Any sensor or other component 
deterioration or malfunction which renders that sensor or component 
incapable of performing its function as part of the OBD system must be 
detected and identified on engines so equipped.
    (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--(1) The MIL must illuminate and remain 
illuminated when any of the conditions specified in paragraph (b) of 
this section are detected and verified, or whenever the engine control 
enters a default or secondary mode of operation considered abnormal for 
the given engine operating conditions. The MIL must blink once per 
second under any period of operation during which engine misfire is 
occurring and catalyst damage is imminent. If such misfire is detected 
again during the following driving cycle (i.e., operation consisting of, 
at a minimum, engine start-up and engine shut-off) or the next driving 
cycle in which similar conditions are encountered, the MIL must maintain 
a steady illumination when the misfire is not occurring and then remain 
illuminated until the MIL extinguishing criteria of this section are 
satisfied. The MIL must also illuminate when the vehicle's ignition is 
in the ``key-on'' position before engine starting or cranking and 
extinguish after engine starting if no malfunction has previously been 
detected. If a fuel system or engine misfire malfunction has previously 
been detected, the MIL may be extinguished if the malfunction does not 
reoccur during three subsequent sequential trips during which similar 
conditions are encountered and no new malfunctions have been detected. 
Similar conditions are defined as engine speed within 375 rpm, engine 
load within 20 percent, and engine warm-up status equivalent to that 
under which the malfunction was first detected. If any malfunction other 
than a fuel system or engine misfire malfunction has been detected, the 
MIL may be extinguished if the malfunction does not reoccur during three 
subsequent sequential trips during which the monitoring system 
responsible for illuminating the MIL functions without detecting the

[[Page 226]]

malfunction, and no new malfunctions have been detected. Upon 
Administrator approval, statistical MIL illumination protocols may be 
employed, provided they result in comparable timeliness in detecting a 
malfunction and evaluating system performance, i.e., three to six 
driving cycles would be considered acceptable.
    (2) Drive cycle or driving cycle, in the context of this Sec. 
86.007-17 and for model years 2010 and later, a drive cycle means 
operation that consists of engine startup and engine shutoff and 
includes the period of engine off time up to the next engine startup. 
For vehicles that employ engine shutoff strategies (e.g., engine shutoff 
at idle), the manufacturer may use an alternative definition for drive 
cycle (e.g., key-on followed by key-off). Any alternative definition 
must be based on equivalence to engine startup and engine shutoff 
signaling the beginning and ending of a single driving event for a 
conventional vehicle. For applications that span 14,000 pounds GVWR, the 
manufacturer may use the drive cycle definition of Sec. 86.010-18 in 
lieu of the definition in this paragraph.
    (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 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

[[Page 227]]

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 as 
referenced 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 following documents are incorporated by 
reference, see Sec. 86.1. Anyone may inspect copies at the U.S. EPA or 
at the National Archives and Records Administration (NARA). For 
information on the availability of this material at U.S. EPA, NARA, or 
the standard making bodies directly, refer to Sec. 86.1.
    (1) SAE material. (i) SAE J1850, Revised May 2001, 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 check sums.
    (ii) SAE J1979, Revised April 2002. Basic diagnostic data (as 
specified in Sec. 86.007-17(e) and (f)) shall be provided in the format 
and units in this industry standard.
    (iii) SAE J2012, Revised April 2002. Diagnostic trouble codes shall 
be consistent with this industry standard.
    (iv) SAE J1962, Revised April 2002. The connection interface between 
the OBD system and test equipment and diagnostic tools shall meet the 
functional requirements of this industry standard.
    (v) SAE J1930, Revised April 2002; or, SAE J2403, Revised August 
2007. All acronyms, definitions and abbreviations shall be formatted 
according to one or the other of these industry standards.
    (vi) SAE J1978, Revised April 2002. All equipment used to interface, 
extract and display OBD-related information shall meet this industry 
standard.

[[Page 228]]

    (vii) As an alternative to the above standards, heavy-duty vehicles 
may conform to the specifications of these SAE standards: SAE J1939-11, 
Revised October 1999; SAE J1939-13, July 1999; SAE J1939-21, Revised 
April 2001; SAE J1939-31, Revised December 1997; SAE J1939-71, Revised 
August 2002; SAE J1939-73, Revised June 2001; SAE J1939-81, July 1997.
    (2) ISO materials. (i) ISO 9141-2, February 1, 1994. This industry 
standard may be used as an alternative to SAE J1850 (as specified in 
paragraph (h)(1)(i) of this section) as the on-board to off-board 
communications protocol.
    (ii) ISO 14230-4:2000(E), June 1, 2000. This industry standard may 
be used as an alternative to SAE J1850 (as specified in paragraph 
(h)(1)(i) of this section) as the on-board to off-board communications 
protocol.
    (iii) ISO 15765-4.3:2001, December 14, 2001. This industry standard 
may be used as an alternative to SAE J1850 (as specified in paragraph 
(h)(1)(i) of this section) as the on-board to off-board communications 
protocol.
    (iv) ISO 15765-4:2005(E), January 15, 2005. Beginning with the 2008 
model year and beyond, this industry standard shall be the only 
acceptable protocol used for standardized on-board to off-board 
communications for vehicles below 8500 pounds. For vehicles 8500 to 
14000 pounds, either this ISO industry standard or the SAE standards 
listed in paragraph (h)(1)(vii) of this section shall be the only 
acceptable protocols used for standardized on-board to off-board 
communications.
    (i) Deficiencies and alternative 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, air-fuel ratio sensor, 
NOX sensor, engine misfire, evaporative leaks, and diesel 
EGR, if equipped), with the possible exception of the special provisions 
for alternative fueled engines. For alternative fueled heavy-duty 
engines (e.g., natural gas, liquefied petroleum gas, methanol, ethanol), 
manufacturers may request the Administrator to waive specific monitoring 
requirements of this section for which monitoring may not be reliable 
with respect to the use of the alternative fuel. At a minimum, 
alternative fuel engines must be equipped with an OBD system meeting OBD 
requirements to the extent feasible as approved by the Administrator.
    (j) California OBDII compliance option. For heavy-duty engines used 
in applications weighing 14,000 pounds GVWR or less, demonstration of 
compliance with California OBD II requirements (Title 13 California Code 
of Regulations Sec. 1968.2 (13 CCR 1968.2)), as modified and approved 
on November 9, 2007 (incorporated by reference, see Sec. 86.1), shall 
satisfy the requirements of this section, except that compliance with 13 
CCR 1968.2(e)(4.2.2)(C), pertaining to 0.02 inch evaporative leak 
detection, and 13 CCR 1968.2(d)(1.4), pertaining to tampering 
protection, are not required to satisfy the requirements of this 
section. Also, the deficiency provisions of 13 CCR 1968.2(k) do not 
apply. The deficiency provisions of paragraph (i) of this section and 
the evaporative leak detection requirement of paragraph (b)(4) of this 
section apply to manufacturers selecting this paragraph (j) for 
demonstrating compliance. In addition, demonstration of compliance with 
13 CCR 1968.2(e)(15.2.1)(C), to the extent it applies to the 
verification of proper alignment between the camshaft and crankshaft, 
applies only to vehicles equipped with variable valve timing.

[[Page 229]]

    (k) Phase-in for heavy-duty engines. Manufacturers of heavy-duty 
engines intended for use in a heavy-duty vehicle weighing 14,000 pounds 
GVWR 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 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. 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 based on     Diesel phase-in based on projected
               Model year                        projected sales                           sales
----------------------------------------------------------------------------------------------------------------
2007 MY................................  80% compliance; alternative      100% compliance.
                                          fuel waivers available.
2008+ MY 100% compliance...............  100% compliance................  100% compliance.
----------------------------------------------------------------------------------------------------------------


[74 FR 8356, Feb. 24, 2009]



Sec. 86.007-21  Application for certification.

    Section 86.007-21 includes text that specifies requirements that 
differ from Sec. 86.004-21, 86.094-21 or 86.096-21. Where a paragraph 
in Sec. 86.004-21, 86.094-21 or 86.096-21 is identical and applicable 
to Sec. 86.007-21, this may be indicated by specifying the 
corresponding paragraph and the statement ``[Reserved]. For guidance see 
Sec. 86.004-21.'', ``[Reserved]. For guidance see Sec. 86.094-21.'', 
or ``[Reserved]. For guidance see Sec. 86.096-21.''.
    (a)-(b)(3) [Reserved]. For guidance see Sec. 86.094-21.
    (b)(4)(i) [Reserved]. For guidance see Sec. 86.004-21.
    (b)(4)(ii)-(b)(5)(iv) [Reserved]. For guidance see Sec. 86.094-21.
    (b)(5)(v)-(b)(6) [Reserved]. For guidance see Sec. 86.004-21.
    (b)(7)-(b)(8) [Reserved]. For guidance see Sec. 86.094-21.
    (b)(9)-(b)(10) [Reserved]. For guidance see Sec. 86.004-21.
    (c)-(j) [Reserved]. For guidance see Sec. 86.094-21.
    (k)-(l) [Reserved]. For guidance see Sec. 86.096-21.
    (m)-(n) [Reserved]. For guidance see Sec. 86.004-21.
    (o) For diesel heavy-duty engines, the manufacturer must provide the 
following additional information pertaining to the supplemental emission 
test conducted under Sec. 86.1360-2007:
    (1) Weighted brake-specific emissions data (i.e., in units of g/bhp-
hr), calculated according to 40 CFR 1065.650 for all pollutants for 
which a brake-specific emission standard is established in this subpart;
    (2) For engines subject to the MAEL (see Sec. 86.007-11(a)(3)(ii)), 
brake specific gaseous emission data for each of the 12 non-idle test 
points (identified under Sec. 86.1360-2007(b)(1)) and the 3 EPA-
selected test points (identified under Sec. 86.1360-2007(b)(2));
    (3) For engines subject to the MAEL (see Sec. 86.007-11(a)(3)(ii)), 
concentrations and mass flow rates of all regulated gaseous emissions 
plus carbon dioxide;
    (4) Values of all emission-related engine control variables at each 
test point;
    (5) A statement that the test results correspond to the test engine 
selection criteria in 40 CFR 1065.401. The manufacturer also must 
maintain records at the manufacturer's facility which contain all test 
data, engineering analyses, and other information which provides the 
basis for this statement, where such information exists. The 
manufacturer must provide such information to the Administrator upon 
request;
    (6) For engines subject to the MAEL (see Sec. 86.007-11(a)(3)(ii)), 
a statement that the engines will comply with the weighted average 
emissions standard and interpolated values comply with the Maximum 
Allowable Emission

[[Page 230]]

Limits specified in Sec. 86.007-11(a)(3) for the useful life of the 
engine where applicable. The manufacturer also must maintain records at 
the manufacturer's facility which contain a detailed description of all 
test data, engineering analyses, and other information which provides 
the basis for this statement, where such information exists. The 
manufacturer must provide such information to the Administrator upon 
request.
    (7) [Reserved]
    (p)(1) The manufacturer must provide a statement in the application 
for certification that the diesel heavy-duty engine for which 
certification is being requested will comply with the applicable Not-To-
Exceed Limits specified in Sec. 86.007-11(a)(4) when operated under all 
conditions which may reasonably be expected to be encountered in normal 
vehicle operation and use. The manufacturer also must maintain records 
at the manufacturers facility which contain all test data, engineering 
analyses, and other information which provides the basis for this 
statement, where such information exists. The manufacturer must provide 
such information to the Administrator upon request.
    (2) For engines equipped with exhaust gas recirculation, the 
manufacturer must provide a detailed description of the control system 
the engine will use to comply with the requirements of Sec. Sec. 
86.007-11(a)(4)(iii) and 86.1370-2007(f) for NTE cold temperature 
operating exclusion, including but not limited to the method the 
manufacturer will use to access this exclusion during normal vehicle 
operation.
    (3) For each engine model and/or horsepower rating within an engine 
family for which a manufacturer is applying for an NTE deficiency(ies) 
under the provisions of Sec. 86.007-11(a)(4)(iv), the manufacturer's 
application for an NTE deficiency(ies) must include a complete 
description of the deficiency, including but not limited to: the 
specific description of the deficiency; what pollutant the deficiency is 
being applied for, all engineering efforts the manufacturer has made to 
overcome the deficiency, what specific operating conditions the 
deficiency is being requested for (i.e., temperature ranges, humidity 
ranges, altitude ranges, etc.), a full description of the auxiliary 
emission control device(s) which will be used to maintain emissions to 
the lowest practical level; and what the lowest practical emission level 
will be.
    (q) The manufacturer must name an agent for service of process 
located in the United States. Service on this agent constitutes service 
on you or any of your officers or employees for any action by EPA or 
otherwise by the United States related to the requirements of this part.

[65 FR 59954, Oct. 6, 2000, as amended at 70 FR 40433, July 13, 2005; 71 
FR 51487, Aug. 30, 2006]



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)-(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-

[[Page 231]]

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 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)-(e)(1) [Reserved]. For guidance see Sec. 86.098-23.
    (e)(2) and (e)(3) [Reserved]. For guidance see Sec. 86.001-23.
    (f)-(g) [Reserved]. For guidance see Sec. 86.095-23.
    (h)-(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.
    (n) Measure CO2, N2O, and CH4 with 
each low-hour certification test for heavy-duty engines using the 
procedures specified in 40 CFR part 1065 as specified in this paragraph 
(n). Report these values in your application for certification. The 
requirements of this paragraph (n) apply starting with model year 2011 
for CO2 and 2012 for CH4. The requirements of this 
paragraph (n) related to N2O emissions apply for engine 
families that depend on NOX aftertreatment to meet emission 
standards starting with model year 2013. These measurements are not 
required for NTE testing. Use the same units and calculations as for 
your other results to report a single weighted value for CO2, 
N2O, and CH4 for each test. Round the final values 
as follows:
    (1) Round CO2 to the nearest 1 g/bhp-hr.
    (2) Round N2O to the nearest 0.001 g/bhp-hr.
    (3) Round CH4 to the nearest 0.001 g/bhp-hr.

[66 FR 5164, Jan. 18, 2001, as amended at 74 FR 56373, Oct. 30, 2009]



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.''.

[[Page 232]]

    (a)-(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)-(b)(3)(v)(H) [Reserved]. For guidance see Sec. 86.004-
25.
    (b)(3)(vi)(A)-(b)(3)(vi)(D) [Reserved]. For guidance see Sec. 
86.094-25.
    (b)(3)(vi)(E)-(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)-(b)(6) [Reserved]. For guidance see Sec. 86.004-25.
    (b)(7)-(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:
    (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. 86.007-30  Certification.

    (a)(1)(i) If, after a review of the test reports and data submitted 
by the manufacturer, data derived from any inspection carried out under 
Sec. 86.091-7(c) and any other pertinent data or information, the 
Administrator determines that a test vehicle(s) (or test engine(s)) 
meets the requirements of the Act and of this subpart, he will issue a 
certificate of conformity with respect to such vehicle(s) (or engine(s)) 
except in cases covered by paragraphs (a)(1)(ii) and (c) of this 
section.
    (ii) Gasoline-fueled and methanol-fueled heavy-duty vehicles. If, 
after a review of the statement(s) of compliance submitted by the 
manufacturer under Sec. 86.094-23(b)(4) and any other pertinent data or 
information, the Administrator determines that the requirements of the 
Act and this subpart have been met, he will issue one certificate of 
conformity per manufacturer with respect to the evaporative emission 
family(ies) covered by paragraph (c) of this section.
    (2) Such certificate will be issued for such period not to exceed 
one model year as the Administrator may determine and upon such terms as 
he may deem necessary or appropriate to assure that any new motor 
vehicle (or new motor vehicle engine) covered by the certificate will 
meet the requirements of the Act and of this part.
    (3)(i) One such certificate will be issued for each engine family. 
For gasoline-fueled and methanol-fueled light-duty vehicles and light-
duty trucks, and petroleum-fueled diesel cycle light-duty vehicles and 
light-duty trucks not certified under Sec. 86.098-28(g), one such 
certificate will be issued for each engine family-evaporative/refueling 
emission family combination. Each certificate will certify compliance 
with no more than one set of in-use and certification standards (or 
family emission limits, as appropriate).
    (ii) For gasoline-fueled and methanol fueled heavy-duty vehicles, 
one such certificate will be issued for each manufacturer and will 
certify compliance for those vehicles previously identified in that 
manufacturer's statement(s) of compliance as required in Sec. 86.098-
23(b)(4)(i) and (ii).
    (iii) For diesel light-duty vehicles and light-duty trucks, or 
diesel HDEs, included in the applicable particulate averaging program, 
the manufacturer may at any time during production elect to change the 
level of any family particulate emission limit by demonstrating 
compliance with the new limit as described in Sec. 86.094-28(a)(6),

[[Page 233]]

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.
    (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 paragraph (a)(4)(iii)(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 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

[[Page 234]]

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 or light-duty truck which has been exempted from 
compliance with emission standards at low altitude, as provided in Sec. 
86.094-8(i) or Sec. 86.094-9(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 Sec. 86.094-30(a)(4)(iv)(A) or (B) and Sec. 
86.094-30(a)(4)(iv)(C):
    (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 not more frequently than 
quarterly, unless EPA has demonstrated that it has substantial reason to 
believe that an improperly configured vehicle has

[[Page 235]]

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 and 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 Santa Fe
Sierra
Socorro
Taos
Torrance
Union
Valencia

[[Page 236]]



                              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 either 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. 86.094-21(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 heavyduty vehicles described in Sec. 86.082-2.
    (9) For incomplete gasoline-fueled and methanol-fueled heavy-duty 
vehicles a certificate covers only those new motor vehicles which, when 
completed, conform to the nominal maximum fuel tank capacity limitations 
as described in the application for certification as required in Sec. 
86.094-21(e).
    (10)(i) 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

[[Page 237]]

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 family 
emission limit (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)-(C) 
of this section apply.
    (A) All certificates issued are conditional upon the manufacturer 
complying with the provisions of Sec. 86.098-15 or superseding ABT 
sections as applicable and the ABT related provisions of other 
applicable sections, both during and after the model year production.
    (B) Failure to comply with all provisions of Sec. 86.098-15 or 
superseding ABT sections as applicable will be considered to be a 
failure to satisfy the conditions upon which the certificate was issued, 
and the certificate may be deemed void ab initio.
    (C) The manufacturer shall bear the burden of establishing to the 
satisfaction of the Administrator that the conditions upon which the 
certificate was issued were satisfied or excused.
    (11)(i) 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)-(C) of this 
section apply.
    (A) All certificates issued are conditional upon the manufacturer 
complying with the provisions of Sec. 86.098-15 or superseding ABT 
sections as applicable and the ABT related provisions of other 
applicable sections, both during and after the model year production.
    (B) Failure to comply with all provisions of Sec. 86.098-15 or 
superseding ABT sections as applicable will be considered to be a 
failure to satisfy the conditions upon which the certificate was issued, 
and the certificate may be deemed void ab initio.
    (C) The manufacturer shall bear the burden of establishing to the 
satisfaction of the Administrator that the conditions upon which the 
certificate was issued were satisfied or excused.
    (12) For all light-duty vehicles certified to standards under Sec. 
86.094-8 or to which standards under Sec. 86.708-94 are applicable, the 
provisions of paragraphs (a)(12)(i) through (iii) of this section apply.
    (13) For all light-duty trucks certified to Tier 0 standards under 
Sec. 86.094-9 and to which standards under Sec. 86.709-94 are 
applicable:
    (i) All certificates issued are conditional upon the manufacturer 
complying with all provisions of Sec. Sec. 86.094-9 and 86.709-94 both 
during and after model year production.
    (ii) Failure to meet the required implementation schedule sales 
percentages as specified in Sec. Sec. 86.094-9 and 86.709-94 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.
    (14) For all light-duty vehicles and light-duty trucks certified 
with an Alternative Service Accumulation Durability Program under Sec. 
86.094-13(e), paragraphs (a)(14)(i) through (iii) of this section apply.
    (i) All certificates issued are conditional upon the manufacturer 
performing the in-use verification program pursuant to the agreement 
described in Sec. 86.094-13(e)(8).

[[Page 238]]

    (ii) Failure to fully comply with all the terms of the in-use 
verification program pursuant to the agreement described in Sec. 
86.094-13(e)(8) will be considered a failure to satisfy the conditions 
upon which the certificate was issued. A vehicle or truck will be 
considered to be covered by the certificate only if the manufacturer 
fulfills the conditions upon which the certificate is issued.
    (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.
    (15) For all light-duty vehicles certified to evaporative test 
procedures and accompanying standards specified under Sec. 86.096-8:
    (i) All certificates issued are conditional upon the manufacturer 
complying with all provisions of Sec. 86.096-8 both during and after 
model year production.
    (ii) Failure to meet the required implementation schedule sales 
percentages as specified in Sec. 86.096-8 will be considered to be a 
failure to satisfy the conditions upon which the certificate was issued 
and the vehicles sold in violation of the implementation schedule shall 
not be covered by the certificate.
    (iii) The manufacturer shall bear the burden of establishing to the 
satisfaction of the Administrator that the conditions upon which the 
certificate was issued were satisfied.
    (16) For all light-duty trucks certified to evaporative test 
procedures and accompanying standards specified under Sec. 86.096-9:
    (i) All certificates issued are conditional upon the manufacturer 
complying with all provisions of Sec. 86.096-9 both during and after 
model year production.
    (ii) Failure to meet the required implementation schedule sales 
percentages as specified in Sec. 86.096-9 will be considered to be a 
failure to satisfy the conditions upon which the certificate was issued 
and the vehicles sold in violation of the implementation schedule shall 
not be covered by the certificate.
    (iii) The manufacturer shall bear the burden of establishing to the 
satisfaction of the Administrator that the conditions upon which the 
certificate was issued were satisfied.
    (17) For all heavy-duty vehicles certified to evaporative test 
procedures and accompanying standards specified under Sec. 86.096-10:
    (i) All certificates issued are conditional upon the manufacturer 
complying with all provisions of Sec. 86.096-10 both during and after 
model year production.
    (ii) Failure to meet the required implementation schedule sales 
percentages as specified in Sec. 86.096-10 will be considered to be a 
failure to satisfy the conditions upon which the certificate was issued 
and the vehicles sold in violation of the implementation schedule shall 
not be covered by the certificate.
    (iii) The manufacturer shall bear the burden of establishing to the 
satisfaction of the Administrator that the conditions upon which the 
certificate was issued were satisfied.
    (18) For all heavy-duty vehicles certified to evaporative test 
procedures and accompanying standards specified under Sec. 86.098-11:
    (i) All certificates issued are conditional upon the manufacturer 
complying with all provisions of Sec. 86.098-11 both during and after 
model year production.
    (ii) Failure to meet the required implementation schedule sales 
percentages as specified in Sec. 86.098-11 will be considered to be a 
failure to satisfy the conditions upon which the certificate was issued 
and the vehicles sold in violation of the implementation schedule shall 
not be covered by the certificate.
    (iii) The manufacturer shall bear the burden of establishing to the 
satisfaction of the Administrator that the conditions upon which the 
certificate was issued were satisfied.
    (19) For all light-duty vehicles certified to refueling emission 
standards under Sec. 86.098-8, the provisions of paragraphs (a)(19) (i) 
through (iii) of this section apply.
    (i) All certificates issued are conditional upon the manufacturer 
complying with all provisions of Sec. 86.098-8, both during and after 
model year production.
    (ii) Failure to meet the required implementation schedule sales 
percentages as specified in Sec. 86.094-8 be considered to be a failure 
to satisfy the conditions upon which the certificate(s) was

[[Page 239]]

issued and the vehicles sold in violation of the implementation schedule 
shall not be covered by the certificate.
    (iii) The manufacturer shall bear the burden of establishing to the 
satisfaction of the Administrator that the conditions upon which the 
certificate was issued were satisfied.
    (20) For all light-duty trucks certified to refueling emission 
standards under Sec. 86.001-9, the provisions of paragraphs (a)(20)(i)-
(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.
    (21) For all light-duty trucks certified to refueling emission 
standards under Sec. 86.004-9, the provisions of paragraphs (a)(21)(i)-
(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) The Administrator will determine whether a vehicle (or 
engine) covered by the application complies with applicable standards 
(or family emission limits, as appropriate) by observing the following 
relationships: in paragraphs (b)(1)(i) through (iv) of this section:
    (i) Light-duty vehicles. (A) The durability data vehicle(s) selected 
under Sec. 86.094-24(c)(1)(i) shall represent all vehicles of the same 
engine system combination.
    (B) The emission data vehicle(s) selected under Sec. 86.094-
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. 86.094-
24(b)(1)(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. 86.094-24(b)(1)(ii), shall represent all vehicles of the 
same engine-system combination as applicable.
    (B) The emission data vehicle(s) selected under Sec. 86.001-
24(b)(vii)(A) and (B) shall represent all vehicles of the same 
evaporative/refueling control system within the evaporative/refueling 
family.
    (C) The emission data vehicle(s) selected under Sec. 
86.09424(b)(1)(v) shall represent all vehicles of the same engine system 
combination as applicable.
    (D) The emission-data vehicle(s) selected under Sec. 86.098-
24(b)(1)(viii) shall represent all vehicles of the same evaporative/
refueling control system within the evaporative/refueling emission 
family, as applicable.
    (iii) Heavy-duty engines. (A) An Otto-cycle emission data test 
engine selected under Sec. 86.094-24(b)(2)(iv) shall represent all 
engines in the same family of the same engine displacement-exhaust 
emission control system combination.
    (B) An Otto-cycle emission data test engine selected under Sec. 
86.094-24(b)(2)(iii) shall represent all engines in the same engine 
family of the same engine displacement-exhaust emission control system 
combination.
    (C) A diesel emission data test engine selected under Sec. 86.094-
24(b)(3)(ii) shall represent all engines in the same engine-system 
combination.
    (D) A diesel emission data test engine selected under Sec. 86.094-
24(b)(3)(iii) shall

[[Page 240]]

represent all engines of that emission control system at the rated fuel 
delivery of the test engine.
    (iv) Gasoline-fueled and methanol-fueled heavy-duty vehicles. A 
statement of compliance submitted under Sec. 86.094-23(b)(4)(i) or (ii) 
shall represent all vehicles in the same evaporative emission family-
evaporative emission control system combination.
    (2) The Administrator will proceed as in paragraph (a) of this 
section with respect to the vehicles (or engines) belonging to an engine 
family or engine family-evaporative/refueling emission family 
combination (as applicable), all of which comply with all applicable 
standards (or family emission limits, as appropriate).
    (3) If after a review of the test reports and data submitted by the 
manufacturer, data derived from any additional testing conducted 
pursuant to Sec. 86.091-29, data or information derived from any 
inspection carried out under Sec. 86.094-7(d) or any other pertinent 
data or information, the Administrator determines that one or more test 
vehicles (or test engines) of the certification test fleet do not meet 
applicable standards (or family emission limits, as appropriate), he 
will notify the manufacturer in writing, setting forth the basis for his 
determination. Within 30 days following receipt of the notification, the 
manufacturer may request a hearing on the Administrator's determination. 
The request shall be in writing, signed by an authorized representative 
of the manufacturer and shall include a statement specifying the 
manufacturer's objections to the Administrator's determination and data 
in support of such objections. If, after a review of the request and 
supporting data, the Administrator finds that the request raises a 
substantial factual issue, he shall provide the manufacturer a hearing 
in accordance with Sec. 86.078-6 with respect to such issue.
    (4) 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/refueling 
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; or
    (B) If the failed vehicle was tested for compliance with one or more 
of the exhaust, evaporative and refueling 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 all 
of the applicable emission standards. If one vehicle cannot be selected 
in accordance with the selection criteria employed in selecting the 
failed vehicle, then two or more vehicles may be selected (e.g., one 
vehicle to satisfy the exhaust emission vehicle selection criteria and 
one vehicle to satisfy the evaporative and refueling 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 and/or refueling 
emission vehicle selection criteria will be tested for compliance with 
exhaust, evaporative and/or refueling emission standards; or
    (iii) Remove the vehicle configuration (or evaporative/refueling 
vehicle configuration, as applicable) which failed from the application 
and add a vehicle configuration(s) (or evaporative/refueling 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/refueling emission code, 
as applicable) and demonstrate by testing that it meets applicable 
standards (or family emission limits, as appropriate)

[[Page 241]]

for which it was originally tested. In addition, the Administrator may 
select, in accordance with the vehicle selection criteria given in Sec. 
86.001-24(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 all of the applicable emission standards (or family 
emission limits, as appropriate); or
    (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/refueling 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 
compliance with applicable standards (or family emission limit, as 
appropriate):
    (i) Request a hearing under Sec. 86.078-6; or
    (ii) Delete from the application for certification the engines 
represented by the failing test engine. (Engines so deleted may be 
included in a later request for certification under Sec. 86.079-32.) 
The Administrator may then select in place of each failing engine an 
alternate engine chosen in accordance with selection criteria employed 
in selecting the engine that failed; or
    (iii) Modify the test engine and demonstrate by testing that it 
meets applicable standards. Another engine which is in all material 
respect the same as the first engine, as modified, may then be operated 
and tested in accordance with applicable test procedures.
    (6) If the manufacturer does not request a hearing or present the 
required data under paragraphs (b)(4) or (5) of this section (as 
applicable) of this section, the Administrator will deny certification.
    (c)(1) Notwithstanding the fact that any certification vehicle(s) 
(or certification engine(s)) may comply with other provisions of this 
subpart, the Administrator may withhold or deny the issuance of a 
certificate of conformity (or suspend or revoke any such certificate 
which has been issued) with respect to any such vehicle(s) (or 
engine(s)) if:
    (i) The manufacturer submits false or incomplete information in his 
application for certification thereof;
    (ii) The manufacturer renders inaccurate any test data which he 
submits pertaining thereto or otherwise circumvents the intent of the 
Act, or of this part with respect to such vehicle (or engine);
    (iii) Any EPA Enforcement Officer is denied access on the terms 
specified in Sec. 86.091-7(d) to any facility or portion thereof which 
contains any of the following:
    (A) The vehicle (or engine);
    (B) Any components used or considered for use in its modification or 
buildup into a certification vehicle (or certification engine);
    (C) Any production vehicle (or production engine) which is or will 
be claimed by the manufacturer to be covered by the certificate;
    (D) Any step in the construction of a vehicle (or engine) described 
in paragraph (c)(iii)(C) of this section;
    (E) Any records, documents, reports, or histories required by this 
part to be kept concerning any of the above; or
    (iv) Any EPA Enforcement Officer is denied ``reasonable assistance'' 
(as defined in Sec. 86.091-7(d) in examining any of the items listed in 
paragraph (c)(1)(iii) of this section.
    (2) The sanctions of withholding, denying, revoking, or suspending 
of a certificate may be imposed for the reasons in paragraphs (c)(1)(i), 
(ii), (iii), or (iv) of this section only when the infraction is 
substantial.

[[Page 242]]

    (3) In any case in which a manufacturer knowingly submits false or 
inaccurate information or knowingly renders inaccurate or invalid any 
test data or commits any other fraudulent acts and such acts contribute 
substantially to the Administrator's decision to issue a certificate of 
conformity, the Administrator may deem such certificate void ab initio.
    (4) In any case in which certification of a vehicle (or engine) is 
proposed to be withheld, denied, revoked, or suspended under paragraph 
(c)(1)(iii) or (iv) of this section, and in which the Administrator has 
presented to the manufacturer involved reasonable evidence that a 
violation of Sec. 86.091-7(d) in fact occurred, the manufacturer, if he 
wishes to contend that, even though the violation occurred, the vehicle 
(or engine) in question was not involved in the violation to a degree 
that would warrant withholding, denial, revocation, or suspension of 
certification under either paragraph (c)(1)(iii) or (iv) of this 
section, shall have the burden of establishing that contention to the 
satisfaction of the Administrator.
    (5) Any revocation or suspension of certification under paragraph 
(c)(1) of this section shall:
    (i) Be made only after the manufacturer concerned has been offered 
an opportunity for a hearing conducted in accordance with Sec. 86.078-6 
hereof; and
    (ii) Extend no further than to forbid the introduction into commerce 
of vehicles (or engines) previously covered by the certification which 
are still in the hands of the manufacturer, except in cases of such 
fraud or other misconduct as makes the certification invalid ab initio.
    (6) The manufacturer may request in the form and manner specified in 
paragraph (b)(3) of this section that any determination made by the 
Administrator under paragraph (c)(1) of this section to withhold or deny 
certification be reviewed in a hearing conducted in accordance with 
Sec. 86.078-6. If the Administrator finds, after a review of the 
request and supporting data, that the request raises a substantial 
factual issue, he will grant the request with respect to such issue.
    (d)(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 
Sec. 86.604(a), Sec. 86.605, Sec. 86.607, Sec. 86.608, or Sec. 
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,

[[Page 243]]

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 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.
    (8) Any voiding of the certificate under Sec. 86.091-30(a)(10) 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 Sec. Sec. 86.1004(a), 86.1005, 86.1007, 86.1008, 
86.1010, 86.1011, or 86.1013.
    (2) The sanction of suspending a certificate may not be imposed for 
the reasons in paragraph (e)(1) (i), (ii), or (vii) of this section 
where such refusal or denial is caused by conditions and circumstances 
outside the control of the manufacturer which renders it impossible to 
comply with those requirements. Such conditions and circumstances shall 
include, but are not limited to, any uncontrollable factors which result 
in the temporary unavailability of equipment and personnel needed to 
conduct the required tests, such as equipment breakdown or failure or 
illness of personnel, but shall not include failure of the manufacturers 
to adequately plan for and provide the equipment and personnel needed to 
conduct the tests. The manufacturer will bear the burden of establishing 
the presence of the conditions and circumstances required by this 
paragraph.
    (3) The sanction of suspending a certificate may be imposed for the 
reasons outlined in paragraph (e)(1)(iii), (iv), or (v) of this section 
only when the infraction is substantial.

[[Page 244]]

    (4) In any case in which a manufacturer knowingly submitted false or 
inaccurate information or knowingly rendered inaccurate any test data or 
committed any other fraudulent acts, and such acts contributed 
substantially to the Administrator's original decision not to suspend or 
revoke a certificate of conformity in whole or in part, the 
Administrator may deem such certificate void from the date of such 
fraudulent act.
    (5) In any case in which certification of a light-duty truck or 
heavy-duty engine is proposed to be suspended under paragraph (e)(1)(v) 
of this section and in which the Administrator has presented to the 
manufacturer involved reasonable evidence that a violation of Sec. 
86.1006 in fact occurred, if the manufacturer wishes to contend that, 
although the violation occurred, the vehicle or engine configuration or 
engine family in question was not involved in the violation to a degree 
that would warrant suspension of certification under paragraph (e)(1)(v) 
of this section, he shall have the burden of establishing that 
contention to the satisfaction of the Administrator.
    (6) Any suspension of certification under paragraph (e)(1) of this 
section shall:
    (i) Be made only after the manufacturer concerned has been offered 
an opportunity for a hearing conducted in accordance with Sec. 86.1014; 
and
    (ii) Not apply to vehicles or engines no longer in the hands of the 
manufacturer.
    (7) Any voiding of a certificate of conformity under paragraph 
(e)(4) of this section shall be made only after the manufacturer 
concerned has been offered an opportunity for a hearing conducted in 
accordance with Sec. 86.1014.
    (8) Any voiding of the certificate under paragraph (a) (10) or (11) 
of this section will be made only after the manufacturer concerned has 
been offered an opportunity for a hearing conducted in accordance with 
Sec. 86.1014.
    (f) For engine families required to have an OBD system and meant for 
applications less than or equal to 14,000 pounds, 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 reduction 
catalyst is replaced with a deteriorated or defective catalyst, or an 
electronic simulation of such, resulting in exhaust emissions exceeding, 
for model years 2007 through 2012, 1.75 times the applicable 
NOX standard for engines certified to a NOX FEL 
greater than 0.50 g/bhp-hr, or the applicable NOX FEL+0.6 g/
bhp-hr for engines certified to a NOX FEL less than or equal 
to 0.50 g/bhp-hr and, for model years 2013 and later, the applicable 
NOX FEL+0.3 g/bhp-hr. Also if monitored for emissions 
performance--an oxidation catalyst is replaced with a deteriorated or 
defective catalyst, or an electronic simulation of such, resulting in 
exhaust NMHC emissions exceeding, for model years 2007 through 2012, 2.5 
times the applicable NMHC standard and, for model years 2013 and later, 
2 times the applicable NMHC standard. If monitored for exotherm 
performance, an oxidation catalsyt is replaced with a deteriorated or 
defective catalyst, or an electronic simulation of such, resulting in an 
inability to achieve a 100 degree C temperature rise, or the necessary 
regeneration temperature, within 60 seconds of initiating a DPF 
regeneration.
    (B) If monitored for performance--a diesel particulate filter (DPF) 
is replaced with a DPF that has catastrophically failed, or an 
electronic simulation of such; or, for model years 2010 and later, a DPF 
is replaced with a deteriorated or defective DPF, or an electronic 
simulation of such, resulting in either exhaust PM emissions exceeding 
the applicable FEL+0.04 g/bhp-hr or 0.05 g/bhp-hr PM, whichever is 
higher. If

[[Page 245]]

monitored for a decrease in the expected pressure drop according to the 
alternative monitoring provision of Sec. 86.007-17(b)(1)(ii)(B), the 
OBD system fails to detect any of the pressure drop values across the 
DPF provided by the manufacturer at each of the nine engine speed/load 
operating points regardless of how those pressure drops are generated.
    (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) Exhaust gas sensors--(i) Oxygen sensors and air-fuel ratio 
sensors downstream of aftertreatment devices--(A) Otto-cycle. If so 
equipped, any oxygen sensor or air-fuel ratio sensor located downstream 
of aftertreatment devices is replaced with a deteriorated or defective 
sensor, or an electronic simulation of such, resulting in exhaust 
emissions exceeding 1.5 times the applicable standard or FEL for NMHC, 
NOX or CO.
    (B) Diesel. If so equipped, any oxygen sensor or air-fuel ratio 
sensor located downstream of aftertreatment devices is replaced with a 
deteriorated or defective sensor, or an electronic simulation of such, 
resulting in exhaust emissions exceeding any of the following levels: 
The applicable PM FEL+0.04 g/bhp-hr or 0.05 g/bhp-hr PM, whichever is 
higher; or, for model years 2007 through 2012, 1.75 times the applicable 
NOX standard for engines certified to a NOX FEL 
greater than 0.50 g/bhp-hr, or the applicable NOX FEL+0.6 g/
bhp-hr for engines certified to a NOX FEL less than or equal 
to 0.50 g/bhp-hr and, for model years 2013 and later, the applicable 
NOX FEL+0.3 g/bhp-hr; or, for model years 2007 through 2012, 
2.5 times the applicable NMHC standard and, for model years 2013 and 
later, 2 times the applicable NMHC standard.
    (ii) Oxygen sensors and air-fuel ratio sensors upstream of 
aftertreatment devices--(A) Otto-cycle. If so equipped, any oxygen 
sensor or air-fuel ratio sensor located upstream of aftertreatment 
devices is replaced with a deteriorated or defective sensor, or an 
electronic simulation of such, resulting in exhaust emissions exceeding 
1.5 times the applicable standard or FEL for NMHC, NOX or CO.
    (B) Diesel. If so equipped, any oxygen sensor or air-fuel ratio 
sensor located upstream of aftertreatment devices is replaced with a 
deteriorated or defective sensor, or an electronic simulation of such, 
resulting in exhaust emissions exceeding any of the following levels: 
For model years 2007 through 2012, the applicable PM FEL+0.04 g/bhp-hr 
or 0.05 g/bhp-hr PM, whichever is higher and, for model years 2013 and 
later, the applicable PM FEL+0.02 g/bhp-hr or 0.03 g/bhp-hr PM, 
whichever is higher; or, for model years 2007 through 2012, 1.75 times 
the applicable NOX standard for engines certified to a 
NOX FEL greater than 0.50 g/bhp-hr, or the applicable 
NOX FEL+0.6 g/bhp-hr for engines certified to a 
NOX FEL less than or equal to 0.50 g/bhp-hr and, for model 
years 2013 and later, the applicable NOX FEL+0.3 g/bhp-hr; 
or, for model years 2007 through 2012, 2.5 times the applicable NMHC 
standard and, for model years 2013 and later, 2 times the applicable 
NMHC standard; or, for model years 2007 through 2012, 2.5 times the 
applicable CO standard and, for model years 2013 and later, 2 times the 
applicable CO standard.
    (iii) NOX sensors--(A) Otto-cycle. If so equipped, any 
NOX sensor is replaced with a deteriorated or defective 
sensor, or an electronic simulation of such, resulting in exhaust 
emissions exceeding 1.5 times the applicable standard or FEL for NMHC, 
NOX or CO.
    (B) Diesel. If so equipped, any NOX sensor is replaced 
with a deteriorated or defective sensor, or an electronic simulation of 
such, resulting in exhaust emissions exceeding any of the following 
levels: The applicable PM FEL+0.04 g/bhp-hr or 0.05 g/bhp-hr PM, 
whichever is higher; or, for model years 2007 through 2012, 1.75 times 
the applicable NOX standard for engines certified to a 
NOX FEL greater than 0.50 g/bhp-hr, or the applicable 
NOX FEL+0.6 g/bhp-hr for engines certified to a 
NOX FEL less than or equal to 0.50 g/bhp-hr and, for model 
years 2013 and later, the applicable NOX FEL+0.3 g/bhp-hr.
    (4) If so equipped and for Otto-cycle engines, a vapor leak is 
introduced in

[[Page 246]]

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)(i) Otto-cycle. 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, or CO.
    (ii) Diesel. A malfunction condition is induced in any emission-
related engine system or component, including but not necessarily 
limited to, the exhaust gas recirculation (EGR) system, if equipped, and 
the fuel control system, singularly resulting in exhaust emissions 
exceeding any of the following levels: The applicable PM FEL+0.04 g/bhp-
hr or 0.05 g/bhp-hr PM, whichever is higher; or, for model years 2007 
through 2012, 1.75 times the applicable NOX standard for 
engines certified to a NOX FEL greater than 0.50 g/bhp-hr, or 
the applicable NOX FEL+0.6 g/bhp-hr for engines certified to 
a NOX FEL less than or equal to 0.50 g/bhp-hr and, for model 
years 2013 and later, the applicable NOX FEL+0.3 g/bhp-hr; 
or, for model years 2007 through 2012, 2.5 times the applicable NMHC 
standard and, for model years 2013 and later, 2 times the applicable 
NMHC standard; or, for model years 2007 through 2012, 2.5 times the 
applicable CO standard and, for model years 2013 and later, 2 times the 
applicable CO standard.
    (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.

[74 FR 8360, Feb. 24, 2009]



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 se