[Title 40 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2003 Edition]
[From the U.S. Government Printing Office]
[[Page i]]
40
Part 86 (86.600-1--End)
Revised as of July 1, 2003
Protection of Environment
Containing a codification of documents of general
applicability and future effect
As of July 1, 2003
With Ancillaries
Published by
Office of the Federal Register
National Archives and Records
Administration
A Special Edition of the Federal Register
[[Page ii]]
U.S. GOVERNMENT PRINTING OFFICE
WASHINGTON : 2003
For sale by the Superintendent of Documents, U.S. Government Printing
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[[Page iii]]
Table of Contents
Page
Explanation................................................. v
Title 40:
Chapter I--Environmental Protection Agency 3
Finding Aids:
Material Approved for Incorporation by Reference........ 647
Table of CFR Titles and Chapters........................ 651
Alphabetical List of Agencies Appearing in the CFR...... 669
List of CFR Sections Affected........................... 679
[[Page iv]]
----------------------------
Cite this Code: CFR
To cite the regulations in
this volume use title,
part and section number.
Thus, 40 CFR 86.601-84
refers to title 40, part
86, section 601-84.
----------------------------
[[Page v]]
EXPLANATION
The Code of Federal Regulations is a codification of the general and
permanent rules published in the Federal Register by the Executive
departments and agencies of the Federal Government. The Code is divided
into 50 titles which represent broad areas subject to Federal
regulation. Each title is divided into chapters which usually bear the
name of the issuing agency. Each chapter is further subdivided into
parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year
and issued on a quarterly basis approximately as follows:
Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1
The appropriate revision date is printed on the cover of each
volume.
LEGAL STATUS
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HOW TO USE THE CODE OF FEDERAL REGULATIONS
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collection request.
[[Page vi]]
Many agencies have begun publishing numerous OMB control numbers as
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OBSOLETE PROVISIONS
Provisions that become obsolete before the revision date stated on
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1963, 1964-1972, 1973-1985, or 1986-2000, published in 11 separate
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INCORPORATION BY REFERENCE
What is incorporation by reference? Incorporation by reference was
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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.
Properly approved incorporations by reference in this volume are
listed in the Finding Aids at the end of this volume.
What if the material incorporated by reference cannot be found? If
you have any problem locating or obtaining a copy of material listed in
the Finding Aids of this volume as an approved incorporation by
reference, please contact the agency that issued the regulation
containing that incorporation. If, after contacting the agency, you find
the material is not available, please notify the Director of the Federal
Register, National Archives and Records Administration, Washington DC
20408, or call (202) 741-6010.
CFR INDEXES AND TABULAR GUIDES
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Authorities and Agency Rules (Table I). A list of CFR titles, chapters,
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The Federal Register Index is issued monthly in cumulative form.
This index is based on a consolidation of the ``Contents'' entries in
the daily Federal Register.
A List of CFR Sections Affected (LSA) is published monthly, keyed to
the revision dates of the 50 CFR titles.
[[Page vii]]
REPUBLICATION OF MATERIAL
There are no restrictions on the republication of material appearing
in the Code of Federal Regulations.
INQUIRIES
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Raymond A. Mosley,
Director,
Office of the Federal Register.
July 1, 2003.
[[Page ix]]
THIS TITLE
Title 40--Protection of Environment is composed of twenty-nine
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),
parts 53-59, part 60 (60.1-End), part 60 (Appendices), parts 61-62, part
63 (63.1-63.599), part 63 (63.600-1-63.1199), part 63 (63.1200-63.1439),
part 63 (63.1440-End) parts 64-71, parts 72-80, parts 81-85, part 86
(86.1-86.599-99) part 86 (86.600-1-End), parts 87-99, 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, and
part 790 to End. The contents of these volumes represent all current
regulations codified under this title of the CFR as of July 1, 2003.
Chapter I--Environmental Protection Agency appears in all twenty-
nine volumes. An alphabetical Listing of Pesticide Chemicals Index
appears in parts 150-189. Regulations issued by the Council on
Environmental Quality appear in the volume containing part 790 to End.
The OMB control numbers for title 40 appear in Sec. 9.1 of this chapter
[[Page x]]
[[Page 1]]
TITLE 40--PROTECTION OF ENVIRONMENT
(This book contains part 86)
--------------------------------------------------------------------
Part
chapter i--Environmental Protection Agency (Continued)...... 86
[[Page 3]]
CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY (CONTINUED)
--------------------------------------------------------------------
Editorial Note: 1. Subchapter C--Air programs is contained in volumes
40 CFR parts 50-51, part 52.01-52.1018, part 52.1019-end, parts 53-59,
part 60, parts 61-62, part 63 (63.1-63.599), part 63 (63.600-63.1199),
part 63 (63.1200-63.1439), part 63 (63.1440-end) parts 64-71, parts 72-
80, parts 81-85, part 86 (86.1-86.599-99), part 86 (86.600-1 to end) and
parts 87-99.
2. Nomenclature changes to chapter I appear at 65 FR 47324, 47325,
Aug. 2, 2000; 66 FR 34375, 34376, June 28, 2001.
SUBCHAPTER C--AIR PROGRAMS (CONTINUED)
Part Page
86 Control of emissions from new and in-use
highway vehicles and engines............ 5
[[Page 5]]
SUBCHAPTER C--AIR PROGRAMS (CONTINUED)
PART 86--CONTROL OF EMISSIONS FROM NEW AND IN-USE HIGHWAY VEHICLES AND
ENGINES (CONTINUED)--Table of Contents
Subpart G--Selective Enforcement Auditing of New Light-Duty Vehicles
Sec.
86.601-1--86.601-83 [Reserved]
86.601-84 Applicability.
86.602-84 Definitions.
86.602-97 Definitions.
86.602-98 Definitions.
86.603-88 Test orders.
86.603-97 Test orders.
86.603-98 Test orders.
86.604-84 Testing by the Administrator.
86.605-88 Maintenance of records; submittal of information.
86.605-98 Maintenance of records; submittal of information.
86.606-84 Entry and access.
86.607-84 Sample selection.
86.608-88 Test procedures.
86.608-90 Test procedures.
86.608-96 Test procedures.
86.608-97 Test procedures.
86.608-98 Test procedures.
86.609-84 Calculation and reporting of test results.
86.609-96 Calculation and reporting of test results.
86.609-97 Calculation and reporting of test results.
86.609-98 Calculation and reporting of test results.
86.610-96 Compliance with acceptable quality level and passing and
failing criteria for Selective Enforcement Audits.
86.610-98 Compliance with acceptable quality level and passing and
failing criteria for Selective Enforcement Audits.
86.612-84 Suspension and revocation of certificates of conformity.
86.612-97 Suspension and revocation of certificates of conformity.
86.614-84 Hearings on suspension, revocation, and voiding of
certificates of conformity.
86.615-84 Treatment of confidential information.
Subpart H--General Provisions for In-Use Emission Regulations for 1994
and Later Model Year Light-Duty Vehicles and Light-Duty Trucks
86.701-94 General applicability.
86.702-94 Definitions.
86.703-94 Abbreviations.
86.704-94 Section numbering; construction.
86.705-94--86.707-94 [Reserved]
86.708-94 In-use emission standards for 1994 and later model year
light-duty vehicles.
86.708-98 In-use emission standards for 1998 and later model year
light-duty vehicles.
86.709-94 In-use emission standards for 1994 and later model year
light-duty trucks.
86.709-99 In-use emission standards for 1999 and later model year
light-duty trucks.
Subpart I--Emission Regulations for New Diesel Heavy-Duty Engines; Smoke
Exhaust Test Procedure
86.884-1 General applicability.
86.884-2 Definitions.
86.884-3 Abbreviations.
86.884-4 Section numbering.
86.884-5 Test procedures.
86.884-6 Fuel specifications.
86.884-7 Dynamometer operation cycle for smoke emission tests.
86.884-8 Dynamometer and engine equipment.
86.884-9 Smoke measurement system.
86.884-10 Information.
86.884-11 Instrument checks.
86.884-12 Test run.
86.884-13 Data analysis.
86.884-14 Calculations.
Subpart J--Fees for the Motor Vehicle and Engine Compliance Program
86.901-93 Abbreviations.
86.902-01 Definitions.
86.902-93 Definitions.
86.903-93 Applicability.
86.904-93 Section numbering; construction.
86.905-93 Purpose.
86.906-93 MVEPC certification request types.
86.907-01 Fee amounts.
86.907-93 Fee amounts.
86.908-01 Waivers and refunds.
86.908-93 Waivers and refunds.
86.909-93 Payment.
86.910-93 Deficiencies.
86.911-93 Adjustments of fees.
Subpart K--Selective Enforcement Auditing of New Heavy-Duty Engines,
Heavy-Duty Vehicles, and Light-Duty Trucks
86.1001-84 Applicability.
86.1002-84 Definitions.
86.1002-97 Definitions.
86.1002-2001 Definitions.
86.1003-90 Test orders.
86.1003-97 Test orders.
86.1003-2001 Test orders.
86.1004-84 Testing by the Administrator.
[[Page 6]]
86.1005-90 Maintenance of records; submittal of information.
86.1006-84 Entry and access.
86.1007-84 Sample selection.
86.1008-90 Test procedures.
86.1008-96 Test procedures.
86.1008-97 Test procedures.
86.1008-2001 Test procedures.
86.1008-2004 Test procedures.
86.1009-84 Calculation and reporting of test results.
86.1009-96 Calculation and reporting of test results.
86.1009-97 Calculation and reporting of test results.
86.1009-2001 Calculation and reporting of test results.
86.1010-96 Compliance with acceptable quality level and passing and
failing criteria for Selective Enforcement Audits.
86.1010-2001 Compliance with acceptable quality level and passing and
failing criteria for Selective Enforcement Audits.
86.1012-84 Suspension and revocation of certificates of conformity.
86.1012-97 Suspension and revocation of certificates of conformity.
86.1014-84 Hearings on suspension, revocation and voiding of
certificate of conformity.
86.1014-97 Hearings on suspension, revocation and voiding of
certificates of conformity.
86.1015 Treatment of confidential information.
Subpart L--Nonconformance Penalties for Gasoline-Fueled and Diesel
Heavy-Duty Engines and Heavy-Duty Vehicles, Including Light-Duty Trucks
86.1101-87 Applicability.
86.1102-87 Definitions.
86.1103-87 Criteria for availability of nonconformance penalties.
86.1104-91 Determination of upper limits.
86.1105-87 Emission standards for which nonconformance penalties are
available.
86.1106-87 Production compliance auditing.
86.1107-87 Testing by the Administrator.
86.1108-87 Maintenance of records.
86.1109-87 Entry and access.
86.1110-87 Sample selection.
86.1111-87 Test procedures for PCA testing.
86.1112-87 Determining the compliance level and reporting of test
results.
86.1113-87 Calculation and payment of penalty.
86.1114-87 Suspension and voiding of certificates of conformity.
86.1115-87 Hearing procedures for nonconformance determinations and
penalties.
86.1116-87 Treatment of confidential information.
Subpart M--Evaporative Emission Test Procedures for New Gasoline-Fueled,
Natural Gas-Fueled, Liquefied Petroleum Gas-Fueled and Methanol-Fueled
Heavy-Duty Vehicles
86.1201-90 Applicability.
86.1202-85 Definitions.
86.1203-85 Abbreviations.
86.1204 Section numbering.
86.1205-90 Introduction; structure of subpart.
86.1206-90 Equipment required; overview.
86.1206-96 Equipment required; overview.
86.1207-90 Sampling and analytical systems; evaporative emissions.
86.1207-96 Sampling and analytical system; evaporative emissions.
86.1213-04 Fuel specifications.
86.1213-90 Fuel specifications.
86.1213-94 Fuel specifications.
86.1214-85 Analytical gases.
86.1215-85 EPA heavy-duty vehicle (HDV) urban dynamometer driving
schedule.
86.1216-90 Calibrations; frequency and overview.
86.1217-90 Evaporative emission enclosure calibrations.
86.1217-96 Evaporative emission enclosure calibrations.
86.1218-85 Dynamometer calibration.
86.1221-90 Hydrocarbon analyzer calibration.
86.1226-85 Calibration of other equipment.
86.1227-90 Test procedures; overview.
86.1227-96 Test procedures; overview.
86.1228-85 Transmissions.
86.1229-85 Dynamometer load determination and fuel temperature profile.
86.1230-85 Test sequence; general requirements.
86.1230-96 Test sequence; general requirements.
86.1231-90 Vehicle preparation.
86.1231-96 Vehicle preparation.
86.1232-90 Vehicle preconditioning.
86.1232-96 Vehicle preconditioning.
86.1233-90 Diurnal breathing loss test.
86.1233-96 Diurnal emission test.
86.1234-96 Running loss test.
86.1235-85 Dynamometer procedure.
86.1235-96 Dynamometer procedure.
86.1236-85 Engine starting and restarting.
86.1237-85 Dynamometer runs.
86.1237-96 Dynamometer runs.
86.1238-90 Hot soak test.
86.1238-96 Hot soak test.
86.1242-90 Records required.
86.1243-90 Calculations; evaporative emissions.
86.1243-96 Calculations; evaporative emissions.
[[Page 7]]
86.1246-96 Fuel dispensing spitback procedure.
Subpart N--Emission Regulations for New Otto-Cycle and Diesel Heavy-Duty
Engines; Gaseous and Particulate Exhaust Test Procedures
86.1301-90 Scope, applicability.
86.1302-84 Definitions.
86.1303-84 Abbreviations.
86.1304-90 Section numbering; construction.
86.1305-90 Introduction; structure of subpart.
86.1305-2004 Introduction; structure of subpart.
86.1306-07 Equipment required and specifications; overview.
86.1306-90 Equipment required and specifications; overview.
86.1306-96 Equipment required and specifications; overview.
86.1308-84 Dynamometer and engine equipment specifications.
86.1309-90 Exhaust gas sampling system; Otto-cycle and non-petroleum-
fueled engines.
86.1310-90 Exhaust gas sampling and analytical system; diesel engines.
86.1310-2007 Exhaust gas sampling and analytical system for gaseous
emissions from heavy-duty diesel-fueled engines and
particulate emissions from all engines.
86.1311-90 Exhaust gas analytical system; CVS bag sample.
86.1311-94 Exhaust gas analytical system; CVS bag sample.
86.1312-88 Weighing chamber and microgram balance specifications.
86.1312-2007 Filter stabilization and microbalance workstation
environmental conditions, microbalance specifications, and
particulate matter filter handling and weighing procedures.
86.1313-91 Fuel specifications.
86.1313-94 Fuel specifications.
86.1313-98 Fuel specifications.
86.1313-2004 Fuel specifications.
86.1313-2007 Fuel specifications.
86.1314-84 Analytical gases.
86.1314-94 Analytical gases.
86.1316-90 Calibrations; frequency and overview.
86.1316-94 Calibrations; frequency and overview.
86.1318-84 Engine dynamometer system calibrations.
86.1319-84 CVS calibration.
86.1319-90 CVS calibration.
86.1320-90 Gas meter or flow instrumentation calibration; particulate,
methanol, and formaldehyde measurement.
86.1321-90 Hydrocarbon analyzer calibration.
86.1321-94 Hydrocarbon analyzer calibration.
86.1322-84 Carbon monoxide analyzer calibration.
86.1323-84 Oxides of nitrogen analyzer calibration.
86.1323-2007 Oxides of nitrogen analyzer calibration.
86.1324-84 Carbon dioxide analyzer calibration.
86.1325-94 Methane analyzer calibration.
86.1326-90 Calibration of other equipment.
86.1327-90 Engine dynamometer test procedures; overview.
86.1327-94 Engine dynamometer test procedures; overview.
86.1327-96 Engine dynamometer test procedures; overview.
86.1327-98 Engine dynamometer test procedures; overview.
86.1330-84 Test sequence; general requirements.
86.1330-90 Test sequence; general requirements.
86.1332-90 Engine mapping procedures.
86.1333-90 Transient test cycle generation.
86.1334-84 Pre-test engine and dynamometer preparation.
86.1335-90 Cool-down procedure.
86.1336-84 Engine starting, restarting, and shutdown.
86.1337-90 Engine dynamometer test run.
86.1337-96 Engine dynamometer test run.
86.1337-2007 Engine dynamometer test run.
86.1338-84 Emission measurement accuracy.
86.1338-2007 Emission measurement accuracy.
86.1339-90 Particulate filter handling and weighing.
86.1340-90 Exhaust sample analysis.
86.1340-94 Exhaust sample analysis.
86.1341-90 Test cycle validation criteria.
86.1341-98 Test cycle validation criteria.
86.1342-90 Calculations; exhaust emissions.
86.1342-94 Calculations; exhaust emissions.
86.1343-88 Calculations; particulate exhaust emissions.
86.1344-90 Required information.
86.1344-94 Required information.
86.1360-2007 Supplemental emission test; test cycle and procedures.
86.1370-2007 Not-To-Exceed test procedures.
86.1372-2007 Measuring smoke emissions within the NTE zone.
86.1380-2004 Load response test.
Subpart O--Emission Regulations for New Gasoline-Fueled Otto-Cycle
Light-Duty Vehicles and New Gasoline-Fueled Otto-Cycle Light-Duty
Trucks; Certification Short Test Procedures
86.1401 Scope; applicability.
86.1402 Definitions.
86.1403 Abbreviations.
86.1404 [Reserved]
86.1405 Introduction; structure of subpart.
86.1406 Equipment required and specifications; overview.
[[Page 8]]
86.1407-86.1412 [Reserved]
86.1413 Fuel specifications.
86.1414-86.1415 [Reserved]
86.1416 Calibration; frequency and overview.
86.1417-86.1421 [Reserved]
86.1422 Analyzer calibration.
86.1423-86.1426 [Reserved]
86.1427 Certification Short Test procedure; overview.
86.1428-86.1429 [Reserved]
86.1430 Certification Short Test sequence; general requirements.
86.1431 [Reserved]
86.1432 Vehicle preparation.
86.1433 [Reserved]
86.1434 Equipment preparation.
86.1435-86.1436 [Reserved]
86.1437 Test run--manufacturer.
86.1438 Test run--EPA.
86.1439 Certification Short Test emission test procedures--EPA.
86.1440-86.1441 [Reserved]
86.1442 Information required.
Subpart P--Emission Regulations for Otto-Cycle Heavy-Duty Engines, New
Methanol-Fueled Natural Gas-Fueled, and Liquefied Petroleum Gas-Fueled
Diesel-Cycle Heavy-Duty Engines, New Otto-Cycle Light-Duty Trucks, and
New Methanol-Fueled Natural Gas-Fueled, and Liquefied Petroleum Gas-
Fueled Diesel-Cycle Light-Duty Trucks; Idle Test Procedures
86.1501-90 Scope; applicability.
86.1501-94 Scope; applicability.
86.1502-84 Definitions.
86.1503-84 Abbreviations.
86.1504-90 Section numbering; construction.
86.1504-94 Section numbering; construction.
86.1505-84 Introduction; structure of subpart.
86.1505-90 Introduction; structure of subpart.
86.1505-94 Introduction; structure of subpart.
86.1506-90 Equipment required and specifications; overview.
86.1506-94 Equipment required and specifications; overview.
86.1509-84 Exhaust gas sampling system.
86.1511-84 Exhaust gas analysis system.
86.1513-90 Fuel specifications.
86.1513-94 Fuel specifications.
86.1514-84 Analytical gases.
86.1516-84 Calibration; frequency and overview.
86.1519-84 CVS calibration.
86.1522-84 Carbon monoxide analyzer calibration.
86.1524-84 Carbon dioxide analyzer calibration.
86.1526-84 Calibration of other equipment.
86.1527-84 Idle test procedure; overview.
86.1530-84 Test sequence; general requirements.
86.1537-84 Idle test run.
86.1540-84 Idle exhaust sample analysis.
86.1542-84 Information required.
86.1544-84 Calculation; idle exhaust emissions.
Subpart Q--Regulations for Altitude Performance Adjustments for New and
In-Use Motor Vehicles and Engines
86.1601 General applicability.
86.1602 Definitions.
86.1603 General requirements.
86.1604 Conditions for disapproval.
86.1605 Information to be submitted.
86.1606 Labeling.
Subpart R--General Provisions for the Voluntary National Low Emission
Vehicle Program for Light-Duty Vehicles and Light-Duty Trucks
86.1701-99 General applicability.
86.1702-99 Definitions.
86.1703-99 Abbreviations.
86.1704-99 Section numbering; construction.
86.1705-99 General provisions; opt-in.
86.1706-99 National LEV program in effect.
86.1707-99 General provisions; opt-outs.
86.1708-99 Exhaust emission standards for 1999 and later light-duty
vehicles.
86.1709-99 Exhaust emission standards for 1999 and later light light-
duty trucks.
86.1710-99 Fleet average non-methane organic gas exhaust emission
standards for light-duty vehicles and light light-duty trucks.
86.1711-99 Limitations on sale of Tier 1 vehicles and TLEVs.
86.1712-99 Maintenance of records; submittal of information.
86.1713-01 [Reserved]
86.1713-99 Light-duty exhaust durability programs; five percent cap.
86.1714-01 [Reserved]
86.1714-99 Small-volume manufacturers certification procedures.
86.1715-01 [Reserved]
86.1715-99 [Reserved]
86.1716-01 [Reserved]
86.1716-99 Prohibition of defeat devices.
86.1717-01 Emission control diagnostic system for 1999 and later light-
duty vehicles and light-duty trucks.
86.1717-99 Emission control diagnostic system for 1999 and later light-
duty vehicles and light-duty trucks.
86.1718-99--86.1720-99 [Reserved]
86.1721-01 Application for certification.
86.1721-99 Application for certification.
86.1722-01 [Reserved]
86.1722-99 [Reserved]
86.1723-01 [Reserved]
86.1723-99 Required data.
86.1724-01 Emission data vehicle selection.
[[Page 9]]
86.1724-99 Test vehicles and engines.
86.1725-01 Allowable maintenance.
86.1725-99 Maintenance.
86.1726-01 [Reserved]
86.1726-99 Mileage and service accumulation; emission measurements.
86.1727-99 [Reserved]
86.1728-01 Compliance with emission standards for the purpose of
certification.
86.1728-99 Compliance with emission standards.
86.1729-99--86.1733-99 [Reserved]
86.1734-01 [Reserved]
86.1734-99 Alternative procedure for notification of additions and
changes.
86.1735-01 Labeling.
86.1735-99 Labeling.
86.1736-99--86.1769-99 [Reserved]
86.1770-99 All-Electric Range Test requirements.
86.1771-99 Fuel specifications.
86.1772-99 Road load power, test weight, and inertia weight class
determination.
86.1773-99 Test sequence; general requirements.
86.1774-99 Vehicle preconditioning.
86.1775-99 Exhaust sample analysis.
86.1776-99 Records required.
86.1777-99 Calculations; exhaust emissions.
86.1778-99 Calculations; particulate emissions.
86.1779-99 General enforcement provisions.
86.1780-99 Prohibited acts.
Subpart S--General Compliance Provisions for Control of Air Pollution
From New and In-Use Light-Duty Vehicles, Light-Duty Trucks, and Complete
Otto-Cycle Heavy-Duty Vehicles
86.1801-01 Applicability.
86.1802-01 Section numbering; construction.
86.1803-01 Definitions.
86.1804-01 Acronyms and abbreviations.
86.1805-01 Useful life.
86.1805-04 Useful life.
86.1806-01 On-board diagnostics.
86.1806-04 On-board diagnostics.
86.1806-05 On-board diagnostics.
86.1807-01 Vehicle labeling.
86.1807-07 Vehicle labeling.
86.1808-01 Maintenance instructions.
86.1808-07 Maintenance instructions.
86.1809-01 Prohibition of defeat devices.
86.1810-01 General standards; increase in emissions; unsafe conditions;
waivers
86.1811-01 Emission standards for light-duty vehicles.
86.1811-04 Emission standards for light-duty vehicles, light-duty
trucks and medium-duty passenger vehicles.
86.1812-01 Emission standards for light-duty trucks 1.
86.1813-01 Emission standards for light-duty trucks 2.
86.1814-01 Emission standards for light-duty trucks 3.
86.1814-02 Emission standards for light-duty trucks 3.
86.1815-01 Emission standards for light-duty trucks 4.
86.1815-02 Emission standards for light-duty trucks 4.
86.1816-05 Emission standards for complete heavy-duty vehicles.
86.1816-08 Emission standards for complete heavy-duty vehicles.
86.1817-05 Complete heavy-duty vehicle averaging, trading, and banking
program.
86.1817-08 Complete heavy-duty vehicle averaging, trading, and banking
program.
86.1818-86.1819 [Reserved]
86.1820-01 Durability group determination.
86.1821-01 Evaporative/refueling family determination.
86.1822-01 Durability data vehicle selection.
86.1823-01 Durability demonstration procedures for exhaust emissions.
86.1824-01 Durability demonstration procedures for evaporative
emissions.
86.1824-07 Durability demonstration procedures for evaporative
emissions.
86.1825-01 Durability demonstration procedures for refueling emissions.
86.1826-01 Assigned deterioration factors for small volume
manufacturers and small volume test groups.
86.1827-01 Test group determination.
86.1828-01 Emission data vehicle selection.
86.1829-01 Durability and emission testing. requirements; waivers.
86.1830-01 Acceptance of vehicles for emission testing.
86.1831-01 Mileage accumulation requirements for test vehicles.
86.1832-01 Optional equipment and air conditioning for test vehicles.
86.1833-01 Adjustable parameters.
86.1834-01 Allowable maintenance.
86.1835-01 Confirmatory certification testing.
86.1836-01 Manufacturer-supplied production vehicles for testing.
86.1837-01 Rounding of emission measurements.
86.1838-01 Small volume manufacturers certification procedures.
86.1839-01 Carryover of certification data.
86.1840-01 Special test procedures.
86.1841-01 Compliance with emission standards for the purpose of
certification.
86.1842-01 Addition of a vehicle after certification; and changes to a
vehicle covered by certification.
86.1843-01 General information requirements.
86.1844-01 Information requirements: Application for certification and
submittal of information upon request.
86.1845-01 Manufacturer in-use verification testing requirements.
[[Page 10]]
86.1845-04 Manufacturer in-use verification testing requirements.
86.1846-01 Manufacturer in-use confirmatory testing requirements.
86.1847-01 Manufacturer in-use verification and in-use confirmatory
testing; submittal of information and maintenance of records.
86.1848-01 Certification.
86.1849-01 Right of entry.
86.1850-01 Denial, suspension or revocation of certificate of
conformity.
86.1851-01 Application of good engineering judgment to manufacturers'
decisions.
86.1852-01 Waivers for good in-use emission performance.
86.1853-01 Certification hearings.
86.1854-86.1859 [Reserved]
86.1860-04 How to comply with the Tier 2 and interim non-Tier 2 fleet
average NOX standards.
86.1861-04 How do the Tier 2 and interim non-Tier 2 NOX
averaging, banking and trading programs work?
86.1862-04 Maintenance of records and submittal of information relevant
to compliance with fleet average NOX standards.
86.1863-07 Optional chassis certification for diesel vehicles.
Appendix I to Subpart S to Part 86--Vehicle Procurement Methodology
Appendix II to Subpart S to Part 86--As-Received Testing Vehicle
Rejection Criteria
Appendix III to Subpart S to Part 86--As-Received Inspection
Subpart AA--Reporting and Recordkeeping Requirements for Part 86
86.2500 Reporting and recordkeeping requirements.
Appendix I to Part 86--Urban Dynamometer Schedules
Appendix II to Part 86--Temperature Schedules
Appendix III to Part 86--Constant Volume Sampler Flow Calibration
Appendix IV to Part 86--Durability Driving Schedules
Appendix V to Part 86 [Reserved]
Appendix VI to Part 86--Vehicle and Engine Components
Appendixes VII-IX to Part 86 [Reserved]
Appendix X to Part 86--Sampling Plans for Selective Enforcement Auditing
of Heavy-Duty Engines and Light-Duty Trucks
Appendix XI to Part 86--Sampling Plans for Selective Enforcement
Auditing of Light-Duty Vehicles
Appendix XII to Part 86--Tables for Production Compliance Auditing of
Heavy-Duty Engines and Heavy-Duty Vehicles, Including Light-
Duty Trucks
Appendix XIII to Part 86--State Requirements Incorporated by Reference
in Part 86 of the Code of Federal Regulations
Appendix XIV to Part 86--Determination of Acceptable Durability Test
Schedule for Light-Duty Vehicles and Light Light-Duty Trucks
Certifying to the Provisions of Part 86, Subpart R
Appendix XV to Part 86--Procedure for Determining an Acceptable Exhaust
Regeneration Durability-Data Test Schedule for Diesel Cycle
Vehicles Equipped With Periodically Regenerating Trap Oxidizer
Systems Certifying to the Provisions of Part 86, Subpart R
Appendix XVI to Part 86--Pollutant Mass Emissions Calculation Procedure
for Gaseous-Fueled Vehicles and for Vehicles Equipped With
Periodically Regenerating Trap Oxidizer Systems Certifying to
the Provisions of Part 86, Subpart R
Appendix XVII to Part 86--Procedure for Determining Vehicle Emission
Control Technology Category/Fuel Reactivity Adjustment Factors
for Light-Duty Vehicles and Light Light-Duty Trucks Certifying
to the Provisions of Part 86, Subpart R
Appendix XVIII to Part 86--Statistical Outlier Identification Procedure
for Light-Duty Vehicles and Light Light-Duty Trucks Certifying
to the Provisions of Part 86, Subpart R
Authority: 42 U.S.C. 7401-7671q.
Effective Date Note: The new information collection requirements for
part 86 published in the Federal Register at 59 FR 16262, Apr. 6, 1994,
which apply to 1998 and later model year vehicles, have not been
approved by the Office of Management and Budget (OMB) and are not
effective. The Environmental Protection Agency will publish a document
once OMB approves the information collection requirements.
Editorial Note: Nomenclature changes to part 86 appear at 60 FR
34377, June 30, 1995.
Subpart G--Selective Enforcement Auditing of New Light-Duty Vehicles
Source: 41 FR 31483, July 28, 1976, unless otherwise noted.
Sec. 86.601-1--86.601-83 [Reserved]
Sec. 86.601-84 Applicability.
For 1984 and later model year light-duty vehicles, all provisions of
this subpart are applicable. The provisions of this subpart are not
applicable to
[[Page 11]]
1984 and later model year light-duty trucks.
(a) Section numbering; construction. (1) The model year of initial
applicability is indicated by the two digits following the hyphen of the
section number. A section remains in effect for subsequent model years
until it is superseded.
(2) A section reference without a model year suffix shall be
interpreted to be a reference to the section applicable to the
appropriate model year.
(b) References in this subpart to engine families and emission
control systems shall be deemed to refer to durability groups and test
groups as applicable for manufacturers certifying new light-duty
vehicles and light-duty trucks under the provisions of subpart S of this
part.
(Secs. 206, 208(a) and 301(a), Clean Air Act, as amended, 42 U.S.C.
7525, 7542(a) and 7601(a))
[49 FR 69, Jan. 3, 1984. Redesignated at 54 FR 2122, Jan. 19, 1989, as
amended at 62 FR 31234, June 6, 1997; 64 FR 23922, May 4, 1999]
Sec. 86.602-84 Definitions.
(a) The definitions in this section apply to this subpart.
(b) As used in this subpart, all terms not defined herein have the
meaning given them in the Act.
(1) Acceptable Quality Level (AQL) means the maximum percentage of
failing vehicles that, for purposes of sampling inspection, can be
considered satisfactory as a process average.
(2) Axle Ratio means all ratios within 3% of the axle
ratio specified in the configuration in the test order.
(3) Configuration means a subclassification of an engine-system
combination on the basis of engine code, inertia weight class,
transmission type and gear ratios, axle ratio, and other parameters
which may be designated by the Administrator.
(4) Test Sample means the collection of vehicles of the same
configuration which have been drawn from the population of vehicles of
that configuration and which will receive exhaust emission testing.
(5) Inspection Criteria means the pass and fail numbers associated
with a particular sampling plan.
(6) Vehicle means any new production light-duty vehicle as defined
in subpart A of this part.
(7) Test Vehicle means a vehicle in a test sample.
(8) In the Hands of the Manufacturer means that vehicles are still
in the possession of the manufacturer and have not had their bills of
lading transferred to another person for the purpose of transporting.
[49 FR 48480, Dec. 12, 1984. Redesignated at 54 FR 2122, Jan. 19, 1989]
Sec. 86.602-97 Definitions.
Section 86.602-97 includes text that specifies requirements that
differ from those specified in Sec. 86.602-84. Where a paragraph in
Sec. 86.602-84 is identical and applicable to Sec. 86.602-97, this may
be indicated by specifying the corresponding paragraph and the statement
``[Reserved]. For guidance see Sec. 86.602-84.''
(a) through (b)(8) [Reserved]. For guidance see Sec. 86.602-84.
(b)(9) Executive Officer means the Executive Officer of the
California Air Resources Board or his or her authorized representative.
(10) Executive Order means the document the Executive Officer grants
a manufacturer for an engine family that certifies the manufacturer has
verified that the engine family complies with all applicable standards
and requirements pursuant to Title 13 of the California Code of
Regulations.
(11) 50-state engine family means an engine family that meets both
federal and California Air Resources Board motor vehicle emission
control regulations and has received a federal certificate of conformity
as well as an Executive Order.
[62 FR 31234, June 6, 1997]
Sec. 86.602-98 Definitions.
Section 86.602-98 includes text that specifies requirements that
differ from Sec. 86.602-84. Where a paragraph in Sec. 86.602-84 is
identical and applicable to Sec. 86.602-98, this may be indicated by
specifying the corresponding paragraph and the statement ``[Reserved].
For guidance see Sec. 86.602-84.'' Where a corresponding paragraph of
Sec. 86.602-84 is
[[Page 12]]
not applicable, this is indicated by the statement ``[Reserved].''.
(a) through (b)(2) [Reserved]. For guidance see Sec. 86.602-84.
(b)(3)(i) Configuration, when used for LDV exhaust emissions
testing, means a subclassification of an engine-system combination on
the basis of engine code, inertia weight class, transmission type and
gear ratios, axle ratio, and other parameters which may be designated by
the Administrator.
(ii) Configuration, when used for LDV refueling emissions testing,
means a subclassification of an evaporative/refueling emission family on
the basis of evaporative and refueling control system and other
parameters which may be designated by the Administrator.
(4) Test sample means the collection of vehicles of the same
configuration which have been drawn from the population of vehicles of
that configuration and which will receive emission testing.
(b)(5) through (b)(8) [Reserved]. For guidance see Sec. 86.602-84.
(9) Executive Officer means the Executive Officer of the California
Air Resources Board or his or her authorized representative.
(10) Executive Order means the document the Executive Officer grants
a manufacturer for an engine family that certifies the manufacturer has
verified that the engine family complies with all applicable standards
and requirements pursuant to Title 13 of the California Code of
Regulations.
(11) 50-state engine family means an engine family that meets both
federal and California Air Resources Board motor vehicle emission
control regulations and has received a federal certificate of conformity
as well as an Executive Order.
[59 FR 16300, Apr. 6, 1994, as amended at 62 FR 31234, June 6, 1997]
Sec. 86.603-88 Test orders.
(a) The Administrator will require any testing under this subpart by
means of a test order addressed to the manufacturer.
(b) The test order will be signed by the Assistant Administrator for
Air and Radiation or his designee. The test order will be delivered in
person by an EPA Enforcement Officer to a company representative or sent
by registered mail, return receipt requested, to the manufacturer's
representative who signs the Application for Certification submitted by
the manufacturer pursuant to the requirements of the applicable sections
of subpart A of this part. Upon receipt of a test order, the
manufacturer shall comply with all of the provisions of this subpart and
instructions in the test order.
(c)(1) The test order will specify the vehicle configuration
selected for testing, the time and location at which vehicles must be
selected, and the procedure by which vehicles of the specified
configuration must be selected. The test order may specify the number of
vehicles to be selected per day and may include alternative
configurations (primary, secondary, etc.) to be selected for testing in
the event that vehicles of the first specified configuration are not
available for testing because those vehicles are not being manufactured
at the specified assembly plant, not being manufactured during the
specified time, or not being stored at the specified assembly plant or
associated storage facility. If total production of the specified
vehicle configuration is less than the number specified in the test
order, the manufacturer will select the actual number of vehicles
produced per day. If the first specified configuration is not being
manufactured at a rate of at least four vehicles per day over the
expected duration of the audit, the Assistant Administrator for Air and
Radiation or his designated representative may select vehicles of a
primary alternate configuration for testing in lieu of the first
specified configuration. Likewise, vehicles of a secondary alternate
configuration may be selected in lieu of vehicles of the first specified
configuration or primary alternate configuration. In addition, the test
order may include other directions or information essential to the
administration of the required testing.
(2) The following instructions are applicable to each test order
issued under this subpart:
(i) The manufacturer shall make the following documents available to
an EPA Enforcement Officer upon request:
(A) A properly filed and current Application for Certification
following
[[Page 13]]
the format prescribed by the EPA for the appropriate model year; and
(B) A copy of the shop manual, dealer service bulletins, and pre-
delivery inspection procedures for the configuration being tested.
(ii) Only one mechanic at a time per vehicle shall make authorized
checks, adjustments, or repairs, unless a particular check, adjustment,
or repair requires a second mechanic as indicated in the shop manual or
dealer service bulletins.
(iii) A mechanic shall not perform any check, adjustment, or repair
without an Enforcement Officer present unless otherwise authorized.
(iv) The manufacturer shall utilize only those tools and test
equipment utilized by its dealers when performing authorized checks,
adjustments, or repairs.
(d) A manufacturer may indicate preferred assembly plants for the
various engine families produced by the manufacturer for selection of
vehicles in response to a test order. This shall be accomplished by
submitting a list of engine families and the corresponding assembly
plants from which the manufacturer desires to have vehicles selected to
the Administrator. In order that a manufacturer's preferred location for
issuance of a test order for a configuration of a particular engine
family be considered, the list must be submitted prior to issuance of
the test order. Notwithstanding the fact that a manufacturer has
submitted the above list, the Administrator may, upon making the
determination that evidence exists indicating noncompliance at other
than the manufacturer's preferred plant, order testing at such other
plant where vehicles of the configuration specified in the test order
are assembled.
(e) During a given model year, the Administrator shall not issue to
a manufacturer more SEA test orders than an annual limit determined by
dividing the projected sales bound for the U.S. market for that model
year, as made by the manufacturer in its report submitted under
paragraph (a)(2) of Sec. 600.207-80 of the Automobile Fuel Economy
Regulations, by 300,000 and rounding to the nearest whole number, unless
the projected sales are less than 150,000, in which case the annual
limit is one. However, the annual limit for SEA test orders will be
recalculated if a manufacturer submits to EPA in writing prior to or
during the model year a sales projection update.
(1) Any SEA test order for which the configuration fails in
accordance with Sec. 86.610 or for which testing is not completed does
not count against the annual limit.
(2) When the annual limit has been met, the Administrator may issue
additional test orders for those configurations for which evidence
exists indicating noncompliance. An SEA test order issued on this basis
will include a statement as to the reason for its issuance.
[41 FR 31483, July 28, 1976, as amended at 43 FR 4552, Feb. 2, 1978; 49
FR 48480, Dec. 12, 1984. Redesignated and amended at 54 FR 2122, Jan.
19, 1989]
Sec. 86.603-97 Test orders.
Section 86.603-97 includes text that specifies requirements that
differ from those specified in Sec. 86.603-88. Where a paragraph in
Sec. 86.603-88 is identical and applicable to Sec. 86.603-97, this may
be indicated by specifying the corresponding paragraph and the statement
``[Reserved]. For guidance see Sec. 86.603-88.''
(a) through (e) [Reserved]. For guidance see Sec. 86.603-88.
(f) In the event evidence exists indicating an engine family is in
noncompliance, the Administrator may, in addition to other powers
provided by this section, issue a test order specifying the engine
family the manufacturer is required to test.
[62 FR 31234, June 6, 1997]
Sec. 86.603-98 Test orders.
Section 86.603-98 includes text that specifies requirements that
differ from Sec. 86.603-88. Where a paragraph in Sec. 86.603-88 is
identical and applicable to Sec. 86.603-98, this may be indicated by
specifying the corresponding paragraph and the statement ``[Reserved].
For guidance see Sec. 86.603-88.'' Where a corresponding paragraph of
Sec. 86.603-88 is not applicable, this is indicated by the statement
``[Reserved].''.
(a) through (c) [Reserved]. For guidance see Sec. 86.603-88.
[[Page 14]]
(d) A manufacturer may indicate preferred assembly plants for the
various engine families and evaporative/refueling families produced by
the manufacturer for selection of vehicles in response to a test order.
This shall be accomplished by submitting a list of engine families with
the associated evaporative/refueling families, and the corresponding
assembly plants from which the manufacturer desires to have vehicles
selected, to the Administrator. In order that a manufacturer's preferred
location for issuance of a test order for a configuration of a
particular engine family and/or evaporative/refueling family be
considered, the list must be submitted prior to issuance of the test
order. Notwithstanding the fact that a manufacturer has submitted the
above list, the Administrator may, upon making the determination that
evidence exists indicating noncompliance at other than the
manufacturer's preferred plant, order selection at such other plant
where vehicles of the configuration specified in the test order are
assembled.
(e) [Reserved]. For guidance see Sec. 86.603-88.
(f) In the event evidence exists indicating an engine family is in
noncompliance, the Administrator may, in addition to other powers
provided by this section, issue a test order specifying the engine
family the manufacturer is required to test.
[59 FR 16300, Apr. 6, 1994, as amended at 62 FR 31234, June 6, 1997]
Sec. 86.604-84 Testing by the Administrator.
(a) The Administrator may require by test order that vehicles of a
specified configuration be selected in a manner consistent with the
requirements of Sec. 86.607 and submitted to him at such place as he may
designate for the purpose of conducting emission tests. These tests
shall be conducted in accordance with Sec. 86.608 of these regulations
to determine whether vehicles manufactured by the manufacturer conform
with the regulations with respect to which the certificate of conformity
was issued.
(b)(1) Whenever the Administrator conducts a test on a test vehicle
or the Administrator and manufacturer each conduct a test on the same
test vehicle, the results of the Administrator's test shall comprise the
official data for that vehicle.
(2) Whenever the manufacturer conducts all tests on a test vehicle,
the manufacturer's test data will be accepted as the official data:
Provided, That if the Administrator makes a determination based on
testing under paragraph (a) of this section that there is a substantial
lack of agreement between the manufacturer's test results and the
Administrator's test results, no manufacturer's test data from the
manufacturer's test facility will be accepted for purposes of this
subpart.
(c) In the event that testing conducted under paragraph (a) of this
section demonstrates a lack of agreement under paragraph (b)(2), of this
section, the Administrator will:
(1) Notify the manufacturer in writing of his determination that the
test facility is inappropriate for conducting the tests required by this
subpart and the reasons therefor, and
(2) Reinstate any manufacturer's data upon a showing by the
manufacturer that the data acquired under paragraph (a) of this section
was erroneous and the manufacturer's data was correct.
(d) The manufacturer may request in writing that the Administrator
reconsider his determination in paragraph (b)(2) of this section based
on data or information which indicates that changes have been made to
the test facility and such changes have resolved the reasons for
disqualification.
[41 FR 31483, July 28, 1976, as amended at 49 FR 48481, Dec. 12, 1984.
Redesignated at 54 FR 2123, Jan. 19, 1989]
Sec. 86.605-88 Maintenance of records; submittal of information.
(a) The manufacturer of any new motor vehicle subject to any of the
standards or procedures prescribed in this part shall establish,
maintain and retain the following adequately organized and indexed
records:
(1) General records. (i) A description of all equipment used to test
vehicles in accordance with Sec. 86.608 pursuant to a test order issued
under this subpart, including the following information:
(A) Dynamometer.
[[Page 15]]
(1) Inertia loading.
(2) Road load power absorption at 50 m.p.h.
(3) Manufacturer, model and serial number.
(B) Constant Volume Sampler.
(1) Pressure of the mixture of exhaust and dilution air entering the
positive displacement pump, pressure increase across the pump, and the
temperature set point of the temperature control system.
(2) Number of revolutions of the positive displacement pump
accumulated while test is in progress and exhaust samples are being
collected.
(3) Humidity of dilution air.
(4) Manufacturer, model, type and serial number.
(C) Instrumentation.
(1) Manufacturer, model and serial number for each analyzer.
(2) Pertinent information such as tuning, gain, ranges and
calibration data.
(3) Identification of zero, span, exhaust gas and dilution air
sample traces.
(4) Temperature set point of heated sample line and heated
hydrocarbon detector temperature control system (for diesel vehicles
only).
(D) Test cell.
(1) Barometric pressure, ambient temperature and humidity.
(2) Data and time of day.
(ii) In lieu of recording test equipment information, reference to a
vehicle test cell number may be used, with the advance approval of the
Administrator: Provided, the test cell records show the pertinent
information.
(2) Individual records. These records pertain to each audit
conducted pursuant to this subpart.
(i) The location where audit testing was performed, and the date and
time for each emissions test.
(ii) The number of miles on the test vehicle when the test began and
ended.
(iii) The names of supervisory personnel responsible for the conduct
of the audit.
(iv) A record and description of any repairs performed prior to and/
or subsequent to approval by the Administrator, giving the date and time
of the repair, the reason for it, the person authorizing it, and the
names of supervisory personnel responsible for the repair.
(v) The dates when the test vehicles were shipped from the assembly
plant or the storage facility and when they were received at the testing
facility.
(vi) The drive wheel tire pressure and the inertia weight class for
each test vehicle, and the actual curb weight for each test vehicle
required to be weighed pursuant to a test order.
(vii) A complete record of all emission tests performed pursuant to
this subpart (except tests performed by EPA directly) including all
individual worksheets and/or other documentation relating to each test,
or exact copies thereof.
(viii) A brief description of all significant audit events,
commencing with the test vehicle selection process, but not described by
any other subparagraph under paragraph (a)(2) of this section, including
such extraordinary events as vehicle accident.
(ix) A paper copy of the driver's trace for each test.
(3) Additional required records for diesel vehicles.
(4) The manufacturer shall record test equipment description,
pursuant to paragraph (a)(1) of this section, for each test cell that is
used to perform emission testing under this subpart.
(b) All records required to be maintained under this subpart shall
be retained by the manufacturer for a period of one (1) year after
completion of all testing in response to a test order. Records may be
retained as hard copy or reduced to microfilm, punch cards, etc.,
depending upon the record retention procedures of the manufacturer:
Provided, That in every case all the information contained in the hard
copy shall be retained.
(c) The manufacturer shall, pursuant to a request made by the
Administrator, submit to the Administrator the following information
with regard to vehicle production:
(1) Number of vehicles, by configuration and assembly plant,
scheduled for production for the time period designated in the request.
(2) Number of vehicles, by configuration and assembly plant,
produced during the time period designated in the
[[Page 16]]
request which are complete for introduction into commerce.
(d) Nothing in this section shall limit the Administrator's
discretion to require the manufacturer to retain additional records or
submit information not specifically required by this section.
(e) All reports, submissions, notifications and requests for
approvals made under this subpart shall be addressed to:
Director, Manufacturers Operations Division EN-340), U.S. Environmental
Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460.
[41 FR 31483, July 28, 1976, as amended at 44 FR 61962, Oct. 29, 1979;
49 FR 48481, Dec. 12, 1984. Redesignated at 54 FR 2123, Jan. 19, 1989]
Sec. 86.605-98 Maintenance of records; submittal of information.
Section 86.605-98 includes text that specifies requirements that
differ from Sec. 86.605-88. Where a paragraph in Sec. 86.605-88 is
identical and applicable to Sec. 86.605-98, this may be indicated by
specifying the corresponding paragraph and the statement ``[Reserved].
For guidance see Sec. 86.605-88.'' Where a corresponding paragraph of
Sec. 86.605-88 is not applicable, this is indicated by the statement
``[Reserved].''.
(a) through (a)(1)(i)(D) [Reserved]. For guidance see Sec. 86.605-
88.
(E) Refueling Enclosure (Refueling SHED).
(1) Total internal volume.
(2) Capacity of mixing blower.
(3) Location of refueling access ports.
(4) Enclosure barometric pressure and ambient temperature.
(5) Soak area temperature records.
(F) Fuel Dispenser for Refueling.
(1) Fuel dispensing rate.
(2) Manufacturer and model of fuel nozzle.
(3) Dispensed fuel temperature.
(4) Dispensed fuel volume.
(a)(1)(ii) through (e) [Reserved]. For guidance see Sec. 86.605-88.
(2) [Reserved]
[59 FR 16301, Apr. 6, 1994]
Sec. 86.606-84 Entry and access.
(a) In order to allow the Administrator to determine whether a
manufacturer is complying with the provisions of this subpart and a test
order issued thereunder, EPA Enforcement Officers may enter during
normal operating hours upon presentation of credentials any of the
following:
(1) Any facility where any vehicle to be introduced into commerce or
any emission-related component is or has been manufactured, assembled,
or stored;
(2) Any facility where any tests conducted pursuant to a test order
or any procedures or activities connected with such tests are or were
performed;
(3) Any facility where any vehicle which is being, was, or is to be
tested is present; and
(4) Any facility where any record or other document relating to any
of the above is located.
(b) Upon admission to any facility referred to in paragraph (a) of
this section, EPA Enforcement Officers may:
(1) Inspect and monitor any part or aspect of vehicle manufacturer,
assembly, storage, testing and other procedures, and the facilities in
which these procedures are conducted;
(2) Inspect and monitor any part or aspect of vehicle test
procedures or activities, including, but not limited to, vehicle
selection, preparation, mileage accumulation, preconditioning, emission
tests, and maintenance; and verify calibration of test equipment;
(3) Inspect and make copies of any records or documents related to
the assembly, storage, selection and testing of a vehicle in compliance
with a test order; and
(4) Inspect and photograph any part or aspect of any vehicle and any
component used in its assembly that is reasonably related to the purpose
of the entry.
(c) EPA Enforcement Officers may obtain reasonable assistance
without cost from those in charge of a facility to help them perform any
function listed in this subpart and may request the recipient of a test
order to arrange with those in charge of a facility operated for its
benefit to furnish reasonable assistance without cost to EPA whether or
not the recipient controls the facility.
(d) EPA Enforcement Officers may seek a warrant or court order
authorizing the EPA Enforcement Officers to
[[Page 17]]
conduct activities related to entry and access as authorized in this
section. EPA Enforcement Officers may proceed ex parte to obtain a
warrant whether or not the Enforcement Officers first sought permission
from the recipient of the test order or the party in charge of the
facilities in question to conduct those activities related to entry and
access.
(e) A recipient of a test order shall permit EPA Enforcement
Officers who present a warrant or court order as described in paragraph
(d) of this section to conduct activities related to entry and access as
authorized in this section and as described in the warrant or court
order. A recipient of a test order shall cause those in charge of its
facility or a facility operated for its benefit to permit EPA
Enforcement Officers to conduct these activities related to entry and
access pursuant to a warrant or court order whether or not the recipient
controls the facility. In the absence of such a warrant or court order,
EPA Enforcement Officers may conduct those activities related to entry
and access only upon the consent of either the recipient of the test
order or the party in charge of the facilities in question.
(f) It is not a violation of this part or the Clean Air Act for any
person to refuse to permit EPA Enforcement Officers to conduct
activities related to entry and access as authorized in this section
without a warrant or court order.
(g) A manufacturer is responsible for locating its foreign testing
and manufacturing facilities in jurisdictions in which local foreign law
does not prohibit EPA Enforcement Officers from conducting the entry and
access activities specified in this section. EPA will not attempt to
make any inspections which it has been informed that local foreign law
prohibits.
(h) For purposes of this section:
(1) Presentation of Credentials means display of the document
designating a person as an EPA Enforcement Officer.
(2) Where vehicle storage areas or facilities are concerned,
operating hours means all times during which personnel other than
custodial personnel are at work in the vicinity of the area or facility
and have access to it.
(3) Where facilities or areas other than those covered by paragraph
(h)(2) of this section are concerned, operating hours means all times
during which an assembly line is in operation, vehicle assembly is
occurring, or testing, repair, mileage accumulation, production or
compilation of records, or any other procedure or activity related to
testing, or to vehicle manufacture or assembly, is being conducted in a
facility.
(4) Reasonable assistance includes, but is not limited to, providing
clerical, copying, interpreting and translating services and, at the
request of an EPA Enforcement Officer, making available personnel of the
facility being inspected during their working hours to provide
information relevant to the Enforcement Officer's activities authorized
in this section. Any employee whom a manufacturer has instructed to
appear at the request of an Enforcement Officer may be accompanied,
represented, and advised by counsel.
[41 FR 31483, July 28, 1976, as amended at 49 FR 48481, Dec. 12, 1984.
Redesignated at 54 FR 2123, Jan. 19, 1989]
Sec. 86.607-84 Sample selection.
(a) Vehicles comprising a test sample which are required to be
tested, pursuant to a test order issued in accordance with this subpart,
will be selected at the location and in the manner specified in the test
order. If a manufacturer determines that the test vehicles cannot be
selected in the manner specified in the test order, an alternative
selection procedure may be employed: Provided, That the manufacturer
requests approval of the alternative procedure in advance of the start
of test sample selection and that the Administrator approves the
procedure. Special order vehicles are exempt from sample selection
unless a test sample cannot be completed otherwise.
(b) The manufacturer shall have assembled the test vehicles of the
configuration selected for testing using its normal mass production
processes for vehicles to be distributed into commerce. During the
audit, the manufacturer shall inform the Administrator of any change(s)
implemented in its production processes, including quality
[[Page 18]]
control, which may be reasonably expected to affect the emissions of the
vehicles selected, between the time the manufacturer received the test
order and the time the manufacturer finished selecting test vehicles.
(c) No quality control, testing, or assembly procedures will be used
on the completed test vehicles or any portion thereof, including parts
and subassemblies, that has not been or will not be used during the
production and assembly of all other vehicles of that configuration.
(d) The test order may specify that EPA Enforcement Officers, rather
than the manufacturer, will select the test vehicles according to the
method described in paragraph (a) of this section.
(e) The order in which test vehicles are selected determines the
order in which test results are to be used in applying the sampling plan
in accordance with Sec. 86.610.
(f) The manufacturer shall keep on hand all untested vehicles, if
any, comprising the test sample until a pass or fail decision is reached
in accordance with paragraph (d) of Sec. 86.610. The manufacturer may
ship any tested vehicle which has not failed in accordance with
paragraph (a) of Sec. 86.610. However, once a manufacturer ships any
vehicle from the test sample, it relinquishes the prerogative to conduct
retests provided in paragraph (i) of Sec. 86.608.
[49 FR 48482, Dec. 12, 1984. Redesignated at 54 FR 2123, Jan. 19, 1989]
Sec. 86.608-88 Test procedures.
(a) The prescribed test procedures are contained in subpart B of
this part 86. For purposes of Selective Enforcement Audit testing, the
manufacturer shall not perform any of the test procedures in subpart B
of this part relating to evaporative emission testing, except as
specified in paragraph (a)(2) of this section.
(1) The Administrator may, on the basis of a written application by
a manufacturer, prescribe test procedures other than those in subpart B
of this part for any motor vehicle which he determines is not
susceptible to satisfactory testing using the procedures in subpart B of
this part.
(2) The following exceptions to the test procedures in subpart B of
this part are applicable to Selective Enforcement Audit testing:
(i) The manufacturer may use test fuel meeting the specifications of
paragraph (a)(1) or (b)(2) of Sec. 86.113-82 for mileage accumulation.
Otherwise, the manufacturer may use fuels other than those specified in
this section only with advance approval of the Administrator.
(ii) The manufacturer may measure the temperature of the test fuel
at other than the approximate mid-volume of the fuel tank, as specified
in Sec. 86.131(a), and may drain the test fuel from other than the
lowest point of the tank, as specified in Sec. 86.131(b), provided an
equivalent method is used. Equivalency documentation shall be maintained
by the manufacturer and shall be made available to the Administrator
upon request.
(iii) The manufacturer may perform additional preconditioning on SEA
test vehicles other than the preconditioning specified in Sec. 86.132
only if the additional preconditioning had been performed on
certification test vehicles of the same configuration.
(iv) The manufacturer shall perform the heat build procedure 11 to
34 hours following vehicle preconditioning rather than according to the
time period specified in paragraph Sec. 86.133(a). All references in
Sec. 86.133 to an evaporative emission enclosure (SHED) and analyzing
for HC during the heat build can be ignored.
(v) The manufacturer may substitute slave tires for the drive wheel
tires on the vehicle as specified in paragraph Sec. 86.135(e): Provided,
That the slave tires are the same size.
(vi) The cold start exhaust emission test described in Sec. 86.137
shall follow the heat build procedure described in Sec. 86.133 by not
more than one hour.
(vii) In performing exhaust sample analysis under Sec. 86.140.
(A) When testing diesel vehicles, the manufacturer shall allow a
minimum of 20 minutes warm-up for the HC analyzer, and a minimum of 2
hours warm-up for the CO, CO2 and NOX analyzers.
(Power is normally left on infrared and chemiluminescent analyzers. When
not in use, the chopper motors of the infrared analyzers are turned off
and the phototube high voltage supply to the
[[Page 19]]
chemiluminescent analyzers is placed in the standby position.)
(B) The manufacturer shall exercise care to prevent moisture from
condensing in the sample collection bags.
(viii) The manufacturer need not comply with Sec. 86.142, since the
records required therein are provided under other provisions of subpart
G of this part.
(ix) In addition to the requirements of subpart B of this part, the
manufacturer shall prepare gasoline-fueled vehicles as follows prior to
exhaust emission testing:
(A) The manufacturer shall inspect the fuel system to insure the
absence of any leaks of liquid or vapor to the atmosphere by applying a
pressure of 14.50.5 inches of water to the fuel system,
allowing the pressure to stabilize, and isolating the fuel system from
the pressure source. Following isolation of the fuel system, pressure
must not drop more than 2.0 inches of water in 5 minutes. If required,
the manufacturer shall perform corrective action in accordance with
paragraph Sec. 86.608(d) and report this action in accordance with
paragraph Sec. 86.609(d).
(B) When performing this pressure check, the manufacturer shall
exercise care to neither purge nor load the evaporative emission control
system.
(C) The manufacturer shall not modify the test vehicle's evaporative
emission control system by component addition, deletion, or
substitution, except to comply with paragraph (a)(2)(ii) of this section
if approved in advance by the Administrator.
(b)(1) The manufacturer shall not adjust, repair, prepare, or modify
the vehicles selected for testing and shall not perform any emission
tests on vehicles selected for testing pursuant to the test order unless
this adjustment, repair, preparation, modification, and/or tests are
documented in the manufacturer's vehicle assembly and inspection
procedures and are actually performed or unless these adjustments and/or
tests are required or permitted under this subpart or are approved in
advance by the Administrator.
(2) For 1981 and later model years the Administrator may adjust or
cause to be adjusted any engine or vehicle parameter which the
Administrator has determined to be subject to adjustment for new vehicle
compliance testing (e.g., for certification or Selective Enforcement
Audit testing) in accordance with Sec. 86.081-22(c)(1), to any setting
within the physically adjustable range of that parameter, as determined
by the Administrator in accordance with Sec. 86.081-22(e)(3)(ii), prior
to the performance of any tests. However, if the idle speed parameter is
one which the Administrator has determined to be subject to adjustment,
the Administrator shall not adjust it to a setting which causes a lower
engine idle speed than will be possible within the physically adjustable
range of the idle speed parameter on the vehicle when it has accumulated
4,000 miles, all other parameters being adjusted identically for the
purpose of comparison. The Administrator, in making or specifying such
adjustments, will consider the effect of the deviation from the
manufacturer's recommended setting on emissions performance
characteristics as well as the likelihood that similar settings will
occur on in-use light-duty vehicles or light-duty trucks. In determining
likelihood, the Administrator will consider factors such as, but not
limited to, the effect of the adjustment on vehicle performance
characteristics and surveillance information from similar in-use
vehicles.
(c) Prior to performing exhaust emission testing on an SEA test
vehicle, the manufacturer may accumulate on each vehicle a number of
miles equal to the greater of 4,000 miles, or the number of miles the
manufacturer accumulated during certification on the emission-data
vehicle corresponding to the configuration specified in the test order.
(1) Mileage accumulation must be performed in any manner using good
engineering judgment to obtain emission results representative of normal
production vehicles. This mileage accumulation must be consistent with
the new vehicle break-in instructions contained in the applicable
vehicle owner's manual, if any.
(2) The manufacturer shall accumulate mileage at a minimum rate of
300 miles per vehicle during each 24 hour period, unless otherwise
provided by the Administrator.
[[Page 20]]
(i) The first 24 hour period for mileage accumulation shall begin as
soon as authorized vehicle checks, inspections and preparations are
completed on each vehicle.
(ii) The minimum mileage accumulation rate does not apply on
weekends or holidays.
(iii) If the manufacturer's mileage accumulation target is less than
the minimum rate specified (300 miles per day), then the minimum daily
accumulation rate shall be equal to the manufacturer's mileage
accumulation target.
(3) Mileage accumulation shall be completed on a sufficient number
of test vehicles during consecutive 24 hour periods to assure that the
number of vehicles tested per day fulfills the requirements of paragraph
(g) of this section.
(d) The manufacturer shall not perform any maintenance on test
vehicles after selection for testing nor shall the Administrator allow
deletion of any test vehicle from the test sequence, unless requested by
the manufacturer and approved by the Administrator before any test
vehicle maintenance or deletion.
(e) The manufacturer will be allowed 24 hours to ship test vehicles
from the assembly plant or storage facility to the test facility if the
test facility is not located at the plant or storage facility or in
close proximity to the plant or storage facility: Except, That the
Administrator may approve more time based upon a request by the
manufacturer accompanied by a satisfactory justification.
(f) If a vehicle cannot complete the mileage accumulation or
emission tests because of vehicle malfunction, the manufacturer may
request the Administrator to authorize the repair of that vehicle or its
deletion from the test sequence.
(g) Whenever the manufacturer conducts testing pursuant to a test
order issued under this subpart, the manufacturer shall notify the
Administrator within one working day of receipt of the test order, which
test facility will be used to comply with the test order and the number
of available test cells at that facility. If no test cells are available
at the desired facility, the manufacturer must provide alternate testing
capability satisfactory to the Administrator. The manufacturer shall
complete emission testing on a minimum of four vehicles per 24 hour
period including voided tests for each available test cell at his
testing facility: Except, That the Administrator may approve a longer
period based upon a request by the manufacturer accompanied by
satisfactory justification.
(h) The manufacturer shall perform test vehicle selection,
preparation, mileage accumulation, shipping, and testing in such a
manner as to assure that the audit is performed in an expeditious
manner.
(i) The manufacturer may retest any test vehicle after a fail
decision has been reached in accordance with paragraph (d) of
Sec. 86.610 based on the first test on each vehicle; except, that the
Administrator may approve retesting at other times during the audit
based upon a request by the manufacturer accompanied by a satisfactory
justification. The manufacturer may test each vehicle a total of three
times. The manufacturer shall test each vehicle the same number of
times. The manufacturer may accumulate additional mileage on test
vehicles before conducting retests, subject to the provisions of
paragraph (c) of this section.
[41 FR 31483, July 28, 1976, as amended at 43 FR 4552, Feb. 2, 1978; 44
FR 2975, Jan. 12, 1979; 45 FR 14524, Mar. 5, 1980; 47 FR 49813, Nov. 2,
1982; 49 FR 48482, Dec. 12, 1984. Redesignated and amended at 54 FR
2123, Jan. 19, 1989]
Sec. 86.608-90 Test procedures.
(a) The prescribed test procedures are contained in subpart B and/or
subpart C of this part 86. For purposes of Selective Enforcement Audit
testing, the manufacturer shall not perform any of the test procedures
in subpart B of this part relating to evaporative emission testing,
except as specified in paragraph (a)(2) of this section.
(1) The Administrator may, on the basis of a written application by
a manufacturer, prescribe test procedures other than those in subpart B
and/or subpart C of this part for any motor vehicle which he determines
is not susceptible to satisfactory testing using the procedures in
subpart B and/
[[Page 21]]
or subpart C of this part. The Administrator may, based on advance
application by a manufacturer, approve optional test procedures for use
in Selective Enforcement Audit testing.
(2) The following exceptions to the test procedures in subpart B of
this part are applicable to Selective Enforcement Audit testing:
(i) For mileage accumulation, the manufacturer may use test fuel
meeting the specifications of mileage and service accumulation fuels of
Sec. 86.113. Otherwise, the manufacturer may use fuels other than those
specified in this section only with the advance approval of the
Administrator.
(ii) The manufacturer may measure the temperature of the test fuel
at other than the approximate mid-volume of the fuel tank, as specified
in Sec. 86.131-96(a) with only a single temperature sensor, and may
drain the test fuel from other than the lowest point of the tank, as
specified in Sec. 86.131-96(b), provided an equivalent method is used.
Equivalency documentation shall be maintained by the manufacturers and
shall be made available to the Administrator upon request. Additionally,
for any test vehicle that has remained under laboratory ambient
temperature conditions for at least 6 hours prior to testing, the
vehicle soak described in Sec. 86.132-96(c) may be eliminated upon
approval of the Administrator. In such cases, the vehicle shall be
operated through the preconditioning drive described in Sec. 86.132-
96(c) immediately following the fuel drain and fill procedure described
in Sec. 86.132-96(b).
(iii) The manufacturer may perform additional preconditioning on SEA
test vehicles other than the preconditioning specified in Sec. 86.132
only if the additional preconditioning had been performed on
certification test vehicles of the same configuration.
(iv) If the Administrator elects to use the evaporative canister
preconditioning procedure described in Sec. 86.132-96(k), the
manufacturer shall perform the heat build procedure 11 to 34 hours
following vehicle preconditioning rather than according to the time
period specified in Sec. 86.133-90(a). All references in Sec. 86.133-90
to an evaporative emission enclosure (SHED) and analyzing for HC during
the heat build can be ignored.
(v) The manufacturer may substitute slave tires for the drive wheel
tires on the vehicle as specified in paragraph Sec. 86.135-90(e):
Provided, that the slave tires are the same size.
(vi) If the Administrator elects to use the evaporative canister
preconditioning procedure described in Sec. 86.132-96(k), the cold start
exhaust emission test described in Sec. 86.137 shall follow the heat
build procedure described in Sec. 86.133-90 by not more than one hour.
(vii) In performing exhaust sample analysis under Sec. 86.140.
(A) When testing diesel vehicles, or methanol-fueled Otto-cycle
vehicles, the manufacturer shall allow a minimum of 20 minutes warm-up
for the HC analyzer, and for diesel vehicles, a minimum of two hours
warm-up for the CO, CO2, and NOX analyzers. (Power
is normally left on infrared and chemiluminescent analyzers. When not in
use, the chopper motors of the infrared analyzers are turned off and the
phototube high voltage supply to the chemiluminescent analyzers is
placed in the standby position.)
(B) The manufacturer shall exercise care to prevent moisture from
condensing in the sample collection bags.
(viii) The manufacturer need not comply with Sec. 86.142, since the
records required therein are provided under other provisions of subpart
G of this part.
(ix) In addition to the requirements of subpart B of this part, the
manufacturer shall prepare gasoline-fueled and methanol-fueled vehicles
as follows prior to exhaust emissions testing:
(A) The manufacturer shall inspect the fuel system to insure the
absence of any leaks of liquid or vapor to the atmosphere by applying a
pressure of 14.50.5 inches of water to the fuel system,
allowing the pressure to stabilize, and isolating the fuel system from
the pressure source, pressure must not drop more than 2.0 inches of
water in 5 minutes. If required, the manufacturer shall perform
corrective action in accordance with Sec. 86.608 and report this action
in accordance with Sec. 86.609.
(B) When performing this pressure check, the manufacturer shall
exercise
[[Page 22]]
care to neither purge nor load the evaporative emission control system.
(C) The manufacturer shall not modify the test vehicle's evaporative
emission control system by component addition, deletion, or
substitution, except to comply with paragraph (a)(2)(ii) of this section
if approved in advance by the Administrator.
(3) The following exceptions to the test procedures in subpart C of
this part are applicable to Selective Enforcement Audit testing:
(i) The manufacturer may measure the temperature of the test fuel at
other than the approximate mid-volume of the fuel tank, as specified in
Sec. 86.231(a), and may drain the test fuel from other than the lowest
point of the fuel tank as specified in Sec. 86.231(b), provided an
equivalent method is used. Equivalency documentation shall be maintained
by the manufacturer and shall be made available to the Administrator
upon request.
(ii) In performing exhaust sample analysis under Sec. 86.240, the
manufacturer shall exercise care to prevent moisture from condensing in
the sample collection bags.
(iii) The manufacturer need not comply with Sec. 86.242 since the
records required therein are provided under other provisions of subpart
G of this part.
(iv) In addition to the requirements of subpart C of this part, the
manufacturer shall prepare gasoline-fueled vehicles as follows prior to
exhaust emission testing:
(A) The manufacturer shall inspect the fuel system to ensure the
absence of any leaks of liquid or vapor to the atmosphere by applying a
pressure of 14.50.5 inches of water (3.60.1 kPa)
to the fuel system allowing the pressure to stabilize and isolating the
fuel system from the pressure source. Following isolation of the fuel
system, pressure must not drop more than 2.0 inches of water (0.5 kPa)
in five minutes. If required, the manufacturer shall perform corrective
action in accordance with paragraph Sec. 86.608(d) and report this
action in accordance with paragraph Sec. 86.609(d).
(B) When performing this pressure check, the manufacturer shall
exercise care to neither purge nor load the evaporative emission control
system.
(C) The manufacturer shall not modify the test vehicle's evaporative
emission control system by component addition, deletion, or
substitution, except if approved in advance by the Administrator, to
comply with paragraph (a)(3)(i) of this section.
(b)(1) The manufacturer shall not adjust, repair, prepare, or modify
the vehicles selected for testing and shall not perform any emission
tests on vehicles selected for testing pursuant to the test order unless
this adjustment, repair, preparation, modification, and/or tests are
documented in the manufacturer's vehicle assembly and inspection
procedures and are actually performed or unless these adjustments and/or
tests are required or permitted under this subpart or are approved in
advance by the Administrator.
(2) For 1981 and later model years the Administrator may adjust or
cause to be adjusted any engine or vehicle parameter which the
Administrator has determined to be subject to adjustment for new vehicle
compliance testing (e.g., for certification or Selective Enforcement
Audit testing) in accordance with Sec. 86.081-22(c)(1), to any setting
within the physically adjustable range of that parameter, as determined
by the Administrator in accordance with Sec. 86.081-22(e)(3)(ii), prior
to the performance of any tests. However, if the idle speed parameter is
one which the Administrator has determined to be subject to adjustment,
the Administrator shall not adjust it to a setting which causes a lower
engine idle speed than will be possible within the physically adjustable
range of the idle speed parameter on the vehicle when it has accumulated
4,000 miles, all other parameters being adjusted identically for the
purpose of comparison. The Administrator, in making or specifying such
adjustments, will consider the effect of the deviation from the
manufacturer's recommended setting on emissions performance
characteristics as well as the likelihood that similar settings will
occur on in-use light-duty vehicles or light-duty trucks. In determining
likelihood, the Administrator will consider factors such as, but not
limited to, the
[[Page 23]]
effect of the adjustment on vehicle performance characteristics and
surveillance information from similar in-use vehicles.
(c) Prior to performing exhaust emission testing on an SEA test
vehicle, the manufacturer may accumulate on each vehicle a number of
miles equal to the greater of 4,000 miles, or the number of miles the
manufacturer accumulated during certification on the emission-data
vehicle corresponding to the configuration specified in the test order.
(1) Mileage accumulation must be performed in any manner using good
engineering judgement to obtain emission results representative of
normal production vehicles. This mileage accumulation must be consistent
with the new vehicle break-in instructions contained in the applicable
vehicle owner's manual, if any.
(2) The manufacturer shall accumulate mileage at a minimum rate of
300 miles per vehicle during each 24 hour period, unless otherwise
provided by the Administrator.
(i) The first 24 hour period for mileage accumulation shall begin as
soon as authorized vehicle checks, inspections and preparations are
completed on each vehicle.
(ii) The minimum mileage accumulation rate does not apply on
weekends or holidays.
(iii) If the manufacturer's mileage accumulation target is less than
the minimum rate specified (300 miles per day), then the minimum daily
accumulation rate shall be equal to the manufacturer's mileage
accumulation target.
(3) Mileage accumulation shall be completed on a sufficient number
of test vehicles during consecutive 24 hour periods to assure that the
number of vehicles tested per day fulfills the requirements of paragraph
(g) of this section.
(d) The manufacturer shall not perform any maintenance on test
vehicles after selection for testing nor shall the Administrator allow
deletion of any test vehicle from the test sequence, unless requested by
the manufacturer and approved by the Administrator before any test
vehicle maintenance or deletion.
(e) The manufacturer will be allowed 24 hours to ship test vehicles
from the assembly plant or storage facility to the test facility if the
test facility is not located at the plant or storage facility or in
close proximity to the plant or storage facility: Except, That the
Administrator may approve more time based upon a request by the
manufacturer accompanied by a satisfactory justification.
(f) If a vehicle cannot complete the mileage accumulation or
emission tests because of vehicle malfunction, the manufacturer may
request the Administrator to authorize the repair of that vehicle or its
deletion from the test sequence.
(g) Whenever the manufacturer conducts testing pursuant to a test
order issued under this subpart, the manufacturer shall notify the
Administrator within one working day of receipt of the test order, which
test facility will be used to comply with the test cells at that
facility. If no test cells are available at the desired facility, the
manufacturer must provide alternate testing capability satisfactory to
the Administrator. The manufacturer shall complete emission testing on a
minimum of four vehicles per 24 hour period including voided tests for
each available test cell at his testing facility: Except, That the
Administrator may approve a longer period based upon a request by the
manufacturer accompanied by satisfactory justification.
(h) The manufacturer shall perform test vehicle selection,
preparation, mileage accumulation, shipping, and testing in such a
manner as to assure that the audit is performed in an expeditious
manner.
(i) The manufacturer may retest any test vehicle after a fail
decision has been reached in accordance with paragraph (d) of
Sec. 86.610 based on the first test on each vehicle; except, that the
Administrator may approve retesting at other times during the audit
based upon a request by the manufacturer accompanied by a satisfactory
justification. The manufacturer may test each vehicle the same number of
times. The manufacturer may accumulate additional mileage on test
vehicles before
[[Page 24]]
conducting retests, subject to the provisions of paragraph (c) of this
section.
[54 FR 14557, Apr. 11, 1989, as amended at 57 FR 31921, July 17, 1992;
58 FR 16045, Mar. 24, 1993; 60 FR 43898, Aug. 23, 1995]
Sec. 86.608-96 Test procedures.
Section 86.608-96 includes text that specifies requirements that
differ from Sec. 86.608-90. Where a paragraph in Sec. 86.608-90 is
identical and applicable to Sec. 86.608-96, this is indicated by
specifying the corresponding paragraph and the statement ``[Reserved].
For guidance see Sec. 86.608-90.'' Where a corresponding paragraph of
Sec. 86.608-90 is not applicable, this is indicated by the statement
``[Reserved].''
(a) The prescribed test procedures are the FTP as described in
subpart B of this part, the cold temperature CO test procedure as
described in subpart C of this part, and the CST as described in subpart
O of this part, as applicable. For purposes of Selective Enforcement
Audit testing, the manufacturer may not perform any of the test
procedures in subpart B of this part relating to evaporative emission
testing, except as specified in Sec. 86.608-90(a)(2).
(1) The Administrator may select and prescribe the sequence of any
CSTs. Further, the Administrator may, on the basis of a written
application by a manufacturer, approve optional test procedures other
than those in subparts B, C, and O of this part for any motor vehicle
which is not subject to satisfactory testing using the procedures in
subparts B, C, and O of this part.
(2) through (3) [Reserved]. For guidance see Sec. 86.608-90.
(4) The exceptions to the test procedures described in subpart O of
this part that are listed in paragraphs (a)(4)(i) and (ii) of this
section are applicable to Selective Enforcement Audit testing.
(i) The manufacturer need not comply with Sec. 86.1442, since the
records required therein are provided under other provisions of subpart
G of this part.
(ii) In addition to the requirements of subpart O of this part, the
manufacturer must prepare vehicles as in paragraphs (a)(4)(ii) (A)
through (C) of this section prior to exhaust emission testing.
(A) The manufacturer must inspect the fuel system to insure the
absence of any leaks of liquid or vapor to the atmosphere by applying a
pressure of 14.5 0.5 inches of water to the fuel system,
allowing the pressure to stabilize, and isolating the fuel system from
the pressure source. Pressure must not drop more than 2.0 inches of
water in five minutes. If required, the manufacturer performs corrective
action in accordance with this section and must report this action in
accordance with Sec. 86.609.
(B) When performing this pressure check, the manufacturer must
exercise care to neither purge nor load the evaporative system.
(C) The manufacturer may not modify the test vehicle's evaporative
emission control system by component addition, deletion, or
substitution.
(b) through (i) [Reserved]. For guidance see Sec. 86.608-90.
[58 FR 58423, Nov. 1, 1993]
Sec. 86.608-97 Test procedures.
Section 86.608-97 includes text that specifies requirements that
differ from those specified in Secs. 86.608-90 and 86.608-96. Where a
paragraph in Sec. 86.608-90 or Sec. 86.608-96 is identical and
applicable to Sec. 86.608-97, this may be indicated by specifying the
corresponding paragraph and the statement ``[Reserved]. For guidance see
Sec. 86.608-90.'' or ``[Reserved]. For guidance see Sec. 86.608-96.''
(a) The prescribed test procedures are the Federal Test Procedure,
as described in subpart B and/or subpart R of this part, whichever is
applicable, the cold temperature CO test procedure as described in
subpart C of this part, and the Certification Short Test procedure as
described in subpart O of this part. Where the manufacturer conducts
testing based on the requirements specified in Chapter 1 or Chapter 2 of
the California Regulatory Requirements Applicable to the National Low
Emission Vehicle Program (October, 1996), the prescribed test procedures
are the procedures cited in the previous sentence, or substantially
similar procedures, as determined by the Administrator. The California
Regulatory Requirements Applicable to the National Low Emission Vehicle
Program are incorporated by reference (see Sec. 86.1). For
[[Page 25]]
purposes of Selective Enforcement Audit testing, the manufacturer shall
not be required to perform any of the test procedures in subpart B of
this part relating to evaporative emission testing, except as specified
in paragraph (a)(2) of this section.
(1) [Reserved]. For guidance see Sec. 86.608-96.
(2) The following exceptions to the test procedures in subpart B
and/or subpart R of this part are applicable to Selective Enforcement
Audit testing:
(i) For mileage accumulation, the manufacturer may use test fuel
meeting the specifications for mileage and service accumulation fuels of
Sec. 86.113, or, for vehicles certified to the National LEV standards,
the specifications of Sec. 86.1771. Otherwise, the manufacturer may use
fuels other than those specified in this section only with the advance
approval of the Administrator.
(ii) [Reserved]. For guidance see Sec. 86.608-90.
(iii) The manufacturer may perform additional preconditioning on
Selective Enforcement Audit test vehicles other than the preconditioning
specified in Sec. 86.132, or Sec. 86.1773 for vehicles certified to the
National LEV standards, only if the additional preconditioning had been
performed on certification test vehicles of the same configuration.
(a)(2)(iv) through (a)(2)(vii) [Reserved]. For guidance see
Sec. 86.608-90.
(a)(2)(viii) The manufacturer need not comply with Sec. 86.142, or
Sec. 86.1775, since the records required therein are provided under
other provisions of this subpart G.
(a)(2)(ix) through (a)(3) [Reserved]. For guidance see Sec. 86.608-
90.
(a)(4) [Reserved]. For guidance see Sec. 86.608-96.
(b) through (i) [Reserved]. For guidance see Sec. 86.608-90.
[62 FR 31234, June 6, 1997]
Sec. 86.608-98 Test procedures.
(a) The prescribed test procedures are the Federal Test Procedure,
as described in subpart B and/or subpart R of this part, whichever is
applicable, the cold temperature CO test procedure as described in
subpart C of this part, and the Certification Short Test procedure as
described in subpart O of this part. Where the manufacturer conducts
testing based on the requirements specified in Chapter 1 or Chapter 2 of
the California Regulatory Requirements Applicable to the National Low
Emission Vehicle Program (October, 1996), the prescribed test procedures
are the procedures cited in the previous sentence, or substantially
similar procedures, as determined by the Administrator. The California
Regulatory Requirements Applicable to the National Low Emission Vehicle
Program are incorporated by reference (see Sec. 86.1). For purposes of
Selective Enforcement Audit testing, the manufacturer shall not be
required to perform any of the test procedures in subpart B of this part
relating to evaporative emission testing, other than refueling emissions
testing, except as specified in paragraph (a)(2) of this section.
(1) The Administrator may omit any of the testing procedures
described in paragraph (a) of this section and may select and prescribe
the sequence of any CSTs. Further, the Administrator may, on the basis
of a written application by a manufacturer, approve optional test
procedures other than those in subparts B, C, and O of this part for any
motor vehicle which is not susceptible to satisfactory testing using the
procedures in subparts B, C, and O of this part.
(2) The following exceptions to the test procedures in subpart B
and/or subpart R of this part are applicable to Selective Enforcement
Audit testing:
(i) For mileage accumulation, the manufacturer may use test fuel
meeting the specifications for mileage and service accumulation fuels of
Sec. 86.113, or, for vehicles certified to the National LEV standards,
the specifications of Sec. 86.1771. Otherwise, the manufacturer may use
fuels other than those specified in this section only with the advance
approval of the Administrator.
(ii) The manufacturer may measure the temperature of the test fuel
at other than the approximate mid-volume of the fuel tank, as specified
in Sec. 86.131-96(a) with only a single temperature sensor, and may
drain the test fuel from other than the lowest point of the tank, as
specified in Sec. 86.131-96(b) and Sec. 86.152-98(a), provided an
equivalent method is used. Equivalency documentation shall be maintained
by the
[[Page 26]]
manufacturers and shall be made available to the Administrator upon
request. Additionally, for any test vehicle that has remained under
laboratory ambient temperature conditions for at least 6 hours prior to
testing, the vehicle soak described in Sec. 86.132-96(c) may be
eliminated upon approval of the Administrator. In such cases, the
vehicle shall be operated through the preconditioning drive described in
Sec. 86.132-96(c) immediately following the fuel drain and fill
procedure described in Sec. 86.132-96(b).
(iii) The manufacturer may perform additional preconditioning on
Selective Enforcement Audit test vehicles other than the preconditioning
specified in Sec. 86.132, or Sec. 86.1773, for vehicles certified to the
National LEV standards only if the additional preconditioning was
performed on certification test vehicles of the same configuration.
(iv) If the Administrator elects to use the evaporative/refueling
canister preconditioning procedure described in Sec. 86.132-96(k), the
manufacturer shall perform the heat build procedure 11 to 34 hours
following vehicle preconditioning rather than according to the time
period specified in Sec. 86.133-90(a). All references to an evaporative
emission enclosure and analyzing for HC during the heat build can be
ignored.
(v) The manufacturer may substitute slave tires for the drive wheel
tires on the vehicle as specified in paragraph Sec. 86.135-90(e):
Provided, that the slave tires are the same size.
(vi) If the Administrator elects to use the evaporative/refueling
canister preconditioning procedure described in Sec. 86.132-96(k), the
cold start exhaust emission test described in Sec. 86.137-96 shall
follow the heat build procedure described in Sec. 86.133-90 by not more
than one hour.
(vii) In performing exhaust sample analysis under Sec. 86.140-94.
(A) When testing diesel vehicles, or methanol-fueled Otto-cycle
vehicles, the manufacturer shall allow a minimum of 20 minutes warm-up
for the HC analyzer, and for diesel vehicles, a minimum of two hours
warm-up for the CO, CO2, and NOX analyzers. (Power
is normally left on infrared and chemiluminescent analyzers. When not in
use, the chopper motors of the infrared analyzers are turned off and the
phototube high voltage supply to the chemiluminescent analyzers is
placed in the standby position.)
(B) The manufacturer shall exercise care to prevent moisture from
condensing in the sample collection bags.
(viii) The manufacturer need not comply with Sec. 86.142,
Sec. 86.155, or Sec. 86.1775, since the records required therein are
provided under other provisions of this subpart G.
(ix) If a manufacturer elects to perform the background
determination procedure described in paragraph (a)(2)(xi) of this
section in addition to performing the refueling emissions test
procedure, the elapsed time between the initial and final FID readings
shall be recorded, rounded to the nearest second rather than minute as
described in Sec. 86.154-98(e)(8). In addition, the vehicle soak
described in Sec. 86.153-98(e) shall be conducted with the windows and
luggage compartment of the vehicle open.
(x) The Administrator may elect to perform a seal test, described in
Sec. 86.153-98(b), of both integrated and non-integrated systems instead
of the full refueling test. When testing non-integrated systems, an
manufacturer may conduct the canister purge described in Sec. 86.153-
98(b)(1) directly following the preconditioning drive described in
Sec. 86.132-96(e) or directly following the exhaust emissions test
described in Sec. 86.137-96.
(xi) In addition to the refueling test, a manufacturer may elect to
perform the following background emissions determination immediately
prior to the refueling measurement procedure described in Sec. 86.154-
98, provided EPA is notified of this decision prior to the start of
testing in an SEA.
(A) The SHED shall be purged for several minutes immediately prior
to the background determination. Warning: If at any time the
concentration of hydrocarbons, of methanol, or of methanol and
hydrocarbons exceeds 15,000 ppm C, the enclosure should be immediately
purged. This concentration provides a 4:1 safety factor against the lean
flammability limit.
(B) The FID (or HFID) hydrocarbon analyzer shall be zeroed and
spanned immediately prior to the background
[[Page 27]]
determination. If not already on, the enclosure mixing fan and the
spilled fuel mixing blower shall be turned on at this time.
(C) Place the vehicle in the SHED. The ambient temperature level
encountered by the test vehicle during the entire background emissions
determination shall be 80 deg.F 3 deg.F. The windows and
luggage compartment of the vehicle must be open and the gas cap must be
secured.
(D) Seal the SHED. Immediately analyze the ambient concentration of
hydrocarbons in the SHED and record. This is the initial background
hydrocarbon concentration.
(E) Soak the vehicle for ten minutes 1 minute.
(F) The FID (or HFID) hydrocarbon analyzer shall be zeroed and
spanned immediately prior to the end of the background determination.
(G) Analyze the ambient concentration of hydrocarbons in the SHED
and record. This is the final background hydrocarbon concentration.
(H) The total hydrocarbon mass emitted during the background
determination is calculated according to Sec. 86.156-98. To obtain a
per-minute background emission rate, divide the total hydrocarbon mass
calculated in this paragraph by the duration of the soak, rounded to the
nearest second, described in paragraph (a)(2)(xi)(G) of this section.
(I) The background emission rate is multiplied by the duration of
the refueling measurement obtained in paragraph (a)(2)(ix) of this
section. This number is then subtracted from the total grams of
emissions calculated for the refueling test according to Sec. 86.156-
98(a) to obtain the adjusted value for total refueling emissions. The
final results for comparison with the refueling emission standard shall
be computed by dividing the adjusted value for total refueling mass
emissions by the total gallons of fuel dispensed in the refueling test
as described in Sec. 86.156-98(b).
(xii) In addition to the requirements of subpart B of this part, the
manufacturer shall prepare gasoline-fueled and methanol-fueled vehicles
as follows prior to emission testing:
(A) The manufacturer shall inspect the fuel system to ensure the
absence of any leaks of liquid or vapor to the atmosphere by applying a
pressure of 14.50.5 inches of water (3.60.1 Kpa)
to the fuel system allowing the pressure to stabilize and isolating the
fuel system from the pressure source. Following isolation of the fuel
system, pressure must not drop more than 2.0 inches of water (0.5 Kpa)
in five minutes. If required, the manufacturer shall perform corrective
action in accordance with paragraph (d) of this section and report this
action in accordance with Sec. 86.609-98(d).
(B) When performing this pressure check, the manufacturer shall
exercise care to neither purge nor load the evaporative or refueling
emission control systems.
(C) The manufacturer may not modify the test vehicle's evaporative
or refueling emission control systems by component addition, deletion,
or substitution, except to comply with paragraph (a)(2)(ii) of this
section if approved in advance by the Administrator.
(3) The following exceptions to the test procedures in subpart C of
this part are applicable to Selective Enforcement Audit testing:
(i) The manufacturer may measure the temperature of the test fuel at
other than the approximate mid-volume of the fuel tank, as specified in
Sec. 86.131-90(a), and may drain the test fuel from other than the
lowest point of the fuel tank as specified in Sec. 86.131-90(b),
provided an equivalent method is used. Equivalency documentation shall
be maintained by the manufacturer and shall be made available to the
Administrator upon request.
(ii) In performing exhaust sample analysis under Sec. 86.140-94, the
manufacturer shall exercise care to prevent moisture from condensing in
the sample collection bags.
(iii) The manufacturer need not comply with Sec. 86.142-90 since the
records required therein are provided under other provisions of this
subpart G.
(iv) In addition to the requirements of subpart C of this part, the
manufacturer shall prepare gasoline-fueled vehicles as follows prior to
exhaust emission testing:
(A) The manufacturer shall inspect the fuel system to ensure the
absence
[[Page 28]]
of any leaks of liquid or vapor to the atmosphere by applying a pressure
of 14.50.5 inches of water (3.60.1 Kpa) to the
fuel system allowing the pressure to stabilize and isolating the fuel
system from the pressure source. Following isolation of the fuel system,
pressure must not drop more than 2.0 inches of water (0.5 Kpa) in five
minutes. If required, the manufacturer shall perform corrective action
in accordance with paragraph (d) of this section and report this action
in accordance with Sec. 86.609-98(d).
(B) When performing this pressure check, the manufacturer shall
exercise care to neither purge nor load the evaporative or refueling
emission control system.
(C) The manufacturer shall not modify the test vehicle's evaporative
or refueling emission control system by component addition, deletion, or
substitution, except if approved in advance by the Administrator, to
comply with paragraph (a)(3)(i) of this section.
(4) The exceptions to the test procedures in subpart O of this part
applicable to Selective Enforcement Audit testing are listed in
paragraphs (a)(4) (i) and (ii) of this section.
(i) The manufacturer need not comply with Sec. 86.1442, since the
records required therein are provided under provisions of this subpart
G.
(ii) In addition to the requirements of subpart O of this part, the
manufacturer must prepare vehicles as in paragraphs (a)(4)(ii) (A)
through (C) of this section prior to exhaust emission testing.
(A) The manufacturer must inspect the fuel system to insure the
absence of any leaks of liquid or vapor to the atmosphere by applying a
pressure of 14.50.5 inches of water (3.60.1 Kpa)
to the fuel system, allowing the pressure to stabilize, and isolating
the fuel system from the pressure source. Pressure must not drop more
than 2.0 inches of water (0.5 Kpa) in five minutes. If required, the
manufacturer performs corrective action in accordance with paragraph (d)
of this section and must report this action in accordance with
Sec. 86.609-98(d).
(B) When performing this pressure check, the manufacturer must
exercise care to neither purge nor load the evaporative or refueling
emission control system.
(C) The manufacturer may not modify the test vehicle's evaporative
or refueling emission control system by component addition, deletion, or
substitution.
(b)(1) The manufacturer shall not adjust, repair, prepare, or modify
the vehicles selected for testing and shall not perform any emission
tests on vehicles selected for testing pursuant to the test order unless
this adjustment repair, preparation, modification, and/or tests are
documented in the manufacturer's vehicle assembly and inspection
procedures and are actually performed or unless these adjustments and/or
tests are required or permitted under this subpart or are approved in
advance by the Administrator.
(2) For 1981 and later model years the Administrator may adjust or
cause to be adjusted any engine or vehicle parameter which the
Administrator has determined to be subject to adjustment for new vehicle
compliance testing (e.g., for certification or Selective Enforcement
Audit testing) in accordance with Sec. 86.081-22(c)(1), to any setting
within the physically adjustable range of that parameter, as determined
by the Administrator in accordance with Sec. 86.081-22(e)(3)(ii), prior
to the performance of any tests. However, if the idle speed parameter is
one which the Administrator has determined to be subject to adjustment,
the Administrator shall not adjust it to a setting which causes a lower
engine idle speed than will be possible within the physically adjustable
range of the idle speed parameter on the vehicle when it has accumulated
4,000 miles, all other parameters being adjusted identically for the
purpose of comparison. The Administrator, in making or specifying such
adjustments, will consider the effect of the deviation from the
manufacturer's recommended setting on emissions performance
characteristics as well as the likelihood that similar settings will
occur on in-use light-duty vehicles or light-duty trucks. In determining
likelihood, the Administrator will consider factors such as, but not
limited to, the
[[Page 29]]
effect of the adjustment on vehicle performance characteristics and
surveillance information from similar in-use vehicles.
(c) Prior to performing emission testing pursuant to paragraph (a)
of this section on an SEA test vehicle, the manufacturer may accumulate
on each vehicle a number of miles equal to the greater of 4,000 miles,
or the number of miles the manufacturer accumulated during certification
on the emission-data vehicle corresponding to the configuration
specified in the test order.
(1) Mileage accumulation must be performed in any manner using good
engineering judgment to obtain emission results representative of normal
production vehicles. This mileage accumulation must be consistent with
the new vehicle break-in instructions contained in the applicable
vehicle owner's manual, if any.
(2) The manufacturer shall accumulate mileage at a minimum rate of
300 miles per vehicle during each 24-hour period, unless otherwise
provided by the Administrator.
(i) The first 24-hour period for mileage accumulation shall begin as
soon as authorized vehicle checks, inspections and preparations are
completed on each vehicle.
(ii) The minimum mileage accumulation rate does not apply on
weekends or holidays.
(iii) If the manufacturer's mileage accumulation target is less than
the minimum rate specified (300 miles per day), then the minimum daily
accumulation rate shall be equal to the manufacturer's mileage
accumulation target.
(3) Mileage accumulation shall be completed on a sufficient number
of test vehicles during consecutive 24-hour periods to assure that the
number of vehicles tested per day fulfills the requirements of paragraph
(g) of this section.
(d) The manufacturer shall not perform any maintenance on test
vehicles after selection for testing nor shall the Administrator allow
deletion of any test vehicle from the test sequence, unless requested by
the manufacturer and approved by the Administrator before any test
vehicle maintenance of deletion.
(e) The manufacturer will be allowed 24 hours to ship test vehicles
from the assembly plant or storage facility to the test facility if the
test facility is not located at the plant or storage facility or in
close proximity to the plant or storage facility: Except, that the
Administrator may approve more time based upon a request by the
manufacturer accompanied by a satisfactory justification.
(f) If a vehicle cannot complete the mileage accumulation or
emission tests because of vehicle malfunction, the manufacturer may
request the Administrator to authorize the repair of that vehicle or its
deletion from the test sequence.
(g) Whenever the manufacturer conducts testing pursuant to a test
order issued under this subpart, the manufacturer shall notify the
Administrator within one working day of receipt of the test order, which
test facility will be used to comply with the test order and the number
of available test cells at that facility. If no test cells are available
at the desired facility, the manufacturer must provide alternate testing
capability satisfactory to the Administrator.
(1) The manufacturer shall perform a combination of tests pursuant
to paragraph (a) of this section so that a minimum of four tests are
performed per 24 hour period, including voided tests, for each available
test cell.
(2) The Administrator may approve a longer period based upon a
request by a manufacturer accompanied by satisfactory justification.
(h) The manufacturer shall perform test vehicle selection,
preparation, mileage accumulation, shipping, and testing in such a
manner as to assure that the audit is performed in an expeditious
manner.
(i) The manufacturer may retest any test vehicle after a fail
decision has been reached in accordance with Sec. 86.610-98(d) based on
the first test on each vehicle; except that the Administrator may
approve retests at other times during the audit based upon a request by
the manufacturer accompanied by a satisfactory justification. The
manufacturer may test each vehicle a total of three times. The
manufacturer shall test each vehicle the
[[Page 30]]
same number of times. The manufacturer may accumulate additional mileage
on test vehicles before conducting retests, subject to the provisions of
paragraph (c) of this section.
[59 FR 16301, Apr. 6, 1994, as amended at 60 FR 43898, Aug. 23, 1995; 62
FR 31235, June 6, 1997]
Sec. 86.609-84 Calculation and reporting of test results.
(a) Initial test results are calculated following the Federal Test
Procedure specified in Sec. 86.608(a). Round the initial test results to
the number of decimal places contained in the applicable emission
standard, expressed to one additional significant figure. Rounding shall
be done in accordance with ASTM E 29-90, Standard Practice for Using
Significant Digits in Test Data to Determine Conformance with
Specifications. This procedure has been incorporated by reference (see
Sec. 86.1).
(b) Final test results for each test vehicle shall be calculated by
summing the initial test results derived in paragraph (a) of this
section for each test vehicle, dividing by the number of tests conducted
on the vehicle, and rounding to the same number of decimal places
contained in the applicable emission standard expressed to one
additional significant figure. Rounding shall be done in accordance with
ASTM E 29-90, Standard Practice for Using Significant Digits in Test
Data to Determine Conformance with Specifications. This procedure has
been incorporated by reference (see Sec. 86.1).
(c)(1) The final deteriorated test results for each test vehicle
shall be calculated by multiplying the final test results by the
appropriate deterioration factor derived for the certification process
for the engine family and model year to which the selected configuration
belongs, and rounded to two significant figures. Rounding shall be done
in accordance with ASTM E 29-90, Standard Practice for Using Significant
Digits in Test Data to Determine Conformance with Specifications. This
procedure has been incorporated by reference (see Sec. 86.1). For the
purposes of this paragraph, if a deterioration factor as computed during
the certification process is less than one, that deterioration factor
shall be one.
(2) There are no deterioration factors for light-duty vehicles
tested in accordance with Sec. 86.146-96 of subpart B of this part.
Accordingly, for the fuel dispensing spitback test the term ``final
deteriorated test results'' shall mean the final test results derived in
paragraph (b) of this section for each test vehicle, rounded to the same
number of significant figures contained in the applicable standard in
accordance with ASTM E 29-90, Standard Practice for Using Significant
Digits in Test Data to Determine Conformance with Specifications. This
procedure has been incorporated by reference (see Sec. 86.1).
(d) Within five working days after completion of testing of all
vehicles pursuant to a test order, the manufacturer shall submit to the
Administrator a report which includes the following information:
(1) The location and description of the manufacturer's exhaust
emission test facilities which were utilized to conduct testing reported
pursuant to this section;
(2) The applicable standards against which the vehicles were tested;
(3) Deterioration factors for the selected configuration.
(4) A description of the vehicle selection method used;
(5) For each test conducted,
(i) Test vehicle description including:
(A) Configuration and engine family identification.
(B) Year, make, build date, and model of vehicle.
(C) Vehicle Identification Number.
(D) Miles accumulated on vehicle.
(ii) Location where mileage accumulation was conducted and
description of accumulation schedule.
(iii) Test number, date, initial test results, final results and
final deteriorated test results for all valid and invalid exhaust
emission tests, and the reason for invalidation.
(iv) A complete description of any modification, repair,
preparation, maintenance and/or testing which was performed on the test
vehicle and (A) has not been reported pursuant to any other paragraph of
this subpart and (B) will not be performed on all other production
vehicles.
[[Page 31]]
(v) Carbon dioxide emission values for all valid and invalid exhaust
emission tests;
(vi) Where a vehicle was deleted from the test sequence by
authorization of the Administrator, the reason for the deletion;
(vii) Any other information the Administrator may request relevant
to the determination as to whether the new motor vehicles being
manufactured by the manufacturer do in fact conform with the regulations
with respect to which the certificate of conformity was issued.
(6) The following statement and endorsement:
This report is submitted pursuant to sections 206 and 208 of the
Clean Air Act. This Selective Enforcement Audit was conducted in
complete conformance with all applicable regulations under 40 CFR part
86 et seq. and the conditions of the test order. No emission related
change(s) to production processes or quality control procedures for the
vehicle configuration tested have been made between receipt of this test
order and conclusion of the audit. All data and information reported
herein is, to the best of
________________________________________________________________________
(Company Name)
knowledge, true and accurate. I am aware of the penalties associated
with violations of the Clean Air Act and the regulations thereunder.
________________________________________________________________________
(Authorized Company Representative)
[41 FR 31483, July 28, 1976, as amended at 43 FR 4552, Feb. 2, 1978; 49
FR 48483, Dec. 12, 1984. Redesignated at 54 FR 2123, Jan. 19, 1989, and
amended at 58 FR 16045, Mar. 24, 1993]
Sec. 86.609-96 Calculation and reporting of test results.
Section 86.609-96 includes text that specifies requirements that
differ from Sec. 86.609-84. Where a paragraph in Sec. 86.609-84 is
identical and applicable to Sec. 86.609-96, this is indicated by
specifying the corresponding paragraph and the statement ``[Reserved].
For guidance see Sec. 86.609-84.'' Where a corresponding paragraph of
Sec. 86.609-84 is not applicable, this is indicated by the statement
``[Reserved].''
(a) Initial test results are calculated following the test
procedures specified in Sec. 86.608(a). Round the initial test results
to the number of decimal places contained in the applicable emission
standard expressed to one additional significant figure. Rounding is
done in accordance with ASTM E 29-90, Standard Practice for Using
Significant Digits in Test Data to Determine Conformance with
Specifications. This procedure has been incorporated by reference (see
Sec. 86.1).
(b) Final test results for each test vehicle are calculated by
summing the initial test results within a specific FTP, CST, or Cold
Temperature CO Test Procedure derived in paragraph (a) of this section
for each test vehicle, dividing by the number of times that specific
FTP, CST, or Cold Temperature CO Test Procedure has been conducted on
the vehicle, and rounding to the same number of decimal places contained
in the applicable emission standard expressed to one additional
significant figure. Rounding is done in accordance with ASTM E 29-90,
Standard Practice for Using Significant Digits in Test Data to Determine
Conformance with Specifications. This procedure has been incorporated by
reference (see Sec. 86.1).
(c) Final deteriorated test results--(1) For each test vehicle. The
final deteriorated test results for each test vehicle are calculated by
multiplying the final test results by the appropriate deterioration
factor derived from the certification process for the engine family and
model year to which the selected configuration belongs and rounding to
the same number of decimal places contained in the applicable emission
standard. Rounding is done in accordance with ASTM E 29-90, Standard
Practice for Using Significant Digits in Test Data to Determine
Conformance with Specifications. This procedure has been incorporated by
reference (see Sec. 86.1). For the purpose of this paragraph, if a
deterioration factor as computed during the certification process is
less than one, that deterioration factor is one.
(2) Exceptions. (i) There are no deterioration factors for light-
duty vehicle emissions obtained during testing in accordance with
subpart O of this part. Accordingly, for the CST the term ``final
deteriorated test results'' means the final test results derived in
paragraph (b) of this section for each test
[[Page 32]]
vehicle, rounded to the same number of decimal places contained in the
applicable emission standard. Rounding is done in accordance with ASTM E
29-90, Standard Practice for Using Significant Digits in Test Data to
Determine Conformance with Specifications. This procedure has been
incorporated by reference (see Sec. 86.1).
(ii) There are no deterioration factors for light-duty vehicles
tested in accordance with Sec. 86.146-96. Accordingly, for the fuel
dispensing spitback test the term ``final deteriorated test results''
means the final test results derived in paragraph (b) of this section
for each test vehicle, rounded to the same number of significant figures
contained in the applicable standard in accordance with ASTM E 29-90,
Standard Practice for Using Significant Digits in Test Data to Determine
Conformance with Specifications. This procedure has been incorporated by
reference (see Sec. 86.1).
(d) [Reserved]. For guidance see Sec. 86.609-84.
[58 FR 58423, Nov. 1, 1993]
Sec. 86.609-97 Calculation and reporting of test results.
Section 86.609-97 includes text that specifies requirements that
differ from those specified in Secs. 86.609-84 and 86.609-96. Where a
paragraph in Sec. 86.609-84 or Sec. 86.609-96 is identical and
applicable to Sec. 86.609-97, this may be indicated by specifying the
corresponding paragraph and the statement ``[Reserved]. For guidance see
Sec. 86.609-84.'' or ``[Reserved]. For guidance see Sec. 86.609-96.''
(a) through (b) [Reserved]. For guidance see Sec. 86.609-96.
(c) Final deteriorated test results--(1) For each test vehicle. The
final deteriorated test results for each test vehicle tested according
to subpart B, subpart C, or subpart R of this part are calculated by
first multiplying or adding, as appropriate, the final test results by
or to the appropriate deterioration factor derived from the
certification process for the engine or evaporative/refueling family and
model year to which the selected configuration belongs, and then by
multiplying by the appropriate reactivity adjustment factor, if
applicable, and rounding to the same number of decimal places contained
in the applicable emission standard. Rounding is done 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. This procedure is incorporated by reference (see
Sec. 86.1). For the purpose of this paragraph (c), if a multiplicative
deterioration factor as computed during the certification process is
less than one, that deterioration factor is one. If an additive
deterioration factor as computed during the certification process is
less than zero, that deterioration factor will be zero.
(c)(2) [Reserved]. For guidance see Sec. 86.609-96.
(d) [Reserved]. For guidance see Sec. 86.609-84.
[62 FR 31235, June 6, 1997]
Sec. 86.609-98 Calculation and reporting of test results.
(a) Initial test results are calculated following the test
procedures specified in Sec. 86.608-98(a). Round the initial test
results to the number of decimal places contained in the applicable
emission standard expressed to one additional significant figure.
Rounding is done in accordance with ASTM E 29-67, (reapproved 1980) (as
referenced in Sec. 86.094-28 (a)(4)(i)(B)(2)(ii).
(b) Final test results for each test vehicle are calculated by
summing the initial test results derived in paragraph (a) of this
section for each test vehicle, dividing by the number of times that
specific test has been conducted on the vehicle, and rounding to the
same number of decimal places contained in the applicable standard
expressed to one additional significant figure. Rounding is done in
accordance with ASTM E 29-67, (reapproved 1980) (as referenced in
Sec. 86.094-28 (a)(4)(i)(B)(2)(ii).
(c) Final deteriorated test results--(1) For each test vehicle. The
final deteriorated test results for each light-duty vehicle tested for
exhaust emissions and/or refueling emissions according to subpart B,
subpart C, or subpart R of this part are calculated by first multiplying
or adding, as appropriate, the final test results by or to the
appropriate deterioration factor derived from the certification process
for the engine or evaporative/refueling family
[[Page 33]]
and model year to which the selected configuration belongs, and then by
multiplying by the appropriate reactivity adjustment factor, if
applicable, and rounding to the same number of decimal places contained
in the applicable emission standard. Rounding is done 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. This procedure has been incorporated by reference (see
Sec. 86.1). For the purpose of this paragraph (c), if a multiplicative
deterioration factor as computed during the certification process is
less than one, that deterioration factor is one. If an additive
deterioration factor as computed during the certification process is
less than zero, that deterioration factor will be zero.
(2) Exceptions. There are no deterioration factors for light-duty
vehicle emissions obtained during testing in accordance with subpart O
of this part or with Sec. 86.146-96. Accordingly, for the CST and the
fuel dispensing spitback test the term ``final deteriorated test
results'' means the final test results derived in paragraph (b) of this
section for each test vehicle, rounded to the same number of decimal
places contained in the applicable emission standard. Rounding is done
in accordance with ASTM E 29-67, (reapproved 1980) (as referenced in
Sec. 86.094-28 (a)(4)(i)(B)(2)(ii).
(d) Within five working days after completion of testing of all
vehicles pursuant to a test order, the manufacturer shall submit to the
Administrator a report which includes the following information:
(1) The location and description of the manufacturer's emission test
facilities which were utilized to conduct testing reported pursuant to
this section.
(2) The applicable standards against which the vehicles were tested.
(3) Deterioration factors for the selected configuration.
(4) A description of the vehicle selection method used.
(5) For each test conducted.
(i) Test vehicle description including:
(A) Configuration, engine family, and refueling family
identification.
(B) Year, make, build date, and model of vehicle.
(C) Vehicle Identification Number.
(D) Miles accumulated on vehicle.
(ii) Location where mileage accumulation was conducted and
description of accumulation schedule.
(iii) Test number, date initial test results, final results and
final deteriorated test results for all valid and invalid exhaust
emission tests, and the reason for invalidation.
(iv) A complete description of any modification, repair,
preparation, maintenance and/or testing which was performed on the test
vehicle and:
(A) Has not been reported pursuant to any other paragraph of this
subpart; and
(B) Will not be performed on all other production vehicles.
(v) Carbon dioxide emission values for all valid and invalid exhaust
emission tests.
(vi) Where a vehicle was deleted from the test sequence by
authorization of the Administrator, the reason for the deletion.
(vii) Any other information the Administrator may request relevant
to the determination as to whether the new motor vehicles being
manufactured by the manufacturer do in fact conform with the regulations
with respect to which the certificate of conformity was issued.
(6) The following statement and endorsement:
This report is submitted pursuant to sections 206 and 208 of the
Clean Air Act. This Selective Enforcement Audit was conducted in
complete conformance with all applicable regulations under 40 CFR part
86 and the conditions of the test order. No emission related change(s)
to production processes or quality control procedures for the vehicle
configuration tested have been made between receipt of this test order
and conclusion of the audit. All data and information reported herein
is, to the best of
________________________________________________________________________
(Company Name)
knowledge, true and accurate. I am aware of the penalties associated
with violations of the Clean Air Act and the regulations thereunder.
________________________________________________________________________
(Authorized Company Representative)
[59 FR 16303, Apr. 6, 1994, as amended at 62 FR 31236, June 6, 1997]
[[Page 34]]
Sec. 86.610-96 Compliance with acceptable quality level and passing and
failing criteria for Selective Enforcement Audits.
(a) The prescribed acceptable quality level is 40 percent.
(b) A failed vehicle is one whose final deteriorated test results
pursuant to Sec. 86.609-96(c), for one or more of the applicable
pollutants, including fuel spitback, exceed the applicable emission
standard. For the CST as described in subpart O of this part, a vehicle
fail determination is made if the final deteriorated test results for HC
and/or CO emissions from any CST exceed the applicable emission
standard.
(c) Pass/fail criteria--(1) FTP criteria. The manufacturer must test
vehicles comprising the test sample until a pass decision is reached for
all pollutants, or a fail decision is reached for one pollutant. A pass
decision is reached when the cumulative number of failed vehicles, as
defined in paragraph (b) of this section, for each pollutant is less
than or equal to the fail decision number appropriate to the cumulative
number of vehicles tested. A fail decision is reached when the
cumulative number of failed vehicles for one pollutant is greater than
or equal to the fail decision number appropriate to the cumulative
number of vehicles tested. The pass and fail decision numbers associated
with the cumulative number of vehicles tested are determined by use of
the tables in appendix XI to this part appropriate for the annual
projected sales as made by the manufacturer in its report submitted
under Sec. 600.207-80(a)(2) of this chapter (Automobile Fuel Economy
Regulations). In the tables in appendix XI to this part, sampling plan
``stage'' refers to the cumulative number of vehicles tested. Once a
pass decision has been made for a particular pollutant, the number of
vehicles whose final deteriorated test results exceed the emission
standard for that pollutant may not be considered any further for
purposes of the audit.
(2) CST criteria. A pass/fail decision is based on the CST in its
entirety rather than on a per pollutant basis. The manufacturer must
test vehicles comprising the test sample until a pass or fail decision
is reached based on CST testing. A pass decision is reached when the
cumulative number of failed vehicles, as defined in paragraph (b) of
this section, based on CST testing is less than or equal to the pass
decision number appropriate to the cumulative number of vehicles tested.
A fail decision is reached when the cumulative number of failed vehicles
based on CST testing is greater than or equal to the fail decision
number appropriate to the cumulative number of vehicles tested. The pass
and fail decision numbers associated with the cumulative number of
vehicles tested are determined by use of the tables in appendix XI to
this part appropriate for the annual projected sales as made by the
manufacturer in its report submitted under Sec. 600.207-80(a)(2) of this
chapter (Automobile Fuel Economy Regulations). In the tables in appendix
XI to this part, sampling plan ``stage'' refers to the cumulative number
of vehicles tested. Once a pass decision has been made based on CST
testing, the number of vehicles whose final deteriorated test results
exceed any of the emission standards for any CST may not be considered
any further for purposes of the audit.
(d) Passing or failing of an SEA occurs when the decision is made on
the last vehicle required to make a decision under paragraph (c) of this
section.
(e) The Administrator may terminate testing earlier than required in
paragraph (c) of this section.
[58 FR 58424, Nov. 1, 1993]
Sec. 86.610-98 Compliance with acceptable quality level and passing and
failing criteria for Selective Enforcement Audits.
(a) The prescribed acceptable quality level is 40 percent.
(b) A failed vehicle is one whose final deteriorated test results
pursuant to Sec. 86.609-98(c) exceed at least one of the applicable
emission standards associated with the test procedures pursuant to
Sec. 86.608-98(a).
(c)(1) Pass/fail criteria. The manufacturer shall test vehicles
comprising the test sample until a pass decision is reached for all of
the pollutants associated with all of the test procedures
[[Page 35]]
pursuant to Sec. 86.608-98(a) or a fail decision is reached for one of
these pollutants. A pass decision is reached when the cumulative number
of failed vehicles, as defined in paragraph (b) of this section, for
each pollutant is less than or equal to the fail decision number
appropriate to the cumulative number of vehicles tested. A fail decision
is reached when the cumulative number of failed vehicles for one
pollutant is greater than or equal to the fail decision number
appropriate to the cumulative number of vehicles tested. The pass and
fail decision numbers associated with the cumulative number of vehicles
tested are determined by use of the tables in appendix XI of this part
appropriate for the annual projected sales as made by the manufacturer
in its report submitted under Sec. 600.207-80(a)(2) of this chapter
(Automobile Fuel Economy Regulations). In the tables in appendix XI of
this part, sampling plan ``stage'' refers to the cumulative number of
vehicles tested. Once a pass decision has been made for a particular
pollutant associated with a particular test procedure pursuant to
Sec. 86.608-98(a), the number of vehicles whose final deteriorated test
results exceed the emission standard for that pollutant may not be
considered any further for purposes of the audit.
(2) CST criteria only. For CST testing pursuant to subpart O, a pass
or fail decision is determined according to the pass/fail criteria
described in paragraph (c)(1) of this section, except that for each
vehicle, the CST in its entirety is considered one pollutant.
(d) Passing or failing of an SEA audit occurs when the decision is
made on the last vehicle required to make a decision under paragraph (c)
of this section.
(e) The Administrator may terminate testing earlier than required in
paragraph (c) of this section.
[59 FR 16304, Apr. 6, 1994]
Sec. 86.612-84 Suspension and revocation of certificates of conformity.
(a) The certificate of conformity is suspended with respect to any
vehicle failing pursuant to paragraph (b) of Sec. 86.610 effective from
the time that testing of that vehicle is completed.
(b) The Administrator may suspend the certificate of conformity for
a configuration which does not pass a Selective Enforcement Audit
pursuant to paragraph Sec. 86.610(c) based on the first test, or all
tests, conducted on each vehicle. This suspension will not occur before
ten days after failure to pass the audit.
(c) If the results of vehicle testing pursuant to these regulations
indicate the vehicles of a particular configuration produced at more
than one plant do not conform to the regulations with respect to which
the certificate of conformity was issued, the Administrator may suspend
the certificate of conformity with respect to that configuration for
vehicles manufactured by the manufacturer in other plants of the
manufacturer.
(d) The Administrator will notify the manufacturer in writing of any
suspension or revocation of a certificate of conformity in whole or in
part: Except, That the certificate of conformity is immediately
suspended with respect to any vehicle failing pursuant to Sec. 86.610(a)
and as provided for in paragraph (a) of this section.
(e) The Administrator may revoke a certificate of conformity for a
configuration when the certificate has been suspended pursuant to
paragraph (b) or (c) of this section if the proposed remedy for the
nonconformity, as reported by the manufacturer to the Administrator, is
one requiring a design change(s) to the engine and/or emission control
system as described in the Application for Certification of the affected
configuration.
(f) Once a certificate has been suspended for a failed vehicle as
provided for in paragraph (a) of this section, the manufacturer must
take the following actions:
(1) Before the certificate is reinstated for that failed vehicle,
(i) Remedy the nonconformity, and
(ii) Demonstrate that the vehicle's final deteriorated test results
conform to the applicable emission standards or family particulate
emission limits, as defined in part 86 by retesting the vehicle in
accordance with these regulations.
(2) Submit a written report to the Administrator within thirty days
after
[[Page 36]]
successful completion of testing on the failed vehicle, which contains a
description of the remedy and test results for the vehicle in addition
to other information that may be required by this regulation.
(g) Once a certificate has been suspended pursuant to paragraph (b)
or (c) of this section, the manufacturer must take the following actions
before the Administrator will consider reinstating such certificate:
(1) Submit a written report to the Administrator which identifies
the reason for the noncompliance of the vehicles, describes the proposed
remedy, including a description of any proposed quality control and/or
quality assurance measures to be taken by the manufacturer to prevent
the future occurrence of the problem, and states the date on which the
remedies will be implemented, and
(2) Demonstrate that the vehicle configuration for which the
certificate of conformity has been suspended does in fact comply with
these regulations by testing vehicles selected from normal production
runs of that vehicle configuration, at the plant(s) or the facilities
specified by the Administrator, in accordance with the conditions
specified in the initial test order; except, that if the Administrator
has not revoked the certificate pursuant to paragraph (e) of this
section and if the manufacturer elects to continue testing individual
vehicles after suspension of a certificate, the certificate is
reinstated for any vehicle actually determined to have its final
deteriorated test results in conformance with the applicable standards
through testing in accordance with the applicable test procedures.
(h) Once a certificate for a failed configuration has been revoked
under paragraph (e) of this section and the manufacturer desires to
introduce into commerce a modified version of that configuration, the
following actions will be taken before the Administrator may issue a
certificate for the new configuration:
(1) If the Administrator determines that the proposed change(s) in
vehicle design may have an effect on emission performance deterioration
and/or fuel economy, he shall notify the manufacturer within 5 working
days after receipt of the report in paragraph (g) of this section
whether subsequent testing under this subpart will be sufficient to
evaluate the proposed change(s) or whether additional testing will be
required; and
(2) After implementing the change(s) intended to remedy the
nonconformity, the manufacturer shall demonstrate that the modified
vehicle configuration does in fact conform with these regulations by
testing vehicles selected from normal production runs of that modified
vehicle configuration in accordance with the conditions specified in the
initial test order. The Administrator shall consider this testing to
satisfy the testing requirements of Sec. 86.079-32 or Sec. 86.079-33 if
the Administrator had so notified the manufacturer. If the subsequent
testing results in passing of the audit, the Administrator shall reissue
or amend the certificate, if necessary, to include that configuration:
Provided, That the manufacturer has satisfied the testing requirements
specified in paragraph (h)(1) of this section. If the subsequent audit
is failed, the revocation remains in effect. Any design change approvals
under this subpart are limited to the modification of the configuration
specified by the test order.
(i) A manufacturer may at any time subsequent to an initial
suspension of a certificate of conformity with respect to a test vehicle
pursuant to paragraph (a) of this section, but not later than fifteen
(15) days or such other period as may be allowed by the Administrator
after notification of the Administrator's decision to suspend or revoke
a certificate of conformity in whole or in part pursuant to paragraph
(b), (c) or (e) of this section, request that the Administrator grant
such manufacturer a hearing as to whether the tests have been properly
conducted or any sampling methods have been properly applied.
(j) After the Administrator suspends or revokes a certificate of
conformity pursuant to this section or notifies a manufacturer of his
intent to suspend, revoke or void a certificate of conformity under
paragraph (d) of Sec. 86.084-30, and prior to the commencement of a
[[Page 37]]
hearing under Sec. 86.614, if the manufacturer demonstrates to the
Administrator's satisfaction that the decision to suspend, revoke or
void the certificate was based on erroneous information, the
Administrator shall reinstate the certificate.
(k) To permit a manufacturer to avoid storing non-test vehicles when
conducting an audit of a configuration subsequent to suspension or
revocation of the certificate of conformity for that configuration,
resulting from failure of the initial audit of that configuration, he
may request that the Administrator conditionally reinstate the
certificate for that configuration. The Administrator may reinstate the
certificate subject to the condition that the manufacturer consents to
recall all vehicles of that configuration produced from the time the
certificate is conditionally reinstated if the configuration fails the
subsequent audit and to remedy any nonconformity at no expense to the
owner.
[41 FR 31483, July 28, 1976, as amended at 43 FR 4553, Feb. 2, 1978; 49
FR 48484, Dec. 12, 1984. Redesignated at 54 FR 2123, Jan. 19, 1989]
Sec. 86.612-97 Suspension and revocation of certificates of conformity.
(a) The certificate of conformity is immediately suspended with
respect to any vehicle failing pursuant to Sec. 86.610(b) effective from
the time that testing of that vehicle is completed.
(b)(1) Selective Enforcement Audits. The Administrator may suspend
the certificate of conformity for a configuration that does not pass a
Selective Enforcement Audit pursuant to Sec. 86.610-98(c) based on the
first test, or all tests, conducted on each vehicle. This suspension
will not occur before ten days after failure to pass the audit.
(2) California Assembly-Line Quality Audit Testing. The
Administrator may suspend the certificate of conformity for a 50-state
family or configuration tested in accordance with procedures prescribed
under Sec. 86.608 that the Executive Officer has determined to be in
non-compliance with one or more applicable pollutants based on the
requirements specified in Chapter 1 or Chapter 2 of the California
Regulatory Requirements Applicable to the National Low Emission Vehicle
Program (October, 1996), if the results of vehicle testing conducted by
the manufacturer do not meet the acceptable quality level criteria
pursuant to Sec. 86.610. The California Regulatory Requirements
Applicable to the National Low Emission Vehicle Program (October, 1996)
are incorporated by reference (see Sec. 86.1). A vehicle that is tested
by the manufacturer pursuant to California Assembly-Line Quality Audit
Test Procedures, in accordance with procedures prescribed under
Sec. 86.608, and determined to be a failing vehicle will be treated as a
failed vehicle described in Sec. 86.610(b), unless the manufacturer can
show that the vehicle would not be considered a failed vehicle using the
test procedures specified in Sec. 86.608. This suspension will not occur
before ten days after the manufacturer receives written notification
that the Administrator has determined the 50-state family or
configuration exceeds one or more applicable federal standards.
(c)(1) Selective Enforcement Audits. If the results of vehicle
testing pursuant to the requirements of this subpart indicates the
vehicles of a particular configuration produced at more than one plant
do not conform to the regulations with respect to which the certificate
of conformity was issued, the Administrator may suspend the certificate
of conformity with respect to that configuration for vehicles
manufactured by the manufacturer in other plants of the manufacturer.
(2) California Assembly-Line Quality Audit Testing. If the
Administrator determines that the results of vehicle testing pursuant to
the requirements specified in Chapter 1 or Chapter 2 of the California
Regulatory Requirements Applicable to the National Low Emission Vehicle
Program (October, 1996) and the procedures prescribed in Sec. 86.608
indicate the vehicles of a particular 50-state engine family or
configuration produced at more than one plant do not conform to
applicable federal regulations with respect to which a certificate of
conformity was issued, the Administrator may suspend, pursuant to
paragraph (b)(2) of this section,
[[Page 38]]
the certificate of conformity with respect to that engine family or
configuration for vehicles manufactured in other plants of the
manufacturer. The California Regulatory Requirements Applicable to the
National Low Emission Vehicle Program (October, 1996) are incorporated
by reference (see Sec. 86.1).
(d) The Administrator will notify the manufacturer in writing of any
suspension or revocation of a certificate of conformity in whole or in
part: Except, that the certificate of conformity is immediately
suspended with respect to any vehicle failing pursuant to Sec. 86.610(b)
and as provided for in paragraph (a) of this section.
(e)(1) Selective Enforcement Audits. The Administrator may revoke a
certificate of conformity for a configuration when the certificate has
been suspended pursuant to paragraph (b)(1) or (c)(1) of this section if
the proposed remedy for the nonconformity, as reported by the
manufacturer to the Administrator, is one requiring a design change(s)
to the engine and/or emission control system as described in the
Application for Certification of the affected configuration.
(2) California Assembly-Line Quality Audit Testing. The
Administrator may revoke a certificate of conformity for an engine
family or configuration when the certificate has been suspended pursuant
to paragraph (b)(2) or (c)(2) of this section if the proposed remedy for
the nonconformity, as reported by the manufacturer to the Executive
Officer and/or the Administrator, is one requiring a design change(s) to
the engine and/or emission control system as described in the
Application for Certification of the affected engine family or
configuration.
(f) Once a certificate has been suspended for a failed vehicle as
provided for in paragraph (a) of this section, the manufacturer must
take the following actions:
(1) Before the certificate is reinstated for that failed vehicle--
(i) Remedy the nonconformity; and
(ii) Demonstrate that the vehicle's final deteriorated test results
conform to the applicable emission standards or family particulate
emission limits, as defined in this part 86 by retesting the vehicle in
accordance with the requirements of this subpart.
(2) Submit a written report to the Administrator within thirty days
after successful completion of testing on the failed vehicle, which
contains a description of the remedy and test results for the vehicle in
addition to other information that may be required by this subpart.
(g) Once a certificate has been suspended pursuant to paragraph (b)
or (c) of this section, the manufacturer must take the following actions
before the Administrator will consider reinstating such certificate:
(1) Submit a written report to the Administrator which identifies
the reason for the noncompliance of the vehicles, describes the proposed
remedy, including a description of any proposed quality control and/or
quality assurance measures to be taken by the manufacturer to prevent
the future occurrence of the problem, and states the date on which the
remedies will be implemented.
(2) Demonstrate that the engine family or configuration for which
the certificate of conformity has been suspended does in fact comply
with the requirements of this subpart by testing vehicles selected from
normal production runs of that engine family or configuration at the
plant(s) or the facilities specified by the Administrator, in accordance
with:
(i) The conditions specified in the initial test order pursuant to
Sec. 86.603 for a configuration suspended pursuant to paragraph (b)(1)
or (c)(1) of this section; or
(ii) The conditions specified in a test order pursuant to
Sec. 86.603 for an engine family or configuration suspended pursuant to
paragraph (b)(2) or (c)(2) of this section.
(3) If the Administrator has not revoked the certificate pursuant to
paragraph (e) of this section and if the manufacturer elects to continue
testing individual vehicles after suspension of a certificate, the
certificate is reinstated for any vehicle actually determined to have
its final deteriorated test results in conformance with the applicable
standards through testing in accordance with the applicable test
procedures.
[[Page 39]]
(4) In cases where the Administrator has suspended a certificate of
conformity for a 50-state engine family or configuration pursuant to
paragraph (b)(2) or (c)(2) of this section, manufacturers may request in
writing that the Administrator reinstate the certificate of an engine
family or configuration when, in lieu of the actions described in
paragraphs (g) (1) and (2) of this section, the manufacturer has agreed
to comply with Chapter 3 of the California Regulatory Requirements
Applicable to the National Low Emission Vehicle Program (October, 1996),
provided an Executive Order is in place for the engine family or
configuration. The California Regulatory Requirements Applicable to the
National Low Emission Vehicle Program (October, 1996) are incorporated
by reference (see Sec. 86.1).
(h) Once a certificate for a failed engine family or configuration
has been revoked under paragraph (e) (1) or (2) of this section and the
manufacturer desires to introduce into commerce a modified version of
that engine family or configuration, the following actions will be taken
before the Administrator may issue a certificate for the new engine
family or configuration:
(1) If the Administrator determines that the proposed change(s) in
vehicle design may have an effect on emission performance deterioration
and/or fuel economy, he/she shall notify the manufacturer within five
working days after receipt of the report in paragraph (g)(1) of this
section or after receipt of information pursuant to paragraph (g)(4) of
this section whether subsequent testing under this subpart will be
sufficient to evaluate the proposed change(s) or whether additional
testing will be required.
(2) After implementing the change(s) intended to remedy the
nonconformity, the manufacturer shall demonstrate:
(i) If the certificate was revoked pursuant to paragraph (e)(1) of
this section, that the modified vehicle configuration does in fact
conform with the requirements of this subpart by testing vehicles
selected from normal production runs of that modified vehicle
configuration in accordance with the conditions specified in the initial
test order pursuant to Sec. 86.603. The Administrator shall consider
this testing to satisfy the testing requirements of Sec. 86.079-32 or
Sec. 86.079-33 if the Administrator had so notified the manufacturer. If
the subsequent testing results in a pass decision pursuant to the
criteria in Sec. 86.610-96(c), the Administrator shall reissue or amend
the certificate, if necessary, to include that configuration: Provided,
that the manufacturer has satisfied the testing requirements specified
in paragraph (h)(1) of this section. If the subsequent audit results in
a fail decision pursuant to the criteria in Sec. 86.610(c), the
revocation remains in effect. Any design change approvals under this
subpart are limited to the modification of the configuration specified
by the test order.
(ii) If the certificate was revoked pursuant to paragraph (e)(2) of
this section, that the modified engine family or configuration does in
fact conform with the requirements of this subpart by testing vehicles
selected from normal production runs of that modified engine family or
configuration in accordance with the conditions specified in a test
order pursuant to Sec. 86.603. The Administrator shall consider this
testing to satisfy the testing requirements of Sec. 86.079-32 or
Sec. 86.079-33 if the Administrator had so notified the manufacturer. If
the subsequent testing results in a pass decision pursuant to
Sec. 86.610(c), the Administrator shall reissue or amend the certificate
as necessary: Provided, That the manufacturer has satisfied the testing
requirements specified in paragraph (h)(1) of this section. If the
subsequent testing results in a fail decision pursuant to
Sec. 86.610(c), the revocation remains in effect. Any design change
approvals under this subpart are limited to the modification of engine
family or configuration specified by the test order.
(3) In cases where the Administrator has revoked a certificate of
conformity for a 50-state engine family or configuration pursuant to
paragraph (e)(2) of this section, manufacturers may request in writing
that the Administrator reissue the certificate of an engine family or
configuration when, in lieu of the actions described in paragraphs (h)
(1) and (2) of this section, the manufacturer has complied with Chapter
3 of the California Regulatory
[[Page 40]]
Requirements Applicable to the National Low Emission Vehicle Program
(October, 1996), provided an Executive Order is in place for the engine
family or configuration. The California Regulatory Requirements
Applicable to the National Low Emission Vehicle Program (October, 1996)
are incorporated by reference (see Sec. 86.1).
(i) A manufacturer may at any time subsequent to an initial
suspension of a certificate of conformity with respect to a test vehicle
pursuant to paragraph (a) of this section, but not later than fifteen
(15) days or such other period as may be allowed by the Administrator
after notification of the Administrator's decision to suspend or revoke
a certificate of conformity in whole or in part pursuant to paragraph
(b), (c) or (e) of this section, request that the Administrator grant
such manufacturer a hearing as to whether the tests have been properly
conducted or any sampling methods have been properly applied.
(j) After the Administrator suspends or revokes a certificate of
conformity pursuant to this section or notifies a manufacturer of his
intent to suspend, revoke or void a certificate of conformity under
Sec. 86.084-30(d), and prior to the commencement of a hearing under
Sec. 86.614, if the manufacturer demonstrates to the Administrator's
satisfaction that the decision to suspend, revoke or void the
certificate was based on erroneous information, the Administrator shall
reinstate the certificate.
(k) To permit a manufacturer to avoid storing non-test vehicles when
conducting testing of an engine family or configuration subsequent to
suspension or revocation of the certificate of conformity for that
engine family or configuration pursuant to paragraph (b), (c), or (e) of
this section, the manufacturer may request that the Administrator
conditionally reinstate the certificate for that engine family or
configuration. The Administrator may reinstate the certificate subject
to the condition that the manufacturer consents to recall all vehicles
of that engine family or configuration produced from the time the
certificate is conditionally reinstated if the engine family or
configuration fails the subsequent testing and to remedy any
nonconformity at no expense to the owner.
[62 FR 31236, June 6, 1997]
Sec. 86.614-84 Hearings on suspension, revocation, and voiding of
certificates of conformity.
(a) Applicability. The procedures prescribed by this section apply
whenever a manufacturer requests a hearing under Sec. 86.084-
30(d)(6)(i), Sec. 86.084-30(d)(7), or Sec. 86.612(i).
(b) Definitions. The following definitions shall be applicable to
this section:
(1) Hearing Clerk shall mean the Hearing Clerk of the Environmental
Protection Agency.
(2) Manufacturer refers to a manufacturer contesting a suspension or
revocation order directed at the manufacturer.
(3) Party shall include the Agency and the manufacturer.
(4) Presiding Officer shall mean an Administrative Law Judge
appointed pursuant to 5 U.S.C. 3105 (see also 5 CFR part 930 as
amended).
(5) Environmental Appeals Board shall mean the Board within the
Agency described in section 1.25 of this title. The Administrator
delegates to the Environmental Appeals Board authority to issue final
decisions in appeals filed under this subpart. Appeals directed by 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.
(c) Request for public hearing. (1) If the manufacturer disagrees
with the Administrator's decision to suspend, revoke, or void a
certificate or disputes the basis for an automatic suspension under
Sec. 86.612(a), it may request a public hearing as described in this
section.
[[Page 41]]
Requests for such a hearing shall be filed with the Administrator not
later than 15 days after the Administrator's notification of his
decision to suspend or revoke 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. 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 suspension or revocation.
(2) The request for a public hearing shall contain:
(i) A statement as to which vehicle configurations or engine
families 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 vehicle configuration or engine
family or vehicle for which the manufacturer has requested the hearing:
Provided, however, That in the case of a hearing request under paragraph
Sec. 86.612(i), the hearing is restricted to the following issues:
(A) Whether tests were conducted in accordance with applicable
regulations under this part;
(B) Whether test equipment was properly calibrated and functioning;
(C) Whether sampling procedures specified in appendix XI of this
part were followed; and
(D) Whether there exists a basis for distinguishing vehicles
produced at plants other than the one from which vehicles were selected
which would invalidate the Administrator's decision under
Sec. 86.612(c);
(iii) A statement specifying reasons the manufacturer believes he
will prevail on the merits on each of the issues so raised; and
(iv) A summary of the evidence which supports the manufacturer's
position 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.
(d) Summary decision. (1) In the case of a hearing requested under
Sec. 86.612(i), when it clearly appears from the data and other
information contained in the request for a hearing that there is no
genuine and substantial question of fact with respect to the issues
specified in Sec. 86.614(c)(2)(ii), the Administrator shall enter an
order denying the request for a hearing. In addition, if the original
decision to suspend or revoke a certificate of conformity was made under
Sec. 86.612(d) prior to the decision to deny the request for a hearing,
the order denying the request will reaffirm the suspension or
revocation.
(2) In the case of a hearing requested under Sec. 86.084-
30(d)(6)(i), to challenge a proposed suspension of a certificate of
conformity for the reasons specified in Sec. 86.084-30(d)(1) (i) or
(ii), when it clearly appears from the data and other information
contained in the request for a hearing that there is no genuine and
substantial question of fact with respect to the issue of whether the
refusal to comply with the provisions of a test order or any other
requirement of Sec. 86.603 was caused by conditions and circumstances
outside the control of the manufacturer, the Administrator will enter an
order denying the request for a hearing, and suspending the certificate
of conformity.
(3) Any order issued under paragraph (d) (1) or (2) of this section
shall have the force and effect of a final decision of the
Administrator, as issued pursuant to paragraph (w)(4) of this section.
(4) If the Administrator determines that a genuine and substantial
question of fact does exist with respect to any of the issues referred
to in paragraphs (d)(1) and (2) of this section, he shall grant the
request for a hearing and publish a notice of public hearing in
accordance with paragraph (h) of this section.
(e) 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
[[Page 42]]
mailing, the documents shall be sent to the address set forth in the
notice of public hearing as described in paragraph (h) of this section.
(2) To the maximum extent possible, testimony shall be presented in
written form. Copies of written testimony shall be served upon all
parties as soon as practicable prior to the start of the hearing. 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 sent by
registered mail to: Director, Manufacturers Operations Division, U.S.
Environmental Protection Agency (EN-340), 1200 Pennsylvania Ave., NW.,
WSM, Washington, DC 20460. Service by registered mail is complete upon
mailing.
(f) 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.
(g) 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.
(h) Notice of public hearings. (1) Notice of a public hearing under
this section shall be given by publication in the Federal Register and
by such other means as the Administrator finds appropriate to provide
notice to the public. To the extent possible hearings under this section
shall be scheduled to commence within 14 days of receipt of the
application in paragraph (c) of this section.
(i) Amicus curiae. Persons not parties to the proceeding 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.
sections 554, 556 and 557 and 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 exclude irrelevant or
repetitious material;
(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;
(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 on the record of the hearing;
[[Page 43]]
(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 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: and
(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.
[[Page 44]]
If the Presiding Officer determines the motion should be granted, he
shall issue an order for the taking of such discovery together with the
conditions and terms thereof.
(4) Failure to comply with an order issued pursuant to this
paragraph may lead to the inference that the information to be
discovered would be adverse to the person or party from whom the
information was sought.
(n) Protective orders, in camera proceedings. (1) Upon motion by a
party or by the person from whom discovery is sought, and upon a showing
by the movant that the disclosure of the information to be discovered,
or a particular part thereof, (other than emission data) would result in
methods or processes entitled to protection as trade secrets of such
person being divulged, the Presiding Officer may enter a protective
order with respect to such material. Any protective order shall contain
such terms governing the treatment of the information as may be
appropriate under the circumstances to prevent disclosure outside the
hearing: Provided, That the order shall state that the material shall be
filed separately from other evidence and exhibits in the hearing.
Disclosure shall be limited to parties to the hearing, their counsel and
relevant technical consultants, and authorized representatives of the
United States concerned with carrying out the Act. Except in the case of
the government, disclosure may be limited to counsel for 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 considers
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 therefore, shall set forth the relief or order
sought, and shall be filed with the Hearing Clerk and served upon all
parties.
(2) Within such 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 45]]
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
cross-examine 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) Record. (1) Hearings shall be stenographically reported and
transcribed and the original transcripts 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, except as provided in paragraph (n) of this
section, 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.
(r) Proposed findings, conclusions. (1) Within 4 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 order, together with reasons therefor and briefs in support
thereof. Such proposals shall be in writing, shall be served upon all
parties, and shall contain adequate references to the record and
authorities relied upon.
(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.
(s) 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 14 days (or within 7 days in
the case of a hearing requested under Sec. 86.612(i)) after the period
for filing proposed findings as provided for in paragraph (r) of this
section has expired.
(2) The Presiding Officer's decision shall become the decision of
the Environmental Appeals Board (i) when no notice of intention to
appeal as described in paragraphs (t) and (u) of this section is filed,
10 days after 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 paragraphs (t) or
(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
[[Page 46]]
and conclusions, as well as the reasons or basis therefore, 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 jurisdication of the
Presiding Officer is terminated upon the issuance of his decision.
(t) 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 20 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 15 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: Provided,
however, That in the case of a hearing requested under Sec. 86.612(i),
the brief shall be restricted to the issues specified in paragraph
(c)(2)(ii) of this section;
(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 order for the Environmental Appeals Board's
consideration if different from the 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 shall be allowed only in the discretion of the
Environmental Appeals Board.
(u) Summary appeal. (1) In the case of a hearing requested under
Sec. 86.612(i), any appeal taken from the decision of the Presiding
Officer shall be conducted under this paragraph.
(2) Any party to the proceeding may appeal the Presiding Officer's
decision to the Environmental Appeals Board by filing a notice of appeal
within 10 days.
(3) The notice appeal shall be in the form of a brief, and shall
conform to the requirements of paragraph (t)(3) of this section.
(4) Within 10 days after a notice of appeal from the decision of the
Presiding Officer is filed under this paragraph, any party may file a
brief with respect to such appeal.
(5) No brief in excess of 15 pages shall be filed without leave 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 (t) or (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 the decision of the
Presiding Officer has been filed, or if filed, not perfected pursuant to
paragraph (t) or (u) of this section, may, on its own motion, within the
time limits specified in paragraph (s)(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 issues which shall be considered and shall make
provision for filing of briefs.
(w) Decision of 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
[[Page 47]]
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 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 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.
(4) Any decision rendered under this paragraph which completes
disposition of a case shall be a final decision of the Environmental
Appeals Board.
(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 final order and upon which the
petitioner had no opportunity to argue before the Presiding Officer or
the Environmental Appeals Board; Provided, however, That in the case of
a hearing requested under Sec. 86.612(i) such new questions shall be
limited to the issues specified in paragraph (c)(2)(ii) of this section.
Any party desiring to oppose such a petition shall file an 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, for any of the following reasons:
(i) Failure to state a claim upon which relief can be granted, or
direct or collateral estoppel;
(ii) The lack of any genuine issue of material fact, causing a party
to be 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 (s) 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 (t) and (u) of
this section, no appeal has been taken from the Presiding Officer's
decision, and after the expiration of the period for review by the
Environmental Appeals Board on its own motion as provided for by
paragraph (v) of this section, the Environmental Appeals Board does not
move to review such decision, the hearing will be deemed to have ended
at the expiration of all periods allowed for such appeal and review.
(2) If an appeal of the Presiding Officer's decision is taken
pursuant to paragraphs (t) and (u) of this section, or if, in the
absence of such appeal, the Environmental Appeals Board moves to
[[Page 48]]
review the decision of the Presiding Officer pursuant to paragraph (v)
of this section, the hearing will be deemed to have ended upon rendering
of a final decision by the Environmental Appeals Board.
(aa) Judicial review. (1) The Administrator hereby designates the
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.
[41 FR 31483, July 28, 1976, as amended at 43 FR 4553, Feb. 2, 1978; 44
FR 61962, Oct. 29, 1979. Redesignated and amended at 49 FR 48484, Dec.
12, 1984, and further redesignated at 54 FR 2123, Jan. 19, 1989; 57 FR
5330, Feb. 13, 1992]
Sec. 86.615-84 Treatment of confidential information.
(a) Any manufacturer may assert that some or all of the information
submitted pursuant to this subpart is entitled to confidential treatment
as provided by 40 CFR part 2, subpart B.
(b) Any claim of confidentiality must accompany the information at
the time it is submitted to EPA.
(c) To assert that information submitted pursuant to this subpart is
confidential, a manufacturer must indicate clearly the items of
information claimed confidential by marking, circling, bracketing,
stamping, or otherwise specifying the confidential information.
Furthermore, EPA requests, but does not require, that the submitter also
provide a second copy of its submittal from which all confidential
information has been deleted. If a need arises to publicly release
nonconfidential information, EPA will assume that the submitter has
accurately deleted the confidential information from this second copy.
(d) If a claim is made that some or all of the information submitted
pursuant to this subpart is entitled to confidential treatment, the
information covered by that confidentiality claim will be disclosed by
the Environmental Appeals Board only to the extent and by means of the
procedures set forth in part 2, subpart B, of this chapter.
(e) Information provided without a claim of confidentiality at the
time of submission may be made available to the public by EPA without
further notice to the submitter, in accordance with 40 CFR
2.204(c)(2)(i)(A).
[50 FR 34798, Aug. 27, 1985. Redesignated at 54 FR 2123, Jan. 19, 1989,
and amended at 57 FR 5332, Feb. 13, 1992]
Subpart H--General Provisions for In-Use Emission Regulations for 1994
and Later Model Year Light-Duty Vehicles and Light-Duty Trucks
Source: 56 FR 25781, June 5, 1991, unless otherwise noted.
Sec. 86.701-94 General applicability.
(a) The provisions of this subpart apply to: 1994 and later model
year Otto-cycle and diesel light-duty vehicles; 1994 and later model
year Otto-cycle and diesel light-duty trucks; and 1994 and later model
year Otto-cycle and diesel heavy-duty engines; and 2001 and later model
year Otto-cycle heavy-duty vehicles and engines certified under the
provisions of subpart S of this part. The provisions of subpart B of
this part apply to this subpart.
(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, light-duty trucks, and Otto-cycle heavy-duty vehicles and
engines under the provisions of subpart S of this part.
[65 FR 59957, Oct. 6, 2000]
Sec. 86.702-94 Definitions.
The definitions in subparts A and B of this part apply to this
subpart.
Sec. 86.703-94 Abbreviations.
The abbreviations in subparts A and B of this part apply to this
subpart.
[[Page 49]]
Sec. 86.704-94 Section numbering; construction.
Section Sec. 86.104 of subpart B applies to this subpart.
Secs. 86.705-94--86.707-94 [Reserved]
Sec. 86.708-94 In-use emission standards for 1994 and later model year
light-duty vehicles.
Section 86.708-94 includes text that specifies requirements that
differ from Sec. 86.090-8 of subpart A of this part. Where a paragraph
in Sec. 86.090-8 is identical and applicable to Sec. 86.708-94, this may
be indicated by specifying the corresponding paragraph and the statement
``[Reserved]. For guidance see Sec. 86.090-8.'' Where a corresponding
paragraph of Sec. 86.090-8 is not applicable, this is indicated by the
statement ``[Reserved].''
(a)(1) Standards. (i) In-use exhaust emissions from 1994 and later
model year light-duty vehicles shall meet all standards in tables H94-3
and H94-4 in the rows designated with the applicable fuel type,
according to the implementation schedules in tables H94-1 and H94-2, and
shall meet all standards in tables H94-6 and H94-7 in the rows
designated with the applicable fuel type, according to the
implementation schedules in table H94-5, as follows:
(A)(1)(i) For model years 1994 and 1995, a minimum of the percentage
shown in table H94-1 of a manufacturer's sales of the applicable model
year's light-duty vehicles shall not exceed the applicable Tier
1I standards in table H94-3. The remaining vehicles, if any,
shall not exceed the applicable Tier 0 standards in table H94-3.
(ii) For model years 1996 and beyond, a minimum of the percentages
shown in table H94-2 of a manufacturer's sales of the applicable model
year's light-duty vehicles shall not exceed the applicable Tier 1
standards in tables H94-3 and H94-4. The remaining vehicles, if any,
shall not exceed the applicable Tier 1I standards in table
H94-3.
(2) Particulates. For in-use exhaust emissions for model years 1994
and later, a minimum of the percentage shown in table H94-5 of a
manufacturer's sales of the applicable model year's light-duty vehicles
shall not exceed the applicable Tier 1 standards in tables H94-6 and
H94-7. The remaining vehicles, if any, shall not exceed the applicable
Tier 0 standards in table H94-6.
(3) Optionally, compliance with the Tier 1I and Tier 1
implementation schedules of this section may be based on the combined
sales of light-duty vehicles and light light-duty trucks, if such option
was taken for certification as allowed in Sec. 86.094-8 and Sec. 86.094-
9 of subpart A of this part. Vehicles meeting Tier 1I in-use
standards shall only be combined for this purpose with other vehicles
meeting Tier 1I standards, and those meeting Tier 1 standards
shall only be combined with those meeting the Tier 1 standards.
Table H94-1--Implementation Schedule for Light-Duty Vehicles for HCs, CO
and NOX
------------------------------------------------------------------------
Tier 1I
Model year percentage
------------------------------------------------------------------------
1994....................................................... 40
1995....................................................... 80
1996....................................................... 60
1997....................................................... 20
After 1997................................................. 0
------------------------------------------------------------------------
Table H94-2--Implementation Schedule for Light-Duty Vehicles for HCs, CO
and NOX
------------------------------------------------------------------------
Tier 1
Model year percentage
------------------------------------------------------------------------
1994....................................................... 0
1995....................................................... 0
1996....................................................... 40
1997....................................................... 80
After 1997................................................. 100
------------------------------------------------------------------------
[[Page 50]]
Table H94-3--Intermediate Useful Life\1\ Standards (g/mi) for Light-Duty Vehicles for HCs, CO and NOX
----------------------------------------------------------------------------------------------------------------
Fuel Standards THC NMHC THCE NMHCE CO NOX
----------------------------------------------------------------------------------------------------------------
Gasoline........................... Tier 0................ 0.41 ...... ...... ........... 3.4 1.0
Gasoline........................... Tier 1I............... 0.41 0.32 ...... ........... 3.4 0.4
Gasoline........................... Tier 1................ 0.41 0.25 ...... ........... 3.4 0.4
Diesel............................. Tier 0................ 0.41 ...... ...... ........... 3.4 1.0
Diesel............................. Tier 1I............... 0.41 0.32 ...... ........... 3.4 1.0
Diesel............................. Tier 1................ 0.41 0.25 ...... ........... 3.4 1.0
Methanol........................... Tier 0................ ...... ...... 0.41 ........... 3.4 1.0
Methanol........................... Tier 1I............... ...... ...... 0.41 0.32 3.4 0.4
Methanol........................... Tier 1................ ...... ...... 0.41 0.25 3.4 0.4
Natural Gas........................ Tier 0................ ...... 0.34 ...... ........... 3.4 1.0
Natural Gas........................ Tier 1I............... ...... 0.32 ...... ........... 3.4 0.4
Natural Gas........................ Tier 1................ ...... 0.25 ...... ........... 3.4 0.4
LPG................................ Tier 0................ 0.41 ...... ...... ........... 3.4 1.0
LPG................................ Tier 1I............... 0.41 0.32 ...... ........... 3.4 0.4
LPG................................ Tier 1................ 0.41 0.25 ...... ........... 3.4 0.4
----------------------------------------------------------------------------------------------------------------
\1\ The applicable useful life is 5 years or 50,000 miles, whichever first occurs.
Table H94-4--Full Useful Life \1\ Standards (g/mi) for Light-Duty Vehicles for HCs, CO and NOX
----------------------------------------------------------------------------------------------------------------
Fuel Standards THC NMHC THCE NMHCE CO NOX
----------------------------------------------------------------------------------------------------------------
Gasoline........................... Tier 0................ ...... ...... ...... ........... ...... ......
Gasoline........................... Tier 1................ ...... 0.31 ...... ........... 4.2 0.60
Diesel............................. Tier 0................ ...... ...... ...... ........... ...... ......
Diesel............................. Tier 1................ ...... 0.31 ...... ........... 4.2 1.25
Methanol........................... Tier 0................ ...... ...... ...... ........... ...... ......
Methanol........................... Tier 1................ ...... ...... ...... 0.31 4.2 0.60
Natural Gas........................ Tier 0................ ...... ...... ...... ........... ...... ......
Natural Gas........................ Tier 1................ ...... 0.31 ...... ........... 4.2 0.60
LPG................................ Tier 0................ ...... ...... ...... ........... ...... ......
LPG................................ Tier 1................ ...... 0.31 ...... ........... 4.2 0.60
----------------------------------------------------------------------------------------------------------------
\1\ The applicable useful life is 10 years or 100,000 miles, whichever first occurs, except that no enforcement
testing will be done beyond 7 years or 75,000 miles, whichever first occurs.
Table H94-5--Implementation Schedule for Light-Duty Vehicles for PM
------------------------------------------------------------------------
Tier 1
Model year percentage
------------------------------------------------------------------------
1994....................................................... 40
1995....................................................... 80
After 1995................................................. 100
------------------------------------------------------------------------
Table H94-6--Intermediate Useful Life \1\ Standards (g/mi) for Light-
Duty Vehicles for PM
------------------------------------------------------------------------
Fuel Standards PM
------------------------------------------------------------------------
Gasoline............................... Tier 0.................. .....
Gasoline............................... Tier 1.................. 0.08
Diesel................................. Tier 0.................. 0.20
Diesel................................. Tier 1.................. 0.08
Methanol............................... Tier 0.................. \2\ 0
.20
Methanol............................... Tier 1.................. 10.08
Natural Gas............................ Tier 0.................. \2\ 0
.20
Natural Gas............................ Tier 1.................. 0.08
LPG.................................... Tier 0.................. \2\ 0
.20
LPG.................................... Tier 1.................. 0.08
------------------------------------------------------------------------
\1\ The applicable useful life is 5 years or 50,000 miles, whichever
first occurs.
\2\ Applicable only to diesel-cycle vehicles.
Table H94-7--Full Useful Life \1\ Standards (g/mi) for Light-Duty
Vehicles for PM
------------------------------------------------------------------------
Fuel Standards PM
------------------------------------------------------------------------
Gasoline.............................. Tier 0.................. ......
Gasoline.............................. Tier 1.................. 0.10
Diesel................................ Tier 0.................. ......
[[Page 51]]
Diesel................................ Tier 1.................. 0.10
Methanol.............................. Tier 0.................. ......
Methanol.............................. Tier 1.................. 0.10
Natural Gas........................... Tier 0.................. ......
Natural Gas........................... Tier 1.................. 0.10
LPG................................... Tier 0.................. ......
LPG................................... Tier 1.................. 0.10
------------------------------------------------------------------------
\1\ The applicable useful life is 10 years or 100,000 miles, whichever
first occurs, except that no enforcement testing will be done beyond 7
years or 75,000 miles, whichever first occurs.
(B)(1)(i) Sales percentages for the purposes of determining
compliance with paragraph (a)(1)(i) of this section shall be based on
total actual U.S. sales of light-duty vehicles of the applicable model
year by a manufacturer to a dealer, distributor, fleet operator, broker,
or any other entity which comprises the point of first sale. If the
option of paragraph (a)(1)(i)(A)(3) is taken, such sales percentages
shall be based on the total actual combined U.S. sales of light-duty
vehicles and light light-duty trucks of the applicable model year by a
manufacturer to a dealer, distributor, fleet operator, broker, or any
other entity which comprises the point of first sale.
(ii) The manufacturer may petition the Administrator to allow actual
volume produced for U.S. sales to be used in lieu of actual U.S. sales
for purposes of determining compliance with the implementation schedule
sales percentages of tables H94-1, H94-2 and H94-5 of this section. Such
petition shall be submitted within 30 days of the end of the model year
to the Manufacturers Operations Division. For the petition to be
granted, the manufacturer must establish to the satisfaction of the
Administrator that actual production volume is functionally equivalent
to actual sales volume.
(iii) The vehicles that are counted toward the implementation
schedule sales percentage, or toward the total on which such percentage
is based, for certification purposes as prescribed by Sec. 86.094-8
(a)(1)(i)(B)(1)(iii) of subpart A of this part, shall be the same
vehicles that are counted toward the implementation schedule sales
percentage, or the total on which it is based, for in-use purposes.
(iv) Small volume manufacturers, as defined in Sec. 86.092-14 (b)
(1) and (2), are exempt from the implementation schedules of tables H94-
1 and H94-2 of this section for model years 1994 through 1997, and from
the implementation schedule of table H94-5 of this section for model
years 1994 and 1995. For small volume manufacturers, Tier 0 standards of
table H94-6 continue to apply until model year 1996 and Tier 0 standards
of table H94-3 continue to apply until model year 1998, when one hundred
percent compliance with the Tier 1 standards of tables H94-3, H94-4,
H94-6, and H94-7 is required. This exemption does not apply to small
volume engine families as defined in Sec. 86.092-14 (b)(5).
(2)(i) For 1994 and 1995 model year light-duty vehicles, the engine
families which comprise the required implementation schedule percentage
of sales meeting Tier 1 standards for HCs, CO, and NOX, for
purposes of certification, shall be the same engine families which
comprise the required implementation schedule percentage of sales
meeting the interim in-use standards (labeled ``Tier 1I'' in
the tables of in-use standards) for in-use purposes.
(ii) For 1996 and 1997 model year light-duty vehicles the engine
families which comprise the required implementation schedule percentage
of sales meeting interim in-use standards (labeled ``Tier
1I'' in the tables of in-use standards) and final in-use
standards (labeled ``Tier 1'' in the tables of in-use standards)
respectively, for HCs, CO, and NOX, for in-use purposes,
shall be designated by the manufacturer at the time of Application for
Certification.
(iii) For 1994 and 1995 model year light-duty vehicles, the engine
families
[[Page 52]]
which comprise the required implementation schedule percentage of sales
meeting Tier 1 standards, for PM, for purposes of certification, shall
be the same engine families which comprise the required implementation
schedule percentage of sales meeting the final in-use standards (labeled
``Tier 1'' in the tables of in-use standards) for PM for in-use
purposes.
(3) The manufacturer must state at the time of Application for
Certification, based on projected U.S. sales or projected production for
U.S. sale, which families will be used to attain the required
implementation schedule sales percentages for in-use purposes.
(4) A manufacturer cannot use one set of engine families to meet its
in-use intermediate useful life standards and another to meet its in-use
full useful life standards. The same families which are used to meet the
intermediate useful life standards will be required without deviation to
meet the corresponding full useful life standards.
(ii) Engine families participating in the particulate averaging
program as specified in Sec. 86.094-8 (a)(1)(ii) shall be subject, for
purposes of in-use compliance, to the particulate family emission limit
determined for that engine family for certification purposes, in lieu of
the appropriate particulate standard shown in the tables of in-use
standards in this section.
(iii) CST emissions from model year 1996 and later gasoline-fueled
Otto-cycle light-duty vehicles measured and calculated in accordance
with subpart O of this part may not exceed the standards listed in
paragraphs (a)(1)(iii) (A) and (B) of this section.
(A) Hydrocarbons: 220 ppm as hexane.
(B) Carbon monoxide: 1.2 percent.
(2) The standards set forth in paragraph (a)(1)(i) of this section
refer to the exhaust emitted over a driving schedule as set forth in
subpart B of this part and measured and calculated in accordance with
those procedures. The test weight basis for light-duty vehicles, for the
purposes of determining equivalent test weight as prescribed in
Sec. 86.129-94, shall be loaded vehicle weight.
(3) The standards set forth in paragraph (a)(1)(iii) of this section
refer to the exhaust emitted during the CST as set forth in subpart O of
this part and measured and calculated in accordance with those
provisions.
(b) The provisions of Sec. 86.090-8(b) through (h) of subpart A of
this part apply to this section. The provisions of Sec. 86.096-8(i)
through (k) of subpart A of this part apply to this section.
[56 FR 25781, June 5, 1991, as amended at 57 FR 31922, July 17, 1992; 58
FR 33211, June 16, 1993; 58 FR 58424, Nov. 1, 1993; 59 FR 33913, July 1,
1994; 59 FR 48515, Sept. 21, 1994]
Sec. 86.708-98 In-use emission standards for 1998 and later model year
light-duty vehicles.
Section 86.708-98 includes text that specifies requirements that
differ from Sec. 86.090-8 of subpart A of this part. Where a paragraph
in Sec. 86.090-8 is identical and applicable to Sec. 86.708-98, this may
be indicated by specifying the corresponding paragraph and the statement
``[Reserved]. For guidance see Sec. 86.090-8.'' Where a corresponding
paragraph of Sec. 86.090-8 is not applicable, this is indicated by the
statement ``[Reserved].''
(a)(1)(i) In-use exhaust emissions from 1998 and later model year
light-duty vehicles shall meet all standards in tables H98-1 and H98-2
in the rows designated with the applicable fuel type.
Table H98-1--Intermediate Useful Life \1\ Standards (g/mi) for Light-Duty Vehicles
----------------------------------------------------------------------------------------------------------------
Fuel THC NMHC THCE NMHCE CO NOX PM
----------------------------------------------------------------------------------------------------------------
Gasoline........................................... 0.41 0.25 ...... ........... 3.4 0.4 0.08
Diesel............................................. 0.41 0.25 ...... ........... 3.4 1.0 0.08
Methanol........................................... ...... ...... 0.41 0.25 3.4 0.4 0.08
Natural Gas........................................ ...... 0.25 ...... ........... 3.4 0.4 0.08
LPG................................................ 0.41 0.25 ...... ........... 3.4 0.4 0.08
----------------------------------------------------------------------------------------------------------------
\1\ The applicable useful life is 5 years or 50,000 miles, whichever first occurs.
[[Page 53]]
Table H98-2--Full Useful Life \1\ Standards (g/mi) for Light-Duty Vehicles
----------------------------------------------------------------------------------------------------------------
Fuel THC NMHC THCE NMHCE CO NOX PM
----------------------------------------------------------------------------------------------------------------
Gasoline........................................... ...... 0.31 ...... ........... 4.2 0.6 0.10
Diesel............................................. ...... 0.31 ...... ........... 4.2 1.25 0.10
Methanol........................................... ...... ...... ...... 0.31 4.2 0.6 0.10
Natural Gas........................................ ...... 0.31 ...... ........... 4.2 0.6 0.10
LPG................................................ ...... 0.31 ...... ........... 4.2 0.6 0.10
----------------------------------------------------------------------------------------------------------------
\1\ The applicable useful life is 10 years or 100,000 miles, whichever first occurs, except that no enforcement
testing will be done beyond 7 years or 75,000 miles, whichever first occurs.
(ii)(A) Vehicles subject to the standards of paragraph (a)(1)(i) of
this section shall be all actual U.S. sales of light-duty vehicles of
the applicable model year by a manufacturer.
(B) A manufacturer cannot use one set of engine families to meet its
in-use intermediate useful life standards and another to meet its in-use
full useful life standards. The same families which are used to meet the
intermediate useful life standards will be required without deviation to
meet the corresponding full useful life standards.
(iii) CST emissions from gasoline-fueled Otto-cycle light-duty
vehicles measured and calculated in accordance with subpart O of this
part may not exceed the standards listed in paragraphs (a)(1)(iii) (A)
and (B) of this section.
(A) Hydrocarbons: 220 ppm as hexane.
(B) Carbon monoxide: 1.2 percent.
(2) The standards set forth in paragraph (a)(1) of this section
refer to the exhaust emitted over a driving schedule as set forth in
subpart B of this part and measured and calculated in accordance with
those procedures. The test weight basis for light-duty vehicles, for the
purposes of determining equivalent test weight as prescribed in
Sec. 86.129-94, shall be loaded vehicle weight.
(3) The standards set forth in paragraph (a)(1)(iii) of this section
refer to the exhaust emitted during the CST as set forth in subpart O of
this part and measured and calculated in accordance with those
provisions.
(b) The provisions of Sec. 86.090-8 (b) through (h) of subpart A of
this part apply to this section. The provisions of Sec. 86.096-8 (i)
through (j) of subpart A of this part apply to this section.
[56 FR 25781, June 5, 1991, as amended at 58 FR 58424, Nov. 1, 1993; 59
FR 33913, July 1, 1994; 59 FR 48516, Sept. 21, 1994]
Sec. 86.709-94 In-use emission standards for 1994 and later model year light-duty trucks.
Section 86.709-94 includes text that specifies requirements that
differ from Sec. 86.091-9 of subpart A of this part. Where a paragraph
in Sec. 86.091-9 is identical and applicable to Sec. 86.709-94, this may
be indicated by specifying the corresponding paragraph and the statement
``[Reserved]. For guidance see Sec. 86.091-9.'' Where a corresponding
paragraph of Sec. 86.091-9 is not applicable, this is indicated by the
statement ``[Reserved].''
(a)(1) Standards--(i) Light light-duty trucks. In-use exhaust
emissions from 1994 and later model year light light-duty trucks shall
meet all standards in tables H94-9 and H94-10 in the rows designated
with the applicable fuel type and loaded vehicle weight, according to
the implementation schedule in table H94-8, and shall meet all standards
in tables H94-12 and H94-13 in the rows designated with the applicable
fuel type and loaded vehicle weight, according to the implementation
schedules in table H94-11, as follows:
(A)(1)(i) For model year 1994 and 1995, a minimum of the respective
percentages shown in the Tier 1I column of table H94-8 of a
manufacturer's sales of the applicable model year's light light-duty
trucks shall not exceed the applicable Tier 1I standards in
tables H94-9 and H94-10. The remaining vehicles, if any, shall not
exceed the applicable Tier 0 standards in tables H94-9 and H94-10.
(ii) For model years 1996 and 1997, a minimum of the percentages
shown in the Tier 1 percentage column of table H94-8 of a manufacturer's
sales of the applicable model year's light light-duty trucks shall not
exceed the applicable Tier 1 standards in table H94-9 and H94-10, and
the remaining vehicles,
[[Page 54]]
if any, shall not exceed the applicable Tier 1I standards in
tables H94-9 and H94-10.
(iii) For model year 1998 and beyond, a minimum of the percentage
shown in the Tier 1 percentage column of table H94-8 of a manufacturer's
sales of the applicable model year's light light-duty trucks shall not
exceed the applicable Tier 1 standards in tables H94-9 and H94-10.
(2) Particulates. For in-use exhaust emissions for 1994 and later, a
minimum of the percentage shown in table H94-11 of a manufacturer's
sales of the applicable model year's light light-duty trucks shall not
exceed the applicable Tier 1 standards in tables H94-12 and H94-13. The
remaining light light-duty trucks, if any, shall not exceed the
applicable Tier 0 standards in tables H94-12 and H94-13.
(3) Optionally, compliance with the Tier 1I and Tier 1
implementation schedules of this section may be based on the combined
sales of light-duty vehicles and light light-duty trucks, if such option
was taken for certification as allowed in Sec. 86.094-8 and Sec. 86.094-
9 of subpart A of this part. Vehicles meeting Tier 1I in-use
standards shall only be combined for this purpose with other vehicles
meeting Tier 1I standards, and those meeting Tier 1 standards
shall only be combined with those meeting the Tier 1 standards.
Table H94-8--Implementation Schedule for Light Light-Duty Trucks for
HCs, CO and NOX
------------------------------------------------------------------------
Tier 1I Tier 1
Model year percentage percentage
------------------------------------------------------------------------
1994.......................................... 40 0
1995.......................................... 80 0
1996.......................................... 60 40
1997.......................................... 20 80
1998.......................................... 0 100
------------------------------------------------------------------------
Table H94-9--Intermediate Useful Life \1\ Standards (g/mi) for Light Light-Duty Trucks for HCs, CO and NOX
--------------------------------------------------------------------------------------------------------------------------------------------------------
Fuel LVW (lbs) Standards THC NMHC THCE NMHCE CO NOX
--------------------------------------------------------------------------------------------------------------------------------------------------------
Gasoline................................... 0-3750 Tier 0.................... 0.80 ......... ......... ......... 10 1.2
Gasoline................................... 0-3750 Tier 1.................... 0.80 0.32 ......... ......... 5.2 0.4
Gasoline................................... 0-3750 Tier 1.................... 0.80 0.25 ......... ......... 3.4 0.4
Gasoline................................... 3751-5750 Tier 0.................... 0.80 ......... ......... ......... 10 1.7
Gasoline................................... 3751-5750 Tier 11................... 0.80 0.41 ......... ......... 6.7 0.7
Gasoline................................... 3751-5750 Tier 1.................... 0.80 0.32 ......... ......... 4.4 0.7
Diesel..................................... 0-3750 Tier 0.................... 0.80 ......... ......... ......... 10 1.2
Diesel..................................... 0-3750 Tier 11................... 0.80 0.32 ......... ......... 5.2 1.2
Diesel..................................... 0-3750 Tier 1.................... 0.80 0.25 ......... ......... 3.4 1.0
Diesel..................................... 3751-5750 Tier 0.................... 0.80 ......... ......... ......... 10 1.7
Diesel..................................... 3751-5750 Tier 11................... 0.80 0.41 ......... ......... 6.7 1.7
Diesel..................................... 3751-5750 Tier 1.................... 0.80 0.32 ......... ......... 4.4 0.97
Methanol................................... 0-3750 Tier 0.................... ......... ......... 0.80 ......... 10 1.2
Methanol................................... 0-3750 Tier 11................... ......... ......... 0.80 0.32 5.2 0.4
Methanol................................... 0-3750 Tier 1.................... ......... ......... 0.80 0.25 3.4 0.4
Methanol................................... 3751-5750 Tier 0.................... ......... ......... 0.80 ......... 10 1.7
Methanol................................... 3751-5750 Tier 11................... ......... ......... 0.80 0.41 6.7 0.7
Methanol................................... 3751-5750 Tier 1.................... ......... ......... 0.80 0.32 4.4 0.7
Natural Gas................................ 0-3750 Tier 0.................... ......... 0.67 ......... ......... 10 1.2
Natural Gas................................ 0-3750 Tier 11................... ......... 0.32 ......... ......... 5.2 0.4
Natural Gas................................ 0-3750 Tier 1.................... ......... 0.25 ......... ......... 3.4 0.4
Natural Gas................................ 3751-5750 Tier 0.................... ......... 0.67 ......... ......... 10 1.7
Natural Gas................................ 3751-5750 Tier 11................... ......... 0.41 ......... ......... 6.7 0.7
Natural Gas................................ 3751-5750 Tier 1.................... ......... 0.32 ......... ......... 4.4 0.7
LPG........................................ 0-3750 Tier 0.................... 0.80 ......... ......... 10 1.2
LPG........................................ 0-3750 Tier 11................... 0.80 0.32 ......... ......... 5.2 0.4
LPG........................................ 0-3750 Tier 1.................... 0.80 0.25 ......... ......... 3.4 0.4
LPG........................................ 3751-5750 Tier 0.................... 0.80 ......... ......... 10 1.7
LPG........................................ 3751-5750 Tier 11................... 0.80 0.41 ......... 6.7 0.7
LPG........................................ 3751-5750 Tier 1.................... 0.80 0.32 ......... ......... 4.4 0.7
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ The applicable useful life is 5 years or 50,000 miles, whichever first occurs.
[[Page 55]]
Table H94-10--Full Useful Life Standards (g/mi) for Light Light-Duty Trucks for HCs, CO and NOX
--------------------------------------------------------------------------------------------------------------------------------------------------------
Fuel LVW (lbs) Standards THC\2\ NMHC\1\ THCE\2\ NMHCE\1\ CO\1\ NOX\1\
--------------------------------------------------------------------------------------------------------------------------------------------------------
Gasoline................................... 0-3750 Tier 0.................... 0.80 ......... ......... ......... 10 1.2
Gasoline................................... 0-3750 Tier 1.................... 0.80 0.31 ......... ......... 4.2 0.60
Gasoline................................... 3751-5750 Tier 0.................... 0.80 ......... ......... ......... 10 1.7
Gasoline................................... 3751-5750 Tier 1.................... 0.80 0.40 ......... ......... 5.5 0.97
Diesel..................................... 0-3750 Tier 0.................... 0.80 ......... ......... ......... 10 1.2
Diesel..................................... 0-3750 Tier 1.................... 0.80 0.31 ......... ......... 4.2 1.25
Diesel..................................... 3751-5750 Tier 0.................... 0.80 ......... ......... ......... 10 1.7
Diesel..................................... 3751-5750 Tier 1.................... 0.80 0.40 ......... ......... 5.5 0.97
Methanol................................... 0-3750 Tier 0.................... ......... ......... 0.80 ......... 10 1.2
Methanol................................... 0-3750 Tier 1.................... ......... ......... 0.80 0.31 4.2 0.60
Methanol................................... 3751-5750 Tier 0.................... ......... ......... 0.80 ......... 10 1.7
Methanol................................... 3751-5750 Tier 1.................... ......... ......... 0.80 0.40 5.5 0.97
Natural Gas................................ 0-3750 Tier 0.................... 2.93 0.67 ......... ......... 10 1.2
Natural Gas................................ 0-3750 Tier 1.................... 2.93 0.31 ......... ......... 4.2 0.60
Natural Gas................................ 3751-5750 Tier 0.................... 2.93 0.67 ......... ......... 10 1.7
Natural Gas................................ 3751-5750 Tier 1.................... 2.93 0.40 ......... ......... 5.5 0.97
LPG........................................ 0-3750 Tier 0.................... 0.80 ......... ......... ......... 10 1.2
LPG........................................ 0-3750 Tier 1.................... 0.80 0.31 ......... ......... 4.2 0.60
LPG........................................ 3751-5750 Tier 0.................... 0.80 ......... ......... ......... 10 1.7
LPG........................................ 3751-5750 Tier 1.................... 0.08 0.40 ......... ......... 5.5 0.97
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ The applicable useful life is 10 years or 100,000 miles, which ever first occurs, except that no enforcement testing will be done beyond 7 years or
75,000 miles, whichever first occurs.
\2\ The applicable useful life is 11 years or 120,000 miles, whichever first occurs.
Table H94-11--Implementation Schedule for Light Light-Duty Trucks for PM
------------------------------------------------------------------------
Tier 1
Model year percentage
------------------------------------------------------------------------
1994....................................................... 0%
1995....................................................... 40%
1996....................................................... 80%
after 1996................................................. 100%
------------------------------------------------------------------------
Table H94-12--Intermediate Useful Life \1\ Standards (g/mi) for Light
Light-Duty Trucks for PM
------------------------------------------------------------------------
Fuel LVW (lbs) Standards PM
------------------------------------------------------------------------
Gasoline...................... 0-3750 Tier 0......... .........
Gasoline...................... 0-3750 Tier 1......... 0.08
Gasoline...................... 3751-5750 Tier 0......... .........
Gasoline...................... 3751-5750 Tier 1......... 0.08
Diesel........................ 0-3750 Tier 0......... 0.26
Diesel........................ 0-3750 Tier 1......... 0.08
Diesel........................ 3751-5750 Tier 0......... 0.13
Diesel........................ 3751-5750 Tier 1......... 0.08
Methanol...................... 0-3750 Tier 0......... .........
Methanol...................... 0-3750 Tier 1......... 0.08
Methanol...................... 3751-5750 Tier 0......... .........
Methanol...................... 3751-5750 Tier 1......... 0.08
Natural Gas................... 0-3750 Tier 0......... \2\ 0.26
Natural Gas................... 0-3750 Tier 1......... 0.08
Natural Gas................... 3751-5750 Tier 0......... \2\ 0.13
Natural Gas................... 3751-5750 Tier 1......... 0.08
LPG........................... 0-3750 Tier 0......... \2\ 0.26
LPG........................... 0-3750 Tier 1......... 0.08
LPG........................... 3751-5750 Tier 0......... \2\ 0.13
LPG........................... 3751-5750 Tier 1......... 0.08
------------------------------------------------------------------------
\1\ The applicable useful life is 5 years or 50,000 miles, whichever
first occurs.
\2\ Applicable only to diesel-cycle vehicles.
Table H94-13--Full Useful Life \1\ Standards (g/mi) for Light Light-Duty
Trucks for PM
------------------------------------------------------------------------
Fuel LVW (lbs) Standards PM
------------------------------------------------------------------------
Gasoline...................... 0-3750 Tier 0........ ..........
Gasoline...................... 0-3750 Tier 1........ 0.10
Gasoline...................... 3751-5750 Tier 0........ ..........
[[Page 56]]
Gasoline...................... 3751-5750 Tier 1........ 0.10
Diesel........................ 0-3750 Tier 0........ 0.26
Diesel........................ 0-3750 Tier 1........ 0.10
Diesel........................ 3751-5750 Tier 0........ 0.13
Diesel........................ 3751-5750 Tier 1........ 0.10
Methanol...................... 0-3750 Tier 0........ ..........
Methanol...................... 0-3750 Tier 1........ 0.10
Methanol...................... 3751-5750 Tier 0........ ..........
Methanol...................... 3751-5750 Tier 1........ 0.10
Natural Gas................... 0-3750 Tier 0........ \2\ 0.26
Natural Gas................... 0-3750 Tier 1........ 0.10
Natural Gas................... 3751-5750 Tier 0........ \2\ 0.13
Natural Gas................... 3751-5750 Tier 1........ 0.10
LPG........................... 0-3750 Tier 0........ \2\ 0.26
LPG........................... 0-3750 Tier 1........ 0.10
LPG........................... 3751-5750 Tier 0........ \2\ 0.13
LPG........................... 3751-5750 Tier 1........ 0.10
------------------------------------------------------------------------
\1\ The applicable useful life is 10 years or 100,000 miles, whichever
first occurs, except that no enforcement testing will be done beyond 7
years or 75,000 miles, whichever first occurs.
\2\ Applicable only to diesel-cycle vehicles.
(B)(1)(i) Sales percentages for the purposes of determining
compliance with paragraph (a)(1)(i)(A) of this section shall be based on
total actual U.S. sales of light-duty vehicles of the applicable model
year by a manufacturer to a dealer, distributor, fleet operator, broker,
or any other entity which comprises the point of first sale. If the
option of paragraph (a)(1)(i)(A)(3) is taken, such sales percentages
shall be based on the total actual combined U.S. sales of light-duty
vehicles and light light-duty trucks of the applicable model year by a
manufacturer to a dealer, distributor, fleet operator, broker, or any
other entity which comprises the point of first sale.
(ii) The manufacturer may petition the Administrator to allow actual
volume produced for U.S. sale to be used in lieu of actual U.S. sales
for purposes of determining compliance with the implementation schedule
sales percentages of tables H94-8 and H94-11 of this section. Such
petition shall be submitted within 30 days of the end of the model year
to the Manufacturers Operations Division. For the petition to be
granted, the manufacturer must establish to the satisfaction of the
Administrator that actual production volume is functionally equivalent
to actual sales volume.
(iii) The vehicles that are counted toward the implementation
schedule sales percentage, or toward the total on which such percentage
is based, for certification purposes as prescribed by Sec. 86.094-
9(a)(1)(i)(B)(1)(iii) of subpart A of this part, shall be the same
vehicles that are counted toward the implementation schedule sales
percentage, or the total on which it is based, for in-use purposes.
(iv) Small volume manufacturers, as defined in Sec. 86.092-14(b) (1)
and (2), are exempt from the implementation schedules of table H94-8 of
this section for model years 1994 through 1997 and from the
implementation schedules of table H94-11 of this section for model years
1995 and 1996. For small volume manufacturers, Tier 0 standards of
tables H94-9 and H94-10 continue to apply until model year 1998 and the
Tier 0 standards of tables H94-12 and H94-13 continue to apply until
model year 1997, when one hundred percent compliance with the Tier 1
standards of such tables is required. This exemption does not apply to
small volume engine families as defined in Sec. 86.092-14 (b)(5).
(2)(i) For 1994 and 1995 model year light light-duty trucks, the
engine families which comprise the required implementation schedule
percentage of sales meeting Tier 1 standards for HCs, CO, and
NOX, for purposes of certification, shall be the same engine
families which comprise the required implementation schedule percentage
of sales meeting the interim in-use standards
[[Page 57]]
(labeled ``Tier 1I'' in the tables of in-use standards) for
in-use purposes.
(ii) For 1996 and 1997 model year light light-duty trucks, the
engine families which comprise the required implementation schedule
percentage of sales meeting interim in-use standards (labeled ``Tier
1I'' in the tables of in-use standards) and final in-use
standards (labeled ``Tier 1'' in the tables of in-use standards)
respectively, for HCs, CO, and NOX, for in-use purposes,
shall be designated by the manufacturer at the time of certification.
(iii) For 1995 and 1996 model year light light-duty trucks, the
engine families which comprise the required implementation schedule
percentage of sales meeting Tier 1 standards, for PM, for purposes of
certification, shall be the same engine families which comprise the
required implementation schedule percentage of sales meeting the final
in-use standards (labeled ``Tier 1'' in the tables of in-use standards)
for PM for in-use purposes.
(3) The manufacturer must state at the time of Application for
Certification, based on projected U.S. sales or projected production for
U.S. sale, which families will be used to attain the required
implementation schedule sales percentages for in-use purposes.
(4) A manufacturer can not use one set of engine families to meet
its in-use intermediate useful life standards and another to meet its
in-use full useful life standards. The same families which are used to
meet the intermediate useful life standards will be required without
deviation to meet the corresponding full useful life standards.
(ii) Heavy light-duty trucks. In-use exhaust emissions from 1994 and
later model year heavy light-duty trucks shall meet all standards in
tables H94-15 and H94-16 in the rows designated with the applicable fuel
type and loaded vehicle weight or adjusted loaded vehicle weight, as
applicable, according to the implementation schedule in table H94-14,
and shall meet all standards in tables H94-18 and H94-19 in the rows
designated with the applicable fuel type and loaded vehicle weight or
adjusted loaded vehicle weight, as applicable, according to the
implementation schedules in table H94-17, as follows:
(A)(1)(i) For model years 1994 through 1997, a minimum of the
percentage shown in the Tier 1I column of table H94-14 of a
manufacturer's sales of the applicable model year's heavy light-duty
trucks shall not exceed the applicable Tier 1I standards in
tables H94-15 and H94-16. The remaining vehicles, if any, shall not
exceed the applicable Tier 0 standards in tables H94-15 and H94-16.
(ii) For model year 1998, a minimum of the percentage shown in table
H94-14 of a manufacturer's sales of the applicable model year's heavy
light-duty trucks shall not exceed the applicable Tier 1 standards in
tables H94-15 and H94-16. The remaining vehicles shall not exceed the
applicable Tier 1I standards in tables H94-15 and H94-16.
(iii) For model years 1999 and later, a minimum of the percentage
shown in table H94-14 of a manufacturer's sales of the applicable model
year's heavy light-duty trucks shall not exceed the applicable Tier 1
standards in tables H94-15 and H94-16.
(2) Particulates. For in-use exhaust emissions for model year 1994
and later, a minimum of the percentage shown in table H94-17 of a
manufacturer's sales of the applicable model year's heavy light-duty
trucks shall not exceed the applicable Tier 1 standards in tables H94-18
and H94-19. The remaining heavy light-duty trucks, if any, shall not
exceed the applicable Tier 0 standards in tables H94-18 and H94-19.
Table H94-14--Implementation Schedule for Heavy Light-Duty Trucks for
HCs, CO and NOX
------------------------------------------------------------------------
Tier 1I Tier 1
Model year percentage percentage
------------------------------------------------------------------------
1994.......................................... 0% 0%
1995.......................................... 0% 0%
1996.......................................... 50% 0%
1997.......................................... 100% 0%
1998.......................................... 50% 50%
[[Page 58]]
after 1998.................................... 0% 100%
------------------------------------------------------------------------
Table H94-15--Intermediate Useful Life \1\ Standards (g/mi) for Heavy Light-Duty Trucks for HCs, CO and NOX
--------------------------------------------------------------------------------------------------------------------------------------------------------
ALVW
Fuel LVW (lbs) (lbs) Standards THC NMHC THCE NMHCE CO NOX
--------------------------------------------------------------------------------------------------------------------------------------------------------
Gasoline................................... 0-3750 ......... Tier 0................... 0.80 ......... ......... ......... 10 1.2
Gasoline................................... ......... Tier 0................... 0.80 ......... ......... ......... 10 1.7
3750
Gasoline................................... ........... 3751-5750 Tier 1I.................. 0.80 0.40 ......... ......... 5.5 0.88
Gasoline................................... ........... 3751-5750 Tier 1................... 0.80 0.32 ......... ......... 4.4 0.7
Gasoline................................... ........... I.................. 0.80 0.49 ......... ......... 6.2 1.38
q5750
Gasoline................................... ........... ......... Tier 0................... 0.80 ......... ......... ......... 10 1.7
3750
Diesel..................................... 0-3750 3751-5750 Tier 1I.................. 0.80 0.40 ......... ......... 5.5 1.2
Diesel..................................... 3751-5750 Tier 1I.................. 0.80 0.40 ......... ......... 5.5 1.7
3750
Diesel..................................... ........... 3751-5750 Tier 1................... 0.80 0.32 ......... ......... 4.4 0.98
Diesel..................................... 0-3750 I.................. 0.80 0.49 ......... ......... 6.2 1.2
q5750
Diesel..................................... I.................. 0.80 0.49 ......... ......... 6.2 1.7
3750 q5750
Diesel..................................... ........... ......... Tier 0................... 0.80 ......... ......... ......... 10 1.7
3750
Methanol................................... ........... 3751-5750 Tier 1I.................. ......... ......... 0.80 0.40 5.5 0.88
Methanol................................... ........... 3751-5750 Tier 1................... ......... ......... 0.80 0.32 4.4 0.7
Methanol................................... ........... I.................. ......... ......... 0.80 0.49 6.2 1.38
q5750
Methanol................................... ........... ......... Tier 0................... ......... 0.67 ......... ......... 10 1.7
3750
Natural Gas................................ ........... 3751-5750 Tier 1I.................. ......... 0.40 ......... ......... 5.5 0.88
Natural Gas................................ ........... 3751-5750 Tier 1................... ......... 0.32 ......... ......... 4.4 0.7
Natural Gas................................ ........... I.................. ......... 0.49 ......... ......... 6.2 1.38
q5750
Natural Gas................................ ........... ......... Tier 0................... 0.80 ......... ......... ......... 10 1.7
3750
LPG........................................ ........... 3751-5750 Tier 1I.................. 0.80 0.40 ......... ......... 5.5 0.88
LPG........................................ ........... 3751-5750 Tier 1................... 0.80 0.32 ......... ......... 4.4 0.7
LPG........................................ ........... I.................. 0.80 0.49 ......... ......... 6.2 1.38
q5750
LPG........................................ ........... X
--------------------------------------------------------------------------------------------------------------------------------------------------------
ALVW
Fuel LVW (lbs) (lbs) Standards THC \2\ NMHC \1\ THCE \2\ NMHCE \1\ CO \1\ NOX\1\
--------------------------------------------------------------------------------------------------------------------------------------------------------
Gasoline.................................. 0-3750 ......... Tier 0.................. 0.80 ......... ......... ......... 10 1.2
Gasoline.................................. ......... Tier 0.................. 0.80 ......... ......... ......... 10 1.7
3750
Gasoline.................................. ........... 3751-5750 Tier 1.................. 0.80 0.46 ......... ......... 6.4 0.98
Gasoline.................................. ........... ......... Tier 0.................. 0.80 ......... ......... ......... 10 1.7
3750
Diesel.................................... ........... 3751-5750 Tier 1.................. 0.80 0.46 ......... ......... 6.4 0.98
[[Page 59]]
Diesel.................................... ........... ......... Tier 0.................. ......... ......... 0.80 ......... 10 1.7
3750
Methanol.................................. ........... 3751-5750 Tier 1.................. ......... ......... 0.80 0.46 6.4 0.98
Methanol.................................. ........... ......... Tier 0.................. ......... 0.67 ......... ......... 10 1.7
3750
Natural Gas............................... ........... 3751-5750 Tier 1.................. ......... 0.46 ......... ......... 6.4 0.98
Natural Gas............................... ........... ......... Tier 0.................. 0.80 ......... ......... ......... 10 1.7
3750
LPG....................................... ........... 3751-5750 Tier 1.................. 0.80 0.46 ......... ......... 6.4 0.98
LPG....................................... ........... ........... Tier 0....................... .........
3750
Gasoline.................................... ........... 3751-5750 Tier 1....................... 0.10
Gasoline.................................... ........... Tier 1....................... 0.12
5750
Diesel...................................... 0-3750 ........... Tier 0....................... 0.26
Diesel...................................... ........... Tier 0....................... 0.13
3750
Diesel...................................... ........... 3751-5750 Tier 1....................... 0.10
Diesel...................................... ........... Tier 1....................... 0.12
5750
Methanol.................................... 0-3750 ........... Tier 0....................... .........
Methanol.................................... ........... Tier 0....................... .........
3750
Methanol.................................... ........... 3751-5750 Tier 1....................... 0.10
Methanol.................................... ........... Tier 1....................... 0.12
5750
Natural Gas................................. 0-3750 ........... Tier 0....................... \2\ 0.26
Natural Gas................................. ........... Tier 0....................... \2\ 0.13
3750
Natural Gas................................. ........... 3751-5750 Tier 1....................... 0.10
Natural Gas................................. ........... Tier 1....................... 0.12
5750
LPG......................................... 0-3750 ........... Tier 0....................... \2\ 0.26
LPG......................................... ........... Tier 0....................... \2\ 0.13
3750
LPG......................................... ........... 3751-5750 Tier 1....................... 0.10
LPG......................................... ........... Tier 1....................... 0.12
5750
----------------------------------------------------------------------------------------------------------------
\1\ The applicable useful life is 5 years or 50,000 miles, whichever first occurs.
\2\ Applicable only to diesel-cycle vehicles.
Table H94-19--Full Useful Life \1\ Standards (g/mi) for Heavy Light-Duty Trucks for PM
----------------------------------------------------------------------------------------------------------------
Fuel LVW (lbs) ALVW (lbs) Standards PM
----------------------------------------------------------------------------------------------------------------
Gasoline.................................... 0-3750 ........... Tier 0....................... .........
Gasoline.................................... ........... Tier 0....................... .........
3750
Gasoline.................................... ........... 3751-5750 Tier 1....................... 0.10
Gasoline.................................... ........... Tier 1....................... 0.12
5750
Diesel...................................... 0-3750 ........... Tier 0....................... 0.26
Diesel...................................... ........... Tier 0....................... 0.13
3750
[[Page 60]]
Diesel...................................... ........... 3751-5750 Tier 1....................... 0.10
Diesel...................................... ........... Tier 1....................... 0.12
5750
Methanol.................................... 0-3750 ........... Tier 0....................... .........
Methanol.................................... ........... Tier 0....................... .........
3750
Methanol.................................... ........... 3751-5750 Tier 1....................... 0.10
Methanol.................................... ........... Tier 1....................... 0.12
5750
----------------------------------------------------------------------------------------------------------------
\1\ The applicable useful life is 11 years or 120,000 miles, whichever first occurs, except that no enforcement
testing will be done beyond 7 years or 90,000 miles, whichever first occurs.
(B)(1)(i) Sales percentages for the purposes of determining
compliance with paragraph (a)(1)(ii)(A) of this section shall be based
on total actual U.S. sales of 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.
(ii) The manufacturer may petition the Administrator to allow actual
volume produced for U.S. sales to be used in lieu of actual U.S. sales
for purposes of determining compliance with the implementation schedule
sales percentages of tables H94-14 and H94-17 of this section. Such
petition shall be submitted within 30 days of the end of the model year
to the Manufacturers Operations Division. For the petition to be
granted, the manufacturer must establish to the satisfaction of the
Administrator that actual production volume is functionally equivalent
to actual sales volume.
(iii) The vehicles that are counted toward the implementation
schedule sales percentage, or toward the total on which such percentage
is based, for certification purposes as prescribed by Sec. 86.094-
9(a)(1)(ii)(B)(1)(iii) of subpart A of this part, shall be the same
vehicles that are counted toward the implementation schedule sales
percentage, or the total on which it is based, for in-use purposes.
(iv) Small volume manufacturers, as defined in Sec. 86.092-14(b) (1)
and (2), are exempt from the implementation schedules of tables H94-14
of this section for model years 1996 through 1998 and from the
implementation schedules of table H94-17 of this section for model year
1996. For small volume manufacturers, Tier 0 standards of tables H94-15
and H94-16 continue to apply until model year 1999 and the Tier 0
standards of tables H94-18 and H94-19 continue to apply until model year
1997, when one hundred percent compliance with the Tier 1 standards of
such tables is required. This exemption does not apply to small volume
engine families as defined in Sec. 86.092-14(b)(5).
(2)(i) For 1996 and 1997 model year heavy light-duty trucks, the
engine families which comprise the required implementation schedule
percentage of sales meeting Tier 1 standards for HCs, CO, and
NOX, for purposes of certification, shall be the same engine
families which comprise the required implementation schedule percentage
of sales meeting the interim in-use standards (labeled ``Tier
1I'' in the tables of in-use standards) for in-use purposes.
(ii) For 1998 model year heavy light-duty trucks the engine families
which comprise the required implementation schedule percentage of sales
meeting interim in-use standards (labeled ``Tier 1I'' in the
tables of in-use standards) and final in-use standards (labeled ``Tier
1'' in the tables of in-use standards) for HCs, CO, and NOX,
for in-use purposes, shall be designated by the manufacturer at the time
of certification.
(iii) For 1996 model year heavy light-duty trucks, the engine
families which comprise the required implementation schedule percentage
of sales meeting Tier 1 standards, for PM, for purposes of
certification, shall be the same engine families which comprise the
required implementation schedule percentage of sales meeting the final
in-use standards (labeled ``Tier 1'' in the tables of in-use standards)
for PM for in-use purposes.
[[Page 61]]
(3) The manufacturer must state at the time of Application for
Certification, based on projected U.S. sales or projected production for
U.S. sale, which families will be used to attain the required
implementation schedule sales percentages.
(4) A manufacturer can not use one set of engine families to meet
its in-use intermediate useful life standards and another to meet its
in-use full useful life standards. The same families which are used to
meet the intermediate useful life standards will be required without
deviation to meet the corresponding full useful life standards.
(iii) Exhaust emissions of carbon monoxide from 1994 and later model
year light-duty trucks shall not exceed 0.50 percent of exhaust gas flow
at curb idle at a useful life of 11 years or 120,000 miles, whichever
first occurs (for Otto-cycle and methanol-fueled diesel-cycle light-duty
trucks only).
(iv)(A) Engine families participating in the applicable
NOX averaging program as specified in Sec. 86.094-
9(a)(1)(iv)(A) shall be subject, for purposes of in-use compliance, to
the NOX family emission limit determined for that engine
family for certification purposes, in lieu of the appropriate
NOX standard shown in the tables of in-use standards in this
section.
(B) Engine families participating in the applicable particulate
averaging program as specified in Sec. 86.094-9(a)(1)(iv)(B) shall be
subject, for purposes of in-use compliance, to the particulate family
emission limit determined for that engine family for certification
purposes, in lieu of the appropriate particulate standard shown in the
tables of in-use standards in this section.
(v) CST emissions from model year 1996 and later gasoline-fueled
Otto-cycle light-duty trucks measured and calculated in accordance with
subpart O of this part may not exceed the standards listed in paragraphs
(a)(1)(v) (A) and (B) of this section.
(A) Hydrocarbons: 220 ppm as hexane.
(B) Carbon monoxide: 1.2 percent.
(2) The standards set forth in paragraphs (a)(1)(i) and (a)(1)(ii)
of this section refer to the exhaust emitted over a driving schedule as
set forth in subpart B of this part and measured and calculated in
accordance with those procedures. The test weight basis for light light-
duty trucks, and for heavy light-duty trucks certified to the Tier 0
standards of this section, for the purposes of determining equivalent
test weight as prescribed in Sec. 86.129-94, shall be loaded vehicle
weight. The test weight basis for heavy light-duty trucks certified to
the Tier 1 or Tier 1I standards of this section, for the
purposes of determining equivalent test weight as prescribed in
Sec. 86.129-94, shall be adjusted loaded vehicle weight. The standard
set forth in paragraph (a)(1)(iii) of this section refers to the exhaust
emitted at curb idle and measured and calculated in accordance with the
procedures set forth in subpart P of this part.
(3) The standards set forth in paragraph (a)(1)(v) of this section
refer to the exhaust emitted during the CST as set forth in subpart O of
this part and measured and calculated in accordance with those
provisions.
(b) The provision of Sec. 86.090-8(b) through (k) of subpart A of
this part apply to this section.
[56 FR 25781, June 5, 1991, as amended at 57 FR 31922, July 17, 1992; 58
FR 33211, June 16, 1993; 58 FR 58424, Nov. 1, 1993; 59 FR 48516, Sept.
21, 1994]
Sec. 86.709-99 In-use emission standards for 1999 and later model year
light-duty trucks.
Section 86.709-99 includes text that specifies requirements that
differ from Sec. 86.091-9 of subpart A of this part. Where a paragraph
in Sec. 86.091-9 is identical and applicable to Sec. 86.709-99, this may
be indicated by specifying the corresponding paragraph and the statement
``[Reserved]. For guidance see Sec. 86.091-9.'' Where a corresponding
paragraph of Sec. 86.091-9 is not applicable, this is indicated by the
statement ``[Reserved].''
(a)(1)(i)(A) Light light-duty trucks. In-use exhaust emissions from
1999 and later model year light light-duty trucks shall meet all
standards in tables H99-1 and H99-2 in the rows designated with the
applicable fuel type and loaded vehicle weight.
[[Page 62]]
Table H99-1--Intermediate Useful Life \1\ Standards (g/mi) for Light Light-Duty Trucks
--------------------------------------------------------------------------------------------------------------------------------------------------------
Fuel LVW (lbs) THC NMHC THCE NMHCE CO NOX PM
--------------------------------------------------------------------------------------------------------------------------------------------------------
Gasoline.................................................... 0-3750 ......... 0.25 ......... ......... 3.4 0.4 0.08
Gasoline.................................................... 3751-5750 ......... 0.32 ......... ......... 4.4 0.7 0.08
Diesel...................................................... 0-3750 ......... 0.25 ......... ......... 3.4 1.0 0.08
Diesel...................................................... 3751-5750 ......... 0.32 ......... ......... 4.4 0.97 0.08
Methanol.................................................... 0-3750 ......... ......... ......... 0.25 3.4 0.4 0.08
Methanol.................................................... 3751-5750 ......... ......... ......... 0.32 4.4 0.7 0.08
Natural Gas................................................. 0-3750 ......... 0.25 ......... ......... 3.4 0.4 0.08
Natural Gas................................................. 3751-5750 ......... 0.32 ......... ......... 4.4 0.7 0.08
LPG......................................................... 0-3750 ......... 0.25 ......... ......... 3.4 0.4 0.08
LPG......................................................... 3751-5750 ......... 0.32 ......... ......... 4.4 0.7 0.08
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ The applicable useful life is 5 years or 50,000 miles, whichever first occurs.
Table H99-2--Full Useful Life Standards (g/mi) for Light Light-Duty Trucks
--------------------------------------------------------------------------------------------------------------------------------------------------------
Fuel LVW (lbs) THC \2\ NMHC \1\ THCE \2\ NMHCE \1\ CO \1\ NOX\1\ PM \1\
--------------------------------------------------------------------------------------------------------------------------------------------------------
Gasoline.................................................... 0-3750 0.80 0.31 ......... ......... 4.2 0.6 0.10
Gasoline.................................................... 3751-5750 0.80 0.40 ......... ......... 5.5 0.97 0.10
Diesel...................................................... 0-3750 0.80 0.31 ......... ......... 4.2 1.25 0.10
Diesel...................................................... 3751-5750 0.80 0.40 ......... ......... 5.5 0.97 0.10
Methanol.................................................... 0-3750 ......... ......... 0.80 0.31 4.2 0.6 0.10
Methanol.................................................... 3751-5750 ......... ......... 0.80 0.40 5.5 0.97 0.10
Natural Gas................................................. 0-3750 ......... 0.31 ......... ......... 4.2 0.6 0.10
Natural Gas................................................. 3751-5750 ......... 0.40 ......... ......... 5.5 0.97 0.10
LPG......................................................... 0-3750 0.80 0.31 ......... ......... 4.2 0.6 0.10
LPG......................................................... 3751-5750 0.80 0.40 ......... ......... 5.5 0.97 0.10
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ The applicable useful life is 10 yeras or 100,000 miles, whichever first occurs, except that no enforcement testing will be done beyond 7 years or
75,000 miles, whichever first occurs.
\2\ The applicable useful life is 11 years or 120,000 miles, whichever first occurs.
(B)(1) Vehicles subject to the standards of paragraph (a)(1)(i)(A)
of this section shall be all actual U.S. sales of light light-duty
trucks of the applicable model year by a manufacturer.
(2) A manufacturer can not use one set of engine families to meet
its in-use intermediate useful life standards and another to meet its
in-use full useful life standards. The same families which are used to
meet the intermediate useful life standards will be required without
deviation to meet the corresponding full useful life standards.
(ii)(A) Heavy light-duty trucks. In-use exhaust emissions from 1999
and later model year heavy light-duty trucks shall meet all standards in
tables H99-3 and H99-4 in the rows designated with the applicable fuel
type and adjusted loaded vehicle weight.
Table H99-3--Intermediate Useful Life \1\ Standards (g/mi) for Heavy Light-Duty Trucks
--------------------------------------------------------------------------------------------------------------------------------------------------------
Fuel ALVW (lbs) THC NMHC THCE NMHCE CO NOX PM
--------------------------------------------------------------------------------------------------------------------------------------------------------
Gasoline...................................................... 3751-5750 0.80 0.32 ......... ......... 4.4 0.7 0.10
Gasoline...................................................... 0.80 0.39 ......... ......... 5.0 1.1 0.12
5750
Diesel........................................................ 3751-5750 0.80 0.32 ......... ......... 4.4 0.98 0.10
Diesel........................................................ 0.80 0.39 ......... ......... 5.0 1.53 0.12
5750
Methanol...................................................... 3751-5750 ......... ......... 0.80 0.32 4.4 0.7 0.10
Methanol...................................................... ......... ......... 0.80 0.39 5.0 1.1 0.12
5750
Natural Gas................................................... 3751-5750 ......... 0.32 ......... ......... 4.4 0.7 0.10
Natural Gas................................................... ......... 0.39 ......... ......... 5.0 1.1 0.12
5750
LPG........................................................... 3751-5750 0.80 0.32 ......... ......... 4.4 0.7 0.10
LPG........................................................... 0.80 0.39 ......... ......... 5.0 1.1 0.12
5750
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ The applicable useful life is 5 years or 50,000 miles, whichever first occurs.
Table H99-4--Full Useful Life \1\ Standards (g/mi) for Heavy Light-Duty Trucks
--------------------------------------------------------------------------------------------------------------------------------------------------------
Fuel ALVW (lbs) THC \2\ NMHC \1\ THCE \2\ NMHCE \1\ CO \1\ NOX\1\ PM \1\
--------------------------------------------------------------------------------------------------------------------------------------------------------
Gasoline...................................................... 3751-5750 0.80 0.46 ......... ......... 6.4 0.98 0.10
Gasoline...................................................... 0.80 0.56 ......... ......... 7.3 1.53 0.12
5750
Diesel........................................................ 3751-5750 0.80 0.46 ......... ......... 6.4 0.98 0.10
[[Page 63]]
Diesel........................................................ 0.80 0.56 ......... ......... 7.3 1.53 0.12
5750
Methanol...................................................... 3751-5750 ......... ......... 0.80 0.46 6.4 0.98 0.10
Methanol...................................................... ......... ......... 0.80 0.56 7.3 1.53 0.12
5750
Natural Gas................................................... 3751-5750 ......... 0.46 ......... ......... 6.4 0.98 0.10
Natural Gas................................................... ......... 0.56 ......... ......... 7.3 1.53 0.12
5750
LPG........................................................... 3751-5750 0.80 0.46 ......... ......... 6.4 0.98 0.10
LPG........................................................... 0.80 0.56 ......... ......... 7.3 1.53 0.12
5750
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ The applicable useful life is 11 years or 120,000 miles, whichever first occurs, except that no enforcement testing will be done beyond 7 years or
90,000 miles, whichever first occurs.
\2\ The applicable useful life is 11 years or 120,000 miles, whichever first occurs.
(B)(1) Vehicles subject to the standards of paragraph (a)(1)(ii)(A)
of this section shall be all actual U.S. sales of heavy light-duty
trucks of the applicable model year by a manufacturer.
(2) A manufacturer can not use one set of engine families to meet
its in-use intermediate useful life standards and another to meet its
in-use full useful life standards. The same families which are used to
meet the intermediate useful life standards will be required without
deviation to meet the corresponding full useful life standards.
(iii) Exhaust emissions of carbon monoxide from 1999 and later model
year light-duty trucks shall not exceed 0.50 percent of exhaust gas flow
at curb idle at a useful life of 11 years or 120,000 miles, whichever
first occurs (for Otto-cycle and methanol-fueled diesel-cycle light-duty
trucks only)
(iv) CST emissions from gasoline-fueled Otto-cycle light-duty trucks
measured and calculated in accordance with subpart O of this part may
not exceed the standards listed in paragraphs (a)(1)(iv) (A) and (B) of
this section.
(A) Hydrocarbons: 220 ppm as hexane.
(B) Carbon monoxide: 1.2 percent.
(2) The standards set forth in paragraphs (a)(1)(i) and (a)(1)(ii)
of this section refer to the exhaust emitted over a driving schedule as
set forth in subpart B of this part and measured and calculated in
accordance with those procedures. The test weight basis for light light-
duty trucks, for the purposes of determining equivalent test weight as
prescribed in Sec. 86.129-94, shall be loaded vehicle weight. The test
weight basis for heavy light-duty trucks, for the purposes of
determining equivalent test weight as prescribed in Sec. 86.129-94,
shall be adjusted loaded vehicle weight. The standard set forth in
paragraph (a)(1)(iii) of this section refers to the exhaust emitted at
curb idle and measured and calculated in accordance with the procedures
set forth in subpart P of this part.
(3) The standards set forth in paragraph (a)(1)(iv) of this section
refer to the exhaust emitted during the CST as set forth in subpart O of
this part and measured and calculated in accordance with those
provisions.
(b) The provisions of Sec. 86.097-9(b), (c), and (g) through (k) of
subpart A of this part apply to this section.
[56 FR 25781, June 5, 1991, as amended at 57 FR 31922, July 17, 1992; 58
FR 58425, Nov. 1, 1993; 59 FR 48520, Sept. 21, 1994]
Subpart I--Emission Regulations for New Diesel Heavy-Duty Engines; Smoke
Exhaust Test Procedure
Authority: Secs. 202, 206, 207, 208, 301(a), Clean Air Act; as
amended 42 U.S.C. 7521, 7524, 7541, 7542, and 7601.
Source: 48 FR 52203, Nov. 16, 1983, unless otherwise noted.
Sec. 86.884-1 General applicability.
The provisions of this subpart are applicable to new petroleum-
fueled diesel heavy-duty engines beginning with the 1984 model year,
methanol-fueled diesel heavy-duty engines beginning with the 1990 model
year and natural gas-fueled and liquefied petroleum gas-fueled diesel
heavy-duty engines beginning with the 1997 model year. The provisions of
this subpart are optional prior to the 1997 model year for natural gas-
fueled
[[Page 64]]
and liquefied petroleum gas-fueled diesel heavy-duty engines.
[59 FR 48521, Sept. 21, 1994]
Sec. 86.884-2 Definitions.
The definitions in Sec. 86.084-2 apply to this subpart.
Sec. 86.884-3 Abbreviations.
The abbreviations in Sec. 86.078-3 apply to this subpart.
Sec. 86.884-4 Section numbering.
The section numbering system set forth in Sec. 86.084-4 applies to
this subpart.
[48 FR 52203, Nov. 16, 1983, as amended at 59 FR 48521, Sept. 21, 1994]
Sec. 86.884-5 Test procedures.
The procedures described in this and subsequent sections will be the
test program to determine the conformity of engines with the standards
set forth in Sec. 86.084-11(b).
(a) The test consists of a prescribed sequence of engine operating
conditions on an engine dynamometer with continuous examination of the
exhaust gases. The test is applicable equally to controlled engines
equipped with means for preventing, controlling, or eliminating smoke
emissions and to uncontrolled engines.
(b) The test is designed to determine the opacity of smoke in
exhaust emissions during those engine operating conditions which tend to
promote smoke from diesel vehicles.
(c) The test procedure begins with a preconditioned engine which is
then run through preloading and preconditioning operations. After an
idling period, the engine is operated through acceleration and lugging
modes during which smoke emission measurements are made to compare with
the standards. The engine is then returned to the idle condition and the
acceleration and lugging modes are repeated. Three consecutive sequences
of acceleration and lugging constitutes the full set of operating
conditions for smoke emission measurement.
(d)(1) Except in cases of component mulfunction or failure, all
emission control systems installed on, or incorporated in, a new motor
vehicle engine shall be functioning during all procedures in this
subpart.
(2) Maintenance to correct component malfunction or failure shall be
authorized in accordance with Sec. 86.084-25.
[48 FR 52203, Nov. 16, 1983, as amended at 49 FR 48140, Dec. 10, 1984;
54 FR 14559, Apr. 11, 1989]
Sec. 86.884-6 Fuel specifications.
The requirements of this section are set forth in Sec. 86.1313.
[54 FR 14559, Apr. 11, 1989]
Sec. 86.884-7 Dynamometer operation cycle for smoke emission tests.
(a) The following sequence of operations shall be performed during
engine dynamometer testing of smoke emissions, starting with the
dynamometer preloading determined and the engine preconditioned
(Sec. 86.884-12(c)).
(1) Idle Mode. The engine is caused to idle for 5.0 to 5.5 minutes
at the manufacturer's recommended curb idle speed. The dynamometer
controls shall be set to provide the speed and load necessary to comply
with the heavy-duty ``curb idle'' definition per Sec. 86.084-2, in
accordance with predominant engine application.
(2) Acceleration mode. (i) The engine speed shall be increased to
200 50 rpm above the measured free idle speed measured at
the point where the throttle begins to move from part-throttle to the
full throttle position. The speed anywhere during this mode should not
exceed this checkpoint speed by more than 50 rpm. The duration of this
first acceleration shall be three seconds or less measured from the
point where the speed first begins to increase above idle to the point
where the throttle reaches full open position.
(ii) Immediately upon completion of the mode specified in paragraph
(a)(2)(i) of this section, the throttle shall be moved rapidly to, and
held in, the fully open position. The inertia of the engine and the
dynamometer, or alternately a preselected dynamometer load, shall be
used to control the acceleration of the engine so that the speed
increases to 85 percent of the rated speed in 5 1.5 seconds.
This acceleration shall be linear within 100 rpm as specified in
Sec. 86.884-13(c).
[[Page 65]]
(iii) After the engine reaches the speed required in paragraph
(a)(2)(ii) of this section the throttle shall be moved rapidly to, and
held in, the fully closed position. Immediately after the throttle is
closed, the preselected load required to perform the acceleration in
paragraph (a)(2)(iv) of this section shall be applied. For electric
motoring dynamometer operation in speed mode, the deceleration shall be
performed in 21.5 seconds.
(iv) When the engine decelerates to the intermediate speed (within
50 rpm), the throttle shall be moved rapidly to, and held in, the fully
open position. The preselected dynamometer load which was applied during
the preceding transition period shall be used to control the
acceleration of the engine so that the speed increases to at least 95
percent of the rated speed in 10 2 seconds.
(v) For electric dynamometer operation in speed mode, motoring
assist may be used to offset excessive dynamometer inertia load when
necessary. No negative flywheel torque shall occur during any of the
three acceleration modes in paragraph (a)(2) of this section except for
a maximum of 10ft-lbs. for the first 0.5 second of the mode.
(3) Lugging mode. (i) Immediately upon the completion of the
preceding acceleration mode, the dynamometer controls shall be adjusted
to permit the engine to develop maximum horsepower at rated speed. This
transition period shall be 50 to 60 seconds in duration. During the last
10 seconds of this period, the average engine speed shall be maintained
within 50 rpm of the rated speed, and the average observed power
(corrected, if necessary, to rating conditions) shall be no less than 95
percent of the maximum horsepower developed during the preconditioning
prior to the smoke cycle.
(ii) With the throttle remaining in the fully open position, the
dynamometer controls shall be adjusted gradually so that the engine
speed is reduced to the intermediate speed. This lugging operation shall
be performed smoothly over a period of 355 seconds. The rate of
slowing of the engine shall be linear, within 100 rpm, as specified in
Sec. 86.884-13(c).
(4) Engine unloading. Within five seconds of completing the
preceding lugging mode, the dynamometer and engine controls shall be
returned to the idle position described in paragraph (a)(1) of this
section. The engine must be at free idle condition within one minute
after completion of the lugging mode.
(b) The procedures described in paragraphs (a)(1) through (a)(4) of
this section shall be repeated until three consecutive valid cycles have
been completed. If three valid cycles have not been completed after a
total of six consecutive cycles have been run, the engine shall be
preconditioned by operation at maximum horsepower at rated speed for 10
minutes before the test sequence is repeated.
[48 FR 52203, Nov. 16, 1983, as amended at 49 FR 48141, Dec. 10, 1984;
52 FR 47870, Dec. 16, 1987; 62 FR 47122, Sept. 5, 1997]
Sec. 86.884-8 Dynamometer and engine equipment.
The following equipment shall be used for smoke emission testing of
engines on engine dynamometers:
(a) An engine dynamometer with adequate characteristics to perform
the test cycle described in Sec. 86.884-7.
(b) An engine cooling system having sufficient capacity to maintain
the engine at normal operating temperatures during conduct of the
prescribed engine tests.
(c) An exhaust system with an appropriate type of smokemeter placed
10 to 32 feet from the exhaust manifold(s), turbocharger outlet(s),
exhaust aftertreatment device(s), or crossover junction (on Vee
engines), whichever is farthest downstream. The smoke exhaust system can
share the same hardware required in part 86, subpart N, Sec. 86.1327-
84(f)(2), insofar as that hardware also meets the following smoke test
requirements. The smoke exhaust system shall present an exhaust
backpressure within +0.2 inch Hg of the upper limit at maximum rated
horsepower, as established by the engine manufacturer in his sales and
service literature for vehicle application. The following options may
also be used:
(1) For engines with multiple exhaust outlets, join the exhaust
outlets together into a single exhaust system
[[Page 66]]
and install the smokemeter 10 to 32 feet downstream from the junction of
the individual exhaust outlets, or exhaust aftertreatment device(s),
whichever is farthest downstream.
(2) For engines with multiple exhaust outlets, install a smokemeter
in each of the exhaust pipes 10 to 32 feet downstream from each exhaust
manifold, turbocharger outlet, or exhaust aftertreatment device,
whichever is farthest downstream.
(3) For engines with multiple exhaust outlets, install a smokemeter
on the exhaust pipe which produces the highest smoke levels 10 to 32
feet downstream from the exhaust manifold, turbocharger outlet, or
exhaust aftertreatment device, whichever is farthest downstream. It may
be required to make smoke measurements from other exhaust outlets if
deemed appropriate by the Administrator.
(4) When utilizing an end-of-line smokemeter, the terminal two feet
of the exhaust pipe used for smoke measurement shall be of a circular
cross section and be free of elbows and bends. The end of the pipe shall
be cut off squarely. The terminal two feet of the exhaust pipe shall
have a nominal inside diameter in accordance with the engine being
tested, as specified below:
------------------------------------------------------------------------
Exhaust
pipe
Maximum rated horsepower diameter
(inches)
------------------------------------------------------------------------
HP<50...................................................... 1.5
50[le]HP<100............................................... 2.0
100[le]HP<200.............................................. 3.0
200[le]HP<300.............................................. 4.0
300[le]HP<500.............................................. 5.0
HP[ge]500.................................................. 6.0
------------------------------------------------------------------------
(5) When utilizing an in-line smokemeter, there shall be no change
in the exhaust pipe diameter within 3 exhaust pipe diameters before or
after the centerline of the smokemeter optics. Within 6 exhaust pipe
diameters upstream of the centerline of the smokemeter optics, no change
in exhaust pipe diameter may exceed a 12 degree half-angle.
(d) An engine air inlet system presenting an air inlet restriction
within one inch of water of the upper limit for the engine operating
condition which results in maximum air flow, as established by the
engine manufacturer in his sales and service literature, for the engine
being tested.
[48 FR 52203, Nov. 16, 1983, as amended at 62 FR 47122, Sept. 5, 1997;
63 FR 63967, Nov. 17, 1998]
Sec. 86.884-9 Smoke measurement system.
(a) Schematic drawing. The Figure I84-1 is a schematic drawing of
the optical system of the light extinction meter.
[GRAPHIC] [TIFF OMITTED] TR06OC93.182
(b) Equipment. The following equipment shall be used in the system.
(1) Adapter--the smokemeter optical unit may be mounted on a fixed
or
[[Page 67]]
movable frame. The normal unrestricted shape of the exhaust plume shall
not be modified by the adaptor, the meter, or any ventilatory system
used to remove the exhaust from the test site.
(2) Smokemeter (light extinction meter)--continuous recording, full-
flow light obscuration meter.
(i) It is positioned so that a built-in light beam traverses the
exhaust smoke plume at right angles to the axis of the exhaust stream.
(ii) The smokemeter light source shall be an incandescent lamp with
a color temperature range of 2800K to 3250K, or a light source with a
spectral peak between 550 to 570 nanometers.
(iii) The light output is collimated to a beam with a maximum
diameter of 1.125 inches and an included angle of divergence within a
6 deg. included angle.
(iv) The light detector shall be a photocell or photodiode. If the
light source is an incandescent lamp, the detector shall have a spectral
response similar to the photopic curve of the human eye (a maximum
response in the range of 550 to 570 nanometers, to less than 4 percent
of that maximum response below 430 nanometers and above 680 nanometers).
(v) A collimating tube with apertures equal to the beam diameter is
attached to the detector to restrict the viewing angle of the detector
to within a 16 deg. included angle.
(vi) An amplified signal corresponding to the amount of light
blocked is recorded continuously on a remote recorder.
(vii) An air curtain across the light source and detector window
assemblies may be used to minimize deposition of smoke particles on
those surfaces provided that it does not measurably affect the opacity
of the plume.
(viii) The smokemeter consists of two units; an optical unit and a
remote control unit.
(ix) Light extinction meters employing substantially identical
measurement principles and producing substantially equivalent results,
but which employ other electronic and optical techniques, may be used
only after having been approved in advance by the Administrator.
(3) Recorder--a continuous recorder, with variable chart speed over
a minimal range of 0.5 to 8.0 inches per minute (or equivalent) and an
automatic marker indicating 1-second intervals continuously records the
exhaust gas opacity, engine rpm and throttle position.
(i) The recorder is equipped to indicate only when the throttle is
in the fully open or fully closed position.
(ii) The recorder scale for opacity is linear and calibrated to read
from 0 to 100 percent opacity full scale.
(iii) The opacity trace has a resolution within one percent opacity.
(iv) The recorder scale for engine rpm is linear and has a
resolution of 30 rpm.
(v) The throttle position trace clearly indicates when the throttle
is in the fully open and fully closed positions.
(vi) Any means other than a strip-chart recorder may be used
provided it produces a permanent visual data record of quality equal to
or better than that described above (e.g., tabulated data, traces, or
plots).
(4) The recorder used with the smokemeter shall be capable of full-
scale deflection in 0.5 second or less. The smokemeter-recorder
combination may be damped so that signals with a frequency higher than
10 cycles per second are attenuated. A separate lowpass electronic
filter with the following performance characteristics may be installed
between the smokemeter and the recorder to achieve the high-frequency
attenuation:
(i) Three decibel point--10 cycles per second.
(ii) Insertion loss--zero 0.5 decibel.
(iii) Selectivity--12 decibels per octave above 10 cycles per
second.
(iv) Attenuation--27 decibels down at 40 cycles per second minimum.
(5) In lieu of the use of chart recorders, automatic data collection
equipment may be used to record all required data. Automatic data
processing equipment may then be used to perform the data analysis
specified in Sec. 86.884-13. The automatic data collection equipment
must be capable of sampling at least two records per second.
(c) Assembling equipment. (1) The optical unit of the smokemeter
shall be mounted radially to the exhaust pipe
[[Page 68]]
so that the measurement will be made at right angles to the axis of the
exhaust plume. For an end-of-line smokemeter the distance from the
optical centerline to the exhaust pipe outlet shall be 1
0.25 inch. The full flow of the exhaust stream shall be
centered between the source and the detector apertures (or windows and
lenses) and on the axis of the light beam.
(2) Power shall be supplied to the control unit of the smokemeter in
time to allow at least 15 minutes for stabilization prior to testing.
[48 FR 52203, Nov. 16, 1983, as amended at 49 FR 48141, Dec. 10, 1984;
62 FR 47122, Sept. 5, 1997]
Sec. 86.884-10 Information.
The following information, as applicable, shall be recorded for each
test:
(a) Engine description and specifications. A copy of the information
specified in this paragraph must accompany each engine sent to the
Administrator for compliance testing. If the engine is submitted to the
Administrator for testing under subpart N, only the information
specified in Sec. 86.1344-84 need accompany the engine. The manufacturer
need not record the information specified in this paragraph for each
test if the information, with exception of paragraphs (a)(3), (a)(12),
and (a)(13) of this section, is included in the manufacturer's part I.
(1) Engine-system combination.
(2) Engine identification numbers.
(3) Number of hours of operation accumulated on engine.
(4) Rated maximum horsepower and torque.
(5) Maximum horsepower and torque speeds.
(6) Engine displacement.
(7) Governed speed.
(8) Idle rpm.
(9) Fuel consumption at maximum power and torque.
(10) Maximum air flow.
(11) Maximum and test air inlet restriction.
(12) Exhaust pipe diameter(s).
(13) Maximum exhaust system backpressure.
(b) Test data; general. This information may be recorded at any time
between four hours prior to the test and four hours after the test.
(1) Engine-system combination.
(2) Engine identification numbers.
(3) Instrument operator.
(4) Engine operator.
(5) Number of hours of operation accumulated on the engine prior to
beginning the warm-up portion of the test.
(6) Calibration date(s) of neutral density filters used to calibrate
the smokemeter.
(c) Test data; pre-test.
(1) Date and time of day.
(2) Test number.
(3) Barometric pressure.
(4) [Reserved]
(5) Intake air humidity and temperature:
(i) Humidity-conditioned air supply. Air that has had its absolute
humidity altered is considered humidity-conditioned air. For this type
of intake air supply, the humidity measurement must be made within the
intake air supply system, and after the humidity conditioning has taken
place.
(ii) Non-conditioned air supply. Humidity measurements in non-
conditioned intake air supply systems must be made in the intake air
stream entering the supply system and within 18 inches of the inlet for
supply system. Alternatively, the humidity measurements can be measured
within the intake air supply stream.
(iii) Engine intake air temperature measurement must be made within
48 inches of the engine. The measurement location must be made either in
the supply system or in the air stream entering the supply system.
(d) Test data; modal. (1) Observed engine torque and speed during
the steady-state test conditions specified in Sec. 86.884-7(a)(3)(i).
(2) On the recorder or automatic data collection equipment: Identify
zero traces--calibration traces--idle traces (or printout of the zero
and calibration values)--closed-throttle trace-open throttle trace--
acceleration and lugdown test traces--start and finish of each test.
[48 FR 52203, Nov. 16, 1983, as amended at 49 FR 48141, Dec. 10, 1984;
62 FR 47123, Sept. 5, 1997]
[[Page 69]]
Sec. 86.884-11 Instrument checks.
(a) The smokemeter shall be checked according to the following
procedure prior to each test:
(1) [Reserved]
(2) The zero control shall be adjusted under conditions of ``no
smoke'' to give a recorder or data collection equipment response of
zero;
(3) Calibrated neutral density filters having approximately 10, 20,
and 40 percent opacity shall be employed to check the linearity of the
instrument. The filter(s) shall be inserted in the light path
perpendicular to the axis of the beam and adjacent to the opening from
which the beam of light from the light source emanates, and the recorder
response shall be noted. Filters with exposed filtering media should be
checked for opacity every six months; all other filters shall be checked
every year, using NBS or equivalent reference filters. Deviations in
excess of 1 percent of the nominal opacity shall be corrected.
(b) The instruments for measuring and recording engine rpm, engine
torque, air inlet restrictions, exhaust system backpressure, throttle
position, etc., which are used in the test prescribed herein, shall be
calibrated in accordance with good engineering practice.
[48 FR 52203, Nov. 16, 1983, as amended at 49 FR 48141, Dec. 10, 1984]
Sec. 86.884-12 Test run.
(a) The temperature of the air supplied to the engine shall be
between 68 deg.F and 86 deg.F. The engine fuel inlet temperature shall
be 100 deg.F 10 deg.F and shall be measured at a point
specified by the manufacturer. The observed barometric pressure shall be
between 28.5 inches and 31 inches Hg. Higher air temperature or lower
barometric pressure may be used, if desired, but no allowance will be
made for possible increased smoke emissions because of such conditions.
(b) The governor and fuel system shall have been adjusted to provide
engine performance at the levels in the application for certification
required under Sec. 86.084-21.
(c) The following steps shall be taken for each test:
(1) Start cooling system;
(2) Warm up the engine by the procedure described in Sec. 86.1332-
84(d)(3) (i) through (v).
(3) Determine by experimentation the dynamometer inertia and
dynamometer load required to perform the acceleration in the dynamometer
cycle for smoke emission tests (Sec. 86.884-7(a)(2)). In a manner
appropriate for the dynamometer and controls being used, arrange to
conduct the acceleration mode;
(4) Install smokemeter optical unit and connect it to the recorder/
data collection system. Connect the engine rpm and throttle position
sensing devices to the recorder/data collection system;
(5) Turn on purge air to the optical unit of the smokemeter, if
purge air is used;
(6) Check and record zero and span settings of the smokemeter. (If a
recorder is used, a chart speed of approximately one inch per minute
shall be used.) The optical unit shall be retracted from its position
about the exhaust stream if the engine is left running;
(7) Precondition the engine by operating it for 10 minutes at
maximum rated horsepower;
(8) Proceed with the sequence of smoke emission measurements on the
engine dynamometer as prescribed in Sec. 86.884-7;
(9)(i) During the test sequence of Sec. 86.884-7, continuously
record smoke measurements, engine rpm, and throttle position.
(ii) If a chart recorder is used for data collection, it shall be
run at a minimum chart speed of one inch per minute during the idle mode
and transitional periods, and eight inches per minute during the
acceleration and lugging modes.
(iii) Automatic data collection equipment, if used, shall sample at
least two records per second.
(iv) The smoke meter zero and full scale response may be rechecked
and reset during the idle mode of each test sequence.
(v) If either zero or full-scale drift is in excess of 2 percent
opacity, the smokemeter controls must be readjusted and the test must be
repeated;
[[Page 70]]
(10) Turn off engine;
(11)(i) Check zero and reset if necessary.
(ii) Check span response (linearity) of the smokemeter by inserting
neutral density filters.
(iii) If either zero drift or the linearity check is in excess of
two percent opacity, the results shall be invalidated.
[48 FR 52203, Nov. 16, 1983, as amended at 49 FR 48141, Dec. 10, 1984;
52 FR 47870, Dec. 16, 1987]
Sec. 86.884-13 Data analysis.
The following procedure shall be used to analyze the test data:
(a) Locate the modes specified in Sec. 86.884-7(a)(1) through (a)(4)
by applying the following starting and ending criteria:
(1) The idle mode specified in Sec. 86.884-7(a)(1) starts when
engine preconditioning or the lugging mode of a preceding cycle has been
completed and ends when the engine speed is raised above the idle speed.
(2) The acceleration mode specified in Sec. 86.884-7(a)(2)(i) starts
when the preceding idle mode has been completed and ends when the
throttle is in the fully open position, as indicated by the throttle
position trace as specified in Sec. 86.884-7(a)(2)(ii).
(3) The acceleration mode specified in Sec. 86.884-7(a)(2)(ii)
starts when the preceding acceleration mode has been completed and ends
when the engine speed reaches 85 percent of the rated speed.
(4) The transition period specified in Sec. 86.884-7(a)(2)(iii)
starts when the preceding acceleration mode has been completed and ends
when the throttle is in the fully open position as indicated by the
throttle position trace, as specified in Sec. 86.884-7(a)(2)(iv).
(5) The acceleration mode specified in Sec. 86.884-7(a)(2)(iv)
starts when the preceding transition period has been completed and ends
when the engine speed reaches 95 percent of the rated speed.
(6) The transition period specified in Sec. 86.884-7 (a)(3)(i)
starts when the preceding acceleration mode has been completed and ends
when the engine speed is 50 rpm below the rated speed and the provisions
of Sec. 86.884-7 (a)(3)(i) are met.
(7) The lugging mode specified in Sec. 86.884-7(a)(3)(ii) starts
when the preceding transition period has been completed and ends when
the engine speed is at the intermediate speed.
(b) Determine if the test requirements of Sec. 86.884-7 are met by
applying the following modal criteria:
(1) Idle mode as specified in Sec. 86.884-7(a)(1):
(i) Duration: 5 to 5.5 minutes.
(ii) Speed: within specification during the last four minutes of the
mode.
(2) Acceleration mode as specified in Sec. 86.884-7(a)(2)(i).
(i) Duration: three seconds or less.
(ii) Speed increase: 20050 rpm.
(3) Acceleration mode as specified in Sec. 86.884-7(a)(2)(ii);
(i) Linearity: 100 rpm as specified in paragraph (c) of
this section.
(ii) Duration: 3.5 to 6.5 seconds.
(iii) Throttle position: fully open until speed is at least 85
percent of the rated speed.
(4) Transition period as specified in Sec. 86.884-7(a)(2)(iii):
(i) Throttle position: moved rapidly to, and held in, the fully
closed position.
(5) Acceleration mode as specified in Sec. 86.884-7(a)(2)(iv):
(i) Duration: 8 to 12 seconds.
(ii) Throttle position: fully open when speed is at intermediate
speed.
(6) Transition period as specified in Sec. 86.884-7(a)(3)(i):
(i) Duration: 50 to 60 seconds.
(ii) Average speed during the last 10 seconds shall be within
50 rpm of rated speed.
(iii) Average observed power during the last 10 seconds shall be at
least 95 percent of the horsepower developed during the preconditioning
mode.
(7) Lugging mode as specified in Sec. 86.884-7(a)(3)(ii):
(i) Linearity: 100 rpm as specified in paragraph (c) of
this section.
(ii) Duration: 30 to 40 seconds.
(iii) Speed at end: intermediate speed.
(c) Determine if the linearity requirements of Sec. 86.884-7 were
met by means of the following procedure:
(1) For the acceleration mode specified in Sec. 86.884-7(a)(2)(ii),
note the maximum deflection of the rpm trace from a straight line drawn
between the
[[Page 71]]
starting and ending points specified in paragraph (a)(3) of this
section.
(2) For the lugging mode specified in Sec. 86.884-7(a)(3)(ii), note
the maximum deflection of the rpm trace from a straight line drawn from
the starting and ending points specified in paragraph (a)(7) of this
section.
(3) The test results will be invalid if any deflection is greater
than 100 rpm.
(4) This linearity check may be performed by direct analysis of the
recorder traces, or by computer analysis of data collected by automatic
data collection equipment.
(d) Analyze the smoke trace by means of the following procedure:
(1) Starting at the beginning of the first acceleration, as defined
in paragraph (a)(2) of this section, and stopping at the end of the
second acceleration, as defined in paragraph (a)(3) of this section,
divide the smoke trace into half-second intervals. Similarly, subdivide
into half-second intervals the third acceleration mode and the lugging
mode as defined by paragraphs (a) (5) and (7) respectively, of this
section.
(2) Determine the average smoke reading during each half-second
interval.
(3) Locate and record the 15 highest half-second readings during the
acceleration mode of each dynamometer cycle.
(4) Locate and record the five highest half-second readings during
the lugging mode of each dynamometer cycle.
(5) Examine the average half-second values which were determined in
paragraphs (d)(3) and (d)(4) of this section and record the three
highest values for each dynamometer cycle.
(6) This smoke trace analysis may be performed by direct analysis of
the recorder traces, or by computer analysis of data collected by
automatic data collection equipment.
[48 FR 52203, Nov. 16, 1983, as amended at 49 FR 48141, Dec. 10, 1984;
62 FR 47123, Sept. 5, 1997]
Sec. 86.884-14 Calculations.
(a) If the measured half-second opacity values were obtained with a
smokemeter with an optical path length different than shown in the table
in Sec. 86.884-8(c), then convert the measured half-second values or the
original instantaneous values to the appropriate equivalent optical path
length values specified in the table. Convert the opacity values
according to the following equations:
Ns=100x(1-(1-Nm/100)Ls/Lm)
Lm and Ls must use consistent units in the above
equation
Where:
Nm=Measured half-second value for conversion, percent opacity
Lm=Measuring smokemeter optical path length, meters
Ls=Standard optical path length corresponding with engine
power, n
Ns=Standard half-second value, percent opacity
(b) Average the 45 readings in Sec. 86.884-13(d)(3) or the
equivalent converted values from paragraph (a) of this section if
appropriate, and designate the value as ``A''. This is the value for the
engine acceleration mode.
(c) Average the 15 readings in Sec. 86.884-13(d)(4) or the
equivalent converted values from paragraph (a) of this section if
appropriate, and designate the value as ``B''. This is the value for the
engine lugging mode.
(d) Average the 9 readings in Sec. 86.884-13(d)(5) or the equivalent
converted values from paragraph (a) of this section if appropriate, and
designate the value as ``C''. This is the value for the peaks in either
mode.
(e)(1) If multiple smokemeters were used, the half-second values for
each mode from each smokemeter shall be combined and the calculated
average based upon the total number of combined values.
(2) For example, if two smokemeters were used for acceleration mode
data, 45 half-second values in each data set from both smokemeters would
be combined to form a data set of 90 values, which would then be
averaged.
[62 FR 47123, Sept. 5, 1997]
Subpart J--Fees for the Motor Vehicle and Engine Compliance Program
Source: 57 FR 30055, July 7, 1992, unless otherwise noted.
[[Page 72]]
Sec. 86.901-93 Abbreviations.
The abbreviations in this section apply to this subpart and have the
following meanings:
CAFE--Corporate Average Fuel Economy,
Cal--California,
CPI--Consumer Price Index,
ESI--Engine System Information,
EPA--U.S. Environmental Protection Agency,
Fed--Federal,
HDE--Heavy-duty engine,
HDV--Heavy-duty vehicle,
ICI--Independent Commercial Importer,
LDV--Light-duty vehicle,
LDT--Light-duty truck,
MC--Motorcycle,
MVEPC--Motor Vehicle and Engine Compliance Program,
MY--Model Year,
OEM--Original equipment manufacturer,
SEA--Selective Enforcement Auditing.
Sec. 86.902-01 Definitions.
(a) The definitions in Sec. 86.902-93 continue to apply to this
subpart.
(b) The definitions in subparts A and S of this part apply to this
subpart.
[64 FR 23922, May 4, 1999]
Sec. 86.902-93 Definitions.
California-only certificate is a Certificate of Conformity issued by
EPA which only signifies compliance with the emission standards
established by California.
Certification request means a manufacturer's request for
certification evidence by the submission of an application for
certification, ESI data sheet, or ICI Carryover data sheet.
Engine-system combination as defined in 40 CFR 86.082-2, means an
engine family-exhaust emission control system combination.
Federal certificate is a Certificate of Conformity issued by EPA
which signifies compliance with emission standards in 40 CFR part 86,
subpart A.
Fuel economy basic engine means a unique combination of
manufacturer, engine displacement, number of cylinders, fuel system,
catalyst usage, and other characteristics specified by the
Administrator.
Filing form means the MVECP Fee Filing Form to be sent with payment
of the MVECP fee.
Signed means a certification request which results in a signed
Certificate of Conformity.
Unsigned means a certification request which does not result in a
signed Certificate of Conformity because it is either voluntarily
withdrawn by the manufacturer or does not receive approval from the EPA.
Sec. 86.903-93 Applicability.
This subpart prescribes fees to be charged for the MVECP for 1993
and later Mys. The fees charged will apply to all manufacturers' and
ICIs' LDVs, LDTs, HDVs, HDEs, and MCs. Nothing in this subpart shall be
construed to limit the Administrator's authority to require manufacturer
or confirmatory testing as provided in the Clean Air Act, including
authority to require manufacturer in-use testing as provided in section
208 of the Clean Air Act.
Sec. 86.904-93 Section numbering; construction.
(a)(1) The MY of initial applicability is indicated by the section
number. The two digits following the hyphen designate the first MY for
which a section is effective. A section remains effective until
superseded.
(2) Example. Section 86.901-93 applies to the 1993 and subsequent
MYs until superseded. If Sec. 86.901-96 is promulgated, it will take
effect beginning with the 1996 MY; Sec. 86.901-93 will apply to MYs 1993
through 1995.
(b)(1) A section reference without a MY suffix refers to the section
applicable for the appropriate MY.
(2) Example. For a reference to Sec. 86.901, one would refer to
Sec. 86.901-xx where xx is the last two digits of the model year in
question.
Sec. 86.905-93 Purpose.
The MVECP includes all compliance, enforcement, and related
activities performed by EPA which are associated with certification,
fuel economy, SEA, and in-use compliance programs. The fee will recover
those compliance, investigation and review costs which the EPA incurs in
providing vehicle and engine manufacturers or ICIs with Certificates of
Conformity, fuel economy
[[Page 73]]
labels, CAFE calculations, and ICI review necessary to market vehicles
in the U.S. and to meet requirements otherwise imposed by statute.
Sec. 86.906-93 MVEPC certification request types.
Certification requests are grouped into three types corresponding to
the three major divisions of regulated mobile sources: LDVs/LDTs; HDVs/
HDEs; and MCs.
Sec. 86.907-01 Fee amounts.
The fee for each certification request type is:
------------------------------------------------------------------------
Model year
Certificate type 2001 and
later
------------------------------------------------------------------------
LDV/LDT:
Fed Signed............................................... $27,211
Cal-only Signed.......................................... 8,956
Fed Unsigned............................................. 2,738
Cal-only Unsigned........................................ 2,738
HDE/HDV:
Fed Signed............................................... 12,584
Cal-only Signed.......................................... 2,145
Fed Unsigned............................................. 2,145
Cal-only Unsigned........................................ 2,145
All Evaporative-only..................................... 2,145
Motorcycles:
Fed Signed............................................... 840
Cal-only Signed.......................................... 840
Fed Unsigned............................................. 840
Cal-only Unsigned........................................ 840
------------------------------------------------------------------------
[64 FR 23922, May 4, 1999]
Sec. 86.907-93 Fee amounts.
The fee for each certification request type is:
------------------------------------------------------------------------
MY 1994
MY 1993 (and
later)
------------------------------------------------------------------------
LDV/LDT
Fed Signed.......................................... $11,865 $23,731
Cal-only Signed..................................... 4,563 9,127
Fed Unsigned........................................ 1,095 2,190
Cal-only Unsigned................................... 1,095 2,190
HDE/HDV
Fed Signed.......................................... 6,292 12,584
Cal-only Signed..................................... 1,072 2,145
Fed Unsigned........................................ 1,072 2,145
Cal-only Unsigned................................... 1,072 2,145
All Evaporative-only................................ 1,072 2,145
MCs
Fed Signed.......................................... 420 840
Cal-only Signed..................................... 420 840
Fed Unsigned........................................ 420 840
Cal-only Unsigned................................... 420 840
------------------------------------------------------------------------
Sec. 86.908-01 Waivers and refunds.
This section includes text that specifies requirements that differ
from Sec. 86.908-93. Where a paragraph in Sec. 86.908-93-01 is identical
and applicable to this section, this may be indicated by specifying the
corresponding paragraph and the statement ``[Reserved]. For guidance see
Sec. 86.908-93.''
(a) [Reserved]. For guidance see Sec. 86.908-93.
(b) Request for refund. The Administrator may refund a specified
part of any fee imposed by Sec. 86.907 if the applicant fails to obtain
a signed certificate and requests a refund.
(1) That portion of the total fee to be refunded will be as follows:
[In percent]
------------------------------------------------------------------------
California-
Federal only
------------------------------------------------------------------------
LDV/LDT.......................................... 89.9 69.4
HDE/HDV.......................................... 83.0 0
HD--Evaporative only............................. 0 0
MC............................................... 0 0
------------------------------------------------------------------------
(2) For a refund of a portion of a waiver payment due to a decrease
in the projected retail sales price of the vehicles or engines to be
covered by the certification request the applicant should submit
documentation to EPA detailing the waiver fee adjustment.
(c) Waiver and refund address. A request for a waiver or refund of
part of a fee shall be submitted in writing by the applicant to the
Environmental Protection Agency, Vehicle Programs and Compliance
Division, 2565 Plymouth Road, Ann Arbor, MI 48105.
[64 FR 23922, May 4, 1999]
Sec. 86.908-93 Waivers and refunds.
(a) Request for waiver. The Administrator may waive part of any fee
imposed by Sec. 86.907 of this subpart.
(1) A waiver will be granted to an applicant if the Administrator
determines that:
(i) The certificate is to be used for sale of vehicles or engines
within the United States; and
(ii) The full fee for a certification request for a MY exceeds 1% of
the aggregate projected retail sales price of all vehicles covered by
that certificate.
(iii) For converted vehicles that are dual- or flexible-fuel
vehicles and can operate on a gaseous fuel, the full fee
[[Page 74]]
for a certification request for a MY exceeds 1% of the value added to
the vehicle by the conversion, for MY 2000 through 2003.
(2) The request for waiver must be submitted prior to the payment of
any fee and shall include evidence, such as prior actual sales, retail
sales price, and previous waiver requests, clearly showing that the
applicant satisfies the two waiver criteria. The retail sales price will
be based on the total projected sales of all vehicles under a
certificate, including vehicles modified under the modification and test
option in 40 CFR 85.1509. For an ICI certificate, the retail sales price
shall be based on the applicable National Automobile Dealer's
Association (NADA) appraisal guide and/or other evidence of the actual
market value.
(3) If a waiver is granted, the fee to be paid by the applicant
shall be 1% of the aggregate projected retail sales price of the
vehicles or engines to be covered by the certification request.
(4) The waiver request will be reviewed by EPA.
(i) EPA or its designee will analyze each waiver request to
determine whether the applicant has met the standards for a waiver and
then will notify the applicant of its grant or denial.
(ii) If the request is denied, the applicant will have 30 days from
the date of notification of the denial to submit the appropriate fee to
EPA or appeal the denial.
(5) Whenever the aggregate projected retail sales price of the
vehicles or engines to be covered by the certification request changes
and/or the certificate which is under a fee waiver expires, the
applicant, as appropriate:
(i) Shall submit a filing form with payment of the additional waiver
fee; or
(ii) May submit a request for a refund.
(6) The total waiver fee shall not exceed the full fee amount for
the applicable certification request type.
(b) Request for refund. The Administrator may refund a specified
part of any fee imposed by Sec. 86.907 of this subpart if the applicant
fails to obtain a signed certificate and requests a refund.
(1) That portion of the total fee to be refunded will be as follows:
------------------------------------------------------------------------
California
Federal only
(percent) (percent)
------------------------------------------------------------------------
LDV/LDT.......................................... 90.8 76.0
HDE/HDV.......................................... 83.0 0
HD-Evaporative only.............................. 0 0
MC............................................... 0 0
------------------------------------------------------------------------
(2) For a refund of a portion of a waiver payment due to a decrease
in the projected retail sales price of the vehicles or engines to be
covered by the certification request the applicant should submit
documentation to EPA detailing the waiver fee adjustment.
(c) Waiver and refund address. A request for a waiver or refund of
part of a fee shall be submitted in writing by the applicant to the
Environmental Protection Agency, Motor Vehicle and Engine Compliance
Program, Certification Division, 2565 Plymouth Road, Ann Arbor, MI
48105.
(d)(1) For model years 2000 through 2003, the required fees under
this subpart shall be waived for any light-duty vehicle, light-duty
truck, or heavy-duty engine family that meets the small volume sales
requirements of Sec. 86.1838-01 and:
(i) Is a dedicated gaseous-fueled vehicle or engine OR;
(ii) Receives a certificate of conformity with the LEV, ILEV, ULEV,
or ZEV emissions standards in 40 CFR part 88.
(2) If the manufacturer does not receive a certificate of conformity
with the LEV, ILEV, ULEV, or ZEV emissions standards in 40 CFR part 88
as required in paragraph (d)(1)(iii) of this section, the fee
requirements of this section will apply. Before any certificate can be
issued, the applicable fee must be paid.
(3) Manufacturers that have paid certification fees for model year
2000 vehicle and engine families that meet the criteria in paragraph
(d)(1) of this section may request a refund of such fees. EPA shall
refund such fees if it determines that the vehicle or engine family
meets the criteria of paragraph (d)(1) of this section.
[57 FR 30055, July 7, 1992, as amended at 65 FR 11904, Mar. 7, 2000]
[[Page 75]]
Sec. 86.909-93 Payment.
(a) All fees required by this section shall be paid by money order,
bank draft, certified check, corporate check, or electronic funds
transfer payable in U.S. dollars to the order of the Environmental
Protection Agency.
(b) All fees shall be forwarded with the filing form to the EPA to
the address designated on the filing form.
(c) An application for which a partial waiver of the fee has been
requested will not be accepted for processing until the appropriate fee
has been determined and the balance waived or, if the waiver has been
denied, the proper fee is submitted after notice of denial.
Sec. 86.910-93 Deficiencies.
(a) Any filing pursuant to Sec. 86.909 of this subpart that is not
accompanied by the appropriate filing fee is deficient.
(b) The Administrator will inform any person who submits a deficient
filing that:
(1) Such filing will be rejected and the amount paid refunded,
unless the appropriate fee is submitted within a specified time;
(2) EPA will not process any filing that is deficient under this
section; and
(3) The date of filing will be deemed the date on which EPA receives
the appropriate fee.
Sec. 86.911-93 Adjustments of fees.
(a) The fee schedule will be changed annually by the same percentage
as the percent change in the CPI for all urban consumers.
(b) This annual change will occur within 60 days following release
of the final estimates of the annual average for the CPI for all urban
consumers by the Department of Labor.
(c) MVECP costs and fees will periodically be reviewed and changes
will be made to the schedule as necessary.
(d) When automatic adjustments are made, based on the CPI, the new
fee will be published in the Federal Register as a final rule to become
effective 30 days or more after publication, as specified in the final
rule.
(e) When changes are made based on periodic reviews, the changes
will be subject to public comment.
Subpart K--Selective Enforcement Auditing of New Heavy-Duty Engines,
Heavy-Duty Vehicles, and Light-Duty Trucks
Source: 45 FR 63772, Sept. 25, 1980, unless otherwise noted.
Sec. 86.1001-84 Applicability.
The provisions of this subpart are applicable for 1984 and later
model year heavy-duty engines and light-duty trucks.
(a) Section numbering; construction. (1) The model year of initial
applicability is indicated by the two digits following the hyphen of the
section number. A section remains in effect for subsequent model years
until it is superseded.
(2) A section reference without a model year suffix shall be
interpreted to be a reference to the section applicable to the
appropriate model year.
(b) References in this subpart to engine families and emission
control systems shall be deemed to apply to durability groups and test
groups as applicable for manufacturers certifying new light-duty
vehicles, light-duty trucks, and Otto-cycle complete heavy-duty vehicles
under the provisions of subpart S of this part.
[54 FR 14559, Apr. 11, 1989, as amended at 62 FR 31238, June 6, 1997; 64
FR 23922, May 4, 1999; 65 FR 59957, Oct. 6, 2000]
Sec. 86.1002-84 Definitions.
(a) The definitions in this section apply to this subpart.
(b) As used in this subpart, all terms not defined herein have the
meaning given them in the Act.
Acceptable Quality Level (AQL) means the maximum percentage of
failing engines or vehicles, that for purposes of sampling inspection,
can be considered satisfactory as a process average.
Configuration means a subclassification, if any, of a heavy-duty
engine family for which a separate projected sales figure is listed in
the manufacturer's Application for Certification and which can be
described on the basis of emission control system, governed speed,
injector size, engine calibration, and other parameters
[[Page 76]]
which may be designated by the Administrator, or a subclassification of
a light-duty truck engine family/emission control system combination on
the basis of engine code, inertia weight class, transmission type and
gear ratios, axle ratio, and other parameters which may be designated by
the Administrator.
Compliance level means an emission level determined during a
Production Compliance Audit pursuant to subpart L of this part.
Test Sample means the collection of vehicles or engines of the same
configuration which have been drawn from the population of engines or
vehicles of that configuration and which will receive exhaust emission
testing.
Inspection Criteria means the pass and fail numbers associated with
a particular sampling plan.
Test Engine means an engine in a test sample.
Test Vehicle means a vehicle in a test sample.
[45 FR 63772, Sept. 25, 1980, as amended at 48 FR 52207, Nov. 16, 1983;
50 FR 35386, Aug. 30, 1985]
Sec. 86.1002-97 Definitions.
(a) The definitions in this section apply to this subpart.
(b) As used in this subpart, all terms not defined in this section
have the meaning given them in the Act.
Acceptable quality level (AQL) means the maximum percentage of
failing engines or vehicles, that for purposes of sampling inspection,
can be considered satisfactory as a process average.
Axle ratio means all ratios within 3% of the axle ratio
specified in the configuration in the test order.
Compliance level means an emission level determined during a
Production Compliance Audit pursuant to subpart L of this part.
Configuration means a subclassification, if any, of a heavy-duty
engine family for which a separate projected sales figure is listed in
the manufacturer's Application for Certification and which can be
described on the basis of emission control system, governed speed,
injector size, engine calibration, and other parameters which may be
designated by the Administrator, or a subclassification of a light-duty
truck engine family/emission control system combination on the basis of
engine code, inertia weight class, transmission type and gear rations,
axle ratio, and other parameters which may be designated by the
Administrator.
Executive Officer means the Executive Officer of the California Air
Resources Board or his or her authorized representative.
Executive Order means the document the Executive Officer grants a
manufacturer for an engine family that certifies the manufacturer has
verified the engine family complies with all applicable standards and
requirements pursuant to Title 13 of the California Code of Regulations.
50-state engine family means an engine family that meets both
federal and California Air Resources Board motor vehicle emission
control regulations and has received a federal certificate of conformity
as well as an Executive Order.
Inspection criteria means the pass and fail numbers associated with
a particular sampling plan.
Test engine means an engine in a test sample.
Test sample means the collection of vehicles or engines of the same
configuration which have been drawn from the population of engines or
vehicles of that configuration and which will receive exhaust emission
testing.
Test vehicle means a vehicle in a test sample.
[62 FR 31238, June 6, 1997]
Sec. 86.1002-2001 Definitions.
(a) The definitions in this section apply to this subpart.
(b) As used in this subpart, all terms not defined in this section
have the meaning given them in the Act.
(1) Acceptable quality level (AQL) means the maximum percentage of
failing engines or vehicles, that for purposes of sampling inspection,
can be considered satisfactory as a process average.
(2) Compliance level means an emission level determined during a
Production Compliance Audit pursuant to subpart L of this part.
(3) Configuration means a subclassification, if any, of a heavy-duty
engine family for which a separate projected
[[Page 77]]
sales figure is listed in the manufacturer's Application for
Certification and which can be described on the basis of emission
control system, governed speed, injector size, engine calibration and
other parameters which may be designated by the Administrator, or for
light-duty trucks a subclassification of a light-duty truck engine
family/emission control system combination on the basis of engine code,
inertia weight class, transmission type and gear ratios, axle ratio, and
other parameters which may be designated by the Administrator and/or a
subclassification of a light-duty truck evaporative/refueling emission
family/emission control system.
(4) Test sample means the collection of vehicles or engines of the
same configuration which have been drawn from the population of vehicles
or engines of that configuration and which will receive emission
testing.
(5) Inspection criteria means the pass and fail numbers associated
with a particular sampling plan.
(6) Test engine means an engine in a test sample.
(7) Test vehicle means a vehicle in a test sample.
(8) Axle ratio means all ratios within 3% of the axle
ratio specified in the configuration in the test order.
(9) Executive Officer means the Executive Officer of the California
Air Resources Board or his or her authorized representative.
(10) Executive Order means the document the Executive Officer grants
a manufacturer for an engine family that certifies the manufacturer has
verified the engine family complies with all applicable standards and
requirements pursuant to Title 13 of the California Code of Regulations.
(11) 50-state engine family means an engine family that meets both
federal and California Air Resources Board motor vehicle emission
control regulations and has received a federal certificate of conformity
as well as an Executive Order.
[59 FR 16304, Apr. 6, 1994, as amended at 62 FR 31238, June 6, 1997]
Sec. 86.1003-90 Test orders.
(a) The Administrator shall require any testing under this subpart
by means of a test order addressed to the manufacturer.
(b) The test order will be signed by the Assistant Administrator for
Air and Radiation or his designee. The test order will be delivered in
person by an EPA Enforcement Officer to a company representative or sent
by registered mail, return receipt requested, to the manufacturer's
representative who signs the Application for Certification submitted by
the manufacturer pursuant to the requirements of this applicable section
of subpart A of this part. Upon receipt of a test order, the
manufacturer shall comply with all of the provisions of this subpart and
instructions in the test order.
(c)(1) The test order will specify the engine or vehicle
configuration selected for testing, the manufacturer's vehicle or engine
assembly plant or associated storage facility from which the engines or
vehicles must be selected, the time and location at which engines or
vehicles must be selected, and the procedure by which engines or
vehicles of the specified configuration must be selected. The test order
may specify the number of vehicles or engines to be selected per day.
(i) If the total production of the specified vehicle configuration
is less than the number specified in the test order, the manufacturer
will select the actual number of vehicles produced per day.
(ii) Heavy-duty engine manufacturers will be required to select a
minimum of four engines per day unless an alternate selection procedure
is approved pursuant to Sec. 86.1007-84(a) or unless total production of
the specified configuration is less than four engines per day. If total
production of the specified configuration is less than four engines per
day, the manufacturer will select the actual number of engines produced
that day.
(2) The test order may include alternative configurations to be
selected for testing in the event that engines or vehicles of the
specified configuration are not available for testing because those
engines or vehicles are not being manufactured during the specified
time, or not being stored at the specified assembly plant or associated
storage facilities.
[[Page 78]]
(3) If the specified configuration is not being manufactured at a
rate of at least four vehicles per day, in the case of light-duty truck
manufacturers, two engines per day, in the case of heavy-duty engine
manufacturers specified in paragraph (g)(1) of Sec. 86.1008-84 or one
engine per day, in the case of heavy-duty engine manufacturers specified
in paragraph (g)(2) of Sec. 86.1008-90, over the expected duration of
the audit, the Assistant Administrator or his designated representative
may select engines or vehicles of the alternate configuration for
testing.
(4) In addition, the test order may include other directions or
information essential to the administration of the required testing.
(d) A manufacturer may submit a list of engine families and the
corresponding assembly plants or associated storage facilities from
which the manufacturer prefers to have engines or vehicles selected for
testing or response to a test order. In order that a manufacturer's
preferred location be considered for inclusion in a test order for a
configuration of a particular engine family, the list must be submitted
prior to issuance of the test order. Notwithstanding the fact that a
manufacturer has submitted the above list, the Administrator may order
selection at other than a preferred location.
(e) Upon receipt of a test order, a manufacturer shall proceed in
accordance with the provisions of this subpart.
(f)(1) During a given model year, the Administrator shall not issue
to a manufacturer more Selective Enforcement Audit (SEA) test orders
than an annual limit determined by the following:
(i) For manufacturers of heavy-duty engines, either petroleum-fueled
or methanol-fueled, the number determined by dividing the projected
heavy-duty engine sales bound for the United States market for that
year, as made by the manufacturer in its Application for Certification,
by 30,000 and rounding to the nearest whole number, unless the projected
sales are less than 15,000, in which case the number is one;
(ii) For manufacturers of petroleum-fueled or methanol-fueled light-
duty trucks, the number determined by dividing the projected light-duty
truck sales bound for the United States market for that model year, as
made by the manufacturer in its report submitted under paragraph (a)(2)
of Sec. 600.207-80 of the Automobile Fuel Economy Regulations, by
300,000 and rounding to the nearest whole number, unless the projected
sales are less than 150,000, in which case the number is one.
(iii) If a manufacturer submits to EPA in writing prior to or during
the model year a reliable sales projection update, that update will be
used for recalculating the manufacturer's annual limit of SEA test
orders.
(2) Any SEA test order for which the configuration fails in
accordance with Sec. 86.1010 or for which testing is not completed will
not be counted against the annual limit.
(3) When the annual limit has been met, the Administrator may issue
additional test orders for those configurations for which evidence
exists indicating noncompliance. An SEA test order issued on this basis
will include a statement as to the reason for its issuance.
[54 FR 14559, Apr. 11, 1989]
Sec. 86.1003-97 Test orders.
Section 86.1003-97 includes text that specifies requirements that
differ from those specified in Sec. 86.1003-90. Where a paragraph in
Sec. 86.1003-90 is identical and applicable to Sec. 86.1003-97, this may
be indicated by specifying the corresponding paragraph and the statement
``[Reserved]. For guidance see Sec. 86.1003-90.''
(a) through (f) [Reserved]. For guidance see Sec. 86.1003-90.
(g) In the event evidence exists indicating an engine family is in
noncompliance, the Administrator may, in addition to other powers
provided by this section, issue a test order specifying the engine
family the manufacturer is required to test.
[62 FR 31238, June 6, 1997]
Sec. 86.1003-2001 Test orders.
Section 86.1003-2001 includes text that specifies requirements that
differ from Sec. 86.1003-88. Where a paragraph in Sec. 86.1003-88 is
identical and applicable
[[Page 79]]
to Sec. 86.1003-2001, this may be indicated by specifying the
corresponding paragraph and the statement ``[Reserved]. For guidance see
Sec. 86.1003-88.'' Where a corresponding paragraph of Sec. 86.1003-88 is
not applicable, this is indicated by the statement ``[Reserved].''.
(a) through (c)(1)(ii) [Reserved]. For guidance see Sec. 86.1003-88.
(c)(1)(iii) Heavy-duty vehicle manufacturers will be required to
select a minimum of four vehicles per day unless an alternate selection
procedure is approved pursuant to Sec. 86.1007-84(a) or unless total
production of the specified configuration is less than four vehicles per
day. If total production of the specified configuration is less than
four vehicles per day, the manufacturer will select the actual number of
vehicles produced per day.
(2) The test order may include alternative configurations to be
selected for testing in the event that engines or vehicles of the
specified configuration are not available for testing because those
engines or vehicles are not being manufactured during the specified
time, or not being stored at the specified assembly plant or associated
storage facilities.
(3) If the specified configuration is not being manufactured at a
rate of at least four vehicles per day, in the case of light-duty truck
manufacturers, two heavy-duty engines or heavy-duty vehicles, in the
case of heavy-duty vehicle and heavy-duty engine manufacturers specified
in Sec. 86.1008-2001(g)(1), or one engine or heavy-duty vehicle per day,
in the case of heavy-duty vehicle or engine manufacturers specified in
Sec. 86.1008-2001(g)(2), over the expected duration of the audit, the
Assistant Administrator or a designated representative may select
engines or vehicles of an alternate configuration for testing.
(4) In addition, the test order may include other directions or
information essential to the administration of the required testing.
(d) A manufacturer may submit a list of engine families and, if
applicable, evaporative/refueling families and the corresponding
assembly plants or associated storage facilities from which the
manufacturer prefers to have engines or vehicles selected for testing in
response to a test order. In order that a manufacturer's preferred
location be considered for inclusion in a test order for a configuration
of a particular engine family and/or evaporative/refueling family, the
list must be submitted prior to issuance of the test order.
Notwithstanding the fact that a manufacturer has submitted the above
list, the Administrator may, upon making the determination that evidence
exists indicating noncompliance at other than the manufacturer's
preferred plant, order testing at such other plant where vehicles of the
configuration specified in the test order are assembled.
(e) Upon receipt of a test order, a manufacturer shall proceed in
accordance with the provisions of this subpart.
(f)(1) During a given model year, the Administrator shall not issue
to a manufacturer more Selective Enforcement Auditing (SEA) test orders
than the annual limit determined by the following:
(i) For manufacturers of heavy-duty engines or vehicles, either
gasoline-fueled or diesel, the number determined by dividing the
projected sales bound for the United States market for that year, as
made by the manufacturer in its Application for Certification, by 30,000
and rounded to the nearest whole number, unless the projected sales are
less than 15,000, in which case the number is one;
(f)(1)(ii) through (f)(3) [Reserved]. For guidance see Sec. 86.1003-
88.
(g) In the event evidence exists indicating an engine family is in
noncompliance, the Administrator may, in addition to other powers
provided by this section, issue a test order specifying the engine
family the manufacturer is required to test.
[59 FR 16305, Apr. 6, 1994, as amended at 62 FR 31238, June 6, 1997]
Sec. 86.1004-84 Testing by the Administrator.
(a) The Administrator may require by test order that engines or
vehicles of a specified configuration be selected in a manner consistent
with the requirements of Sec. 86.1007-84 and submitted to him at such
place as he may designate for the purpose of conducting
[[Page 80]]
emission tests. These tests will be conducted in accordance with
Sec. 86.1008-84 of these regulations to determine whether engines or
vehicles manufactured by the manufacturer conform with the regulations
with respect to which the certificate of conformity was issued.
(b)(1) Whenever the Administrator conducts a test on a test engine
or vehicle or the Administrator and manufacturer each conduct a test on
the same test engine or vehicle, the results of the Administrator's test
will comprise the official data for that engine or vehicle.
(2) Whenever the manufacturer conducts all tests on a test engine or
vehicle, the manufacturer's test data will be accepted as the official
data: Provided, That if the Administrator makes a determination based on
testing under paragraph (a) of this section that there is a substantial
lack of agreement between the manufacturer's test results and the
Administrator's test results, no manufacturer's test data from the
manufacturer's test facility will be accepted for purposes of this
subpart.
(c) If testing conducted under paragraph (a) of this section
demonstrates a lack of agreement under paragraph (b)(2) of this section,
the Administrator shall:
(1) Notify the manufacturer in writing of his determination that the
test facility is inappropriate for conducting the tests required by this
subpart and the reasons therefor; and
(2) Reinstate any manufacturer's data upon a showing by the
manufacturer that the data acquired under paragraph (a) of this section
was erroneous and the manufacturer's data was correct.
(d) The manufacturer may request in writing that the Administrator
reconsider his determination in paragraph (b)(2) of this section based
on data or information which indicates that changes have been made to
the test facility and these changes have resolved the reasons for
disqualification.
Sec. 86.1005-90 Maintenance of records; submittal of information.
(a) The manufacturer of any new petroleum-fueled or methanol-fueled
heavy-duty engine or light-duty truck subject to any of the provisions
of this subpart shall establish, maintain, and retain the following
adequately organized and indexed records:
(1) General records. A description of all equipment used to test
engines or vehicles in accordance with Sec. 86.1008 pursuant to a test
order issued under this subpart, specifically:
(i) If testing heavy-duty gasoline-fueled or methanol-fueled Otto-
cycle engines, the equipment requirements specified in Secs. 86.1306 and
86.1506 of this part;
(ii) If testing heavy-duty petroleum-fueled or methanol-fueled
diesel engines, the equipment requirements specified in Secs. 86.1306-
84, 86.884-8, and 86.884-9 of this part;
(iii) If testing gasoline-fueled or methanol-fueled Ottocycle light-
duty trucks, the equipment requirements specified in Sec. 86.106
(excluding all references to evaporative and particulate emission
testing), Sec. 86.206, and Sec. 86.1506-84 of this subpart; and
(iv) If testing petroleum-fueled or methanol-fueled diesel light-
duty trucks, the equipment requirements specified in Secs. 86.106
(excluding all references to evaporative emission testing) and 86.1506-
83 of this part.
(2) Individual records. These records pertain to each audit
conducted pursuant to this subpart.
(i) The date, time, and location of each test;
(ii) The number of hours of service accumulated on each engine or
the number of miles on the vehicle when the test began and ended;
(iii) The names of all supervisory personnel involved in the conduct
of the audit;
(iv) A record and description of any repairs performed prior to and/
or subsequent to approval by the Administrator, giving the date and time
of the repair, the reason for it, the person authorizing it, and the
names of all supervisory personnel responsible for the conduct of the
repair;
(v) The date when the engine or vehicle was shipped from the
assembly plant or associated storage facility and when it was received
at the testing facility;
(vi) A complete record of all emission tests performed pursuant to
this subpart (except tests performed by EPA
[[Page 81]]
directly), including all individual worksheets and/or other
documentation relating to each test, or exact copies thereof,
specifically
(A) If testing gasoline-fueled or methanol-fueled Otto-cycle heavy-
duty engines, the record requirements specified in Secs. 86.1342 and
86.1542 of this part;
(B) If testing petroleum-fueled or methanol-fueled diesel heavy-duty
engines, the record requirements specified in Secs. 86.1342, 86.1542,
and 86.884-10;
(C) If testing gasoline-fueled or methanol-fueled Ottocycle light-
duty trucks, the record requirements specified in Sec. 86.142 (excluding
all references to diesel vehicles), Sec. 86.242, and Sec. 86.1542; and
(D) If testing petroleum-fueled or methanol-fueled diesel light-duty
trucks, the record requirements specified in Sec. 86.142; and
(vii) A brief description of any significant audit events commencing
with the test engine or vehicle selection process, but not described by
any subparagraph under paragraph (a)(2) of this section, including such
extraordinary events as engine damage during shipment or vehicle
accident.
(viii) A paper copy of the driver's trace for each test.
(3) The manufacturer shall record test equipment description,
pursuant to paragraph (a)(1) of this section, for each test cell that
can be used to perform emission testing under this subpart.
(b) The manufacturer shall retain all records required to be
maintained under this subpart for a period of one (1) year after
completion of all testing in response to a test order. Records may be
retained as hard copy or reduced to microfilm, punch cards, etc.,
depending upon the manufacturer's record retention procedure: Provided,
that in every case all information contained in the hard copy is
retained.
(c) Pursuant to a request made by the Administrator, the
manufacturer shall submit to him the following information with regard
to engine or vehicle production:
(1) Number of engines or vehicles, by configuration and assembly
plant, scheduled for production for the time period designated in the
request.
(2) Number of engines or vehicles, by configuration and assembly
plan, produced during the time period designated in the request which
are complete form introduction into commerce.
(d) Nothing in this section limits the Administrator's discretion in
requiring the manufacturer to retain additional records or submit
information not specifically required by this section.
(e) The manufacturer shall address all reports, submissions,
notifications, and requests for approvals made under this subpart to:
Director, Manufacturers Operations Division, U.S. Environmental
Protection Agency, EN-340, 1200 Pennsylvania Ave., NW., Washington, DC
20460.
[54 FR 14560, Apr. 11, 1989, as amended at 57 FR 31922, July 17, 1992]
Sec. 86.1006-84 Entry and access.
(a) To allow the Administrator to determine whether a manufacturer
is complying with the provisions of this subpart and a test order issued
thereunder, EPA Enforcement Officers are authorized to enter during
operating hours and upon presentation of credentials any of the
following:
(1) Any facility where any engine or vehicle to be introduced into
commerce or any emission related component is manufactured, assembled,
or stored;
(2) Any facility where any tests conducted pursuant to a test order
or any procedures or activities connected with these tests are or were
performed;
(3) Any facility where any engine or vehicle which is being tested,
was tested, or will be tested is present; and
(4) Any facility where any record or other document relating to any
of the above is located.
(b) Upon admission to any facility referred to in paragraph (a) of
this section, EPA Enforcement Officers are authorized to perform the
following inspection-related activities:
(1) To inspect and monitor any aspects of engine or vehicle
manufacture, assembly, storage, testing and other procedures, and the
facilities in which these procedures are conducted;
(2) To inspect and monitor any aspect of engine or vehicle test
procedures or activities, including, but not limited
[[Page 82]]
to, monitoring engine or vehicle selection, preparation, service or
mileage accumulation, preconditioning, emission test cycles, and
maintenance; and to verify calibration of test equipment;
(3) To inspect and make copies of any records or documents related
to the assembly, storage, selection and testing of an engine or vehicle
in compliance with a test order; and
(4) To inspect and photograph any part or aspect of any engine or
vehicle and any component used in the assembly thereof that is
reasonably related to the purpose of the entry.
(c) EPA Enforcement Officers are authorized to obtain reasonable
assistance without cost from those in charge of a facility to help them
perform any function listed in this subpart and are authorized to
request the recipient of a test order to make arrangements with those in
charge of a facility operated for its benefit to furnish reasonable
assistance without cost to EPA whether or not the recipient controls the
facility.
(d) EPA Enforcement Officers are authorized to seek a warrant or
court order authorizing the EPA Enforcement Officers to conduct
activities related to entry and access as authorized in this section, as
appropriate, to execute the functions specified in this section. EPA
Enforcement Officers may proceed ex parte to obtain a warrant whether or
not the Enforcement Officers first attempted to seek permission of the
recipient of the test order or the party in charge of the facilities in
question to conduct activities related to entry and access as authorized
in this section.
(e) A recipient of a test order shall permit EPA Enforcement
Officers who present a warrant or court order as described in paragraph
(d) of this section to conduct activities related to entry and access as
authorized in this section and as described in the warrant or court
order. The recipient shall cause those in charge of its facility or a
facility operated for its benefit to permit EPA Enforcement Officers to
conduct activities related to entry and access as authorized in this
section pursuant to a warrant or court order whether or not the
recipient controls the facility. In the absence of such a warrant or
court order, EPA Enforcement Officers may conduct activities related to
entry and access as authorized in this section only upon the consent of
the recipient of the test order or the party in charge of the facilities
in question.
(f) It is not a violation of this part or the Clean Air Act for any
person to refuse to permit EPA Enforcement Officers to conduct
activities related to entry and access as authorized in this section
without a warrant or court order.
(g) A manufacturer is responsible for locating its foreign testing
and manufacturing facilities in jurisdictions in which local foreign law
does not prohibit EPA Enforcement Officers from conducting the entry and
access activities specified in this section. EPA will not attempt to
make any inspections which it has been informed that local foreign law
prohibits.
(h) For purposes of this section, the following definitions are
applicable:
(1) Presentation of Credentials means display of the document
designating a person as an EPA Enforcement Officer.
(2) Where engine or vehicle storage areas or facilities are
concerned, operating hours means all times during which personnel other
than custodial personnel are at work in the vicinity of the area or
facility and have access to it.
(3) Where facilities or areas other than those covered by paragraph
(h)(2) of this section are concerned, operating hours means all times
during which an assembly line is in operation, engine or vehicle
assembly is taking place, testing, repair, service accumulation,
production or compilation of records is taking place, or any other
procedure or activity related to engine or vehicle manufacture, assembly
or testing is being carried out in a facility.
(4) Reasonable assistance includes, but is not limited to, clerical,
copying, interpreting and translating services, and the making available
on an EPA Enforcement Officer's 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 or her questions.
Any employee whom an EPA Enforcement Officer requests the manufacturer
to cause to appear
[[Page 83]]
for questioning will be entitled to be accompanied, represented and
advised by counsel.
[45 FR 63772, Sept. 25, 1980, as amended at 48 FR 52208, Nov. 16, 1983]
Sec. 86.1007-84 Sample selection.
(a) Engines or vehicles comprising a test sample which are required
to be tested, pursuant to a test order issued in accordance with this
subpart, will be selected at the location and in the manner specified in
the test order. If a manufacturer determines that the test engines or
vehicles cannot be selected in the manner specified in the test order,
an alternative selection procedure may be employed: Provided, That the
manufacturer requests approval of the alternative procedure in advance
of the start of test sample selection and that the Administrator
approves the procedure.
(b) The manufacturer shall have assembled the test engines or
vehicles of the configuration selected for testing using its normal mass
production process for engines or vehicles to be distributed into
commerce. During the audit, the manufacturer shall inform the
Administrator of any change(s) implemented in its production processes,
including quality control, which may reasonably be expected to affect
the emissions of the vehicles or engines selected, between the time the
manufacturer is notified of a test order and the time the manufacturer
finishes selecting test vehicles or engines. In the case of heavy-duty
engines, if the test engines are selected at a location where they do
not have their operational and emission control systems installed, the
test order will specify the manner and location for selection of
components to complete assembly of the engines. The manufacturer shall
assemble these components onto the test engines using normal assembly
and quality control procedures as documented by the manufacturer.
(c) No quality control, testing, or assembly procedures will be used
on the completed test engine or vehicle or any portion thereof,
including parts and subassemblies, that has not been or will not be used
during the production and assembly of all other engines or vehicles of
that configuration, except, that the Administrator may approve a
modification in the normal assembly procedures pursuant to paragraph (b)
of this section.
(d) The test order may specify that EPA Enforcement Officers, rather
than the manufacturer, will select the test engines or vehicles
according to the method specified in the test order.
(e) The order in which test engines or vehicles are selected
determines the order in which test results are to be used in applying
the sampling plan in accordance with Sec. 86.1010-84.
(f) The manufacturer shall keep on hand all untested engines or
vehicles, if any, comprising the test sample until such time as a pass
or fail decision is reached in accordance with Sec. 86.1010-84(d). The
manufacturer may ship any tested engine or vehicle which has not failed
in accordance with Sec. 86.1010-84(b). However, once the manufacturer
ships any test engine or vehicle, it relinquishes the prerogative to
conduct retests as provided in Sec. 86.1008-84(i).
[45 FR 63772, Sept. 25, 1980, as amended at 48 FR 52208, Nov. 16, 1983]
Sec. 86.1008-90 Test procedures.
(a)(1)(i) For heavy-duty engines, the prescribed test procedure is
the Federal Test Procedure, as described in subparts N, I, and P of this
part.
(ii) For heavy-duty vehicles with a GVW of less than 14,000 pounds
(6,400 kilograms), the prescribed test procedure is the Fuel Dispensing
Spitback Test as described in 86.1246-96 of this part. The test for fuel
spitback is conducted as a stand-alone test, thus all references to the
test sequence described in figure M96-1 of subpart M of this part can be
ignored.
(iii) During the testing of heavy-duty diesel engines, the
manufacturer shall decide for each engine, prior to the start of the
initial cold cycle, whether the measurement of background particulate is
required for the cold and hot cycles to be valid. The manufacturer may
choose to have different requirements for the cold and hot cycles. If a
manufacturer chooses to require the measurement of background
particulate, failure to measure background particulate shall void the
test cycle regardless of the test results. If a test cycle is void, the
manufacturer shall
[[Page 84]]
retest using the same validity requirements of the initial test.
(2) For light-duty trucks, the prescribed test procedure is the
Federal Test Procedure as described in subparts B, P, and/or C of this
part. The manufacturer shall not perform the evaporative emission test
procedures contained in subpart B of this part. The Administrator may,
based on advance application by a manufacturer, approve optional test
procedures for use in Selective Enforcement Audit testing.
(3) When testing light-duty trucks the following exceptions to the
test procedures in subpart B are applicable:
(i) For mileage accumulation, the manufacturer may use test fuel
meeting the specifications of mileage and service accumulation fuels of
Sec. 86.113. Otherwise, the manufacturer may use fuels other than those
specified in this section only with the advance approval of the
Administrator.
(ii) The manufacturer may measure the temperature of the test fuel
at other than the approximate mid-volume of the fuel tank, as specified
in Sec. 86.131-96(a) with only a single temperature sensor, and may
drain the test fuel from other than the lowest point of the tank, as
specified in Sec. 86.131-96(b), provided an equivalent method is used.
Equivalency documentation shall be maintained by the manufacturers and
shall be made available to the Administrator upon request.
(iii) The manufacturer may perform additional preconditioning on SEA
test vehicles other than the preconditioning specified in Sec. 86.132
only if the additional preconditioning had been performed on
certification test vehicles of the same configuration.
(iv) If the Administrator elects to use the evaporative canister
preconditioning procedure described in Sec. 86.132-96(k), the
manufacturer shall perform the heat build procedure 11 to 34 hours
following vehicle preconditioning rather than according to the time
period specified in Sec. 86.133-90(a). All references in Sec. 86.133-90
to an evaporative emission enclosure (SHED) and analyzing for HC during
the heat build can be ignored.
(v) The manufacturer may substitute slave tires for the drive wheel
tires on the vehicle as specified in paragraph (e) of Sec. 86.135-90:
Provided, that the slave tires are the same size.
(vi) If the Administrator elects to use the evaporative canister
preconditioning procedure described in Sec. 86.132-96(k), the cold start
exhaust test described in Sec. 86.137 shall follow the heat build
procedure described in Sec. 86.133-90 by not more than one hour.
(vii) In performing exhaust sample analysis under Sec. 86.140.
(A) When testing diesel vehicles or methanol-fueled vehicles, the
manufacturer shall allow a minimum of 20 minutes warm-up for the HC
analyzer, and a minimum of 2 hours warm-up for the CO, CO2
and NOX analyzers. (Power is normally left on infrared and
chemiluminescent analyzers. When not in use, the chopper motors of the
infrared analyzers are turned off and the phototube high voltage supply
to the chemiluminescent analyzers is placed in the standby position.)
(B) The manufacturer shall exercise care to prevent moisture from
condensing in the sample collection bags.
(viii) The manufacturer need not comply with Sec. 86.142, since the
records required therein are provided under other provisions of subpart
K of this part.
(ix) In addition to the requirements of subpart B of this part, the
manufacturer shall prepare gasoline-fueled vehicles and methanol-fueled
vehicles as follows prior to exhaust emission testing:
(A) The manufacturer shall inspect the fuel system to insure the
absence of any leaks of liquid or vapor to the atmosphere by applying a
pressure of 14.5 + 0.5 inches of water to the fuel system, allowing the
pressure to stabilize, and isolating the fuel system from the pressure
source. Following isolation of the fuel system, pressure must not drop
more than 2.0 inches of water in five minutes. If required, the
manufacturer shall perform corrective action in accordance with
Sec. 86.1008 and report this action in accordance with Sec. 86.1009.
(B) When performing this pressure check, the manufacturer shall
exercise care to neither purge nor load the evaporative emission control
system.
[[Page 85]]
(C) The manufacturer shall not modify the test vehicle's evaporative
emission control system by component addition, deletion, or
substitution, except to comply with paragraph (a)(4)(ii) of this section
if approved in advance by the Administrator.
(4) The Administrator, may on the basis of a written application by
a manufacturer, prescribe minor test procedure variations from those set
forth in paragraphs (a)(1) and (a)(2) of this section for any heavy-duty
engine.
(5) When testing light-duty trucks, the following exceptions to the
test procedures in subpart C of this part are applicable:
(i) The manufacturer may measure the temperature of the test fuel at
other than the approximate mid-volume of the fuel tank as specified in
Sec. 86.231(a) and may drain the test fuel from other than the lowest
point of the fuel tank as specified in Sec. 86.231(b) provided an
equivalent method is used. Equivalency documentation shall be maintained
by the manufacturer and shall be made available to the Administrator
upon request.
(ii) In performing exhaust sample analysis under Sec. 86.240, the
manufacturer shall exercise care to prevent moisture from condensing in
the sample collection bags.
(iii) The manufacturer need not comply with Sec. 86.242 since the
records required therein are provided under other provisions of subpart
K of this part.
(iv) In addition to the requirements of subpart C of this part, the
manufacturer shall prepare gasoline-fueled vehicles as follows prior to
exhaust emission testing.
(A) The manufacturer shall inspect the fuel system to ensure the
absence of any leaks of liquid or vapor to the atmosphere by applying a
pressure of 14.50.5 inches of water (3.60.1 kPa)
in the fuel system allowing the pressure to stabilize and isolating the
fuel system from the pressure sources. Following isolation of the fuel
system, pressure must not drop more than 2.0 inches of water (0.5 kPa)
in 5 minutes. If required, the manufacturer shall perform corrective
action in accordance with paragraph Sec. 86.1008(d) and report this
action in accordance with paragraph Sec. 86.1009(d).
(B) When performing this pressure check, the manufacturer shall
exercise care to neither purge nor load the evaporative emission control
system.
(C) The manufacturer shall not modify the test vehicle's evaporative
emission control system by component addition, deletion, or
substitution, except if approved in advance by the Administrator to
comply with paragraph (a)(5)(i) of this section.
(b)(1) The manufacturer shall not adjust, repair, prepare, or modify
the engines or vehicles selected for testing and shall not perform any
emission tests on engines or vehicles selected for testing and shall not
perform any emission tests on engines or vehicles selected for testing
pursuant to the test order unless this adjustment, repair, preparation,
modification, and/or tests are documented in the manufacturer's engine
or vehicle assembly and inspection procedures and are actually performed
or unless these adjustments and/or test are required or permitted under
this subpart or are approved in advance by the Administrator.
(2) For 1984 and later model years the Administrator may adjust or
cause to be adjusted any engine parameter which the Administrator has
determined to be subject to adjustment for certification, Selective
Enforcement Audit, and Production Compliance Audit testing in accordance
with Sec. 86.090-22(e)(1), to any setting within the physically
adjustable range of that parameter, as determined by the Administrator
in accordance with Sec. 86.090-22(e)(3)(ii), prior to the performance of
any tests. However, if the idle speed parameter is one which the
Administrator has determined to be subject to adjustment, the
Administrator shall not adjust it to any setting which causes a lower
engine idle speed than would have been possible within the physically
adjustable range of the idle speed parameter if the manufacturer had
accumulated 125 hours of service on the engine or 4,000 miles on the
vehicle under paragraph (c) of this section, all other parameters being
identically adjusted for the purpose of the comparison. The manufacturer
may be requested to supply information to establish such an alternative
minimum
[[Page 86]]
idle speed. The Administrator, in making or specifying these
adjustments, may consider the effect of the deviation from the
manufacturer's recommended setting on emissions performance
characteristics as well as the likelihood that similar settings will
occur on in-use heavy-duty engines or light-duty trucks. In determining
likelihood, the Administrator may consider factors such as, but not
limited to, the effect of the adjustment on engine or vehicle
performance characteristics and surveillance information from similar
in-use engines or vehicles.
(c) Prior to performing exhaust emission testing on an SEA test
engine, the manufacturer may accumulate on each engine a number of hours
of service equal to the greater of 125 hours or the number of hours the
manufacturer accumulated during certification on the emission-data
engine corresponding to the configuration specified in the test order.
Prior to performing exhaust emission testing on an SEA test vehicle, the
manufacturer may accumulate a number of miles equal to the greater of
4,000 miles or the number of miles the manufacturer accumulated during
certification on the emission data vehicle corresponding to the
configuration specified in the test order.
(1) Service or mileage accumulation must be performed in a manner
using good engineering judgment to obtain emission results
representative of normal production vehicles. This service or mileage
accumulation must be consistent with the new vehicle break-in
instructions contained in the applicable vehicle owner's manual, if any.
(2) The manufacturer shall accumulate service at a minimum rate of
16 hours per engine or mileage at a minimum rate of 300 miles per
vehicle during each 24-hour period, unless otherwise provided by the
Administrator.
(i) The first 24 hour period for service or mileage accumulation
shall begin as soon as authorization checks, inspections and
preparations are completed on each engine or vehicle.
(ii) The minimum service or mileage accumulation rate does not apply
on weekends or holidays.
(iii) If the manufacturer's service or mileage accumulation target
is less than the minimum rate specified (16 hours or 300 miles per day),
then the minimum daily accumulation rate shall be equal to the
manufacturer's service or mileage accumulation target.
(3) Service or mileage accumulation shall be completed on a
sufficient number of test engines or vehicles during consecutive 24-hour
periods to assure that the number of engines or vehicles tested per day
fulfills the requirements of paragraph (g) of this section.
(d) The manufacturer shall not perform any maintenance on test
vehicles or engines after selection for testing, nor shall the
Administrator allow deletion of any test vehicle or engine from the test
sequence, unless requested by the manufacturer, and approved by the
Administrator before any test vehicle or engine maintenance or deletion.
(e) The manufacturer shall expeditiously ship test engines or
vehicles from the point of selection to the test facility. If the test
facility is not located at or in close proximity to the point of
selection, the manufacturer shall assure that test engines or vehicles
arrive at the test facility within 24 hours of selection: Except, that
the Administrator may approve more time based upon a request by the
manufacturer accompanied by a satisfactory justification.
(f) If an engine or vehicle cannot complete the service or mileage
accumulation or emission test because of a malfunction, the manufacturer
may request that the Administrator authorize the repair of that engine
or vehicle or its deletion from the test sequence.
(g) Whenever a manufacturer conducts testing pursuant to a test
order issued under this subpart, the manufacturer shall notify the
Administrator within one working day of receipt of the test order which
test facility will be used to comply with the test order. If no test
cells are available at a desired facility, the manufacturer must provide
alternate testing capability satisfactory to the Administrator.
(1) Heavy-duty engine manufacturers with projected sales for the
United States market for that year of 30,000 or greater shall complete
emission testing at their facility on a minimum of two engines per 24-
hour period, including
[[Page 87]]
each voided test and each diesel engine smoke test.
(2) Heavy-duty engine manufacturers with projected sales for the
United States market for that year of less than 30,000 shall complete
emission testing at their facility on a minimum of one engine per 24-
hour period, including each voided test and each diesel engine smoke
test.
(3) Light-duty truck manufacturers shall complete emission testing
at their facility on a minimum of four engines per 24-hour period,
including each voided test.
(4) The Administrator may approve a lower daily rate of conducting
emission tests based upon a request by a satisfactory justification.
(h) The manufacturer shall perform test engine or vehicle selection,
shipping, preparation, service or mileage accumulation, and testing in
such a manner as to assure that the audit is performed in an expeditious
manner.
(i) The manufacturer may retest any engines or vehicles tested
during a Selective Enforcement Audit once a fail decision for the audit
has been reached in accordance with Sec. 86.1010-84(d) based on the
first test on each engine or vehicle: Except, that the Administrator may
approve retesting at other times based upon a request by the
manufacturer accompanied by a satisfactory justification. The
manufacturer may test each engine or vehicle a total of three times. The
manufacturer shall test each engine or vehicle the same number of times.
The manufacturer may accumulate additional service or mileage before
conducting a retest, subject to the provisions of paragraph (c) of this
section.
[54 FR 14560, Apr. 11, 1989, as amended at 57 FR 31922, July 17, 1992;
58 FR 16046, Mar. 24, 1993; 62 FR 47123, Sept. 5, 1997]
Sec. 86.1008-96 Test procedures.
Section 86.1008-96 includes text that specifies requirements that
differ from Sec. 86.1008-90. Where a paragraph in Sec. 86.1008-90 is
identical and applicable to Sec. 86.1008-96, this is indicated by
specifying the corresponding paragraph and the statement ``[Reserved].
For guidance see Sec. 86.1008-90.'' Where a corresponding paragraph of
Sec. 86.1008-90 is not applicable, this is indicated by the statement
``[Reserved].''
(a)(1)(i) For heavy-duty engines, the prescribed test procedure is
the Federal Test Procedure, as described in subparts N, I, and P of this
part.
(ii) During the testing of heavy-duty diesel engines, the
manufacturer shall decide for each engine, prior to the start of the
initial cold cycle, whether the measurement of background particulate is
required for the cold and hot cycles to be valid. The manufacturer may
choose to have different requirements for the cold and hot cycles. If a
manufacturer chooses to require the measurement of background
particulate, failure to measure background particulate shall void the
test cycle regardless of the test results. If a test cycle is void, the
manufacturer shall retest using the same validity requirements of the
initial test.
(2) For light-duty trucks, the prescribed test procedures are the
FTP as described in subparts B, C, and P of this part and the CST as
described in subpart O of this part. The manufacturer may not perform
the evaporative emission test procedure contained in subpart B. The
Administrator may, based on advance application by a manufacturer,
approve optional test procedures for use in Selective Enforcement Audit
Testing.
(3) [Reserved]. For guidance see Sec. 86.1008-90.
(4) When testing light-duty trucks the following exception to the
test procedures in subpart O of this part is applicable: manufacturer
need not comply with Sec. 86.1442, since the records required therein
are provided under other provisions of subpart K of this part.
(ii) In addition to the requirements of subpart O of this part the
manufacturer must prepare vehicles as described in paragraphs (a)(4)(ii)
(A) through (C) of this section prior to exhaust emission testing.
(A) The manufacturer must inspect the fuel system to insure the
absence of any leaks of liquid or vapor to the atmosphere by applying a
pressure of 14.5 0.5 inches of water to the fuel system,
allowing the pressure to stabilize, and isolating the fuel system from
the pressure source. Pressure must not drop more than 2.0 inches of
water in
[[Page 88]]
five minutes. If required, the manufacturer performs corrective action
in accordance with this section and must report this action in
accordance with Sec. 86.1009.
(B) When performing this pressure check, the manufacturer must
exercise care to neither purge nor load the evaporative system.
(C) The manufacturer may not modify the test vehicle's evaporative
emission control system by component addition, deletion, or
substitution.
(5) [Reserved]. For guidance see Sec. 86.1008-90.
(6) The Administrator may select and prescribe the sequence of any
CSTs. Further, the Administrator may, on the basis of a written
application by a manufacturer, prescribe minor test procedure variations
from those set forth in paragraphs (a) (1) and (2) of this section for
any heavy-duty engine or light-duty truck.
(b) through (i) [Reserved]. For guidance see Sec. 86.1008-90.
[58 FR 58425, Nov. 1, 1993, as amended at 62 FR 47123, Sept. 5, 1997]
Sec. 86.1008-97 Test procedures.
Section 86.1008-97 includes text that specifies requirements that
differ from those specified in Secs. 86.1008-90 and 86.1008-96. Where a
paragraph in Sec. 86.1008-90 or Sec. 86.1008-96 is identical and
applicable to Sec. 86.1008-97, this may be indicated by specifying the
corresponding paragraph and the statement ``[Reserved]. For guidance see
Sec. 86.1008-90.'' or ``[Reserved]. For guidance see Sec. 86.1008-96.''
(a)(1) [Reserved]. For guidance see Sec. 86.1008-96.
(2) For light-duty trucks, the prescribed test procedures are the
Federal Test Procedure, as described in subpart B and/or subpart R of
this part, whichever is applicable, the idle CO test procedure as
described in subpart P of this part, the cold temperature CO test
procedure as described in subpart C of this part, and the Certification
Short Test procedure as described in subpart O of this part. Where the
manufacturer conducts testing based on the requirements specified in
Chapter 1 or Chapter 2 of the California Regulatory Requirements
Applicable to the National Low Emission Vehicle Program (October, 1996),
the prescribed test procedures are the procedures cited in the previous
sentence, or substantially similar procedures, as determined by the
Administrator. The California Regulatory Requirements Applicable to the
National Low Emission Vehicle Program are incorporated by reference (see
Sec. 86.1). For purposes of Selective Enforcement Audit testing, the
manufacturer shall not be required to perform any of the test procedures
in subpart B of this part relating to evaporative emission testing,
except as specified in paragraph (a)(3) of this section. The
Administrator may select and prescribe the sequence of any Certification
Short Tests. Further, the Administrator may, on the basis of a written
application by a manufacturer, approve optional test procedures other
than those in subparts B, C, P, and O of this part for any motor vehicle
which is not susceptible to satisfactory testing using the procedures in
subparts B, C, P, and O of this part.
(3) When testing light-duty trucks the following exceptions to the
test procedures in subpart B and/or subpart R of this part are
applicable:
(i) For mileage accumulation, the manufacturer may use test fuel
meeting the specifications for mileage and service accumulation fuels of
Sec. 86.113-94, or, for vehicles certified to the National LEV
standards, the specifications of Sec. 86.1771. Otherwise, the
manufacturer may use fuels other than those specified in this section
only with the advance approval of the Administrator.
(ii) [Reserved]. For guidance see Sec. 86.1008-90.
(iii) The manufacturer may perform additional preconditioning on
Selective Enforcement Audit test vehicles other than the preconditioning
specified in Sec. 86.132, or Sec. 86.1773 for vehicles certified to the
National LEV standards, only if the additional preconditioning had been
performed on certification test vehicles of the same configuration.
(a)(3)(iv) through (a)(3)(vii) [Reserved]. For guidance see
Sec. 86.1008-90.
(a)(3)(viii) The manufacturer need not comply with Sec. 86.142 or
Sec. 86.1775, since the records required therein are provided under
other provisions of this subpart.
[[Page 89]]
(a)(3)(ix) [Reserved]. For guidance see Sec. 86.1008-90.
(a)(4) [Reserved]. For guidance see Sec. 86.1008-96.
(5) [Reserved]. For guidance see Sec. 86.1008-90.
(6) [Reserved]. For guidance see Sec. 86.1008-96.
(b) through (i) [Reserved]. For guidance see Sec. 86.1008-90.
[62 FR 31238, June 6, 1997]
Sec. 86.1008-2001 Test procedures.
(a)(1)(i) For heavy-duty engines, the prescribed test procedure is
the Federal Test Procedure as described in subparts N, I, and P of this
part. The Administrator, may on the basis of a written application by a
manufacturer, approve optional test procedures other than those in
subparts N, I, and P of this part for any heavy-duty vehicle which is
not susceptible to satisfactory testing using the procedures in subparts
N, I, and P of this part.
(ii) For heavy-duty vehicles the prescribed test procedures are the
Fuel Dispensing Spitback Test as described in Sec. 86.1246-96 (for HDVs
with a GVW of less than 14,000 pounds (6,400 kilograms)); this test for
fuel spitback is conducted as a stand alone test, thus all references to
the test sequence described in figure M96-1 of subpart M of this part
can be ignored. Further, the Administrator may, on the basis of a
written application by a manufacturer, approve optional test procedures
other than those in subpart M of this part for any heavy-duty vehicle
which is not susceptible to satisfactory testing using the procedures in
subpart M of this part.
(iii) During the testing of heavy-duty diesel engines, the
manufacturer shall decide for each engine, prior to the start of the
initial cold cycle, whether the measurement of background particulate is
required for the cold and hot cycles to be valid. The manufacturer may
choose to have different requirements for the cold and hot cycles. If a
manufacturer chooses to require the measurement of background
particulate, failure to measure background particulate shall void the
test cycle regardless of the test results. If a test cycle is void, the
manufacturer shall retest using the same validity requirements of the
initial test.
(2) For light-duty trucks, the prescribed test procedures are the
Federal Test Procedure as described in subpart B and/or subpart R of
this part, whichever is applicable, the idle CO test procedure as
described in subpart P of this part, the cold temperature CO test
procedure as described in subpart C of this part, and the Certification
Short Test procedure as described in subpart O of this part. For
purposes of Selective Enforcement Audit Testing, the manufacturer shall
not be required to perform any of the test procedures in subpart B of
this part relating to evaporative emission testing, other than refueling
emissions testing, except as specified in paragraph (a)(3) of this
section. The Administrator may select and prescribe the sequence of any
CSTs. Further, the Administrator may, on the basis of a written
application by a manufacturer, approve optional test procedures other
than those in subparts B, C, P, O, and R of this part for any motor
vehicle which is not susceptible to satisfactory testing using the
procedures in subparts B, C, P, O, and R of this part.
(3) When testing light-duty trucks, the following exceptions to the
test procedures in subpart B and/or subpart R of this part are
applicable to Selective Enforcement Audit testing:
(i) For mileage accumulation, the manufacturer may use test fuel
meeting the specifications for mileage and service accumulation fuels of
Sec. 86.113, or, for vehicles certified to the National LEV standards,
the specifications of Sec. 86.1771. Otherwise, the manufacturer may use
fuels other than those specified in this section only with the advance
approval of the Administrator.
(ii) The manufacturer may measure the temperature of the test fuel
at other than the approximate mid-volume of the fuel tank, as specified
in Sec. 86.131-96(a) with only a single temperature sensor, and may
drain the test fuel from other than the lowest point of the tank, as
specified in Sec. 86.131-96(b) and Sec. 86.152-98(a), provided an
equivalent method is used. Equivalency documentation shall be maintained
by the manufacturer and shall be made available upon request.
[[Page 90]]
(iii) The manufacturer may perform additional preconditioning on SEA
test vehicles other than the preconditioning specified in Sec. 86.132,
or Sec. 86.1773 for vehicles certified to the National LEV standards,
only if the additional preconditioning was performed on certification
test vehicles of the same configuration.
(iv) If the Administrator elects to use the evaporative/refueling
canister preconditioning procedure described in Sec. 86.132-96(k), the
manufacturer shall perform the heat build procedure 11 to 34 hours
following vehicle preconditioning rather than according to the time
period specified in Sec. 86.133-90(a). All references to an evaporative
emission enclosure and analyzing for HC during the heat build can be
ignored.
(v) The manufacturer may substitute slave tires for the drive wheel
tires on the vehicle as specified in paragraph Sec. 86.135-90(e):
Provided, that the slave tires are the same size.
(vi) If the Administrator elects to use the evaporative/refueling
canister preconditioning procedure described in Sec. 86.132-96(k), the
cold start exhaust emission test described in Sec. 86.137-96 shall
follow the heat build procedure described in Sec. 86.133-90 by not more
than one hour.
(vii) In performing exhaust sample analysis under Sec. 86.140-94.
(A) When testing diesel vehicles, or methanol-fueled Otto-cycle
vehicles, the manufacturer shall allow a minimum of 20 minutes warm-up
for the HC analyzer, and for diesel vehicles, a minimum of two hours
warm-up for the CO, CO2, and NOX analyzers. (Power
is normally left on infrared and chemiluminescent analyzers. When not in
use, the chopper motors of the infrared analyzers are turned off and the
phototube high voltage supply to the chemiluminescent analyzers is
placed in the standby position.)
(B) The manufacturer shall exercise care to prevent moisture from
condensing in the sample collection bags.
(viii) The manufacturer need not comply with Sec. 86.142,
Sec. 86.155, or Sec. 86.1775 since the records required therein are
provided under other provisions of this subpart K.
(ix) If a manufacturer elects to perform the background
determination procedure described in paragraph (a)(3)(xi) of this
section in addition to performing the refueling emissions test
procedure, the elapsed time between the initial and final FID readings
shall be recorded, rounded to the nearest second rather than minute as
described in Sec. 86.154-98(e)(8). In addition, the vehicle soak
described in Sec. 86.153-98(e) shall be conducted with the windows and
luggage compartment of the vehicle open.
(x) The Administrator may elect to perform a seal test, described in
Sec. 86.153-98(b), of both integrated and non-integrated systems instead
of the full refueling test. When testing non-integrated systems, a
manufacturer may conduct the canister purge described in Sec. 86.153-
98(b)(1) directly following the preconditioning drive described in
Sec. 86.132-96(e) or directly following the exhaust emissions test
described in Sec. 86.137-96.
(xi) In addition to the refueling test, a manufacturer may elect to
perform the following background emissions determination immediately
prior to the refueling measurement procedure described in Sec. 86.154-
98, provided EPA is notified of this decision prior to the start of
testing in an SEA.
(A) The SHED shall be purged for several minutes immediately prior
to the background determination. Warning: If at any time the
concentration of hydrocarbons, of methanol, or of methanol and
hydrocarbons exceeds 15,000 ppm C, the enclosure should be immediately
purged. This concentration provides a 4:1 safety factor against the lean
flammability limit.
(B) The FID (or HFID) hydrocarbon analyzer shall be zeroed and
spanned immediately prior to the background determination. If not
already on, the enclosure mixing fan and the spilled fuel mixing blower
shall be turned on at this time.
(C) Place the vehicle in the SHED. The ambient temperature level
encountered by the test vehicle during the entire background emissions
determination shall be 80 deg.F 3 deg.F. The windows and
luggage compartment of the vehicle must be open and the gas cap must be
secured.
[[Page 91]]
(D) Seal the SHED. Immediately analyze the ambient concentration of
hydrocarbons in the SHED and record. This is the initial background
hydrocarbon concentration.
(E) Soak the vehicle for ten minutes 1 minute.
(F) The FID (or HFID) hydrocarbon analyzer shall be zeroed and
spanned immediately prior to the end of the background determination.
(G) Analyze the ambient concentration of hydrocarbons in the SHED
and record. This is the final background hydrocarbon concentration.
(H) The total hydrocarbon mass emitted during the background
determination is calculated according to Sec. 86.156-98. To obtain a
per-minute background emission rate, divide the total hydrocarbon mass
calculated in this paragraph by the duration of the soak, rounded to the
nearest second, described in paragraph (a)(3)(xi)(G) of this section.
(I) The background emission rate is multiplied by the duration of
the refueling measurement obtained in paragraph (a)(3)(ix) of this
section. This number is then subtracted from the total grams of
emissions calculated for the refueling test according to Sec. 86.156-
98(a) to obtain the adjusted value for total refueling emissions. The
final results for comparison with the refueling emission standard shall
be computed by dividing the adjusted value for total refueling mass
emissions by the total gallons of fuel dispensed in the refueling test
as described in Sec. 86.156-98(b).
(xii) In addition to the requirements of subpart B of this part, the
manufacturer shall prepare gasoline-fueled and methanol-fueled vehicles
as follows prior to emission testing:
(A) The manufacturer shall inspect the fuel system to ensure the
absence of any leaks of liquid or vapor to the atmosphere by applying a
pressure of 14.50.5 inches of water (3.60.1 Kpa)
to the fuel system allowing the pressure to stabilize and isolating the
fuel system from the pressure source. Following isolation of the fuel
system, pressure must not drop more than 2.0 inches of water (0.5 Kpa)
in five minutes. If required, the manufacturer shall perform corrective
action in accordance with paragraph (d) of this section and report this
action in accordance with Sec. 86.1009-2001(d).
(B) When performing this pressure check, the manufacturer shall
exercise care to neither purge nor load the evaporative or refueling
emission control systems.
(C) The manufacturer may not modify the test vehicle's evaporative
or refueling emission control systems by component addition, deletion,
or substitution, except to comply with paragraph (a)(3)(ii) of this
section if approved in advance by the Administrator.
(4) When testing light-duty trucks, the following exceptions to the
test procedures in subpart C of this part are applicable to Selective
Enforcement Audit testing:
(i) The manufacturer may measure the temperature of the test fuel at
other than the approximate mid-volume of the fuel tank, as specified in
Sec. 86.131-90(a), and may drain the test fuel from other than the
lowest point of the fuel tank as specified in Sec. 86.131-90(b),
provided an equivalent method is used. Equivalency documentation shall
be maintained by the manufacturer and shall be made available to the
Administrator upon request.
(ii) In performing exhaust sample analysis under Sec. 86.140-94, the
manufacturer shall exercise care to prevent moisture from condensing in
the sample collection bags.
(iii) The manufacturer need not comply with Sec. 86.142-90 since the
records required therein are provided under other provisions of this
subpart K.
(iv) In addition to the requirements of subpart C of this part, the
manufacturer shall prepare gasoline-fueled vehicles as follows prior to
exhaust emission testing:
(A) The manufacturer shall inspect the fuel system to ensure the
absence of any leaks of liquid or vapor to the atmosphere by applying a
pressure of 14.50.5 inches of water (3.60.1 Kpa)
to the fuel system allowing the pressure to stabilize and isolating the
fuel system from the pressure source. Following isolation of the fuel
system, pressure must not drop more than 2.0 inches of water (0.5 Kpa)
in five minutes. If required, the manufacturer
[[Page 92]]
shall perform corrective action in accordance with paragraph (d) of this
section and report this action in accordance with Sec. 86.1009-2001(d).
(B) When performing this pressure check, the manufacturer shall
exercise care to neither purge nor load the evaporative or refueling
emission control system.
(C) The manufacturer shall not modify the test vehicle's evaporative
or refueling emission control system by component addition, deletion, or
substitution, except if approved in advance by the Administrator, to
comply with paragraph (a)(4)(ii) of this section.
(5) When testing light-duty trucks, the exceptions to the test
procedures in subpart O of this part applicable to Selective Enforcement
Audit testing are listed in paragraphs (a)(5) (i) and (ii) of this
section.
(i) The manufacturer need not comply with Sec. 86.1442, since the
records required therein are provided under provisions of this subpart
K.
(ii) In addition to the requirements of subpart O of this part, the
manufacturer must prepare vehicles as in paragraphs (a)(5)(ii) (A)
through (C) of this section prior to exhaust emission testing.
(A) The manufacturer must inspect the fuel system to insure the
absence of any leaks of liquid or vapor to the atmosphere by applying a
pressure of 14.50.5 inches of water (3.60.1 Kpa)
to the fuel system, allowing the pressure to stabilize, and isolating
the fuel system from the pressure source. Pressure must not drop more
than 2.0 inches of water (0.5 Kpa) in five minutes. If required, the
manufacturer performs corrective action in accordance with this section
and must report this action in accordance with Sec. 86.1009-2001.
(B) When performing this pressure check, the manufacturer must
exercise care to neither purge nor load the evaporative or refueling
emission control system.
(C) The manufacturer may not modify the test vehicle's evaporative
or refueling emission control system by component addition, deletion, or
substitution.
(b)(1) The manufacturer shall not adjust, repair, prepare, or modify
the vehicles selected for testing and shall not perform any emission
tests on vehicles selected for testing pursuant to the test order unless
this adjustment repair, preparation, modification, and/or tests are
documented in the manufacturer's vehicle assembly and inspection
procedures and are actually performed or unless these adjustments and/or
tests are required or permitted under this subpart or are approved in
advance by the Administrator.
(2) For 1984 and later model years the Administrator may adjust or
cause to be adjusted any engine or vehicle parameter which the
Administrator has determined to be subject to adjustment for
certification, Selective Enforcement Audit testing, and Production
Compliance Audit testing in accordance with Sec. 86.090-22(c)(1), to any
setting within the physically adjustable range of that parameter, as
determined by the Administrator in accordance with Sec. 86.090-
22(e)(3)(ii), prior to the performance of any tests. However, if the
idle speed parameter is one which the Administrator has determined to be
subject to adjustment, the Administrator shall not adjust it to a
setting which causes a lower engine idle speed than will be possible
within the physically adjustable range of the idle speed parameter if
the manufacturer had accumulated 125 hours of service on the engine or
4,000 miles on the vehicle under paragraph (c) of this section, all
other parameters being identically adjusted for the purpose of
comparison. The manufacturer may be requested to supply information to
establish such an alternative minimum idle speed. The Administrator, in
making or specifying such adjustments, will consider the effect of the
deviation from the manufacturer's recommended setting on emissions
performance characteristics as well as the likelihood that similar
settings will occur on in-use heavy-duty engines or light-duty trucks.
In determining likelihood, the Administrator will consider factors such
as, but not limited to, the effect of the adjustment on engine or
vehicle performance characteristics and surveillance information from
similar in-use vehicles.
[[Page 93]]
(c) Prior to performing emission testing on an SEA test engine, the
manufacturer may accumulate on each engine a number of hours of service
equal to the greater of 125 hours or the number of hours the
manufacturer accumulated during certification on the emission-data
engine corresponding to the configuration specified in the test order.
Prior to performing emission testing on an SEA test vehicle, the
manufacturer may accumulate on each vehicle a number of miles equal to
the greater of 4,000 miles, or the number of miles the manufacturer
accumulated during certification on the emission-data vehicle
corresponding to the configuration specified in the test order.
(1) Service or mileage accumulation must be performed in a manner
using good engineering judgment to obtain emission results
representative of normal production vehicles. This service or mileage
accumulation must be consistent with the new vehicle break-in
instructions contained in the applicable vehicle owner's manual, if any.
(2) The manufacturer shall accumulate service at a minimum rate of
16 hours per engine or mileage at a minimum rate of 300 miles per
vehicle during each 24-hour period, unless otherwise provided by the
Administrator.
(i) The first 24-hour period for service or mileage accumulation
shall begin as soon as authorization checks, inspections and
preparations are completed on each engine or vehicle.
(ii) The minimum service or mileage accumulation rate does not apply
on weekends or holidays.
(iii) If the manufacturer's service or mileage accumulation target
is less than the minimum rate specified (16 hours or 300 miles per day),
then the minimum daily accumulation rate shall be equal to the
manufacturer's service or mileage accumulation target.
(3) Service or mileage accumulation shall be completed on a
sufficient number of test engines or vehicles during consecutive 24-hour
periods to assure that the number of engines or vehicles tested per day
fulfills the requirements of paragraph (g) of this section.
(d) The manufacturer shall not perform any maintenance on test
vehicles or engines after selection for testing, nor shall the
Administrator allow deletion of any test vehicle or engine from the test
sequence, unless requested by the manufacturer, and approved by the
Administrator before any test vehicle or engine maintenance or deletion.
(e) The manufacturer shall expeditiously ship test engines or
vehicles from the point of selection to the test facility. If the test
facility is not located at or in close proximity to the point of
selection, the manufacturer shall assure that the test engines or
vehicles arrive at the test facility within 24 hours of selection:
Except, that the Administrator may approve more time based upon a
request by the manufacturer accompanied by a satisfactory justification.
(f) If an engine or vehicle cannot complete the service or mileage
accumulation or emission test because of a malfunction, the manufacturer
may request that the Administrator authorize the repair of that engine
or vehicle or its deletion from the test sequence.
(g) Whenever the manufacturer conducts testing pursuant to a test
order issued under this subpart, the manufacturer shall notify the
Administrator within one working day of receipt of the test order, which
test facility will be used to comply with the test order and the number
of available test cells at that facility. If no test cells are available
at the desired facility, the manufacturer must provide alternate testing
capability satisfactory to the Administrator.
(1) Heavy-duty engine manufacturers with projected sales for the
United States market for that year of 30,000 or greater shall complete
emission testing at their facility on a minimum of two engines per 24-
hour period, including each voided test and each diesel engine smoke
test.
(2) Heavy-duty engine manufacturers with projected sales for the
United States market for that year of less than 30,000 shall complete
emission testing at their facility on a minimum of one engine per 24-
hour period, including each voided test and each diesel engine smoke
test.
(3) Light-duty truck and heavy-duty vehicle manufacturers shall
perform a
[[Page 94]]
combination of tests pursuant to paragraph (a) of this section so that a
minimum of four tests are performed per 24 hour period, including voided
tests, for each available test cell.
(4) The Administrator may approve a longer period based upon a
request by a manufacturer accompanied by satisfactory justification.
(h) The manufacturer shall perform test engine or vehicle selection,
shipping, preparation, service or mileage accumulation, and testing in
such a manner as to assure that the audit is performed in an expeditious
manner.
(i) The manufacturer may retest any test vehicle or engine after a
fail decision has been reached in accordance with Sec. 86.1010-2001(d)
based on the first test on each vehicle or engine; except that the
Administrator may approve retests at other times during the audit based
upon a request by the manufacturer accompanied by a satisfactory
justification. The manufacturer may test each vehicle or engine a total
of three times. The manufacturer shall test each vehicle or engine the
same number of times. The manufacturer may accumulate additional service
or mileage before conducting retests, subject to the provisions of
paragraph (c) of this section.
[59 FR 16305, Apr. 6, 1994, as amended at 62 FR 31239, June 6, 1997; 62
FR 47123, Sept. 5, 1997]
Sec. 86.1008-2004 Test procedures.
Section 86.1008-2004 includes text that specifies requirements that
differ from Sec. 86.1008-2001. Where a paragraph in Sec. 86.1008-2001 is
identical and applicable to Sec. 86.1008-2004, this may be indicated by
specifying the corresponding paragraph and the statement ``[Reserved].
For guidance see Sec. 86.1008-2001.''.
(a)(1)(i) For heavy-duty engines, the prescribed test procedure is
the Federal Test Procedure as described in subparts N, I, and P of this
part, except that 2004 and later model year engines shall not be subject
to the test procedures specified in Sec. 86.1380, and 2007 and later
model year engines shall not be subject to the test procedures specified
in Secs. 86.1360(b)(2), 86.1360(f), 86.1370, and 86.1372. The
Administrator may, on the basis of a written application by a
manufacturer, approve optional test procedures other than those in
subparts N, I, and P of this part for any heavy-duty vehicle which is
not susceptible to satisfactory testing using the procedures in subparts
N, I, and P of this part.
(a)(1)(ii) through (i) [Reserved]. For guidance see Sec. 86.1008-
2001.
[65 FR 59957, Oct. 6, 2000]
Sec. 86.1009-84 Calculation and reporting of test results.
(a) Initial test results are calculated following the Federal Test
Procedure specified in Sec. 86.1008-94(a). Round the initial test
results to the number of decimal places contained in the applicable
emission standard, expressed to one additional significant figure.
Rounding shall be done in accordance with ASTM E 29-90, Standard
Practice for Using Significant Digits in Test Data to Determine
Conformance with Specifications. This procedure has been incorporated by
reference (see Sec. 86.1).
(b) Final test results for each test vehicle shall be calculated by
summing the initial test results derived in paragraph (a) of this
section for each test engine or vehicle, dividing by the number of tests
conducted on the engine or vehicle, and rounding to the same number of
decimal places contained in the applicable emission standard, expressed
to one additional significant figure. Rounding shall be done in
accordance with ASTM E 29-90, Standard Practice for Using Significant
Digits in Test Data to Determine Conformance with Specifications. This
procedure has been incorporated by reference (see Sec. 86.1).
(c) Final deteriorated test results. (1) The final deteriorated test
results for each heavy-duty engine or light-duty truck tested according
to subpart B, C, D, N, or P of this part are calculated by either adding
or multiplying, as specified in subpart A of this part for the
applicable engine family control system combination, the appropriate
deterioration factor to the final test results for each vehicle or
engine.
(2) The final deteriorated test results for each heavy-duty engine
tested according to subpart I of this part are calculated by adding the
appropriate deterioration factor, derived from the
[[Page 95]]
certification process for the engine family-control system combination
and model year for the selected configuration to which the test engine
belongs, to the final test results. If the deterioration factor computed
during the certification process is less than zero, that deterioration
factor will be zero.
(3) There are no deterioration factors for light-duty trucks tested
in accordance with Sec. 86.146-96 of subpart B of this part or for
heavy-duty vehicles tested in accordance with Sec. 86.1246-96 of subpart
M of this part. Accordingly, for the Fuel Dispensing Spitback Test the
term ``final deteriorated test results'' shall mean the final test
results derived in paragraph (b) of this section for each test vehicle,
rounded to the same number of significant figures contained in the
applicable standard in accordance with ASTM E 29-90, Standard Practice
for Using Significant Digits in Test Data to Determine Conformance with
Specifications. This procedure has been incorporated by reference (see
Sec. 86.1).
(4) The final deteriorated test results are rounded to the same
number of significant figures contained in the applicable standard in
accordance with ASTM E 29-90, Standard Practice for Using Significant
Digits in Test Data to Determine Conformance with Specifications. This
procedure has been incorporated by reference (see Sec. 86.1).
(d) Within five working days after completion of testing of all
engines or vehicles pursuant to a test order, the manufacturer shall
submit to the Administrator a report which includes the following
information:
(1) The location and description of the manufacturer's exhaust
emission test facilities which were utilized to conduct testing reported
pursuant to this section;
(2) The applicable standards or compliance levels against which the
engines or vehicles were tested;
(3) Deterioration factors for the engine family to which the
selected configuration belongs;
(4) A description of the engine or vehicle and any emission-related
component selection method used;
(5) For each test conducted,
(i) Test engine or vehicle description, including:
(A) Configuration and engine family identification,
(B) Year, make and build date,
(C) Engine or vehicle identification number, and
(D) Number of hours of service accumulated on engine or number of
miles on vehicle prior to testing;
(ii) Location where service or mileage accumulation was conducted
and description of accumulation procedure and schedule;
(iii) Test number, date, initial test results before and after
rounding, final test results and final deteriorated test results for all
exhaust emission tests, whether valid or invalid, and the reason for
invalidation, if applicable;
(iv) A complete description of any modification, repair,
preparation, maintenance, and/or testing which was performed on the test
engine or vehicle and has not been reported pursuant to any other
paragraph of this subpart and will not be performed on all other
production engines or vehicles;
(v) Where an engine or vehicle was deleted from the test sequence by
authorization of the Administrator, the reason for the deletion;
(vi) For all valid and invalid exhaust emission tests, carbon
dioxide emission values for LDTs and brake-specific fuel consumption
values for HDEs; and
(vii) Any other information the Administrator may request relevant
to the determination as to whether the new heavy-duty engines or light-
duty trucks being manufactured by the manufacturer do in fact conform
with the regulations with respect to which the certificate of conformity
was issued; and
(6) The following statement and endorsement:
This report is submitted pursuant to Sections 206 and 208 of the
Clean Air Act. This Selective Enforcement Audit was conducted in
complete conformance with all applicable regulations under 40 CFR part
86 et seq., and the conditions of the test order. No emission-related
changes to production processes or quality control procedures for the
vehicle or engine configuration tested have been made between receipt of
the test order and conclusion of the audit. All data and information
reported herein is, to the best of
________________________________________________________________________
[[Page 96]]
(Company Name)
knowledge, true and accurate. I am aware of the penalties associated
with violations of the Clean Air Act and the regulations thereunder.
________________________________________________________________________
(Authorized Company Representative)
[45 FR 63772, Sept. 25, 1980, as amended at 48 FR 52209, Nov. 16, 1983;
50 FR 35387, Aug. 30, 1985; 57 FR 31923, July 17, 1992; 58 FR 16046,
Mar. 24, 1993]
Sec. 86.1009-96 Calculation and reporting of test results.
Section 86.1009-96 includes text that specifies requirements that
differ from Sec. 86.1009-84. Where a paragraph in Sec. 86.1009-84 is
identical and applicable to Sec. 86.1009-96, this is indicated by
specifying the corresponding paragraph and the statement ``[Reserved].
For guidance see Sec. 86.1009-84.'' Where a corresponding paragraph of
Sec. 86.1009-84 is not applicable, this is indicated by the statement
``[Reserved].''
(a) Initial test results are calculated following the test
procedures specified in Sec. 86.1008(a). Round these results to the
number of decimal places contained in the applicable emission standard
expressed to one additional significant figure. Rounding is done in
accordance with ASTM E 29-90, Standard Practice for Using Significant
Digits in Test Data to Determine Conformance with Specifications. This
procedure has been incorporated by reference (see Sec. 86.1).
(b) Final test results are calculated by summing the initial test
results within a specific FTP, CST, or Cold Temperature CO Test
Procedure derived in paragraph (a) of this section for each test engine
or vehicle, dividing by the number of times that specific FTP, CST, or
Cold Temperature CO Test Procedure has been conducted on the engine or
vehicle, and rounding in accordance with ASTM E29-90 to the same number
of decimal places contained in the applicable standard expressed to one
additional significant figure. Rounding is done in accordance with ASTM
E 29-90, Standard Practice for Using Significant Digits in Test Data to
Determine Conformance with Specifications. This procedure has been
incorporated by reference (see Sec. 86.1).
(c) Final deteriorated test results. (1) The final deteriorated test
results for each heavy-duty engine or light-duty truck tested according
to subpart B, C, D, I, N, or P of this part are calculated by
multiplying or adding the final test results by the appropriate
deterioration factor, derived from the certification process for the
engine family-control system combination and model year for the selected
configuration to which the test engine or vehicle belongs. If the
multiplicative deterioration factor as computed during the certification
process is less than one, that deterioration factor is one. If the
additive deterioration factor as computed during the certification
process is less than zero, that deterioration factor will be zero.
(2) [Reserved]
(3)(i) There are no deterioration factors for light-duty vehicles
tested in accordance with subpart O of this part. Accordingly, for the
CST the term ``final deteriorated test results'' means the final test
results derived in paragraph (b) of this section for each test vehicle.
(ii) There are no deterioration factors for light-duty trucks tested
in accordance with Sec. 86.146-96 or for heavy-duty vehicles tested in
accordance with Sec. 86.1246-96. Accordingly, for the Fuel Dispensing
Spitback Test the term ``final deteriorated test results'' means the
final test results derived in paragraph (b) of this section for each
test vehicle.
(4) The final deteriorated test results are rounded to the same
number of significant figures contained in the applicable standard in
accordance with ASTM E 29-90, Standard Practice for Using Significant
Digits in Test Data to Determine Conformance with Specifications. This
procedure has been incorporated by reference (see Sec. 86.1).
(d) [Reserved]. For guidance see Sec. 86.1009-84.
[58 FR 58425, Nov. 1, 1993]
Sec. 86.1009-97 Calculation and reporting of test results.
Section 86.1009-97 includes text that specifies requirements that
differ from those specified in Secs. 86.1009-84 and 86.1009-96. Where a
paragraph in Sec. 86.1009-84 or Sec. 86.1009-96 is identical
[[Page 97]]
and applicable to Sec. 86.1009-97, this may be indicated by specifying
the corresponding paragraph and the statement ``[Reserved]. For guidance
see Sec. 86.1009-84.'' or ``[Reserved]. For guidance see Sec. 86.1009-
96.''.
(a) and (b) [Reserved]. For guidance see Sec. 86.1009-96.
(c) Final deteriorated test results. (1) The final deteriorated test
results for each heavy-duty engine or light-duty truck tested according
to subpart B, C, D, I, N, P, or R of this part are calculated by first
multiplying or adding, as appropriate, the final test results by or to
the appropriate deterioration factor derived from the certification
process for the engine family control system combination and model year
to which the selected configuration belongs, and then by multiplying by
the appropriate reactivity adjustment factor, if applicable. If the
multiplicative deterioration factor as computed during the certification
process is less than one, that deterioration factor will be one. If the
additive deterioration factor as computed during the certification
process is less than zero, that deterioration factor will be zero.
(c)(2) [Reserved]
(c)(3) through (c)(4) [Reserved]. For guidance see Sec. 86.1009-96.
(d) [Reserved]. For guidance see Sec. 86.1009-84.
[62 FR 31239, June 6, 1997]
Sec. 86.1009-2001 Calculation and reporting of test results.
(a) Initial test results are calculated following the Federal Test
Procedure specified in Sec. 86.1008-2001(a). Rounding is done in
accordance with ASTM E 29-67 (reapproved 1980) (as referenced in
Sec. 86.094-28 (a)(4)(i)(B)(2)(ii) to the number of decimal places
contained in the applicable emission standard expressed to one
additional significant figure.
(b) Final test results are calculated by summing the initial test
results derived in paragraph (a) of this section for each test vehicle
or engine, dividing by the number of times that specific test has been
conducted on the vehicle or engine, and rounding to the same number of
decimal places contained in the applicable standard expressed to one
additional significant figure. Rounding is done in accordance with ASTM
E 29-67 (reapproved 1980) (as referenced in Sec. 86.094-
28(a)(4)(i)(B)(2)(ii)).
(c) Final deteriorated test results. (1) The final deteriorated test
results for each light-duty truck, heavy-duty engine, or heavy-duty
vehicle tested according to subpart B, C, D, I, M, N, P, or R of this
part are calculated by first multiplying or adding, as appropriate, the
final test results by or to the appropriate deterioration factor derived
from the certification process for the engine or evaporative/refueling
family and model year to which the selected configuration belongs, and
then by multiplying by the appropriate reactivity adjustment factor, if
applicable. For the purpose of this paragraph (c), if a multiplicative
deterioration factor as computed during the certification process is
less than one, that deterioration factor will be one. If an additive
deterioration factor as computed during the certification process is
less than zero, that deterioration factor will be zero.
(2) Exceptions. There are no deterioration factors for light-duty
truck emissions obtained during testing in accordance with subpart O of
this part or with Sec. 86.146-96. Accordingly, for the CST and the fuel
dispensing spitback test the term ``final deteriorated test results''
means the final test results derived in paragraph (b) of this section
for each test vehicle.
(3) The final deteriorated test results obtained in paragraph (c)
(1) and (2) of this section are rounded to the same number of decimal
places contained in the applicable emission standard. Rounding is done
in accordance with ASTM E 29-67 (reapproved 1980) (as referenced in
Sec. 86.094-28(a)(4)(i)(B)(2)(ii)).
(d) Within five working days after completion of testing of all
engines or vehicles pursuant to a test order, the manufacturer shall
submit to the Administrator a report which includes the following
information:
(1) The location and description of the manufacturer's emission test
facilities which were utilized to conduct testing reported pursuant to
this section.
(2) The applicable standards or compliance levels against which the
engines or vehicles were tested.
[[Page 98]]
(3) Deterioration factors for the selected configuration.
(4) A description of the engine or vehicle and any emission-related
component selection method used.
(5) For each test conducted.
(i) Test engine or vehicle description including:
(A) Configuration, engine family, and evaporative/refueling family
identification.
(B) Year, make, build date, and model of vehicle.
(C) Vehicle Identification Number.
(D) Miles accumulated on vehicle.
(ii) Location where mileage accumulation was conducted and
description of accumulation schedule.
(iii) Test number, date initial test results, final results and
final deteriorated test results for all valid and invalid exhaust
emission tests, and the reason for invalidation, if applicable.
(iv) A complete description of any modification, repair,
preparation, maintenance and/or testing which was performed on the test
engine or vehicle and has not been reported pursuant to any other
paragraph of this subpart and will not be performed on all other
production engines or vehicles.
(v) Where an engine or vehicle was deleted from the test sequence by
authorization of the Administrator, the reason for the deletion.
(vi) For all valid and invalid exhaust emission tests, carbon
dioxide emission values for LDTs and brake-specific fuel consumption
values for HDEs.
(vii) Any other information the Administrator may request relevant
to the determination as to whether the new motor vehicles being
manufactured by the manufacturer do in fact conform with the regulations
with respect to which the certificate of conformity was issued.
(6) The following statement and endorsement:
This report is submitted pursuant to sections 206 and 208 of the
Clean Air Act. This Selective Enforcement Audit was conducted in
complete conformance with all applicable regulations under 40 CFR part
86 and the conditions of the test order. No emission related change(s)
to production processes or quality control procedures for the engine or
vehicle configuration tested have been made between receipt of this test
order and conclusion of the audit. All data and information reported
herein is, to the best of
________________________________________________________________________
(Company Name)
knowledge, true and accurate. I am aware of the penalties associated
with violations of the Clean Air Act and the regulations thereunder.
________________________________________________________________________
(Authorized Company Representative)
[59 FR 16308, Apr. 6, 1994, as amended at 62 FR 31239, June 6, 1997]
Sec. 86.1010-96 Compliance with acceptable quality level and passing and
failing criteria for Selective Enforcement Audits.
(a) The prescribed acceptable quality level is 40 percent.
(b) A failed engine or vehicle is one whose final deteriorated test
results pursuant to Sec. 86.1009(c), for one or more of the applicable
pollutants, including fuel spitback, exceed the applicable emission
standard or compliance level. For the CST as described in subpart O of
this part, a vehicle fail determination is made if the final
deteriorated test results for HC and/or CO emissions from any CST exceed
the applicable emission standard.
(c) Pass/fail criteria. (1) The manufacturer must test heavy-duty
engines, heavy duty vehicles, or light-duty trucks comprising the test
sample until a pass decision is reached for all pollutants, or a fail
decision is reached for one pollutant. A pass decision is reached when
the cumulative number of failed engines or vehicles, as defined in
paragraph (b) of this section, for each pollutant is less than or equal
to the pass decision number appropriate to the cumulative number of
engines or vehicles tested. A fail decision is reached when the
cumulative number of failed engines or vehicles for one or more
pollutants is greater than or equal to the fail decision number
appropriate to the cumulative number of engines or vehicles tested. The
pass and fail decision numbers associated with the cumulative number of
engines or vehicles tested are determined by use of the tables in
appendix X to this part appropriate to the projected sales as made by
the heavy-duty engine or heavy-duty vehicle manufacturer in its
Application for Certification, or as
[[Page 99]]
made by the light-duty truck manufacturer as made in its report
submitted under Sec. 600.207-80(a)(2) of this chapter (Automobile Fuel
Economy Regulations). In the tables in appendix X to this part, sampling
plan ``stage'' refers to the cumulative number of engines or vehicles
tested. Once a pass or fail decision has been made for a particular
pollutant, the number of engines or vehicles whose final deteriorated
test results exceed the emission standard or compliance level, if
applicable, for that pollutant may not be considered any further for
purposes of the audit.
(2) CST criteria only. A pass/fail decision is made based on the CST
in its entirety rather than on a per pollutant basis. The manufacturer
must test vehicles comprising the test sample until a pass or fail
decision is reached for the CST. A pass decision is reached when the
cumulative number of failed vehicles, as defined in paragraph (b) of
this section, based on CST testing, is less than or equal to the pass
decision number appropriate to the cumulative number of vehicles tested.
A fail decision is reached when the cumulative number of failed vehicles
based on CST testing is greater than or equal to the fail decision
number appropriate to the cumulative number of vehicles tested. The pass
and fail decision numbers associated with the cumulative number of
vehicles tested are determined by use of the tables in appendix X to
this part appropriate to the projected sales as made by the light-duty
truck manufacturer as made in its report submitted under Sec. 600.207-
80(a)(2) of this chapter (Automobile Fuel Economy Regulations). In the
tables in appendix X to this part, sampling plan ``stage'' refers to the
cumulative number of engines or vehicles tested. Once a pass or fail
decision has been made based on CST testing, the number of vehicles
whose final deteriorated test results exceed any of the emission
standards for any CST may not be considered any further for purposes of
the audit.
(d) Passing or failing of a SEA occurs when the decision is made on
the last engine or vehicle required to make a decision under paragraph
(c) of this section.
(e) The Administrator may terminate testing earlier than required in
paragraph (c) of this section.
[58 FR 58426, Nov. 1, 1993]
Sec. 86.1010-2001 Compliance with acceptable quality level and passing and
failing criteria for Selective Enforcement Audits.
(a) The prescribed acceptable quality level is 40 percent.
(b) A failed vehicle or engine is one whose final deteriorated test
results pursuant to Sec. 86.1009-2001(c) exceed at least one of the
applicable emission standards associated with the test procedures
pursuant to Sec. 86.1008-2001(a).
(c)(1) Pass/fail criteria. The manufacturer shall test light-duty
trucks, heavy-duty engines, or heavy-duty vehicles comprising the test
sample until a pass decision is reached for all of the pollutants
associated with all of the test procedures pursuant to Sec. 86.1008-
2001(a) or a fail decision is reached for one of these pollutants. A
pass decision is reached when the cumulative number of failed vehicles
or engines, as defined in paragraph (b) of this section, for each
pollutant is less than or equal to the fail decision number appropriate
to the cumulative number of vehicles tested. A fail decision is reached
when the cumulative number of failed vehicles or engines for one
pollutant is greater than or equal to the fail decision number
appropriate to the cumulative number of vehicles tested. The pass and
fail decision numbers associated with the cumulative number of vehicles
tested are determined by use of the tables in appendix X of this part
appropriate to the projected sales as made by the heavy-duty engine or
heavy-duty vehicle manufacturer in its Application for Certification, or
as made by the light-duty truck manufacturer in its report submitted
under Sec. 600.207-80(a)(2) of this chapter (Automobile Fuel Economy
Regulations). In the tables in appendix X of this part, sampling plan
``stage'' refers to the cumulative number of vehicles or engines tested.
Once a pass decision has been made for a particular pollutant associated
with a particular test procedure pursuant to Sec. 86.1008-2001(a), the
number of vehicles or engines whose final deteriorated test results
exceed the
[[Page 100]]
emission standard for that pollutant may not be considered any further
for purposes of the audit.
(2) CST criteria only. For CST testing pursuant to subpart O, a pass
or fail decision is determined according to the pass/fail criteria
described in paragraph (c)(1) of this section, except that for each
vehicle, the CST in its entirety is considered one pollutant.
(d) Passing or failing of an SEA audit occurs when the decision is
made on the last vehicle or engine required to make a decision under
paragraph (c) of this section.
(e) The Administrator may terminate testing earlier than required in
paragraph (c) of this section.
[59 FR 16309, Apr. 6, 1994]
Sec. 86.1012-84 Suspension and revocation of certificates of conformity.
(a) The certificate of conformity is suspended with respect to any
engine or vehicle failing pursuant to paragraph (b) of Sec. 86.1010-84
effective from the time that testing of that engine or vehicle is
completed.
(b) The Administrator may suspend the certificate of conformity for
a configuration which does not pass an SEA, pursuant to paragraph
Sec. 86.1010-84(c), based on the first test or all tests conducted on
each engine or vehicle. This suspension will not occur before ten days
after failure to pass the audit.
(c)-(d) [Reserved]
(e) If the results of testing pursuant to these regulations indicate
that engines or vehicles of a particular configuration produced at one
plant of a manufacturer do not conform to the regulations with respect
to which the certificate of conformity was issued, the Administrator may
suspend the certificate of conformity with respect to that configuration
for engines or vehicles manufactured by the manufacturer at all other
plants.
(f) [Reserved]
(g) The Administrator shall notify the manufacturer in writing of
any suspension or revocation of a certificate of conformity in whole or
in part: Except, That the certificate is immediately suspended with
respect to any failed engines or vehicles as provided for in paragraph
(a) of this section.
(h) The Administrator may revoke a certificate of conformity for a
configuration when the certificate has been suspended pursuant to
paragraph (b), (c) or (e) of this section if the proposed remedy for the
nonconformity, as reported by the manufacturer to the Administrator, is
one requiring a design change or changes to the engine and/or emission
control system as described in the Application for Certification of the
affected configuration.
(i) Once a certificate has been suspended for a failed engine or
vehicle as provided for in paragraph (a) of this section, the
manufacturer shall take the following actions:
(1) Before the certificate is reinstated for that failed engine or
vehicle,
(i) Remedy the nonconformity, and
(ii) Demonstrate that the engine or vehicle conforms to applicable
standards or compliance levels by retesting the engine or vehicle in
accordance with these regulations; and
(2) Submit a written report to the Administrator, after successful
completion of testing on the failed engine or vehicle, which contains a
description of the remedy and test results for each engine or vehicle in
addition to other information that may be required by this regulation.
(j) Once a certificate for a failed configuration has been suspended
pursuant to paragraph (b), (c) or (e) of this section, the manufacturer
shall take the following actions before the Administrator will consider
reinstating the certificate:
(1) Submit a written report to the Administrator which identifies
the reason for the noncompliance of the engines or vehicles, describes
the proposed remedy, including a description of any proposed quality
control and/or quality assurance measures to be taken by the
manufacturer to prevent future occurrences of the problem, and states
the date on which the remedies will be implemented; and
(2) Demonstrate that the engine or vehicle configuration for which
the certificate of conformity has been suspended does in fact comply
with these regulations by testing engines or vehicles selected from
normal production runs of that engine or vehicle configuration, at the
plant(s) or associated
[[Page 101]]
storage facilities specified by the Administrator, in accordance with
the conditions specified in the initial test order. If the manufacturer
elects to continue testing individual engines or vehicles after
suspension of a certificate, the certificate is reinstated for any
engine or vehicle actually determined to be in conformance with the
applicable standards or compliance levels through testing in accordance
with the applicable test procedures, provided that the Administrator has
not revoked the certificate pursuant to paragraph (h) of this section.
(k) Once the certificate has been revoked for a configuration and
the manufacturer desires to continue introduction into commerce of a
modified version of that configuration, the following actions shall be
taken before the Administrator may consider issuing a certificate for
that modified configuration:
(1) If the Administrator determines that the proposed change(s) in
engine or vehicle design may have an effect on emission performance
deterioration or, in the case of light-duty trucks, on fuel economy, the
Administrator shall notify the manufacturer, within five (5) working
days after receipt of the report in paragraph (h) of this section,
whether subsequent testing under this subpart will be sufficient to
evaluate the proposed change or changes or whether additional testing
will be required; and
(2) After implementing the change or changes intended to remedy the
nonconformity, the manufacturer shall demonstrate that the modified
engine or vehicle configuration does in fact conform with these
regulations by testing engines or vehicles selected from normal
production runs of that modified engine or vehicle configuration in
accordance with the conditions specified in the initial test order. This
testing will be considered by the Administrator to satisfy the testing
requirements of Sec. 86.078-32 or Sec. 86.079-33 if the Administrator
has so notifed the manufacturer. If the subsequent audit results in
passing of the audit at the level of the standards or compliance levels,
if applicable, the Administrator shall reissue or amend the certificate,
as the case may be, to include that configuration, provided that the
manufacturer has satisfied the testing requirements of paragraph (k)(1)
of this section. If the subsequent audit is failed, the revocation
remains in effect. Any design change approvals under this subpart are
limited to the configuration affected by the test order.
(l) At any time subsequent to an initial suspension of a certificate
of conformity for a test engine or vehicle pursuant to paragraph (a) of
this section, but not later than fifteen (15) days or such other period
as may be allowed by the Administrator after notification of the
Administrator's decision to suspend or revoke a certificate of
conformity in whole or in part pursuant to paragraphs (b), (c), (d),
(e), or (h) of this section, a manufacturer may request a hearing as to
whether the tests have been properly conducted or any sampling methods
have been properly applied.
(m) After the Administrator suspends or revokes a certificate of
conformity pursuant to this section or notifies a manufacturer of his
intent to suspend, revoke or void a certificate of conformity under
paragraph Sec. 86.087-30(e), and prior to the commencement of a hearing
under Sec. 86.1014-84, if the manufacturer demonstrates to the
Administrator's satisfaction that the decision to suspend, revoke or
void the certificate was based on erroneous information, the
Administrator shall reinstate the certificate.
(n) To permit a manufacturer to avoid storing non-test engines or
vehicles when conducting an audit of a configuration subsequent to
suspension or revocation of the certificate of conformity for that
configuration resulting from failure of an SEA, it may request that the
Administrator conditionally reinstate the certificate for that
configuration. The Administrator may reinstate the certificate subject
to the condition that the manufacturer consents to recall all engines or
vehicles of that configuration produced from the time the certificate is
conditionally reinstated if the configuration fails the subsequent audit
at the level
[[Page 102]]
of the standard and to remedy any nonconformity at no expense to the
owner.
[45 FR 63772, Sept. 25, 1980, as amended at 48 FR 52209, Nov. 16, 1983;
50 FR 35387, Aug. 30, 1985]
Sec. 86.1012-97 Suspension and revocation of certificates of conformity.
(a) The certificate of conformity is immediately suspended with
respect to any engine or vehicle failing pursuant to Sec. 86.1010(b)
effective from the time that testing of that engine or vehicle is
completed.
(b)(1) Selective Enforcement Audits. The Administrator may suspend
the certificate of conformity for a configuration that does not pass a
Selective Enforcement Audit pursuant to Sec. 86.1010(c) based on the
first test, or all tests, conducted on each engine or vehicle. This
suspension will not occur before ten days after failure to pass the
audit.
(2) California Assembly-Line Quality Audit Testing. The
Administrator may suspend the certificate of conformity for a 50-state
engine family or configuration tested in accordance with procedures
prescribed under Sec. 86.1008 that the Executive Officer has determined
to be in non-compliance with one or more applicable pollutants based on
Chapter 1 or Chapter 2 of the California Regulatory Requirements
Applicable to the National Low Emission Vehicle Program (October, 1996),
if the results of vehicle testing conducted by the manufacturer do not
meet the acceptable quality level criteria pursuant to Sec. 86.1010. The
California Regulatory Requirements Applicable to the National Low
Emission Vehicle Program (October, 1996) are incorporated by reference
(see Sec. 86.1). A vehicle that is tested by the manufacturer in
accordance with procedures prescribed under Sec. 86.1008 and determined
to be a failing vehicle pursuant to Chapter 1 or Chapter 2 of the
California Regulatory Requirements Applicable to the National Low
Emission Vehicle Program (October, 1996) will be treated as a failed
vehicle described in Sec. 86.1010(b), unless the manufacturer can show
that the vehicle would not be considered a failed vehicle using the test
procedures specified in Sec. 86.1008. This suspension will not occur
before ten days after the manufacturer receives written notification
that the Administrator has determined the 50-state engine family or
configuration exceeds one or more applicable federal standards.
(c)(1) Selective Enforcement Audits. If the results of engine or
vehicle testing pursuant to the requirements of this subpart indicate
that engines or vehicles of a particular configuration produced at more
than one plant do not conform to the regulations with respect to which
the certificate of conformity was issued, the Administrator may suspend
the certificate of conformity with respect to that configuration for
engines or vehicles manufactured by the manufacturer in other plants of
the manufacturer.
(2) California Assembly-Line Quality Audit Testing. If the
Administrator determines that the results of vehicle testing pursuant to
Chapter 1 or Chapter 2 of the California Regulatory Requirements
Applicable to the National Low Emission Vehicle Program (October, 1996)
and the procedures prescribed in Sec. 86.1008 indicate the vehicles of a
particular 50-state engine family or configuration produced at more than
one plant do not conform to applicable regulations with respect to which
a certificate of conformity was issued, the Administrator may suspend,
pursuant to paragraph (b)(2) of this section, the certificate of
conformity with respect to that engine family or configuration for
vehicles manufactured by the manufacturer in other plants of the
manufacturer. The California Regulatory Requirements Applicable to the
National Low Emission Vehicle Program (October, 1996) are incorporated
by reference (see Sec. 86.1).
(d) The Administrator will notify the manufacturer in writing of any
suspension or revocation of a certificate of conformity in whole or in
part: Except, that the certificate is immediately suspended with respect
to any failed engines or vehicles as provided for in paragraph (a) of
this section.
(e)(1) Selective Enforcement Audits. The Administrator may revoke a
certificate of conformity for a configuration when the certificate has
been suspended pursuant to paragraph (b)(1) or (c)(1) of this section if
the proposed
[[Page 103]]
remedy for the nonconformity, as reported by the manufacturer to the
Administrator is one requiring a design change(s) to the engine and/or
emission control system as described in the Application for
Certification of the affected configuration.
(2) California Assembly-Line Quality Audit Testing. The
Administrator may revoke a certificate of conformity for an engine
family or configuration when the certificate has been suspended pursuant
to paragraph (b)(2) or (c)(2) of this section if the proposed remedy for
the nonconformity, as reported by the manufacturer to the Executive
Officer and/or the Administrator, is one requiring a design change(s) to
the engine and/or emission control system as described in the
Application for Certification of the affected engine family or
configuration.
(f) Once a certificate has been suspended for a failed engine or
vehicle as provided for in paragraph (a) of this section, the
manufacturer must take the following actions:
(1) Before the certificate is reinstated for that failed engine or
vehicle--
(i) Remedy the nonconformity; and
(ii) Demonstrate that the engine or vehicle's final deteriorated
test results conform to the applicable emission standards or family
particulate emission limits, as defined in this part 86 by retesting the
engine or vehicle in accordance with the requirements of this subpart.
(2) Submit a written report to the Administrator within thirty days
after successful completion of testing on the failed engine or vehicle,
which contains a description of the remedy and test results for the
engine or vehicle in addition to other information that may be required
by this subpart.
(g) Once a certificate has been suspended pursuant to paragraph (b)
or (c) of this section, the manufacturer must take the following actions
before the Administrator will consider reinstating such certificate:
(1) Submit a written report to the Administrator which identifies
the reason for the noncompliance of the vehicles, describes the proposed
remedy, including a description of any proposed quality control and/or
quality assurance measures to be taken by the manufacturer to prevent
the future occurrence of the problem, and states the date on which the
remedies will be implemented.
(2) Demonstrate that the engine family or configuration for which
the certificate of conformity has been suspended does in fact comply
with the requirements of this subpart by testing engines or vehicles
selected from normal production runs of that engine family or
configuration at the plant(s) or the facilities specified by the
Administrator, in accordance with:
(i) The conditions specified in the initial test order pursuant to
Sec. 86.1003 for a configuration suspended pursuant to paragraph (b)(1)
or (c)(1) of this section; or
(ii) The conditions specified in a test order pursuant to
Sec. 86.1003 for an engine family or configuration suspended pursuant to
paragraph (b)(2) or (c)(2) of this section.
(3) If the Administrator has not revoked the certificate pursuant to
paragraph (e) of this section and if the manufacturer elects to continue
testing individual engines or vehicles after suspension of a
certificate, the certificate is reinstated for any engine or vehicle
actually determined to have its final deteriorated test results in
conformance with the applicable standards through testing in accordance
with the applicable test procedures.
(4) In cases where the Administrator has suspended a certificate of
conformity for a 50-state engine family or configuration pursuant to
paragraph (b)(2) or (c)(2) of this section, manufacturers may request in
writing that the Administrator reinstate the certificate of an engine
family or configuration when, in lieu of the actions described in
paragraphs (g) (1) and (2) of this section, the manufacturer has
complied with Chapter 3 of the California Regulatory Requirements
Applicable to the National Low Emission Vehicle Program (October, 1996),
provided an Executive Order is in place for the engine family or
configuration. The California Regulatory Requirements Applicable to the
National Low Emission Vehicle Program (October, 1996) are incorporated
by reference (see Sec. 86.1).
(h) Once a certificate for a failed engine family or configuration
has been
[[Page 104]]
revoked under paragraph (e) (1) or (2) of this section and the
manufacturer desires to introduce into commerce a modified version of
that engine family or configuration the following actions will be taken
before the Administrator may issue a certificate for the new engine
family or configuration:
(1) If the Administrator determines that the proposed change(s) in
engine or vehicle design may have an effect on emission performance
deterioration and/or fuel economy, he/she shall notify the manufacturer
within 5 working days after receipt of the report in paragraph (g)(1) of
this section or after receipt of information pursuant to paragraph
(g)(4) of this section whether subsequent testing under this subpart
will be sufficient to evaluate the proposed change(s) or whether
additional testing will be required.
(2) After implementing the change(s) intended to remedy the
nonconformity, the manufacturer shall demonstrate:
(i) If the certificate was revoked pursuant to paragraph (e)(1) of
this section, that the modified configuration does in fact conform with
the requirements of this subpart by testing engines or vehicles selected
from normal production runs of that modified configuration in accordance
with the conditions specified in the initial test order pursuant to
Sec. 86.1003. The Administrator shall consider this testing to satisfy
the testing requirements of Sec. 86.079-32 or Sec. 86.079-33 if the
Administrator had so notified the manufacturer. If the subsequent
testing results in a pass decision pursuant to the criteria in
Sec. 86.1010(c), the Administrator shall reissue or amend the
certificate, if necessary, to include that configuration: Provided, that
the manufacturer has satisfied the testing requirements specified in
paragraph (h)(1) of this section. If the subsequent audit results in a
fail decision pursuant to the criteria in Sec. 86.1010(c), the
revocation remains in effect. Any design change approvals under this
subpart are limited to the modification of the configuration specified
by the test order.
(ii) If the certificate was revoked pursuant to paragraph (e)(2) of
this section, that the modified engine family or configuration does in
fact conform with the requirements of this subpart by testing vehicles
selected from normal production runs of that modified engine family or
configuration in accordance with the conditions specified in a test
order pursuant to Sec. 86.1003. The Administrator shall consider this
testing to satisfy the testing requirements of Sec. 86.079-32 or
Sec. 86.079-33 if the Administrator had so notified the manufacturer. If
the subsequent testing results in a pass decision pursuant to
Sec. 86.1010(c), the Administrator shall reissue or amend the
certificate as necessary: Provided, that the manufacturer has satisfied
the testing requirements specified in paragraph (h)(1) of this section.
If the subsequent testing results in a fail decision pursuant to
Sec. 86.1010(c), the revocation remains in effect. Any design change
approvals under this subpart are limited to the modification of the
engine family or configuration specified by the test order.
(3) In cases where the Administrator has revoked a certificate of
conformity for a 50-state engine family or configuration pursuant to
paragraph (e)(2) of this section, manufacturers may request in writing
that the Administrator reissue the certificate for an engine family or
configuration when, in lieu of the actions described in paragraphs (h)
(1) and (2) of this section, the manufacturer has complied with Chapter
3 of the California Regulatory Requirements Applicable to the National
Low Emission Vehicle Program (October, 1996), provided an Executive
Order is in place for the engine family or configuration. The California
Regulatory Requirements Applicable to the National Low Emission Vehicle
Program (October, 1996) are incorporated by reference (see Sec. 86.1).
(i) through (k) [Reserved]
(l) At any time subsequent to an initial suspension of a certificate
of conformity for a test engine or vehicle pursuant to paragraph (a) of
this section, but not later than fifteen (15) days or such other period
as may be allowed by the Administrator after notification of the
Administrator's decision to suspend or revoke a certificate of
conformity in whole or in part pursuant to paragraphs (b), (c), (d),
(e), or (h) of this section, a manufacturer may request a hearing as to
whether the
[[Page 105]]
tests have been properly conducted or any sampling methods have been
properly applied.
(m) After the Administrator suspends or revokes a certificate of
conformity pursuant to this section or notifies a manufacturer of his
intent to suspend, revoke or void a certificate of conformity under
paragraph Sec. 86.087-30(e), and prior to the commencement of a hearing
under Sec. 86.1014, if the manufacturer demonstrates to the
Administrator's satisfaction that the decision to suspend, revoke or
void the certificate was based on erroneous information, the
Administrator shall reinstate the certificate.
(n) To permit a manufacturer to avoid storing non-test engines or
vehicles when conducting testing of an engine family or configuration
subsequent to suspension or revocation of the certificate of conformity
for that engine family or configuration pursuant to paragraph (b), (c),
or (e) of this section, the manufacturer may request that the
Administrator conditionally reinstate the certificate for that engine
family or configuration. The Administrator may reinstate the certificate
subject to the condition that the manufacturer consents to recall all
engines or vehicles of that engine family or configuration produced from
the time the certificate is conditionally reinstated if the engine
family or configuration fails the subsequent testing and to remedy any
nonconformity at no expense to the owner.
[62 FR 31240, June 6, 1997]
Sec. 86.1014-84 Hearings on suspension, revocation and voiding of certificate
of conformity.
(a) Applicability. The procedures prescribed by this section apply
whenever a manufacturer requests a hearing pursuant to Sec. 86.087-30
(e)(6)(i), Sec. 86.087-30(e)(7), or Sec. 86.1012-84(1).
(b) Definitions. The following definitions are applicable to this
section:
(1) Hearing Clerk shall mean the Hearing Clerk of the Environmental
Protection Agency.
(2) Manufacturer means a manufacturer contesting a suspension or
revocation order directed at the manufacturer.
(3) Party means the Agency and the manufacturer.
(4) Presiding Officer means an Administrative Law Judge appointed
pursuant to 5 U.S.C. 3105 (see also 5 CFR part 930 as amended).
(5) 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.
(c) Request for public hearing. (1) If the manufacturer disagrees
with the Administrator's decision to suspend, revoke or void a
certificate or disputes the basis for an automatic suspension pursuant
to Sec. 86.1012-84(a), the manufacturer may request a public hearing as
described in this section. The manufacturer shall file with the
Administrator a request for this hearing not later than fifteen (15)
days after the Administrator's notification of his decision to suspend
or revoke unless otherwise specified by the Administrator. The
manufacturer shall simultaneously serve two copies of this request upon
the Director of the Manufacturers Operations Division and file two
copies with the Hearing Clerk. Failure of the manufacturer to request a
hearing within the time provided constitutes a waiver of the right to a
hearing. 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
suspension or revocation.
[[Page 106]]
(2) A manufacturer shall include in the request for a public
hearing--
(i) A statement as to which engine or vehicle configuration is to be
the subject of the hearing;
(ii) A concise statement of the issues to be raised by the
manufacturer at the hearing: Provided, however, That in the case of the
hearing requested under Sec. 86.1012-84(1), the hearing is restricted to
the following issues:
(A) Whether tests have been properly conducted, specifically,
Whether the tests were conducted in accordance with applicable
regulations under this part and whether test equipment was properly
calibrated and functioning; and
(B) Whether sampling plans have been properly applied, specifically,
whether sampling procedures specified in appendix X were followed and
whether there exists a basis for distinguishing engines or vehicles
produced at plants other than the one from which engines or vehicles
were selected for testing which would invalidate the Administrator's
decision under Sec. 86.1012-84(e);
(iii) A statement specifying reasons why the manufacturer believes
it will prevail on the merits of each of the issues raised; and
(iv) A summary of the evidence which supports the manufacturer's
position on each of the issues raised.
(3) A copy of all requests for public hearings will be kept on file
in the Office of the Hearing Clerk and will be made available to the
public during Agency business hours.
(d) Summary decision. (1) In the case of a hearing requested under
Sec. 86.1012-84(1), when it clearly appears from the data and other
information contained in the request for a hearing that there is no
genuine and substantial question of fact with respect to the issues
specified in Sec. 86.1014-84(c)(2)(ii), the Administrator shall enter an
order denying the request for a hearing and reaffirming the original
decision to suspend or revoke a certificate of conformity, if this
decision has been made pursuant to Sec. 86.1012-84(g) at any time prior
to the decision to deny the request for a hearing.
(2) In the case of a hearing requested under Sec. 86.087-
30(e)(6)(i), to challenge a proposed suspension of a certificate of
conformity for the reasons specified in Sec. 86.087-30(e)(1)(i) or
(e)(1)(ii), when it clearly appears from the data and other information
contained in the request for the hearing that there is no genuine and
substantial question of fact with respect to the issue of whether the
refusal to comply with the provisions of a test order or any other
requirement of Sec. 86.1003-84 was caused by conditions and
circumstances outside the control of the manufacturer, the Administrator
shall enter an order denying the request for a hearing and suspending
the certificate of conformity.
(3) Any order issued under paragraph (d) (1) or (2) of this section
has the force and effect of a final decision of the Administrator, as
issued pursuant to paragraph (w)(4) of this section.
(4) If the Administrator determines that a genuine and substantial
question of fact does exist with respect to any of the issues referred
to in paragraphs (d) (1) and (2) of this section, he shall grant the
request for a hearing and publish a notice of public hearing in
accordance with paragraph (h) of this section.
(e) Filing and service. (1) An original and two copies of all
documents or papers required or permitted to be filed pursuant to this
section must be filed with the Hearing Clerk. Filing is considered
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 must be sent to the address set forth in the
notice of public hearing as described in paragraph (h) of this section.
(2) To the maximum extent possible, testimony will be presented in
written form. Copies of written testimony will be served upon all
parties as soon as practicable prior to the start of the hearing. A
certificate of service will 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 must be sent by
registered mail to:
[[Page 107]]
Director, Manufacturers Operations Division, U.S. Environmental
Protection Agency, EN-340, 401 M St., SW., Washington, DC 20460.
Service by registered mail is complete upon mailing.
(f) 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 is not
included. Saturdays, Sundays, and Federal legal holidays are included in
computing the period allowed for the filing of any document or paper,
except that when the period expires on a Saturday, Sunday, or Federal
legal holiday, the period is 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 is computed from the time of service, except that
when service is accomplished by mail, three days will be added to the
prescribed period.
(g) 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 consolidation will expedite or simplify consideration of
these issues. Consolidation does not affect the right of any party to
raise issues that could have been raised if consolidation had not
occurred.
(h) Notice of public hearings. Notice of a public hearing under this
section is given by publication in the Federal Register and by such
other means as the Administrator finds appropriate to provide notice to
the public. To the extent possible hearings under this section will be
scheduled to commence within fourteen (14) days of receipt of the
application in paragraph (c) of this section.
(i) Amicus curiae. Persons not parties to the proceeding wishing to
file briefs may do so by leave of the Presiding Officer granted on
motion. A motion for leave must identify the interest of the applicant
and state the reasons why the proposed amicus brief is desirable.
(j) Presiding Officer. The Presiding Officer shall conduct a fair
and impartial hearing in accordance with 5 U.S.C. sections 554, 556 and
557 and 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 power:
(1) To administer oaths and affirmations;
(2) To rule upon offers of proof and exclude irrelevant or
repetitious material;
(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 to these proceedings;
(6) To require the submission of direct testimony in written form
with or without affidavit whenever, in his opinion, oral testimony is
not necessary for full and true disclosure of the facts;
(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 on the record of the hearing; and
(12) To issue, upon good cause shown, protective orders as described
in paragraph (n) of this section.
(k) Conferences. (1) The Presiding Officer may hold conferences
prior to or during any hearing. The Presiding Officer shall direct the
Hearing Clerk to notify all parties of the time and location of any
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, 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;
[[Page 108]]
(ii) Set a hearing schedule for as many of the following as he
considers necessary:
(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; and
(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 Presiding Officer shall summarize in writing the results of
any conference, including all stipulations, if not transcribed, and
shall make the summary 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.
(3) Any party affected by an action in paragraph (l)(2) of this
section 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 provided by paragraph (m)(1) of
this section, further discovery, under this paragraph is permitted only
upon determination by the Presiding Officer:
(i) That this discovery will not in any way unreasonably delay the
proceeding;
(ii) That the information to be obtained is not obtainable
voluntarily; and
(iii) That the 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 will 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. The motion must include:
(i) The circumstances warranting the taking of the discovery;
(ii) The nature of the information expected to be discovered; and
(iii) The proposed time and place where it will be taken. If the
Presiding Officer determines the motion should be granted, he shall
issue an order for the taking of the 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
part 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
[[Page 109]]
processes entitled to protection as trade secrets of the person being
divulged, the Presiding Officer may enter a protective order with
respect to this material. Any protective order will contain terms
governing the treatment of the information which are appropriate under
the circumstances to prevent disclosure outside the hearing: Provided,
That the order states that the material will be filed separately from
other evidence and exhibits in the hearing. Disclosure is 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 for 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 is
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. (This provision is not 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 will be
made of the in camera proceedings. If the Presiding Officer enters a
protective order following a showing in camera, the record of the
showing will 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 issues 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 this motion, shall enter an order protecting the rights of the
affected persons and parties and preventing unnecessary disclosure of
this information, including the presentation of the 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 these proposed findings, briefs,
or other papers to the documents or testimony, including generalized
statements based on their contents. To the extent that counsel considers
it necessary to include specific details in their presentations, these
details will be incorporated in separate proposed findings, briefs, or
other paper marked ``confidential'', and wil become part of the in
camera record.
(o) Motions. (1) All motions, except those made orally during the
course of the hearing, must be in writing and state with particularity
the grounds therefor, set forth the relief or order sought, and be filed
with the Hearing Clerk and served upon all parties.
(2) Within the time fixed by the Environmental Appeals Board or the
Presiding Officer, as appropriate, any party may serve and file an
answer to the motion. The movant shall, if requested by the
Environmental Appeals Board or the Presiding Officer, as appropriate,
serve and file reply papers within the time set by the request.
(3) The Presiding Officer shall rule upon all motions filed or made
prior to the filing of his decision or accelerated decision, as
appropriate. The Environmental Appeals Board shall rule upon all motions
filed prior to the appointment of a Presiding Officer and all motions
filed after the filing of the decision of the Presiding Officer or
accelerated decision. Oral argument of motions will be permitted only if
the Presiding Officer or the Environmental Appeals Board, as
appropriate, considers it necessary.
(p) Evidence. (1) The official transcripts and exhibits, together
with all
[[Page 110]]
papers and requests filed in the proceeding, consitute the record.
Immaterial or irrelevant part of an admissible document will be
segregated and excluded so far as practicable. Documents or parts
thereof subject to a protective order under pargarph (n) of this section
wil 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 will be determined by its
reliability and probative value.
(2) The Presiding Officer shall allow the parties to examine and
cross-examine a witness to the extent that this examination and cross-
examination is necessary for a full and true disclosure of the facts.
(3) Ruling of the Presiding Officer on the admissibility of
evidence, the propriety of examination and cross-examination, and other
procedural matters will appear in the record.
(4) Parties shall automatically be presumed to have taken exception
to an adverse ruling.
(q) Record. (1) Hearings will be stenographically reported and
transcribed and the original transcripts will be part of the record and
the sole official transcript. Copies of the record will be filed with
the Hearing Clerk and made available during Agency business hours for
public inspection. Any thereof, except as provided in paragraph (n) of
this section, shall be entitled to the same upon payment of the cost
thereof.
(2) The official transcripts and exhibits, together with all paper
and requests filed in the proceeding, constitute the record.
(r) Proposed findings, conclusions. (1) Within four (4) days of the
close of the reception of evidence, or within such longer time as the
Presiding Officer may fix, any party may submit for the consideration of
the Presiding Officer proposed findings of fact, conclusions of law, and
proposed order, together with reasons therefor and briefs in support
thereof. These proposals will be in writing, be served upon all parties,
and contain adequate references to the record and authorities relied
upon.
(2) The record will 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.
(s) 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 fourteen (14) days (or within
seven (7) days in the case of a hearing requested under Sec. 86.1012-
84(1)) after the period for filing proposed findings as provided for in
paragraph (r) of this section has expired.
(2) The Presiding Officer's decision shall become the decision of
the Environmental Appeals Board:
(i) When no notice of intention to appeal as described in paragraphs
(t) and (u) of this section is filed, ten (10) days after issuance
thereof, unless in the interim the Environmental Appeals Board shall
have acted 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 paragraphs (t) or (u) of this section, five
(5) days after the period allowed for perfection of an appeal has
expired unless within that five (5) day period, the Environmental
Appeals Board shall have acted to review or stay the effective date of
the decision.
(3) The Presiding Officer's decision must 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. The decision must 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.
(t) 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 ten (10) days after
issuance of the Presiding Officer's decision the party files
[[Page 111]]
a notice of intention to appeal and an appeal brief within twenty (20)
days of the decision.
(2) When an appeal is taken from the decision of the Presiding
Officer, any party may file a brief with respect to the appeal. The
party shall file the brief within fifteen (15) days of the date of the
filing of the appellant's brief.
(3) Any brief filed pursuant to this paragraph will 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; provided,
however, that in the case of a hearing requested under Sec. 86.1012-
84(l), the brief will be restricted to the issues specified in paragraph
(c)(2)(ii) of this section;
(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 order for the Environmental Appeals Board's
consideration if different from the order contained in the Presiding
Officer's decision.
(4) No brief in excess of 40 pages will be filed without leave of
the Environmental Appeals Board.
(5) The Environmental Appeals Board may allow oral argument.
(u) Summary appeal. (1) In the case of a hearing requested under
Sec. 86.1012-84(l), any appeal taken from the decision of the Presiding
Officer will be conducted under this subsection.
(2) Any party to the proceeding may appeal the Presiding Officer's
decision to the Environmental Appeals Board by filing a notice of appeal
within ten (10) days.
(3) The notice of appeal must be in the form of a brief and conform
to the requirements of paragraph (t)(3) of this section.
(4) Within ten (10) days after a notice of appeal from the decision
of the Presiding Officer is filed under this paragraph, any party may
file a brief with respect to that appeal.
(5) No brief in excess of fifteen (15) pages will be filed without
leave of the Environmental Appeals Board.
(v) Review of the Presiding Officer's decision in the absence of
appeal. (1) If after the expiration of the period for taking an appeal
as provided for by paragraph (t) or (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 the decision of the
Presiding Officer has been filed, or if filed, not perfected pursuant to
paragraph (t) or (u) of this section, may, on its own motion, within the
time limits specified in paragraph (s)(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 issues to be considered and shall make provision for
filing of briefs.
(w) Decision of 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 order
contained in the decision of the Presiding Officer and shall set forth
in its decision a statement of the reasons or basis 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.
[[Page 112]]
(4) Any decision rendered under this paragraph which completes
disposition of a case constitutes a final decision of the Environmental
Appeals Board.
(x) Reconsideration. (1) 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 final order and upon which the
petitioner had no opportunity to argue before the Presiding Officer or
the Environmental Appeals Board; Provided, however, That in the case of
a hearing requested under Sec. 86.1012-84(1) such new questions shall be
limited to the issues specified in paragraph (c)(2)(ii) of this section.
(2) Any party desiring to oppose this petition shall file an 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 limited
additional evidence such as affidavits which he may require, or dismiss
any party with prejudice, for any of the following reasons:
(i) Failure to state a claim upon which relief can be granted, or
direct or collateral estoppel;
(ii) The lack of any genuine issue of material fact, causing a party
to be entitled to judgment as a matter of law; or
(iii) Such other reasons as are just, including specifically failure
to obey a procedural order of the Presiding Officer.
(2) If, under this subsection, an accelerated decision is issued as
to all the issues and claims joined in the proceeding, the decision will
be treated for the purposes of these procedures as the decision of the
Presiding Officer as provided in paragraph (s) of this section.
(3) If, under this subsection, 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 paragraphs (t) and (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 is considered ended at the
expiration of all periods allowed for the appeal and review.
(2) If an appeal of the Presiding Officer's decision is taken
pursuant to paragraphs (t) and (u) of this section, or if, in the
absence of this appeal, the Environmental Appeals Board moves to review
the decision of the Presiding Officer pursuant to paragraph (v) of this
section, the hearing is considered ended upon rendering of a final
decision by the Environmental Appeals Board.
(aa) Judicial review. (1) The Administrator shall designate the
General Counsel, Environmental Protection Agency as the officer upon
whom copy of any petition for judicial review must be served. This
officer shall be responsible for filing in the court the record of 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.
[45 FR 63772, Sept. 25, 1980, as amended at 50 FR 35387, Aug. 30, 1985;
57 FR 5332, Feb. 13, 1992]
[[Page 113]]
Sec. 86.1014-97 Hearings on suspension, revocation and voiding of
certificates of conformity.
Section 86.1014-97 includes text that specifies requirements that
differ from those specified in Sec. 86.1014-84. Where a paragraph in
Sec. 86.1014-84 is identical and applicable to Sec. 86.1014-97, this may
be indicated by specifying the corresponding paragraph and the statement
``[Reserved]. For guidance see Sec. 86.1014-84''.
(a) through (c)(2)(ii) introductory text [Reserved]. For guidance
see Sec. 86.1014-84.
(c)(2)(ii)(A) Whether tests have been properly conducted,
specifically, whether the tests were conducted in accordance with
applicable regulations and whether test equipment was properly
calibrated and functioning; and
(c)(2)(ii) (B) through (aa) [Reserved]. For guidance see
Sec. 86.1014-84.
[62 FR 31241, June 6, 1997]
Sec. 86.1015 Treatment of confidential information.
(a) Any manufacturer may assert that some or all of the information
submitted pursuant to this subpart is entitled to confidential treatment
as provided by 40 CFR part 2, subpart B.
(b) Any claim of confidentiality must accompany the information at
the time it is submitted to EPA.
(c) To assert that information submitted pursuant to this subpart is
confidential, a manufacturer must indicate clearly the items of
information claimed confidential by marking, circling, bracketing,
stamping, or otherwise specifying the confidential information.
Furthermore, EPA requests, but does not require, that the submitter also
provide a second copy of its submittal from which all confidential
information has been deleted. If a need arises to publicly release
nonconfidential information, EPA will assume that the submitter has
accurately deleted the confidential information from this second copy.
(d) If a claim is made that some or all of the information submitted
pursuant to this subpart is entitled to confidential treatment, the
information covered by that confidentiality claim will be disclosed by
the Environmental Appeals Board only to the extent and by means of the
procedures set forth in part 2, subpart B, of this chapter.
(e) Information provided without a claim of confidentiality at the
time of submission may be made available to the public by EPA without
further notice to the submitter, in accordance with 40 CFR
2.204(c)(2)(i)(A).
[50 FR 34798, Aug. 27, 1985, as amended at 57 FR 5333, Feb. 13, 1992; 57
FR 30657, July 10, 1992]
Subpart L--Nonconformance Penalties for Gasoline-Fueled and Diesel
Heavy-Duty Engines and Heavy-Duty Vehicles, Including Light-Duty Trucks
Source: 50 FR 35388, Aug. 30, 1985, unless otherwise noted.
Sec. 86.1101-87 Applicability.
(a) The provisions of this subpart are applicable for 1987 and later
model year gasoline-fueled and diesel heavy-duty engines and heavy-duty
vehicles. These vehicles include light-duty trucks rated in excess of
6,000 pounds gross vehicle weight.
(b) References in this subpart to engine families and emission
control systems shall be deemed to apply to durability groups and test
groups as applicable for manufacturers certifying new light-duty trucks
and Otto-cycle complete heavy-duty vehicles under the provisions of
subpart S of this part.
[65 FR 59957, Oct. 6, 2000]
Sec. 86.1102-87 Definitions.
(a) The definitions in this section apply to this subpart.
(b) As used in this subpart, all terms not defined herein have the
meaning given them in the Act.
Compliance level means the deteriorated pollutant emissions level at
the 60th percentile point for a population of heavy-duty engines or
heavy-duty vehicles subject to Production Compliance Audit testing
pursuant to the requirements of this subpart. A compliance level for a
population can only be determined for a pollutant for which an upper
limit has been established in this subpart.
Configuration means a subdivision, if any, of a heavy-duty engine
family for
[[Page 114]]
which a separate projected sales figure is listed in the manufacturer's
Application for Certification and which can be described on the basis of
emission control system, governed speed, injector size, engine
calibration, or other parameters which may be designated by the
Administrator, or a subclassification of light-duty truck engine family
emission control system combination on the basis of engine code, inertia
weight class, transmission type and gear ratios, rear axle ratio, or
other parameters which may be designated by the Administrator.
NCP means a nonconformance penalty as described in section 206(g) of
the Clean Air Act and in this subpart.
PCA means Production Compliance Audit as described in Sec. 86.1106-
87 of this subpart.
Subclass means a classification of heavy-duty engines of heavy-duty
vehicles based on such factors as gross vehicle weight rating, fuel
usage (gasoline-, diesel-, and methanol-fueled), vehicle usage, engine
horsepower or additional criteria that the Administrator shall apply.
Subclasses include, but are not limited to:
(i) Light-duty gasoline-fueled Otto cycle trucks (6,001-8,500 lb.
GVW)
(ii) Light-duty methanol-fueled Otto cycle trucks (6,001-8,500 lb.
GVW)
(iii) Light-duty petroleum-fueled diesel trucks (6,001-8,500 lb.
GVW)
(iv) Light-duty methanol-fueled diesel trucks (6,001-8,500 lb. GVW)
(v) Light heavy-duty gasoline-fueled Otto cycle engines (for use in
vehicles of 8,501-14,000 lb. GVW)
(vi) Light heavy-duty methanol-fueled Otto cycle engines (for use in
vehicles of 8,501-14,000 lb. GVW)
(vii) Heavy heavy-duty gasoline-fueled Otto cycle engines (for use
in vehicles of 14,001 lb and above GVW)
(viii) Heavy heavy-duty methanol-fueled Otto cycle engines (for use
in vehicles of 14,001 lb. and above GVW)
(ix) Light heavy-duty petroleum-fueled diesel engines (see
Sec. 86.085-2(a)(1))
(x) Light heavy-duty methanol-fueled diesel engines (see
Sec. 86.085-2(a)(1))
(xi) Medium heavy-duty petroleum-fueled diesel engines (see
Sec. 86.085-2(a)(2))
(xii) Medium heavy-duty methanol-fueled diesel engines (see
Sec. 86.085-2(a)(2))
(xiii) Heavy heavy-duty petroleum-fueled diesel engines (see
Sec. 86.085-2(a)(3))
(xiv) Heavy heavy-duty methanol-fueled diesel engines (see
Sec. 86.085-2(a)(3))
(xv) Petroleum-fueled Urban Bus engines (see Sec. 86.091-2)
(xvi) Methanol-fueled Urban Bus engines (see Sec. 86.091-2).
For NCP purposes, all optionally certified engines and/or vehicles
(engines certified in accordance with Sec. 86.087-10(a)(3) and vehicles
certified in accordance with Sec. 86.085-1(b)) shall be considered part
of, and included in the FRAC calculation of, the subclass for which they
are optionally certified.
Test Sample means a group of heavy-duty engines or heavy-duty
vehicles of the same configuration which have been selected for emission
testing.
Upper limit means the emission level for a specific pollutant above
which a certificate of conformity may not be issued or may be suspended
or revoked.
[50 FR 35388, Aug. 30, 1985, as amended at 55 FR 46628, Nov. 5, 1990]
Sec. 86.1103-87 Criteria for availability of nonconformance penalties.
(a) EPA shall establish for each subclass of heavy-duty engines and
heavy-duty vehicles (other than motorcycles), an NCP for a motor vehicle
pollutant, when any new or revised emission standard is more stringent
than the previous standard for the pollutant, or when an existing
standard for that pollutant becomes more difficult to achieve because of
a new or revised standard, provided that EPA finds:
(1) That for such subclass of engines or vehicles, substantial work
will be required to meet the standard for which the NCP is offered, and
(2) That there is likely to be a technological laggard.
(b) Substantial work, as used in paragraph (a)(1) of this section,
means the application of technology not previously used in an engine or
vehicle class or subclass, or the significant modification of existing
technology or design parameters, needed to bring the vehicle or engine
into compliance with
[[Page 115]]
either the more stringent new or revised standard or an existing
standard which becomes more difficult to achieve because of a new or
revised standard.
Sec. 86.1104-91 Determination of upper limits.
(a) The upper limit applicable to a pollutant emission standard for
a subclass of heavy-duty engines or heavy-duty vehicles for which an NCP
is established in accordance with Sec. 86.1103-87, shall be the previous
pollutant emission standard for that subclass.
(b) If no previous standard existed for the pollutant under
paragraph (a) of this section, the upper limit will be developed by EPA
during rulemaking.
(c) If a manufacturer participates in any of the emissions
averaging, trading, or banking programs, and carries over certification
of an engine family from the prior model year, the upper limit for that
engine family shall be the family emission limit of the prior model
year, unless the family emission limit is less than the upper limit
determined in paragraph (a) of this section.
[55 FR 30629, July 26, 1990]
Sec. 86.1105-87 Emission standards for which nonconformance penalties are
available.
(a)-(b) [Reserved]
(c) Effective in the 1991 model year, NCPs will be available for the
following additional emission standards:
(1) [Reserved]
(2) Petroleum-fueled diesel heavy-duty engine oxides of nitrogen
standard of 5.0 grams per brake horsepower-hour.
(i) For petroleum-fueled light heavy-duty diesel engines:
(A) The following values shall be used to calculate an NCP in
accordance with Sec. 86.1113-87(a):
(1) COC50: $830.
(2) COC90: $946.
(3) MC50: $1,167 per gram per brake horsepower-hour.
(4) F: 1.2.
(B) The following factor shall be used to calculate the engineering
and development component of the NCP in accordance with Sec. 86.1113-
87(h): 0.12.
(ii) For petroleum-fueled medium heavy-duty diesel engines:
(A) The following values shall be used to calculate an NCP in
accordance with Sec. 86.1113-87(a):
(1) COC50: $905.
(2) COC90: $1,453.
(3) MC50: $1,417 per gram per brake horsepower-hour.
(4) F: 1.2.
(B) The following factor shall be used to calculate the engineering
and development component of the NCP in accordance with Sec. 86.1113-
87(h): 0.11.
(iii) For petroleum-fueled heavy-duty diesel engines:
(A) The following values shall be used to calculate an NCP in
accordance with Sec. 86.1113-87(a):
(1) COC50: $930.
(2) COC90: $1,590.
(3) MC50: $2,250 per gram per brake horsepower-hour.
(4) F: 1.2.
(B) The following factor shall be used to calculate the engineering
and development component of the NCP in accordance with Sec. 86.1113-
87(h): 0.11.
(3) Petroleum-fueled diesel light-duty trucks (between 6,001 and
14,000 lbs GVW) particulate matter emission standard of 0.13 grams per
vehicle mile.
(i) The following values shall be used to calculate an NCP in
accordance with Sec. 86.1113-87(a):
(A) COC50: $711.
(B) COC90: $1,396.
(C) MC50: $2,960 per gram per brake horsepower-hour.
(D) F: 1.2.
(ii) The following factor shall be used to calculate the engineering
and development component of the NCP in accordance with Sec. 86.1113-
87(h): 0.01.
(d) Effective in the 1993 model year, NCPs will be available for the
following additional emission standard:
(1) Petroleum-fueled diesel bus engine (as defined in Sec. 86.093-2)
particulate emission standard of 0.10 grams per brake horsepower-hour.
(i) The following values shall be used to calculate an NCP for the
standard set forth in Sec. 86.093-11(a)(1)(iv)(A) in accordance with
Sec. 86.1113-87(a):
(A) COC50: $4,020.
(B) COC90: $4,535.
(C) MC50: $22,971 per gram per brake horsepower-hour.
(D) F: 1.2.
[[Page 116]]
(E) UL: 0.25 grams per brake horsepower-hour.
(ii) The following factor shall be used to calculate the engineering
and development component of the NCP for the standard set forth in
Sec. 86.093-11(a)(1)(iv)(A) in accordance with Sec. 86.1113-87(h): 0.02.
(2) [Reserved]
(e) The values of COC50, COC90, and
MC50 in paragraphs (a) and (b) of this section are expressed
in December 1984 dollars. The values of COC50,
COC90, and MC50 in paragraphs (c) and (d) of this
section are expressed in December 1989 dollars. The values of
COC50, COC90, and MC50 in paragraph (f)
of this section are expressed in December 1991 dollars. The values of
COC50, COC90, and MC50 in paragraphs
(g) and (h) of this section are expressed in December 1994 dollars. The
values of COC50, COC90, and MC50 in
paragraph (i) of this section are expressed in December 2001 dollars.
These values shall be adjusted for inflation to dollars as of January of
the calendar year preceding the model year in which the NCP is first
available by using the change in the overall Consumer Price Index, and
rounded to the nearest whole dollar in accordance with ASTM E29-67
(reapproved 1980), Standard Recommended Practice for Indicating Which
Places of Figures are to be Considered Significant in Specified Limiting
Values. The method was approved by the Director of the Federal Register
in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. This document is
available from ASTM International, 100 Barr Harbor Drive, P.O. Box C700,
West Conshohocken, PA 19428-2959, and is also available for inspection
as part of Docket A-91-06, located at the Central Docket Section, EPA,
401 M Street, SW., Washington, DC or at the Office of the Federal
Register, 800 North Capitol Street, NW., suite 700, Washington, DC. This
incorporation by reference was approved by the Director of the Federal
Register on January 13, 1992. These materials are incorporated as they
exist on the date of the approval and a notice of any change in these
materials will be published in the Federal Register.
(f) Effective in the 1994 model year, NCPs will be available for the
following emission standards:
(1) Petroleum-fueled urban bus engine (as defined in Sec. 86.091-2)
particulate emission standard of 0.07 grams per brake horsepower-hour.
(i) The following values shall be used to calculate an NCP for the
standard set forth in Sec. 86.094-11(a)(1)(iv)(A) in accordance with
Sec. 86.1113-87(a):
(A) COC50: $3292.
(B) COC90: $10,014.
(C) MC50: $109,733.
(D) F: 1.2.
(ii) The following factor shall be used to calculate the engineering
and development component of the NCP for the standard set forth in
Sec. 86.094-11(a)(1)(iv)(A) in accordance with Sec. 86.1113-87(h): 0.38.
(2) Petroleum-fueled diesel heavy-duty engine particulate matter
emission standard of 0.10 grams per brake horsepower-hour.
(i) For petroleum-fueled light heavy-duty diesel engines:
(A) The following values shall be used to calculate an NCP in
accordance with Sec. 86.1113-87(a):
(1) COC50: $772.
(2) COC90: $1,325.
(3) MC50: $8,178 per gram per brake horsepower-hour.
(4) F: 1.2.
(B) The following factor shall be used to calculate the engineering
and development component of the NCP in accordance with Sec. 86.1113-
87(h): 0.081.
(ii) For petroleum-fueled medium heavy-duty diesel engines:
(A) The following values shall be used to calculate an NCP in
accordance with Sec. 86.1113-87(a):
(1) COC50: $1,276.
(2) COC90: $3,298.
(3) MC50: $15,370 per gram per brake horsepower-hour.
(4) F: 1.2.
(B) The following factor shall be used to calculate the engineering
and development component of the NCP in accordance with Sec. 86.1113-
87(h): 0.098.
(iii) For petroleum-fueled heavy heavy-duty diesel engines:
(A) The following values shall be used to calculate an NCP in
accordance with Sec. 86.1113-87(a):
(1) COC50: $2,105.
(2) COC90: $6,978.
(3) MC50: $30,070 per gram per brake horsepower-hour.
[[Page 117]]
(4) F: 1.2.
(B) The following factor shall be used to calculate the engineering
and development component of the NCP in accordance with Sec. 86.1113-
87(h): 0.083.
(g) Effective in the 1996 model year, NCPs will be available for the
following emission standard:
(1) Light-duty truck 3 diesel-fueled vehicle at full useful life (as
defined in Sec. 86.094-2) particulate matter emission standard of 0.10
g/mi.
(i) The following values shall be used to calculate an NCP for the
standard set forth in Sec. 86.094-9(a)(1)(ii) in accordance with
Sec. 86.1113-87(a):
(A) COC50: $441.
(B) COC90: $1,471.
(C) MC50: $14,700 per gram per mile.
(D) F: 1.2.
(ii) The following factor shall be used to calculate the engineering
and development component of the NCP for the standard set forth in
Sec. 86.094-9(a)(1)(ii) in accordance with Sec. 86.1113-87(h): 0.093.
(2) Light-duty truck 3 diesel-fueled vehicle at full useful life (as
defined in Sec. 86.094-2) oxides of nitrogen emission standard of 0.98
g/mi.
(i) The following values shall be used to calculate an NCP for the
standard set forth in Sec. 86.094-9(a)(1)(ii) in accordance with
Sec. 86.1113-87(a):
(A) COC50: $654.
(B) COC90: $779.
(C) MC50: $908 per gram per mile.
(D) F: 1.2.
(ii) The following factor shall be used to calculate the engineering
and development component of the NCP for the standard set forth in
Sec. 86.094-9(a)(1)(ii) in accordance with Sec. 86.1113-87(h): 0.082.
(3) 1996 Urban Bus (as defined in Sec. 86.094-2) particulate matter
emission standard of 0.05 g/BHp-hr.
(i) The following values shall be used to calculate an NCP for the
standard set forth in Sec. 86.094-9(a)(1)(ii) in accordance with
Sec. 86.1113-87(a):
(A) COC50: $576.
(B) COC90: $6,569.
(C) MC50: $28,800 per gram per brake horsepower-hour.
(D) F: 1.2.
(ii) The following factor shall be used to calculate the engineering
and development component of the NCP for the standard set forth in
Sec. 86.094-9(a)(1)(ii) in accordance with Sec. 86.1113-87(h): 0.500.
(h) Effective in the 1998 model year, NCPs will be available for the
following emission standard:
(1) Petroleum-fueled diesel heavy-duty engine oxides of nitrogen
standard of 4.0 grams per brake horsepower-hour.
(i) For petroleum-fueled light heavy-duty diesel engines:
(A) The following values shall be used to calculate an NCP in
accordance with Sec. 86.1113-87(a):
(1) COC50: $833.
(2) COC90: $1,513.
(3) MC50: $833 per gram per brake horsepower-hour.
(4) F: 1.2.
(B) The following factor shall be used to calculate the engineering
and development component of the NCP for the standard set forth in
Sec. 86.094-9(a)(1)(ii) in accordance with Sec. 86.1113-87(h): 0.039.
(ii) For petroleum-fueled medium heavy-duty diesel engines:
(A) The following values shall be used to calculate an NCP in
accordance with Sec. 86.1113-87(a):
(1) COC50: $444.
(2) COC90: $1,368.
(3) MC50: $444 per gram per brake horsepower-hour.
(4) F: 1.2.
(B) The following factor shall be used to calculate the engineering
and development component of the NCP for the standard set forth in
Sec. 86.094-9(a)(1)(ii) in accordance with Sec. 86.1113-87(h): 0.043.
(iii) For petroleum-fueled heavy heavy-duty diesel engines:
(A) The following values shall be used to calculate an NCP in
accordance with Sec. 86.1113-87(a):
(1) COC50: $1,086.
(2) COC90: $2,540.
(3) MC50: $1,086 per gram per brake horsepower-hour
(4) F: 1.2.
(B) The following factor shall be used to calculate the engineering
and development component of the NCP for the standard set forth in
Sec. 86.094-9(a)(1)(ii) in accordance with Sec. 86.1113-87(h): 0.039.
(2) [Reserved]
(i) Effective in the 2004 model year, NCPs will be available for the
following emission standard:
(1) Diesel heavy-duty engine non-methane hydrocarbon plus oxides of
nitrogen standard of 2.4 grams per brake
[[Page 118]]
horsepower-hour (or alternatively, 2.5 grams per brake horsepower-hour
with a limit on non-methane hydrocarbon emissions of 0.5 grams per brake
horsepower-hour), in Sec. 86.004-11(a)(1)(i).
(i) For light heavy-duty diesel engines:
(A) The following values shall be used to calculate an NCP in
accordance with Sec. 86.1113-87(a):
(1) COC50: $1,240.
(2) COC90: $2,710.
(3) MC50: $2,000 per gram per brake horsepower-hour.
(4) F: 1.3.
(5) UL: 4.5 grams per brake horsepower-hour; notwithstanding
Sec. 86.1104-91.
(B) The following factor shall be used to calculate the engineering
and development component of the NCP for the standard set forth in
Sec. 86.004-11(a)(1)(i) in accordance with Sec. 86.1113-87(h): 0.403.
(ii) For medium heavy-duty diesel engines:
(A) The following values shall be used to calculate an NCP in
accordance with Sec. 86.1113-87(a):
(1) COC50: $2,740.
(2) COC90: $4,930.
(3) MC50: $1,400 per gram per brake horsepower-hour.
(4) F: 1.3.
(5) UL: 4.5 grams per brake horsepower-hour; notwithstanding
Sec. 86.1104-91.
(B) The following factor shall be used to calculate the engineering
and development component of the NCP for the standard set forth in
Sec. 86.004-11(a)(1)(i) in accordance with Sec. 86.1113-87(h): 0.197.
(iii) For heavy heavy-duty diesel engines:
(A) The following values shall be used to calculate an NCP in
accordance with Sec. 86.1113-87(a):
(1) COC50: $6,810.
(2) COC90: $12,210.
(3) MC50: $5,600 per gram per brake horsepower-hour.
(4) F: 1.3.
(5) UL: 6.0 grams per brake horsepower-hour; notwithstanding
Sec. 86.1104-91.
(B) The following factor shall be used to calculate the engineering
and development component of the NCP for the standard set forth in
Sec. 86.004-11(a)(1)(i) in accordance with Sec. 86.1113-87(h): 0.090.
(iv) For diesel urban bus engines:
(A) The following values shall be used to calculate an NCP in
accordance with Sec. 86.1113-87(a):
(1) COC 50: $3,930.
(2) COC90: $6,660.
(3) MC50: $3,800 per gram per brake horsepower-hour.
(4) F: 1.3.
(5) UL: 4.5 grams per brake horsepower-hour; notwithstanding
Sec. 86.1104-91.
(B) The following factor shall be used to calculate the engineering
and development component of the NCP for the standard set forth in
Sec. 86.004-11(a)(1)(i) in accordance with Sec. 86.1113-87(h): 0.155.
(2) [Reserved]
[50 FR 53466, Dec. 31, 1985, as amended at 52 FR 47870, Dec. 16, 1987;
53 FR 43878, Oct. 31, 1988; 56 FR 64712, Dec. 12, 1991; 58 FR 15802,
Mar. 24, 1993; 58 FR 68540, Dec. 28, 1993; 60 FR 33925, June 29, 1995;
61 FR 6949, 6953, Feb. 23, 1996; 67 FR 51477, Aug. 8, 2002]
Sec. 86.1106-87 Production compliance auditing.
For a model year in which upper limits for heavy-duty engine or
heavy-duty vehicle emission standards for one or more exhaust pollutants
are specified in Sec. 86.1105-87, a manufacturer may elect to conduct a
Production Compliance Audit (PCA) for each engine or vehicle
configuration satisfying the following conditions:
(a) Certification test results, pursuant to Sec. 86.082-23, exceed
the emission standard for a particular pollutant but do not exceed the
upper limit established for that pollutant. In that event, the
manufacturer will be offered a qualified certificate of conformity
allowing for the introduction into commerce of the specified engine
family, Provided, That:
(1) The manufacturer must agree to conduct a PCA of those engines or
vehicles;
(2) PCA testing must be conducted on the same configurations that
exceeded the standard in certification. In lieu of that requirement, the
Administrator may approve testing of a greater or lesser number of
configurations provided the manufacturer agrees to pay the NCP
determined from the CL of each tested configuration for that
configuration and for other non-tested
[[Page 119]]
configurations that have similar emission characteristics. If an
acceptable showing of similar emission characteristics is not made, the
highest CL of the configurations tested will apply to all non-tested
configurations exceeding the standard.
(3) The selection of engines or vehicles for PCA testing must be
initiated no later than five (5) days after the start of assembly-line
production of the specified engine or vehicle configuration, unless that
period is extended by the Administrator;
(4) The manufacturer must agree:
(i) To pay the NCP amount calculated as a result of PCA testing on
each engine or vehicle, unless the manufacturer successfully challenges
the Administrator's determination of the compliance level or penalty
calculation or both under Sec. 86.1115-87(c);
(ii) To recall any engines or vehicles introduced into commerce,
without invoking the procedural requirements of section 207(c) of the
Clean Air Act, if the compliance level for the engine or vehicle
configuration of (a)(2) exceeds the upper limit as determined by the
PCA;
(5) If the compliance level determined in the PCA is below the
emission standard, no NCP will be offered, and all appropriate
qualifications will be removed from the qualified certificate of
conformity.
(b) An engine or vehicle configuration fails a Selective Enforcement
Audit (SEA) under subpart K of 40 CFR part 86 with respect to the
standard for a particular pollutant but does not fail with respect to
the upper limit established for that pollutant, and no NCP has been
previously assessed for that configuration, Provided, That:
(1) The manufacturer must submit a written report to the
Administrator within five (5) days after failure to pass the audit
containing the following:
(i) A statement that the manufacturer does not intend, at that time,
to make any engine and/or emission control system design changes that
may remedy the nonconformity; and
(ii) A request from the manufacturer to conduct the PCA, including
the date the testing will begin;
(2) Failure to submit the report within five (5) days after the SEA
failure will result in the forfeiture of the NCP option, unless a
satisfactory justification for the delay is provided to the
Administrator;
(3) The selection of any required engines or vehicles for PCA
testing must be initiated no later than ten (10) days after the SEA
failure unless extended by the Administrator; otherwise, the
manufacturer may forfeit the option to elect an NCP;
(4) PCA testing must be conducted on the same configuration that
failed the SEA;
(5) Test results from the SEA, together with any additional test
results required during the PCA, will be used in establishing a
compliance level for the configuration pursuant to Sec. 86.1112-87(a);
and
(6) The manufacturer, upon approval by the Administrator to conduct
a PCA on a failed SEA engine or vehicle configuration, must agree:
(i) To pay the NCP amount calculated as a result of PCA testing on
each engine or vehicle introduced into commerce after the tenth day of
the SEA failure, unless the manufacturer successfully challenges the
Administrator's determination of the compliance level or penalty
calculation or both under Sec. 86.1115-87(c);
(ii) To recall any engines or vehicles introduced into commerce
after the tenth day of the SEA failure, without invoking the procedural
requirements of section 207(c) of the Clean Air Act, if the compliance
level of the engine or vehicle configuration exceeds the upper limit as
determined by the PCA.
(c) An engine or vehicle configuration, for which an NCP has been
previously assessed for a particular pollutant, either passes an SEA
with respect to the particular pollutant standard, fails an SEA with
respect to the particular pollutant standard but not the previous
compliance level, or fails an SEA with respect to the previous
compliance level but not the associated upper limit, Provided, That:
(1) The manufacturer must submit a written statement to the
Administrator within five (5) days of the conclusion of the SEA
requesting a PCA, including the date the PCA testing will
[[Page 120]]
begin; otherwise, the manufacturer forfeits the option to establish a
new compliance level;
(2) The selection of any required engines or vehicles for PCA
testing must be initiated no later than ten (10) days after the
conclusion of the SEA unless the period is extended by the
Administrator; otherwise, the manufacturer forfeits the option to
establish a new compliance level;
(3) PCA testing must be conducted on the same configuration tested
during the SEA, and all conditions in the SEA test order must apply to
the PCA;
(4) Test results for the SEA, together with any additional test
results required during the PCA, will be used in establishing a new
compliance level for the configuration pursuant to Sec. 86.1112-87(a);
(5) The manufacturer must agree:
(i) To pay the NCP amount calculated as a result of PCA testing on
each engine or vehicle introduced into commerce after the tenth day of
the conclusion of the SEA, unless the manufacturer successfully
challenges the Administrator's determination of the compliance level or
penalty calculation or both under Sec. 86.1115-87(c);
(ii) To recall any engines or vehicles introduced into commerce
after the tenth day after the conclusion of the SEA, without invoking
the procedural requirements of section 207(c) of the Clean Air Act, if
the engine or vehicle configuration exceeds the upper limit as
determined by the PCA;
(6) A previously assessed NCP will be terminated and no NCP will be
established as a result of the new PCA if the compliance level is
determined to be below the applicable emission standards.
(d) The implementation of a production running change that causes
the emission level for a particular pollutant to be either above the
emission standard but below the associated upper limit for a vehicle or
engine configuration for which an NCP has not been previously assessed,
or below the associated upper limit for a vehicle or engine
configuration for which an NCP has been previously assessed, regardless
of the previous compliance level. In that event, the manufacturer will
be offered a qualified certificate of conformity allowing for the
introduction into commerce of the engine or vehicle configuration
resulting from the running change, Provided, That:
(1) The manufacturer must submit a written report to the
Administrator outlining the reason for the running change and the date
the manufacturer will begin PCA testing;
(2) The manufacturer must agree:
(i) To pay the NCP amount calculated as a result of PCA testing on
each engine or vehicle, unless the manufacturer successfully challenges
the Administrator's determination of compliance level or penalty
calculation or both under Sec. 86.1115-87(c);
(ii) To recall any engines or vehicles introduced into commerce,
without invoking the procedural requirements of section 207(c) of the
Clean Air Act, if the engine or vehicle configuration exceeds the upper
limit as determined by the PCA;
(3) The selection of engines or vehicles for PCA testing must be
initiated no later than five (5) days after the start of assembly line
production of the engine or vehicle configuration resulting from the
running change unless that period is extended by the Administrator; and
(4) If the compliance level is determined to be below the applicable
emission standard, a previously assessed NCP will be terminated, an NCP
will not be established as a result of the PCA testing, and all
qualifications will be removed from the qualified certificate of
conformity.
(e) The following requirements are applicable to each PCA under this
subpart.
(1) The manufacturer shall make the following documents available to
EPA Enforcement Officers upon request;
(i) A properly filed and current application for certification,
following the format prescribed by the EPA for the appropriate model
year; and
(ii) A copy of the shop manual and dealer service bulletins for the
configurations being tested.
(2) Only one mechanic at a time per engine or vehicle shall make
authorized checks, adjustments, or repairs, unless a particular check,
adjustment, or repair requires a second mechanic as
[[Page 121]]
indicated in the shop manual or dealer service bulletins.
(3) A mechanic shall not perform any check, adjustment, or repair
without an Enforcement Officer present unless otherwise authorized.
(4) The manufacturer shall utilize only those tools and test
equipment utilized by its dealers or those dealers using its engines
when performing authorized checks, adjustments, or repairs.
[50 FR 35388, Aug. 30, 1985, as amended at 58 FR 68540, Dec. 28, 1993]
Sec. 86.1107-87 Testing by the Administrator.
(a) The Administrator may require that engines or vehicles of a
specified configuration be selected in a manner consistent with the
requirements of Sec. 86.1110-87 and submitted to him at such place as he
may designate for the purpose of conducting emission tests in accordance
with Sec. 86.1111-87 to determine whether engines or vehicles
manufactured by the manufacturer conform with the regulations of this
subpart.
(b)(1) Whenever the Administrator conducts a test on a test engine
or vehicle or the Administrator and manufacturer each conduct a test on
the same test engine or vehicle, the results of the Administrator's test
will comprise the official data for that engine or vehicle.
(2) Whenever the manufacturer conducts all tests on a test engine or
vehicle, the manufacturer's test data will be accepted as the official
data, provided that if the Administrator makes a determination based on
testing under paragraph (a) of this section that there is a substantial
lack of agreement between the manufacturer's test results and the
Administrator's test results, no manufacturer's test data from the
manufacturer's test facility will be accepted for purposes of this
subpart.
(c) If the Administrator determines that testing conducted under
paragraph (a) of this section demonstrates a lack of agreement under
paragraph (b)(2) of this section, the Administrator shall:
(1) Notify the manufacturer in writing of his determination that the
manufacturer's test facility is inappropriate for conducting the tests
required by this subpart and the reasons therefore; and
(2) Reinstate any manufacturer's data only upon a showing by the
manufacturer that the data acquired under paragraph (a) of this section
was erroneous and the manufacturer's data was correct.
(d) The manufacturer may request in writing that the Administrator
reconsider his determination in paragraph (b)(2) of this section based
on data or information which indicates that changes have been made to
the test facility and that these changes have resolved the reasons for
disqualification.
Sec. 86.1108-87 Maintenance of records.
(a) The manufacturer of any new gasoline-fueled or diesel heavy-duty
engine or heavy-duty vehicle subject to any of the provisions of this
subpart shall establish, maintain, and retain the following adequately
organized and indexed records:
(1) General records. A description of all equipment used to test
engines or vehicles in accordance with Sec. 86.1111-87, pursuant to PCA
testing under this subpart, specifically;
(i) If testing heavy-duty gasoline engines, the equipment
requirements specified in Secs. 86.1306-84 and 86.1506-84 of this part.
(ii) If testing heavy-duty diesel engines, the equipment
requirements specified in Secs. 86.1306-84, 86.1506-84, 86.879-6,
86.879-8 and 86.879-9 of this part;
(iii) If testing light-duty gasoline-fueled trucks, the equipment
requirements specified in Secs. 86.106 (excluding all references to
particulate emission testing) and 86.1506-84 of this part; and
(iv) If testing light-duty diesel trucks, the equipment requirements
specified in Sec. 86.106 (excluding all references to evaporative
emission testing) of this part.
(2) Individual records. These records pertain to each Production
Compliance Audit conducted pursuant to this subpart.
(i) The date, time, and location of each test;
[[Page 122]]
(ii) The number of hours of service accumulated on the engine or the
number of miles on the vehicle when the test began and ended;
(iii) The names of all supervisory personnel involved in the conduct
of the Production Compliance Audit;
(iv) A record and description of any repair performed, giving the
date and time of the repair, the reason for it, the person authorizing
it, and the names of all personnel involved in the supervision and
performance of the repair;
(v) The date when the engine or vehicle was shipped from the
assembly plant or associated storage facility and when it was received
at the testing facility;
(vi) A complete record of all emission tests performed pursuant to
this subpart (except tests performed by EPA directly), including all
individual worksheets and/or other documentation relating to each test,
or exact copies thereof, specifically--
(A) If testing heavy-duty gasoline engines, the record requirements
specified in Secs. 86.1342-84 and 86.1542-84 of this part;
(B) If testing heavy-duty diesel engines, the record requirements
specified in Secs. 86.1342-84, 86.1542-84, and Sec. 86.879-10;
(Sec. 86.337-79 for subpart D testing only).
(C) If testing light-duty gasoline fueled trucks, the record
requirements specified in Secs. 86.142 (excluding all references to
diesel vehicles) and 86.1542-84; and
(D) If the testing light-duty diesel trucks, the record requirements
specified in Sec. 86.142; and
(vii) A brief description of any significant Production Compliance
Audit events commencing with the test engine or vehicle selection
process, but not described by any subparagraph under paragraph (a)(2) of
this section, including such extraordinary events as engine damage
during shipment or vehicle accident.
(3) The manufacturer shall record the test equipment description,
pursuant to paragraph (a)(1) of this section, for each test cell that
was used to perform emission testing under this subpart.
(b) The manufacturer shall retain all records required to be
maintained under this subpart for a period of six (6) years after
completion of all testing. Records may be retained as hard copy or
reduced to microfilm, punch cards, etc., depending upon the
manufacturer's record retention procedure, provided that in every case
all the information contained in the hard copy is retained.
Sec. 86.1109-87 Entry and access.
(a) To allow the Administrator to determine whether a manufacturer
is complying with the provisions of this subpart, EPA Enforcement
Officers are authorized to enter any of the following (during operating
hours and upon presentation of credentials):
(1) Any facility where any engine or vehicle to be introduced into
commerce or any emission related component is manufactured, assembled,
or stored;
(2) Any facility where any tests conducted pursuant to a PCA request
or any procedures or activities connected with these tests are or were
performed;
(3) Any facility where any engine or vehicle which is being tested,
was tested, or will be tested is present; and
(4) Any facility where any record or other document relating to any
of the above is located.
(b) Upon admission to any facility referred to in paragraph (a) of
this section, EPA Enforcement Officers are authorized to perform the
following inspection-related activities:
(1) To inspect and monitor any aspects of engine or vehicle
manufacture, assembly, storage, testing and other procedures, and the
facilities in which these procedures are conducted.
(2) To inspect and monitor any aspect of engine or vehicle test
procedures or activities, including, but not limited to, monitoring
engine or vehicle selection, preparation, service or mileage
accumulation, preconditioning, repairs, emission test cycles, and
maintenance; and to verify calibration of test equipment;
(3) To inspect and make copies of any records or documents related
to the assembly, storage, selection and testing of an engine or vehicle;
and
(4) To inspect and photograph any part or aspect of any engine or
vehicle
[[Page 123]]
and any component used in the assembly thereof that is reasonably
related to the purpose of the entry.
(c) EPA Enforcement Officers are authorized to obtain reasonable
assistance without cost from those in charge of a facility to help them
perform any function listed in this subpart and are authorized to
request the manufacturer conducting the PCA to make arrangement with
those in charge of a facility operated for its benefit to furnish
reasonable assistance without cost to EPA, whether or not the
manufacturer controls the facility.
(d) EPA Enforcement Officers are authorized to seek a warrant or
court order authorizing the EPA Enforcement Officers to conduct
activities related to entry and access as authorized in this section, as
appropriate, to execute the functions specified in this section. EPA
Enforcement Officers may proceed ex parte to obtain a warrant whether or
not the Enforcement Officers first attempted to seek permission of the
manufacturer conducting the PCA or the party in charge of the facilities
in question to conduct activities related to entry and access as
authorized in this section.
(e) A manufacturer that conducts a PCA shall permit EPA Enforcement
Officers who present a warrant or court order as described in paragraph
(d) of this section to conduct activities related to entry and access as
authorized in this section and as described in the warrant or court
order. The manufacturer shall cause those in charge of its facility or a
facility operated for its benefit to permit EPA Enforcement Officers to
conduct activities related to entry and access as authorized in this
section pursuant to a warrant or court order whether or not the
manufacturer controls the facility. In the absence of such a warrant or
court order, EPA Enforcement Officers may conduct activities related to
entry and access as authorized in this section only upon the consent of
the manufacturer or the party in charge of the facilities in question.
(f) It is not a violation of this part or the Clean Air Act for any
person to refuse to permit EPA Enforcement Officers to conduct
activities related to entry and access as authorized in this section
without a warrant or court order.
(g) A manufacturer is responsible for locating its foreign testing
and manufacturing facilities in jurisdictions in which local foreign law
does not prohibit EPA Enforcement Officers from conducting the entry and
access activities specified in this section. EPA will not attempt to
make any inspections which it has been informed that local foreign law
prohibits.
(h) For purposes of this section, the following definitions are
applicable:
(1) Presentation of Credentials means display of the document
designating a person as an EPA Enforcement Officer.
(2) Where engine or vehicle storage areas or facilities are
concerned, operating hours means all times during which personnel other
than custodial personnel are at work in the vicinity of the area or
facility and have access to it.
(3) Where facilities or areas other than those covered by paragraph
(h)(2) of this section are concerned, operating hours means all times
during which an assembly line is in operation, engine or vehicle
assembly is taking place, testing repair, service accumulation,
preparation or compilation of records is taking place, or any other
procedure or activity related to engine or vehicle manufacture, assembly
or testing is being carried out in a facility.
(4) Reasonable assistance includes, but is not limited to, clerical,
copying, interpreting and translating services, and making personnel of
the facility being inspected available during their working hours on an
EPA Enforcement Officer's request to inform the EPA Enforcement Officer
of how the facility operates and to answer his or her questions. Any
employee whom an EPA Enforcement Officer requests the manufacturer to
cause to appear for questioning will be entitled to be accompanied,
represented and advised by counsel.
Sec. 86.1110-87 Sample selection.
(a) Engines or vehicles comprising a test sample which are required
to be tested pursuant to a PCA in accordance with this subpart will be
selected at
[[Page 124]]
the location and in the manner specified by EPA. If a manufacturer
determines that the test engines or vehicles cannot be selected in the
manner specified by EPA, an alternative selection procedure may be
employed, provided that the manufacturer requests approval of the
alternative procedure in advance of the start of test sample selection
and that the Administrator approves the procedure.
(b) The manufacturer shall have assembled the test engines or
vehicles of the configuration selected for testing using its normal mass
production processes for engines or vehicles to be distributed into
commerce. In the case of heavy-duty engines, if the test engines are
selected at a location where they do not have their operational and
emission control systems installed, EPA will specify the manner and
location for selection of components to complete assembly of the
engines. The manufacturer shall assemble these components onto the test
engines using normal assembly and quality control procedures as
documented by the manufacturer.
(c) No quality control, testing, or assembly procedures will be used
on the completed test engine or vehicle or any portion thereof,
including parts and subassemblies, that will not be used during the
production and assembly of all other engines or vehicles of that
configuration.
(d) The EPA Enforcement Officers may specify that they, rather than
the manufacturer, will select the test engines or vehicles.
(e) The order in which test engines or vehicles are selected
determines the order in which test results are to be used in applying
the PCA testing plan in accordance with Sec. 86.1112-87.
(f) The manufacturer shall keep on hand all engines or vehicles
comprising the test sample until such time as a compliance level is
determined in accordance with Sec. 86.1112-87(a) except that the
manufacturer may ship any tested engine or vehicle which has not failed
in accordance with Sec. 86.1112-87(f)(1). However, once the manufacturer
ships any test engine or vehicle, it relinquishes the prerogative to
conduct retests as provided in Sec. 86.1111-87(i).
Sec. 86.1111-87 Test procedures for PCA testing.
(a)(1) For heavy-duty engines, the prescribed test procedure for PCA
testing is the Federal Test Procedure as described in subparts N, I, and
P of this part.
(2) For heavy-duty vehicles, the prescribed test procedure for PCA
testing is described in subpart M of this part.
(3) For light-duty trucks, the prescribed test procedure for PCA
testing is the Federal Test Procedure as described in subparts B and P
of this part.
(4) During the testing of heavy-duty diesel engines, the
manufacturer shall decide for each engine, prior to the start of the
initial cold cycle, whether the measurement of background particulate is
required for the cold and hot cycles to be valid. The manufacturer may
choose to have different requirements for the cold and hot cycles. If a
manufacturer chooses to require the measurement of background
particulate, failure to measure background particulate shall void the
test cycle regardless of the test results. If a test cycle is void, the
manufacturer shall retest using the same validity requirements of the
initial test.
(5) When testing light-duty trucks, the following exceptions to the
test procedures in subpart B are applicable:
(i) The manufacturer may use gasoline test fuel meeting the
specifications of paragraph (a) of Sec. 86.113 for mileage accumulation.
Otherwise, the manufacturer may use fuels other than those specified in
this section only with advance approval of the Administrator.
(ii) The manufacturer may measure the temperature of the test fuel
at other than the approximate midvolume of the fuel tank, as specified
in paragraph (a) of Sec. 86.131, and may drain the test fuel from other
than the lowest point of the fuel tank, as specified in paragraph (b) of
Sec. 86.131, with the advance approval of the Administrator.
(iii) The manufacturer may perform additional preconditioning on PCA
test vehicles other than the preconditioning specified in Sec. 86.132
only if the additional preconditioning has been performed on
certification test vehicles of the same configuration.
[[Page 125]]
(iv) The manufacturer shall perform the heat build procedure 11 to
34 hours following vehicle preconditioning rather than according to the
time period specified in paragraph (a) of Sec. 86.133.
(v) The manufacturer may substitute slave tires for the drive wheel
tires on the vehicle as specified in paragraph (e) of Sec. 86.135,
provided that the slave tires are the same size as the drive wheel
tires.
(vi) The cold start exhaust emission test described in Sec. 86.137
shall follow the heat build procedure described in Sec. 86.133 by not
more than one hour.
(vii) In performing exhaust sample analysis under Sec. 86.140:
(A) When testing diesel vehicles, the manufacturer shall allow a
minimum of 20 minutes warm-up for the HC analyzer, and a minimum of 2
hours warm-up for the CO, CO2 and NOX analyzers.
[Power is normally left on for infrared and chemiluminescent analyzers.
When not in use, the chopper motors of the infrared analyzers are turned
off and the phototube high voltage supply to the chemiluminescent
analyzers is placed in the standby position.]
(B) The manufacturer shall exercise care to prevent moisture from
condensing in the sample collection bags.
(viii) The manufacturer need not comply with Sec. 86.142, since the
records required therein are provided under other provisions of this
subpart.
(ix) In addition to the requirements of subpart B of this part, the
manufacturer shall prepare gasoline-fueled vehicles as follows prior to
exhaust emission testing:
(A) The manufacturer shall inspect the fuel system to insure the
absence of any leaks of liquid or vapor to the atmosphere by applying a
pressure of 14.5 0.5 inches of water to the fuel system,
allowing the pressure to stabilize, and isolating the fuel system from
the pressure source. Following isolation of the fuel system, pressure
must not drop more than 2.0 inches of water in 5 minutes. If required,
the manufacturer shall perform corrective action in accordance with
paragraph (d) of this section.
(B) When performing this pressure check, the manufacturer shall
exercise care to neither purge nor load the evaporative emission control
system.
(C) The manufacturer shall not modify the test vehicle's evaporative
emission control system by component addition, deletion, or
substitution, except to comply with paragraph (a)(4)(ii) of this section
if approved in advance by the Administrator.
(b)(1) The manufacturer shall not adjust, repair, prepare, or modify
the engines or vehicles selected for testing and shall not perform any
emission tests on engines or vehicles selected for testing pursuant to a
PCA request unless the adjustment, repair, preparation, modification, or
tests are documented in the manufacturer's engine or vehicle assembly
and inspection procedures and are actually performed on all engines or
vehicles produced or unless these adjustments or tests are required or
permitted under this subpart or are approved in advance by the
Administrator.
(2) For 1984 and later model years the Administrator may adjust or
cause to be adjusted any engine parameter which the Administrator has
determined to be subject to adjustment for certification, Selective
Enforcement Audit and Production. Compliance Audit testing in accordance
with Sec. 86.084-22(e)(1), to any setting within the physically
adjustable range of that parameter, as determined by the Administrator
in accordance with Sec. 86.084-2(e)(3)(ii), prior to the performance of
any tests. However, if the idle speed parameter is one which the
Administrator has determined to be subject to adjustment, the
Administrator shall not adjust it to any setting which causes a lower
engine idle speed than would have been possible within the physically
adjustable range of the idle speed parameter if the manufacturer had
accumulated 125 hours of service on the engine or 4,000 miles on the
vehicle under paragraph (c) of this section, all other parameters being
identically adjusted for the purpose of the comparison. The manufacturer
may be requested to supply information to establish such an alternative
minimum idle speed. The Administrator, in making or specifying these
adjustments, may consider the effect of the deviation from the
manufacturer's recommended setting on emissions performance
characteristics as well as the
[[Page 126]]
likelihood that similar settings will occur on in-use heavy-duty engines
or light-duty trucks. In determining likelihood, the Administrator may
consider factors such as, but not limited to, the effect of the
adjustment on engine or vehicle performance characteristics and
surveillance information from similar in-use engines or vehicles.
(c) Prior to performing emission testing on a PCA test engine, the
manufacturer may accumulate on each engine a number of hours of service
equal to the greater of 125 hours or the number of hours the
manufacturer accumulated during certification on the emission-data
engine corresponding to the configuration tested during PCA. Prior to
performing emission testing on a PCA test vehicle, the manufacturer may
accumulate a number of miles equal to the greater of 4,000 miles or the
number of miles the manufacturer accumulated during certification on the
emission-data vehicle corresponding to the configuration tested during
PCA. Service or mileage accumulation may be performed in any manner the
manufacturer desires.
(d) No maintenance shall be performed on test engines or vehicles
after selection for testing nor will any test engine or vehicle
substitution or replacement be allowed, unless requested of and approved
by the Administrator in advance of the performance of any maintenance or
engine or vehicle substitution.
(e) The manufacturer shall expeditiously ship test engines or
vehicles from the point of selection to the test facility or other
location to meet any other requirements of this subpart. If the test
facility is not located at or in close proximity to the point of
selection, the manufacturer shall assure that test engines or vehicles
arrive at the test facility within 24 hours of selection, except that
the Administrator may approve more time based upon a request by the
manufacturer accompanied by a satisfactory justification.
(f) If an engine or vehicle cannot complete the service or mileage
accumulation or emission tests because of engine or vehicle malfunction,
the manufacturer may request that the Administrator authorize the repair
of the engine or vehicle. If the engine or vehicle cannot be repaired
expeditiously, EPA may delete it from the test sequence.
(g)(1) Heavy-duty engine manufacturers with projected sales bound
for the United States market for that year of 30,000 or greater, as made
in their respective Applications for Certification, shall complete
emission testing at their testing facility on a minimum of two engines
per 24 hour period, including voided tests.
(2) Heavy-duty engine manufacturers with projected sales bound for
the United States market for that year of less than 30,000, as made in
their respective Applications for Certification, Shall complete emission
testing at one engine per 24 hour period, including voided tests.
(3) Light-duty truck manufacturers shall complete emission testing
on a minimum of four vehicles per 24 hour period, including voided
tests.
(4) The Administrator may approve a longer period of time for
conducting emission tests based upon a request by a manufacturer
accompanied by a satisfactory justification.
(h) The manufacturer shall perform test engine or vehicle selection,
shipping, preparation, service or mileage accumulation, and testing in
such a manner as to insure that the audit is performed in an expeditious
manner.
(i) The manufacturer may retest any engines or vehicles tested
during a Production Compliance Audit once a compliance level has been
established in accordance with Sec. 86.1112-87 based on the first test
on each engine or vehicle. The Administrator may approve retesting at
other times based upon a request by the manufacturer accompanied by a
satisfactory justification. The manufacturer may test each engine or
vehicle a total of three times. The manufacturer shall test each engine
or vehicle the same number of times. The manufacturer may accumulate
additional service or mileage before conducting a retest, subject to the
provisions of paragraph (c) of this section.
[50 FR 35388, Aug. 30, 1985, as amended at 62 FR 47123, Sept. 5, 1997]
[[Page 127]]
Sec. 86.1112-87 Determining the compliance level and reporting of test results.
(a) A manufacturer that has elected to conduct a PCA in accordance
with Sec. 86.1106-87 may establish the compliance level for a pollutant
for any engine or vehicle configuration by using the primary PCA
sampling plan or either of two optional reduced PCA sampling plans (the
fixed reduced sampling plan or the sequential reduced sampling plan)
described below. A manufacturer that uses either of the two optional
reduced PCA sampling plans may elect to continue testing and establish a
compliance level under the primary PCA sampling plan.
(1) A manufacturer that elects to conduct a PCA for a pollutant
using the primary PCA sampling plan shall:
(i) Conduct emission tests on 24 engines or vehicles in accordance
with Sec. 86.1111-87 for the pollutants for which the PCA was initiated.
If the PCA follows an SEA failure, the number of additional tests
conducted shall be the difference between 24 and the number of engines
or vehicles tested in the SEA. If 24 or more engines or vehicles were
tested in the SEA, no additional tests shall be conducted; and
(ii) Rank the final deteriorated test results, as defined by
paragraph (e) of this section, obtained for that pollutant in order from
the lowest to the highest value. If the PCA follows an SEA failure, all
SEA test results for that pollutant shall be included in this ranking.
(iii) The compliance level for that pollutant is the final
deteriorated test result in the sequence determined from table 1 of
appendix XII of these regulations.
(2) A manufacturer that elects to conduct a PCA for a pollutant
using the fixed reduced PCA sampling plan shall:
(i) Select a sample size between 3 and 23 engines or vehicles. If
the PCA follows an SEA failure, the sample size selected cannot be less
than the number of engines or vehicles tested during the SEA; and
(ii) Conduct emission tests on the selected sample in accordance
with Sec. 86.1111-87 for the pollutants for which the PCA was initiated.
(iii) The compliance level for the pollutant is the result of the
following equation, using the test results obtained in paragraph
(a)(2)(ii) of this section and all SEA test results for that pollutant
if the PCA follows an SEA failure:
CL=X + Ks
where:
CL=The compliance level.
X=The mean of the final deteriorated test results, as defined by
paragraph (e) of this section.
K=A value that depends on the size of the test sample. See table 2 of
appendix XII of this part for the value of K that corresponds to the
size of the test sample.
s=The sample standard deviation.
The compliance level is rounded to the same number of significant
figures contained in the applicable standard in accordance with ASTM
E29-67.
(3) A manufacturer that elects to conduct a PCA for a pollutant
using the sequential reduced PCA sampling plan shall perform the
following:
(i) Select a sample size of 4, 8, 12, 16 or 20 engines or vehicles.
If the PCA follows an SEA failure, the sample size selected cannot be
less than the number of engines or vehicles tested during the SEA.
(ii) Conduct emission tests on the selected sample in accordance
with Sec. 86.1111-87 for the pollutants for which the PCA was initiated.
(iii) The compliance level for the pollutant is the result of the
following equation, using the test results obtained in (a)(3)(ii) and
all SEA test results for that pollutant if the PCA follows an SEA
failure:
CL=X + Ks
where:
CL=The compliance level.
X=The mean of the final deteriorated test results, as defined by
paragraph (e) of this section.
K=A value that depends on the size of the test sample. See table 3 of
appendix XII of this part for the value of K that corresponds to the
size of the test sample.
s=The sample standard deviation.
The compliance level is rounded to the same number of significant
figures contained in the applicable standard in accordance with ASTM
E29-67.
[[Page 128]]
(iv) After calculating a compliance level in accordance with
paragraph (a)(3)(iii) of this section, a manufacturer may elect to
increase the sample size by 4 engines or vehicles, or a multiple
thereof, up to the maximum, including SEA engines or vehicles if any, of
20. Upon that election, the manufacturer shall add the additional
engines or vehicles to the sample and perform paragraphs (a)(3)(ii) and
(a)(3)(iii) of this section. This election may be repeated if
appropriate. A compliance level determined under this election shall
replace a previously determined compliance level.
(b) A fail decision is reached with respect to the upper limit when
the compliance level determined in paragraph (a) of this section exceeds
the applicable upper limit.
(c) Initial test results are calculated following the Federal Test
Procedure specified in Sec. 86.1111-87(a).
(d) Final test results are calculated by summing the initial test
results derived in paragraph (c) of this section for each test engine or
vehicle, dividing by the number of tests conducted on the engine or
vehicle, and rounding in accordance with ASTM E29-67 to the same number
of decimal places contained in the applicable standard expressed to one
additional significant figure.
(e) Final deteriorated test results. (1) The final deteriorated test
results for each heavy-duty engine or light-duty truck tested according
to subpart B, I, N, or P of this part are calculated by applying the
final test results by the appropriate deterioration factor, derived from
the certification process for the engine family control system
combination and model year for the selected configuration to which the
test engine or vehicle belongs. If the deterioration factor computed
during the certification process is multiplicative and it is less than
one, that deterioration factor will be one. If the deterioration factor
computed during the certification process is additive and it is less
than zero, that deterioration factor will be zero.
(2) The final deteriorated test results are rounded to the same
number of significant figures contained in the applicable standard in
accordance with ASTM E29-67.
(f) A failed engine or vehicle is one whose final deteriorated test
results, for one or more of the applicable exhaust pollutants, exceed:
(1) The applicable emission standard, or
(2) The compliance level established in paragraph (b) of this
section.
(g) Within five working days after completion of PCA testing of all
engines or vehicles, the manufacturer shall submit to the Administrator
a report which includes the following information:
(1) The location and description of the manufacturer's emission test
facilities which were utilized to conduct testing reported pursuant to
this section;
(2) The applicable standards against which the engines or vehicles
were tested;
(3) Deterioration factors for the engine family to which the
selected configuration belongs;
(4) A description of the engine or vehicle and any emission-related
component selection method used;
(5) For each test conducted:
(i) Test engine or vehicle description, including;
(A) Configuration and engine family identification,
(B) Year, make and build date,
(C) Engine or vehicle identification number, and
(D) Number of hours of service accumulated on engine or number of
miles on vehicle prior to testing;
(ii) Location where service or mileage accumulation was conducted
and description of accumulation procedure and schedule;
(iii) Test number, date, initial test results before and after
rounding, final test results and final deteriorated test results for all
emission tests, whether valid or invalid, and the reason for
invalidation, if applicable;
(iv) A complete description of any modification, repair,
preparation, maintenance, and/or testing which was performed on the test
engine or vehicle and has not been reported pursuant to any other
paragraph of this subpart and will not be performed on all other
production engines or vehicles; and
[[Page 129]]
(v) Any other information the Administrator may request relevant to
the determination as to whether the new heavy-duty engines or heavy-duty
vehicles being manufactured by the manufacturer do in fact conform with
the regulations of this subpart; and
(6) The following statement and endorsement:
This report is submitted pursuant to section 206 of the Clean Air
Act. This Production Compliance Audit was conducted in complete
conformance with all applicable regulations under 40 CFR part 86 et seq.
All data and information reported herein is, to the best of
(Company Name)--------------------'s
knowledge, true and accurate. I am aware of the penalties associated
with violations of the Clean Air Act and the regulations thereunder.
________________________________________________________________________
(Authorized Company Representative)
Sec. 86.1113-87 Calculation and payment of penalty.
(a) The NCP for each engine or vehicle for which a compliance level
has been determined under Sec. 86.1112-87 is calculated according to the
formula in paragraph (a)(1) or (a)(2) of this section depending on the
value of the compliance level. Each formula contains an annual
adjustment factor (AAFi) which is defined in paragraph (a)(3)
of this section. Other terms in the formulas are defined in paragraph
(a)(4) of this section.
(1) If the compliance level (CL) is greater than the standard and
less than or equal to X (e.g., point CL1 in figure 1), then:
[GRAPHIC] [TIFF OMITTED] TR06OC93.111
where:
PR1 = (F) (MC50)
(2) If the compliance level is greater than X and less than or equal
to the upper limit as determined by Sec. 86.1104-87 (e.g., point
CL2 in figure 1), then:
[GRAPHIC] [TIFF OMITTED] TR06OC93.112
where:
[GRAPHIC] [TIFF OMITTED] TR06OC93.113
(3) AAFi has the following values:
(i) If fraci-1 = 0, then AAFi = 1 +
Ii-1
(ii) If fraci-1 0, then:
[GRAPHIC] [TIFF OMITTED] TR06OC93.114
[[Page 130]]
[GRAPHIC] [TIFF OMITTED] TR06OC93.183
If fraci-1 0.50, then fraci-1 will be
set equal to 0.50.
(iii) AAF1=1
(iv) In calculating the NCP for year n, the value fraci-1
for i=n will include actual NCP usage through March 31 of model year n-1
and EPA's estimate of additional usage for the remainder of model year
n-1 using manufacturer input. All manufacturers using NCPs must report
by subclass actual NCP and non-NCP production numbers through March 31,
an estimate of NCP and non-NCP production for the remainder of the model
year, and the previous year's actual NCP and non-NCP production to EPA
no later than April 30 of the model year. If EPA is unable to obtain
similar information from manufacturers not using NCPs, EPA will use
projected sales data from the manufacturers' application for
certification in computing the total production of the subclass and the
fraci-1. The value of fraci-1 will be corrected to
reflect actual year-end usage of NCPs and a corrected AAF will be used
to establish NCPs in future years. The correction of previous year's AAF
will not affect the previous year's penalty.
(4) The terms in the above formulas have the following meanings and
values, which may be determined separately for each subclass and
pollutant for which an NCP is offered. The production of Federal and
California designated engines or vehicles shall be combined for the
purpose of this section in calculating the NCP for each engine or
vehicle.
NCPn=NCP for year n for each applicable engine or vehicle
CL=Compliance level for year n for applicable engines or vehicles
S=Emission standard
UL=Upper limit as determined by section 86.1104-87, except that, if the
upper limit is determined by section 86.1104-87(c), the value of UL in
paragraph (a)(2) of this section shall be the prior emission standard
for that pollutant.
UL'=Upper limit as determined by section 86.1104-87(c). This value is
not used in the above formulas.
X=Compliance level above the standard at which NCP1 equals
COC50
[[Page 131]]
[GRAPHIC] [TIFF OMITTED] TR06OC93.115
PR1=Penalty rate when CL [lE] X
PR2=Penalty rate when X < CL [lE] applicable upper limit
[GRAPHIC] [TIFF OMITTED] TR06OC93.116
i=An index representing a year. It represents the same year for both
Federal and California designated engines or vehicles of the same
production model year.
n=Index representing the number of model years for which the NCP has
been available for an engine or vehicle subclass (i.e., n=1 for the
first year that the NCP is available, and so on until n=n for the nth
year that the NCP is available). The factor ``n'' is based on the model
year the NCP is first available, as specified in section 86.1105-87 for
the engine or vehicle subclass and pollutant for both Federal and
California designated engines and vehicles.
COC50=Estimate of the average total incremental cost to
comply with the standard relative to complying with the upper limit.
COC90=Estimate of the 90th percentile total incremental cost
to comply with the standard relative to complying with the upper limit.
MC50=Estimate of the average marginal cost of compliance
(dollars per emission unit) with the standard.
F=Factor used to estimate the 90th percentile marginal cost based on the
average marginal cost (the minimum value of F is 1.1, the maximum value
of F is 1.3).
AAFi=Annual adjustment factor for year i,
fraci-1=Fraction of engines or vehicles of a subclass using
NCPs in previous year (year i-1).
Ai=Usage adjustment factor in year i: Ai=0.10 for
i=2; Ai=0.08 for i<2.
Ii=Percentage increase in overall consumer price index in
year i.
(5) The values of COC50, COC90,
MC50 and F will be determined for each applicable subclass by
EPA based on the cost data used by EPA in setting the applicable
emission standard. However, where the rulemaking to establish a specific
NCP occurs after the rulemaking to establish the standard, EPA may
augment the data base used to establish the standard by including the
best cost and emission performance data available to EPA during the
specific NCP rulemaking.
(6) In calculating the NCP, appropriate values of the following
predefined terms should be used: CL, S, UL, F, and Ai. For
all other terms, unrounded values of at least five figures beyond the
decimal point should be used in calculations leading up to the penalty
amount. Any NCP calculated under paragraph (a) of this section will be
rounded to the nearest dollar in accordance with ASTM E29-67.
(b) The NCP determined in paragraph (a) of this section is assessed
against all those engines or vehicles of the nonconforming configuration
or engine family produced at all assembly plants and distributed into
commerce--
(1) Since the beginning of the model year in the case of a
certification failure described by Sec. 86.1106-87(a).
(2) Beginning ten days after an SEA failure described by
Sec. 86.1106-87 (b) or (c).
(3) Following implementation of a production running change
described by Sec. 86.1106-87(d).
(c) The NCP will continue to be assessed during the model year,
until such time, if any, that the configuration or engine family is
brought into conformance with applicable emission standards.
(d) A manufacturer may carry over an NCP from a model year to the
next model year. There is no limit to the number of years that carryover
can continue. The amount of the penalty will increase each year
according to paragraph (a) of this section.
(e) The Administrator shall notify the manufacturer in writing of
the nonconformance penalty established under paragraph (a) of this
section after the completion of the PCA under Sec. 86.1112-87.
(f) A manufacturer may request a hearing under Sec. 86.1115-87 as to
whether
[[Page 132]]
the compliance level (including a compliance level in excess of the
upper limit) was determined in accordance with the procedures in
Sec. 86.1112-87(a) or whether the nonconformance penalty was calculated
in accordance with the procedures in Sec. 86.1113-87(a). If a
nonconformance penalty has been established, such hearing must be
requested within fifteen (15) days or such other period as may be
allowed by the Administrator after the notification of the
nonconformance penalty. If a manufacturer wishes to challenge a
compliance level in excess of the upper limit, he must request a hearing
within fifteen (15) days or such other period as may be allowed by the
Administrator after the completion of the Production Compliance Audit.
(g)(1) Except as provided in paragraph (g)(2) of this section, the
nonconformance penalty or penalties assessed under this subpart must be
paid as follows:
(i) By the quarterly due dates, i.e., within 30 days of the end of
each calendar quarter (March 31, June 30, September 30 and December 31),
or according to such other payment schedule as the Administrator may
approve pursuant to a manufacturer's request, for all nonconforming
engines or vehicles produced by a manufacturer in accordance with
paragraph (b) of this section and distributed into commerce for that
quarter.
(ii) The penalty shall be payable to U.S. Environmental Protection
Agency, NCP Fund, P.O. Box 360277M, Pittsburgh, PA 15251.
(2) When a manufacturer has requested a hearing under Sec. 86.1115-
87, it must pay the nonconformance penalty, and any interest, within ten
days after the Presiding Officer renders his decision, unless the
manufacturer first files a notice of intention to appeal to the
Administrator pursuant to Sec. 86.1115-87(t)(1), or, if an appeal of the
Presiding Officer's decision is taken, within ten days after the
Administrator renders his decision, unless the manufacturer first files
a petition for judicial review.
(3) A manufacturer making payment under paragraph (g)(1) or (g)(2)
of this section shall submit the following information by each quarterly
due date to: Director, Manufacturers Operations Division, U.S.
Environmental Protection Agency, 1200 Pennsylvania Ave., NW.,
Washington, DC 20460. This information shall be submitted even if a
manufacturer has no NCP production in a given quarter.
(i) Corporate identification, identification and quantity of engines
or vehicles subject to the NCP, certificate identification (number and
date), NCP payment calculations and interest payment calculations, if
applicable.
(ii) The following statement and endorsement:
This information is submitted pursuant to section 206 of the Clean
Air Act. All information reported herein is, to the best of
------------------------------------------'s
(Company name)
knowledge, true and accurate. I am aware of the penalties associated
with violations of the Clean Air Act and the regulations thereunder.
________________________________________________________________________
(Authorized Company Representative)
(4) The Administrator may verify the production figures or other
documentation submitted under paragraph (g)(3) of this section.
(5)(i) Interest shall be assessed on any nonconformance penalty for
which payment has been withheld under Sec. 86.113-87(g) (1) or (2).
Interest shall be calculated from the due date for the first quarterly
NCP payment, as determined under Sec. 86.1113-87(g)(1), until either the
date on which the Presiding Officer or the Administrator renders the
final decision of the Agency under Sec. 86.1115-87 or the date when an
alternate payment schedule (approved pursuant to Sec. 86.1113-87(g)(1))
ends.
(ii) The combined principal plus interest on each quarterly NCP
payment withheld pursuant to Sec. 86.1113-87(g) (1) or (2) shall be
calculated according to the formula:
QNCP(1 + R).25n
where:
QNCP=the quarterly NCP payment
R=the interest rate applicable to that quarter
n=the number of quarters for which the quarterly NCP payment is
outstanding.
(iii) The number of quarters for which payment is outstanding for
purposes of this paragraph shall be the number of quarterly NCP payment
due dates, as determined under Sec. 86.1113-
[[Page 133]]
87(g)(1), which have elapsed throughout the duration of a hearing
request, or alternate payment schedule.
(iv) The interest rate applicable to a quarter for purposes of this
paragraph shall be the rate published by the Secretary of the Treasury
pursuant to the Debt Collection Act of 1982 and effective on the date on
which the NCP payment was originally due.
(6) A manufacturer will be refunded an overpayment, or be permitted
to offset an overpayment by withholding a future payment, if approved in
advance by the Administrator. The government shall pay no interest on
overpayments.
(h) A manufacturer that certifies as a replacement for the
nonconforming configuration, a configuration that is in conformance with
applicable standards, and that performs a production compliance audit
(PCA) in accordance with Sec. 86.1112-87(a) that results in a compliance
level below the applicable standard, will be eligible to receive a
refund of a portion of the engineering and development component of the
penalty. The engineering and development component will be determined by
multiplying the base penalty amount by the engineering and development
factor for the appropriate subclass and pollutant in Sec. 86.1105-87.
The amount refunded will depend on the model year in which the
certification and PCA take place. In cases where payment of penalties
have been waived by EPA in accordance with paragraph (g)(1)(iii) of this
section, EPA will refund a portion of the engineering and development
component. The proportionate refund to be paid by EPA will be based on
the proportion of vehicles or engines of the nonconforming configuration
for which NCPs were paid to EPA. The refund is calculated as follows:
Rtot=Dn x FE&D x NCP1 x
Prodtot
RCal=(ProdCal/Prodtot) x
(Rtot)
REPA=Rtot-RCal
Where:
n=index representing the number of model years for which the NCP has
been available for an engine or vehicle subclass (i.e., n=1 for the
first year that NCPs are available, . . . , n=n for the nth
year the NCPs are available; same as ``n'' in paragraph (a)(4)).
Dn=discount factor depending on the number of model years (n)
for which NCPs were available at the time of certification and PCA of
the replacement configuration, and its value is as follows:
D1=0.90
D2=0.79
D3=0.67
D4=0.54
D5=0.39
D6=0.23
D7=0.05
Dn=0.00 for n=8 or larger
FE&D=the engineering and development factor specified in
section 86.1105-87 for the appropriate subclass and pollutant
NCP1=the penalty for each engine or vehicle during the first
(base) year the NCP is available as calculated in paragraph (a)
Prodtot=total number of engines or vehicles produced in the
subclass for which NCPs were paid to EPA or to the State of California
ProdCal=number of engines or vehicles in the subclass
demonstrated to have been titled, registered or principally used in the
State of California and for which NCPs were paid to the State of
California under paragraph (g)(1)
Rtot=Total refund due to the manufacturer for the engineering
and development component of the NCP
RCal=Refund due to the manufacturer from the State of
California for the engineering and development component of the NCP
REPA=Refund due to the manufacturer from EPA for the
engineering and development component of the NCP.
[50 FR 35388, Aug. 30, 1985, as amended at 50 FR 53467, Dec. 31, 1985;
53 FR 19134, May 26, 1988; 55 FR 46629, Nov. 5, 1990; 61 FR 51366, Oct.
2, 1996]
Sec. 86.1114-87 Suspension and voiding of certificates of conformity.
(a) The certificate of conformity is suspended with respect to any
engine or vehicle failing pursuant to paragraph (f) of Sec. 86.1112-87
effective from the time that a fail decision is made for that engine or
vehicle.
(b) Once a certificate has been suspended for a failed engine or
vehicle as provided for in paragraph (a) of this section, the
manufacturer shall take the following actions:
(1) Before the certificate is reinstated for that failed engine or
vehicle,
(i) Remedy the nonconformity, and
(ii) Demonstrate that the engine or vehicle conforms to the
applicable standards or compliance levels by retesting the engine or
vehicle in accordance with these regulations; and
(2) Submit a written report to the Administrator within five working
[[Page 134]]
days after successful completion of testing on the failed engine or
vehicle, which contains a description of the remedy and test results for
each engine or vehicle in addition to other information that may be
required by this regulation.
(c) The Administrator may suspend the certificate of conformity if
the manufacturer, after electing to conduct a PCA, fails to adhere to
the requirements stated in Sec. 86.1106-87(b)(3), (b)(6)(iii), (c)(2),
or (c)(5)(iii).
(d) The Administrator may suspend the qualified certificate of
conformity issued under the conditions specified in Sec. 86.1106-87 if
the manufacturer fails to adhere to the requirements stated in
Sec. 86.1106-87(a)(3), (a)(4)(iii), (d)(2)(iii), or (d)(3).
(e) The Administrator may suspend the certificate of conformity or
the qualified certificate of conformity if the compliance level as
determined in Sec. 86.1112-87(a) is in excess of the upper limit.
(f) The Administrator may void the certificate of conformity if the
compliance level as determined in Sec. 86.1112-87(a) is in excess of the
upper limit and the manufacturer fails to recall any engines or vehicles
introduced into commerce pursuant to Sec. 86.1106-87(a)(4)(ii),
(b)(6)(ii), (c)(5)(ii) or (d)(2)(ii).
(g) The Administrator may void the certificate of conformity for
those engines or vehicles for which the manufacturer fails to meet the
requirements of Sec. 86.1106-87(a)(4)(i), (b)(6)(i), (c)(5)(i), or
(d)(2)(i).
(h) The Administrator shall notify the manufacturer in writing of
any suspension or voiding of a certificate of conformity in whole or in
part, except as provided for in paragraph (a) of this section.
(i) A certificate of conformity suspended or voided under paragaph
(c), (d), (e), (f) or (g) of this section may be reinstated after a
written request by the manufacturer and under such terms and conditions
as the Administrator may require and after the manufacturer demonstrates
compliance with applicable requirements.
(j) After the Administrator suspends or voids a certificate of
conformity pursuant to this section or notifies a manufacturer of his
intent to suspend or void a certificate of conformity under Sec. 86.087-
30(e), and prior to the commencement of a hearing, if any, under
Sec. 86.1115-87, if the manufacturer demonstrates to the Administrator's
satisfaction that the decision to suspend or void the certificate was
based on erroneous information, the Administrator shall reinstate the
certificate.
Sec. 86.1115-87 Hearing procedures for nonconformance determinations and
penalties.
(a) Applicability. The procedures prescribed by this section shall
apply whenever a manufacturer requests a hearing pursuant to
Sec. 86.087-30(e)(6)(i), Sec. 86.087-30(e)(7), or Sec. 86.1113-87(f).
(b) Definitions. The following definitions shall be applicable to
this section:
(1) Hearing Clerk shall mean the Hearing Clerk of the Environmental
Protection Agency.
(2) Manufacturer means a manufacturer contesting a compliance level
or penalty determination sent to the manufacturer.
(3) Party means the Agency and the manufacturer.
(4) Presiding Officer shall mean an Administrative Law Judge
appointed pursuant to 5 U.S.C. 3105 (see also 5 CFR part 930 as
amended).
(5) 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.
[[Page 135]]
(c) Request for public hearing. (1) A manufacturer may request a
hearing pursuant to Sec. 86.1113-87(f) if it disagrees with the
Administrator's determination of compliance level or penalty calculation
or both, or pursuant to Sec. 86.085-30(e)(6)(i) or Sec. 86.085-30(e)(7)
if it disagrees with the Administrator's proposed suspension or voiding
of a certificate of conformity. Requests for such a hearing shall be
filed no later than 15 days:
(i) After receipt of the Administrator's notification of NCP, if the
compliance level is in the allowable range of non-conformity, or
(ii) After completion of the Production Compliance Audit, if the
compliance level exceeds the upper limit, or
(iii) After receipt of the Administrator's notification of a
proposed suspension or voiding of a certificate of conformity if the
hearing is requested pursuant to Secs. 86.085-30(e)(6)(i) or 86.085-
30(e)(7), unless otherwise specified by the Administrator. The
manufacturer shall simultaneously serve two copies of this request upon
the Director of the Manufacturers Operations Division and file two
copies with the Hearing Clerk. Failure of the manufacturer to request a
hearing within the time provided constitutes a waiver of the right to a
hearing. 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
compliance level or penalty calculation.
(2) The request for a public hearing shall contain:
(i) A statement as to which vehicle or engine subclasses or
configurations 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 vehicle or engine subclass or
configuration for which the manufacturer has requested the hearing.
Provided, however, That in the case of a hearing requested under
Sec. 86.1113-87(f), the hearing shall be restricted to the following
issues:
(A) Whether the compliance level was determined in accordance with
the procedures in Sec. 86.1112-87(a); or
(B) Whether the penalty was calculated in accordance with the
procedures in Sec. 86.1113-87(a).
(iii) A statement specifying reasons why the manufacturer believes
it will prevail on the merits on each of the issues so raised; and
(iv) A summary of the evidence which supports the manufacturer's
position 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.
(d) Summary decision. (1) In the case of a hearing requested under
Sec. 86.1113-87(f) when it clearly appears from the data and other
information contained in the request for a hearing that there is no
genuine and substantial question of fact with respect to the issues
specified in Sec. 86.1115-87(c)(2)(ii), the Administrator will enter an
order denying the request for a hearing, and reaffirming the original
compliance level determination or penalty calculation.
(2) Any order issued under paragraph (d)(1) of this section shall
have the force and effect of a final decision of the Administrator, as
issued pursuant to paragraph (v)(4) of this section.
(3) If the Administrator determines that a genuine and substantial
question of fact does exist with respect to any of the issues referred
to in paragraph (d)(1) of this section, he shall grant the request for a
hearing and publish a notice of public hearing in accordance with
paragraph (h) of this section.
(e) 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 (h) of this section.
(2) To the maximum extent possible, testimony shall be presented in
written form. Copies of written testimony shall be served upon all
parties as soon as practicable prior to the start of the
[[Page 136]]
hearing. 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 sent
by registered mail to: Director, Manufacturers Operations Division, U.S.
Environmental Protection Agency (EN-340F), 1200 Pennsylvania Ave., NW.,
Washington, DC 20460. Service by registered mail is complete upon
mailing.
(f) 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 a 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.
(g)(1) Consolidation. The Administrator of 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.
(2) If a vehicle or engine is determined to be in nonconformity
during certification testing under subpart A of this part, then the
manufacturer may wait to challenge the determination until after
production compliance auditing and calculation of his penalty and may
consolidate challenges to the determination of nonconformity and the
compliance level determination or the penalty calculation, without
losing any rights he would otherwise have had.
(3) If a vehicle or engine is determined to be in nonconformity
during selective enforcement auditing under subpart K of this part, then
the manufacturer must wait to challenge the determination until after
the compliance level determination and the penalty calculation, and must
consolidate challenges to the determination of nonconformity and the
compliance level determination or the calculation of the penalty.
(h) Notice of public hearings. (1) Notice of public hearing under
this section shall be given by publication in the Federal Register and
by such other means as the Administrator finds appropriate to provide
notice to the public. To the extent possible, hearings under this
section shall be scheduled to commence within 30 days of receipt of the
application in paragraph (c) of this section.
(2) [Revised]
(i) Amicus curiae. Persons not parties to the proceeding 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 and 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 rules 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 exclude irrelevant or
repetitious material;
(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
[[Page 137]]
without affidavit whenever, in the opinion of the Presiding Officer,
oral testimony is not necessary for full and true disclosure of the
facts;
(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 on the record of the hearing;
(12) To issue, upon good cause shown, protective orders as described
in paragraph (n) of this section.
(k) Conferences. (1) At the discretion of the Presiding Officer,
conferences may be held prior to or during any hearing. The Presiding
Officer shall direct the Hearing Clerk to notify all parties of the time
and location of 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; and
(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 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 this expected testimony, to prepare for the presentation of this
case.
(m) Other discovery. (1) Except as provided by paragraph (m)(1) 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
[[Page 138]]
upon a showing of good cause and upon a finding that:
(i) The information sought cannot be obtained by alternative
methods; or
(ii) There is a substantial reason to believe that relevant and
probative evidence may otherwise not be preserved for presentation by a
witness at the hearing.
(3) Any party to the proceeding desiring an order of discovery shall
make a motion or motions therefor. Such a motion shall set forth:
(i) The circumstances warranting the taking of the discovery;
(ii) The nature of the information expected to be discovered; and
(iii) The proposed time and place where it will be taken. If the
Presiding Officer determines the motion should be granted, he shall
issue an order for the taking of such discovery together with the
conditions and terms thereof.
(4) Failure to comply with an order issued pursuant to this
paragraph may lead to the inference that the information to be
discovered would be adverse to the person or party from whom the
information was sought.
(n) Protective orders, in camera proceedings. (1) Upon motion by a
party or by the person from whom discovery is sought, and upon a showing
by the movant that the disclosure of the information to be discovered,
or a particular part thereof (other than emission data), would result in
methods or processes entitled to protection as trade secrets of the
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 for 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, representatives of 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, that desires
to make use of any in camera documents or testimony in the presentation
of his case shall apply to the Presiding Officer by motion for
permission to do so, and shall state the justification for the motion.
The Presiding Officer, in granting any such motion, shall enter an order
protecting the rights of the affected persons and parties as far as is
practicable, and preventing unnecessary disclosure of such information
and testimony concerning such information.
(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. This shall not preclude
references in such 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
[[Page 139]]
shall state with particularity the grounds therefore, shall set forth
the relief or order sought, and shall be filed with the Hearing Clerk
and served upon all parties.
(2) Within such time as may be fixed by the Environmental Appeals
Board or the Presiding Officer, as appropriate, any party may serve and
file an answer to the motion. The movant shall, if requested by the
Environmental Appeals Board or the Presiding Officer, as appropriate,
serve and file reply papers, within the time set by the request.
(3) The Presiding Officer shall rule upon all motions filed or made
prior to the filing of his decision or accelerated decision, as
appropriate. The Environmental Appeals Board shall rule upon all motions
filed prior to the appointment of a Presiding Officer and all motions
filed after the filing of the decision of the Presiding Officer or
accelerated decision. Oral argument of motions will be permitted only if
the Presiding Officer or the Environmental Appeals Board, as
appropriate, deems it necessary.
(p) Evidence. (1) The official transcripts and exhibits, together
with all papers and requests filed in the proceeding, shall constitute
the record. Immaterial or irrelevent 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
cross-examine 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) Record. (1) Hearings shall be stenographically reported and
transcribed and the original transcripts shall be part of the record.
Copies of the records shall be filed with the Hearing Clerk and made
available during Agency business hours for public inspection. Any person
who wants a copy of the record of the hearing or any part thereof,
except as provided in paragraph (n) of this section, 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.
(r) Proposed findings, conclusions. (1) Within 30 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 order, together with reasons therefore and briefs in support
thereof. Such proposals shall be in writing, shall be served upon all
parties, and shall contain adequate references to the record and
authorities relied upon.
(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.
(s) 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 has expired, as provided for in paragraph (c)
of this section.
(2) The Presiding Officer's decision shall become the decision of
the Environmental Appeals Board (i) 10 days after issuance thereof, if
no notice of intention to appeal as described in paragraph (t) of this
section is filed, unless in the interim the Environmental Appeals Board
shall have taken action to review or stay the effective date of the
decision; or (ii) 5 days after expiration of the period allowed by
[[Page 140]]
paragraph (t)(1) of this section for perfection of an appeal, if a
notice of intention to appeal is filed but the appeal is not perfected,
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 therefore,
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.
(t) 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 20 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 the same time limits as 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 appealed;
(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 legal or other material
relied upon; and
(iv) A proposed order for the Environmental Appeals Board's
consideration if different from the order contained in the Presiding
Officer's decision.
(4) No brief in excess of 15 pages shall be filed without leave of
the Environmental Appeals Board.
(5) Oral argument will be allowed only in the discretion of the
Environmental Appeals Board.
(u) 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 (t) 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 (t)(1) of this section,
may, on its own motion, within 14 days after notice from the Hearing
Clerk, 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 issues which shall be considered and
shall make provisions for filing of briefs.
(v) Decision of appeal or review. (1) Upon appeal from or review of
the Presiding Officer's 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 order
contained in the decision of the Presiding Officer and shall set forth
in its decision a statement of the reasons or bases for this 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
[[Page 141]]
Appeals Board, in its discretion, may without final action pending the
receipt of such additional information or views, or may remand the case
to the Presiding Officer.
(4) Any decision rendered under this paragraph which completed
disposition of a case shall be a final decision of the Environmental
Appeals Board.
(w) Reconsideration. 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. This
petition must be filed within 20 days of the issuance of the
Environmental Appeals Board's decision, and must be confined to new
questions raised by the decision or final order and which the petitioner
had no opportunity to argue before the Presiding Officer or the
Environmental Appeals Board, unless otherwise specified by the
Environmental Appeals Board. Subsequent to the expiration of the period
for petitioning for reconsideration, the Environmental Appeals Board
may, in its discretion and for good cause shown, grant the manufacturer
a hearing to contest the compliance level or the penalty calculation
even though such issues may have been raised in the previous proceeding.
Any party desiring to oppose such a petition, shall file an answer
thereto within 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.
(x) 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, for any of the following reasons:
(i) Failure to state a claim upon which relief can be granted, or
direct or collateral estoppel;
(ii) The lack of any genuine issue of material fact, causing a party
to be 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 (s) 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.
(y) Conclusion of hearing. (1) If, after the expiration of the
period for taking an appeal as provided by paragraph (t) 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 (u) of this
section, the Environmental Appeals Board does not move to review such
decision, the hearing will be deemed to have ended at the expiration of
all periods allowed for such appeal and review.
(2) If an appeal of the Presiding Officer's decision is taken
pursuant to paragraph (t) 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 (u) of this section, the
hearing will be deemed to have ended upon issuance of a final decision
by the Environmental Appeals Board.
(z) Judicial review. (1) The Administrator hereby designates the
General Counsel of the Environmental Protection Agency as the officer
upon whom any copies for judicial review shall be served. Such officer
shall be responsible for filing in the court the record
[[Page 142]]
on which the order of the Environmental Appeals Board is based.
(2) [Reserved]
[50 FR 35388, Aug. 30, 1985, as amended at 50 FR 53467, Dec. 31, 1985;
55 FR 46630, Nov. 5, 1990; 57 FR 5333, Feb. 13, 1992]
Sec. 86.1116-87 Treatment of confidential information.
(a) Any manufacturer may assert that some or all of the information
submitted pursuant to this subpart is entitled to confidential treatment
as provided by 40 CFR part 2, subpart B.
(b) Any claim of confidentiality must accompany the information at
the time it is submitted to EPA.
(c) To assert that information submitted pursuant to this subpart is
confidential, a manufacturer must indicate clearly the items of
information claimed confidential by marking, circling, bracketing,
stamping, or otherwise specifying the confidential information.
Furthermore, EPA requests, but does not require, that the submitter also
provide a second copy of its submittal from which all confidential
information has been deleted. If a need arises to publicly release
nonconfidential information, EPA will assume that the submitter has
accurately deleted the confidential information from this second copy.
(d) If a claim is made that some or all of the information submitted
pursuant to this subpart is entitled to confidential treatment, the
information covered by that confidentiality claim will be disclosed by
the Environmental Appeals Board only to the extent and by means of the
procedures set forth in part 2, subpart B, of this chapter.
(e) Information provided without a claim of confidentiality at the
time of submission may be made available to the public by EPA without
further notice to the submitter, in accordance with 40 CFR
2.204(c)(2)(i)(A).
[50 FR 34798, Aug. 27, 1985, as amended at 57 FR 5334, Feb. 13, 1992]
Subpart M--Evaporative Emission Test Procedures for New Gasoline-Fueled,
Natural Gas-Fueled, Liquefied Petroleum Gas-Fueled and Methanol-Fueled
Heavy-Duty Vehicles
Authority: Secs. 202, 206, 301, Clean Air Act as amended, 42 U.S.C.
7521, 7525, 7601.
Source: 48 FR 1456, Jan. 12, 1983, unless otherwise noted.
Sec. 86.1201-90 Applicability.
(a) The provisions of this subpart are applicable to new gasoline-
fueled, natural gas-fueled, liquefied petroleum gas-fueled and methanol-
fueled heavy-duty vehicles.
(b) Provisions of this subpart apply to tests performed by both the
Administrator and motor vehicle manufacturers.
(c) Test procedures and equipment other than those described in this
subpart may be used by the vehicle manufacturer if shown to yield
results which correlate with results yielded by those described in this
subpart (with the reference driving schedule described in Sec. 86.1215-
85(a)) and if approved in advance by the Administrator.
[54 FR 14562, Apr. 11, 1989, as amended at 59 FR 48521, Sept. 21, 1994]
Sec. 86.1202-85 Definitions.
Applicable definitions in Secs. 86.077-2, 86.078-2, 86.079-2,
86.080-2, 86.081-2, 86.082-2 and 86.085-2 apply to this subpart.
Sec. 86.1203-85 Abbreviations.
The abbreviations in Sec. 86.079-3 apply to this subpart.
Sec. 86.1204 Section numbering.
The section numbering system set forth in Sec. 86.104 applies to
this subpart.
[59 FR 48521, Sept. 21, 1994]
Sec. 86.1205-90 Introduction; structure of subpart.
(a) This subpart describes the equipment required and the procedures
to
[[Page 143]]
follow in order to determine evaporative emission levels from gasoline-
fueled, natural gas-fueled, liquefied petroleum gas-fueled and methanol-
fueled heavy-duty vehicles.
(b) Three topics are addressed in this subpart. Sections 86.1206
through 86.1215 set forth specifications and equipment requirements;
Secs. 86.1216 through 86.1226 discuss calibration methods and frequency;
test procedures and data requirements are listed in Secs. 86.1227
through 86.1246.
[54 FR 14562, Apr. 11, 1989, as amended at 58 FR 16047, Mar. 24, 1993;
59 FR 48521, Sept. 21, 1994]
Sec. 86.1206-90 Equipment required; overview.
This subpart specifies procedures for testing of gasoline-fueled and
methanol-fueled heavy-duty vehicles. Equipment required and
specifications are as follows:
(a) Evaporative emissions tests. Sec. 86.1207 specifies the
necessary equipment.
(b) Fuel, analytical gas, and driving schedule specifications. Fuel
specifications for emission testing and for service accumulation are
specified in Sec. 86.1213. Analytical gases are specified in
Sec. 86.1214. Both vehicle preconditioning for the diurnal loss test and
vehicle operation prior to the hot soak loss test include operation on a
chassis dynamometer. The driving cycle (EPA heavy-duty vehicle urban
dynamometer driving schedule) is specified in Sec. 86.1215.
[54 FR 14562, Apr. 11, 1989]
Sec. 86.1206-96 Equipment required; overview.
This subpart specifies procedures for testing of gasoline-fueled,
natural gas-fueled, liquefied petroleum gas-fueled and methanol-fueled
heavy-duty vehicles. Equipment required and specifications are as
follows:
(a) Evaporative emission tests. Section 86.1207 specifies the
necessary equipment.
(b) Fuel, analytical gas, and driving schedule specifications. Fuel
specifications for emission testing and for service accumulation are
specified in Sec. 86.1213. Analytical gases are specified in
Sec. 86.1214. Evaporative testing requires vehicle operation on a
chassis dynamometer. The driving cycle is specified in Sec. 86.1215.
[58 FR 16047, Mar. 24, 1993, as amended at 59 FR 48521, Sept. 21, 1994;
65 FR 59957, Oct. 6, 2000]
Sec. 86.1207-90 Sampling and analytical system; evaporative emissions.
The following is a description of the components which will be used
in evaporative emissions sampling systems for testing under this
subpart.
(a) Evaporative emission measurement enclosure. The enclosure shall
be readily sealable, rectangular in shape, with space for personnel
access to all sides of the vehicle. When sealed, the enclosure shall be
gas tight in accordance with Sec. 86.1217. Interior surfaces must be
impermeable and non-reactive to hydrocarbons and to methanol (if used
for methanol-fueled vehicles). One surface should be of flexible,
impermeable and non-reactive material to allow for minor volume changes,
resulting from temperature changes. Wall design should promote maximum
dissipation of heat, and if artificial cooling is used, interior surface
temperatures shall not be less than 68 deg.F (20 deg.C).
(b) Evaporative emission hydrocarbon and methanol analyzers. (1) For
gasoline and methanol-fueled vehicles a hydrocarbon analyzer utilizing
the hydrogen flame ionization principle (FID) shall be used to monitor
the atmosphere within the enclosure (a heated FID
(HFID)(235 deg.15 deg.F (1138 deg.C)) is
recommended for methanol-fueled vehicles). Instrument bypass flow may be
returned to the enclosure. The FID shall have a response time to 90
percent of final reading of less than 1.5 seconds, and be capable of
meeting performance requirements expressed as a function of Cstd: where
Cstd is the specific enclosure hydrocarbon level, in ppm, corresponding
to the evaporative emission standard:
(i) Stability of the analyzer shall be better than 0.01 Cstd ppm at
zero and span over a 15-minute period on all ranges used.
(ii) Repeatability of the analyzer, expressed as one standard
deviation, shall be better than 0.005 Cstd ppm on all ranges used.
[[Page 144]]
(2) For methanol-fueled vehicles, a methanol sampling and analyzing
system is required in addition to the FID analyzer. The methanol
sampling equipment shall consist of impingers for collecting the
methanol sample and appropriate equipment for drawing the sample through
the impingers. The analytical equipment shall consist of a gas
chromatograph equipped with a flame ionization detector. (Note: For 1990
through 1994 model year methanol-fueled vehicles, a HFID, calibrated on
methanol may be used in place of the HFID calibrated on propane plus the
methanol impingers and associated analytical equipment.)
(3) The methanol sampling system described in paragraph (b)(2) of
this section shall be designed such that, if a test vehicle emitted the
maximum allowable level of methanol (based on all applicable standards)
during any phase of the test, the measured concentration in the primary
impinger would exceed either 25 mg/l or a concentration equal to 25
times the limit of detection for the GC analyzer, and such that the
primary impinger collects at least 90 percent of the analyte in the
samples. The remaining analyte shall be collected by the secondary
impinger. The provisions of this paragraph apply to the design of
sampling systems, not to individual tests.
(c) Evaporative emission hydrocarbon and methanol data recording
system. (1) The electrical output of the FID used for measuring
hydrocarbons (or hydrocarbons plus methanol as appropriate) shall be
recorded at least at the initiation and termination of each diurnal or
hot soak. The recording may be by means of a strip chart potentiometric
recorder, by use of an on-line computer system or other suitable means.
In any case, the recording system must have operational characteristics
(signal to noise ratio, speed of response, etc.) equivalent to or better
than those of the signal source being recorded, and must provide a
permanent record of results. The record shall show a positive indication
of the initiation and completion of each diurnal or hot soak along with
the time elapsed between initiation and completion of each soak.
(2) For the methanol sample, permanent records shall be made of the
following: the volumes of deionized water introduced into each impinger,
the rate and time of sample collection and the chromatogram of the
analyzed sample.
(d) Tank fuel heating system. The tank fuel heating system shall
consist of a heat source and a temperature controller. A typical heat
source is a 2,000 W heating pad. Other sources may be used as required
by circumstances. The temperature controller may be manual, such as a
variable voltage transformer, or may be automated. The heating system
must not cause hot spots on the tank wetted surface which could cause
local overheating of the fuel. Heat must not be applied to the vapor in
the tank above the liquid fuel. The temperature controller must be
capable of controlling the fuel tank temperature during the diurnal soak
to within 3 deg.F (1.7 deg.C) of the following
equation:
(1) F = To + (0.4)t
(2) For SI units, C = To - (2/9)t
Where:
F = Temperature in deg.F.
C = Temperature in deg.C.
t = Time since start of test in minutes.
To = Initial temperature in deg.F (or in deg.C for SI
units).
(e) Temperature recording system. Strip chart recorder(s) or an
automatic data processor shall be used to record enclosure ambient and
vehicle fuel tank temperature at least once every minute. The
temperature recorder or data processor shall have a time accuracy of
15s, a time precision of 15s and be capable of
resolving temperature to 0.75 deg.F (0.42
deg.C). The temperature recording system (recorder and sensor) shall
have an accuracy of 3 deg.F (1.7 deg.C). Two
ambient temperature sensors, connected to provide one average output,
shall be located in the enclosure. These sensors shall be located at the
approximate vertical centerline of each side wall extending 4 inches
(nominally) into the enclosure at a height of 30.5 ft
(0.90.2 m). The vehicle fuel tank temperature sensor shall
be located in the fuel tank so as to measure the temperature of the
prescribed test fuel at the approximate mid-volume of the fuel.
Manufacturers shall arrange that vehicles furnished
[[Page 145]]
for testing at Federal certification facilities be equipped with iron-
constantan Type J thermocouples for measurement of fuel tank
temperature.
(f) Purge blower. One or more portable or fixed blowers shall be
used to purge the enclosure. The blowers shall have sufficient flow
capacity to reduce the enclosure hydrocarbon and/or methanol
concentration from the test level to the ambient level between tests.
Actual flow capacity will depend upon the time available between tests.
(g) Mixing blower. One or more blowers or fans with a total capacity
of 250 to 750 cfm per 1,000 ft\3\ of enclosure volume shall be used to
mix the contents of the enclosure during evaporative emission testing.
The mixing blower(s) shall be arranged such that a uniform concentration
is maintained. No portion of the air stream shall be directed towards
the vehicle.
[54 FR 14562, Apr. 11, 1989, as amended at 60 FR 34358, June 30, 1995]
Sec. 86.1207-96 Sampling and analytical systems; evaporative emissions.
(a) Testing enclosures--(1) Diurnal emission test. The enclosure
shall be readily sealable, rectangular in shape, with space for
personnel access to all sides of the vehicle. When sealed, the enclosure
shall be gas tight in accordance with Sec. 86.1217-96. Interior surfaces
must be impermeable and nonreactive to hydrocarbons (and to methanol, if
the enclosure is used for methanol-fueled vehicles). The temperature
conditioning system shall be capable of controlling the internal
enclosure air temperature to follow the prescribed temperature versus
time cycle as specified in Sec. 86.1233-96 and appendix II of this part,
within an instantaneous tolerance of 3.0 deg.F of the
nominal temperature versus time profile throughout the test, and an
average tolerance of 2.0 deg.F over the duration of the test (where the
average is calculated using the absolute value of each measured
deviation). The control system shall be tuned to provide a smooth
temperature pattern that has a minimum of overshoot, hunting, and
instability about the desired long-term ambient temperature profile.
Interior surface temperatures shall not be less than 40 deg.F at any
time during the diurnal emission test. To accommodate the volume changes
due to enclosure temperature changes, either a variable-volume or fixed-
volume enclosure may be used for diurnal emission testing:
(i) Variable-volume enclosure. The variable-volume enclosure expands
and contracts in response to the temperature change of the air mass in
the enclosure. Two potential means of accommodating the internal volume
changes are moveable panel(s), or a bellows design, in which impermeable
bag(s) inside the enclosure expand and contract in response to internal
pressure changes by exchanging air from outside the enclosure. Any
design for volume accommodation must maintain the integrity of the
enclosure as specified in Sec. 86.1217-96 over the specified temperature
range. Any method of volume accommodation shall limit the differential
between the enclosure internal pressure and the barometric pressure to a
maximum value of 2.0 inches of water. The enclosure shall be
capable of latching to a fixed volume. A variable-volume enclosure must
be capable of accommodating a 7 percent change from its
``nominal volume'' (see Sec. 86.1217-96(b)), accounting for temperature
and barometric pressure variation during testing.
(ii) Fixed-volume enclosure. The fixed-volume enclosure shall be
constructed with rigid panels that maintain a fixed enclosure volume,
and meet the following requirements.
(A) The enclosure shall be equipped with a mechanism to maintain a
fixed internal air volume. This may be accomplished either by
withdrawing air at a constant rate and providing makeup air as needed,
or by reversing the flow of air into and out of the enclosure in
response to rising or falling temperatures. If inlet air is added
continuously throughout the test, it should be filtered with activated
carbon to provide a relatively low and constant hydrocarbon level. Any
method of volume accommodation shall maintain the differential between
the enclosure internal pressure and the barometric pressure to a maximum
value of 2.0 inches of water.
(B) The equipment shall be capable of measuring the mass of
hydrocarbon and methanol (if the enclosure is used
[[Page 146]]
for methanol-fueled vehicles) in the inlet and outlet flow streams with
a resolution of 0.01 gram per hour. A bag sampling system may be used to
collect a proportional sample of the air withdrawn from and admitted to
the enclosure. Alternatively, the inlet and outlet flow streams may be
continuously analyzed using an on-line FID analyzer and integrated with
the flow measurements to provide a continuous record of the mass
hydrocarbon and methanol removal.
(2) Running loss test. The enclosure shall be readily sealable,
rectangular in shape, with space for personnel access to all sides of
the vehicle. When sealed, the enclosure shall be gas tight in accordance
with Sec. 86.1217-96. The enclosure may be equipped with a personnel
door, provided that the enclosure can still meet the requirements of
Sec. 86.1217-96 with the door installed. Interior surfaces must be
impermeable and nonreactive to hydrocarbons and to methanol (if the
enclosure is used for methanol-fueled vehicles). Interior surface
temperatures shall not be less than 40 deg.F. If a running loss
enclosure meets all the requirements of paragraph (a)(1) of this
section, it may be used as a diurnal evaporative emission enclosure. The
enclosure must contain a dynamometer that meets the requirements of
Sec. 86.1208. Provisions shall be made to remove exhaust gases from the
enclosure. During the running loss test, ambient temperatures must be
maintained at 955 deg.F (952 deg.F on
average). An air or oxygen cylinder with an attached self-contained
breathing apparatus may be provided for the vehicle operator. The air
required for vehicle operation shall be provided by one of the following
methods:
(i) The running loss enclosure may be equipped to supply air to the
vehicle, at a temperature of 955 deg.F, from sources
outside of the running loss enclosure directly into the operating
engine's air intake system. Supplemental air requirements (e.g., for an
air pump) shall be supplied by drawing air from the engine intake
source.
(ii) If it is shown to yield equivalent or superior results, the
running loss enclosure may be designed with an air makeup system that
brings outside air into the enclosure to accommodate the aspiration
needs of the engine and any auxiliary devices. The makeup air shall be
monitored to establish the background hydrocarbon levels (or hydrocarbon
and methanol, levels, if applicable) of the makeup air. A filter may be
used to provide dry air with a stable concentration of background
hydrocarbon. The makeup-air vent shall be readily sealable for
calibration of the enclosure and other purposes. For calculation of
running loss emissions, it may be assumed that the hydrocarbon and
methanol concentration in the air consumed by the vehicle is the same as
that of the rest of the air in the enclosure.
(3) Hot soak test. The hot soak test may be conducted by holding the
vehicle in an enclosure that meets the requirements for either diurnal
emission or running loss tests. The enclosure shall be configured to
provide an internal enclosure ambient temperature of 9510
deg.F for the first 5 minutes, and 955 deg.F
(952 deg.F on average) for the remainder of the hot soak
test.
(i) If the hot soak test is conducted in the same enclosure as the
immediately preceding running loss test, interior surface temperatures
shall not be below 70 deg.F for the last 55 minutes of the hot soak
test.
(ii) If the hot soak test is not conducted in the same enclosure as
the immediately preceding running loss test, interior surface
temperatures shall not be below 70 deg.F for the duration of the hot
soak test.
(b) Evaporative emission hydrocarbon and methanol analyzers. (1) For
gasoline-, liquefied petroleum gas-, natural gas- and methanol-fueled
vehicles a hydrocarbon analyzer utilizing the hydrogen flame ionization
principle (FID) shall be used to monitor the atmosphere within the
enclosure (a heated FID (HFID)(235 deg.15 deg.F
(1138 deg.C)) is recommended for methanol-fueled vehicles).
Provided evaporative emission results are not affected, a probe may be
used to detect or verify hydrocarbon sources during a running loss test.
Instrument bypass flow may be returned to the enclosure. The FID shall
have a response time to 90 percent of final reading of less than 1.5
seconds.
[[Page 147]]
(2) For methanol-fueled vehicles, a methanol sampling and analyzing
system is required in addition to the FID analyzer. The methanol
sampling equipment shall consist of impingers for collecting the
methanol sample and appropriate equipment for drawing the sample through
the impingers. The analytical equipment shall consist of a gas
chromatograph equipped with a flame ionization detector.
(3) The methanol sampling system described in paragraph (b)(2) of
this section shall be designed such that, if a test vehicle emitted the
maximum allowable level of methanol (based on all applicable standards)
during any phase of the test, the measured concentration in the primary
impinger would exceed either 25 mg/l or a concentration equal to 25
times the limit of detection for the GC analyzer, and such that the
primary impinger collects at least 90 percent of the analyte in the
samples. The remaining analyte shall be collected by the secondary
impinger. The provisions of this paragraph apply to the design of
sampling systems, not to individual tests.
(c) Evaporative emission hydrocarbon and methanol data recording
system. (1) The electrical output of the FID used for measuring
hydrocarbons (or hydrocarbons plus methanol, as appropriate) shall be
recorded at least at the initiation and termination of each running loss
and hot soak test, and at least at the initiation and termination of the
enclosure sampling period(s) for the diurnal emission test, as described
in Sec. 86.1233. The recording may be taken by means of a strip chart
potentiometric recorder, by use of an on-line computer system or other
suitable means. In any case, the recording system must have operational
characteristics (signal-to-noise ratio, speed of response, etc.)
equivalent to or better than those of the signal source being recorded,
and must provide a permanent record of results. The record shall show a
positive indication of the initiation and completion of each hot soak,
running loss, or diurnal emission test (including initiation and
completion of sampling period(s)), along with the time elapsed during
each soak.
(2) For the methanol sample, permanent records shall be made of the
following: the volumes of deionized water introduced into each impinger,
the rate and time of sample collection and the chromatogram of the
analyzed sample.
(d) Fuel temperature control system. Fuel temperatures of the test
vehicle shall be controlled, as specified in Sec. 86.1234(g)(1)(xv),
with the following combination of fans. The control system shall be
tuned and operated to provide a smooth and continuous fuel temperature
profile that is representative of the on-road temperature profile. The
running loss test configuration should be designed to avoid heating or
cooling the fuel tank's vapor space in a way that would cause vapor
temperature behavior to be unrepresentative of the vehicle's on-road
profile.
(1) A vehicle cooling fan shall discharge air to the front of the
vehicle. The fan shall be a road-speed modulated fan that is controlled
to a discharge velocity that follows the dynamometer roll speed, at
least up to speeds of 30 mph, throughout the driving cycle. If a warning
light or gauge indicates that the vehicle's engine coolant has
overheated, subsequent test runs on the that vehicle must include a
vehicle cooling fan that follows the dynamometer roll speed at all
speeds throughout the test cycle. The fan may direct airflow to both the
vehicle radiator air inlet(s) and the vehicle underbody.
(2) An additional fan may be used to discharge airflow from the
front of the vehicle directly to the vehicle underbody to control fuel
temperatures. Such a fan shall provide a total discharge airflow not to
exceed 8,000 cfm.
(3) Additional fans may be used to route heating or cooling air
directly at the bottom of the vehicle's fuel tank. The air supplied to
the tank shall be between 85 deg. and 160 deg.F, with a total discharge
airflow not to exceed 4,000 cfm. For exceptional circumstances,
manufacturers may direct up to 6,000 cfm at the bottom of the fuel tank
with the advance approval of the Administrator.
(4) Direct fuel heating may be needed for canister preconditioning,
as specified in Sec. 86.1232(j)(2). Also, under exceptional
circumstances in which airflow alone is insufficient to control fuel
temperatures during the running loss
[[Page 148]]
test, direct fuel tank heating may be used (see Sec. 86.1234-
96(g)(1)(xv)). The heating system must not cause hot spots on the tank
wetted surface that could cause local overheating of the fuel. Heat must
not be applied directly to the tank's vapor space, nor to the liquid-
vapor interface.
(e) Temperature recording system. A strip chart potentiometric
recorder, an on-line computer system, or other suitable means shall be
used to record enclosure ambient temperature during all evaporative
emission test segments, as well as vehicle fuel tank temperature during
the running loss test. The recording system shall record each
temperature at least once every minute. The recording system shall be
capable of resolving time to 15 s and capable of resolving
temperature to 0.75 deg.F (0.42 deg.C). The
temperature recording system (recorder and sensor) shall have an
accuracy of 3 deg.F (1.7 deg.C). The recorder
(data processor) shall have a time accuracy of