[Federal Register Volume 74, Number 35 (Tuesday, February 24, 2009)]
[Rules and Regulations]
[Pages 8309-8428]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E9-2405]



[[Page 8309]]

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Part II





Environmental Protection Agency





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40 CFR Part 86, 89, et al.



Control of Air Pollution From New Motor Vehicles and New Motor Vehicle 
Engines; Final Rule

Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / 
Rules and Regulations

[[Page 8310]]


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ENVIRONMENTAL PROTECTION AGENCY

40 CFR Part 86, 89, 90, 1027, 1033, 1042, 1048, 1054, 1060, 1065, 
and 1068

[EPA-HQ-OAR-2005-0047; FRL-8750-3]
RIN 2060-AL92


Control of Air Pollution From New Motor Vehicles and New Motor 
Vehicle Engines; Regulations Requiring Onboard Diagnostic Systems on 
2010 and Later Heavy-Duty Engines Used in Highway Applications Over 
14,000 Pounds; Revisions to Onboard Diagnostic Requirements for Diesel 
Highway Heavy-Duty Vehicles Under 14,000 Pounds

AGENCY: Environmental Protection Agency (EPA).

ACTION: Final rule.

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SUMMARY: In 2001, EPA finalized a new, major program for highway heavy-
duty engines. That program, the Clean Diesel Trucks and Buses program, 
will result in the introduction of advanced emissions control systems 
such as catalyzed diesel particulate filters (DPF) and catalysts 
capable of reducing harmful nitrogen oxide (NOX) emissions. 
This final rule will require that these advanced emissions control 
systems be monitored for malfunctions via an onboard diagnostic system 
(OBD), similar to those systems that have been required on passenger 
cars since the mid-1990s. This final rule will require manufacturers to 
install OBD systems that monitor the functioning of emission control 
components and alert the vehicle operator to any detected need for 
emission related repair. This final rule will also require that 
manufacturers make available to the service and repair industry 
information necessary to perform repair and maintenance service on OBD 
systems and other emission related engine components. Lastly, this 
final rule revises certain existing OBD requirements for diesel engines 
used in heavy-duty vehicles under 14,000 pounds.

DATES: This rule is effective on April 27, 2009. The incorporation by 
reference of certain publications listed in this regulation is approved 
by the Director of the Federal Register as of April 27, 2009.

ADDRESSES: EPA has established a docket for this action under Docket ID 
No. EPA-HQ-OAR-2005-0047. All documents in the docket are listed in the 
http://www.regulations.gov index. Although listed in the index, some 
information is not publicly available, e.g., Confidential Business 
Information (CBI) or other information whose disclosure is restricted 
by statute. Certain other material, such as copyrighted material, will 
be publicly available only in hard copy. Publicly available docket 
materials are available either electronically in http://www.regulations.gov or in hard copy at the Air Docket, EPA/DC, EPA 
West, Room B102, 1301 Constitution Ave., NW., Washington, DC. The 
Public Reading Room is open from 8:30 a.m. to 4:30 p.m., Monday through 
Friday, excluding legal holidays. The telephone number for the Air 
Docket is (202) 566-1742.

FOR FURTHER INFORMATION CONTACT: Todd Sherwood, U.S. EPA, National 
Vehicle and Fuel Emissions Laboratory, Assessment and Standards 
Division, 2000 Traverwood Drive, Ann Arbor, MI 48105; telephone (734) 
214-4405, fax (734) 214-4816, e-mail sherwood.todd@epa.gov.

SUPPLEMENTARY INFORMATION:

Regulated Entities

    This action will affect you if you produce or import new heavy-duty 
engines which are intended for use in highway vehicles such as trucks 
and buses, or produce or import such highway vehicles, or convert 
heavy-duty vehicles or heavy-duty engines used in highway vehicles to 
use alternative fuels.
    The following table gives some examples of entities that may have 
to follow the regulations. But because these are only examples, you 
should carefully examine the regulations in 40 CFR part 86. If you have 
questions, call the person listed in the FOR FURTHER INFORMATION 
CONTACT section of this preamble:

------------------------------------------------------------------------
                                                           Examples of
                               NAICS codes   SIC codes     potentially
           Category                \a\          \b\         regulated
                                                             entities
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Industry.....................       336111         3711  Motor Vehicle
                                    336112                Manufacturers;
                                    336120                Engine and
                                                          Truck
                                                          Manufacturers.
Industry.....................       811112         7533  Commercial
                                                          Importers of
                                                          Vehicles and
                                                          Vehicle
                                                          Components.
                                    811198         7549
                                    541514         8742
Industry.....................       336111         3592  Alternative
                                                          fuel vehicle
                                                          converters.
                                    336312         3714
                                    422720         5172
                                    454312         5984
                                    811198         7549
                                    541514         8742
                                    541690        8931
------------------------------------------------------------------------
\a\ North American Industry Classification Systems (NAICS).
\b\ Standard Industrial Classification (SIC) system code.

Outline of This Preamble

I. Overview
    A. Background
    B. What Is EPA Requiring?
    1. OBD Requirements for Engines Used in Highway Vehicles Over 
14,000 Pounds GVWR
    2. Requirements That Service Information be Made Available
    3. OBD Requirements for Diesel Heavy-Duty Vehicles and Engines 
Used in Vehicles Under 14,000 Pounds
    4. Technical Amendments for Other Programs
    C. Why Is EPA Promulgating These Requirements?
    1. Highway Engines and Vehicles Contribute to Serious Air 
Pollution Problems
    2. Emissions Control of Highway Engines and Vehicles Depends on 
Properly Operating Emissions Control Systems
    3. Basis for Action Under the Clean Air Act
    4. The Importance of a Nationwide HDOBD Program
    5. Worldwide Harmonized OBD (WWH-OBD)
II. How Have the Proposed OBD Requirements Changed for This Final 
Rule and When Will They be Implemented?

[[Page 8311]]

    A. General OBD System Requirements
    1. The OBD System
    2. Malfunction Indicator Light (MIL) and Diagnostic Trouble 
Codes (DTC)
    3. Monitoring Conditions
    4. Determining the Proper OBD Malfunction Criteria
    5. Demonstrating Compliance With CARB Requirements
    6. Temporary Provisions To Address Hardship Due To Unusual 
Circumstances
    B. Monitoring Requirements and Timelines for Diesel-Fueled/
Compression-Ignition Engines
    1. Fuel System Monitoring
    2. Engine Misfire Monitoring
    3. Exhaust Gas Recirculation (EGR) System Monitoring
    4. Turbo Boost Control System Monitoring
    5. Non-Methane Hydrocarbon (NMHC) Converting Catalyst Monitoring
    6. Selective Catalytic Reduction (SCR) and Lean NOX 
Catalyst Monitoring
    7. NOX Adsorber System Monitoring
    8. Diesel Particulate Filter (DPF) System Monitoring
    9. Exhaust Gas Sensor Monitoring
    C. Monitoring Requirements and Timelines for Gasoline/Spark-
Ignition Engines
    D. Monitoring Requirements and Timelines for Other Diesel and 
Gasoline Systems
    1. Variable Valve Timing and/or Control (VVT) System Monitoring
    2. Engine Cooling System Monitoring
    3. Crankcase Ventilation System Monitoring
    4. Comprehensive Component Monitors
    5. Other Emissions Control System Monitoring
    6. Exceptions to Monitoring Requirements
    E. A Standardized Method To Measure Real World Monitoring 
Performance
    1. Description of Software Counters To Track Real World 
Performance
    2. Performance Tracking Requirements
    F. Standardization Requirements
    1. Reference Documents
    2. Diagnostic Connector Requirements
    3. Communications to a Scan Tool
    4. Required Emissions Related Functions
    5. In-Use Performance Ratio Tracking Requirements
    6. Exceptions to Standardization Requirements
    G. Implementation Schedule, In-Use Liability, and In-Use 
Enforcement
    1. Implementation Schedule and In-Use Liability Provisions
    2. In-Use Enforcement
    H. Changes to the Existing 8,500 to 14,000 Pound Diesel OBD 
Requirements
    1. NOX Aftertreatment Monitoring
    2. Diesel Particulate Filter System Monitoring
    3. NMHC Converting Catalyst Monitoring
    4. Other Monitors
    5. CARB OBDII Compliance Option and Deficiencies
III. How Have the Service Information Availability Requirements 
Changed for This Final Rule?
    A. What is the Important Background Information for the 
Provision Being Finalized for Service Information Availability?
    B. What Provisions are Being Finalized for Service Information 
Availability?
    1. What Information is the OEM Required To Make Available?
    2. What are the Requirements for Web-Based Delivery of the 
Required Information?
    3. What are the Requirements for Service Information for Third 
Party Information Providers?
    4. What are the Requirements for the Availability of Training 
Information?
    5. What are the Requirements for Recalibration of Vehicles?
    6. What are the Requirements for the Availability of Enhanced 
Information for Scan Tools for Equipment and Tool Companies?
    7. What are the Requirements for the Availability of OEM-
Specific Diagnostic Scan Tools and Other Special Tools?
    8. Which Reference Materials are Being Incorporated by 
Reference?
IV. What are the Emissions Reductions Associated with the OBD 
Requirements?
V. What are the Costs Associated With the OBD Requirements?
    A. Variable Costs for Engines Used in Vehicles Over 14,000 
Pounds
    B. Fixed Costs for Engines Used in Vehicles Over 14,000 Pounds
    C. Total Costs for Engines Used in Vehicles Over 14,000 Pounds
    D. Costs for Diesel Heavy-Duty Vehicles and Engines Used in 
Heavy-Duty Vehicles Under 14,000 Pounds
VI. What are the Updated Annual Costs and Costs per Ton Associated 
With the 2007/2010 Heavy-Duty Highway Program?
    A. Updated 2007 Heavy-Duty Highway Rule Costs Including OBD
    B. Updated 2007 Heavy-Duty Highway Rule Costs per Ton Including 
OBD
VII. How Have the Proposed Requirements for Engine Manufacturers 
Changed for This Final Rule?
    A. Documentation Requirements
    B. Catalyst Aging Procedures
    C. Demonstration Testing
    1. Selection of Test Engines
    2. Required Testing
    3. Testing Protocol
    4. Evaluation Protocol
    5. Confirmatory Testing
    D. Deficiencies
    E. Production Evaluation Testing
    1. Verification of Standardization Requirements
    2. Verification of Monitoring Requirements
    3. Verification of In-Use Monitoring Performance Ratios
VIII. What are the Issues Concerning Inspection and Maintenance 
Programs?
IX. Statutory and Executive Order Reviews
    A. Executive Order 12866: Regulatory Planning and Review
    B. Paperwork Reduction Act
    C. Regulatory Flexibility Act (RFA), as Amended by the Small 
Business Regulatory Enforcement Fairness Act of 1996 (SBREFA), 5 
U.S.C. 601 et seq.
    D. Unfunded Mandates Reform Act
    E. Executive Order 13132: Federalism
    F. Executive Order 13175: Consultation and Coordination With 
Indian Tribal Governments
    G. Executive Order 13045: Protection of Children From 
Environmental Health and Safety Risks
    H. Executive Order 13211: Actions That Significantly Affect 
Energy Supply, Distribution, or Use
    I. National Technology Transfer Advancement Act
    J. Executive Order 12898: Federal Actions To Address 
Environmental Justice in Minority Populations and Low-Income 
Populations
    K. Congressional Review Act
X. Statutory Provisions and Legal Authority

I. Overview

A. Background

    Section 202(m) of the CAA, 42 U.S.C. 7521(m), directs EPA to 
promulgate regulations requiring 1994 and later model year light-duty 
vehicles (LDVs) and light-duty trucks (LDTs) to contain an OBD system 
that monitors emission-related components for malfunctions or 
deterioration ``which could cause or result in failure of the vehicles 
to comply with emission standards established'' for such vehicles. 
Section 202(m) also states that, ``The Administrator may, in the 
Administrator's discretion, promulgate regulations requiring 
manufacturers to install such onboard diagnostic systems on heavy-duty 
vehicles and engines.''
    On February 19, 1993, we published a final rule requiring 
manufacturers of light-duty applications to install such OBD systems on 
their vehicles beginning with the 1994 model year (58 FR 9468). The OBD 
systems must monitor emission control components for any malfunction or 
deterioration that could cause emissions to exceed certain emission 
thresholds. The regulation also required that the driver be notified of 
any need for repair via a dashboard light, or malfunction indicator 
light (MIL), when the diagnostic system detected a problem. We also 
allowed optional compliance with California's second phase OBD 
requirements, referred to as OBDII (13 CCR 1968.1), for purposes of 
satisfying the EPA OBD requirements. Since publishing the 1993 OBD 
final rule, EPA has made several revisions to the OBD requirements, 
most of which served to align the EPA OBD requirements with revisions 
to the California OBDII requirements (13 CCR 1968.2).
    On August 9, 1995, EPA published a final rulemaking that set forth 
service information regulations for light-duty vehicles and light-duty 
trucks (60 FR 40474). These regulations, in part, required each 
Original Equipment Manufacturer (OEM) to do the following: (1) List all 
of its emission-related service and repair information on a Web site 
called FedWorld

[[Page 8312]]

(including the cost of each item and where it could be purchased); (2) 
either provide enhanced information to equipment and tool companies or 
make its OEM-specific diagnostic tool available for purchase by 
aftermarket technicians, and (3) make reprogramming capability 
available to independent service and repair professionals if its 
franchised dealerships had such capability. These requirements are 
intended to ensure that aftermarket service and repair facilities have 
access to the same emission-related service information, in the same or 
similar manner, as that provided by OEMs to their franchised 
dealerships. These service information availability requirements have 
been revised since that first final rule in response to changing 
technology among other reasons. (68 FR 38428)
    In October of 2000, we published a final rule requiring OBD systems 
on heavy-duty vehicles and engines up to 14,000 pounds GVWR (65 FR 
59896). In that rule, we expressed our intention of developing OBD 
requirements in a future rule for vehicles and engines used in vehicles 
over 14,000 pounds. We expressed this same intention in our 2007HD 
highway final rule (66 FR 5002) which established new heavy-duty 
highway emissions standards for 2007 and later model year engines. In 
June of 2003, we published a final rule extending service information 
availability requirements to heavy-duty vehicles and engines weighing 
up to 14,000 pounds GVWR. We declined extending these requirements to 
engines above 14,000 pounds GVWR at least until such engines are 
subject to OBD requirements.
    On January 18, 2001, EPA established a comprehensive national 
control program--the Clean Diesel Truck and Bus program--that regulates 
the heavy-duty vehicle and its fuel as a single system. (66 FR 5002) As 
part of this program, new emission standards will begin to take effect 
in model year 2007 and will apply to heavy-duty highway engines and 
vehicles. These standards are based on the use of high-efficiency 
catalytic exhaust emission control devices or comparably effective 
advanced technologies. Because these devices are damaged by sulfur, the 
regulation also requires the level of sulfur in highway diesel fuel be 
reduced by 97 percent.\1\
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    \1\ Note that the 2007HD highway rule contained new emissions 
standards for gasoline engines as well as diesel engines.
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    On January 24, 2007, we proposed new OBD requirements for highway 
engines used in vehicles greater than 14,000 pounds (72 FR 3200). 
Today's action finalizes those proposed requirements. Today's action 
also requires new availability requirements for emission-related 
service information, also proposed in the January 24, 2007 action, that 
will make this information more widely available to the industry 
servicing vehicles over 14,000 pounds.

B. What Is EPA Requiring?

1. OBD Requirements for Engines Used in Highway Vehicles Over 14,000 
Pounds GVWR
    We believe that OBD requirements should be extended to include over 
14,000 pound heavy-duty vehicles and engines for many reasons. In the 
past, heavy-duty diesel engines have relied primarily on in-cylinder 
modifications to meet emission standards. For example, emission 
standards have been met through changes in fuel timing, piston design, 
combustion chamber design, charge air cooling, use of four valves per 
cylinder rather than two valves, and piston ring pack design and 
location improvements. In contrast, the 2004 and 2007 emission 
standards represent a different sort of technological challenge that 
are being met with the addition of exhaust gas recirculation (EGR) 
systems and the addition of exhaust aftertreatment devices such as 
diesel particulate filters (DPF), sometimes called PM traps, and 
NOX catalysts. Such ``add on'' devices can experience 
deterioration and malfunction that, unlike the engine design elements 
listed earlier, may go unnoticed by the driver. Because deterioration 
and malfunction of these devices can go unnoticed by the driver, and 
because their primary purpose is emissions control, and because the 
level of emission control is on the order of 50 to 99 percent, some 
form of diagnosis and malfunction detection is crucial. We believe that 
such detection can be effectively achieved by employing a well designed 
OBD system.
    The same is true for gasoline heavy-duty vehicles and engines. 
While emission control is managed with both engine design elements and 
aftertreatment devices, the catalytic converter is the primary emission 
control feature accounting for over 95 percent of the emission control. 
We believe that monitoring the emission control system for proper 
operation is critical to ensure that new vehicles and engines certified 
to the very low emission standards set in recent years continue to meet 
those standards throughout their full useful life.
    Further, the industry trend is clearly toward increasing use of 
computer and electronic controls for both engine and powertrain 
management, and for emission control. In fact, the heavy-duty industry 
has already gone a long way, absent any government regulation, to 
standardize computer communication protocols.\2\ Computer and 
electronic control systems, as opposed to mechanical systems, provide 
improvements in many areas including, but not limited to, improved 
precision and control, reduced weight, and lower cost. However, 
electronic and computer controls also create increased difficulty in 
diagnosing and repairing the malfunctions that inevitably occur in any 
engine or powertrain system. Today's OBD requirements will build on the 
efforts already undertaken by the industry to ensure that key emissions 
related components will be monitored in future heavy-duty vehicles and 
engines and that the diagnosis and repair of those components will be 
as efficient and cost effective as possible.
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    \2\ See ``On-Board Diagnostics, A Heavy Duty Perspective,'' SAE 
951947; ``Recommended Practice for a Serial Control and 
Communications Vehicle Network,'' SAE J1939 which may be obtained 
from Society of Automotive Engineers International, 400 Commonwealth 
Dr., Warrendale, PA, 15096-0001; and ``Road Vehicles-Diagnostics on 
Controller Area Network (CAN)--Part 4: Requirements for emission-
related systems,'' ISO 15765-4:2001 which may be obtained from the 
International Organization for Standardization, Case Postale 56, CH-
1211 Geneva 20, Switzerland.
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    Lastly, heavy-duty engines and, in particular, diesel engines tend 
to have very long useful lives. With age comes deterioration and a 
tendency toward increasing emissions. With the OBD systems we are 
requiring, we expect that these engines will continue to be properly 
maintained and therefore will continue to emit at low emissions levels 
even after accumulating hundreds of thousands and even a million miles.
    For the reasons laid out above, most manufacturers of vehicles, 
trucks, and engines have incorporated some type of OBD system into 
their products that are capable of identifying when certain types of 
malfunctions occur, and in what systems. In the heavy-duty industry, 
those OBD systems traditionally have been geared toward detecting 
malfunctions causing drivability and/or fuel economy related problems. 
Without specific requirements for manufacturers to include OBD 
mechanisms to detect emission-related problems, those types of 
malfunctions that could result in high emissions without a 
corresponding adverse drivability or fuel economy impact could go 
unnoticed by both the driver and the repair technician. The resulting 
increase in emissions and detrimental impact on air quality could

[[Page 8313]]

be avoided by incorporating an OBD system capable of detecting emission 
control system malfunctions.
2. Requirements That Service Information Be Made Available
    We are requiring that makers of engines that go into vehicles over 
14,000 pounds make available to any person engaged in repair or service 
all information necessary to make use of the OBD systems and for making 
emission-related repairs, including any emissions-related information 
that is provided by the OEM to franchised dealers. This information 
includes, but is not limited to, manuals, technical service bulletins 
(TSBs), a general description of the operation of each OBD monitor, 
etc. We discuss the new requirements further in section III of this 
preamble.
    The new requirements are similar to those required currently for 
all 1996 and newer light-duty vehicles and light-duty trucks and 2005 
and newer heavy-duty applications up to 14,000 pounds. See section III 
for a complete discussion of the new service information provisions. 
Note that information for making emission-related repairs does not 
include information used to design and manufacture parts, but it may 
include OEM changes to internal calibrations and other indirect 
information, as discussed in section III.
3. OBD Requirements for Diesel Heavy-Duty Vehicles and Engines Used in 
Vehicles Under 14,000 Pounds
    We are also making some changes to the existing diesel OBD 
requirements for heavy-duty applications under 14,000 pounds (i.e., 
8,500 to 14,000 pounds). Some of these changes are being made for 
immediate implementation to relax some of the requirements that we 
currently have in place for 8,500 to 14,000 pound applications that 
cannot be met by diesels without granting widespread deficiencies to 
industry. Other changes are being made for the 2010 and later model 
years since they represent an increase in the stringency of our current 
OBD requirements and, therefore, some leadtime is necessary for 
manufacturers to comply. All of the changes being made for 8,500 to 
14,000 pound diesel applications will result in OBD emissions 
thresholds identical, for all practical purposes, to the OBD thresholds 
for over 14,000 pound applications.
4. Technical Amendments for Other Programs
    We are finalizing a variety of technical amendments in this final 
rule. Most of these changes involve minor adjustments or corrections to 
the regulations we adopted on October 8, 2008 (73 FR 59034) and on June 
30, 2008 (73 FR 37096). See the memorandum in the docket entitled 
``Technical Amendments to EPA Regulations'' for a description of these 
changes.\3\
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    \3\ See Document ID No. EPA-HQ-OAR-2005-0047-0057. Also see 
Document ID No. EPA-HQ-OAR-2005-0047-0058.
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C. Why Is EPA Promulgating These Requirements?

1. Highway Engines and Vehicles Contribute to Serious Air Pollution 
Problems
    The pollution emitted by heavy-duty highway engines contributes 
greatly to our nation's continuing air quality problems. Our 2007HD 
highway rule was designed to address these serious air quality 
problems. These problems include premature mortality, aggravation of 
respiratory and cardiovascular disease, aggravation of existing asthma, 
acute respiratory symptoms, chronic bronchitis, and decreased lung 
function. Numerous studies also link diesel exhaust to increased 
incidence of lung cancer. We believe that exposure to diesel exhaust is 
likely to be carcinogenic to humans by inhalation and that this cancer 
hazard exists for occupational and environmental levels of exposure.
    Our 2007HD highway rule regulates the heavy-duty vehicle and its 
fuel as a single system. As part of this program, new emission 
standards began to take effect in model year 2007 and are phased-in 
through model year 2010, and will apply to heavy-duty highway engines 
and vehicles. These standards are based on the use of high-efficiency 
catalytic exhaust emission control devices or comparably effective 
advanced technologies and a cap on the allowable sulfur content in both 
diesel fuel and gasoline.
    In the 2007HD highway final rule, we estimated that, by 2007, 
heavy-duty trucks and buses would account for about 28 percent of 
nitrogen oxides emissions and 20 percent of particulate matter 
emissions from mobile sources. In some urban areas, the contribution is 
even greater. The 2007HD highway program will reduce particulate matter 
and oxides of nitrogen emissions from heavy-duty engines by 90 percent 
and 95 percent below current standard levels, respectively. In order to 
meet these more stringent standards for diesel engines, the program 
calls for a 97 percent reduction in the sulfur content of diesel fuel. 
As a result, diesel vehicles will achieve gasoline-like exhaust 
emission levels. We have also established more stringent standards for 
heavy-duty gasoline vehicles, based in part on the use of the low 
sulfur gasoline that will be available when the standards go into 
effect.
2. Emissions Control of Highway Engines and Vehicles Depends on 
Properly Operating Emissions Control Systems
    The emissions reductions and resulting health and welfare benefits 
of the 2007HD highway program will be dramatic when fully implemented. 
By 2030, the program will reduce annual emissions of nitrogen oxides, 
nonmethane hydrocarbons, and particulate matter by a projected 2.6 
million, 115,000 and 109,000 tons, respectively. However, to realize 
those large emission reductions and health benefits, the emission 
control systems on heavy-duty highway engines and vehicles must 
continue to provide the 90 to 95 percent emission control effectiveness 
throughout their operating life. Today's OBD requirements, in 
conjunction with/support of EPA's existing compliance programs, will 
help to ensure that emission control systems continue to operate 
properly by detecting when those systems malfunction, by then notifying 
the driver that a problem exists that requires service and, lastly, by 
informing the service technician what the problem is so that it can be 
properly repaired.
3. Basis for Action Under the Clean Air Act
    Section 202(m) of the CAA, 42 U.S.C. 7521(m), directs EPA to 
promulgate regulations requiring 1994 and later model year light-duty 
vehicles (LDVs) and light-duty trucks (LDTs) to contain an OBD system 
that monitors emission-related components for malfunctions or 
deterioration ``which could cause or result in failure of the vehicles 
to comply with emission standards established'' for such vehicles. 
Section 202(m) also states that, ``The Administrator may, in the 
Administrator's discretion, promulgate regulations requiring 
manufacturers to install such onboard diagnostic systems on heavy-duty 
vehicles and engines.''
    Section 202(m)(5) of the CAA states that the Administrator shall 
require manufacturers to, ``provide promptly to any person engaged in 
the repairing or servicing of motor vehicles or motor vehicle engines * 
* * with any and all information needed to make use of the emission 
control diagnostics system prescribed under this subsection and such 
other information including

[[Page 8314]]

instructions for making emission related diagnosis and repairs.''
4. The Importance of a Nationwide HDOBD Program
    In 2005, the California Air Resources Board put into place HDOBD 
requirements.\4\ More recently, we granted a waiver from federal 
preemption to the State of California that allows them to implement the 
HDOBD program (73 FR 52042). Given the nature of the heavy-duty 
trucking industry in the United States and the importance of the free 
and open movement of goods across state borders, we believe that a 
consistent nationwide HDOBD program is a desirable outcome. We have 
worked closely with California on our proposal and with both California 
and industry stakeholders on this final rule, in an effort to develop a 
consistent set of HDOBD requirements. As a result, the program we are 
finalizing today is consistent with the California program in almost 
all important aspects. We believe that, while minor differences exist 
in the requirements we are promulgating today and the California 
requirements, we will end up with OBD systems that will be compliant 
with both our federal program and the California program. Promulgating 
and implementing this final rule is an important step in our efforts 
working with the California Air Resources Board to develop a consistent 
national program.
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    \4\ See 13 CCR 1971.1.
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5. Worldwide Harmonized OBD (WWH-OBD)
    The Worldwide Harmonized OBD effort (WWH-OBD) is part of the United 
Nations Economic Commission for Europe. We discussed this effort in 
detail in our proposal. In line with what we said in our proposal, 
while the WWH-OBD global technical regulation (gtr) is consistent with 
many of the specific requirements of our final rule, it is not 
currently as comprehensive (e.g., it does not contain the same level of 
detail with respect to certification requirements and enforcement 
provisions). For that reason, at this time, we do not believe that the 
gtr could fully replace what is in our final rule. It is important to 
note that California had HDOBD requirements in place prior to the WWH-
OBD gtr being adopted as a final document. The California HDOBD 
requirements were analogous to the WWH-OBD requirements, but were not 
identical. At industry's request, we have patterned both our proposal 
and final rule after the California regulation. Note that we have an 
obligation to one day propose the gtr for consideration as a U.S. 
regulation, and it is our expectation that working together with 
industry and other stakeholders we will determine the appropriate 
process and requirements to incorporate the WWH-OBD requirements into 
our regulatory structure.

II. How Have the Proposed OBD Requirements Been Changed for This Final 
Rule and When Will They Be Implemented?

    The following subsections describe how we have changed the proposed 
OBD monitoring requirements in this final rule. We also describe the 
timelines for their implementation. The requirements are indicative of 
our goal for the program which is a set of OBD monitors that provide 
robust diagnosis of the emission control system. Our intention is to 
provide industry sufficient time and experience with satisfying the 
demands of the OBD program. While their engines already incorporate OBD 
systems, those systems are generally less comprehensive and do not 
monitor the emission control system in the ways we are requiring. 
Additionally, the OBD requirements represent a new set of technological 
requirements and a new set of certification requirements for the 
industry in addition to the 2007HD highway program and the challenging 
emission standards for PM and NOX and other pollutants to be 
implemented in 2010. As a result, we believe the monitoring 
requirements and timelines outlined in this section appropriately weigh 
the need for OBD monitors on the emission control system and the need 
to gain experience with not only those monitors but also the newly or 
recently added emission control hardware.
    The changes we have made to the proposed requirements are the 
result of comments received on our proposal and meetings with 
stakeholders held in the time between proposal and final rule. The 
changes are also the result of our collaboration with CARB staff. For a 
detailed summary and analysis of the comments we received, and the 
rationale behind the changes made for this final rule, refer to the 
Summary and Analysis document contained in the docket for this rule.
    In general, the remainder of this preamble--in particular, sections 
II.B through II.H--presents the changes made to the final OBD 
requirements relative to the proposed OBD requirements. As such, we do 
not restate details of the proposed requirements unless it is necessary 
to do so for clarity. Of interest to readers when comparing the final 
OBD regulatory text to the proposed OBD regulatory text is that we have 
moved all of the requirements for over 14,000 pound OBD into Sec.  
86.010-18. Where certain requirements are not applicable until 2013 or 
2016, etc., the regulatory text in Sec.  86.010-18 makes that clear. In 
our proposal, we had separated out the requirements for model year 2013 
into Sec.  86.013-18 and those for 2016 into Sec.  86.016-18 and those 
for 2019 into Sec.  86.019-18. This created some confusion and we 
decided that it would be easier to read the regulations if we 
restructured things such that all the requirements appear in one 
section. We have done so in the final rule and have placed all 
requirements for over 14,000 pound OBD in Sec.  86.010-18. This is also 
true for OBD requirements on heavy-duty engines under 14,000 pounds 
where we have moved proposed provisions for model years 2010 through 
2012 and 2013 and later from proposed Sec. Sec.  86.010-17 and 86.013-
17, respectively to final Sec.  86.007-17 with appropriate mention of 
when requirements apply to specific model years. The same holds true 
for proposed Sec. Sec.  86.1806-07, 86.1806-10, and 86.1806-13, for OBD 
systems on under 14,000 pound vehicles, where all final OBD 
requirements can be found in Sec.  86.1806-05 with appropriate mention 
of when requirements apply to specific model years.
    The remainder of Section II below highlights the changes made to 
our proposed requirements relative to the final rule. The reader is 
directed to the more detailed discussion that follows and/or is found 
in our Summary and Analysis of Comments document contained in the 
docket. However, Table II-1 provides a brief summary of the changes 
made although this tabular summary is not meant to provide a thorough 
explanation of each change. For a thorough explanation, refer to the 
more detailed discussion below and/or the Summary and Analysis of 
Comments.

[[Page 8315]]



 Table II-1--Summary of Changes in the Final Regulations Relative to the
                          Proposed Regulations
           [Please refer to the text for acronym definitions]
------------------------------------------------------------------------
                                     Discussed in
             Change                preamble  section    Regulatory cite
------------------------------------------------------------------------
Restructuring--Sec.  Sec.         II Introduction...  All >14,000 pound
 86.013-18, 86.016-18, 86.019-18                       OBD text now in
 have been moved into Sec.                             Sec.   86.010-18.
 86.010-18 with appropriate date
 qualifiers.
Allow EPA to certify systems      II.A.5............  Sec.   86.010-
 demonstrated to comply with                           18(a)(5).
 CARB HDOBD (13 CCR 1971.1).
Changed MIL location requirement  *.................  Sec.   86.010-
 to read ``primary driver's                            18(b)(1)(i).
 side'' rather than ``driver's
 side'' to accommodate vehicles
 with both left and right side
 steering.
Slight change to erasure of       II.A.2............  Sec.   86.010-
 pending DTC upon storage of MIL-                      18(b)(2)(ii).
 on DTC.
Change to the permanent DTC       II.F.4............  Sec.   86.010-
 erasure provisions.                                   18(b)(3)(iii)(A)-
                                                       (D).
Minor revisions, for clarity, to  *.................  Sec.   86.010-
 the general provisions                                18(c)(3).
 governing monitoring conditions.
Added clarifying text to general  *.................  Sec.   86.010-
 provisions governing in-use                           18(d).
 performance tracking.
Revision to trip definition, in   II.E.1............  Sec.   86.010-
 the context of rate based                             18(d)(4)(ii)(B).
 monitoring, for denominator
 incrementing on diesel engines.
Change to idle definition in      II.E.2............  Sec.   86.010-
 specifications for incrementing                       18(d)(4)(ii)(C).
 the denominator (from vehicle
 speed <=1 mph to ``engine speed
 less than or equal to 200 rpm
 above normal warmed up idle or
 vehicle speed <=1 mph'').
Added text stating that monitors  II.A.4............  Sec.   86.010-
 must run over test that gives                         18(f)(1)(i).
 the most robust monitor rather
 than most stringent monitor.
Added text to identify in         *.................  Sec.   86.010-
 certification documentation                           18(f)(1)(ii).
 which test cycle would provide
 the most stringent and/or the
 most robust monitor.
Added text stating that OBD-      II.A.4............  Sec.   86.010-
 specific IRAFs need not be                            18(f)(2).
 included in OBD threshold
 determinations.
Revision to NOX malfunction       II.B.6; II.B.7;     Sec.   86.010-
 thresholds for NOX catalyst       II.B.9 (and shown   18(g), Table 1.
 systems and NOX sensors (2010-    in Table II.B-1.
 2012 only).
Added provision to diesel fuel    II.B.1............  Sec.   86.010-
 system pressure, timing, and                          18(g)(1)(ii)(A)-(
 quantity malfunction criteria                         C).
 allowing unit injector systems
 to conduct functional checks
 during model years 2010 to 2012.
Added new paragraph allowing      II.B.1............  Sec.   86.010-
 diesel unit injector systems to                       18(g)(1)(ii)(D).
 combine into one malfunction
 the three separate malfunction
 criteria of pressure, timing,
 and quantity.
Minor changes to diesel fuel      II.B.1............  Sec.   86.010-
 system monitoring conditions                          18(g)(1)(iii)(A)
 consistent with changes to                            & (B).
 malfunction criteria.
Diesel engine misfire             II.B.2............  Sec.   86.010-
 malfunction criteria for                              18(g)(2)(ii)(A).
 multiple continuous misfire
 changed from ``more than one
 cylinder'' to ``more than one
 or more than one but less than
 half (if approved)''.
Minor change to diesel EGR        II.B.3............  Sec.   86.010-
 monitoring conditions (i.e., a                        18(g)(3)(iii)(D).
 change to the proposed
 monitoring conditions) which
 allows for temporary disables
 of ``continuous monitoring''.
Diesel turbo boost malfunction    II.B.4............  Sec.   86.010-
 criteria changed to note ``for                        18(g)(4)(ii)(A)-(
 engines so equipped'' where                           C).
 appropriate.
Added a new diesel turbo boost    II.B.4............  Sec.   86.010-
 monitoring condition that                             18(g)(4)(iii)(D).
 allows for temporary disables
 of ``continuous monitoring''.
Removed text noting that NMHC     II.B.8............  Sec.   86.010-
 conversion over a DPF is                              18(g)(5)(i).
 required under paragraph (g)(8)
 and added clarifying text that
 monitoring of NMHC conversion
 over a DPF is not required.
Removal of malfunction            II.B.5............  Sec.   86.010-
 thresholds from diesel NMHC                           18(g)(5)(ii)(A).
 catalyst malfunction criteria.
Added ``delta temperature within  II.B.5............  Sec.   86.010-
 time period'' provision to                            18(g)(5)(ii)(B).
 diesel NMHC aftertreatment
 assistance malfunction criteria.
Removal of proper feedgas         II.B.5............  Sec.   86.010-
 generation malfunction criteria                       18(g)(5)(ii)(B).
 for diesel NMHC catalysts.
Added provision to forego         II.B.5............  Sec.   86.010-
 monitoring of diesel NMHC                             18(g)(5)(ii)(B).
 catalysts located downstream of
 a DPF provided their
 malfunction will not result in
 failure of the NMHC emission
 standard.
Change to the DPF malfunction     II.B.8............  Sec.   86.010-
 criteria--addition of an                              18(g)(8)(ii)(A).
 optional malfunction criteria
 for DPF filtering performance
 for model years 2010 to 2012.
Change to the DPF malfunction     II.B.8............  Sec.   86.010-
 criteria--removal of NMHC                             18(g)(8)(ii)(D)**
 conversion monitoring.                                .
Added new monitoring conditions   II.B.8............  Sec.   86.010-
 applicable to those systems                           18(g)(8)(iii).
 using the optional DPF
 malfunction criteria of Sec.
 86.010-18(g)(8)(ii)(A).
Added provision that allows       II.C..............  Sec.   86.010-
 Administrator to approve                              18(h)(2)(iii)(D).
 limited misfire monitor
 disablement for gasoline
 engines.
Added provision that allows       II.C..............  Sec.   86.010-
 misfire monitor disables for                          18(h)(2)(iii)(E).
 gasoline engines with >8
 cylinders.
Added phrase allowing lower       II.D.2............  Sec.   86.010-
 thermostat regulating                                 18(i)(1)(ii)(A).
 temperature requirement for
 ambient temperatures between 20-
 50 degrees F.
Added phrase ``With               *.................  Sec.   86.010-
 Administrator approval'' to the                       18(i)(1)(ii)(B).
 provision allowing alternative
 thermostat malfunction criteria.
Change to the comprehensive       II.D.4............  Sec.   86.010-
 component monitoring                                  18(i)(3)(i)(A).
 requirements such that
 components must be monitored if
 their malfunction can cause
 emissions to exceed standards
 rather than affect emissions
 during any reasonable driving
 condition.
Change to diesel engine glow      II.D.4............  Sec.   86.010-
 plug malfunction criteria for                         18(i)(3)(iii)(D).
 2010-2012.
Added provision stating that      II.A.2............  Sec.   86.010-
 monitoring of wait-to-start                           18(i)(3)(iii)(E).
 lamp and MIL circuit is not
 required for systems using
 light-emitting diodes versus
 incandescent bulbs.

[[Page 8316]]

 
Removed introductory text to the  *.................  Sec.   86.010-
 standardization requirements                          18(k)(1).
 (done to provide greater
 clarity).
Removal of SAE J2534 from the     *.................  Sec.   86.010-
 OBD section (it remains in the                        18(k)(1)(i)(H)**.
 Service Information
 Availability requirements of
 Sec.   86.010-38(j)).
Added text allowing the           II.F.2............  Sec.   86.010-
 Administrator to approve                              18(k)(2)(i).
 alternative DLC locations.
Added text allowing data link     *.................  Sec.   86.010-
 signals to report an error                            18(k)(4)(ii).
 state or other predefined
 status indicator if they are
 defined for those signals in
 the SAE J1979/J1939
 specifications.
Added the phrase ``to the extent  *.................  Sec.   86.010-
 possible'' to the provision to                        18(k)(4)(iv)(B).
 use separate DTCs for out-of-
 range and circuit checks.
Added provision to allow for      II.F.4............  Sec.   86.010-
 multiple CAL IDs with                                 18(k)(4)(vi).
 Administrator approval provided
 CAL IDs response is in order of
 highest to lowest priority.
Added provision to require        II.F.4............  Sec.   86.010-
 multiple CVNs if using multiple                       18(k)(4)(vii)(A).
 CAL IDs as allowed under newly
 added provision in (k)(4)(vi).
Added provision allowing, for     *.................  Sec.   86.010-
 2010-2012, a default value for                        18(k)(4)(vii)(A).
 the CVN for systems that are
 not field programmable.
Revised CVN calculation           *.................  Sec.   86.010-
 requirement from ``once per                           18(k)(4)(vii)(C).
 drive cycle'' to ``once per
 ignition cycle''.
Change to idle definition in      II.F.4; II.F.5....  Sec.   86.010-
 engine run-time tracking (from                        18(k)(6)(i)(B).
 vehicle speed <=1 mph to
 ``engine speed less than or
 equal to 200 rpm above normal
 warmed-up idle or vehicle speed
 <=1 mph'').
Added new certification           *.................  Sec.   86.010-
 demonstration provisions for                          18(l)(3)(i)(H).
 systems using the optional DPF
 monitoring provisions.
Added new documentation           II.A.5............  Sec.   86.010-
 provisions for systems meeting                        18(m)(3).
 Sec.   86.010-18 with a system
 designed to CARB 13 CCR 1971.1.
Added a provision that allows     II.G.1............  Sec.   86.010-
 Administrator to approve                              18(o)(1)(i).
 alternative engine ratings as
 parent ratings in 2010-2012.
Added a provision that allows     II.G.1............  Sec.   86.010-
 Administrator to approve                              18(o)(2)(ii)(B).
 alternative engine ratings as
 parent ratings in 2010-2012.
Added text to make clear that     *.................  Sec.   86.010-
 for all engine ratings in years                       18(p)(4)(i).
 2019+, the certification
 emissions thresholds apply in-
 use (provides clarification, no
 change to original intent).
Revised 2007-2009 and 2010-2012   Table II.H-2......  Sec.   86.007-
 engine certification NOX                              17(b) & Sec.
 thresholds from FEL+0.5 to                            86.007-30(f).
 FEL+0.6 (for 8500-14K pound
 diesel engines).
Added definition of ``engine and  *.................  Sec.   86.010-2.
 engine system'' applicable to
 OBD.
Moved definition of ``OBD         *.................  Sec.   86.010-2.
 group'' from Sec.   86.013-2 to
 Sec.   86.010-2.
Added ``delta temperature within  II.H.3............  Sec.   86.007-
 time period'' provision to NMHC                       17(b) & Sec.
 malfunction description for                           86.007-30(f).
 engine certifications.
Removed 2010-2012 & 2013+ engine  Table II.H-2......  Sec.   86.007-
 certification NMHC thresholds                         17(b) & Sec.
 for DPFs (8500-14K pound diesel                       86.007-30(f).
 engines).
Change to the DPF malfunction     II.H.2............  Sec.   86.007-
 criteria--addition of an                              17(b) & Sec.
 optional malfunction criteria                         86.007-30(f).
 for DPF filtering performance.
Sec.   86.013-17 moved to Sec.    II.A..............  Sec.   86.007-
 86.007-17 with appropriate date                       17(b).
 qualifiers (8500-14K pound
 diesel engines; no content
 change, just formatting).
Sec.   86.013-30 moved to Sec.    II.A..............  Sec.   86.007-
 86.007-30 with appropriate date                       30(f).
 qualifiers (8500-14K pound
 diesel engines; no content
 change, just formatting).
Revised 2007-2009 vehicle         Table II.H-2......  Sec.   86.1806-
 certification NOX thresholds                          05(n) & (o).
 from 3x to 4x the standard
 (8500-14K pound diesel
 vehicles).
Revised 2010-2012 vehicle         Table II.H-2......  Sec.   86.1806-
 certification NOX thresholds                          05(n) & (o).
 for NOX catalysts and NOX
 sensors from +0.3 to +0.6 (8500-
 14K pound diesel vehicles).
Added ``delta temperature within  II.H.3............  Sec.   86.1806-
 time period'' provision to NMHC                       05(n) & (o).
 malfunction description for
 vehicle certifications.
Removed 2010-2012 & 2013+         Table II.H-2......  Sec.   86.1806-
 vehicle certification NMHC                            05(n) & (o).
 thresholds for DPFs (8500-14K
 pound diesel vehicles).
Added the phrase ``and            *.................  Sec.   86.1863-07.
 superseding sections'' to the
 provision for optional chassis
 certification of diesel
 vehicles.
------------------------------------------------------------------------
* Items not discussed in the preamble since we consider them to be very
  minor.
** This is the applicable citation for the proposed regulatory text, but
  this paragraph contains different text (due to renumbering) or has
  been removed in the final regulatory text.

A. General OBD System Requirements

1. The OBD System
    The OBD system must be designed to operate for the actual life of 
the engine in which it is installed. Further, the OBD system cannot be 
programmed or otherwise designed to deactivate based on age and/or 
mileage of the vehicle during the actual life of the engine. This 
requirement does not alter existing law and enforcement practice 
regarding a manufacturer's liability for an engine beyond its 
regulatory useful life, except where an engine has been programmed or 
otherwise designed so that an OBD system deactivates based on age and/
or mileage of the engine.
    In addition, computer coded engine operating parameters cannot be 
changeable without the use of specialized tools and procedures (e.g. 
soldered or potted computer

[[Page 8317]]

components or sealed (or soldered) computer enclosures). Upon 
Administrator approval, certain product lines may be exempted from this 
requirement if those product lines can be shown to not need such 
protections. In making the approval decision, the Administrator will 
consider such things as the current availability of performance chips, 
performance capability of the engine, and sales volume.
2. Malfunction Indicator Light (MIL) and Diagnostic Trouble Codes (DTC)
    Consistent with our proposal, the final rule requires that upon 
detecting a malfunction within the emission control system,\5\ the OBD 
system must make some indication to the driver so that the driver can 
take action to get the problem repaired. A dashboard malfunction 
indicator light (MIL) must be illuminated to inform the driver that a 
problem exists that needs attention. Upon illumination of the MIL, a 
diagnostic trouble code (DTC) must be stored in the engine's computer 
that identifies the detected malfunction. This DTC can then be read by 
a service technician to assist in making the necessary repair.
---------------------------------------------------------------------------

    \5\ What constitutes a ``malfunction'' for over 14,000 pound 
applications under today's action is covered in section II.B for 
diesel engines, section II.C for gasoline engines, and section II.D 
for all engines.
---------------------------------------------------------------------------

    Because the MIL is meant to inform the driver of a detected 
malfunction, we are requiring that the MIL be located on the driver's 
side instrument panel and be of sufficient illumination and location to 
be readily visible under all lighting conditions. We are requiring that 
the MIL be amber (yellow) in color when illuminated because yellow is 
synonymous with the notion of a ``cautionary warning''; the use of red 
for the MIL will be strictly prohibited because red signifies 
``danger'' which is not the proper message for malfunctions detected 
according to today's rule. Further, we are requiring that, when 
illuminated, the MIL display the International Standards Organization 
(ISO) engine symbol shown in Table II.A-1 because this symbol has 
become accepted after more than 10 years of light-duty OBD as a 
communicator of engine and emissions system related problems. We are 
also requiring that there be only one MIL used to indicate all 
malfunctions detected by the OBD system on a single vehicle. We believe 
this is important to avoid confusion over multiple lights and, 
potentially, multiple interpretations of those lights.
    Generally, a manufacturer would be allowed sufficient time to be 
certain that a malfunction truly exists before illuminating the MIL. No 
one benefits if the MIL illuminates spuriously when a real malfunction 
does not exist. Thus, for most OBD monitoring strategies, manufacturers 
will not be required to illuminate the MIL until a malfunction clearly 
exists which will be considered to be the case when the same problem 
has occurred on two sequential driving cycles.\6\
---------------------------------------------------------------------------

    \6\ Generally, a ``driving cycle'' or ``drive cycle'' consists 
of engine startup and engine shutoff or consists of four hours of 
continuous engine operation.
[GRAPHIC] [TIFF OMITTED] TR24FE09.000

    To keep this clear in the onboard computer, we are requiring that 
the OBD system make certain distinctions between the problems it has 
detected, and that the system maintain a strict logic for diagnostic 
trouble code (DTC) storage/erasure and for MIL illumination/
extinguishment. Whenever the enable criteria for a given monitor are 
met, we would expect that monitor to run. For continuous monitors, this 
would be during essentially all engine operation.\7\ For non-continuous 
monitors, it would be during only a subset of engine operation.\8\ In 
general, we are requiring that non-continuous monitors make a 
diagnostic decision just once per drive cycle that contains operation 
satisfying the enable criteria for the given monitor.
---------------------------------------------------------------------------

    \7\ A ``continuous'' monitor--if used in the context of 
monitoring conditions for circuit continuity, lack of circuit 
continuity, circuit faults, and out-of-range values--means sampling 
at a rate no less than two samples per second. If a computer input 
component is sampled less frequently for engine control purposes, 
the signal of the component may instead be evaluated each time 
sampling occurs.
    \8\ A ``non-continuous'' monitor being a monitor that runs only 
when a limited set of operating conditions occurs.
---------------------------------------------------------------------------

    When a problem is first detected, we are requiring that a 
``pending'' DTC be stored. If, during the subsequent drive cycle that 
contains operation satisfying the enable criteria for the given 
monitor, a problem in the components/system is not again detected, the 
OBD system would declare that a malfunction does not exist and would, 
therefore, erase the pending DTC. However, if, during the subsequent 
drive cycle that contains operation satisfying the enable criteria for 
the given monitor, a problem in the component/system is again detected, 
a malfunction has been confirmed and, hence, a ``confirmed'' or ``MIL-
on'' DTC would be stored.\9\ Upon storage of a MIL-on DTC, the pending 
DTC would either remain stored or be erased, depending on what the 
manufacturer determines to be the most effective approach. Consistent 
with the proposal, the final rule does not stipulate which 
communication protocol be used. Upon storage of the MIL-on DTC, the MIL 
must be illuminated.\10\ Also at this time, a ``permanent'' DTC would 
be stored (see section II.F.4 for more details regarding permanent 
DTCs).\11\
---------------------------------------------------------------------------

    \9\ Different industry standards organizations--the Society of 
Automotive Engineers (SAE) and the International Standards 
Organization (ISO)--use different terminology to refer to a ``MIL-
on'' DTC. For clarity, we use the term ``MIL-on'' DTC throughout 
this preamble to convey the concept and not any requirement that 
standard making bodies use the term in their standards.
    \10\ Throughout this final rule, we refer to MIL illumination to 
mean a steady, continuous illumination during engine operation 
unless stated otherwise. This contrasts with the MIL illumination 
logic used by many engine manufacturers today by which the MIL would 
illuminate upon detection of a malfunction but would remain 
illuminated only while the malfunction was actually occurring. Under 
this latter logic, an intermittent malfunction or one that occurs 
under only limited operating conditions may result in a MIL that 
illuminates, extinguishes, illuminates, etc., as operating 
conditions change.
    \11\ A permanent DTC must be stored in a manner such that 
electrical disconnections do not result in their erasure (i.e., they 
must be stored in non-volatile random access memory (NVRAM)).
---------------------------------------------------------------------------

    As we proposed, we are requiring that, after three subsequent drive 
cycles that contain operation satisfying the enable criteria for the 
given monitor without any recurrence of the previously detected 
malfunction, the MIL should be extinguished (unless there are other 
MIL-on DTCs stored for which the MIL must also be illuminated), the 
permanent DTC should be erased, but a ``previous-MIL-

[[Page 8318]]

on'' DTC should remain stored.\12\ We are requiring that the previous-
MIL-on DTC remain stored for 40 engine warmup cycles after which time, 
provided the identified malfunction has not been detected again and the 
MIL is presently not illuminated for that malfunction, the previous-
MIL-on DTC can be erased.\13\ However, if an illuminated MIL is not 
extinguished, or if a MIL-on DTC is not erased, by the OBD system 
itself but is instead erased via scan tool or battery disconnect (which 
would erase all non-permanent, volatile memory), the permanent DTC must 
remain stored. This way, permanent DTCs can only be erased by the OBD 
system itself and cannot be erased through human interaction with the 
system.
---------------------------------------------------------------------------

    \12\ This general ``three trip'' condition for extinguishing the 
MIL is true for all but two diesel systems/monitors--the misfire 
monitor and the SCR system--and three gasoline systems/monitors--the 
fuel system, the misfire monitor, and the evaporative system--which 
have further conditions on extinguishing the MIL. This is discussed 
in more detail in sections II.B and II.C.
    \13\ For simplicity, the discussion here refers to ``previous-
MIL-on'' DTCs only. The ISO 15765 standard and the SAE J1939 
standard use different terms to refer to the concept of a previous-
MIL-on DTC. Our intent is to present the concept of our proposal in 
this preamble and not to specify the terminology used by these 
standard making bodies.
---------------------------------------------------------------------------

    As proposed, we are allowing the manufacturer, upon Administrator 
approval, to use alternative statistical MIL illumination and DTC 
storage protocols to those described above (i.e., alternatives to the 
``first trip--pending DTC, second strip--MIL-on DTC logic). The 
Administrator will consider whether the manufacturer provided data and/
or engineering evaluation adequately demonstrates that the alternative 
protocols can evaluate system performance and detect malfunctions in a 
manner that is equally effective and timely. Alternative strategies 
requiring, on average, more than six driving cycles for MIL 
illumination would probably not be accepted.
    As proposed, upon storage of either a pending DTC and/or a MIL-on 
DTC, we are requiring that the computer store a set of ``freeze frame'' 
data. These freeze frame data will provide a snap shot of engine 
operating conditions present at the time the malfunction occurred and 
was detected. This information serves the repair technician in 
diagnosing the problem and conducting the proper repair. The freeze 
frame data should be stored upon storage of a pending DTC. If the 
pending DTC matures to a MIL-on DTC, the manufacturer can choose to 
update the freeze frame data or retain the freeze frame stored in 
conjunction with the pending DTC. Likewise, any freeze frame stored in 
conjunction with any pending or MIL-on DTC should be erased upon 
erasure of the DTC. Further information concerning the freeze frame 
requirement and the data required in the freeze frame is presented in 
section II.F.4, below.
    As proposed, we are also requiring that the OBD system illuminate 
the MIL and store a MIL-on DTC to inform the vehicle operator whenever 
the engine enters a mode of operation that can affect the performance 
of the OBD system. If such a mode of operation is recoverable (i.e., 
operation automatically returns to normal at the beginning of the 
following ignition cycle \14\), then in lieu of illuminating the MIL 
when the mode of operation is entered, the OBD system may wait to 
illuminate the MIL and store the MIL-on DTC if the mode of operation is 
again entered before the end of the next ignition cycle. We are 
requiring this because many operating strategies are designed such that 
they continue automatically through to the next key-off. Regardless, 
upon the next key-on, the engine control would start off in ``normal'' 
operating mode and would return to the ``abnormal'' operating mode only 
if the condition causing the abnormal mode was again encountered. In 
such cases, we are allowing that the MIL be illuminated during the 
second consecutive drive cycle during which such an ``abnormal'' mode 
is engaged.\15\
---------------------------------------------------------------------------

    \14\ ``Ignition Cycle'' means a drive cycle that begins with 
engine start and includes an engine speed that exceeds 50 to 150 
rotations per minute (rpm) below the normal, warmed-up idle speed 
(as determined in the drive position for vehicles equipped with an 
automatic transmission) for at least two seconds plus or minus one 
second.
    \15\ Note that we use the term ``abnormal'' to refer to an 
operating mode that the engine is designed to enter upon determining 
that ``normal'' operation cannot be maintained. Therefore, the term 
``abnormal'' is somewhat of a misnomer since the engine is doing 
what it has been designed to do. Nonetheless, the abnormal operating 
mode is clearly not the operating mode the manufacturer has intended 
for optimal operation. Such operating modes are sometimes referred 
to as ``default'' operating modes or ``limp-home'' operating modes.
---------------------------------------------------------------------------

    Whether or not the ``abnormal'' mode of operation is recoverable, 
in this context, has nothing to do with whether the detected 
malfunction goes away or stays. Instead, it depends solely on whether 
or not the engine, by design, will stay in abnormal operating mode on 
the next key-on. We are requiring this MIL logic because often the 
diagnostic (i.e., monitor) that caused the engine to enter abnormal 
mode cannot run again once the engine is in the abnormal mode. So, if 
the MIL logic associated with abnormal mode activation was always a 
two-trip diagnostic, abnormal mode activation would set a pending DTC 
on the first trip and, since the system would then be stuck in that 
abnormal operating mode and would never be able to run the diagnostic 
again, the pending DTC could never mature to a MIL-on DTC nor 
illuminate the MIL. Hence, the MIL must illuminate upon the first entry 
into such an abnormal operating mode. If such a mode is recoverable, 
the engine will start at the next key-on in ``normal'' mode allowing 
the monitor to run again and, assuming another detection of the 
condition, the system would set a MIL-on DTC and illuminate the MIL.
    As proposed, the OBD system need not store a DTC nor illuminate the 
MIL upon abnormal mode operation if other telltale conditions would 
result in immediate action by the driver. Such telltale conditions 
would be, for example, an overt indication like a red engine shut-down 
warning light. The OBD system also need not store a DTC nor illuminate 
the MIL upon abnormal mode operation if the mode is indeed an auxiliary 
emission control device (AECD) approved by the Administrator.
    There may be malfunctions of the MIL itself that would prevent it 
from illuminating. A repair technician--or possibly an I/M inspector--
would still be able to determine the status of the MIL (i.e., commanded 
``on'' or ``off'') by reading electronic information available through 
a scan tool, but there would be no indication to the driver of an 
emissions-related malfunction should one occur. Unidentified 
malfunctions may cause excess emissions to be emitted from the vehicle 
and may even cause subsequent deterioration or failure of other 
components or systems without the driver's knowledge. In order to 
prevent this, the manufacturer must ensure that the MIL is functioning 
properly. For this reason and consistent with our proposal, we are 
requiring two checks of the functionality of the MIL itself. First, the 
MIL will be required to illuminate for a minimum of five seconds when 
the vehicle is in the key-on, engine-off position. This allows an 
interested party to check the MIL's functionality simply by turning the 
key to the key-on position. While the MIL would be physically 
illuminated during this functional check, the data stream value for the 
MIL command status would be required to indicate ``off'' during this 
check unless, of course, the MIL was currently being commanded ``on'' 
for a detected malfunction. This functional check of the MIL is not 
required during vehicle operation in the key-on, engine-off position 
subsequent to the initial engine cranking of an ignition cycle (e.g., 
due to an engine

[[Page 8319]]

stall or other non-commanded engine shutoff).
    The second functional check of the MIL is a circuit continuity 
check of the electrical circuit that is used to illuminate the MIL to 
verify that the circuit is not shorted or open (e.g., a burned out 
bulb). While there would not be an ability to illuminate the MIL when 
such a malfunction is detected, the electronically readable MIL command 
status in the onboard computer would be changed from commanded ``off'' 
to ``on''. This would allow the truck owner or fleet maintenance staff 
to quickly determine whether an extinguished MIL means ``no 
malfunctions'' or ``broken MIL.'' It would also serve, should it become 
of interest in the future, complete automation of the I/M process by 
eliminating the need for inspectors to input manually the results of 
their visual inspections. Feedback from passenger car I/M programs 
indicates that the current visual bulb check performed by inspectors is 
subject to error and results in numerous vehicles being falsely failed 
or passed. By requiring monitoring of the circuit itself, the entire 
pass/fail criteria of an I/M program could be determined by the 
electronic information available through a scan tool, thus better 
facilitating quick and effective inspections and minimizing the chance 
for manually-entered errors. Unlike our proposal, the final rule does 
not require this circuit continuity check of the MIL circuit for 
systems that employ light emitting diode (LED) MILs.\16\ These systems 
are very robust and circuit checks are very difficult and, we believe, 
unnecessary. We do not want to discourage their use or encourage use of 
bulb-based MILs over LED MILs via our OBD requirements.
---------------------------------------------------------------------------

    \16\ See proposed Sec.  86.010-18(i)(3)(iii)(E) and compare to 
the final Sec.  86.010-18(i)(3)(iii)(E).
---------------------------------------------------------------------------

    As proposed, the MIL may be used to indicate readiness status in a 
standardized format (see Section II.F) in the key-on, engine-off 
position. Readiness status is a term used in light-duty OBD that refers 
to a vehicle's readiness for I/M inspection. For a subset of monitors--
those that are non-continuous monitors for which an emissions threshold 
exists (see sections II.B and II.C for more on emissions thresholds)--a 
readiness status indicator must be stored in memory to indicate whether 
or not that particular monitor has run enough times to make a 
diagnostic decision. Until the monitor has run sufficient times, the 
readiness status would indicate ``not ready''. Upon running sufficient 
times, the readiness status would indicate ``ready.'' This serves to 
protect against drivers disconnecting their battery just prior to the 
I/M inspection so as to erase any MIL-on DTCs. Such an action would 
simultaneously set all readiness status indicators to ``not ready'' 
resulting in a notice to return to the inspection site at a future 
date. Readiness indicators also help repair technicians because, after 
completing a repair, they can operate the vehicle until the readiness 
status indicates ``ready'' and, provided no DTCs are stored, know that 
the repair has been successful. We are requiring that HDOBD systems 
follow this same readiness status logic as used for years in light-duty 
OBD both to assist repair technicians and to facilitate potential 
future HDOBD I/M programs.
    We are also allowing the manufacturer, upon Administrator approval, 
to use the MIL to indicate which, if any, DTCs are currently stored 
(e.g., to ``blink'' the stored codes). The Administrator will approve 
the request if the manufacturer can demonstrate that the method used to 
indicate the DTCs will not be unintentionally activated during any 
inspection test or during routine driver operation.
3. Monitoring Conditions
a. Background
    Given that the intent of the OBD requirements is to monitor the 
emission control system for proper operation, it is logical that the 
OBD monitors be designed such that they monitor the emission control 
system during typical driving conditions. While many OBD monitors would 
be designed such that they are continuously making decisions about the 
operational status of the engine, many--and arguably the most 
critical--monitors are not so designed. For example, an OBD monitor 
whose function is to monitor the active fuel injection system of a 
NOX adsorber or a DPF cannot be continuously monitoring that 
function since that function occurs on an infrequent basis. This OBD 
monitor presumably would be expected to ``run,'' or evaluate the active 
injection system, during an actual fuel injection event.
    For this reason, manufacturers are allowed to determine the most 
appropriate times to run their non-continuous OBD monitors. This way, 
they are able to make an OBD evaluation either at the operating 
condition when an emission control system is active and its operational 
status can best be evaluated, and/or at the operating condition when 
the most accurate evaluation can be made (e.g., highly transient 
conditions or extreme conditions can make evaluation difficult). 
Importantly, manufacturers are prohibited from using a monitoring 
strategy that is so restrictive such that it rarely or never runs. To 
help protect against monitors that rarely run, we are requiring an 
``in-use monitor performance ratio'' requirement which is detailed in 
section II.E.
    The set of operating conditions that must be met so that an OBD 
monitor can run are called the ``enable criteria'' for that given 
monitor. These enable criteria are often different for different 
monitors and may well be different for different types of engines. A 
large diesel engine intended for use in a Class 8 truck would be 
expected to see long periods of relatively steady-state operation while 
a smaller engine intended for use in an urban delivery truck would be 
expected to see a lot of transient operation. Manufacturers will need 
to balance between a rather loose set of enable criteria for their 
engines and vehicles given the very broad range of operation HD highway 
engines see and a tight set of enable criteria given the desire for 
greater monitor accuracy.
b. General Monitoring Conditions
i. Monitoring Conditions for All Engines
    As guidance to manufacturers, we are providing the following 
criteria to assist manufacturers in developing their OBD enable 
criteria. These criteria will be used by the Agency during our OBD 
certification approval process to ensure that monitors run on a 
frequent basis during real world driving conditions. These criteria 
will be:
     The monitors should run during conditions that are 
technically necessary to ensure robust detection of malfunctions (e.g., 
to avoid false passes and false indications of malfunctions);
     The monitor enable criteria should ensure monitoring will 
occur during normal vehicle operation; and,
     Monitoring should occur during at least one test used by 
EPA for emissions verification--either the HD Federal Test Procedure 
(FTP) transient cycle, or the Supplementary Emissions Test (SET).\17\
---------------------------------------------------------------------------

    \17\ See 40 CFR part 86, subpart N for details of EPA's test 
procedures.
---------------------------------------------------------------------------

    As discussed in more detail in sections II.B through II.D, we are 
requiring that manufacturers define the monitoring conditions, subject 
to Administrator approval, for detecting the malfunctions required by 
this rule. The Administrator would determine if the monitoring 
conditions proposed by the manufacturer for each monitor abide by the 
above criteria.
    In general, except as noted in sections II.B through II.D, the 
regulation requires

[[Page 8320]]

each monitor to run at least once per driving cycle in which the 
applicable monitoring conditions are met. It also requires certain 
monitors to run continuously throughout the driving cycle. These 
include a few threshold monitors (e.g., fuel system monitor) and most 
circuit continuity monitors. While a basic definition of a driving 
cycle (e.g., from ignition key-on and engine startup to engine shutoff) 
has been sufficient for passenger cars, the driving habits of many 
types of vehicles in the heavy-duty industry dictate an alternate 
definition. Specifically, many heavy-duty operators will start the 
engine and leave it running for an entire day or, in some cases, even 
longer. As such, any period of continuous engine-on operation of four 
hours will be considered a complete driving cycle. A new driving cycle 
would begin following such a four hour period, regardless of whether or 
not the engine had been shut down. Thus, the ``clock'' for monitors 
that are required to run once per driving cycle would be reset to run 
again (in the same key-on engine start or trip) once the engine has 
been operated beyond four hours continuously. This would avoid an 
unnecessary delay in detection of malfunctions simply because the 
heavy-duty vehicle operator has elected to leave the vehicle running 
continuously for an entire day or days at a time.
    Consistent with our proposal, manufacturers may request 
Administrator approval to define monitoring conditions that are not 
encountered during the FTP cycle. In evaluating the manufacturer's 
request, the Administrator will consider the degree to which the 
requirement to run during the FTP cycle restricts in-use monitoring, 
the technical necessity for defining monitoring conditions that are not 
encountered during the FTP cycle, data and/or an engineering evaluation 
submitted by the manufacturer which demonstrate that the component/
system does not normally function, or monitoring is otherwise not 
feasible, during the FTP cycle, and, where applicable, the ability of 
the manufacturer to demonstrate that the monitoring conditions will 
satisfy the minimum acceptable in-use monitor performance ratio 
requirement as defined below.
ii. In-Use Performance Tracking Monitoring Conditions
    In addition to the general monitoring conditions above, and 
consistent with our proposal, we are requiring manufacturers to 
implement software algorithms in the OBD system to individually track 
and report in-use performance of the following monitors in the 
standardized format specified in section II.E:
     Diesel NMHC converting catalyst(s)
     Diesel NOX converting catalyst(s)
     Gasoline catalyst(s)
     Exhaust gas sensor(s)
     Gasoline evaporative system
     Exhaust gas recirculation (EGR) system
     Variable valve timing (VVT) system
     Gasoline secondary air system
     Diesel particulate filter system
     Diesel boost pressure control system
     Diesel NOX adsorber(s)
    The OBD system is not required to track and report in-use 
performance for monitors other than those specifically identified 
above.
iii. In-Use Performance Ratio Requirement
    We are also requiring manufacturers to define, for all 2013 and 
subsequent model year engines, monitoring conditions that, in addition 
to meeting the general monitoring conditions, ensure that certain 
monitors yield an in-use performance ratio (which monitors and the 
details that define the performance ratio are defined in section II.E) 
that meets or exceeds the minimum acceptable in-use monitor performance 
ratio for in-use vehicles. As proposed, we are requiring a minimum 
acceptable in-use monitor performance ratio of 0.100 for all monitors 
specifically required to track in-use performance. This means that the 
monitors listed in section II.A.3.ii above must run and make valid 
diagnostic decisions during 10 percent of the vehicle's trips. We 
intend to work with industry during the initial years of implementation 
to gather data on in-use performance ratios and may revise this ratio 
as appropriate depending on what we learn.
    Note that manufacturers may not use the calculated ratio (or any 
element thereof), or any other indication of monitor frequency, as a 
monitoring condition for a monitor. For example, the manufacturer would 
not be allowed to use a low ratio to enable more frequent monitoring 
through diagnostic executive priority or modification of other 
monitoring conditions, or to use a high ratio to enable less frequent 
monitoring.
4. Determining the Proper OBD Malfunction Criteria
    For determining the malfunction criteria for monitors associated 
with an emissions threshold (see sections II.B and II.C for more on 
emissions thresholds), we are requiring manufacturers to determine the 
appropriate emissions test cycle during which their monitors will run. 
Unlike our proposal, we have removed the requirement that the 
manufacturer choose the cycle over which the most stringent monitor 
would result.\18\ We have made this change to provide manufacturers the 
flexibility to develop robust monitors that meet all applicable 
requirements of the rule rather than requiring the most stringent 
monitor with disregard for its robustness. That said, the Administrator 
retains the right to challenge the manufacturer's choice of cycles. 
While we do not necessarily anticipate challenging a manufacturer's 
determination of which test cycle to use, the final regulations make 
clear that the manufacturer should be prepared, perhaps with test data, 
to justify their determination.
---------------------------------------------------------------------------

    \18\ See proposed Sec.  86.010(f)(1)(i) and compare to final 
Sec.  86.010-18(f)(1)(i).
---------------------------------------------------------------------------

    We are eliminating our requirement that, for engines equipped with 
emission controls that experience infrequent regeneration events (e.g., 
a DPF and/or a NOX adsorber), a manufacturer must adjust the 
emission test results for monitors that are required to indicate a 
malfunction before emissions exceed a certain emission threshold.\19\ 
For each such monitor, the manufacturer need not adjust the emission 
result as done in accordance with the provisions of section 86.004-
28(i) with the component for which the malfunction criteria are being 
established having been deteriorated to the malfunction threshold. As 
proposed, the adjusted emission value would have to have been used for 
purposes of determining whether or not the applicable emission 
threshold is exceeded.
---------------------------------------------------------------------------

    \19\ See proposed Sec.  86.010-18(f)(2) and compare to final 
Sec.  86.010-18(f)(2).
---------------------------------------------------------------------------

    As we noted in our proposal, we believe that this adjustment 
process for monitors of systems that experience infrequent regeneration 
events makes sense and will result in robust monitors, we also believe 
that it could prove to be overly burdensome for manufacturers. For 
example, a NOX adsorber threshold being evaluated by running 
an FTP using a ``threshold'' part (i.e., a NOX adsorber 
deteriorated such that tailpipe emissions are at the applicable 
thresholds) may be considered acceptable provided the NOX 
adsorber does not regenerate during the test, but it may be considered 
unacceptable if the NOX adsorber does happen to regenerate 
during the test. This could happen because emissions would be expected 
to increase slightly during the regeneration event thereby causing 
emissions to be

[[Page 8321]]

slightly above the applicable threshold. This would require the 
manufacturer to recalibrate the NOX adsorber monitor to 
detect at a lower level of deterioration to ensure that a regeneration 
event would not cause an exceedance of the threshold during an 
emissions test. After such a recalibration, the emissions occurring 
during the regeneration event would be lower than before because the 
new ``threshold'' NOX adsorber would have a slightly higher 
conversion efficiency. We are concerned that manufacturers may find 
themselves in a difficult iterative process calibrating such monitors 
that, in the end, will not be correspondingly more effective. We 
discuss this in more detail in our Summary and Analysis of Comments 
document contained in the docket for this rule.
5. Demonstrating Compliance With CARB Requirements
    We did not propose that manufacturers be given the opportunity to 
demonstrate compliance with CARB OBD requirements for the purpose of 
satisfying federal OBD. We have long had such a provision in our OBD 
requirements for under 14,000 pound applications. For the final rule, 
we have included such a provision but want to make clear that this 
provision should not be interpreted as meaning that a CARB approval 
equates to an EPA approval.\20\ We believe that CARB OBD requirements 
will be as stringent if not more so than EPA OBD requirements. As such, 
should a manufacturer demonstrate, and the Administrator determine, 
that an OBD system complies with the CARB requirements, it would be 
acceptable for EPA certification. We believe this will lead to an 
eventual national program.
---------------------------------------------------------------------------

    \20\ See Sec.  86.010-18(a)(5) which is new in the final 
regulations. Also see Sec.  86.010-18(m)(3) which is new in the 
final regulations.
---------------------------------------------------------------------------

6. Temporary Provisions To Address Hardship Due to Unusual 
Circumstances
    We have added a new ``temporary hardship'' provision for the final 
rule.\21\ Under this new provision, EPA may allow a manufacturer to 
sell non-compliant engines for a short time period provided the 
Administrator determines that the non-compliance is for reasons outside 
the manufacturer's control. Examples of such reasons may be fires in 
manufacturer or supplier plants, or ``acts of God'' such as floods, 
tornados, or hurricanes that have created unforeseen delays in a 
manufacturer's ability to comply.
---------------------------------------------------------------------------

    \21\ See final Sec.  86.010-18(a)(6).
---------------------------------------------------------------------------

    This provision is meant to be used for only a limited time (e.g., 
one to three months) and permission to use the provision would not be 
granted for the purpose of delaying implementation for a model year. 
Further, the provision includes in it an expectation that non-
compliances would be corrected as quickly as possible, and we would 
require that the manufacturer submit a plan detailing how the non-
compliances will be corrected. The plan must be submitted in 
conjunction with any requests to make use of this provision and would 
be subject to Administrator approval. Note also that we fully intend to 
enforce the manufacturer's plan to ensure that any engines sold as non-
compliant would be corrected.

B. Monitoring Requirements and Timelines for Diesel-Fueled/Compression-
Ignition Engines

    Table II.B-1 summarizes the diesel fueled compression ignition 
emissions thresholds at which point a component or system has failed to 
the point of requiring an illuminated MIL and a stored DTC. Some of 
these thresholds--specifically, the NOX aftertreatment and 
NOX sensor thresholds for 2010 through 2012--differ from 
what was proposed. The differences serve to make the OBD threshold less 
stringent than proposed for the purpose of matching thresholds with 
technological capabilities.\22\ We have also eliminated the NMHC 
catalyst thresholds. We discuss the reasons for these changes in brief 
in the sections that follow and in more detail in our Summary and 
Analysis of Comments document contained in the docket for this rule. 
More detail regarding the final monitoring requirements, implementation 
schedules, and liabilities can be found in the sections that follow.
---------------------------------------------------------------------------

    \22\ See proposed Sec.  86.010-18(g), Table 1, and compare to 
final Sec.  86.010-18(g), Table 1.

               Table II.B-1--Emissions Thresholds for Diesel Fueled CI Engines Over 14,000 Pounds
----------------------------------------------------------------------------------------------------------------
               Component/monitor                      MY          NMHC          CO          NOX           PM
----------------------------------------------------------------------------------------------------------------
NOX catalyst system............................    2010-2012  ...........  ...........         +0.6  ...........
                                                       2013+  ...........  ...........         +0.3  ...........
DPF system.....................................    2010-2012         2.5x  ...........  ...........   0.05/+0.04
                                                       2013+           2x  ...........  ...........   0.05/+0.04
Air-fuel ratio sensors upstream................    2010-2012         2.5x         2.5x         +0.3   0.03/+0.02
                                                       2013+           2x           2x         +0.3   0.03/+0.02
Air-fuel ratio sensors downstream..............    2010-2012         2.5x  ...........         +0.3   0.05/+0.04
                                                       2013+           2x  ...........         +0.3   0.05/+0.04
NOX sensors....................................    2010-2012  ...........  ...........         +0.6   0.05/+0.04
                                                       2013+  ...........  ...........         +0.3   0.05/+0.04
``Other monitors'' with emissions thresholds       2010-2012         2.5x         2.5x         +0.3   0.03/+0.02
 (see section II.B)............................
                                                       2013+           2x           2x         +0.3  0.03/+0.02
----------------------------------------------------------------------------------------------------------------
Notes: MY = Model Year; 2.5x means a multiple of 2.5 times the applicable emissions standard or family emissions
  limit (FEL); +0.3 means the standard or FEL plus 0.3; 0.05/+0.04 means an absolute level of 0.05 or an
  additive level of the standard or FEL plus 0.04, whichever level is higher; not all monitors have emissions
  thresholds but instead rely on functionality and rationality checks as described in section II.D.4.

    There are exceptions to the emissions thresholds shown in Table 
II.B-1 whereby a manufacturer can demonstrate that emissions do not 
exceed the threshold even when the component or system is non-
functional at which point a functional check would be allowed.
    Note that, in general, the monitoring strategies designed to meet 
the requirements should not involve the alteration of the engine 
control system or the emissions control system such that tailpipe 
emissions would increase. We do not want emissions to increase, even 
for short durations, for the sole purpose of monitoring the systems 
intended to control emissions. The Administrator will consider such 
monitoring strategies on a case-by-case

[[Page 8322]]

basis taking into consideration the emissions impact and duration of 
the monitoring event. However, much effort has been expended in recent 
years to minimize engine operation that results in increased emissions 
and we encourage manufacturers to develop monitoring strategies that do 
not require alteration of the basic control system.
    The remaining discussion in Section II.B focuses solely on changes 
made to the monitoring requirements for the final rule relative to the 
proposed rule. We have not restated the rationale for each monitor, the 
monitoring requirements, or the expected monitoring strategies, etc. 
For such discussion, we refer the reader to our proposal (72 FR 3200).
1. Fuel System Monitoring
    We proposed that fuel system malfunctions related to injection 
pressure, injection timing, injection quantity, and feedback control be 
individually detected prior to emissions exceeding the thresholds for 
``other monitors.'' Further, we proposed that pressure and feedback 
related malfunctions be monitored continuously and that quantity and 
timing related malfunctions be monitored once per trip. For the final 
rule, we are requiring fuel system monitoring for CI engines be 
consistent with our proposal with a few exceptions.
    We have added a new combined monitor option for fuel injection 
systems. Under this option, the three discrete malfunction criteria for 
unit injector systems (pressure, quantity, and timing) may be combined 
into one malfunction. The two discrete malfunction criteria for common 
rail systems (quantity and timing) may be combined into one 
malfunction. If choosing the combined monitoring option on either type 
system, the manufacturer must demonstrate with data that the combined 
monitoring strategy can detect a component failure by some combination 
of the individual monitors, a rationality check between the discrete 
monitors or the downstream effect of the failed component. For 
threshold monitoring, the manufacturer is expected to demonstrate with 
data that the combined monitor correctly detects the operating 
conditions of the fuel injector and indicates the component malfunction 
prior to exceeding the threshold level required by the regulation. The 
intent of the combined monitor is to effectively detect and indicate 
fuel system injector malfunctions although the direct cause of the 
failure (quantity, timing and/or pressure) is unknown.
    For unit injector fuel systems, the final rule allows the fuel 
system pressure control, injection quantity, and injection pressure to 
be monitored using functional checks in lieu of monitoring for 
conditions that would cause emissions to exceed the OBD thresholds for 
model years 2010 through 2012. Threshold monitoring on unit injector 
fuel system injection pressure, quantity and timing will be required 
for model year 2013 and beyond. For common rail systems, the regulation 
remains unchanged with threshold detection required for fuel system 
pressure control, injection quantity, and injection pressure for model 
years 2010 and beyond.
    Regarding monitoring conditions, the final rule remains unchanged 
on common rail systems from the proposal of once per drive cycle for 
injection pressure and quantity for model years 2010 to 2012 in 
addition to constant fuel pressure monitoring. On 2013 and later common 
rail fuel systems, we are requiring continuous monitoring of pressure 
control and, in a change from our proposal, injector quantity and 
injector timing monitoring must be done when conditions are met (rather 
than once per trip). On unit injector systems for model years 2010 to 
2012, the monitors for fuel system pressure control, injection 
quantity, and injection timing are required once per drive cycle. For 
model years 2013 and beyond, unit injector systems are required to 
monitor pressure, injector quantity and injector timing when conditions 
are met.
    We are making these fuel injection system monitoring changes 
because of the system monitoring capability differences between unit 
injector and common rail systems, while maintaining the intent of 
malfunction monitoring to indicate a failed component. We believe that 
the monitoring strategies manufacturers are expected to use in the 
interim time frame and future system design will result in robust 
monitoring of the fuel system without sacrificing malfunction 
detection. The fuel system strategies based on hardware diverge in 
model years 2010 to 2012 to account for the monitoring capabilities but 
again converge in model years 2013 for as much commonality as possible. 
We discuss our rationale in more detail in our Summary and Analysis 
document contained in the docket for this rule.
2. Engine Misfire Monitoring
    We proposed that, for 2010-2012, a continuous engine misfire be 
detected during engine idle. For 2013 and later, we proposed that 
engines equipped with combustion sensors monitor continuously for 
misfire during the full operating range and detect a malfunction prior 
to emissions exceeding the thresholds for ``other monitors.''
    For the final rule, we have made only one change to the misfire 
monitoring requirements for CI engines. In the proposal, we stated 
that, if more than one cylinder is misfiring continuously, a separate 
DTC must be stored indicating that multiple cylinders are misfiring. In 
the final rule, we state that, if more than one cylinder is misfiring 
continuously or if more than one but less than half of the cylinders is 
misfiring continuously, a separate DTC must be stored indicating that 
multiple cylinders are misfiring.\23\ To make use of this additional 
provision, the manufacturer must receive Administrator approval. We are 
making this change because we believe that, for some systems, a 
perfectly acceptable monitor can be developed without sacrificing 
malfunction detection.
---------------------------------------------------------------------------

    \23\ See Sec.  86.010-18(g)(2)(ii)(A) for diesel-fueled engines.
---------------------------------------------------------------------------

3. Exhaust Gas Recirculation (EGR) System Monitoring
    We proposed that malfunctions of the EGR system related to low 
flow, high flow, slow response, feedback control, and cooler 
performance be detected prior to emissions exceeding the thresholds for 
``other monitors.'' Further, we proposed that flow and feedback related 
malfunctions be monitored continuously, response related malfunctions 
be monitored whenever conditions were met, and that cooler malfunctions 
be monitored once per trip.
    For the final rule, we have not made any changes to the EGR 
requirements except to provide more clarity to the provisions allowing 
for temporary disablement of continuous monitoring.\24\ This new 
provision allows the OBD system, with approval, to disable temporarily 
the EGR system monitor(s) under specific ambient conditions (e.g., when 
freezing may affect performance of the system) or during specific 
operating conditions (e.g., transients, extreme low or high flow 
conditions). Even then, the system must still maintain comprehensive 
component monitoring as required by the comprehensive component 
monitoring requirements.\25\
---------------------------------------------------------------------------

    \24\ See Sec.  86.010-18(g)(3)(iii)(D) for diesel-fueled 
engines.
    \25\ See Sec.  86.010-18(i)(3).

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

[[Page 8323]]

4. Turbo Boost Control System Monitoring
    We proposed that malfunctions of the boost control system related 
to underboost, overboost, variable geometry slow response, feedback 
control, and undercooling be detected prior to emissions exceeding the 
thresholds for ``other monitors.'' Further, we proposed that 
underboost, overboost, and feedback related malfunctions be monitored 
continuously, that slow response related malfunctions be monitored 
whenever conditions were met, and that undercooling related 
malfunctions be monitored once per trip.
    One change we have made to the turbo boost control system 
monitoring requirements for the final rule is to add the phrase, ``on 
engines so equipped'' or equivalent.\26\ We have added this phrase to 
clarify that, for engines that do not control the turbo boost control 
system as suggested by the proposed requirements the provision would 
not apply or would apply differently. For example, our proposal 
required that the OBD system detect when the turbo boost control system 
was unable to achieve the commanded boost. However, some manufacturers 
use a system that does not in fact command a particular boost pressure 
(i.e., it is not a closed loop feedback system). For such systems, the 
final rule makes clear that the system must detect when the turbo boost 
control system is unable to achieve the commanded boost, or the 
expected boost for systems that do not control boost pressure. The 
change does not impact the intent behind the proposed requirements and 
only serves to provide clarity to manufacturers. We discuss our 
rationale in more detail in our Summary and Analysis document contained 
in the docket for this rule.
---------------------------------------------------------------------------

    \26\ See Sec.  86.010-18(g)(4)(ii) for diesel-fueled engines.
---------------------------------------------------------------------------

    We have also made a minor change to the turbo boost monitoring 
conditions. We have added a provision that provides clarity to the 
requirement to monitor continuously certain parameters. This provision 
does not change the intent of the proposed requirement, but only serves 
to provide clarity to the requirement.\27\
---------------------------------------------------------------------------

    \27\ See Sec.  86.010-18(g)(4)(iii)(D) for diesel-fueled 
engines.
---------------------------------------------------------------------------

5. Non-Methane Hydrocarbon (NMHC) Converting Catalyst Monitoring
    We proposed that malfunctions related to NMHC conversion efficiency 
be detected prior to emissions exceeding the thresholds for ``NMHC 
catalyst.'' We also proposed that, should the NMHC converting catalyst 
be used to assist other aftertreatment devices, that malfunctions be 
detected if that assistance is no longer occurring. Further, we 
proposed that conversion efficiency and aftertreatment assistance be 
monitoring once per trip.
    For the final rule, we have eliminated the OBD thresholds 
associated with monitoring of NMHC converting catalysts (e.g., the 
diesel oxidation catalyst, or DOC). We have also eliminated the need to 
monitor the NMHC converting catalyst's ability to generate the proper 
feedgas for other aftertreatment devices. We have maintained, as was 
proposed, the requirements to monitor for some level of NMHC conversion 
and for the ability to generate and sustain the necessary exotherm for 
catalysts used as part of the regeneration strategy of other 
aftertreatment devices.\28\ As part of this latter requirement, we have 
added a provision requiring the OBD system to detect when the NMHC 
converting catalyst is unable to generate a 100 degree Celsius 
temperature rise, or to achieve the necessary regeneration temperature, 
within 60 seconds of initiating a forced regeneration event. Further, 
the OBD system must detect the inability to sustain the necessary 
regeneration temperature for the duration of the regeneration event. We 
have also added a provision that the regeneration system be shut down 
(i.e., the forced regeneration must be aborted) in the event that the 
regeneration temperature cannot be attained or sustained. The 
manufacturer would be allowed to define the monitoring conditions for 
this monitor to ensure that a robust monitoring event would be 
possible. This requirement is meant to ensure that NMHC emissions will 
not be excessive during a prolonged and unsuccessful attempt at 
generating an exotherm for regeneration. As an alternative, the 
manufacturer may submit, for Administrator approval, their NMHC 
catalyst exotherm monitor strategy and, if equivalent in effectiveness, 
could use that strategy instead of the criteria described here. Lastly, 
we have added a provision whereby a manufacturer can ``test out'' of 
monitoring a NMHC catalyst located downstream of a DPF provided its 
failure will not cause NMHC emissions to exceed the applicable NMHC 
standard.
---------------------------------------------------------------------------

    \28\ See Sec.  86.010-18(g)(5) for the final NMHC catalyst 
requirements for diesel-fueled engines.
---------------------------------------------------------------------------

    We have made these changes for the final rule because we have been 
convinced by manufacturers that there exists no robust method of 
detecting loss of NMHC conversion at the levels required for threshold 
monitoring. We believe that the primary function of the NMHC catalyst 
will be exotherm generation which is a monitoring requirement we have 
maintained and broadened. Further, we believe that the exotherm monitor 
will also serve to provide the detection of lost NMHC conversion and 
will do so in a more timely fashion than a direct monitoring of NMHC 
conversion via exhaust gas sensors since those sensors appear unlikely 
to be able to detect NMHC conversion loss until it is completely lost. 
Similar arguments exist for eliminating the feedgas monitoring 
requirement--we know of no robust method to detect this loss given 
today's sensor technology. We discuss our rationale in more detail in 
our Summary and Analysis document contained in the docket for this 
rule.
6. Selective Catalytic Reduction (SCR) and Lean NOX Catalyst 
Monitoring
    We proposed that malfunctions related to conversion efficiency, 
active/intrusive reductant delivery, active/intrusive reductant 
quantity, active/intrusive reductant quality, and feedback control be 
detected prior to emissions exceeding the thresholds for 
``NOX catalyst system.'' Further, we proposed that 
conversion efficiency and reductant quality be monitored once per trip 
and that reductant delivery, quantity, and feedback control be 
monitored continuously.
    We have made no changes to the SCR and/or lean NOX 
catalyst monitoring requirements relative to our proposal except that 
we have increased the NOX threshold at which malfunctions 
must be detected. We proposed a threshold of the NOX FEL+0.3 
g/bhp-hr and are finalizing a threshold of the NOX FEL+0.6 
g/bhp-hr. This revised threshold applies only to model years 2010 
through 2012. As proposed, the threshold for model years 2013 and later 
remains the NOX FEL+0.3 g/bhp-hr. We have made this change 
because the state of NOX sensor technology expected for the 
2010 model year is not sufficient for the proposed threshold. We expect 
that to improve for model years 2013 and later.\29\ We discuss our 
rationale in more detail in our Summary and Analysis document contained 
in the docket for this rule.
---------------------------------------------------------------------------

    \29\ Please refer to our Final Technical Support Document 
contained in the docket for this rule (EPA420-R-08-019, Document ID 
No. EPA-HQ-OAR-2005-0047-0056) which contains our latest 
understanding of NOX sensor technology.

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

[[Page 8324]]

7. NOX Adsorber System Monitoring
    We proposed that malfunctions related to adsorber system 
capability, active/intrusive reductant delivery, and feedback control 
be detected prior to emissions exceeding the thresholds for 
``NOX catalyst system.'' Further, we proposed that adsorber 
capability be monitored once per trip and that reductant delivery and 
feedback control be monitored continuously.
    For the final rule, we have changed nothing with respect to the 
NOX adsorber monitoring requirements with the exception of 
revising the NOX threshold for model years 2010 through 2012 
to the NOX FEL+0.6 from the NOX FEL+0.3. We have 
made this change for the same reasons noted above for SCR monitoring. 
We discuss our rationale in more detail in our Summary and Analysis 
document contained in the docket for this rule.
8. Diesel Particulate Filter (DPF) System Monitoring
    We proposed that malfunctions related to the DPF filtering 
performance, regeneration frequency, regeneration completion, NMHC 
conversion, active/intrusive reductant injection, and feedback control 
be detected prior to emissions exceeding the thresholds for ``DPF 
system.'' We also proposed that a missing DPF substrate be detected. 
Further, we proposed that all of these functions be monitored whenever 
conditions were met.
    For the final rule, we have made two changes to the requirements 
for monitoring the DPF system. The first change is that we have added 
to the DPF filtering performance monitoring requirement an optional 
requirement whereby the OBD system can conduct, in effect, a functional 
check of the DPF. A system using this approach would be required to 
detect a change in the pressure drop across the DPF relative to the 
nominal pressure drop across a clean filter and a properly working 
device.\30\ In effect, if the DPF substrate has been compromised, the 
failure must be detected if it results in a decrease in the expected 
pressure drop equal to or greater than a defined level, or detectable 
change in pressure drop, relative to a clean filter.\31\
---------------------------------------------------------------------------

    \30\ See Sec.  86.010-18(g)(8)(ii)(A) for diesel-fueled engines.
    \31\ The detectable change in pressure drop is defined as 0.5 
times the observed pressure drop on a nominal, clean filter when 
operating the engine at the 50% speed, 50% load operating point (as 
specified in test cycle and procedures for the supplemental 
emissions test (SET) in Sec.  86.1360-2007.)
---------------------------------------------------------------------------

    We believe that such a requirement is, in effect, the same as a 
threshold requirement for most DPF systems to be certified in the 2010 
through 2012 timeframe. Those systems are expected to use a delta 
pressure approach to DPF monitoring and we expect that manufacturers 
will design that monitor to detect the smallest hole feasible which, we 
believe, will result in a decrease in the expected pressure drop 
somewhere around the level we are requiring. Manufacturers would then 
determine the emissions impact associated with that hole and hope that 
it meets our threshold requirement. If it did not, we would probably 
certify the system with a deficiency presuming the manufacturer had 
made a good faith effort at compliance and the monitor met our 
deficiency requirements.\32\ We would not want to refuse to certify it 
since it would be doing the maximum that the delta pressure approach 
could feasibly do. We would prefer to certify such a system to the 
decrease in pressure drop requirement without the deficiency than to 
certify it to a threshold with a deficiency. In the end, the same 
monitor is being approved.
---------------------------------------------------------------------------

    \32\ See Sec.  86.010-18(n).
---------------------------------------------------------------------------

    Another change we have made is to eliminate the NMHC conversion 
monitoring over DPFs that have some NMHC conversion capacity.\33\ We 
have eliminated this requirement for the same reasons as noted above 
for NMHC converting catalyst monitors. Note that we have retained an 
NMHC threshold for the DPF, but it is referenced in conjunction with 
the DPF regeneration frequency monitor consistent with our proposal.
---------------------------------------------------------------------------

    \33\ See proposed Sec.  86.010-18(g)(8)(ii)(D).
---------------------------------------------------------------------------

    Lastly, we have included some new monitoring requirements for those 
systems certified to our optional backpressure loss provision.\34\ An 
important element of these new monitoring conditions is the distinction 
between conditions used for malfunction determinations versus 
subsequent passing determinations. The new provisions allow for a 
malfunction determination during any successful monitoring event. 
However, subsequent monitoring events are limited to operation 
following a successful DPF regeneration. This is to ensure that a 
confirmed leak will not ``fill up'' with PM and begin to look like an 
acceptable DPF. If monitoring events were allowed to occur as the leak 
filled up, the OBD system may inadvertently determine that the DPF 
substrate was not compromised. Limiting subsequent monitoring events 
(i.e., those following a malfunction determination) to operation 
following a complete regeneration of the DPF will ensure that no PM has 
filled up the crack or hole.
---------------------------------------------------------------------------

    \34\ See Sec.  86.010-18(g)(8)(iii) for diesel-fueled engines.
---------------------------------------------------------------------------

    We discuss all of these changes in more detail in our Summary and 
Analysis of Comments document contained in the docket for this rule.
9. Exhaust Gas Sensor Monitoring
    We proposed that malfunctions related to sensor performance be 
detected prior to emissions exceeding the applicable thresholds. We 
also proposed that malfunctions related to circuit integrity, feedback 
functions, monitoring functions, and heater performance and circuit 
integrity be detected prior to those functions being lost. Further, we 
proposed that sensor and heater performance be monitored once per trip, 
that monitoring functionality be monitored whenever conditions were 
met, and that circuit integrity and feedback functionality be monitored 
continuously.
    For the final rule, we have changed nothing with respect to the 
exhaust gas sensor monitoring requirements with the exception of 
revising the NOX sensor monitor NOX threshold for 
model years 2010 through 2012 to the NOX FEL+0.6 from the 
NOX FEL+0.3. We have made this change for the same reasons 
noted above for the NOX aftertreatment monitoring 
requirements. We discuss our rationale in more detail in our Summary 
and Analysis document contained in the docket for this rule.

C. Monitoring Requirements and Timelines for Gasoline/Spark-Ignition 
Engines

    Table II.C-1 summarizes the gasoline fueled spark ignition 
emissions thresholds at which point a component or system has failed to 
the point of requiring an illuminated MIL and a stored DTC.

[[Page 8325]]



              Table II.C-1--Emissions Thresholds for Gasoline Fueled SI Engines over 14,000 Pounds
----------------------------------------------------------------------------------------------------------------
          Component/monitor                 MY                     NMHC                     CO           NOX
----------------------------------------------------------------------------------------------------------------
Catalytic converter system...........        2010+  1.75x............................  ...........         1.75x
``Other monitors'' with emissions            2010+  1.5x.............................         1.5x         1.5x
 thresholds (see section II.C).
Evaporative emissions control system.        2010+  0.150 inch leak .................
----------------------------------------------------------------------------------------------------------------
Notes: MY=Model Year; 1.75x means a multiple of 1.75 times the applicable emissions standard; not all monitors
  have emissions thresholds but instead rely on functionality and rationality checks as described in section
  II.D.4. The evaporative emissions control system threshold is not, technically, an emissions threshold but
  rather a leak size that must be detected; nonetheless, for ease we refer to this as the threshold.

    Everything shown in Table II.C-1 is unchanged from our proposal. In 
fact, we have made only one change in our requirements specific to 
gasoline engines relative to our proposal.\35\ That change is being 
made in response to requests from industry that would allow for 
Administrator approval of misfire monitoring disablement under certain 
conditions on engines with more than eight cylinders and/or in 
situations where the manufacturer can demonstrate that the best 
available monitoring strategy is not able to detect the misfire 
condition. The change we are making for our final rule is meant to 
align our disablement allowance, with approval, with similar allowances 
made in the California regulation.\36\
---------------------------------------------------------------------------

    \35\ There are some changes discussed in section II.D that 
pertain to both gasoline and diesel applications.
    \36\ See CCR 1971.1(f)(2.3.4)(D) and CCR 1971.1(f)(2.3.5) and 
compare to Sec.  86.010-18(h)(2)(iii)(D) and Sec.  
86.010(h)(2)(iii)(E), respectively.
---------------------------------------------------------------------------

    As proposed, there remain exceptions to the emissions thresholds 
shown in Table II.C-1 whereby a manufacturer can demonstrate that 
emissions do not exceed the threshold even when the component or system 
is non-functional at which point a functional check would be allowed.
    Additionally, consistent with our proposal, the final gasoline 
monitoring requirements for engines over 14,000 pounds mirror those 
that are already in place for gasoline engines used in vehicles under 
14,000 pounds. The HD gasoline industry--General Motors and Ford, as of 
today\37\--have told us that their preference is to use essentially the 
same OBD system on their engines used in both under and over 14,000 
pound vehicles.\38\ In general, we agree with the HD gasoline industry 
on this issue for three reasons:
---------------------------------------------------------------------------

    \37\ This is true according to our certification database for 
the 2004, 2005, and 2006 model years. Other manufacturers certify 
engines that use the Otto cycle, but those engines do not burn 
gasoline and instead burn various alternative fuels.
    \38\ ``EMA Comments on Proposed HDOBD Requirements for HDGE,'' 
bullet items 3 and 4; April 28, 2005, Docket ID EPA-HQ-OAR-
2005-0047-0003.
---------------------------------------------------------------------------

     The engines used in vehicles above and below 14,000 pounds 
are the same which makes it easy for industry to use the same OBD 
monitors;
     The existing OBD requirements for engines used in vehicles 
below 14,000 pounds have proven effective; and
     The industry members have more than 10 years experience 
complying with the OBD requirements for engines used in vehicles below 
14,000 pounds.
    As a result, our final requirements should allow for OBD system 
consistency in vehicles under and over 14,000 pounds rather than 
mirroring the HD diesel requirements discussed in section II.B. 
Nonetheless, the final requirements are for engine-based OBD monitors 
only rather than monitors for the entire powertrain (which would 
include the transmission). We are doing this for the same reasons as 
done for the diesel OBD requirements in that certification of gasoline 
applications over 14,000 pounds, like their diesel counterparts, is 
done on an engine basis and not a vehicle basis.

D. Monitoring Requirements and Timelines for Other Diesel and Gasoline 
Systems

1. Variable Valve Timing and/or Control (VVT) System Monitoring
    We proposed that VVT system malfunctions related to achieving the 
commanded valve timing and/or control within a crank angle and/or lift 
tolerance and slow system response be detected prior to emissions 
exceeding the thresholds for ``other monitors.'' Further, we proposed 
that these malfunctions be monitored whenever conditions were met 
rather than once per trip.
    The final requirements for VVT system monitoring are identical to 
the proposed requirements.\39\
---------------------------------------------------------------------------

    \39\ See Sec.  86.010-18(g)(10) for diesel-fueled engines and 
Sec.  86.010-18(h)(9) for gasoline-fueled engines.
---------------------------------------------------------------------------

2. Engine Cooling System Monitoring
    We proposed that cooling system malfunctions related to proper 
thermostat function and engine coolant temperature (ECT) sensor 
readings be detected. Further, we proposed that malfunctions tied to 
the thermostat be monitored once per trip and that most ECT 
malfunctions be monitored once per trip except that circuit 
malfunctions must be monitored continuously.
    For the final rule, we have changed the requirement surrounding the 
need to detect when the coolant temperature does not warm up to within 
20 degrees F of the nominal thermostat regulating temperature. This 
change allows the OBD system to use a lower temperature (lower than 20 
degrees below the nominal regulating temperature) provided the ambient 
temperature is between 20 degrees F and 50 degrees F. To do so, the 
manufacturer must present data justifying the new temperature to be 
reached at the lower ambient temperatures.\40\
---------------------------------------------------------------------------

    \40\ See Sec.  86.010-18(i)(1) for the final cooling system 
monitoring requirements.
---------------------------------------------------------------------------

3. Crankcase Ventilation System Monitoring
    We proposed that the OBD system monitor the CV system on engines so 
equipped for system integrity. For diesel engines, we proposed that the 
manufacturer submit a plan for Administrator approval prior to OBD 
certification that describes the monitoring strategy, malfunction 
criteria, and monitoring conditions for CV system monitoring. Further, 
we proposed that the manufacturer may forego monitoring for a 
disconnection between the crankcase and the CV valve provided the CV 
system is designed such that it uses tubing connections between the CV 
valve and the crankcase that are resistant to failure. We also proposed 
that the manufacturer may forego monitoring for a disconnection between 
the CV valve and the intake manifold provided the CV system is designed 
such that any disconnection either causes the engine to stall 
immediately during idle operation, or is unlikely to occur due to a CV 
system design that is integral to the induction system (e.g., machined 
passages rather than tubing or hoses).
    The final requirements for crankcase ventilation system monitoring 
are

[[Page 8326]]

identical to the proposed requirements.\41\
---------------------------------------------------------------------------

    \41\ See Sec.  86.010-18(i)(2) for the final CV system 
monitoring requirements.
---------------------------------------------------------------------------

4. Comprehensive Component Monitors
    We proposed that, in general, the OBD system must detect a 
malfunction of any electronic engine component or system that either 
provides input to or receives commands from the onboard computer(s). 
Further, we proposed that malfunctions related to circuit continuity 
and/or out-of-range values be monitored continuously and that 
malfunctions related to input data rationality and/or output component 
functional response be monitored whenever conditions were met.
    For the final rule, we have made several changes to the proposed 
requirements for comprehensive component monitoring. The first of those 
changes is to revise the provisions concerning the emission effect that 
determines what must be monitored as a comprehensive component. In the 
proposed rule, we provided a general set of parameters that fit within 
the comprehensive component concept. For example, components that 
provide input to or received commands from the engine computer along 
with specific examples of such components.\42\ We then stated that any 
such component that could effect emissions over any reasonable driving 
condition must be monitored. For the final rule, we have changed these 
emission impacts slightly by stating that any such component that could 
cause emissions to exceed emissions standards must be monitored.\43\ We 
have made this change because we believe it to be consistent with the 
Clean Air Act which states that OBD systems should monitor components 
that could cause or result in failure of the vehicles to comply with 
emission standards established for such vehicles (see Section I.C.3 
above).
---------------------------------------------------------------------------

    \42\ See proposed and/or final Sec.  86.010-18(i)(3)(i).
    \43\ See final Sec.  86.010-18(i)(3)(i)(A) and compare to 
proposed Sec.  86.010-18(i)(3)(i)(A).
---------------------------------------------------------------------------

    The second change we have made to the comprehensive component 
monitoring requirements is the change to the MIL circuit check and the 
wait-to-start lamp circuit check. These changes were discussed in 
Section II.A.2 above.
    We have also changed the requirements for monitoring of glow plugs 
in the 2010 through 2012 model years. During those model years, glow 
plugs must be monitored for circuit checks only. For model years 2013 
and later, we have not made any changes to our proposal (functional 
checks must be done).\44\ We are making this change for the 2010 
through 2012 model years because we do not believe that the time 
available for 2010 implementation is sufficient for all manufacturers 
to make the changes necessary to conduct functional checks, but we 
believe that such checks are important and should be done for 2013 and 
later.
---------------------------------------------------------------------------

    \44\ See Sec.  86.010-18(i)(3)(iii)(D).
---------------------------------------------------------------------------

5. Other Emissions Control System Monitoring
    We proposed monitoring of other emission control systems that are 
not otherwise specifically addressed and that the manufacturer submit a 
plan for Administrator approval of the monitoring strategy, malfunction 
criteria, and monitoring conditions prior to introduction on a 
production engine.
    The final requirements for other emission control system monitoring 
are identical to the proposed requirements.
6. Exceptions to Monitoring Requirements
    We proposed that certain monitors could be disabled under specific 
conditions related generally to ambient conditions. Further, we 
proposed that most such disablements be approved by the Administrator.
    The final requirements for exceptions to monitoring are identical 
to the proposed requirements.

E. A Standardized Method To Measure Real World Monitoring Performance

    As was noted in section II.A.3, manufacturers determine the most 
appropriate times to run the non-continuous OBD monitors. This way, 
they are able to make their OBD evaluation either at the operating 
condition when an emissions control system is active and its 
operational status can best be evaluated, and/or at the operating 
condition when the most accurate evaluation can be made (e.g., highly 
transient conditions or extreme conditions can make evaluation 
difficult). Importantly, manufacturers are prohibited from using a 
monitoring strategy that is so restrictive such that it rarely or never 
runs. To help protect against monitors that rarely run, we proposed an 
``in-use monitor performance ratio'' requirement. The final rule 
contains the same requirement without changes.\45\
---------------------------------------------------------------------------

    \45\ This requirement can be found in Sec.  86.010-18(d).
---------------------------------------------------------------------------

    The set of operating conditions that must be met so that an OBD 
monitor can run are called the ``enable criteria'' for that given 
monitor. These enable criteria are often different for different 
monitors and may well be different for different types of engines. A 
large diesel engine intended for use in a Class 8 truck would be 
expected to see long periods of relatively steady-state operation while 
a smaller engine intended for use in an urban delivery truck would be 
expected to see a lot of transient operation. Manufacturers will need 
to balance between a rather loose set of enable criteria for their 
engines and vehicles given the very broad range of operation HD highway 
engines see and a tight set of enable criteria given the desire for 
greater monitor accuracy. Manufacturers would be required to design 
these enable criteria so that the monitor:
     Is robust (i.e., accurate at making pass/fail decisions);
     Runs frequently in the real world; and
     In general, also runs during the FTP heavy-duty transient 
cycle.
    If designed incorrectly, these enable criteria may be either too 
broad and result in inaccurate monitors, or overly restrictive thereby 
preventing the monitor from executing frequently in the real world.
    Since the primary purpose of an OBD system is to monitor for and 
detect emission-related malfunctions while the engine is operating in 
the real world, a standardized methodology for quantifying real world 
performance would be beneficial to both EPA and manufacturers. 
Generally, in determining whether a manufacturer's monitoring 
conditions are sufficient, a manufacturer would discuss the proposed 
monitoring conditions with EPA staff. The finalized conditions would be 
included in the certification applications and submitted to EPA staff 
who would review the conditions and make determinations on a case-by-
case basis based on the engineering judgment of the staff. In cases 
where we are concerned that the documented conditions may not be met 
during reasonable in-use driving conditions, we would most likely ask 
the manufacturer for data or other engineering analyses used by the 
manufacturer to determine that the conditions would occur in-use. In 
requiring a standardized methodology for quantifying real world 
performance, we believe this review process can be done more 
efficiently than would occur otherwise. Furthermore, it would serve to 
ensure that all manufacturers are held to the same standard for real 
world performance. Lastly, we want review procedures that will ensure 
that monitors operate properly and frequently in the field.

[[Page 8327]]

    Therefore, manufacturers will be required to use a standardized 
method for determining real world monitoring performance and will be 
liable if monitoring occurs less frequently than a minimum acceptable 
level, expressed as minimum acceptable in-use performance ratio.\46\ We 
are also requiring that manufacturers implement software in the onboard 
computer to track how often several of the major monitors (e.g., 
catalyst, EGR, CDPF, other diesel aftertreatment devices) execute 
during real world driving. The onboard computer must keep track of how 
many times each of these monitors has executed and how much the engine 
has been operated. By measuring both of these values, the ratio of 
monitor operation relative to engine operation can be calculated to 
determine monitoring frequency.
---------------------------------------------------------------------------

    \46\ This minimum acceptable ratio applies in model years 2013 
and later, as was proposed.
---------------------------------------------------------------------------

    The minimum acceptable frequency requirement will apply to many but 
not all of the OBD monitors. We are requiring that monitors operate 
either continuously, once per drive cycle, or, in a few cases, multiple 
times per drive cycle (i.e., whenever the proper monitoring conditions 
are present). For components or systems that are more likely to 
experience intermittent failures or failures that can routinely happen 
in distinct portions of an engine's operating range (e.g., only at high 
engine speed and load, only when the engine is cold or hot), monitors 
are required to operate continuously. Examples of continuous monitors 
include most electrical/circuit continuity monitors. For components or 
systems that are less likely to experience intermittent failures or 
failures that only occur in specific vehicle operating regions or for 
components or systems where accurate monitoring can only be performed 
under limited operating conditions, monitors would be required to run 
once per drive cycle. Examples of once per drive cycle monitors 
typically include gasoline catalyst monitors, evaporative system leak 
detection monitors, and output comprehensive component functional 
monitors. For components or systems that are routinely used to perform 
functions that are crucial to maintaining low emissions but may still 
require monitoring under fairly limited conditions, monitors are 
required to run each and every time the manufacturer-defined enable 
conditions are present. Examples of multiple times per drive cycle 
monitors typically include input comprehensive component rationality 
monitors and some exhaust aftertreatment monitors.
    Monitors required to run continuously, by definition, would always 
be running thereby making a minimum frequency requirement moot. The new 
frequency requirement essentially applies only to those monitors that 
are designated as once per drive cycle or multiple times per drive 
cycle monitors. For all of these monitors, manufacturers are required 
to define monitoring conditions that ensure adequate frequency in-use. 
Specifically, the monitors need to run often enough so that the 
measured monitor frequency on in-use engines will exceed the minimum 
acceptable frequency. However, even though the minimum frequency 
requirement applies to nearly all once per drive cycle and multiple 
times per drive cycle monitors, manufacturers are only required to 
implement software to track and report the in-use frequency for a few 
of the major monitors. These few monitors generally represent the major 
emissions control components and the ones with the most limited enable 
criteria.
    We believe that OBD monitors should run frequently to ensure early 
detection of emissions-related malfunctions and, consequently, to 
maintain low emissions. Allowing malfunctions to continue undetected 
and unrepaired for long periods of time allows emissions to increase 
unnecessarily. Frequent monitoring can also help to ensure detection of 
intermittent emissions-related malfunctions (i.e., those that are not 
continuously present but occur sporadically for days and even weeks at 
a time). The nature of mechanical and electrical systems is that 
intermittent malfunctions can and do occur. The less frequent the 
monitoring, the less likely these malfunctions will be detected and 
repaired. Additionally, for both intermittent and continuous 
malfunctions, earlier detection is equivalent to preventative 
maintenance in that the original malfunction can be detected and 
repaired prior to it causing subsequent damage to other components. 
This can help vehicle operators avoid more costly repairs that could 
have resulted had the first malfunction gone undetected.
    Infrequent monitoring can also have an impact on the service and 
repair industry. Specifically, monitors that have unreasonable or 
overly restrictive enable conditions could hinder vehicle repair 
services. In general, upon completing an OBD-related repair to an 
engine, a technician will attempt to verify that the repair has indeed 
fixed the problem. Ideally, a technician will operate the vehicle in a 
manner that will exercise the appropriate OBD monitor and allow the OBD 
system to confirm that the malfunction is no longer present. This 
affords a technician the highest level of assurance that the repair was 
indeed successful. However, OBD monitors that operate infrequently are 
difficult to exercise and, therefore, technicians may not be able (or 
may not be likely) to perform such post-repair evaluations. Despite the 
service information availability requirements we are promulgating--
requirements that manufacturers make all of their service and repair 
information available to all technicians, including the information 
necessary to exercise OBD monitors--technicians would still find it 
difficult to exercise monitors that require infrequently encountered 
engine operating conditions (e.g., abnormally steady constant speed 
operation for an extended period of time). Additionally, to execute OBD 
monitors in an expeditious manner or to execute monitors that would 
require unusual or infrequently encountered conditions, technicians may 
be required to operate the vehicle in an unsafe manner (e.g., at 
freeway speeds on residential streets or during heavy traffic). If 
unsuccessful in executing these monitors, technicians may even take 
shortcuts in attempting to validate the repair while maintaining a 
reasonable cost for customers. These shortcuts would likely not be as 
thorough in verifying repairs and could increase the chance that 
improperly repaired engines would be returned to the vehicle owner or 
additional repairs would be performed just to ensure the problem is 
fixed. In the end, monitors that operate less frequently can result in 
unnecessary costs and inconvenience to both vehicle owners and 
technicians.
1. Description of Software Counters To Track Real World Performance
    As stated above, manufacturers are required to track monitor 
performance by comparing the number of monitoring events (i.e., how 
often each monitor has run) to the number of driving events (i.e., how 
often has the vehicle been operated). Our final rule contains this 
requirement as did our proposal. In general, we have not changed the 
requirements associated with determination of this minimum performance 
ratio. However, we have made some minor changes.
    The first of these is the way in which the denominator of the ratio 
is determined for diesel engines. The ratio

[[Page 8328]]

of these two numbers would give an indication of how often the monitor 
is operating relative to vehicle operation. In equation form, this can 
be stated as:
[GRAPHIC] [TIFF OMITTED] TR24FE09.007

    Specifically, we have changed the denominator provisions which 
stated that the denominator would be incremented if, on a single key 
start, the following criteria were satisfied while ambient temperature 
remained above 20 degrees Fahrenheit and altitude remained below 8,000 
feet:
     Minimum engine run time of 10 minutes;
     Minimum of 5 minutes, cumulatively, of operation at 
vehicle speeds greater than 25 miles-per-hour for gasoline engines or 
calculated load greater than 15 percent for diesel engines; and
     At least one continuous idle for a minimum of 30 seconds 
encountered.
    For the final rule, the second bullet has been changed to read:
     Minimum of 5 minutes, cumulatively, of operation at 
vehicle speeds greater than 25 miles-per-hour for gasoline engines or 
engine speeds greater than 1,150 rotations per minute (RPM) for diesel 
engines. We are also allowing diesel engines to employ the gasoline 
criteria for the years 2010 through 2012 but not thereafter.\47\
---------------------------------------------------------------------------

    \47\ See Sec.  86.010-18(d)(4).
---------------------------------------------------------------------------

    We have made this change because we believe that the 1,150 RPM 
criterion is a better measure of work than the 15% load criterion. The 
purpose of the time at load (i.e., 5 minutes of engine load above 15%) 
was to have criteria that would represent that an engine had been doing 
work for at least 5 minutes (300 seconds). After consideration, we have 
decided that engine speed above 1,150 RPM for 5 minutes is a better 
measure of engine work.
2. Performance Tracking Requirements
a. In-Use Monitoring Performance Ratio Definition
    For monitors required to meet the in-use performance tracking 
requirements,\48\ we are requiring that the incrementing of numerators 
and denominators and the calculation of the in-use performance ratio be 
done in accordance with the following specifications. These 
specifications have not changed from the proposal.
---------------------------------------------------------------------------

    \48\ These monitors, as presented in section II.A.3 (also see 
86.010-18(e)(1)), are, for diesel engines: The NMHC catalyst, the 
CDPF system, the NOX adsorber system, the NOX 
converting catalyst system, and the boost system; and, for gasoline 
engines: The catalyst, the evaporative system, and the secondary air 
system; and, for all engines, the exhaust gas sensors, the EGR 
system, and the VVT system.
---------------------------------------------------------------------------

    The numerator(s) are defined as a measure of the number of times a 
vehicle has been operated such that all monitoring conditions necessary 
for a specific monitor to detect a malfunction have been encountered. 
Except for systems using alternative statistical MIL illumination 
protocols, the numerator is to be incremented by an integer of one. The 
numerator(s) may not be incremented more than once per drive cycle. The 
numerator(s) for a specific monitor would be incremented within 10 
seconds if and only if the following criteria are satisfied on a single 
drive cycle:
     Every monitoring condition necessary for the monitor of 
the specific component to detect a malfunction and store a pending DTC 
has been satisfied, including enable criteria, presence or absence of 
related DTCs, sufficient length of monitoring time, and diagnostic 
executive priority assignments (e.g., diagnostic ``A'' must execute 
prior to diagnostic ``B''). For the purpose of incrementing the 
numerator, satisfying all the monitoring conditions necessary for a 
monitor to determine that the component is passing may not, by itself, 
be sufficient to meet this criteria.
     For monitors that require multiple stages or events in a 
single drive cycle to detect a malfunction, every monitoring condition 
necessary for all events to have completed must be satisfied.
     For monitors that require intrusive operation of 
components to detect a malfunction, a manufacturer would be required to 
request Administrator approval of the strategy used to determine that, 
had a malfunction been present, the monitor would have detected the 
malfunction. Administrator approval of the request would be based on 
the equivalence of the strategy to actual intrusive operation and the 
ability of the strategy to determine accurately if every monitoring 
condition was satisfied as necessary for the intrusive event to occur.
     For the secondary air system monitor, the three criteria 
above are satisfied during normal operation of the secondary air 
system. Monitoring during intrusive operation of the secondary air 
system later in the same drive cycle solely for the purpose of 
monitoring may not, by itself, be sufficient to meet these criteria.
    The third bullet item above requires explanation. There may be 
monitors designed to use what could be termed a two stage or two step 
process. The first step is usually a passive and/or short evaluation 
that can be used to ``pass'' a properly working component where 
``pass'' refers to evaluating the component and determining that it is 
not malfunctioning. The second step is usually an intrusive and/or 
longer evaluation that is necessary to ``fail'' a malfunctioning 
component or ``pass'' a component nearing the point of failure. An 
example of such an approach might be an evaporative leak detection 
monitor that uses an intrusive vacuum pull-down/bleed-up evaluation 
during highway cruise conditions. If the evaporative system is sealed 
tight, the monitor ``passes'' and is done with testing for the given 
drive cycle. If the monitor senses a leak close to the required 
detection limit, the monitor does not ``pass'' and an internal flag is 
stored that will trigger the second stage of the test during the next 
cold start when a more accurate evaluation can be conducted. On the 
next cold start, provided the internal flag is set, an intrusive vacuum 
pull-down/bleed up monitor might be conducted during engine idle a very 
short time after the cold start. This second evaluation stage, being at 
idle and cold, gives a more accurate indication of the evaporative 
system's integrity and provides for a more accurate decision regarding 
the presence and size of a leak.
    In this example, the second stage of this monitor would run less 
frequently in real use than the first stage since it is activated only 
on those occasions where the first stage suggests that a leak may be 
present (which most cars will not have). The rate-based tracking 
requirements are meant to give a measure of how often a monitor could 
detect a malfunction. To know the right answer, we need to know how 
often the first stage is running and could ``fail'', thus triggering 
the second stage, and then how often the second stage is completing. If 
we track only the first stage, we would get a false indication of

[[Page 8329]]

how often the monitor could really detect a leak. But, if we track only 
the second stage, most cars would never increment the counter since 
most cars do not have leaks and would not trigger stage two.
    In considering this, we see two possible solutions: (1) Always 
activate the second stage evaluation in which case there would be an 
intrusive monitor being performed that does not really need to be 
performed; or, (2) implement a ``ghost'' monitor that pretends that the 
first stage evaluation triggers the second stage evaluation and then 
also looks for when the second stage evaluation could have completed 
had it been necessary. The third bullet item in the list above requires 
that, if a manufacturer intends to implement a two stage monitor and 
intends to implement such a ``ghost'' monitor as described here for 
rate based tracking, great care must be taken to ensure that it is 
being done correctly and properly.
    For monitors that can generate results in a ``gray zone'' or ``non-
detection zone'' (i.e., results that indicate neither a passing system 
nor a malfunctioning system) or in a ``non-decision zone'' (e.g., 
monitors that increment and decrement counters until a pass or fail 
threshold is reached), the manufacturer is responsible for incrementing 
the numerator appropriately. In general, the numerator should not be 
incremented when the monitor indicates a result in the ``non-detection 
zone'' or prior to the monitor reaching a decision. When necessary, the 
manufacturer will be expected to have data and/or engineering analyses 
demonstrating the expected frequency of results in the ``non-detection 
zone'' and the ability of the monitor to determine accurately, had an 
actual malfunction been present, whether or not the monitor would have 
detected a malfunction instead of a result in the ``non-detection 
zone.'' \49\
    For monitors that run or complete their evaluation with the engine 
off, the numerator must be incremented either within 10 seconds of the 
monitor completing its evaluation in the engine off state, or during 
the first 10 seconds of engine start on the subsequent drive cycle.
---------------------------------------------------------------------------

    \49\ See 86.010-18(d)(3)(iii).
---------------------------------------------------------------------------

    Manufacturers using alternative statistical MIL illumination 
protocols for any of the monitors that require a numerator would be 
required to increment the numerator(s) appropriately. The manufacturer 
may be required to provide supporting data and/or engineering analyses 
demonstrating both the equivalence of their incrementing approach to 
the incrementing specified above for monitors using the standard MIL 
illumination protocol, and the overall equivalence of their 
incrementing approach in determining that the minimum acceptable in-use 
performance ratio has been satisfied.
    Regarding the denominator(s), defined as a measure of the number of 
times a vehicle has been operated, we are requiring that it also be 
incremented by an integer of one.\50\ The denominator(s) may not be 
incremented more than once per drive cycle. The general denominator and 
the denominators for each monitor would be incremented within 10 
seconds if and only if the following criteria are satisfied on a single 
drive cycle during which ambient temperature remained at or above 20 
degrees Fahrenheit and altitude remained below 8,000 feet:
---------------------------------------------------------------------------

    \50\ See 86.010-18(d)(4) for details on the denominator.
---------------------------------------------------------------------------

     Cumulative time since the start of the drive cycle is 
greater than or equal to 600 seconds (10 minutes);
     Cumulative gasoline engine operation at or above 25 miles 
per hour or diesel engine operation at or above 1,150 RPM, either of 
which occurs for greater than or equal to 300 seconds (5 minutes); and
     Continuous engine operation at idle (e.g., accelerator 
pedal released by the driver, engine speed less than or equal to 200 
rpm above normal warmed-up idle or vehicle speed less than or equal to 
one mile per hour) for greater than or equal to 30 seconds.
    In addition to the requirements above, the evaporative system 
monitor denominator(s) must be incremented if and only if:
     Cumulative time since the start of the drive cycle is 
greater than or equal to 600 seconds (10 minutes) while at an ambient 
temperature of greater than or equal to 40 degrees Fahrenheit but less 
than or equal to 95 degrees Fahrenheit; and
     Engine cold start occurs with engine coolant temperature 
at engine start greater than or equal to 40 degrees Fahrenheit but less 
than or equal to 95 degrees Fahrenheit and less than or equal to 12 
degrees Fahrenheit higher than ambient temperature at engine start.
    In addition to the requirements above, the denominator(s) for the 
following monitors must be incremented if and only if the component or 
strategy is commanded ``on'' for a time greater than or equal to 10 
seconds:
     Gasoline secondary air system;
     Cold start emission reduction strategy;
     Components or systems that operate only at engine start-up 
(e.g., glow plugs, intake air heaters) and are subject to monitoring 
under ``other emission control systems'' or comprehensive component 
output components.
    For purposes of determining this commanded ``on'' time, the OBD 
system may not include time during intrusive operation of any of the 
components or strategies later in the same drive cycle solely for the 
purposes of monitoring.
    In addition to the requirements above, the denominator(s) for the 
monitors of the following output components (except those operated only 
at engine start-up as outlined above) must be incremented if and only 
if the component is commanded to function (e.g., commanded ``on'', 
``open'', ``closed'', ``locked'') two or more times during the drive 
cycle or for a time greater than or equal to 10 seconds, whichever 
occurs first:
     Variable valve timing and/or control system
     ``Other emission control systems''
     Comprehensive component (output component only, e.g., 
turbocharger waste-gates, variable length manifold runners)
    For monitors of the following components, the manufacturer may use 
alternative or additional criteria to that set forth above for 
incrementing the denominator. To do so, the manufacturer would need to 
be able to demonstrate that the criteria would be equivalent to the 
criteria outlined above at measuring the frequency of monitor operation 
relative to the amount of engine operation:
     Engine cooling system input components
     ``Other emission control systems''
     Comprehensive component input components that require 
extended monitoring evaluation (e.g., stuck fuel level sensor 
rationality), and temperature sensor rationality monitors
     DPF regeneration frequency
    For monitors of the following components or other emission controls 
that experience infrequent regeneration events, the manufacturer may 
use alternative or additional criteria to that set forth above for 
incrementing the denominator. To do so, the manufacturer would need to 
ensure that the criteria would be equivalent to the criteria outlined 
above at measuring the frequency of monitor operation relative to the 
amount of engine operation:
     NMHC converting catalysts
     Diesel particulate filters
    For hybrid engine systems, engines that employ alternative engine 
start hardware or strategies (e.g., integrated starter and generators), 
or alternative

[[Page 8330]]

fueled engines (e.g., dedicated, bi-fuel, or dual-fuel applications), 
the manufacturer may request Administrator approval to use alternative 
criteria to that set forth above for incrementing the denominator. In 
general, approval would not be given for alternative criteria that only 
employ engine shut off at or near idle/vehicle stationary conditions. 
Approval of the alternative criteria would be based on the equivalence 
of the alternative criteria at determining the amount of engine 
operation relative to the measure of conventional engine operation in 
accordance with the criteria above.
    The numerators and denominators may need to be disabled at some 
times.\51\ To do this, within 10 seconds of a malfunction being 
detected (i.e., a pending, MIL-on, or active DTC being stored) that 
disables a monitor required to meet the performance tracking 
requirements,\52\ the OBD system must disable further incrementing of 
the corresponding numerator and denominator for each monitor that is 
disabled. When the malfunction is no longer detected (e.g., the pending 
DTC is erased through self-clearing or through a scan tool command), 
incrementing of all corresponding numerators and denominators should 
resume within 10 seconds. Also, within 10 seconds of the start of a 
power takeoff unit (PTO) that disables a monitor required to meet the 
performance tracking requirements, the OBD system should disable 
further incrementing of the corresponding numerator and denominator for 
each monitor that is disabled. When the PTO operation ends, 
incrementing of all corresponding numerators and denominators should 
resume within 10 seconds. The OBD system must disable further 
incrementing of all numerators and denominators within 10 seconds if a 
malfunction has been detected in any component used to determine if: 
Vehicle speed/calculated load; ambient temperature; elevation; idle 
operation; engine cold start; or, time of operation has been satisfied, 
and the corresponding pending DTC has been stored. Incrementing of all 
numerators and denominators should resume within 10 seconds when the 
malfunction is no longer present (e.g., pending DTC erased through 
self-clearing or by a scan tool command).
---------------------------------------------------------------------------

    \51\ See 86.010-18(d)(5).
    \52\ These monitors, as presented in section II.A.3, are, for 
diesel engines: the NMHC catalyst, the CDPF system, the 
NOX adsorber system, the NOX converting 
catalyst system, and the boost system; and, for gasoline engines: 
the catalyst, the evaporative system, and the secondary air system; 
and, for all engines, the exhaust gas sensors, the EGR system, and 
the VVT system.
---------------------------------------------------------------------------

    The in-use performance monitoring ratio itself is defined as the 
numerator for the given monitor divided by the denominator for that 
monitor.
b. Standardized Tracking and Reporting of Monitor Performance
    Consistent with our proposal, we are requiring that the OBD system 
separately report an in-use monitor performance numerator and 
denominator for each of the following components: \53\
---------------------------------------------------------------------------

    \53\ See Sec.  86.010-18(e)(1).
---------------------------------------------------------------------------

     For diesel engines: NMHC catalyst bank 1, NMHC catalyst 
bank 2, NOX catalyst bank 1, NOX catalyst bank 2, 
exhaust gas sensor bank 1, exhaust gas sensor bank 2, EGR/VVT system, 
DPF system, turbo boost control system, and the NOX 
adsorber. The OBD system must also report a general denominator and an 
ignition cycle counter in the standardized format discussed below and 
in section II.F.5.
     For gasoline engines: catalyst bank 1, catalyst bank 2, 
oxygen sensor bank 1, oxygen sensor bank 2, evaporative leak detection 
system, EGR/VVT system, and secondary air system. The OBD system must 
also report a general denominator and an ignition cycle counter in the 
standardized format specified below and in section II.F.5.
    The OBD system will be required to report a separate numerator for 
each of the components listed in the above bullet lists. For specific 
components or systems that have multiple monitors that are required to 
be reported--e.g., exhaust gas sensor bank 1 may have multiple monitors 
for sensor response or other sensor characteristics--the OBD system 
should separately track numerators and denominators for each of the 
specific monitors and report only the corresponding numerator and 
denominator for the specific monitor that has the lowest numerical 
ratio. If two or more specific monitors have identical ratios, the 
corresponding numerator and denominator for the specific monitor that 
has the highest denominator should be reported for the specific 
component. The numerator(s) must be reported as discussed in section 
II.F.5.\54\
---------------------------------------------------------------------------

    \54\ See Sec.  86.010-18(e)(2).
---------------------------------------------------------------------------

    The OBD system will also be required to report a separate 
denominator for each of the components listed in the above bullet 
lists. The denominator(s) must be reported as discussed in section 
II.F.5.\55\
---------------------------------------------------------------------------

    \55\ See Sec.  86.010-18(e)(3).
---------------------------------------------------------------------------

    Similarly, for the in-use performance ratio, determining which 
corresponding numerator and denominator to report as required for 
specific components or systems that have multiple monitors that are 
required to be reported--e.g., exhaust gas sensor bank 1 may have 
multiple monitors for sensor response or other sensor characteristics--
the ratio should be calculated as discussed in section II.F.5.\56\
---------------------------------------------------------------------------

    \56\ See Sec.  86.010-18(e)(4).
---------------------------------------------------------------------------

    The ignition cycle counter is defined as a counter that indicates 
the number of ignition cycles a vehicle has experienced. The ignition 
cycle counter must also be reported as discussed in section II.F.5.\57\ 
The ignition cycle counter, when incremented, should be incremented by 
an integer of one. The ignition cycle counter may not be incremented 
more than once per ignition cycle. The ignition cycle counter should be 
incremented within 10 seconds if and only if the engine exceeds an 
engine speed of 50 to 150 rpm below the normal, warmed-up idle speed 
(as determined in the drive position for vehicles equipped with an 
automatic transmission) for at least two seconds plus or minus one 
second. The OBD system should disable further incrementing of the 
ignition cycle counter within 10 seconds if a malfunction has been 
detected in any component used to determine if engine speed or time of 
operation has been satisfied and the corresponding pending DTC has been 
stored. The ignition cycle counter may not be disabled from 
incrementing for any other condition. Incrementing of the ignition 
cycle counter should resume within 10 seconds after the malfunction is 
no longer present (e.g., pending DTC erased through self-clearing or by 
a scan tool command).
---------------------------------------------------------------------------

    \57\ See Sec.  86.010-18(e)(5).
---------------------------------------------------------------------------

F. Standardization Requirements

    Consistent with our proposal, the final regulation includes 
requirements for manufacturers to standardize certain features of the 
OBD system.\58\ Effective standardization assists all repair 
technicians in diagnosing and repairing malfunctions by providing equal 
access to essential repair information, and requires structuring the 
information in a common format from manufacturer to manufacturer. 
Additionally, the standardization will help to facilitate the potential 
use of OBD checks in heavy-duty inspection and maintenance programs.
---------------------------------------------------------------------------

    \58\ See Sec.  86.010-18(k).
---------------------------------------------------------------------------

    The features that will be standardized include:

[[Page 8331]]

     The diagnostic connector, the computer communication 
protocol (beginning in model year 2013 as we proposed);
     The hardware and software specifications for tools used by 
service technicians;
     The information communicated by the onboard computer and 
the methods for accessing that information;
     The numeric designation of the DTCs stored when a 
malfunction is detected; and
     The terminology used by manufacturers in their service 
manuals.
    Also consistent with our proposal, only a certain minimum set of 
emissions-related information must be made available through the 
standardized format, protocol, and connector. We are not limiting 
engine manufacturers as to what protocol they use for engine control, 
communication between onboard computers, or communication to 
manufacturer-specific scan tools or test equipment. Further, we are not 
prohibiting engine manufacturers from equipping the vehicle with 
additional diagnostic connectors or protocols as required by other 
suppliers or purchasers. For example, fleets that use data logging or 
other equipment that requires the use of SAE J1587 communication and 
connectors could still be installed and supported by the engine and 
vehicle manufacturers. The OBD rules only require that engine 
manufacturers also equip their vehicles with a specific connector and 
communication protocol that meet the standardized requirements to 
communicate a minimum set of emissions-related diagnostic, service and, 
potentially, inspection information.
1. Reference Documents
    We are requiring that OBD systems comply with the provisions laid 
out in certain Society of Automotive Engineers (SAE) and/or 
International Organization of Standards (ISO) documents that are 
incorporated by reference (IBR) into federal regulation. Details 
regarding these SAE and ISO documents can be found in Sec.  86.1(b) and 
in Sec.  86.010-18(k).
    Notably, we are requiring that OBD systems on engines placed in 
over 14,000 pound vehicles use either the SAE J1939 or the ISO 15765-
4:2005(E) communication protocols. Note that some manufacturers have 
expressed interest in the ISO 27145 standard. As of this writing, that 
standard is not available. Should it become available in time for model 
year 2013 and later implementation, we will consider allowing that 
standard and may issue a technical amendment, direct final rule, or 
proposed rule to address it.
2. Diagnostic Connector Requirements
    We have made no substantive changes relative to our proposal with 
respect to the diagnostic data link connector. The one change we have 
made is simply to allow the Administrator to approve alternative 
locations for the connector. We have made this change to accommodate 
certain applications such as buses in which the required location would 
not work well. Note that the requirements for model years 2013 and 
later now appear in Sec.  86.010-18 rather than Sec.  86.013-18 as in 
our proposal.\59\
---------------------------------------------------------------------------

    \59\ See proposed Sec. Sec.  86.010-18(k)(2) and 86.013-18(k)(2) 
and compare to final Sec.  86.010-18(k)(2).
---------------------------------------------------------------------------

3. Communications to a Scan Tool
    In light-duty OBD, manufacturers are allowed to use one of four 
protocols for communication between a generic scan tool and the 
vehicle's onboard computer. A generic scan tool automatically cycles 
through each of the allowable protocols until it hits upon the proper 
one with which to establish communication with the particular onboard 
computer. While this has generally worked successfully in the field, 
some communication problems have arisen.
    In an effort to address these problems, CARB has made recent 
changes to their light-duty OBDII regulation that require all light-
duty vehicle manufacturers to use only one communication protocol by 
the 2008 model year. In making these changes, CARB staff argued that 
their experience with standardization under the OBD II regulation 
showed that having a single set of standards used by all vehicles would 
be desirable. CARB staff argued that a single protocol offers a 
tremendous benefit to both scan tool designers and service technicians. 
Scan tool designers could focus on added feature content and could 
expend much less time and money validating basic functionality of their 
product on all the various permutations of protocol interpretations 
that are implemented. In turn, technicians would likely get a scan tool 
that works properly on all vehicles without the need for repeated 
software updates that incorporate ``work-arounds'' or other patches to 
fix bugs or adapt the tool to accommodate slight variances in how the 
multiple protocols interact with each other or are implemented by 
various manufacturers. Further, a single protocol should also be 
beneficial to fleet operators that use add-on equipment such as data 
loggers, and for vehicle manufacturers that integrate parts from 
various engine and component suppliers all of which must work together.
    Based on our similar experiences at the federal level with 
communication protocols giving rise to service and inspection/
maintenance program issues, we initially wanted to propose a single 
communication protocol for engines used in over 14,000 pound vehicles. 
However, the affected industry has been divided over which single 
protocol should be required and has strongly argued for more than one 
protocol to be allowed. Therefore, for vehicles with diesel engines, we 
proposed and are allowing manufacturers use either the standards set 
forth in SAE J1939, or those set forth in the 500 kbps baud rate 
version of ISO 15765. For vehicles with gasoline engines, we are 
requiring that manufacturers use the 500 kbps baud rate version of ISO 
15765.\60\ Manufacturers would be required to use only one standard to 
meet all the standardization requirements on a single vehicle; that is, 
a vehicle must use only one protocol for all OBD modules on the 
vehicle.
---------------------------------------------------------------------------

    \60\ See Sec.  86.010-18(k)(3).
---------------------------------------------------------------------------

    As noted above, some manufacturers have expressed interest in the 
ISO 27145 standard. That standard is being developed as part of the 
Worldwide Harmonized Heavy-duty OBD global technical regulation (WWH-
OBD).\61\ As of this writing, that ISO standard is not available. 
Should it become available in time for model year 2013 and later 
implementation, we will consider allowing that standard and may issue a 
technical amendment, direct final rule, or proposed rule to address it.
---------------------------------------------------------------------------

    \61\ Global Technical Regulation Number 5: Technical 
Requirements for On-board Diagnostic Systems for Road Vehicles; ECE/
TRANS/180/Add.5; 23 January 2007, see http://www.unece.org/trans/main/wp29/wp29wgs/wp29gen/wp29glob_registry.html.
---------------------------------------------------------------------------

4. Required Emissions Related Functions
    We have made only a few changes in the final rule relative to our 
proposal. We believe that all of these changes are minor and serve to 
ease the burden on manufacturers without sacrificing our OBD program. 
The first change is that made to the permanent DTC erasure 
provisions.\62\ The final provisions provide more clarity and 
flexibility to manufacturers in cases where stored DTC information has 
been erased via scan tool or battery disconnect. These changes are 
consistent with changes made to CARB's OBDII regulation in 2007 and 
changes we believe CARB will make when revising their HDOBD regulation 
(expected in 2009).
---------------------------------------------------------------------------

    \62\ See proposed Sec.  86.010-18(b)(3)(iii) and compare to the 
final Sec.  86.010-18(b)(3)(iii).

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

[[Page 8332]]

    We have also made a slight change to the definition of idle where 
we require that the OBD system track engine run-time and track the 
amount of time operating in idle mode. The provision removes the phrase 
``vehicle speed less than 1 mph'' and replaces it with ``engine speed 
less than or equal to 200 rpm above normal warmed-up idle or vehicle 
speed less than 1 mph.'' We have made this change to be consistent with 
industry request, and because we believe it does not sacrifice our 
intent in any way.\63\
---------------------------------------------------------------------------

    \63\ See proposed Sec.  86.010-18(k)(6)(i)(B) and compare to 
final Sec.  86.010-18(k)(6)(i)(B).
---------------------------------------------------------------------------

    We have also made minor changes to the CAL ID and CVN 
requirements.\64\ These changes allow for multiple CAL IDs per 
diagnostic or emission critical control unit. Our proposal allowed for 
only one. We would prefer that there be only one for the sake of 
minimizing confusion. Manufacturers would be required to get 
Administrator approval to use multiple CAL IDs and would also be 
required to communicate these to the scan tool in order of priority 
which should minimize if not eliminate possible confusion. We have made 
a corresponding change to the CVN requirements for systems using the 
multiple CAL ID provision.
---------------------------------------------------------------------------

    \64\ See proposed Sec.  86.010-18(k)(4)(vi) and (k)(4)(vii)(A) 
and compare to final Sec.  86.010-18(k)(4)(vi) and (k)(4)(vii)(A).
---------------------------------------------------------------------------

5. In-Use Performance Ratio Tracking Requirements
    To separately report an in-use performance ratio for each 
applicable monitor as discussed in sections II.B through II.D, we 
proposed that manufacturers be required to implement software 
algorithms to report a numerator and denominator in a standardized 
format. We have made no changes to those requirements in the final 
rule, with the exception of the minor change to the definition of idle 
from ``vehicle speed less than one mile per hour'' to ``engine speed 
less than or equal to 200 rpm above normal warmed-up idle and vehicle 
speed less than or equal to one mile per hour.'' \65\
---------------------------------------------------------------------------

    \65\ See final Sec. Sec.  86.010-18(k)(5) and 86.010-18(k)(6).
---------------------------------------------------------------------------

6. Exceptions to Standardization Requirements
    For alternative-fueled engines derived from a diesel-cycle engine, 
we are allowing the standardized requirements discussed in this section 
that are applicable to diesel engines rather than meeting the 
requirements applicable to gasoline engines.

G. Implementation Schedule, In-Use Liability, and In-Use Enforcement

1. Implementation Schedule and In-Use Liability Provisions
    Table II.G-1 summarizes the implementation schedule for the OBD 
monitoring requirements, the certification requirements, and the in-use 
liabilities. This implementation schedule is identical to the proposed 
schedule. More detail regarding the implementation schedule and 
liabilities can be found in the sections that follow.

 Table II.G-1--OBD Certification Requirements and In-Use Liability for Diesel Fueled and Gasoline Fueled Engines
                                               Over 14,000 Pounds
----------------------------------------------------------------------------------------------------------------
         Model year                 Applicability          Certification requirement       In-use liability
----------------------------------------------------------------------------------------------------------------
2010-2012..................  Parent rating within 1       Full liability to           Full liability to 2x
                              compliant engine             thresholds according to     thresholds.\c\
                              family.\a\                   certification
                                                           demonstration
                                                           procedures.\b\
                             Child ratings within the     Certification               Liability to monitor and
                              compliant engine family.     documentation only (i.e.,   detect as noted in
                                                           no certification            certification
                                                           demonstration); no          documentation.
                                                           liability to thresholds.
                             All other engine families    None......................  None.
                              and ratings.
2013-2015..................  Parent rating from 2010-     Full liability to           Full liability to 2x
                              2012 and parent rating       thresholds according to     thresholds.
                              within 1-2 additional        certification
                              engine families.             demonstration procedures.
                             Child ratings from 2010-     Full liability to           Full liability to 2x
                              2012 and parent ratings      thresholds but              thresholds.
                              from any remaining engine    certification
                              families or OBD groups.\d\   documentation only.
                             Additional engine ratings..  Certification               Liability to monitor and
                                                           documentation only; no      detect as noted in
                                                           liability to thresholds.    certification
                                                                                       documentation.
2016-2018..................  One rating from 1-3 engine   Full liability to           Full liability to
                              families and/or OBD groups.  thresholds according to     thresholds.
                                                           certification
                                                           demonstration procedures.
                             Remaining ratings..........  Full liability to           Full liability to 2x
                                                           thresholds but              thresholds.
                                                           certification
                                                           documentation only.
2019+......................  One rating from 1-3 engine   Full liability to           Full liability to
                              families and/or OBD groups.  thresholds according to     thresholds.
                                                           certification
                                                           demonstration procedures.
                             Remaining ratings..........  Full liability to           Full liability to
                                                           thresholds but              thresholds.
                                                           certification
                                                           documentation only.
----------------------------------------------------------------------------------------------------------------
Notes: (a) Parent and child ratings are defined in section II.G; which rating(s) serves as the parent rating and
  which engine families must comply is not left to the manufacturer, as discussed in section II.G. (b) The
  certification demonstration procedures and the certification documentation requirements are discussed in
  section VII. (c) Where in-use liability to thresholds and 2x thresholds is noted, manufacturer liability to
  monitor and detect as noted in their certification documentation is implied. (d) OBD groups are groupings of
  engine families that use similar OBD strategies and/or similar emissions control systems, as described in the
  text.

    As we proposed, for the 2010 through 2012 model years, 
manufacturers are required to implement OBD on one engine family. All 
other 2010 through 2012 engine families are not subject to any OBD 
requirements unless otherwise required to do so (e.g., to demonstrate 
that SCR equipped vehicles will not be operated without urea). For 
2013, manufacturers are required to implement OBD on all engine 
families.
    We are setting this implementation schedule for several reasons. 
First, industry has made credible arguments that their resources are 
stretched to the limit developing and testing strategies for compliance 
with the 2007/2010 heavy-duty highway emissions standards. We do not 
want to jeopardize their success toward that goal by being too 
aggressive with our OBD program.

[[Page 8333]]

Second, OBD is a complex and difficult regulation with which to comply. 
We believe that our implementation schedule would give industry the 
opportunity to introduce OBD systems on a limited number of engines 
giving them and us very valuable learning experience. Should mistakes 
or errors in regulatory interpretation occur, the ramifications would 
be limited to only a subset of the new vehicle fleet rather than the 
entire new vehicle fleet. Lastly, the OBD requirements and the 
production vehicle evaluation provisions (discussed in Section VII), 
reflect 10 to 20 years of learning by EPA, CARB, and industry 
(primarily the light-duty gasoline industry) as to what works and what 
does not work. This is, perhaps, especially true for those OBD elements 
that involve the interface between the OBD system and service and I/M 
inspection personnel. Gasoline manufacturers have had the ability to 
evolve their OBD systems along with this learning process. However, 
diesel engine manufacturers have not really been involved in this 
learning process and, as a result, 100 percent implementation in 2010 
would be analogous to implementing 10 to 20 years of OBD learning in 
one implementation step. We believe that implementing slowly rather 
than one big step will benefit everyone involved.
    Table II.G-1 makes reference to ``parent'' and ``child'' ratings. 
In general, engine manufacturers certify an engine family that consists 
of several ratings having slightly different horsepower and/or torque 
characteristics but no differences large enough to require a different 
engine family designation. For emissions certification, the parent 
rating--i.e., the rating for which emissions data are submitted to EPA 
for the purpose of demonstrating emissions compliance--is defined as 
the ``worst case'' rating. This worst case rating is the rating 
considered as having the worst emissions performance and, therefore, 
its compliance demonstrates that all other ratings within the family 
must comply. For OBD purposes, we want to limit the burden on 
industry--hence the requirement for only one compliant engine family in 
2010--yet maximize the impact of the OBD system. Therefore, for model 
years 2010 through 2012, we are defining the OBD parent rating as the 
rating having the highest weighted projected sales within the engine 
family having the highest weighted projected sales, with sales being 
weighted by the useful life of the engine rating. We have added a new 
provision that allows the Administrator to approve an alternative 
rating as the parent rating than that described by this text and this 
represents a slight departure from the proposal.\66\ Table II.G-2 
presents a hypothetical example for how this would work absent 
Administrator approval to do otherwise. Using this approach, the OBD 
compliant engine family in 2010 would be the engine family projected to 
produce the most in-use emissions (based on sales weighted by expected 
miles driven). Likewise, the fully liable parent OBD rating would be 
the rating within that family projected to produce the most in-use 
emissions.
---------------------------------------------------------------------------

    \66\ See Sec.  86.010-18(o)(1)(i) and (o)(2)(ii)(B) to see this 
new provision.

                             Table II.G-2--Hypothetical Example of How the OBD Parent and Child Ratings Would Be Determined
 
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                          OBD weighting-- OBD weighting--
                                                                                             Projected       Certified     engine rating   engine family
                       OBD group                          Engine family       Rating           sales        useful life   \a\ (billions)  \b\ (billions)
 
--------------------------------------------------------------------------------------------------------------------------------------------------------
I......................................................               A                1          10,000         285,000            2.85           14.25
                                                                                       2          40,000         285,000           11.4   ..............
                                                                      B                1          10,000         435,000            4.35           21.60
                                                                                       2          20,000         435,000            8.70  ..............
                                                                                       3          30,000         285,000            8.55  ..............
II.....................................................                C               1          20,000         110,000            2.20            7.70
                                                                                       2          50,000         110,000            5.50  ..............
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes: (a) For engine family A, rating 1, 10,000 x 285,000/1 billion = 2.85. (b) For engine family A, 2.85 + 11.4 = 14.25.

    In the example shown in Table II.G-2, the compliant engine family 
in 2010 would be engine family B and the parent OBD rating within that 
family would be rating 2. The other OBD compliant ratings within engine 
family B would be dubbed the ``child'' ratings. For model years 2013 
through 2015, the parent ratings would be those ratings having the 
highest weighted projected sales within each of the one to three engine 
families having the highest weighted projected sales, with sales being 
weighted by the useful life of the engine rating. In the example shown 
in Table II.G-2, the parent ratings would be rating 2 of engine family 
A, rating 2 of engine family B, and rating 2 of engine family C (Note 
that this is only for illustration purposes since the regulations would 
not require that a manufacturer with only three engine families have 
three parent ratings and instead would require only one).
    The manufacturer does not need to submit test data demonstrating 
compliance with the emissions thresholds for the child ratings. We 
would fully expect these child ratings to use OBD calibrations--i.e., 
malfunction trigger points--that are identical or nearly so to those 
used on the parent rating. However, we would allow manufacturers to 
revise the calibrations on their child ratings where necessary so as to 
avoid unnecessary or inappropriate MIL illumination. Such revisions to 
OBD calibrations have been termed ``extrapolated'' OBD calibrations 
and/or systems. The revisions to the calibrations on child ratings and 
the rationale for them will need to be very clearly described in the 
certification documentation.
    For the 2013 and later model years, we are requiring that 
manufacturers certify one to three parent ratings. The actual number of 
parent ratings would depend upon the manufacturer's fleet and would be 
based on both the emissions control system architectures present in 
their fleet and the similarities/differences of the engine families in 
their fleet. For example, a manufacturer that uses a DPF with 
NOX adsorber on each of the engines would have only one 
system architecture. Another manufacturer that uses a DPF with 
NOX adsorber on some engines and a DPF with SCR on others 
would have

[[Page 8334]]

at least two architectures. We expect that manufacturers will group 
similar architectures and similar engine families into so called ``OBD 
groups.'' These OBD groups would consist of a combination of engines, 
engine families, or engine ratings that use the same OBD strategies and 
similar calibrations. The manufacturer will be required to submit 
details regarding their OBD groups as part of their certification 
documentation that shows the engine families and engine ratings within 
each OBD group for the coming model year. While a manufacturer may end 
up with more than three OBD groups, we do not intend to require a 
parent rating for more than three OBD groups. Therefore, in the example 
shown in Table II.G-2, rather than submitting test data for the three 
parent ratings as suggested above, the OBD grouping would result in the 
parent ratings being rating 2 of engine family B and rating 2 of engine 
family C. These parents would represent OBD groups I and II, and the 
manufacturer's product line. For 2013 through 2015, we will allow the 
2010 parent to again act as a parent rating and, provided no 
significant changes had been made to the engine or its emissions 
control system, complete carryover would be possible. However, for 
model years 2016 and beyond, we would work closely with CARB staff and 
the manufacturer to determine the parent ratings so that the same 
ratings are not acting as the parents every year. In other words, our 
definitions for the OBD parent ratings as discussed here apply only 
during the years 2010 through 2012 and again for the years 2013 through 
2015.
    Also consistent with our proposal are the relaxations for in-use 
liability during the 2010 through 2018 model years. The first such 
relaxation is higher interim in-use compliance standards for those OBD 
monitors calibrated to specific emissions thresholds. For the 2010 
through 2015 model years, an OBD monitor on an in-use engine will not 
be considered non-compliant (i.e., subject to enforcement action) 
unless emissions exceed twice the OBD threshold without detection of a 
malfunction. For example, for an EGR monitor on an engine with a 
NOX FEL of 0.2 g/bhp-hr and an OBD threshold of 0.5 g/bhp-hr 
(i.e., the NOX FEL+0.3), a manufacturer would not be subject 
to enforcement action unless emissions exceed 1.0 g/bhp-hr 
NOX without a malfunction being detected. For the model 
years 2016 through 2018, parent ratings will be liable to the 
certification emissions thresholds, but child ratings and other ratings 
would be liable to twice the certification thresholds. Beginning in the 
2019 model year, all families and all ratings would be liable to the 
certification thresholds.
    The second in-use relaxation is a limitation in the number of 
engines that will be liable for in-use compliance with the OBD 
emissions thresholds. Consistent with our proposal, for 2010 through 
2012, we are requiring that manufacturers be fully liable in-use to 
twice the thresholds for only the OBD parent rating. The child ratings 
within the compliant engine family would have liability for monitoring 
in the manner described in the certification documentation, but would 
not have liability for detecting a malfunction at the specified 
emissions thresholds. For example, a child rating's DPF monitor 
designed to operate under conditions X, Y, and Z and calibrated to 
detect a backpressure within the range A to B would be expected to do 
exactly that during in-use operation. However, if the tailpipe 
emissions of the child engine were to exceed the applicable OBD in-use 
thresholds (i.e., 2x the certification thresholds during 2010-2015), 
despite having a backpressure within range A to B under conditions X, 
Y, and Z, there would be no in-use OBD failure nor cause for 
enforcement action. In fact, we would expect the OBD monitor to 
determine that the DPF was functioning properly since its backpressure 
was in the acceptable range. For model years 2013 through 2015, this 
same in-use relaxation will apply to those engine families that do not 
lie within an engine family for which a parent rating has been 
certified. For 2016 and later model years, all engines will have some 
in-use liability to thresholds, either the certification thresholds or 
twice those thresholds.
    These in-use relaxations are meant to provide ample time for 
manufacturers to gain experience without an excessive level of risk for 
mistakes. They also allow manufacturers to fine-tune their calibration 
techniques over a six to ten year period.
    We are also requiring a specific implementation schedule for the 
standardization requirements discussed in section II.F. We initially 
intended to require that any compliant OBD engine family would be 
required to implement all of the standardization requirements. However, 
we became concerned that, during model years 2010 through 2012, we 
could have a situation where OBD compliant engines from manufacturer A 
might be competing against non-OBD engines from manufacturer B for 
sales in the same truck. In such a case, the truck builder would be 
placed in a difficult position of needing to design their truck to 
accommodate OBD compliant engines--along with a standardized MIL, a 
specific diagnostic connector location specification, etc.--and non-OBD 
engines. After consideration of this almost certain outcome, we decided 
to limit the standardization requirements that must be met during the 
2010 through 2012 model years. Beginning in 2013, all engines will be 
OBD compliant and this would become a moot issue. Table II.G-3 shows 
the implementation schedule for standardization requirements.

  Table II.G-3--OBD Standardization Requirements for Diesel Fueled and
               Gasoline Fueled Engines Over 14,000 Pounds
------------------------------------------------------------------------
                                            Required          Waived
      Model year        Applicability   standardization  standardization
                                            features         features
------------------------------------------------------------------------
2010-2012............  Parent and       Emissions        Standardized
                        Child ratings    related          connector
                        within 1         functions        (II.F.2).
                        compliant        (II.F.4)         Dedicated
                        engine family    except for the   (i.e.,
                        \a\.             requirement to   regulated OBD-
                                         make the data    only) MIL.
                                         available in a   Communication
                                         standardized     protocols
                                         format or in     (II.F.3).
                                         accordance       Emissions
                                         with SAE J1979/  related
                                         1939             functions
                                         specifications   (II.F.4) with
                                         . MIL            respect to the
                                         activation and   requirement to
                                         deactivation.\   make the data
                                         b\ Performance   available in a
                                         tracking--calc   standardized
                                         ulation of       format or in
                                         numerators,      accordance
                                         denominators,    with SAE J1979/
                                         ratios.          1939
                                                          specifications
                                                          .
                       Other engine     None...........  All.
                        families.
2013+................  All engine       All............  None.
                        families and
                        ratings.
------------------------------------------------------------------------
Notes: \a\ Parent and child ratings are defined in section II.G; which
  rating serves as the parent rating and which engine families must
  comply is not left to the manufacturer, as discussed in section II.G.
  \b\ There would be no requirement for a dedicated MIL and no
  requirement to use a specific MIL symbol, only that a MIL be used and
  that it use the specified activation/deactivation logic.


[[Page 8335]]

2. In-Use Enforcement
    When conducting our in-use enforcement investigations into OBD 
systems, we intend to use all tools we have available to analyze the 
effectiveness and compliance of the system. These tools may include on-
vehicle emission testing systems such as the portable emissions 
measurement systems (PEMS). We may also use scan tools and data loggers 
to analyze the data stream information to compare real world operation 
to the documentation provided at certification.
    Importantly, we do not intend to pursue enforcement action against 
a manufacturer for not detecting a failure mode that could not have 
been reasonably predicted or otherwise detected using monitoring 
methods known at the time of certification. For example, we are 
imposing a challenging set of requirements for monitoring of DPF 
systems. As of today, engine manufacturers are reasonably confident in 
their ability to detect certain DPF failure modes at or near the final 
thresholds--e.g., a leaking DPF resulting from a cracked substrate--but 
are not confident in their ability to detect some other DPF failure 
modes--e.g., a leaking DPF resulting from a partially melted substrate. 
If a partially melted substrate indeed cannot be detected and this is 
known during the certification process, we cannot expect such a failure 
to be detected on an in-use vehicle.\67\ This provision is consistent 
with our proposal.
---------------------------------------------------------------------------

    \67\ See, for example, Sec.  86.010-18(p)(1)(iv).
---------------------------------------------------------------------------

    We also want to make it clear who would be the responsible party 
should we pursue any in-use enforcement action with respect to OBD. We 
are very familiar with the heavy-duty industry and its tendency toward 
separate engine and component suppliers. This contrasts with the light-
duty industry which tends toward a more vertically integrated 
structure. The non-vertically integrated nature of the heavy-duty 
industry can present unique difficulties for OBD implementation and for 
OBD enforcement. With the complexity of OBD systems, especially those 
meeting today's requirements, we expect the interactions between the 
various parties involved--engine manufacturer, transmission 
manufacturer, vehicle manufacturer, etc.--to be further complicated. 
Nonetheless, in the end the vast majority of the OBD requirements apply 
directly to the engine and its associated emission controls, and the 
engine manufacturer will have complete responsibility to ensure that 
the OBD system performs properly in-use. Given the central role the 
engine and engine control unit plays in the OBD system, we are 
requiring that the party certifying the engine and OBD system 
(typically, the engine manufacturer) be the responsible party for in-
use compliance and enforcement actions. In this role, the certifying 
party will be our sole point of contact for potential noncompliances 
identified during in-use or enforcement testing. We will leave it to 
the engine manufacturer to determine the ultimate party responsible for 
the potential noncompliance (e.g., the engine manufacturer, the vehicle 
manufacturer, or some other supplier). In cases where remedial action 
such as an engine recall would be required, the certifying party would 
take on the responsibility of arranging to bring the engines or OBD 
systems back into compliance. Given that heavy-duty engines are already 
subject to various emission requirements including engine emission 
standards, labels, and certification, engine manufacturers currently 
impose restrictions via signed agreements with engine purchasers to 
ensure that their engines do not deviate from their certified 
configuration when installed. We expect the OBD system's installation 
to be part of such agreements in the future.

H. Changes to the Existing 8,500 to 14,000 Pound Diesel OBD 
Requirements

    We are also making final certain changes to our OBD requirements 
for diesel engines used in heavy-duty vehicles under 14,000 pounds (see 
40 CFR 86.007-17 for engine-based requirements and 40 CFR 86.1806-05 
for vehicle or chassis-based requirements). Table II.H-1 summarizes the 
changes to under 14,000 pound heavy-duty diesel vehicle emissions 
thresholds at which point a component or system has failed to the point 
of requiring an illuminated MIL and a stored DTC. Table II.H-2 
summarizes the changes for diesel engines used in heavy-duty 
applications under 14,000 pounds. The changes are meant to maintain 
consistency with the diesel OBD requirements for over 14,000 pound 
applications.

   Table II.H-1--New and/or Changes to Existing, Emissions Thresholds for Diesel Fueled CI Heavy-Duty Vehicles
                                           Under 14,000 Pounds (g/mi)
----------------------------------------------------------------------------------------------------------------
               Component/monitor                      MY          NMHC          CO          NOX           PM
----------------------------------------------------------------------------------------------------------------
NMHC catalyst system...........................    2010-2012         2.5x  ...........  ...........  ...........
                                                       2013+           2x  ...........  ...........  ...........
NOX catalyst system............................    2007-2009  ...........  ...........           4x  ...........
                                                   2010-2012  ...........  ...........         +0.6  ...........
                                                       2013+  ...........  ...........         +0.3  ...........
DPF system.....................................    2010-2012  ...........  ...........  ...........           4x
                                                       2013+  ...........  ...........  ...........        +0.04
Air-fuel ratio sensors upstream................    2007-2009         2.5x         2.5x           3x           4x
                                                   2010-2012         2.5x         2.5x         +0.3        +0.02
                                                       2013+           2x           2x         +0.3        +0.02
Air-fuel ratio sensors downstream..............    2007-2009         2.5x  ...........           3x           4x
                                                   2010-2012         2.5x  ...........         +0.3           4x
                                                       2013+           2x  ...........         +0.3        +0.04
NOX sensors....................................    2007-2009  ...........  ...........           4x           5x
                                                   2010-2012  ...........  ...........         +0.6           4x
                                                       2013+  ...........  ...........         +0.3        +0.04
``Other monitors'' with emissions thresholds...    2007-2009         2.5x         2.5x           3x           4x
                                                   2010-2012         2.5x         2.5x         +0.3           4x
                                                       2013+           2x           2x         +0.3       +0.02
----------------------------------------------------------------------------------------------------------------
Notes: MY=Model Year; 2.5x means a multiple of 2.5 times the applicable emissions standard; +0.3 means the
  standard plus 0.3; not all monitors have emissions thresholds but instead rely on functionality and
  rationality checks as described in section II.D.4.


[[Page 8336]]


 Table II.H-2--New and/or Changes to Existing, Emissions Thresholds for Diesel Fueled CI Engines Used in Heavy-
                                  Duty Vehicles Under 14,000 Pounds (g/bhp-hr)
----------------------------------------------------------------------------------------------------------------
         Component/monitor               MY        Std/FEL        NMHC          CO          NOX           PM
----------------------------------------------------------------------------------------------------------------
NMHC catalyst system..............    2010-2012          All         2.5x  ...........  ...........  ...........
                                          2013+          All           2x  ...........  ...........  ...........
NOX catalyst system...............    2007-2009     >0.5 NOX  ...........  ...........        1.75x  ...........
                                      2007-2009    <=0.5 NOX  ...........  ...........         +0.6  ...........
                                      2010-2012          All  ...........  ...........         +0.6  ...........
                                          2013+          All  ...........  ...........         +0.3  ...........
DPF system........................    2010-2012          All  ...........  ...........  ...........   0.05/+0.04
                                          2013+          All  ...........  ...........  ...........   0.05/+0.04
Air-fuel ratio sensors upstream...    2007-2009     >0.5 NOX         2.5x         2.5x        1.75x   0.05/+0.04
                                      2007-2009    <=0.5 NOX         2.5x         2.5x         +0.5   0.05/+0.04
                                      2010-2012          All         2.5x         2.5x         +0.3   0.03/+0.02
                                          2013+          All           2x           2x         +0.3   0.03/+0.02
Air-fuel ratio sensors downstream.    2007-2009     >0.5 NOX         2.5x  ...........        1.75x   0.05/+0.04
                                      2007-2009    <=0.5 NOX         2.5x  ...........         +0.5   0.05/+0.04
                                      2010-2012          All         2.5x  ...........         +0.3   0.05/+0.04
                                          2013+          All           2x  ...........         +0.3   0.05/+0.04
NOX sensors.......................    2007-2009     >0.5 NOX  ...........  ...........        1.75x   0.05/+0.04
                                      2007-2009    <=0.5 NOX  ...........  ...........         +0.6   0.05/+0.04
                                      2010-2012          All  ...........  ...........         +0.6   0.05/+0.04
                                          2013+          All  ...........  ...........         +0.3   0.05/+0.04
``Other monitors'' with emissions     2007-2009     >0.5 NOX         2.5x         2.5x        1.75x   0.05/+0.04
 thresholds.......................
                                      2007-2009    <=0.5 NOX         2.5x         2.5x         +0.5   0.05/+0.04
                                      2010-2012          All         2.5x         2.5x         +0.3   0.03/+0.02
                                          2013+          All           2x           2x         +0.3  0.03/+0.02
----------------------------------------------------------------------------------------------------------------
Notes: MY=Model Year; 2.5x means a multiple of 2.5 times the applicable emissions standard or family emissions
  limit (FEL); +0.3 means the standard or FEL plus 0.3; 0.05/+0.04 means an absolute level of 0.05 or an
  additive level of the standard or FEL plus 0.04, whichever level is higher; not all monitors have emissions
  thresholds but instead rely on functionality and rationality checks as described in section II.D.4.

1. NOX Aftertreatment Monitoring
    We are requiring that the 8,500 to 14,000 pound NOX 
aftertreatment monitoring requirements mirror those for engines used in 
vehicles over 14,000 pounds. The current regulations require detection 
of a NOX catalyst malfunction before emissions exceed 1.5x 
the emissions standards. We do not believe that such a tight threshold 
level is appropriate for diesel SCR and lean NOX catalyst 
systems. The final thresholds are less stringent than proposed until 
the 2013 model year where they are consistent with our proposal. We 
have made the thresholds less stringent for the same reasons as 
discussed in section II.B. The required monitoring conditions with 
respect to performance tracking (discussed in section II.B.6.c) would 
not apply for under 14,000 pound heavy-duty applications since we do 
not have performance tracking requirements for under 14,000 pound 
applications. We are proposing this change for the 2007 model year.
2. Diesel Particulate Filter System Monitoring
    We are requiring that the 8,500 to 14,000 pound DPF monitoring 
requirements mirror those discussed in section II.B.8. Our current 
regulations require detection of a catastrophic failure only. The 
proposed monitoring requirements contained emissions thresholds like 
those proposed for over 14,000 pound OBD. The final PM thresholds 
remain unchanged from the proposal. We have eliminated the proposed 
NMHC thresholds for the same reasons we have eliminated the requirement 
to monitor NMHC conversion of the DPF in the over 14,000 pound 
applications. The required monitoring conditions with respect to 
performance tracking (discussed in section II.B.8.c) would not apply 
for under 14,000 pound heavy-duty applications since we do not have 
performance tracking requirements for under 14,000 pound applications. 
We are requiring no new DPF monitoring requirements in the 2007 to 2009 
model years because there is not sufficient lead time for manufacturers 
to develop a new monitor. The new, more stringent monitoring 
requirements would begin in the 2010 model year. Also, for 2010 through 
2012, we are providing the option to monitor and detect a decrease in 
the expected pressure drop across the DPF, consistent with the 
provisions for over 14,000 pound applications. This option is being 
made available only to the engine certified systems since the 
requirement is based on the engine certification procedure.
3. NMHC Converting Catalyst Monitoring
    The final requirements for NMHC converting catalyst monitoring are 
identical to those we proposed. However, we have added the option to 
monitor the ability of the NMHC catalyst to generate a 100 degree C 
temperature rise, or to reach the necessary regeneration temperature, 
within 60 seconds of initiating a regeneration event. We have added 
other criteria for this optional monitoring approach to ensure that the 
necessary regeneration temperature is being sustained and that the 
regeneration attempt be aborted should the regeneration temperature not 
be reached or sustained properly. This makes the 8,500 to 14,000 pound 
provisions consistent with the over 14,000 pound provisions.
4. Other Monitors
    The final requirements for ``other monitors'' are identical to 
those we proposed, except that we have revised the NOX 
sensor monitor NOX threshold to +0.6 to be consistent with 
changes made for other monitors discussed above.
5. CARB OBDII Compliance Option and Deficiencies
    We are also making final the proposed changes to our deficiency 
provisions for vehicles and engines meant for vehicles under 14,000 
pounds. We have included specific mention of air-fuel ratio sensors and 
NOX sensors where we had long referred only to oxygen 
sensors. We

[[Page 8337]]

have also updated the referenced CARB OBDII document that can be used 
to satisfy the federal OBD requirements.\68\
---------------------------------------------------------------------------

    \68\ See 13 CCR 1968.2, approved November 9, 2007, Docket 
ID EPA-HQ-OAR-2005-0047-0045.
---------------------------------------------------------------------------

III. How Have the Service Information Availability Requirements Changed 
for This Final Rule?

A. What is the Important Background Information for the Provision Being 
Finalized for Service Information Availability?

    Section 202(m)(5) of the CAA directs EPA to promulgate regulations 
requiring OEMs to provide to:

    Any person engaged in the repairing or servicing of motor 
vehicles or motor vehicle engines, and the Administrator for use by 
any such persons, * * * any and all information needed to make use 
of the [vehicle's] emission control diagnostic system * * * and such 
other information including instructions for making emission-related 
diagnoses and repairs.

Such regulations are subject to the requirements of section 208(c) 
regarding protection of trade secrets; however, no such information may 
be withheld under section 208(c) if that information is provided 
(directly or indirectly) by the manufacturer to its franchised dealers 
or other persons engaged in the repair, diagnosing or servicing of 
motor vehicles.
    On June 27, 2003 EPA published a final rulemaking (68 FR 38428) 
which set forth the Agency's service information regulations for light- 
and heavy-duty vehicles and engines below 14,000 pounds GVWR. These 
regulations, in part, required each covered Original Equipment 
Manufacturer (OEM) to do the following: (1) OEMs must make full text 
emissions-related service information available via the World Wide Web. 
(2) OEMs must provide equipment and tool companies with information 
that allows them to develop pass-through recalibration tools. (3) OEMs 
must make available enhanced diagnostic information to equipment and 
tool manufacturers and to make available OEM-specific diagnostic tools 
for sale. These requirements were finalized to ensure that aftermarket 
service and repair facilities have access to the same emission-related 
service information, in the same or similar manner, as that provided by 
OEMs to their franchised dealerships.
    In the NPRM, we proposed several provisions related to the 
availability of service information. We proposed to require that each 
heavy-duty Original Equipment Manufacturer (OEM) do the following: (1) 
Make full text emissions-related service information available via the 
World Wide Web; (2) provide equipment and tool companies with 
information that allows them to develop pass-through reprogramming 
tools; (3) make available enhanced diagnostic information to equipment 
and tool manufacturers and to make available OEM-specific diagnostic 
tools for sale; (4) make available emissions-related training 
information. EPA has carefully considered the comments we have received 
on our proposed requirements. The service information provisions 
finalized in today's action provide maximum flexibility to engine 
manufacturers while still meeting the intent of the Clean Air Act to 
ensure fair and reasonable access by aftermarket service providers to 
service information and tools needed to service and repairs emissions-
related problems on heavy-duty engines.

B. What Provisions are Being Finalized for Service Information 
Availability?

1. What Information is the OEM Required to Make Available?
    Today's action requires OEMs to make available to any person 
engaged in the repairing or servicing of heavy-duty motor vehicles or 
motor vehicle engines above 14,000 pounds all information necessary to 
make use of the OBD systems and any information for making emission-
related repairs, including any emissions-related information that is 
provided by the OEM to franchised dealers, beginning generally with 
MY2010, though for the provisions related to scan tool availability, we 
are allowing manufacturers until MY2013 to comply. This information 
includes, but is not limited to, the following:
    (1) Manuals, technical service bulletins (TSBs), diagrams, and 
charts (the provisions for training materials, including videos and 
other media are discussed in Sections III.A.3 and III.A.4 below).
    (2) A general description of the operation of each monitor, 
including a description of the parameter that is being monitored.
    (3) A listing of all typical OBD diagnostic trouble codes 
associated with each monitor.
    (4) A description of the typical enabling conditions for each 
monitor to execute during vehicle operation, including, but not limited 
to, minimum and maximum intake air and engine coolant temperature, 
vehicle speed range, and time after engine startup. A listing and 
description of all existing monitor-specific drive cycle information 
for those vehicles that perform misfire, fuel system, and comprehensive 
component monitoring.
    (5) A listing of each monitor sequence, execution frequency and 
typical duration.
    (6) A listing of typical malfunction thresholds for each monitor.
    (7) For OBD parameters that deviate from the typical parameters, 
the OBD description shall indicate the deviation for the vehicles it 
applies to and provide a separate listing of the typical values for 
those vehicles.
    (8) Identification and scaling information necessary to interpret 
and understand data available to a generic scan tool through Diagnostic 
Message 8 pursuant to SAE Recommended Practice J1939-73 (revised 
September 2006).
    (9) Any information related to the service, repair, installation or 
replacement of parts or systems developed by third party (Tier 1) 
suppliers for OEMs, to the extent they are made available to franchise 
dealerships.
    (10) Any information on other systems that can directly effect the 
emission system within a multiplexed system (including how information 
is sent between emission-related system modules and other modules on a 
multiplexed bus),
    (11) Any information regarding any system, component, or part of a 
vehicle monitored by the OBD system that could in a failure mode cause 
the OBD system to illuminate the malfunction indicator light (MIL).
    (12) Any other information relevant to the diagnosis and completion 
of an emissions-related repair. This information includes, but is not 
limited to, information needed to start the vehicle when the vehicle is 
equipped with an anti-theft or similar system that disables the engine 
described below in paragraph (13). This information also includes any 
OEM-specific emissions-related diagnostic trouble codes (DTCs) and any 
related service bulletins, trouble shooting guides, and/or repair 
procedures associated with these OEM-specific DTCs.
    (13) Information regarding how to obtain the information needed to 
perform reinitialization of any computer or anti-theft system following 
an emissions-related repair. OEMs are not required to make this 
information available on the OEM's Web site unless they choose to do 
so. However, the OEM's Web site shall contain information on alternate 
means for obtaining the information and/or ability to perform 
reintialization. Beginning with the 2013 model year, we require that 
all OEM systems will be designed in such a way that no special tools or

[[Page 8338]]

processes will be necessary to perform reinitialization.
2. What are the Requirements for Web-based Delivery of the Required 
Information?
a. OEM Web Sites
    Today's action finalizes a provision that requires OEMs to make 
available in full-text all of the information outlined above, on 
individual OEM Web sites. The only exceptions to the full-text 
requirements are training information, anti-theft information, and 
indirect information. Provisions for the availability of training 
information are discussed in Section III.B.4 of this document. Today's 
action requires that each OEM launch their individual Web sites with 
the required information by July 1, 2010 for all 2010 and later model 
year vehicles.
b. Timeliness and Maintenance of Information on OEM Web Sites
    Today's action finalizes a provision that requires OEMs to make 
available the required information on their Web site within six months 
of model introduction. After this six month period, the required 
information for each model must be available and updated on the OEM Web 
site at the same time it is available by any means to their dealers.
    EPA is also finalizing a provision that, beginning with the 2010 
model year, OEMs maintain the required information in full text for at 
least 15 years after model introduction. After this fifteen-year 
period, OEMs can archive the required service information, but it must 
be made available upon request, in a format of the OEM's choice (e.g., 
CD-ROM).
c. Accessibility, Reporting and Performance Requirements for OEM Web 
Sites
    Performance reports that adequately demonstrate that their 
individual Web sites meets the requirements outlined in Sec.  86.010-
38(j)(18) will be submitted to the Administrator annually or upon 
request by the Administrator. These reports shall also indicate the 
performance and effectiveness of the Web sites by using commonly used 
Internet statistics (e.g., successful requests, frequency of use, 
number of subscriptions purchased, etc.) EPA will issue additional 
direction in the form of official manufacturer guidance to further 
specify the process for submitting reports to the Administrator. In 
addition, EPA is finalizing a provision that requires OEMs to launch 
Web sites that meet the following performance criteria:
    (1) OEM Web sites shall possess, sufficient server capacity to 
allow ready access by all users and have sufficient downloading 
capacity to assure that all users may obtain needed information without 
undue delay;
    (2) Any reported broken Web links shall be corrected or deleted 
weekly.
    (3) Web site navigation does not require a user to return to the 
OEM home page or a search engine in order to access a different portion 
of the site.
    (4) Any manufacturer-specific acronym or abbreviation shall be 
defined in a glossary webpage which, at a minimum, is hyperlinked by 
each webpage that uses such acronyms and abbreviations. OEMs may 
request Administrator approval to use alternate methods to define such 
acronyms and abbreviations. The Administrator shall approve such 
methods if the motor vehicle manufacturer adequately demonstrates that 
the method provides equivalent or better ease-of-use to the website 
user.
    (5) Indicates the minimum hardware and software specifications 
required for satisfactory access to the Web site(s).
d. Structure and Cost of OEM Web Sites
    OEMs must implement Web sites that offer a range of time periods 
for on-line access and/or the amount of information purchased.
    For any time ranges approved by the Administrator, OEMs must make 
their entire site accessible for the respective period of time and 
price. In other words, an OEM may not limit any or all ranges to just 
one make or one model.
    Prior to the official launch of OEM Web sites, each OEM will also 
be required to present to the Administrator a specific outline of what 
will be charged for access to each of the tiers. OEMs must justify 
these charges, and submit to the Administrator information on the 
following parameters, which include but are not limited to, the 
following:
    (1) The price the manufacturer currently charges their branded 
dealers for service information. At a minimum, this must include the 
direct price charged that is identified exclusively as being for 
service information, not including any payment that is incorporated in 
other fees paid by a dealer, such as franchise fees. In addition, we 
are requiring that the OEM must describe the information that is 
provided to dealers, including the nature of the information (e.g., the 
complete service manual), etc.; whether dealers have the option of 
purchasing less than all of the available information, or if purchase 
of all information is mandatory; the number of branded dealers who 
currently pay for this service information; and whether this 
information is made available to any persons at a reduced or no cost, 
and if so, identification of these persons and the reason they receive 
the information at a reduced cost.
    (2) The price the manufacturer currently charges persons other than 
branded dealers for service information. The OEM must describe the 
information that is provided, including the nature of the information 
(e.g., the complete service manual, emissions control service manual), 
etc.; and the number of persons other than branded dealers to whom the 
information is supplied.
    (3) The estimated number of persons to whom the manufacturer would 
be expected to provide the service information following implementation 
of today's requirements.
    A complete list of the criteria for establishing reasonable cost 
can be found in the regulatory language for this final rule.\69\ We are 
also finalizing a provision that, subsequent to the launch of the OEM 
Web sites, OEMs would be required to notify the Administrator upon the 
increase in price of any one or all of their approved time ranges of 
twenty percent or more accounting for inflation or that sets the charge 
for end-user access over the established price guidelines discussed 
above, including a justification based on the criteria for reasonable 
cost as established by this regulation.
---------------------------------------------------------------------------

    \69\ See Sec.  86.010-38(j)(8).
---------------------------------------------------------------------------

e. Hyperlinking to and From OEM Web Sites
    Today's action finalizes a provision that requires OEMs to allow 
direct simple hyperlinking to their Web sites from government Web sites 
and from all automotive-related Web sites, such as aftermarket service 
providers, educational institutions, and automotive associations.
f. Administrator Access to OEM Web Sites
    Today's action finalizes a provision that requires that the 
Administrator shall have access to each OEM Web site at no charge to 
the Agency. The Administrator shall have access to the site, reports, 
records and other information as provided by sections 114 and 208 of 
the Clean Air Act and other provisions of law.
g. Other Media
    We are finalizing a provision that require OEMs to make available 
for ordering the required information in some format approved by the

[[Page 8339]]

Administrator directly from their Web site after the full-text window 
of 15 years has expired. OEMs shall index their available information 
with a title that adequately describes the contents of the document to 
which it refers. In the alternate, OEMs may allow for the ordering of 
information directly from their Web site, or from a Web site 
hyperlinked to the OEM Web site. OEMs are required to list a phone 
number and address where aftermarket service providers can call or 
write to obtain the desired information. OEMs must also provide the 
price of each item listed, as well as the price of items ordered on a 
subscription basis. To the extent that any additional information is 
added or changed for these model years, OEMs shall update the index as 
appropriate. OEMs will be responsible for ensuring that their 
information distributors do so within three business day of receiving 
the order.
h. Small Volume Provisions for OEM Web Sites
    Manufacturers with total annual sales of less than 5,000 engines 
shall have until July 1, 2011 to launch their individual Web sites as 
discussed in Section III.B.2. Manufacturers with total annual sales of 
less than 1,000 engines may, in lieu of meeting the requirement for 
web-based delivery of service information, request the Administrator to 
approve an alternative method by which the required emissions-related 
information can be obtained.
    These small-volume flexibilities are limited to the distribution 
and availability of service information via the World Wide Web under 
Sec.  86.010-38 (j)(4) of the regulations. All OEMs, regardless of 
volume, must comply with all other provisions as finalized in this 
rulemaking.
3. What are the Requirements for Service Information for Third Party 
Information Providers?
    Today's action finalizes a provision that will require OEMs who 
currently have, or in the future engage in, licensing or business 
arrangements with third party information providers, as defined in the 
regulations, to provide information to those parties in an electronic 
format in English that utilizes non-proprietary software. Any OEM 
licensing or business arrangements with third party information 
providers are subject to fair and reasonable cost requirements. We 
expect that OEMs will develop pricing structures for access to this 
information that make it affordable to any third party information 
providers with which they do business. This provision takes effect 
January 1, 2011 and will apply for model year 2010 and later engines.
4. What are the Requirements for the Availability of Training 
Information?
    Today's action finalizes two provisions for access to OEM training 
on OEM Web sites. First, OEMs will be required to make available for 
purchase on their Web sites the following items: Training manuals, 
training videos, and interactive, multimedia CD's or similar training 
tools available to franchised dealerships. Second, we are finalizing a 
provision requiring OEMs who transmit emissions-related training via 
satellite or the Internet to tape these transmissions and make them 
available for purchase on their Web sites within 30 days after the 
first transmission to franchised dealerships. Manufacturers shall not 
be required to duplicate transmitted emissions-related training courses 
if anyone engaged in the repairing or servicing of heavy-duty engines 
has the opportunity to receive the Internet or satellite transmission, 
even if there is a cost associated with the equipment required to 
receive the transmission. Further, all of the items included in this 
provision must be shipped within 3 business days of the order being 
placed and are to be made available at a reasonable price. These 
requirements apply for 2010 and later model year vehicles beginning 
July 1, 2010. For subsequent model years, the required information must 
be made available for purchase within three months of model 
introduction, and then be made available at the same time it is made 
available to franchised dealerships.
5. What are the Requirements for Recalibration of Vehicles?
    Today's action finalizes two options for pass-thru recalibration. 
We are finalizing a provision that heavy-duty OEMs must comply with SAE 
J2534-1 (Revised December 2004) beginning with the 2013 model year. In 
the alternative, heavy-duty OEMs may comply with the Technology and 
Maintenance Council's Recommended Practice RP1210B, 
``WindowsTM Communication API,'' (Revised June 2007) 
beginning in the 2013 model year. We are also finalizing a provision 
that will require that recalibration information be made available 
within 3 months of vehicle introduction for new models.
6. What are the Requirements for the Availability of Enhanced 
Information for Scan Tools for Equipment and Tool Companies?
a. Description of Information That Must Be Provided
    Today's action finalizes a provision that requires OEMs to make 
available to equipment and tool companies all generic and enhanced 
information, including bi-directional control and data stream 
information. In addition, OEMs must make available the following 
information.
    (i) The physical hardware requirements for data communication 
(e.g., system voltage requirements, cable terminals/pins, connections 
such as RS232 or USB, wires, etc.).
    (ii) ECU data communication (e.g., serial data protocols, 
transmission speed or baud rate, bit timing requirements, etc.).
    (iii) Information on the application physical interface (API) or 
layers (i.e., processing algorithms or software design descriptions for 
procedures such as connection, initialization, and termination).
    (iv) Vehicle application information or any other related service 
information such as special pins and voltages or additional vehicle 
connectors that require enablement and specifications for the 
enablement.
    (v) Information that describes which interfaces, or combinations of 
interfaces, from each of the categories as described in Sec.  86.010-
38(j)(14)(ii)(A) through (D) of the regulatory language.
    Manufacturers are not required to make available to equipment and 
tool companies any information related to reconfiguration capabilities 
or any other information that would make permanent changes to existing 
engine configurations.
    The requirements to release the information to equipment and tool 
companies takes effect on July 1, 2013 [for model year 2013 engines], 
and within 3 months of model introduction for all new model years.
b. Distribution of Enhanced Diagnostic Information
    Today's action finalizes a provision that will require the above 
information for generic and enhanced diagnostic information be provided 
to aftermarket tool and equipment companies with whom appropriate 
licensing, contractual, and confidentiality agreements have been 
arranged. This information shall be made available in electronic format 
using common document formats such as Microsoft Excel, Adobe Acrobat, 
Microsoft Word,

[[Page 8340]]

etc. Further, any OEM licensing or business arrangements with equipment 
and tool companies are subject to a fair and reasonable cost 
determination.
7. What are the Requirements for the Availability of OEM-Specific 
Diagnostic Scan Tools and Other Special Tools?
a. Availability of OEM-Specific Diagnostic Scan Tools
    Today's action finalizes a provision that OEMs must make available 
for sale to interested parties the same OEM-specific scan tools that 
are available to franchised dealerships, except as discussed below. 
These tools shall be made available at a fair and reasonable price. 
These tools shall also be made available in a timely fashion either 
through the OEM Web site or through an OEM-designated intermediary.
    Upon Administrator approval, manufacturers will not be required to 
make available manufacturer-specific tools with reconfiguration 
capabilities if they can demonstrate to the satisfaction of the 
Administrator that these tools are not essential to the completion of 
an emissions-related repair, such as recalibration. In addition, as a 
condition of purchase, manufacturers may request that the purchaser 
take all necessary training offered by the engine manufacturer, 
provided that those training requirements are outlined in Sec.  86.010-
38(j)(15) of the regulations.
8. Which Reference Materials are Being Incorporated by Reference?
    We are requiring that service information requirements comply with 
the provisions laid out in certain Society of Automotive Engineers 
(SAE) and/or Truck Maintenance Council (TMC) documents that are 
incorporated by reference (IBR) into federal regulation. Details 
regarding these SAE and TMC documents can be found in Sec.  86.1(b) and 
in Sec.  86.010-38(j).

IV. What Are the Emissions Reductions Associated With the OBD 
Requirements?

    In the 2007HD highway rule, we estimated the emissions reductions 
we expected to occur as a result of the emissions standards being made 
final in the rule. Since the OBD requirements contained in today's rule 
are considered by EPA to be an important element of the 2007HD highway 
program and its ultimate success, rather than a new element being 
included as an addition to that program, we are not estimating 
emissions reductions associated with OBD. Instead, we consider the new 
2007/2010 tailpipe emissions standards and fuel standards to be the 
drivers of emissions reductions and HDOBD to be part of the assurance 
we all have that those emissions reductions are indeed realized. 
Therefore, this analysis presents the emissions reductions estimated 
for the 2007HD highway program. Inherent in those estimates is an 
understanding that, while emissions control systems sometimes 
malfunction, they presumably are repaired in a timely manner. Today's 
OBD requirements would provide substantial tools to assure that our 
presumption will be realized by helping to ensure that emission control 
systems continue to operate properly throughout their life. We believe 
that the OBD requirements will lead to more repairs of malfunctioning 
or deteriorating emission control systems, and may also lead to 
emission control systems that are more robust throughout the life of 
the engine and less likely to trigger illumination of MILs. The 
requirements would therefore provide greater assurance that the 
emission reductions expected from the Clean Diesel Trucks and Buses 
program will actually occur. Viewed from another perspective, while the 
OBD requirements will not increase the emission reductions that we 
estimated for the 2007HD highway rule, they would be expected to lead 
to actual emission reductions in-use compared with a program with no 
OBD system.
    The costs associated with HDOBD were not fully estimated in the 
2007HD highway rule. Those costs are more fully considered in section V 
of this preamble. These newly developed HDOBD costs are added to those 
costs estimated for the 2007/2010 standards and a new set of costs for 
those standards are presented in section VI. Section VI also calculates 
a new set of costs per ton associated with the 2007/2010 standards 
which include the previously estimated costs and emissions reductions 
for the 2007/2010 standards and the newly estimated costs associated 
with today's HDOBD rule.
    Here we present the emission benefits we anticipate from heavy-duty 
vehicles as a result of our 2007/2010 NOX, PM, and NMHC 
emission standards for heavy-duty engines. The graphs and tables that 
follow illustrate the Agency's projection of future emissions from 
heavy-duty vehicles for each pollutant. The baseline case represents 
future emissions from heavy-duty vehicles at present standards 
(including the MY2004 standards). The controlled case represents the 
future emissions from heavy-duty vehicles once the new 2007/2010 
standards are implemented. A detailed analysis of the emissions 
reductions associated with the 2007/2010 HD highway standards is 
contained in the Regulatory Impact Analysis for that final rule.\70\ 
The results of that analysis are presented in Table IV.A-1 and in 
Figures IV.A-1 through IV.A-3.
---------------------------------------------------------------------------

    \70\ Regulatory Impact Analysis: Heavy-Duty Engine and Vehicle 
Standards and Highway Diesel Fuel Sulfur Control Requirements; 
EPA420-R-00-026; December 2000.

  Table IV.A-1--Annual Emissions Reductions Associated With the 2007HD
                             Highway Program
                          [Thousand short tons]
------------------------------------------------------------------------
               Year                    NOX           PM          NMHC
------------------------------------------------------------------------
2007.............................           58           11            2
2010.............................          419           36           21
2015.............................        1,260           61           54
2020.............................        1,820           82           83
2030.............................        2,570          109          115
------------------------------------------------------------------------


[[Page 8341]]

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[GRAPHIC] [TIFF OMITTED] TR24FE09.002


[[Page 8342]]

[GRAPHIC] [TIFF OMITTED] TR24FE09.008

    There were additional estimated emissions reductions associated 
with the 2007HD highway rule--namely CO, SOx, and air 
toxics. We have not presented those additional emissions reductions 
here since, while HDOBD will identify malfunctions and hasten their 
repair with the result of reducing all emissions constituents, these 
additional emissions are not those specifically targeted by OBD 
systems.

V. What Are the Costs Associated With the OBD Requirements?

    The costs estimated for the final OBD requirements are identical to 
those estimated for the proposed OBD requirements with three notable 
exceptions. First, we have included costs for aging limit parts to 
their OBD thresholds. We inadvertently did not include those costs in 
the draft analysis. Discussion of this can be found in the Summary and 
Analysis of Comments document in Section VI.B. These newly added costs 
are also presented in detail in Section 3.1.2.b of the final technical 
support document.\71\ Both of these documents can be found in the 
docket for this rule. Second, while in the proposal we estimated lower 
warranty costs beginning in 2013, we have delayed that until 2016 in 
the final rule. This is discussed in Section VI.A of the Summary and 
Analysis of Comments document and in Section 3.1.1 of the final 
technical support document. Third, we have adjusted all costs to 2007 
dollars--the draft analysis used 2004 dollars--by using the Consumer 
Price Index. As a result, all costs presented here are slightly higher 
than in the draft analysis although we have not changed the analysis 
with the exception of this adjustment for inflation and, as mentioned 
previously, the addition of costs for aging of limit parts and delay of 
lower warranty costs.
---------------------------------------------------------------------------

    \71\ Final Technical Support Document, HDOBD final rule, EPA420-
R-08-019, Docket ID EPA-HQ-OAR-2005-0047-0056.
---------------------------------------------------------------------------

    Here we present the updated tables that appeared in our preamble to 
the proposed regulations.\72\ Please refer to the final technical 
support document contained in the docket for the details of the 
analysis behind these cost estimates.
---------------------------------------------------------------------------

    \72\ See 72 FR 3273, Section VI.
---------------------------------------------------------------------------

A. Variable Costs for Engines Used in Vehicles Over 14,000 Pounds

    The variable costs we have estimated represent those costs 
associated with various sensors that we believe will be added to the 
engine to provide the required OBD monitoring capability. For the 2010 
model year, we believe that upgraded computers and the new sensors 
needed for OBD would result in costs to the buyer of $43 and $53 for 
diesel and gasoline engines, respectively. For the 2013 model year, we 
have included costs associated with the dedicated MIL and its wiring 
resulting in a hardware cost to the buyer of $60 and $70 for both 
diesel and gasoline engines, respectively. In 2016, these costs become 
$57 and $66 for diesel and gasoline, respectively, due to a reduction 
in warranty costs. By multiplying these costs per engine by the 
projected annual sales we get annual costs of around $45-55 million for 
diesel engines and $3-4 million for gasoline engines, depending on 
sales. The 30-year net present value of the annual variable costs would 
be $737 million and $391 million at a three percent and a seven percent 
discount rate, respectively. These costs are summarized in Table V.A-1.

[[Page 8343]]



Table V.A-1--OBD Variable Costs for Engines Used in Vehicles Over 14,000
                                 Pounds
     [All costs in $millions except per engine costs; 2007 dollars]
------------------------------------------------------------------------
                                      Diesel      Gasoline      Total
------------------------------------------------------------------------
Cost per engine (2010-2012)......          $43          $53          n/a
Cost per engine (2013-2015)......           60           70          n/a
Cost per engine (2016+)..........           57           66          n/a
Annual Variable Costs in 2010 \a\           15            1          $16
Annual Variable Costs in 2013 \a\           44            3           47
Annual Variable Costs in 2016 \a\           43            3           47
Annual Variable Costs in 2030 \a\           53            4           57
30 year NPV at a 3% discount rate          686           51          737
30 year NPV at a 7% discount rate          364           27          391
------------------------------------------------------------------------
\a\ Annual variable costs increase as projected sales increase.

B. Fixed Costs for Engines Used in Vehicles Over 14,000 Pounds

    We have estimated fixed costs for research and development (R&D), 
certification, and production evaluation testing. The R&D costs include 
the costs to develop the computer algorithms required to diagnose 
engine and emission control systems, and the costs for applying the 
developed algorithms to each engine family and to each variant within 
each engine family. R&D costs also include the testing time and effort 
needed to develop and apply the OBD algorithms. The certification costs 
include the costs associated with testing of durability engines (i.e., 
the OBD parent engines), the costs associated with generating the 
``limit'' parts that are required to demonstrate OBD detection at or 
near the applicable emissions thresholds, and the costs associated with 
generating the necessary certification documentation. Production 
evaluation testing costs included the costs associated with the three 
types of production testing: Standardization features, monitor 
function, and performance ratios.
    Table V.B-1 summarizes the R&D, certification, and production 
evaluation testing costs that we have estimated. The R&D costs we have 
estimated were totaled and then spread over the four year period prior 
to implementation of the requirements for which the R&D is conducted. 
By 2013, all of the R&D work would be completed in advance of 100 
percent compliance in 2013; hence, R&D costs are zero by 2013. 
Certification costs are higher in 2013 than in 2010 because 2010 
requires one engine family to comply while 2013 requires all engine 
families to comply. The 30 year net present value of the annual fixed 
costs would be $475 million and $352 million at a three percent and a 
seven percent discount rate, respectively.

                                      Table VI.B-1--OBD Fixed Costs for Engines Used in Vehicles Over 14,000 Pounds
                                                         [All costs in $millions; 2007 dollars]
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                           Diesel                                           Gasoline
                                     ---------------------------------------------------------------------------------------------------
                                                      Certification &                                     Certification                       Total
                                            R&D          PE testing        Subtotal           R&D         & PE testing      Subtotal
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                          Annual OBD Fixed Costs in given years
--------------------------------------------------------------------------------------------------------------------------------------------------------
2010................................             $56             $0.2            $56               $1.0           <$0.1            $1.0            $57
2013................................               0              0.4              0.4              0              <0.1            <0.1              0.4
2030................................               0             35               35                0              <0.1            <0.1             35
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                         30 year NPV at the given discount rate
--------------------------------------------------------------------------------------------------------------------------------------------------------
3%..................................             287            176              463               11.1             0.4            11.4            475
7%..................................             243             99.6            342                9.7             0.2             9.9            352
--------------------------------------------------------------------------------------------------------------------------------------------------------

C. Total Costs for Engines Used in Vehicles Over 14,000 Pounds

    The total OBD costs for engines used in vehicles over 14,000 pounds 
are summarized in Table V.C-1. As shown in the table, the 30 year net 
present value cost is estimated at $1.2 billion and $743 million at a 
three percent and a seven percent discount rate, respectively. These 
costs are much lower than the 30 year net present value costs estimated 
for gasoline and diesel engines meeting the 2007HD highway emissions 
standards which were $30 billion and $18 billion at a three percent and 
a seven percent discount rate, respectively (in 2007 dollars). 
Including the cost for the diesel fuel changes resulted in 30 year net 
present value costs for that rule of $88 billion and $53 billion at a 
three percent and a seven percent discount rate, respectively (in 2007 
dollars). See section VI for more details regarding the cost estimates 
from the 2007HD highway final rule.

[[Page 8344]]



  Table V.C-1--OBD Total Costs for Engines Used in Vehicles Over 14,000
                                 Pounds
                 [All costs in $millions; 2007 dollars]
------------------------------------------------------------------------
                                      Diesel      Gasoline      Total
------------------------------------------------------------------------
                  Annual OBD Total Costs in given years
------------------------------------------------------------------------
2010.............................          $71           $2          $67
2013.............................           44            3           47
2030.............................           89            4           93
------------------------------------------------------------------------
                 30 year NPV at the given discount rate
------------------------------------------------------------------------
3%...............................        1,150           63        1,212
7%...............................          706           37          743
------------------------------------------------------------------------

D. Costs for Diesel Heavy-Duty Vehicles and Engines Used in Heavy-Duty 
Vehicles Under 14,000 Pounds

    The total OBD costs for 8,500 to 14,000 pound diesel applications 
are summarized in Table V.D-1. As shown in the table, the 30 year net 
present value cost is estimated at $16 million and $12 million at a 
three percent and a seven percent discount rate, respectively. These 
costs represent the incremental costs of the additional OBD 
requirements, as compared to our current OBD requirements, for 8,500 to 
14,000 pound diesel applications and do not represent the total costs 
for 8,500 to 14,000 pound diesel OBD. We are making no changes to the 
8,500 to 14,000 pound gasoline requirements so, therefore, have 
estimated no costs for gasoline vehicles. Details behind these 
estimated costs can be found in the final technical support document 
contained in the docket for this rule.\73\
---------------------------------------------------------------------------

    \73\ Final Technical Support Document, HDOBD final rule, EPA420-
R-08-019, Docket ID EPA-HQ-OAR-2005-0047-0056.

      Table V.D-1--Total OBD Costs for 8,500 to 14,000 Pound Diesel
                              Applications
                 [All costs in $millions; 2007 dollars]
------------------------------------------------------------------------
                                    Diesel       Gasoline       Total
------------------------------------------------------------------------
                  Annual OBD Total Costs in given years
------------------------------------------------------------------------
2010...........................          $0.1           $0          $0.1
2013...........................           0              0           0
2030...........................           2              0           2
------------------------------------------------------------------------
                 30 year NPV at the given discount rate
------------------------------------------------------------------------
3%.............................          16              0          16
7%.............................          12              0          12
------------------------------------------------------------------------

VI. What are the Updated Annual Costs and Costs per Ton Associated With 
the 2007/2010 Heavy-Duty Highway Program?

    In the 2007HD highway rule, we estimated the costs we expected to 
occur as a result of the emissions standards being made final in that 
rule. As noted in section IV, we consider the OBD requirements 
contained in today's rule to be an important element of the 2007HD 
highway program and its ultimate success and not a new element being 
included as an addition to that program. In fact, without the OBD 
requirements we would not expect the emissions reductions associated 
with the 2007/2010 standards to be fully realized because emissions 
control systems cannot be expected to operate without some need for 
repair which, absent OBD, may well never be done. However, as noted in 
section V, because we did not include an OBD program in the 2007HD 
highway program, we did not estimate OBD related costs at that time. We 
have now done so and those costs are presented in section V.
    Here we present the OBD costs as part of the greater 2007HD highway 
program. To do this, we present both the costs developed for that 
program and the additional OBD costs presented in section V. We also 
calculate a new set of costs per ton associated with the 2007/2010 
standards which include the previously estimated costs and emissions 
reductions for the 2007/2010 standards and the newly estimated costs 
associated with today's HDOBD rule.
    Note that the costs estimates associated with the 2007HD highway 
program were done using 1999 dollars. We have adjusted those costs to 
2007 dollars using the Consumer Price Index.\74\
---------------------------------------------------------------------------

    \74\ http://www.bls.gov/cpi; U.S. city average, all items, not 
seasonally adjusted.
---------------------------------------------------------------------------

A. Updated 2007 Heavy-Duty Highway Rule Costs Including OBD

    Table VI.A-1 shows the 2007HD highway program costs along with the 
estimated OBD related costs.

[[Page 8345]]



 Table VI.A-1--Updated 2007HD Highway Program Costs Including New OBD-Related Costs Net Present Value of Annual
                                          Costs for the Years 2006-2035
                                     [All costs in $millions; 2007 dollars]
----------------------------------------------------------------------------------------------------------------
                                                2007 HD highway final rule
                                   ----------------------------------------------------                Updated
                                                   Gasoline                               Final HD      total
           Discount rate               Diesel      engine &   Diesel fuel    Original       OBD        program
                                       engine      vehicle       costs     total costs                  costs
                                       costs        costs
----------------------------------------------------------------------------------------------------------------
3%................................      $29,500       $1,880      $56,240      $87,600       $1,230      $88,900
7%................................       17,900        1,090       33,560       52,500          755       53,300
----------------------------------------------------------------------------------------------------------------

B. Updated 2007 Heavy-Duty Highway Rule Costs per Ton Including OBD

    Table VI.B-1 shows the 2007HD highway program costs per ton of 
pollutant reduced. These numbers are from the 2007HD highway final 
rule--updated to 2007 dollars--which contains the details regarding the 
split between NOX+NMHC and PM related costs.

 Table VI.B-1--Original 2007HD Highway Program Costs, Emissions Reductions, and $/ton Reduced Net Present Values
                                  Are for Annual Costs for the Years 2006-2035
                                        [Monetary values in 2007 dollars]
----------------------------------------------------------------------------------------------------------------
                                                                       30 year NPV     30 year NPV
             Discount rate                        Pollutant               cost          reduction       $/ton
                                                                       ($billions)   (million tons)
----------------------------------------------------------------------------------------------------------------
3%.....................................  NOX+NMHC..................            68.0            30.6       $2,220
                                         PM........................            19.9             1.4       14,750
7%.....................................  NOX+NMHC..................            43.4            16.2        2,680
                                         PM........................            12.8             0.8       17,090
----------------------------------------------------------------------------------------------------------------

    Table VI.B-2 shows the updated 2007HD highway program costs per ton 
of pollutant reduced once the new OBD costs have been included. For the 
split between NOX+NMHC and PM related OBD costs, we have 
used a 50/50 allocation. As shown in Table VI.B-2, the OBD costs 
associated with the final OBD requirements have little impact on the 
overall costs and costs per ton of emissions reduced within the context 
of the 2007HD highway program.

    Table VI.B-2--Updated 2007HD Highway Program Costs, Emissions Reductions, and $/ton Reduced Including OBD
                  Related Costs Net Present Values Are for Annual Costs for the Years 2006-2035
                                        [Monetary values in 2007 dollars]
----------------------------------------------------------------------------------------------------------------
                                                                       30 year NPV     30 year NPV
             Discount rate                        Pollutant               cost          reduction       $/ton
                                                                       ($billions)   (million tons)
----------------------------------------------------------------------------------------------------------------
3%.....................................  NOX+NMHC..................            68.6            30.6       $2,240
                                         PM........................            20.5             1.4       15,210
7%.....................................  NOX+NMHC..................            43.8            16.2        2,700
                                         PM........................            13.2             0.8       17,600
----------------------------------------------------------------------------------------------------------------

VII. How Have the Proposed Requirements for Engine Manufacturers 
Changed for This Final Rule?

A. Documentation Requirements

    The OBD system certification requirements require manufacturers to 
submit OBD system documentation that represents each engine family. The 
certification documentation must contain all of the information needed 
to determine if the OBD system meets the OBD requirements. The 
regulation lists the information that is required as part of the 
certification package. If any of the information in the certification 
package is the same for all of a manufacturer's engine families (e.g., 
the OBD system general description), the manufacturer is required to 
submit one set of documents each model year for such items that cover 
all of its engine families.
    While the majority of the OBD requirements apply to the engine and 
are incorporated by design into the engine control module by the engine 
manufacturer, a portion of the OBD requirements would apply to the 
vehicle and not be self-contained within the engine. Examples include 
the requirements to have a MIL in the instrument cluster and a 
diagnostic connector in the cab compartment. As is currently done by 
the engine manufacturers, a build specification is provided to vehicle 
manufacturers detailing mechanical and electrical specifications that 
must be adhered to for proper installation and use of the engine (and 
to maintain compliance with emissions standards). We expect engine 
manufacturers will continue to follow this practice so that the vehicle 
manufacturer would be able to maintain compliance with the OBD 
regulations. Installation specifications would be expected to include 
instructions regarding the location, color, and display icon of the MIL 
(as well as electrical connections to ensure proper illumination), 
location and type of

[[Page 8346]]

diagnostic connector, and electronic VIN access. During the 
certification process, in addition to submitting the details of all of 
the diagnostic strategies and other information required, engine 
manufacturers are required to submit a copy of the OBD-relevant 
installation specifications provided to vehicle manufacturers and a 
description of the method used by the engine manufacturer to ensure 
vehicle manufacturers adhere to the provided installation 
specifications (e.g., required audit procedures or signed agreements to 
adhere to the requirements). We are requiring that this information be 
submitted to us to provide a reasonable level of verification that the 
OBD requirements will indeed be satisfied. In summary, engine 
manufacturers are responsible for submitting a certification package 
that includes:
     A detailed description of all OBD monitors, including 
monitors on signals or messages coming from other modules upon which 
the engine control unit relies to perform other OBD monitors; and,
     A copy of the OBD-relevant installation specifications 
provided to vehicle manufacturers/chassis builders and the method used 
to reasonably ensure compliance with those specifications.
    As was discussed in the context of our implementation schedule (see 
section II.G.1), the regulations would allow engine manufacturers to 
establish OBD groups consisting of more than one engine family with 
each having similar OBD systems. The manufacturer could then submit 
only one set of representative OBD information from each OBD group. We 
anticipate that the representative information would normally consist 
of an application from a single representative engine rating within 
each OBD group. In selecting the engine ratings to represent each OBD 
group, consideration should be given to the exhaust emission control 
components for all engine families and ratings within an OBD group. For 
example, if one engine family within an OBD group has additional 
emission control devices relative to another family in the group (e.g., 
the first family has a DPF+SCR while the second has only a DPF), the 
representative rating should probably come from the first engine 
family. Manufacturers seeking to consolidate several engine families 
into one OBD group would be required to get approval of the grouping 
prior to submitting the information for certification.
    Two of the most important parts of the certification package would 
be the OBD system description and summary table. The OBD system 
description would include a complete written description for each 
monitoring strategy outlining every step in the decision-making process 
of the monitor, including a general explanation of the monitoring 
conditions and malfunction criteria. This description should include 
graphs, diagrams, and/or other data that would help our compliance 
staff understand how each monitor works and interacts. The OBD summary 
table would include specific parameter values. This table would provide 
a summary of the OBD system specifications, including: the component/
system, the DTC identifying each related malfunction, the monitoring 
strategy, the parameter used to detect a malfunction and the 
malfunction criteria limits against which the parameter is evaluated, 
any secondary parameter values and the operating conditions needed to 
run the monitor, the time required to execute and complete a monitoring 
event for both a pass decision and a fail decision, and the criteria or 
procedure for illuminating the MIL. In these tables, manufacturers are 
required to use a common set of engineering units to simplify and 
expedite the review process.
    We are also requiring that the manufacturer submit a logic 
flowchart for each monitor that would illustrate the step-by-step 
decision process for determining malfunctions. Additionally, we would 
need any data that supports the criteria used to determine malfunctions 
that cause emissions to exceed the specified malfunction thresholds 
(see Tables II.B-1 and II.C-1). The manufacturer would have to include 
data that demonstrates the probability of misfire detection by the 
misfire monitor over the full engine speed and load operating range 
(for gasoline engines only) or the capability of the misfire monitor to 
correctly identify a ``one cylinder out'' misfire for each cylinder 
(for diesel engines only), a description of all the parameters and 
conditions necessary to begin closed-loop fuel control operation (for 
gasoline engines only), closed-loop EGR control (for diesel engines 
only), closed-loop fuel pressure control (for diesel engines only), and 
closed-loop boost control (for diesel engines only). We also need a 
listing of all electronic powertrain input and output signals 
(including those not monitored by the OBD system) that identifies which 
signals are monitored by the OBD system, and the emission data from the 
OBD demonstration testing (as described below). Lastly, the 
manufacturer will be expected to provide any other OBD-related 
information necessary to determine the OBD compliance status of the 
manufacturer's product line.
    The only change to the final documentation requirements relative to 
the proposed requirements is a new provision applicable to those OBD 
systems designed to the CARB HDOBD requirements. Any such system must 
have detailed documentation describing how the system meets the full 
intent behind the requirements of Sec.  86.010-18.\75\ It will not be 
sufficient for a manufacturer to submit OBD documentation and a 
statement that it is a California HDOBD system or even a California 
approved OBD system. The certification documentation must include 
details about how the system compares to the requirements of Sec.  
86.010-18 to ensure that we can be comfortable approving that system 
for certification.
---------------------------------------------------------------------------

    \75\ See section 86.010-18(m)(3) which is new in the final 
regulations. Also see Sec.  86.010-18(a)(5) which is new in the 
final regulations. Also see section II.A.5, above.
---------------------------------------------------------------------------

B. Catalyst Aging Procedures

    For purposes of determining the catalyst malfunction criteria for 
diesel NMHC converting catalysts, SCR catalysts, and lean 
NOX catalysts, and for gasoline catalysts (i.e., for 
generating OBD threshold parts, or limit parts), where those catalysts 
are monitored individually, the manufacturer must use a catalyst 
deteriorated to the malfunction criteria using methods established by 
the manufacturer to represent real world catalyst deterioration under 
normal and malfunctioning engine operating conditions. For purposes of 
determining the catalyst malfunction criteria for diesel NMHC 
converting catalysts, SCR catalysts, and lean NOX catalysts, 
and for gasoline catalysts, where those catalysts are monitored in 
combination with other catalysts, the manufacturer must submit their 
catalyst system aging and monitoring plan to the Administrator as part 
of their certification documentation package. The plan must include the 
description, emission control purpose, and location of each component, 
the monitoring strategy for each component and/or combination of 
components, and the method for determining the applicable malfunction 
criteria including the deterioration/aging process.

C. Demonstration Testing

    While the certification documentation requirements discussed above 
require manufacturers to submit technical details of each monitor 
(e.g., how each

[[Page 8347]]

monitor worked, when the monitor would run), we still need some 
assurance that the manufacturer's OBD monitors are indeed calibrated 
correctly and are able to detect a malfunction before an emissions 
threshold is exceeded. Thus, we are requiring that manufacturers 
conduct certification demonstration testing of the major monitors to 
verify the malfunction threshold values. This testing will be required 
on one to three demonstration engines per year. Before receiving a 
certificate of compliance, the manufacturer must submit documentation 
and emissions data demonstrating that the major OBD monitors are able 
to detect a malfunction when emissions exceed the emissions thresholds. 
On each demonstration engine, this testing would consist of the 
following two elements:
     Testing the OBD system with ``threshold'' components 
(i.e., components that are deteriorated or malfunctioning right at the 
threshold required for MIL illumination); and,
     Testing the OBD system with ``worst case'' components. 
This element of the demonstration test must be done for the DPF and any 
NOX aftertreatment system only.
    By testing with both threshold components (i.e., the best 
performing malfunctioning components) and with worst case components 
(i.e., the worst performing malfunctioning components), we will be 
better able to verify that the OBD system should perform as expected 
regardless of the level of deterioration of the component. This could 
become increasingly important with new technology aftertreatment 
devices that could be subject to complete failure (such as DPFs) or 
even to tampering by vehicle operators looking to improve fuel economy 
or vehicle performance. We believe that, given the likely combinations 
of emissions control hardware, a diesel engine manufacturer would 
likely need to conduct 8 to 10 emissions tests per demonstration engine 
to satisfy these requirements and a gasoline engine manufacturer would 
likely need to conduct five to seven emissions tests per demonstration 
engine.\76\
---------------------------------------------------------------------------

    \76\ For diesel engines these would include: The fuel system; 
misfire (HCCI engines); EGR, turbo boost control, DPF, 
NOX adsorber or SCR system, NMHC catalyst, exhaust gas 
sensors, VVT, and possible other emissions controls (see section 
II.D.5). For gasoline engines these would include: The fuel system, 
misfire, EGR, cold start strategy, secondary air system, catalyst, 
exhaust gas sensors, VVT, and possible other emissions controls (see 
section II.D.5). Some of these may require more than one emissions 
test while others may not require any due to the use of a functional 
monitor rather than an emissions threshold monitor.
---------------------------------------------------------------------------

1. Selection of Test Engines
    To minimize the test burden on manufacturers, we are requiring that 
this testing be done on only one to three demonstration engines per 
year per manufacturer rather than requiring that all engines be tested. 
Such an approach should still allow us to be reasonably sure that 
manufacturers have calibrated their OBD systems correctly on all of 
their engines. This also spreads the test burden over several years and 
allows manufacturers to better utilize their test cell resources. This 
approach is consistent with our approach to demonstration testing to 
existing emissions standards where a parent engine is chosen to 
represent each engine family and emissions test data for only that 
parent engine are submitted to EPA.\77\
---------------------------------------------------------------------------

    \77\ For over 14,000 pound OBD, we have a different definition 
of a ``parent'' engine than is used for emissions certification. 
This is discussed at length in section II.G.
---------------------------------------------------------------------------

    The number of demonstration engines manufacturers must test will be 
aligned with the phase-in of OBD in the 2010 and 2013 model years and 
based on the year and the total number of engine families the 
manufacturer will be certifying for that model year. Specifically, for 
the 2010 model year when a manufacturer is only required to implement 
OBD on a single engine family, demonstration testing will be required 
on only one engine (a single engine rating within the one engine 
family). This will be the OBD parent rating as discussed in section 
II.G. For the 2013 model year, manufacturers will be required to 
conduct demonstration testing on one to three engines per year (i.e., 
one to three OBD parent ratings). The number of parent ratings would be 
chosen depending on the total number of engine families certified by 
the manufacturer. A manufacturer certifying one to five engine families 
in the given year would be required to test one demonstration engine. A 
manufacturer certifying six to ten engine families in the given year 
would be required to test two demonstration engines, and a manufacturer 
certifying more than ten engine families in the given year will be 
required to test three demonstration engines. For the 2016 and 
subsequent model years, we intend to work closely with CARB staff and 
the manufacturer to determine the parent ratings so that the same 
ratings are not acting as the parents every year. In other words, our 
definitions for the OBD parent ratings as discussed here apply only 
during the years 2010 through 2012 and again for the years 2013 through 
2015.
    Given the difficulty and expense in removing an in-use engine from 
a vehicle for engine dynamometer testing, this demonstration testing 
will likely represent nearly all of the OBD emission testing that would 
ever be done on these engines. Requiring a manufacturer who is fully 
equipped to do such testing, and already has the engines on engine 
dynamometers for emission testing, to test one to three engines per 
year would be a minimal testing burden that provides invaluable and, in 
a practical sense, otherwise unobtainable proof of compliance with the 
OBD emissions thresholds.
    Regarding the selection of which engine ratings will have to be 
demonstrated, manufacturers are required to submit descriptions of all 
engine families and ratings planned for the upcoming model year. We 
will review the information and make the selection(s) in consultation 
with CARB staff and the manufacturer. For each engine family and 
rating, the information submitted by the manufacturer will need to 
identify engine model(s), power ratings, applicable emissions standards 
or family emissions limits, emissions controls on the engine, and 
projected engine sales volume. Factors that would be used in selecting 
the one to three engine ratings for demonstration testing include, but 
are not limited to, new versus old/carryover engines, emissions control 
system design, possible transition point to more stringent emissions 
standards and/or OBD emissions thresholds, and projected sales volume.
2. Required Testing
    Regarding the actual testing, the manufacturer will be required to 
perform ``single fault'' testing using the applicable test procedure 
and with the appropriate components/systems set at the manufacturer 
defined malfunction criteria limits for the following monitors:
     For diesel engines: Fuel system; misfire; EGR; turbo boost 
control; NMHC catalyst; SCR catalyst/NOX catalyst/adsorber; 
DPF; exhaust gas sensors; VVT; and any other monitor that would fall 
within the discussion of section II.D.5.
     For gasoline engines: Fuel system; misfire; EGR; cold 
start strategy; secondary air; catalyst; exhaust gas sensors; VVT; and 
any other monitor that would fall within the discussion of section 
II.D.5.
    Such ``single fault'' testing requires that, when performing a test 
for a

[[Page 8348]]

specific parameter, that parameter must be operating at the malfunction 
criteria limit while all other parameters would be operating within 
normal characteristics (unless the malfunction prohibits some other 
parameter from operating within its normal characteristics). Also, the 
manufacturer will be allowed to use computer modifications to cause the 
specific parameter to operate at the malfunction limit provided the 
manufacturer can demonstrate that the computer modifications produce 
test results equivalent to an induced hardware malfunction. Lastly, for 
each of these testing requirements, wherever the manufacturer has 
established that only a functional check is required because no failure 
or deterioration of the specific tested component/system can result in 
an engine's emissions exceeding the applicable emissions thresholds, 
the manufacturer will not be required to perform a demonstration test. 
In such cases, the manufacturer can simply provide the data and/or 
engineering analysis used to determine that only a functional test of 
the component/system is required.
    Manufacturers that are required to submit data from more than one 
engine rating will be granted some flexibility by allowing the data to 
be collected under less rigorous testing requirements than the official 
FTP or SET certification test. That is, for the possible second and 
third engine ratings required for demonstration testing, manufacturers 
will be allowed to submit data using internal sign-off test procedures 
that are representative of the official FTP or SET in lieu of running 
the official test. Commonly used procedures include the use of engine 
emissions test cells with less rigorous quality control procedures than 
those required for the FTP or SET or the use of forced cool-downs to 
minimize time between tests. Manufacturers will still be liable for 
meeting the OBD emissions thresholds on FTPs and/or SETs conducted in 
full accordance with the Code of Federal Regulations. Nonetheless, this 
latitude will allow them to use some short-cut methods that they have 
developed to assure themselves that the system is calibrated to the 
correct level without incurring the additional testing cost and burden 
of running the official FTP or SET on every demonstration engine.
    For the demonstration engine(s), a manufacturer will be required to 
use an engine(s) aged for a minimum of 125 hours plus exhaust 
aftertreatment devices aged in a manner representative of full useful 
life. We are allowing for rapid aging using a process approved by the 
Administrator. Manufacturers would be expected to use, subject to 
approval, an aging process that ensures that deterioration of the 
exhaust aftertreatment devices is stabilized sufficiently such that it 
properly represents the performance of the devices at the applicable 
point in their useful life. Note that, should the 2010 model year 
engine be carried over for 2013 model year certification (which we 
fully expect most manufacturers to do), we would not require any new 
demonstration aging or testing.
3. Testing Protocol
    We have made no changes in the final rule relative to the proposal 
as regards testing protocol. We are allowing the manufacturer to use 
any applicable test cycle for preconditioning test engines prior to 
conducting each of the emissions tests discussed above. Additional 
preconditioning can be done if the manufacturer can provide data and/or 
engineering analyses that demonstrate that additional preconditioning 
is necessary.
    The manufacturer will then set the system or component of interest 
at the criteria limit(s) prior to conducting the applicable 
preconditioning cycle(s). If more than one preconditioning cycle is 
being used, the manufacturer may adjust the system or component of 
interest prior to conducting the subsequent preconditioning cycle. 
However, the manufacturer may not replace, modify, or adjust the system 
or component of interest following the last preconditioning cycle.
    After preconditioning, the test engine will be operated over the 
applicable test cycle to allow for the initial detection of the tested 
system or component malfunction. This test cycle may be omitted from 
the testing protocol if it is unnecessary. If required by the 
designated monitoring strategy, a cold soak may be performed prior to 
conducting this test cycle. The test engine will then be operated over 
the applicable exhaust emission test.
    A manufacturer required to test more than one test engine may use 
internal calibration sign-off test procedures (e.g., forced cool downs, 
less frequently calibrated emission analyzers) instead of official test 
procedures to obtain this emissions test data for all but one of the 
required test engines. However, the manufacturer should use sound 
engineering judgment to ensure that the data generated using such 
alternative test/sign-off procedures are good data because 
manufacturers would still be responsible for meeting the malfunction 
criteria when emissions tests are performed in accordance with official 
test procedures.
    Manufacturers will be allowed to use alternative testing protocols, 
even chassis testing, for demonstration of MIL illumination if the 
engine dynamometer emissions test cycle does not allow all of a 
monitor's enable conditions to be satisfied. A manufacturer wanting to 
do so will be required to demonstrate the technical necessity for using 
their alternative test cycle and that using it demonstrates that the 
MIL will illuminate during in-use operation with the malfunctioning 
component.
4. Evaluation Protocol
    We have made no changes in the final rule relative to the proposal 
as regards evaluation protocol. For all demonstration tests on parent 
engines, we will expect the MIL to activate upon detecting the 
malfunctioning system or component, and that it will occur before the 
end of the first engine start portion of the emissions test. If the MIL 
activates prior to emissions exceeding the applicable malfunction 
criteria, no further demonstration will be required. With respect to 
the misfire monitor demonstration test, if the manufacturer has elected 
to use the minimum misfire malfunction criterion of one percent (as is 
allowed), then no further demonstration would be required provided the 
MIL illuminates during a test with an implanted misfire of one percent.
    If the MIL does not activate when the system or component being 
tested is set at its malfunction criteria limits, then the criteria 
limits or the OBD system would not be considered acceptable. Retesting 
would be required with more tightly controlled criteria limits (i.e., 
recalibrated limits) and/or another suitable system or component that 
would result in MIL activation. If the criteria limits are 
recalibrated, the manufacturer would be required to confirm that the 
systems and components that were tested prior to recalibration would 
still function properly and as required.
5. Confirmatory Testing
    We have made no changes in the final rule relative to the proposal 
as regards confirmatory testing. We may choose to confirmatory test a 
demonstration engine to verify the emissions test data submitted by the 
manufacturer. Any such confirmatory testing would be limited to the 
engine rating represented by the demonstration engine(s) (i.e., the 
parent engine(s)). To do so, we, or our designee, would install 
appropriately deteriorated or malfunctioning components (or simulate a 
deteriorated or malfunctioning component) in an

[[Page 8349]]

otherwise properly functioning engine of the same engine family and 
rating as the demonstration engine. Such confirmatory testing would be 
done on those OBD monitors for which demonstration testing had been 
conducted as described in this section. The manufacturer would be 
required to make available, upon Administrator request, a test engine 
and all test equipment--e.g., malfunction simulators, deteriorated 
components--necessary to duplicate the manufacturer's testing. As with 
our emission certification program, any failure to pass confirmatory 
testing means that no certificate would be issued until the cause of 
the noncompliance is fixed.

D. Deficiencies

    Our under 14,000 pound OBD requirements have contained a deficiency 
provision for years. The OBD deficiency provision was first introduced 
on March 23, 1995 (60 FR 15242), and was revised on December 22, 1998 
(63 FR 70681). Consistent with that provision, we proposed and are 
finalizing a deficiency provision for over 14,000 pound OBD. We believe 
that, like has occurred and even still occurs with under 14,000 pound 
OBD, some manufacturers will encounter unforeseen and generally last 
minute problems with some of their OBD monitoring strategies despite 
having made a good faith effort to comply with the requirements. 
Therefore, we are providing a provision that would permit certification 
of an over 14,000 pound OBD system with ``deficiencies'' in cases where 
a good faith effort to fully comply has been demonstrated. In making 
deficiency determinations, we will consider the extent to which the OBD 
requirements have been satisfied overall based on our review of the 
certification application, the relative performance of the given OBD 
system compared to systems that truly are fully compliant with the OBD 
requirements, and a demonstrated good-faith effort on the part of the 
manufacturer to both meet the requirements in full and come into full 
compliance as expeditiously as possible.
    We believe that having the deficiency provision is important 
because it facilitates OBD implementation by allowing for certification 
of an engine despite having a relatively minor shortfall. Note that we 
do not expect to certify engines with OBD systems that have more than 
one deficiency, or to allow carryover of any deficiency to the 
following model year unless it can be demonstrated that correction of 
the deficiency requires hardware and/or software modifications that 
cannot be accomplished in the time available, as determined by the 
Administrator.\78\ Nonetheless, we recognize that there may be 
situations where more than one deficiency is necessary and appropriate, 
or where carry-over of a deficiency or deficiencies for more than one 
year is necessary and appropriate. In such situations, more than one 
deficiency, or carry-over for more than one year, may be approved, 
provided the manufacturer has demonstrated an acceptable level of 
effort toward full OBD compliance. Most importantly, the deficiency 
provisions cannot be used as a means to avoid compliance or delay 
implementation of any OBD monitors or as a means to compromise the 
overall effectiveness of the OBD program.
---------------------------------------------------------------------------

    \78\ The CARB HDOBD rulemaking has a provision to charge fees 
associated with OBD deficiencies 13 CCR 1971.1(k)(3), Docket 
ID EPA-HQ-OAR-2005-0047-0006. We have never had and will 
continue not to have any such fee provision.
---------------------------------------------------------------------------

    There has often been some confusion by manufacturers regarding what 
CARB has termed ``retroactive'' deficiencies. The CARB rule states 
that, ``During the first 6 months after commencement of normal 
production, manufacturers may request that the Executive Officer grant 
a deficiency and amend an engine's certification to conform to the 
granting of the deficiencies for each aspect of the monitoring system: 
(a) Identified by the manufacturer (during testing required by section 
(l)(2) or any other testing) to be functioning different than the 
certified system or otherwise not meeting the requirements of any 
aspect of section 1971.1; and (b) reported to the Executive Officer.'' 
\79\ We have never had and did not propose any such retroactive 
deficiency provision. We have regulations in place that govern 
situations, whether they be detected by EPA or by the manufacturer, 
where in-use vehicles or engines are determined to be functioning 
differently than the certified system.\80\ We refer to these 
regulations as our defect reporting requirements and manufacturers are 
required to comply with these regulations, even for situations deemed 
by CARB to be ``retroactive'' deficiencies, unless the defect is 
corrected prior to the sale of engines to an ultimate purchaser. In 
other words, a retroactive deficiency granted by the Executive Officer 
does not preclude a manufacturer from complying with our defect 
reporting requirements.
---------------------------------------------------------------------------

    \79\ See 13 CCR 1971.1(k)(6), Docket ID EPA-HQ-OAR-
2005-0047-0006.
    \80\ See 40 CFR 85.1903.
---------------------------------------------------------------------------

E. Production Evaluation Testing

    We have made no changes in the final rule relative to the proposal 
as regards production evaluation testing. The OBD system is a complex 
software and hardware system, so there are many opportunities for 
unintended interactions that can result in certain elements of the 
system not working as intended. We have seen many such mistakes in the 
under 14,000 pound arena ranging from OBD systems that are unable to 
communicate any information to a scan tool to monitors that are unable 
to store a DTC and illuminate the MIL. While over 14,000 pound heavy-
duty vehicles are very different from light-duty vehicles in terms of 
emission controls and OBD monitoring strategies, among other things, 
these types of problems do not depend on these differences and, as 
such, are as likely to occur with over 14,000 pound OBD as they are 
with under 14,000 pound OBD. Additionally, we believe that there is 
great value in having manufacturers self-test actual production end 
products that operate on the road, as opposed to pre-production 
products, where errors can be found in individual subsystems that may 
work fine by themselves but not when integrated into a complete product 
(e.g., due to mistakes like improper wiring).
    Therefore, we are requiring that manufacturers self-test a small 
fraction of their product line to verify compliance with the OBD 
requirements. The test requirements are divided into three distinct 
sections with each section representing a test for a different portion 
of the OBD requirements. These three sections being: compliance with 
the applicable SAE and/or ISO standardization requirements; compliance 
with the monitoring requirements for proper DTC storage and MIL 
illumination; and, compliance with the in-use monitoring performance 
ratios.
1. Verification of Standardization Requirements
    An essential part of the OBD system is the requirement for 
standardization. The standardization requirements include items as 
simple as the location and shape of the diagnostic connector (where 
technicians can ``plug in'' a scan tool to the onboard computer) to 
more complex subjects concerning the manner and format in which DTC 
information is accessed by technicians via a ``generic'' scan tool. 
Manufacturers must meet these standardization requirements to 
facilitate the success of the OBD program because they ensure 
consistent access by all repair

[[Page 8350]]

technicians to the stored information in the onboard computer. The need 
for consistency is even greater when considering the potential use of 
OBD system checks in inspection and maintenance (I/M) programs for 
heavy-duty. Such OBD based I/M checks would benefit from having access 
to the diagnostic information in the onboard computer via a single 
``generic'' scan tool instead of individual tools for every make and 
model of truck that might be inspected. For OBD based inspections to 
work effectively and efficiently, all engines/vehicles must be designed 
and built to meet all of the applicable standardization requirements.
    While we anticipate that the vast majority of vehicles would comply 
with all of the standardization requirements, some problems involving 
the communication between vehicles and ``generic'' scan tools are 
likely to occur in the field. The cause of such problems could range 
from differing interpretations of the existing standardization 
requirements to possible oversights by design engineers or hardware 
inconsistencies or even last-minute production changes on the assembly 
line.
    To minimize the chance for such problems on future over 14,000 
pound trucks, we are requiring that engine manufacturers test a sample 
of production vehicles from the assembly line to verify that the 
vehicles have indeed been designed and built to the required 
specifications for communication with a ``generic'' scan tool. We are 
requiring that manufacturers test complete vehicles to ensure that they 
comply with some of the basic ``generic'' scan tool standardization 
requirements, including those that are essential for proper inspection 
in an I/M setting. Ideally, manufacturers would test one vehicle for 
each truck and engine model combination that is introduced into 
commerce. However, for a large engine manufacturer, this can be in the 
neighborhood of 5,000 to 10,000 unique combinations making it 
unreasonable to require testing of every combination. Therefore, we are 
requiring that manufacturers test 10 such combinations per engine 
family. Given that a typical engine family has roughly five different 
engine ratings, this works out to testing only around two vehicles per 
engine rating.
    More specifically, manufacturers must test one vehicle per software 
``version'' released by the manufacturer. With proper demonstration, 
manufacturers will be allowed to group different calibrations together 
to be demonstrated by a common vehicle. Prior to acquiring these data, 
the engine manufacturer must submit for approval a test plan verifying 
that the vehicles scheduled for testing will be representative of all 
vehicle configurations (e.g., each engine control module variant 
coupled with and without the other available vehicle components that 
could affect scan tool communication such as automatic transmission or 
hybrid powertrain control modules). The plan must include details on 
all the different applications and configurations that will be tested.
    As noted, manufacturers will be required to conduct this testing on 
actual production vehicles, not stand-alone engines. This is important 
since controllers that work properly in a stand alone setting (e.g., 
the engine before it is installed in a vehicle) may have interaction 
problems when installed and attempting to communicate with other 
vehicle controllers (e.g., the transmission controller). In such a 
case, separate testing of the controllers would be blind to the 
problem. Since heavy-duty engine manufacturers are expected to sell the 
same engine (with the same calibration) to various vehicle 
manufacturers who would put them in different final products (e.g., 
with different transmission control modules), the same communication 
problem would be expected in each final product.
    This testing should occur soon enough in the production cycle to 
provide manufacturers with early feedback regarding the existence of 
any problems and time to resolve the problem prior to the entire model 
year's products being introduced into the field. We are requiring that 
the testing be done and the data submitted to us within either three 
months of the start of normal engine production or one month of the 
start of vehicle production, whichever is later.
    To be sure that all manufacturers are testing vehicles to the same 
level of stringency, we are requiring that engine manufacturers submit 
documentation outlining the testing equipment and methods they intend 
to use to perform this testing. We anticipate that engine manufacturers 
and scan tool manufacturers will probably develop a common piece of 
hardware and software that could be used by all engine manufacturers at 
the end of the vehicle assembly line to meet this requirement. Two 
different projects (SAE J1699 and LOC3T) have developed such equipment 
in response to California OBD II requirements.\81\ The equipment is 
currently being used to test 2005 and 2006 model year vehicles under 
14,000 pounds. We believe that similar equipment could be developed for 
vehicles over 14,000 pounds in time for the 2013 model year. Ideally, 
the equipment and the test procedure would verify each and every 
requirement of the communication specifications including the various 
physical layers, message structure, response times, and message 
content. Presumably, any such verification equipment would not replace 
the function of existing ``generic'' scan tools used by repair 
technicians or I/M inspectors. The equipment would likely be custom-
designed and be used for the express purpose of this assembly line 
testing (i.e., it would not include all of the necessary diagnostic 
features needed by repair technicians).
---------------------------------------------------------------------------

    \81\ 13 CCR 1968.2, August 11, 2006, Docket ID EPA-HQ-
OAR-2005-0047-0005.
---------------------------------------------------------------------------

2. Verification of Monitoring Requirements
    As noted above, the OBD system is a complex software and hardware 
system, so there are many opportunities for unintended interactions 
that can result in certain elements of the system not working as 
intended. The causes of possible problems vary from simple typing 
errors in the software code to component supplier hardware changes late 
in development or just prior to start of production. Given the 
complexity of OBD monitors and their associated algorithms, there can 
be thousands of lines of software code required to meet the diagnostic 
requirements. Implementing that code without interfering with the 
software code required for normal operation is and will be a very 
difficult task with many opportunities for human error. We expect that 
manufacturers will conduct some validation testing on end products to 
ensure that there are no problems that would be noticed by the vehicle 
operator. We believe that manufacturers should include in such 
verification testing an evaluation of the OBD system (e.g., does the 
MIL illuminate as intended in response to a malfunction?).
    Therefore, we are requiring that engine manufacturers perform a 
thorough level of validation testing on at least one production vehicle 
and up to two more production engines per model year. The production 
vehicles/engines required for testing would have to be equipped with/be 
from the same engine families and ratings as used for the certification 
demonstration testing described in section VII.C. If a manufacturer 
demonstrated one, two, or three engines for certification, then at 
least one production vehicle and perhaps an additional one to two

[[Page 8351]]

engines would have to be tested, respectively. We will work with the 
manufacturer and CARB staff to determine the actual vehicles and 
engines to test.
    The testing itself will consist of implanting or simulating 
malfunctions to verify that virtually every single engine-related OBD 
monitor on the vehicle correctly identifies the malfunction, stores an 
appropriate DTC, and illuminates the MIL. Manufacturers will not be 
required to conduct any emissions testing. Instead, for those 
malfunctions designed against an emissions threshold, the manufacturer 
would simply implant or simulate a malfunction and verify detection, 
DTC storage, and MIL illumination. Actual ``threshold'' parts will not 
be needed for such testing. Implanted malfunctions could use severely 
deteriorated parts if desired by the manufacturer since the point of 
the testing is to verify detection, DTC storage, and MIL illumination. 
Upon submitting the data to the Administrator, the manufacturer will be 
required to also provide a description of the testing and the methods 
used to implant or simulate each malfunction. Note that testing of 
specific monitors will not be required if the manufacturer can show 
that no possible test exists that could be done on that monitor without 
causing physical damage to the production vehicle. We are requiring 
that the testing be completed and reported to us within six months 
after the manufacturer begins normal engine production. This should 
provide early feedback on the performance of every monitor on the 
vehicle prior to too many entering production. Upon good cause, we may 
extend the time period for testing.
    Note that, in their HDOBD rule,\82\ CARB allows, as an incentive to 
perform a thorough validation test, a manufacturer to request that any 
problem discovered during this self-test be treated as a 
``retroactive'' deficiency. As discussed in section VII.D, we do not 
have a provision for retroactive deficiencies. Importantly, a 
retroactive deficiency granted by the Executive Officer does not 
preclude a manufacturer from complying with our defect reporting 
requirements. This issue was discussed in more detail in section VII.D.
---------------------------------------------------------------------------

    \82\ 13 CCR 1971.1, Docket ID EPA-HQ-OAR-2005-0047-
0006.
---------------------------------------------------------------------------

3. Verification of In-Use Monitoring Performance Ratios
    We are requiring that manufacturers track the performance of 
several of the most important monitors on the engine to determine how 
often they are monitoring during in-use operation. These requirements 
are discussed in more detail in section II.E. To summarize that 
discussion, monitors are expected to execute in the real world and meet 
a minimum acceptable performance level determined as the ratio of the 
number of good monitoring events to the number of actual trips. The 
ratio required is 10 percent, meaning that monitors should execute 
during at least 10 percent of the trips taken by the engine/vehicle. 
Monitors that perform below the minimum ratio will be subject to 
remedial action and possibly recall. However, the minimum ratio is not 
effective until the 2013 and later model years. For the 2010 through 
2012 model year engines certified to today's OBD requirements, we are 
requiring that the data be collected even though the minimum ratio is 
not yet effective. The data gathered on these engines will help to 
determine whether the 10 percent ratio is appropriate for all 
applications and, if not, we intend to propose a change to the 
requirement to reflect that learning.
    We are requiring that the engine manufacturer gather these data on 
production vehicles rather than engines. Since not every vehicle can be 
evaluated, we are requiring that manufacturers generate groups of 
engine/vehicle combinations to ensure adequate representation of the 
fleet. Specifically, manufacturers will be required to separate 
production vehicles into monitoring performance groups based on the 
following criteria and submit performance ratio data representative of 
each group:
     Emission control system architecture type--All engines 
that use the same or similar emissions control system architecture and 
associated monitoring system would be in the same emission architecture 
category. By architecture we mean engines with EGR + DPF + SCR, or EGR 
+ DPF + NOX Adsorber, or EGR + DPF-only, etc.
     Application type--Within an emission architecture 
category, engines would be separated by vehicle application. The 
separate application categories would be based on three 
classifications: engines intended primarily for line-haul chassis 
applications, engines intended primarily for urban delivery chassis 
applications, and all other engines.
    We are requiring that these data be submitted to us within 12 
months of the production vehicles entering the market. Upon submitting 
the collected data to us, the manufacturer must also provide a detailed 
description of how the data were gathered, how vehicles were grouped to 
represent sales of their engines, and the number of engines tested per 
monitoring performance group. Manufacturers will be required to submit 
performance ratio data from a sample of at least 15 vehicles per 
monitoring performance group. For example, a manufacturer with two 
emission control system architectures sold into each of the line-haul, 
urban delivery, and ``other'' groupings, will be required to submit 
data on up to 90 vehicles (i.e., 2 x 3 x 15). We are requiring that 
these data be collected every year. Some manufacturers may find it 
easiest to collect data from vehicles that come in to its authorized 
repair facilities for routine maintenance or warranty work during the 
time period required, while others may find it more advantageous to 
hire a contractor to collect the data. Upon good cause, we may extend 
the time period for testing.
    As stated before, the data collected under this program are 
intended primarily to provide an early indication that the systems are 
working as intended in the field, to provide information to ``fine-
tune'' the requirement to track the performance of monitors, and to 
provide data to be used to develop a more appropriate minimum ratio for 
future regulatory revisions. The data are not intended to substitute 
for testing that we would perform for enforcement reasons to determine 
if a manufacturer is complying with the minimum acceptable performance 
ratios. In fact, the data collected would not likely meet all the 
required elements for testing to make an official determination that 
the system is noncompliant. As such, we believe the testing will be of 
most value to manufacturers since monitor performance problems can be 
corrected prior to EPA conducting a full enforcement action that could 
result in a recall.

VIII. What Are the Issues Concerning Inspection and Maintenance 
Programs?

    In the preamble to our proposal, we included a discussion of issues 
surrounding potential future HDOBD-based I/M programs. However, while 
we sought comment on these issues, we did not make any formal proposals 
regarding HDOBD-based I/M. We received a fair amount of comment and 
have summarized those comments in the Summary and Analysis document 
contained in the docket for this rule.\83\ We are taking no final 
action regarding HDOBD-based I/M at this time. We refer

[[Page 8352]]

the reader to the proposal for our discussion of the issues, and our 
Summary and Analysis document for a summary of the comments we 
received.
---------------------------------------------------------------------------

    \83\ Summary and Analysis of Comments document, HDOBD final 
rule, EPA420-R-08-018, Docket ID EPA-HQ-OAR-2005-0047-0055.
---------------------------------------------------------------------------

IX. Statutory and Executive Order Reviews

A. Executive Order 12866: Regulatory Planning and Review

    This action is not a ``significant regulatory action'' under the 
terms of Executive Order (EO) 12866 (58 FR 51735, October 4, 1993) and 
is, therefore, not subject to review under the EO.
    EPA prepared an analysis of the potential costs associated with 
this action. This analysis is contained in the technical support 
document.\84\ A copy of the analysis is available in the docket and was 
summarized in section V of this preamble.
---------------------------------------------------------------------------

    \84\ Final Technical Support Document, HDOBD final rule, EPA420-
R-08-019, Docket ID EPA-HQ-OAR-2005-0047-0056.
---------------------------------------------------------------------------

B. Paperwork Reduction Act

    The information collection requirements for this action have been 
submitted for approval to the Office of Management and Budget (OMB) 
under the Paperwork Reduction Act, 44 U.S.C. 3501 et seq. The 
Information Collection Request (ICR) document prepared by EPA has been 
assigned EPA ICR number 1684.13. Under Title II of the Clean Air Act 
(42 U.S.C. 7521 et seq.; CAA), EPA is charged with issuing certificates 
of conformity for those engines that comply with applicable emission 
standards. Such a certificate must be issued before engines may be 
legally introduced into commerce. EPA uses certification information to 
verify that the proper engine prototypes have been selected and that 
the necessary testing has been performed to assure that each engine 
complies with emission standards. In addition, EPA also has the 
authority under Title II of the Clean Air to ensure compliance by 
require in-use testing of vehicles and engines. EPA is requiring 
additional information at the time of certification to ensure that the 
on-board diagnostic (OBD) requirements are being met. EPA is also 
requiring that manufacturers conduct and report the results of in-use 
testing of the OBD systems to demonstrate that they are performing 
properly. Therefore, EPA is requiring 207 hours of annual burden per 
each of the 12 respondents to conduct the OBD certification, 
compliance, and in-use testing requirements required by this action. 
EPA estimates that the total of the of the 2484 hours of annual cost 
burden will be $16,018 per respondent for a total annual industry cost 
burden for the 12 respondents of $1,236,481.
    Burden means the total time, effort, or financial resources 
expended by persons to generate, maintain, retain, or disclose or 
provide information to or for a Federal agency; technology and systems 
for the purposes of collecting, validating, and verifying. This 
includes the time needed to review instructions; develop, acquire, 
install, and utilize information, processing and maintaining 
information, and disclosing and providing information; adjust the 
existing ways to comply with any previously applicable instructions and 
requirements; train personnel to be able to respond to a collection of 
information; search data sources; complete and review the collection of 
information; and transmit or otherwise disclose the information.
    An agency may not conduct or sponsor, and a person is not required 
to respond to a collection of information unless it displays a 
currently valid OMB control number. The OMB control numbers for EPA's 
regulations in 40 CFR are listed in 40 CFR part 9.

C. Regulatory Flexibility Act (RFA), as Amended by the Small Business 
Regulatory Enforcement Fairness Act of 1996 (SBREFA), 5 U.S.C. 601 et 
seq.

    The Regulatory Flexibility Act (RFA) generally requires an agency 
to prepare a regulatory flexibility analysis of any rule subject to 
notice and comment rulemaking requirements under the Administrative 
Procedure Act or any other statute unless the agency certifies that the 
rule will not have a significant economic impact on a substantial 
number of small entities. Small entities include small businesses, 
small organizations, and small governmental jurisdictions.
    For purposes of assessing the impacts of this action on small 
entities, small entity is defined as: (1) A small businesses defined by 
the Small Business Administration's (SBA) regulations at 13 DFR 
121.201; (2) a small governmental jurisdiction that is a government of 
a city, county, town, school district or special district with a 
population of less than 50,000; and (3) a small organization that is 
any not-for-profit enterprise which is independently owned and operated 
and is not dominant in its field.
    After considering the economic impacts of this action on small 
entities, I certify that this final action will not have a significant 
economic impact on a substantial number of small entities. This action 
will not impose any requirements on small entities. This action places 
new requirements on manufacturers of large engines meant for highway 
use. These are large manufacturers. This action also changes existing 
requirements on manufacturers of passenger car and smaller heavy-duty 
engines meant for highway use. These changes place no meaningful new 
requirements on those manufacturers.

D. Unfunded Mandates Reform Act

    Title II of the Unfunded Mandates Reform Act of 1995 (UMRA), Public 
Law 104-4, establishes requirements for federal agencies to assess the 
effects of their regulatory actions on state, local, and tribal 
governments, and the private sector. Under section 202 of the UMRA, EPA 
generally must prepare a written statement, including a cost-benefit 
analysis, for proposed and final rules with ``Federal mandates'' that 
may result in expenditures to state, local, and tribal governments, in 
the aggregate, or to the private sector, of $100 million or more for 
any single year. Before promulgating a rule for which a written 
statement is needed, section 205 of the UMRA generally requires EPA to 
identify and consider a reasonable number of regulatory alternatives 
and to adopt the least costly, most cost-effective, or least burdensome 
alternative that achieves the objectives of the rule. The provisions of 
section 205 do not apply when they are inconsistent with applicable 
law. Moreover, section 205 allows EPA to adopt an alternative that is 
not the least costly, most cost-effective, or least burdensome 
alternative if the Administrator publishes with the final rule an 
explanation of why such an alternative was not adopted.
    Before EPA establishes any regulatory requirement that may 
significantly or uniquely affect small governments, including tribal 
governments, it must have developed under section 203 of the UMRA a 
small government agency plan. The plan must provide for notifying 
potentially affected small governments, enabling officials of affected 
small governments to have meaningful and timely input in the 
development of EPA regulatory proposals with significant Federal 
intergovernmental mandates, and informing, educating, and advising 
small governments on compliance with the regulatory requirements.
    This rule contains no federal mandates (under the regulatory 
provisions of Title II of the UMRA) for State, local, or tribal 
governments or the private sector. The rule imposes no enforceable 
duties on any of these entities. Nothing in the rule would 
significantly or uniquely affect small governments. We have determined 
that this rule does not contain a federal

[[Page 8353]]

mandate that may result in estimated expenditures of more than $100 
million to the private sector in any single year. Therefore, this 
action is not subject to the requirements of sections 202 or 205 of the 
UMRA. Further, this action is also not subject to the requirements of 
section 203 of UMRA.

E. Executive Order 13132: Federalism

    Executive Order 13132, entitled ``Federalism'' (64 FR 43255, August 
10, 1999), requires EPA to develop an accountable process to ensure 
``meaningful and timely input by State and local officials in the 
development of regulatory policies that have federalism implications.'' 
``Policies that have federalism implications'' is defined in the 
Executive Order to include regulations that have ``substantial direct 
effects on the States, on the relationship between the national 
government and the States, or on the distribution of power and 
responsibilities among the various levels of government.''
    This action does not have federalism implications. It will not have 
substantial direct effects on the States, on the relationship between 
the national government and the States, or on the distribution of power 
and responsibilities among the various levels of government, as 
specified in Executive Order 13132. This action places new requirements 
on manufacturers of large engines meant for highway use and changes 
existing requirements on manufacturers of passenger car and smaller 
heavy-duty engines meant for highway use. These changes do not affect 
States or the relationship between the national government and the 
States. Thus, Executive Order 13132 does not apply to this rule.

F. Executive Order 13175: Consultation and Coordination With Indian 
Tribal Governments

    Executive Order 13175, entitled ``Consultation and Coordination 
with Indian Tribal Governments'' (65 FR 67249, November 9, 2000), 
requires EPA to develop an accountable process to ensure ``meaningful 
and timely input by tribal officials in the development of regulatory 
policies that have tribal implications.'' This action does not have 
tribal implications, as specified in Executive Order 13175. This action 
does not uniquely affect the communities of American Indian tribal 
governments since the motor vehicle requirements for private businesses 
in this action would have national applicability. Furthermore, this 
action does not impose any direct compliance costs on these communities 
and no circumstances specific to such communities exist that would 
cause an impact on these communities beyond those discussed in the 
other sections of this document. Thus, Executive Order 13175 does not 
apply to this action.

G. Executive Order 13045: Protection of Children From Environmental 
Health and Safety Risks

    Executive Order 13045, ``Protection of Children from Environmental 
Health Risks and Safety Risks'' (62 FR 19885, April 23, 1997) applies 
to any rule that: (1) Is determined to be ``economically significant'' 
as defined under Executive Order 12866; and, (2) concerns an 
environmental health or safety risk that EPA has reason to believe may 
have a disproportionate effect on children. If the regulatory action 
meets both criteria, the Agency must evaluate the environmental health 
or safety effects of the planned rule on children, and explain why the 
planned regulation is preferable to other potentially effective and 
reasonably feasible alternatives considered by the Agency.
    This action is not subject to the Executive Order because it is not 
an economically significant regulatory action as defined by Executive 
Order 12866, and because the Agency does not have reason to believe the 
environmental health or safety risks addressed by this action present a 
disproportionate risk to children.

H. Executive Order 13211: Actions That Significantly Affect Energy 
Supply, Distribution, or Use

    This action is not subject to Executive Order 13211 (66 FR 28355 
(May 22, 2001)), because it is not a significant regulatory action 
under Executive Order 12866.

I. National Technology Transfer Advancement Act

    Section 12(d) of the National Technology Transfer and Advancement 
Act of 1995 (NTTAA), Section 12(d) of Public Law 104-113, directs EPA 
to use voluntary consensus standards in its regulatory activities 
unless to do so would be inconsistent with applicable law or otherwise 
impractical. Voluntary consensus standards are technical standards 
(e.g., materials specifications, test methods, sampling procedures, and 
business practices) developed or adopted by voluntary consensus 
standards bodies. The NTTAA directs EPA to provide Congress, through 
OMB, explanations when the Agency decides not to use available and 
applicable voluntary consensus standards.
    This final rule references technical standards. The technical 
standards are listed in Sec.  86.1 of the regulatory text, and 
directions for how they may be obtained are provided in Sec.  86.1.

J. Executive Order 12898: Federal Actions To Address Environmental 
Justice in Minority Populations and Low-Income Populations

    Executive Order (EO) 12898 (59 FR 7629 (Feb. 16, 1994)) establishes 
federal executive policy on environmental justice. Its main provision 
directs federal agencies, to the greatest extent practicable and 
permitted by law, to make environmental justice part of their mission 
by identifying and addressing, as appropriate, disproportionately high 
and adverse human health or environmental effects of their programs, 
policies, and activities on minority populations and low-income 
populations in the United States.
    EPA has determined that this final rule will not have 
disproportionately high and adverse human health or environmental 
effects on minority or low-income populations because it increases the 
level of environmental protection for all affected populations without 
having any disproportionately high and adverse human health or 
environmental effects on any population, including any minority or low-
income population. This action applies to all newly produced engines 
nationwide once implemented without regard for where those engines are 
ultimately used. EPA believes that all segments of society will benefit 
equally as a result of today's action and that no one will suffer 
adverse human health or environmental effects.

K. Congressional Review Act

    The Congressional Review Act, 5 U.S.C. 801 et seq., as added by the 
Small Business Regulatory Enforcement Fairness Act of 1996, generally 
provides that before a rule may take effect, the agency promulgating 
the rule must submit a rule report, which includes a copy of the rule, 
to each House of the Congress and to the Comptroller General of the 
United States. EPA will submit a report containing this rule and other 
required information to the U.S. Senate, the U.S. House of 
Representatives, and the Comptroller General of the United States prior 
to publication of the rule in the Federal Register. A Major rule cannot 
take effect until 60 days after it is published in the Federal 
Register. This action is not a ``major rule'' as defined by 5 U.S.C. 
804(2). This rule will be effective April 27, 2009.

[[Page 8354]]

X. Statutory Provisions and Legal Authority

    Statutory authority for today's final rule is found in the Clean 
Air Act, 42 U.S.C. 7401 et seq., in particular, sections 202 and 206 of 
the Act, 42 U.S.C. 7521, 7525. This rule is being promulgated under the 
administrative and procedural provisions of Clean Air Act section 
307(d), 42 U.S.C. 7607(d).

List of Subjects

40 CFR Part 86

    Environmental protection, Administrative practice and procedure, 
Incorporation by reference, Motor vehicle pollution.

40 CFR Part 89

    Environmental protection, Administrative practice and procedure, 
Confidential business information, Imports, Labeling, Motor vehicle 
pollution, Reporting and recordkeeping requirements, Research, Vessels, 
Warranty.

40 CFR Part 90

    Environmental protection, Administrative practice and procedure, 
Confidential business information, Imports, Labeling, Reporting and 
recordkeeping requirements, Research, Warranty.

40 CFR Part 1027

    Environmental protection, Administrative practice and procedure, 
Air pollution control, Imports, Reporting and recordkeeping 
requirements.

40 CFR Part 1033

    Environmental protection, Administrative practice and procedure, 
Confidential business information, Incorporation by reference, 
Labeling, Penalties, Railroads, Reporting and recordkeeping 
requirements.

40 CFR Part 1042

    Environmental protection, Administrative practice and procedure, 
Air pollution control, Confidential business information, Imports, 
Incorporation by reference, Labeling, Penalties, Vessels, Reporting and 
recordkeeping requirements, Warranties.

40 CFR Parts 1048, 1054, and 1060

    Environmental protection, Administrative practice and procedure, 
Air pollution control, Confidential business information, Imports, 
Incorporation by reference, Labeling, Penalties, Reporting and 
recordkeeping requirements, Warranties.

40 CFR Part 1065

    Environmental protection, Administrative practice and procedure, 
Incorporation by reference, Reporting and recordkeeping requirements, 
Research.

40 CFR Part 1068

    Environmental protection, Administrative practice and procedure, 
Confidential business information, Imports, Incorporation by reference, 
Motor vehicle pollution, Penalties, Reporting and recordkeeping 
requirements, Warranties.

    Dated: December 4, 2008.
Stephen L. Johnson,
Administrator.

0
For the reasons set out in the preamble, title 40 chapter I of the Code 
of Federal Regulations is amended as follows:

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

0
1. The authority citation for part 86 continues to read as follows:

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

0
2. Section 86.1 is revised to read as follows:


Sec.  86.1  Reference materials.

    (a) The documents in paragraph (b) of this section have been 
incorporated by reference into this part with the approval of the 
Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 
51. To enforce any edition other than that specified in this section, a 
notice of change must be published in the Federal Register and the 
material must be available to the public. All approved material is 
available for inspection at the National Archives and Records 
Administration (NARA). For information on the availability of this 
material at NARA, call 202-741-6030 or go to http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_ locations.html. 
Also, the material is available for inspection at the Air Docket, EPA/
DC, EPA West, Room B102, 1301 Constitution Ave., NW., Washington, DC. 
The Public Reading Room is open from 8:30 a.m. to 4:30 p.m., Monday 
through Friday, excluding legal holidays. The telephone number for the 
Air Docket is 202-566-1742. Copies are also available from the sources 
listed below.
    (b) The following paragraphs set forth the material that has been 
incorporated by reference in this part.
    (1) ASTM material. Copies of these materials may be obtained from 
American Society for Testing and Materials, 100 Barr Harbor Drive, West 
Conshohocken, PA 19428-2959, or by calling 610-832-9585, or at http://www.astm.org.
    (i) ASTM D 975-04c, Standard Specification for Diesel Fuel Oils, 
IBR approved for Sec. Sec.  86.1910, 86.213-11.
    (ii) ASTM D1945-91, Standard Test Method for Analysis of Natural 
Gas by Gas Chromatography, IBR approved for Sec. Sec.  86.113-94, 
86.513-94, 86.1213-94, 86.1313-94.
    (iii) ASTM D2163-91, Standard Test Method for Analysis of Liquefied 
Petroleum (LP) Gases and Propane Concentrates by Gas Chromatography, 
IBR approved for Sec. Sec.  86.113-94, 86.1213-94, 86.1313-94.
    (iv) ASTM D2986-95a, Reapproved 1999, Standard Practice for 
Evaluation of Air Assay Media by the Monodisperse DOP (Dioctyl 
Phthalate) Smoke Test, IBR approved for Sec. Sec.  86.1310-2007.
    (v) ASTM D5186-91, Standard Test Method for Determination of 
Aromatic Content of Diesel Fuels by Supercritical Fluid Chromatography, 
IBR approved for Sec. Sec.  86.113-07, 86.1313-91, 86.1313-94, 86.1313-
98, 1313-2007.
    (vi) ASTM E29-67, Reapproved 1980, Standard Recommended Practice 
for Indicating Which Places of Figures Are To Be Considered Significant 
in Specified Limiting Values, IBR approved for Sec.  86.1105-87.
    (vii) ASTM E29-90, Standard Practice for Using Significant Digits 
in Test Data to Determine Conformance with Specifications, IBR approved 
for Sec. Sec.  86.609-84, 86.609-96, 86.609-97, 86.609-98, 86.1009-84, 
86.1009-96, 86.1442, 86.1708-99, 86.1709-99, 86.1710-99, 86.1728-99.
    (viii) ASTM E29-93a, Standard Practice for Using Significant Digits 
in Test Data to Determine Conformance with Specifications, IBR approved 
for Sec. Sec.  86.098-15, 86.004-15, 86.007-11, 86.007-15, 86.1803-01, 
86.1823-01, 86.1824-01, 86.1825-01, 86.1837-01.
    (ix) ASTM F1471-93, Standard Test Method for Air Cleaning 
Performance of a High-Efficiency Particulate Air-Filter System, IBR 
approved Sec.  86.1310-2007.
    (2) SAE material. Copies of these materials may be obtained from 
Society of Automotive Engineers International, 400 Commonwealth Dr., 
Warrendale, PA 15096-0001, or by calling 724-776-4841, or at http://www.sae.org.
    (i) SAE J1151, December 1991, Methane Measurement Using Gas 
Chromatography, 1994 SAE Handbook--SAE International Cooperative 
Engineering Program, Volume 1: Materials, Fuels, Emissions, and Noise; 
Section 13 and page 170

[[Page 8355]]

(13.170), IBR approved for Sec. Sec.  86.111-94; 86.1311-94.
    (ii) SAE J1349, June 1990, Engine Power Test Code--Spark Ignition 
and Compression Ignition, IBR approved for Sec. Sec.  86.094-8, 86.096-
8.
    (iii) SAE J1850, July 1995, Class B Data Communication Network 
Interface, IBR approved for Sec. Sec.  86.099-17, 86.1806-01.
    (iv) SAE J1850, Revised May 2001, Class B Data Communication 
Network Interface, IBR approved for Sec. Sec.  86.005-17, 86.007-17, 
86.1806-04, 86.1806-05.
    (v) SAE J1877, July 1994, Recommended Practice for Bar-Coded 
Vehicle Identification Number Label, IBR approved for Sec. Sec.  
86.095-35, 86.1806-01.
    (vi) SAE J1892, October 1993, Recommended Practice for Bar-Coded 
Vehicle Emission Configuration Label, IBR approved for Sec. Sec.  
86.095-35, 86.1806-01.
    (vii) SAE J1930, Revised May 1998, Electrical/Electronic Systems 
Diagnostic Terms, Definitions, Abbreviations, and Acronyms, IBR 
approved for Sec. Sec.  86.096-38, 86.004-38, 86.007-38, 86.010-38, 
86.1808-01, 86.1808-07.
    (viii) SAE J1930, Revised April 2002, Electrical/Electronic Systems 
Diagnostic Terms, Definitions, Abbreviations, and Acronyms--Equivalent 
to ISO/TR 15031-2: April 30, 2002, IBR approved for Sec. Sec.  86.005-
17, 86.007-17, 86.010-18, 86.1806-04, 86.1806-05.
    (ix) SAE J1937, November 1989, Engine Testing with Low Temperature 
Charge Air Cooler Systems in a Dynamometer Test Cell, IBR approved for 
Sec. Sec.  86.1330-84, 86.1330-90.
    (x) SAE J1939, Revised October 2007, Recommended Practice for a 
Serial Control and Communications Vehicle Network, IBR approved for 
Sec. Sec.  86.010-18.
    (xi) SAE J1939-11, December 1994, Physical Layer--250K bits/s, 
Shielded Twisted Pair, IBR approved for Sec. Sec.  86.005-17, 86.1806-
05.
    (xii) SAE J1939-11, Revised October 1999, Physical Layer--250K 
bits/s, Shielded Twisted Pair, IBR approved for Sec. Sec.  86.005-17, 
86.007-17, 86.1806-04, 86.1806-05.
    (xiii) SAE J1939-13, July 1999, Off-Board Diagnostic Connector, IBR 
approved for Sec. Sec.  86.005-17, 86.007-17, 86.1806-04, 86.1806-05.
    (xiv) SAE J1939-13, Revised March 2004, Off-Board Diagnostic 
Connector, IBR approved for Sec.  86.010-18.
    (xv) SAE J1939-21, July 1994, Data Link Layer, IBR approved for 
Sec. Sec.  86.005-17, 86.1806-05.
    (xvi) SAE J1939-21, Revised April 2001, Data Link Layer, IBR 
approved for Sec. Sec.  86.005-17, 86.007-17, 86.1806-04, 86.1806-05.
    (xvii) SAE J1939-31, Revised December 1997, Network Layer, IBR 
approved for Sec. Sec.  86.005-17, 86.007-17, 86.1806-04, 86.1806-05.
    (xviii) SAE J1939-71, May 1996, Vehicle Application Layer, IBR 
approved for Sec. Sec.  86.005-17, 86.1806-05.
    (xix) SAE J1939-71, Revised August 2002, Vehicle Application 
Layer--J1939-71 (through 1999), IBR approved for Sec. Sec.  86.005-17, 
86.007-17, 86.1806-04, 86.1806-05.
    (xx) SAE J1939-71, Revised January 2008, Vehicle Application Layer 
(Through February 2007), IBR approved for Sec.  86.010-38.
    (xxi) SAE J1939-73, February 1996, Application Layer--Diagnostics, 
IBR approved for Sec. Sec.  86.005-17, 86.1806-05.
    (xxii) SAE J1939-73, Revised June 2001, Application Layer--
Diagnostics, IBR approved for Sec. Sec.  86.005-17, 86.007-17, 86.1806-
04, 86.1806-05.
    (xxiii) SAE J1939-73, Revised September 2006, Application Layer--
Diagnostics, IBR approved for Sec. Sec.  86.010-18, 86.010-38.
    (xxiv) SAE J1939-81, July 1997, Recommended Practice for Serial 
Control and Communications Vehicle Network Part 81--Network Management, 
IBR approved for Sec. Sec.  86.005-17, 86.007-17, 86.1806-04, 86.1806-
05.
    (xxv) SAE J1939-81, Revised May 2003, Network Management, IBR 
approved for Sec.  86.010-38.
    (xxvi) SAE J1962, January 1995, Diagnostic Connector, IBR approved 
for Sec. Sec.  86.099-17, 86.1806-01.
    (xxvii) SAE J1962, Revised April 2002, Diagnostic Connector 
Equivalent to ISO/DIS 15031-3; December 14, 2001, IBR approved for 
Sec. Sec.  86.005-17, 86.007-17, 86.010-18, 86.1806-04, 86.1806-05.
    (xxviii) SAE J1978, Revised April 2002, OBD II Scan Tool--
Equivalent to ISO/DIS 15031-4; December 14, 2001, IBR approved for 
Sec. Sec.  86.005-17, 86.007-17, 86.010-18, 86.1806-04, 86.1806-05.
    (xxix) SAE J1979, July 1996, E/E Diagnostic Test Modes, IBR 
approved for Sec. Sec.  86.099-17, 86.1806-01.
    (xxx) SAE J1979, Revised September 1997, E/E Diagnostic Test Modes, 
IBR approved for Sec. Sec.  86.096-38, 86.004-38, 86.007-38, 86.010-38, 
86.1808-01, 86.1808-07.
    (xxxi) SAE J1979, Revised April 2002, E/E Diagnostic Test Modes--
Equivalent to ISO/DIS 15031-5; April 30, 2002, IBR approved for 
Sec. Sec.  86.099-17, 86.005-17, 86.007-17, 86.1806-01, 86.1806-04, 
86.1806-05.
    (xxxii) SAE J1979, Revised May 2007, (R) E/E Diagnostic Test Modes, 
IBR approved for Sec.  86.010-18, 86.010-38.
    (xxxiii) SAE J2012, July 1996, Recommended Practice for Diagnostic 
Trouble Code Definitions, IBR approved for Sec. Sec.  86.099-17, 
86.1806-01.
    (xxxiv) SAE J2012, Revised April 2002, (R) Diagnostic Trouble Code 
Definitions Equivalent to ISO/DIS 15031-6: April 30, 2002, IBR approved 
for Sec. Sec.  86.005-17, 86.007-17, 86.010-18, 86.1806-04, 86.1806-05.
    (xxxv) SAE J2284-3, May 2001, High Speed CAN (HSC) for Vehicle 
Applications at 500 KBPS, IBR approved for Sec. Sec.  86.096-38, 
86.004-38, 86.007-38, 86.010-38, 86.1808-01, 86.1808-07.
    (xxxvi) SAE J2403, Revised August 2007, Medium/Heavy-Duty E/E 
Systems Diagnosis Nomenclature--Truck and Bus, IBR approved for 
Sec. Sec.  86.007-17, 86.010-18, 86.010-38, 86.1806-05.
    (xxxvii) SAE J2534, February 2002, Recommended Practice for Pass-
Thru Vehicle Programming, IBR approved for Sec. Sec.  86.096-38, 
86.004-38, 86.007-38, 86.010-38, 86.1808-01, 86.1808-07.
    (xxxviii) SAE J2534-1, Revised December 2004, (R) Recommended 
Practice for Pass-Thru Vehicle Programming, IBR approved for Sec.  
86.010-38.
    (3) ANSI material. Copies of these materials may be obtained from 
the American National Standards Institute, 25 W 43rd Street, 4th Floor, 
New York, NY 10036, or by calling 212-642-4900, or at http://www.ansi.org.
    (i) ANSI/AGA NGV1-1994, Standard for Compressed Natural Gas Vehicle 
(NGV) Fueling Connection Devices, IBR approved for Sec. Sec.  86.001-9, 
86.004-9, 86.098-8, 86.099-8, 86.099-9, 86.1810-01.
    (ii) [Reserved]
    (4) California regulatory requirements. Copies of these materials 
may be obtained from U.S. EPA, see paragraph (a) of this section, or 
from the California Air Resources Board by calling 916-322-2884, or at 
http://www.arb.ca.gov.
    (i) California Regulatory Requirements Applicable to the ``LEV II'' 
Program, including:
    (A) California Exhaust Emission Standards and Test Procedures for 
2003 and Subsequent Model Zero-Emission Vehicles and 2001 and 
Subsequent Model Hybrid Electric Vehicles, in the Passenger Car, Light-
duty Truck and Medium-duty Vehicle Classes, August 5, 1999, IBR 
approved for Sec. Sec.  86.1806-01, 86.1811-04, 86.1844-01.
    (B) California Non-Methane Organic Gas Test Procedures, August 5, 
1999, IBR approved for Sec. Sec.  86.1803-01, 86.1810-01, 86.1811-04.
    (ii) California Regulatory Requirements Applicable to the National 
Low Emission Vehicle

[[Page 8356]]

Program, October 1996, IBR approved for Sec. Sec.  86.113-04, 86.612-
97, 86.1012-97, 86.1702-99, 86.1708-99, 86.1709-99, 86.1717-99, 
86.1735-99, 86.1771-99, 86.1775-99, 86.1776-99, 86.1777-99, Appendix 
XVI, Appendix XVII.
    (iii) California Regulatory Requirements known as On-board 
Diagnostics II (OBD-II), Approved on April 21, 2003, Title 13, 
California Code Regulations, Section 1968.2, Malfunction and Diagnostic 
System Requirements for 2004 and Subsequent Model-Year Passenger Cars, 
Light-Duty Trucks, and Medium-Duty Vehicles and Engines (OBD-II), IBR 
approved for Sec.  86.1806-05.
    (iv) California Regulatory Requirements known as On-board 
Diagnostics II (OBD-II), Approved on November 9, 2007, Title 13, 
California Code Regulations, Section 1968.2, Malfunction and Diagnostic 
System Requirements for 2004 and Subsequent Model-Year Passenger Cars, 
Light-Duty Trucks, and Medium-Duty Vehicles and Engines (OBD-II), IBR 
approved for Sec. Sec.  86.007-17, 86.1806-05.
    (5) ISO material. Copies of these materials may be obtained from 
the International Organization for Standardization, Case Postale 56, 
CH-1211 Geneva 20, Switzerland, or by calling 41-22-749-01-11, or at 
http://www.iso.org.
    (i) ISO 9141-2, February 1, 1994, Road vehicles--Diagnostic 
systems--Part 2: CARB requirements for interchange of digital 
information, IBR approved for Sec. Sec.  86.099-17, 86.005-17, 86.007-
17, 86.1806-01, 86.1806-04, 86.1806-05.
    (ii) ISO 14230-4:2000(E), June 1, 2000, Road vehicles--Diagnostic 
systems--KWP 2000 requirements for Emission-related systems, IBR 
approved for Sec. Sec.  86.099-17, 86.005-17, 86.007-17, 86.1806-01, 
86.1806-04, 86.1806-05.
    (iii) ISO 15765-4.3:2001, December 14, 2001, Road Vehicles--
Diagnostics on Controller Area Networks (CAN)--Part 4: Requirements for 
emissions-related systems, IBR approved for Sec. Sec.  86.005-17, 
86.007-17, 86.1806-04, 86.1806-05.
    (iv) ISO 15765-4:2005(E), January 15, 2005, Road Vehicles--
Diagnostics on Controller Area Networks (CAN)--Part 4: Requirements for 
emissions-related systems, IBR approved for Sec. Sec.  86.007-17, 
86.010-18, 86.1806-05.
    (6) NIST material. NIST publications are sold by the Government 
Printing Office (GPO) and by the National Technical Information Service 
(NTIS). To purchase a NIST publication you must have the order number. 
Order numbers are available from the NIST Public Inquiries Unit at 
(301) 975-NIST. Mailing address: NIST Public Inquiries, NIST, 100 
Bureau Drive, Stop 3460, Gaithersburg, Md., 20899-3460. If you have a 
GPO stock number, you can purchase printed copies of NIST publications 
from GPO. Orders should be sent to the Superintendent of Documents, 
U.S. Government Printing Office, Washington, DC 20402-9325. For more 
information, or to place an order, call (202) 512-1800, fax: (202) 512-
2250. More information can also be found at http://www.nist.gov.
    (i) NIST Special Publication 811, 1995 Edition, Guide for the Use 
of the International System of Units (SI), IBR approved for Sec.  
86.1901.
    (ii) [Reserved]
    (7) Truck and Maintenance Council material. Copies of these 
materials may be obtained from the Truck and Maintenance Council, 950 
North Glebe Road, Suite 210, Arlington, VA 22203-4181, or by calling 
703-838-1754.
    (i) TMC RP 1210B, Revised June 2007, WINDOWSTM 
COMMUNICATION API, IBR approved for Sec.  86.010-38.
    (ii) [Reserved]

0
3. Section 86.007-17 is added to Subpart A to read as follows:


Sec.  86.007-17  On-board Diagnostics for engines used in applications 
less than or equal to 14,000 pounds GVWR.

    (a) General.
    (1) All heavy-duty engines intended for use in a heavy-duty vehicle 
weighing 14,000 pounds GVWR or less must be equipped with an on-board 
diagnostic (OBD) system capable of monitoring all emission-related 
engine systems or components during the applicable useful life. Heavy-
duty engines intended for use in a heavy-duty vehicle weighing 14,000 
pounds GVWR or less must meet the OBD requirements of this section 
according to the phase-in schedule in paragraph (k) of this section. 
All monitored systems and components must be evaluated periodically, 
but no less frequently than once per applicable certification test 
cycle as defined in Appendix I, paragraph (f), of this part, or similar 
trip as approved by the Administrator.
    (2) An OBD system demonstrated to fully meet the requirements in 
Sec.  86.1806-05 may be used to meet the requirements of this section, 
provided that the Administrator finds that a manufacturer's decision to 
use the flexibility in this paragraph (a)(2) is based on good 
engineering judgment.
    (b) Malfunction descriptions. The OBD system must detect and 
identify malfunctions in all monitored emission-related engine systems 
or components according to the following malfunction definitions as 
measured and calculated in accordance with test procedures set forth in 
subpart N of this part (engine-based test procedures) excluding the 
test procedure referred to as the ``Supplemental emission test; test 
cycle and procedures'' contained in Sec.  86.1360, and excluding the 
test procedure referred to as the ``Not-To-Exceed Test Procedure'' 
contained in Sec.  86.1370, and excluding the test procedure referred 
to as the ``Load Response Test'' contained in Sec.  86.1380.
    (1) Catalysts and particulate filters.
    (i) Otto-cycle. Catalyst deterioration or malfunction before it 
results in an increase in NMHC (or NOX+NMHC, as applicable) 
emissions 1.5 times the NMHC (or NOX+NMHC, as applicable) 
standard or family emission limit (FEL), as compared to the NMHC (or 
NOX+NMHC, as applicable) emission level measured using a 
representative 4000 mile catalyst system.
    (ii) Diesel.
    (A) If equipped, reduction catalyst deterioration or malfunction 
before it results in exhaust NOX emissions exceeding, for 
model years 2007 through 2012, either 1.75 times the applicable 
NOX standard for engines certified to a NOX 
family emission limit (FEL) greater than 0.50 g/bhp-hr, or the 
applicable NOX FEL+0.6 g/bhp-hr for engines certified to a 
NOX FEL less than or equal to 0.50 g/bhp-hr and, for model 
years 2013 and later, the applicable NOX FEL+0.3 g/bhp-hr. 
If equipped, diesel oxidation catalyst (DOC) deterioration or 
malfunction before it results in exhaust NMHC emissions exceeding, for 
model years 2010 through 2012, 2.5 times the applicable NMHC standard 
and, for model years 2013 and later, 2 times the applicable NMHC 
standard. These catalyst monitoring requirements need not be done if 
the manufacturer can demonstrate that deterioration or malfunction of 
the system will not result in exceedance of the threshold. As an 
alternative, oxidation catalyst deterioration or malfunction before it 
results in an inability to achieve a temperature rise of 100 degrees C, 
or to reach the necessary diesel particulate filter (DPF) regeneration 
temperature, within 60 seconds of initiating an active DPF 
regeneration. Further, oxidation catalyst deterioration or malfunction 
when the DOC is unable to sustain the necessary regeneration 
temperature for the duration of the regeneration event. The OBD or 
control system must abort the regeneration if the regeneration 
temperature has not been reached within five minutes of initiating an 
active regeneration event, and if the regeneration temperature cannot 
be sustained for the duration of the regeneration event.

[[Page 8357]]

    (B) If equipped with a DPF for model years 2007 through 2009, 
catastrophic failure of the device must be detected. Any DFP whose 
complete failure results in exhaust emissions exceeding 1.5 times the 
applicable standard or FEL for NMHC (or NOX+NMHC, as 
applicable) or PM must be monitored for such catastrophic failure. This 
monitoring need not be done if the manufacturer can demonstrate that a 
catastrophic failure of the system will not result in exceedance of the 
threshold. If equipped with a DPF for model years 2010 and later, DPF 
deterioration or malfunction before it results in exhaust emissions 
exceeding the applicable PM FEL+0.04 g/bhp-hr or 0.05 g/bhp-hr PM, 
whichever is higher. As an alternative to this requirement for 2010 
through 2012, the OBD system can be designed to detect a malfunction 
based on a detectable decrease in the expected pressure drop across the 
DPF for a period of 5 seconds or more, whenever the engine is speed is 
greater than or equal to 50% (as defined in Sec.  1065.610, Eq. 
1065.610-3) and engine load, or torque, is greater than or equal to 50% 
of the maximum available at that speed under standard emission test 
conditions. For purposes of this paragraph, the detectable change in 
pressure drop is defined by operating the engine at its 50% speed and 
50% load point under standard emission test conditions, observing the 
pressure drop on a clean DPF, and multiplying the observed pressure 
drop by 0.5. The detectable change in pressure drop shall be reported 
in units of kilopascals (kPa). At time of certification, manufacturers 
shall provide the detectable change in pressure drop value along with 
OBD engine data parameters recorded at the following nine engine speed/
load operating points with a clean DPF: 50% speed, 50% load; 50% speed, 
75% load, 50% speed, 100% load; 75% speed, 50% load; 75% speed, 75% 
load; 75% speed, 100% load; 100% speed, 50% load; 100% speed, 75% load; 
and 100% speed, 100% load. The OBD engine data pararmeters to be 
reported are described in Sec.  86.010-18(k)(4)(ii) and shall include 
the following: engine speed; calculated load; air flow rate from mass 
air flow sensor (if so equipped); fuel rate; and DPF delta pressure. On 
all engines so equipped, catastrophic failure of the particulate trap 
must also be detected. In addition, the absence of the particulate trap 
or the trapping substrate must be detected.
    (2) Engine misfire.
    (i) Otto-cycle. Engine misfire resulting in exhaust emissions 
exceeding 1.5 times the applicable standard or FEL for NMHC, 
NOX (or NOX+NMHC, as applicable) or CO; and any 
misfire capable of damaging the catalytic converter.
    (ii) Diesel. Lack of cylinder combustion must be detected.
    (3) Exhaust gas sensors.
    (i) Oxygen sensors and air-fuel ratio sensors downstream of 
aftertreatment devices.
    (A) Otto-cycle. If equipped, sensor deterioration or malfunction 
resulting in exhaust emissions exceeding 1.5 times the applicable 
standard or FEL for NMHC, NOX or CO.
    (B) Diesel. If equipped, sensor deterioration or malfunction 
resulting in exhaust emissions exceeding any of the following levels: 
The applicable PM FEL+0.04 g/bhp-hr or 0.05 g/bhp-hr PM, whichever is 
higher; or, for model years 2007 through 2012, 1.75 times the 
applicable NOX standard for engines certified to a 
NOX FEL greater than 0.50 g/bhp-hr, or, the applicable 
NOX FEL+0.6 g/bhp-hr for engines certified to a 
NOX FEL less than or equal to 0.50 g/bhp-hr and, for model 
years 2013 and later, the applicable NOX FEL+0.3 g/bhp-hr; 
or, for model years 2010 through 2012, 2.5 times the applicable NMHC 
standard and, for model years 2013 and later, 2 times the applicable 
NMHC standard.
    (ii) Oxygen sensors and air-fuel ratio sensors upstream of 
aftertreatment devices.
    (A) Otto-cycle. If equipped, sensor deterioration or malfunction 
resulting in exhaust emissions exceeding 1.5 times the applicable 
standard or FEL for NMHC, NOX or CO.
    (B) Diesel. If equipped, sensor deterioration or malfunction 
resulting in exhaust emissions exceeding any of the following levels: 
for model years 2007 through 2009, the applicable PM FEL+0.04 g/bhp-hr 
or 0.05 g/bhp-hr PM, whichever is higher and, for model years 2010 and 
later, the applicable PM FEL+0.02 g/bhp-hr or 0.03 g/bhp-hr PM, 
whichever is higher; or, for model years 2007 through 2012, 1.75 times 
the applicable NOX standard for engines certified to a 
NOX FEL greater than 0.50 g/bhp-hr, or the applicable 
NOX FEL+0.6 g/bhp-hr for engines certified to a 
NOX FEL less than or equal to 0.50 g/bhp-hr and, for model 
years 2013 and later, the applicable NOX FEL+0.3 g/bhp-hr ; 
or, for model years 2007 through 2012, 2.5 times the applicable NMHC 
standard and, for model years 2013 and later, 2 times the applicable 
NMHC standard; or, for 2007 through 2012, 2.5 times the applicable CO 
standard and, for model years 2013 and later, 2 times the applicable CO 
standard.
    (iii) NOX sensors.
    (A) Otto-cycle. If equipped, sensor deterioration or malfunction 
resulting in exhaust emissions exceeding 1.5 times the applicable 
standard or FEL for NMHC, NOX or CO.
    (B) Diesel. If equipped, sensor deterioration or malfunction 
resulting in exhaust emissions exceeding any of the following levels: 
the applicable PM FEL+0.04 g/bhp-hr or 0.05 g/bhp-hr PM, whichever is 
higher; or, for model years 2007 through 2012, 1.75 times the 
applicable NOX standard for engines certified to a 
NOX FEL greater than 0.50 g/bhp-hr; or, the applicable 
NOX FEL+0.6 g/bhp-hr for engines certified to a 
NOX FEL less than or equal to 0.50 g/bhp-hr and, for model 
years 2013 and later, the applicable NOX FEL+0.3 g/bhp-hr.
    (4) Evaporative leaks. If equipped, any vapor leak in the 
evaporative and/or refueling system (excluding the tubing and 
connections between the purge valve and the intake manifold) greater 
than or equal in magnitude to a leak caused by a 0.040 inch diameter 
orifice; an absence of evaporative purge air flow from the complete 
evaporative emission control system. Where fuel tank capacity is 
greater than 25 gallons, the Administrator may, following a request 
from the manufacturer, revise the size of the orifice to the smallest 
orifice feasible, based on test data, if the most reliable monitoring 
method available cannot reliably detect a system leak equal to a 0.040 
inch diameter orifice.
    (5) Other emission control systems and components.
    (i) Otto-cycle. Any deterioration or malfunction occurring in an 
engine system or component directly intended to control emissions, 
including but not necessarily limited to, the exhaust gas recirculation 
(EGR) system, if equipped, the secondary air system, if equipped, and 
the fuel control system, singularly resulting in exhaust emissions 
exceeding 1.5 times the applicable emission standard or FEL for NMHC, 
NOX or CO. For engines equipped with a secondary air system, 
a functional check, as described in paragraph (b)(6) of this section, 
may satisfy the requirements of this paragraph (b)(5) provided the 
manufacturer can demonstrate that deterioration of the flow 
distribution system is unlikely. This demonstration is subject to 
Administrator approval and, if the demonstration and associated 
functional check are approved, the diagnostic system must indicate a 
malfunction when some degree of secondary airflow is not detectable in 
the exhaust system during the check. For engines equipped with positive 
crankcase ventilation (PCV), monitoring of the PCV system is

[[Page 8358]]

not necessary provided the manufacturer can demonstrate to the 
Administrator's satisfaction that the PCV system is unlikely to fail.
    (ii) Diesel. Any deterioration or malfunction occurring in an 
engine system or component directly intended to control emissions, 
including but not necessarily limited to, the exhaust gas recirculation 
(EGR) system, if equipped, and the fuel control system, singularly 
resulting in exhaust emissions exceeding any of the following levels: 
for model years 2007 through 2009, the applicable PM FEL+0.04 g/bhp-hr 
or 0.05 g/bhp-hr PM, whichever is higher and, for model years 2010 and 
later, the applicable PM FEL+0.02 g/bhp-hr or 0.03 g/bhp-hr PM, 
whichever is higher; or, for model years 2007 through 2012, 1.75 times 
the applicable NOX standard for engines certified to a 
NOX FEL greater than 0.50 g/bhp-hr or the applicable 
NOX FEL+0.6 g/bhp-hr for engines certified to a 
NOX FEL less than or equal to 0.50 g/bhp-hr and, for model 
years 2013 and later, the applicable NOX FEL+0.3 g/bhp-hr; 
or, for model years 2007 through 2012, 2.5 times the applicable NMHC 
standard and, for model years 2013 and later, 2 times the applicable 
NMHC standard; or, for model years 2007 through 2012, 2.5 times the 
applicable CO standard and, for model years 2013 and later, 2 times the 
applicable CO standard. A functional check, as described in paragraph 
(b)(6) of this section, may satisfy the requirements of this paragraph 
(b)(5) provided the manufacturer can demonstrate that a malfunction 
would not cause emissions to exceed the applicable levels. This 
demonstration is subject to Administrator approval. For engines 
equipped with crankcase ventilation (CV), monitoring of the CV system 
is not necessary provided the manufacturer can demonstrate to the 
Administrator's satisfaction that the CV system is unlikely to fail.
    (6) Other emission-related engine components. Any other 
deterioration or malfunction occurring in an electronic emission-
related engine system or component not otherwise described above that 
either provides input to or receives commands from the on-board 
computer and has a measurable impact on emissions; monitoring of 
components required by this paragraph (b)(6) must be satisfied by 
employing electrical circuit continuity checks and rationality checks 
for computer input components (input values within manufacturer 
specified ranges based on other available operating parameters), and 
functionality checks for computer output components (proper functional 
response to computer commands) except that the Administrator may waive 
such a rationality or functionality check where the manufacturer has 
demonstrated infeasibility. Malfunctions are defined as a failure of 
the system or component to meet the electrical circuit continuity 
checks or the rationality or functionality checks.
    (7) Performance of OBD functions. Any sensor or other component 
deterioration or malfunction which renders that sensor or component 
incapable of performing its function as part of the OBD system must be 
detected and identified on engines so equipped.
    (c) Malfunction indicator light (MIL). The OBD system must 
incorporate a malfunction indicator light (MIL) readily visible to the 
vehicle operator. When illuminated, the MIL must display ``Check 
Engine,'' ``Service Engine Soon,'' a universally recognizable engine 
symbol, or a similar phrase or symbol approved by the Administrator. 
More than one general purpose malfunction indicator light for emission-
related problems should not be used; separate specific purpose warning 
lights (e.g., brake system, fasten seat belt, oil pressure, etc.) are 
permitted. The use of red for the OBD-related malfunction indicator 
light is prohibited.
    (d) MIL illumination.
    (1) The MIL must illuminate and remain illuminated when any of the 
conditions specified in paragraph (b) of this section are detected and 
verified, or whenever the engine control enters a default or secondary 
mode of operation considered abnormal for the given engine operating 
conditions. The MIL must blink once per second under any period of 
operation during which engine misfire is occurring and catalyst damage 
is imminent. If such misfire is detected again during the following 
driving cycle (i.e., operation consisting of, at a minimum, engine 
start-up and engine shut-off) or the next driving cycle in which 
similar conditions are encountered, the MIL must maintain a steady 
illumination when the misfire is not occurring and then remain 
illuminated until the MIL extinguishing criteria of this section are 
satisfied. The MIL must also illuminate when the vehicle's ignition is 
in the ``key-on'' position before engine starting or cranking and 
extinguish after engine starting if no malfunction has previously been 
detected. If a fuel system or engine misfire malfunction has previously 
been detected, the MIL may be extinguished if the malfunction does not 
reoccur during three subsequent sequential trips during which similar 
conditions are encountered and no new malfunctions have been detected. 
Similar conditions are defined as engine speed within 375 rpm, engine 
load within 20 percent, and engine warm-up status equivalent to that 
under which the malfunction was first detected. If any malfunction 
other than a fuel system or engine misfire malfunction has been 
detected, the MIL may be extinguished if the malfunction does not 
reoccur during three subsequent sequential trips during which the 
monitoring system responsible for illuminating the MIL functions 
without detecting the malfunction, and no new malfunctions have been 
detected. Upon Administrator approval, statistical MIL illumination 
protocols may be employed, provided they result in comparable 
timeliness in detecting a malfunction and evaluating system 
performance, i.e., three to six driving cycles would be considered 
acceptable.
    (2) Drive cycle or driving cycle, in the context of this Sec.  
86.007-17 and for model years 2010 and later, a drive cycle means 
operation that consists of engine startup and engine shutoff and 
includes the period of engine off time up to the next engine startup. 
For vehicles that employ engine shutoff strategies (e.g., engine 
shutoff at idle), the manufacturer may use an alternative definition 
for drive cycle (e.g., key-on followed by key-off). Any alternative 
definition must be based on equivalence to engine startup and engine 
shutoff signaling the beginning and ending of a single driving event 
for a conventional vehicle. For applications that span 14,000 pounds 
GVWR, the manufacturer may use the drive cycle definition of Sec.  
86.010-18 in lieu of the definition in this paragraph.
    (e) Storing of computer codes. The OBD system shall record and 
store in computer memory diagnostic trouble codes and diagnostic 
readiness codes indicating the status of the emission control system. 
These codes shall be available through the standardized data link 
connector per specifications as referenced in paragraph (h) of this 
section.
    (1) A diagnostic trouble code must be stored for any detected and 
verified malfunction causing MIL illumination. The stored diagnostic 
trouble code must identify the malfunctioning system or component as 
uniquely as possible. At the manufacturer's discretion, a diagnostic 
trouble code may be stored for conditions not causing MIL illumination. 
Regardless, a separate code should be stored indicating the expected 
MIL illumination status (i.e., MIL commanded ``ON,'' MIL commanded 
``OFF'').

[[Page 8359]]

    (2) For a single misfiring cylinder, the diagnostic trouble code(s) 
must uniquely identify the cylinder, unless the manufacturer submits 
data and/or engineering evaluations which adequately demonstrate that 
the misfiring cylinder cannot be reliably identified under certain 
operating conditions. For diesel engines only, the specific cylinder 
for which combustion cannot be detected need not be identified if new 
hardware would be required to do so. The diagnostic trouble code must 
identify multiple misfiring cylinder conditions; under multiple misfire 
conditions, the misfiring cylinders need not be uniquely identified if 
a distinct multiple misfire diagnostic trouble code is stored.
    (3) The diagnostic system may erase a diagnostic trouble code if 
the same code is not re-registered in at least 40 engine warm-up 
cycles, and the malfunction indicator light is not illuminated for that 
code.
    (4) Separate status codes, or readiness codes, must be stored in 
computer memory to identify correctly functioning emission control 
systems and those emission control systems which require further engine 
operation to complete proper diagnostic evaluation. A readiness code 
need not be stored for those monitors that can be considered 
continuously operating monitors (e.g., misfire monitor, fuel system 
monitor, etc.). Readiness codes should never be set to ``not ready'' 
status upon key-on or key-off; intentional setting of readiness codes 
to ``not ready'' status via service procedures must apply to all such 
codes, rather than applying to individual codes. Subject to 
Administrator approval, if monitoring is disabled for a multiple number 
of driving cycles (i.e., more than one) due to the continued presence 
of extreme operating conditions (e.g., ambient temperatures below 
40[deg]F, or altitudes above 8000 feet), readiness for the subject 
monitoring system may be set to ``ready'' status without monitoring 
having been completed. Administrator approval shall be based on the 
conditions for monitoring system disablement, and the number of driving 
cycles specified without completion of monitoring before readiness is 
indicated.
    (f) Available diagnostic data.
    (1) Upon determination of the first malfunction of any component or 
system, ``freeze frame'' engine conditions present at the time must be 
stored in computer memory. Should a subsequent fuel system or misfire 
malfunction occur, any previously stored freeze frame conditions must 
be replaced by the fuel system or misfire conditions (whichever occurs 
first). Stored engine conditions must include, but are not limited to: 
engine speed, open or closed loop operation, fuel system commands, 
coolant temperature, calculated load value, fuel pressure, vehicle 
speed, air flow rate, and intake manifold pressure if the information 
needed to determine these conditions is available to the computer. For 
freeze frame storage, the manufacturer must include the most 
appropriate set of conditions to facilitate effective repairs. If the 
diagnostic trouble code causing the conditions to be stored is erased 
in accordance with paragraph (d) of this section, the stored engine 
conditions may also be erased.
    (2) The following data in addition to the required freeze frame 
information must be made available on demand through the serial port on 
the standardized data link connector, if the information is available 
to the on-board computer or can be determined using information 
available to the on-board computer: Diagnostic trouble codes, engine 
coolant temperature, fuel control system status (closed loop, open 
loop, other), fuel trim, ignition timing advance, intake air 
temperature, manifold air pressure, air flow rate, engine RPM, throttle 
position sensor output value, secondary air status (upstream, 
downstream, or atmosphere), calculated load value, vehicle speed, and 
fuel pressure. The signals must be provided in standard units based on 
SAE specifications as referenced in paragraph (h) of this section. 
Actual signals must be clearly identified separately from default value 
or limp home signals.
    (3) For all OBD systems for which specific on-board evaluation 
tests are conducted (catalyst, oxygen sensor, etc.), the results of the 
most recent test performed by the vehicle, and the limits to which the 
system is compared must be available through the standardized data link 
connector per the appropriate standardized specifications as referenced 
in paragraph (h) of this section.
    (4) Access to the data required to be made available under this 
section shall be unrestricted and shall not require any access codes or 
devices that are only available from the manufacturer.
    (g) Exceptions. The OBD system is not required to evaluate systems 
or components during malfunction conditions if such evaluation would 
result in a risk to safety or failure of systems or components. 
Additionally, the OBD system is not required to evaluate systems or 
components during operation of a power take-off unit such as a dump 
bed, snow plow blade, or aerial bucket, etc.
    (h) Reference materials. The following documents are incorporated 
by reference, see Sec.  86.1. Anyone may inspect copies at the U.S. EPA 
or at the National Archives and Records Administration (NARA). For 
information on the availability of this material at U.S. EPA, NARA, or 
the standard making bodies directly, refer to Sec.  86.1.
    (1) SAE material.
    (i) SAE J1850, Revised May 2001, shall be used as the on-board to 
off-board communications protocol. All emission related messages sent 
to the scan tool over a J1850 data link shall use the Cyclic Redundancy 
Check and the three byte header, and shall not use inter-byte 
separation or check sums.
    (ii) SAE J1979, Revised April 2002. Basic diagnostic data (as 
specified in Sec.  86.007-17(e) and (f)) shall be provided in the 
format and units in this industry standard.
    (iii) SAE J2012, Revised April 2002. Diagnostic trouble codes shall 
be consistent with this industry standard.
    (iv) SAE J1962, Revised April 2002. The connection interface 
between the OBD system and test equipment and diagnostic tools shall 
meet the functional requirements of this industry standard.
    (v) SAE J1930, Revised April 2002; or, SAE J2403, Revised August 
2007. All acronyms, definitions and abbreviations shall be formatted 
according to one or the other of these industry standards.
    (vi) SAE J1978, Revised April 2002. All equipment used to 
interface, extract and display OBD-related information shall meet this 
industry standard.
    (vii) As an alternative to the above standards, heavy-duty vehicles 
may conform to the specifications of these SAE standards: SAE J1939-11, 
Revised October 1999; SAE J1939-13, July 1999; SAE J1939-21, Revised 
April 2001; SAE J1939-31, Revised December 1997; SAE J1939-71, Revised 
August 2002; SAE J1939-73, Revised June 2001; SAE J1939-81, July 1997.
    (2) ISO materials.
    (i) ISO 9141-2, February 1, 1994. This industry standard may be 
used as an alternative to SAE J1850 (as specified in paragraph 
(h)(1)(i) of this section) as the on-board to off-board communications 
protocol.
    (ii) ISO 14230-4:2000(E), June 1, 2000. This industry standard may 
be used as an alternative to SAE J1850 (as specified in paragraph 
(h)(1)(i) of this section) as the on-board to off-board communications 
protocol.
    (iii) ISO 15765-4.3:2001, December 14, 2001. This industry standard 
may be

[[Page 8360]]

used as an alternative to SAE J1850 (as specified in paragraph 
(h)(1)(i) of this section) as the on-board to off-board communications 
protocol.
    (iv) ISO 15765-4:2005(E), January 15, 2005. Beginning with the 2008 
model year and beyond, this industry standard shall be the only 
acceptable protocol used for standardized on-board to off-board 
communications for vehicles below 8500 pounds. For vehicles 8500 to 
14000 pounds, either this ISO industry standard or the SAE standards 
listed in paragraph (h)(1)(vii) of this section shall be the only 
acceptable protocols used for standardized on-board to off-board 
communications.
    (i) Deficiencies and alternative fueled engines. Upon application 
by the manufacturer, the Administrator may accept an OBD system as 
compliant even though specific requirements are not fully met. Such 
compliances without meeting specific requirements, or deficiencies, 
will be granted only if compliance would be infeasible or unreasonable 
considering such factors as, but not limited to: technical feasibility 
of the given monitor and lead time and production cycles including 
phase-in or phase-out of engines or vehicle designs and programmed 
upgrades of computers. Unmet requirements should not be carried over 
from the previous model year except where unreasonable hardware or 
software modifications would be necessary to correct the deficiency, 
and the manufacturer has demonstrated an acceptable level of effort 
toward compliance as determined by the Administrator. Furthermore, EPA 
will not accept any deficiency requests that include the complete lack 
of a major diagnostic monitor (``major'' diagnostic monitors being 
those for exhaust aftertreatment devices, oxygen sensor, air-fuel ratio 
sensor, NOX sensor, engine misfire, evaporative leaks, and 
diesel EGR, if equipped), with the possible exception of the special 
provisions for alternative fueled engines. For alternative fueled 
heavy-duty engines (e.g., natural gas, liquefied petroleum gas, 
methanol, ethanol), manufacturers may request the Administrator to 
waive specific monitoring requirements of this section for which 
monitoring may not be reliable with respect to the use of the 
alternative fuel. At a minimum, alternative fuel engines must be 
equipped with an OBD system meeting OBD requirements to the extent 
feasible as approved by the Administrator.
    (j) California OBDII compliance option. For heavy-duty engines used 
in applications weighing 14,000 pounds GVWR or less, demonstration of 
compliance with California OBD II requirements (Title 13 California 
Code of Regulations Sec.  1968.2 (13 CCR 1968.2)), as modified and 
approved on November 9, 2007 (incorporated by reference, see Sec.  
86.1), shall satisfy the requirements of this section, except that 
compliance with 13 CCR 1968.2(e)(4.2.2)(C), pertaining to 0.02 inch 
evaporative leak detection, and 13 CCR 1968.2(d)(1.4), pertaining to 
tampering protection, are not required to satisfy the requirements of 
this section. Also, the deficiency provisions of 13 CCR 1968.2(k) do 
not apply. The deficiency provisions of paragraph (i) of this section 
and the evaporative leak detection requirement of paragraph (b)(4) of 
this section apply to manufacturers selecting this paragraph (j) for 
demonstrating compliance. In addition, demonstration of compliance with 
13 CCR 1968.2(e)(15.2.1)(C), to the extent it applies to the 
verification of proper alignment between the camshaft and crankshaft, 
applies only to vehicles equipped with variable valve timing.
    (k) Phase-in for heavy-duty engines. Manufacturers of heavy-duty 
engines intended for use in a heavy-duty vehicle weighing 14,000 pounds 
GVWR must comply with the OBD requirements in this section according to 
the following phase-in schedule, based on the percentage of projected 
engine sales within each category. The 2007 requirements in the 
following phase-in schedule apply to all heavy-duty engines intended 
for use in a heavy-duty vehicle weighing 14,000 pounds GVWR or less. 
For the purposes of calculating compliance with the phase-in provisions 
of this paragraph (k), heavy-duty engines may be combined with heavy-
duty vehicles subject to the phase-in requirements of paragraph Sec.  
86.1806-05(l). The OBD Compliance phase-in table follows:

 OBD Compliance Phase-In for Heavy-Duty Engines Intended for Use in a Heavy-Duty Vehicle Weighing 14,000 Pounds
                                                  GVWR or Less
----------------------------------------------------------------------------------------------------------------
                                           Otto-cycle phase-in based on     Diesel phase-in based on projected
               Model year                        projected sales                           sales
----------------------------------------------------------------------------------------------------------------
2007 MY................................  80% compliance; alternative      100% compliance.
                                          fuel waivers available.
2008+ MY 100% compliance...............  100% compliance................  100% compliance.
----------------------------------------------------------------------------------------------------------------


0
4. Section 86.007-30 is added to Subpart A to read as follows:


Sec.  86.007-30  Certification.

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

[[Page 8361]]

manufacturer and will certify compliance for those vehicles previously 
identified in that manufacturer's statement(s) of compliance as 
required in Sec.  86.098-23(b)(4)(i) and (ii).
    (iii) For diesel light-duty vehicles and light-duty trucks, or 
diesel HDEs, included in the applicable particulate averaging program, 
the manufacturer may at any time during production elect to change the 
level of any family particulate emission limit by demonstrating 
compliance with the new limit as described in Sec.  86.094-28(a)(6), 
Sec.  86.094-28(b)(5)(i), or Sec.  86.004-28(c)(5)(i). New certificates 
issued under this paragraph will be applicable only for vehicles (or 
engines) produced subsequent to the date of issuance.
    (iv) For light-duty trucks or HDEs included in the applicable 
NOX averaging program, the manufacturer may at any time 
during production elect to change the level of any family 
NOX emission limit by demonstrating compliance with the new 
limit as described in Sec.  86.094-28(b)(5)(ii) or Sec.  86.004-
28(c)(5)(ii). New certificates issued under this paragraph will be 
applicable only for vehicles (or engines) produced subsequent to the 
day of issue.
    (4)(i) For exempt light-duty vehicles and light-duty trucks under 
the provisions of Sec.  86.094-8(j) or Sec.  86.094-9(j), an adjustment 
or modification performed in accordance with instructions provided by 
the manufacturer for the altitude where the vehicle is principally used 
will not be considered a violation of section 203(a)(3) of the Clean 
Air Act (42 U.S.C. 7522(a)(3)).
    (ii) A violation of section 203(a)(1) of the Clean Air Act (42 
U.S.C. 7522(a)(1)) occurs when a manufacturer sells or delivers to an 
ultimate purchaser any light-duty vehicle or light-duty truck, subject 
to the regulations under the Act, under any of the conditions specified 
in paragraph (a)(4)(ii) of this section.
    (A) When a light-duty vehicle or light-duty truck is exempted from 
meeting high-altitude requirements as provided in Sec.  86.090-8(h) or 
Sec.  86.094-9(h):
    (1) At a designated high-altitude location, unless such 
manufacturer has reason to believe that such vehicle will not be sold 
to an ultimate purchaser for principal use at a designated high-
altitude location; or
    (2) At a location other than a designated high-altitude location, 
when such manufacturer has reason to believe that such motor vehicle 
will be sold to an ultimate purchaser for principal use at a designated 
high-altitude location.
    (B) When a light-duty vehicle or light-duty truck is exempted from 
meeting low-altitude requirements as provided in Sec.  86.094-8(i) or 
Sec.  86.094-9(i):
    (1) At a designated low-altitude location, unless such manufacturer 
has reason to believe that such vehicle will not be sold to an ultimate 
purchaser for principal use at a designated low-altitude location; or
    (2) At a location other than a designated low-altitude location, 
when such manufacturer has reason to believe that such motor vehicle 
will be sold to an ultimate purchaser for principal use at a designated 
low-altitude location.
    (iii) A manufacturer shall be deemed to have reason to believe that 
a light-duty vehicle that has been exempted from compliance with 
emission standards at high-altitude, or a light-duty truck which is not 
configured to meet high-altitude requirements, will not be sold to an 
ultimate purchaser for principal use at a designated high-altitude 
location if the manufacturer has informed its dealers and field 
representatives about the terms of these high-altitude regulations, has 
not caused the improper sale itself, and has taken reasonable action 
which shall include, but not be limited to, either paragraph 
(a)(4)(iii) (A) or (B), and paragraph (a)(4)(iii)(C) of this section:
    (A) Requiring dealers in designated high-altitude locations to 
submit written statements to the manufacturer signed by the ultimate 
purchaser that a vehicle which is not configured to meet high-altitude 
requirements will not be used principally at a designated high-altitude 
location; requiring dealers in counties contiguous to designated high-
altitude locations to submit written statements to the manufacturer, 
signed by the ultimate purchaser who represents to the dealer in the 
normal course of business that he or she resides in a designated high-
altitude location, that a vehicle which is not configured to meet high-
altitude requirements will not be used principally at a designated 
high-altitude location; and for each sale or delivery of fleets of ten 
or more such vehicles in a high-altitude location or in counties 
contiguous to high-altitude locations, requiring either the selling 
dealer or the delivering dealer to submit written statements to the 
manufacturer, signed by the ultimate purchaser who represents to the 
dealer in the normal course of business that he or she resides in a 
designated high-altitude location, that a vehicle which is not 
configured to meet high-altitude requirements will not be used 
principally at a designated high-altitude location. In addition, the 
manufacturer will make available to EPA, upon reasonable written 
request (but not more frequently than quarterly, unless EPA has 
demonstrated that it has substantial reason to believe that an 
improperly configured vehicle has been sold), sales, warranty, or other 
information pertaining to sales of vehicles by the dealers described 
above maintained by the manufacturer in the normal course of business 
relating to the altitude configuration of vehicles and the locations of 
ultimate purchasers; or
    (B) Implementing a system which monitors factory orders of low-
altitude vehicles by high-altitude dealers, or through other means, 
identifies dealers that may have sold or delivered a vehicle not 
configured to meet the high-altitude requirements to an ultimate 
purchaser for principal use at a designated high-altitude location; and 
making such information available to EPA upon reasonable written 
request (but not more frequently than quarterly, unless EPA has 
demonstrated that it has substantial reason to believe that an 
improperly configured vehicle has been sold); and
    (C) Within a reasonable time after receiving written notice from 
EPA or a State or local government agency that a dealer may have 
improperly sold or delivered a vehicle not configured to meet the high-
altitude requirements to an ultimate purchaser residing in a designated 
high-altitude location, or based on information obtained pursuant to 
paragraph (a)(4)(iii) of this section that a dealer may have improperly 
sold or delivered a significant number of such vehicles to ultimate 
purchasers so residing, reminding the dealer in writing of the 
requirements of these regulations, and, where appropriate, warning the 
dealer that sale by the dealer of vehicles not configured to meet high-
altitude requirements may be contrary to the terms of its franchise 
agreement with the manufacturer and the dealer certification 
requirements of Sec.  85.2108 of this chapter.
    (iv) A manufacturer shall be deemed to have reason to believe that 
a light-duty vehicle or light-duty truck which has been exempted from 
compliance with emission standards at low altitude, as provided in 
Sec.  86.094-8(i) or Sec.  86.094-9(i), will not be sold to an ultimate 
purchaser for principal use at a designated low-altitude location if 
the manufacturer has informed its dealers and field representatives 
about the terms of the high-altitude regulations, has not caused the 
improper sale itself, and has taken reasonable action which shall 
include, but not be limited to either Sec.  86.094-30(a)(4)(iv)(A) or 
(B) and Sec.  86.094-30(a)(4)(iv)(C):
    (A) Requiring dealers in designated low-altitude locations to 
submit written

[[Page 8362]]

statements to the manufacturer signed by the ultimate purchaser that a 
vehicle which is not configured to meet low-altitude requirements will 
not be used principally at a designated low-altitude location; 
requiring dealers in counties contiguous to designated low-altitude 
locations to submit written statements to the manufacturer, signed by 
the ultimate purchaser who represents to the dealer in the normal 
course of business that he or she resides in a designated low-altitude 
location, that a vehicle which is not configured to meet low-altitude 
requirements will not be used principally at a designated low-altitude 
location; and for each sale or delivery of fleets of ten or more such 
vehicles in a low-altitude location or in counties contiguous to low-
altitude locations, requiring either the selling dealer or the 
delivering dealer to submit written statements to the manufacturer, 
signed by the ultimate purchaser who represents to the dealer in the 
normal course of business that he or she resides in a designated low-
altitude location, that a vehicle which is not configured to meet low-
altitude requirements will not be used principally at a designated 
high-altitude location. In addition, the manufacturer will make 
available to EPA, upon reasonable written request (but not more 
frequently than quarterly, unless EPA has demonstrated that it has 
substantial reason to believe that an improperly configured vehicle has 
been sold), sales, warranty, or other information pertaining to sales 
of vehicles by the dealers described above maintained by the 
manufacturer in the normal course of business relating to the altitude 
configuration of vehicles and the locations of ultimate purchasers; or
    (B) Implementing a system which monitors factory orders of high-
altitude vehicles by low-altitude dealers, or through other means, 
identifies dealers that may have sold or delivered a vehicle not 
configured to meet the low-altitude requirements to an ultimate 
purchaser for principal use at a designated low-altitude location; and 
making such information available to EPA upon reasonable written 
request (but not more frequently than quarterly, unless EPA has 
demonstrated that it has substantial reason to believe that an 
improperly configured vehicle has been sold); and
    (C) Within a reasonable time after receiving written notice from 
EPA or a state or local government agency that a dealer may have 
improperly sold or delivered a vehicle not configured to meet the low-
altitude requirements to an ultimate purchaser residing in a designated 
low-altitude location, or based on information obtained pursuant to 
paragraph (a)(4)(iv) of this section that a dealer may have improperly 
sold or delivered a significant number of such vehicles to ultimate 
purchasers so residing, reminding the dealer in writing of the 
requirements of these regulations, and, where appropriate, warning the 
dealer that sale by the dealer of vehicles not configured to meet low-
altitude requirements may be contrary to the terms of its franchise 
agreement with the manufacturer and the dealer certification 
requirements of Sec.  85.2108 of this chapter.
    (5)(i) For the purpose of paragraph (a) of this section, a 
``designated high-altitude location'' is any county which has 
substantially all of its area located above 1,219 meters (4,000 feet) 
and:
    (A) Requested and extension past the attainment date of December 
31, 1982, for compliance with either the National Ambient Air Quality 
Standards for carbon monoxide or ozone, as indicated in part 52 
(Approval and Promulgation of Implementation Plans) of this title; or
    (B) Is in the same state as a county designated as a high-altitude 
location according to paragraph (a)(5)(i)(A) of this section.
    (ii) The designated high-altitude locations defined in paragraph 
(a)(5)(i) of this section are listed below:
State of Colorado
Adams
Alamosa
Arapahoe
Archuleta
Boulder
Chaffee
Cheyenne
Clear Creek
Conejos
Costilla
Crowley
Custer
Delta
Denver
Dolores
Douglas
Eagle
Elbert
El Paso
Fremont
Garfield
Gilpin
Grand
Gunnison
Hinsdale
Huerfano
Jackson
Jefferson
Kit Carson
Lake
La Plata
Larimer
Las Animas
Lincoln
Mesa
Mineral
Moffat
Montezuma
Montrose
Morgan
Otero
Ouray
Park
Pitkin
Pueblo
Rio Blanco
Rio Grande
Routt
Saguache
San Juan
San Miguel
Summit
Teller
Washington
Weld
State of Nevada
Carson City
Douglas
Elko
Esmeralda
Eureka
Humboldt
Lander
Lincoln
Lyon
Mineral
Nye
Pershing
Storey
Washoe
White Pine
State of New Mexico
Bernalillo
Catron
Colfax
Curry
De Baca
Grant
Guadalupe
Harding
Hidalgo
Lincoln
Los Alamos
Luna
McKinley
Mora
Otero
Rio Arriba
Roosevelt
Sandoval
San Juan
San Miguel Santa Fe
Sierra
Socorro
Taos
Torrance
Union
Valencia
State of Utah
Beaver

[[Page 8363]]

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

    (iii) For the purpose of paragraph (a) of this section, a 
``designated low-altitude location'' is any county which has 
substantially all of its area located below 1,219 meters (4,000 feet).
    (iv) The designated low-altitude locations so defined include all 
counties in the United States which are not listed in either paragraph 
(a)(5)(ii) of this section or in the list below:
State of Arizona
Apache
Cochise
Coconino
Navajo
Yavapai
State of Idaho
Bannock
Bear Lake
Bingham
Blaine
Bonneville
Butte
Camas
Caribou
Cassia
Clark
Custer
Franklin
Fremont
Jefferson
Lemhi
Madison
Minidoka
Oneida
Power
Treton
Valley
State of Montana
Beaverhead
Deer Lodge
Gallatin
Jefferson
Judith Basin
Madison
Meagher
Park
Powell
Silver Bow
Wheatland
State of Nebraska
Banner
Cheyenne
Kimball
Sioux
State of Oregon
Harney
Klamath
Lake
State of Texas
Jeff Davis
Hudspeth
Parmer
State of Wyoming
Albany
Campbell
Carbon
Converse
Fremont
Goshen
Hot Springs
Johnson
Laramie
Lincoln
Natrona
Niobrara
Park
Platte
Sublette
Sweetwater
Teton
Uinta
Washakie
Weston

    (6) Catalyst-equipped vehicles, otherwise covered by a certificate, 
which are driven outside the United States, Canada, and Mexico will be 
presumed to have been operated on leaded gasoline resulting in 
deactivation of the catalysts. If these vehicles are imported or 
offered for importation without retrofit of the catalyst, they will be 
considered not to be within the coverage of the certificate unless 
included in a catalyst control program operated by a manufacturer or a 
United States Government agency and approved by the Administrator.
    (7) For incomplete light-duty trucks, a certificate covers only 
those new motor vehicles which, when completed by having the primary 
load-carrying device or container attached, conform to the maximum curb 
weight and frontal area limitations described in the application for 
certification as required in Sec.  86.094-21(d).
    (8) For heavy-duty engines, a certificate covers only those new 
motor vehicle engines installed in heavy-duty vehicles which conform to 
the minimum gross vehicle weight rating, curb weight, or frontal area 
limitations for heavyduty vehicles described in Sec.  86.082-2.
    (9) For incomplete gasoline-fueled and methanol-fueled heavy-duty 
vehicles a certificate covers only those new motor vehicles which, when 
completed, conform to the nominal maximum fuel tank capacity 
limitations as described in the application for certification as 
required in Sec.  86.094-21(e).
    (10)(i) For diesel-cycle light-duty vehicle and diesel-cycle light-
duty truck families which are included in a particulate averaging 
program, the manufacturer's production-weighted average of the 
particulate emission limits of all engine families in a participating 
class or classes shall not exceed the applicable diesel-cycle 
particulate standard, or the composite particulate standard defined in 
Sec.  86.090-2 as appropriate, at the end of the model year, as 
determined in accordance with this part. The certificate shall be void 
ab initio for those vehicles causing the production-weighted family 
emission limit (FEL) to exceed the particulate standard.
    (ii) For all heavy-duty diesel-cycle engines which are included in 
the particulate ABT programs under Sec.  86.098-15 or superseding ABT 
sections as applicable, the provisions of paragraphs (a)(10)(ii)(A)-(C) 
of this section apply.
    (A) All certificates issued are conditional upon the manufacturer 
complying with the provisions of Sec.  86.098-15 or superseding ABT 
sections as applicable and the ABT related provisions of other 
applicable sections, both during and after the model year production.
    (B) Failure to comply with all provisions of Sec.  86.098-15 or 
superseding ABT sections as applicable will be considered to be a 
failure to satisfy the conditions upon which the certificate was 
issued, and the certificate may be deemed void ab initio.
    (C) The manufacturer shall bear the burden of establishing to the 
satisfaction of the Administrator that the conditions upon which the 
certificate was issued were satisfied or excused.
    (11)(i) For light-duty truck families which are included in a 
NOX averaging program, the manufacturer's production-
weighted average of the NOX

[[Page 8364]]

emission limits of all such engine families shall not exceed the 
applicable NOX emission standard, or the composite 
NOX emission standard defined in Sec.  86.088-2, as 
appropriate, at the end of the model year, as determined in accordance 
with this part. The certificate shall be void ab initio for those 
vehicles causing the production-weighted FEL to exceed the 
NOX standard.
    (ii) For all HDEs which are included in the NOX plus 
NMHC ABT programs contained in Sec.  86.098-15, or superseding ABT 
sections as applicable, the provisions of paragraphs (a)(11)(ii) (A)-
(C) of this section apply.
    (A) All certificates issued are conditional upon the manufacturer 
complying with the provisions of Sec.  86.098-15 or superseding ABT 
sections as applicable and the ABT related provisions of other 
applicable sections, both during and after the model year production.
    (B) Failure to comply with all provisions of Sec.  86.098-15 or 
superseding ABT sections as applicable will be considered to be a 
failure to satisfy the conditions upon which the certificate was 
issued, and the certificate may be deemed void ab initio.
    (C) The manufacturer shall bear the burden of establishing to the 
satisfaction of the Administrator that the conditions upon which the 
certificate was issued were satisfied or excused.
    (12) For all light-duty vehicles certified to standards under Sec.  
86.094-8 or to which standards under Sec.  86.708-94 are applicable, 
the provisions of paragraphs (a)(12)(i) through (iii) of this section 
apply.
    (13) For all light-duty trucks certified to Tier 0 standards under 
Sec.  86.094-9 and to which standards under Sec.  86.709-94 are 
applicable:
    (i) All certificates issued are conditional upon the manufacturer 
complying with all provisions of Sec. Sec.  86.094-9 and 86.709-94 both 
during and after model year production.
    (ii) Failure to meet the required implementation schedule sales 
percentages as specified in Sec. Sec.  86.094-9 and 86.709-94 will be 
considered to be a failure to satisfy the conditions upon which the 
certificate(s) was issued and the individual vehicles sold in violation 
of the implementation schedule shall not be covered by the certificate.
    (iii) The manufacturer shall bear the burden of establishing to the 
satisfaction of the Administrator that the conditions upon which the 
certificate was issued were satisfied.
    (14) For all light-duty vehicles and light-duty trucks certified 
with an Alternative Service Accumulation Durability Program under Sec.  
86.094-13(e), paragraphs (a)(14)(i) through (iii) of this section 
apply.
    (i) All certificates issued are conditional upon the manufacturer 
performing the in-use verification program pursuant to the agreement 
described in Sec.  86.094-13(e)(8).
    (ii) Failure to fully comply with all the terms of the in-use 
verification program pursuant to the agreement described in Sec.  
86.094-13(e)(8) will be considered a failure to satisfy the conditions 
upon which the certificate was issued. A vehicle or truck will be 
considered to be covered by the certificate only if the manufacturer 
fulfills the conditions upon which the certificate is issued.
    (iii) The manufacturer shall bear the burden of establishing to the 
satisfaction of the Administrator that the conditions upon which the 
certificate was issued were satisfied.
    (15) For all light-duty vehicles certified to evaporative test 
procedures and accompanying standards specified under Sec.  86.096-8:
    (i) All certificates issued are conditional upon the manufacturer 
complying with all provisions of Sec.  86.096-8 both during and after 
model year production.
    (ii) Failure to meet the required implementation schedule sales 
percentages as specified in Sec.  86.096-8 will be considered to be a 
failure to satisfy the conditions upon which the certificate was issued 
and the vehicles sold in violation of the implementation schedule shall 
not be covered by the certificate.
    (iii) The manufacturer shall bear the burden of establishing to the 
satisfaction of the Administrator that the conditions upon which the 
certificate was issued were satisfied.
    (16) For all light-duty trucks certified to evaporative test 
procedures and accompanying standards specified under Sec.  86.096-9:
    (i) All certificates issued are conditional upon the manufacturer 
complying with all provisions of Sec.  86.096-9 both during and after 
model year production.
    (ii) Failure to meet the required implementation schedule sales 
percentages as specified in Sec.  86.096-9 will be considered to be a 
failure to satisfy the conditions upon which the certificate was issued 
and the vehicles sold in violation of the implementation schedule shall 
not be covered by the certificate.
    (iii) The manufacturer shall bear the burden of establishing to the 
satisfaction of the Administrator that the conditions upon which the 
certificate was issued were satisfied.
    (17) For all heavy-duty vehicles certified to evaporative test 
procedures and accompanying standards specified under Sec.  86.096-10:
    (i) All certificates issued are conditional upon the manufacturer 
complying with all provisions of Sec.  86.096-10 both during and after 
model year production.
    (ii) Failure to meet the required implementation schedule sales 
percentages as specified in Sec.  86.096-10 will be considered to be a 
failure to satisfy the conditions upon which the certificate was issued 
and the vehicles sold in violation of the implementation schedule shall 
not be covered by the certificate.
    (iii) The manufacturer shall bear the burden of establishing to the 
satisfaction of the Administrator that the conditions upon which the 
certificate was issued were satisfied.
    (18) For all heavy-duty vehicles certified to evaporative test 
procedures and accompanying standards specified under Sec.  86.098-11:
    (i) All certificates issued are conditional upon the manufacturer 
complying with all provisions of Sec.  86.098-11 both during and after 
model year production.
    (ii) Failure to meet the required implementation schedule sales 
percentages as specified in Sec.  86.098-11 will be considered to be a 
failure to satisfy the conditions upon which the certificate was issued 
and the vehicles sold in violation of the implementation schedule shall 
not be covered by the certificate.
    (iii) The manufacturer shall bear the burden of establishing to the 
satisfaction of the Administrator that the conditions upon which the 
certificate was issued were satisfied.
    (19) For all light-duty vehicles certified to refueling emission 
standards under Sec.  86.098-8, the provisions of paragraphs (a)(19) 
(i) through (iii) of this section apply.
    (i) All certificates issued are conditional upon the manufacturer 
complying with all provisions of Sec.  86.098-8, both during and after 
model year production.
    (ii) Failure to meet the required implementation schedule sales 
percentages as specified in Sec.  86.094-8 be considered to be a 
failure to satisfy the conditions upon which the certificate(s) was 
issued and the vehicles sold in violation of the implementation 
schedule shall not be covered by the certificate.
    (iii) The manufacturer shall bear the burden of establishing to the 
satisfaction

[[Page 8365]]

of the Administrator that the conditions upon which the certificate was 
issued were satisfied.
    (20) For all light-duty trucks certified to refueling emission 
standards under Sec.  86.001-9, the provisions of paragraphs 
(a)(20)(i)-(iii) this section apply.
    (i) All certificates issued are conditional upon the manufacturer 
complying with all provisions of Sec.  86.001-9 both during and after 
model year production.
    (ii) Failure to meet the required implementation schedule sales 
percentages as specified in Sec.  86.001-9 will be considered to be a 
failure to satisfy the conditions upon which the certificate(s) was 
issued and the individual vehicles sold in violation of the 
implementation schedule shall not be covered by the certificate.
    (iii) The manufacturer shall bear the burden of establishing to the 
satisfaction of the Administrator that the conditions upon which the 
certificate was issued were satisfied.
    (21) For all light-duty trucks certified to refueling emission 
standards under Sec.  86.004-9, the provisions of paragraphs 
(a)(21)(i)-(iii) of this section apply.
    (i) All certificates issued are conditional upon the manufacturer 
complying with all provisions of Sec.  86.004-9 both during and after 
model year production.
    (ii) Failure to meet the required implementation schedule sales 
percentages as specified in Sec.  86.004-9 will be considered to be a 
failure to satisfy the conditions upon which the certificate(s) was 
issued and the individual vehicles sold in violation of the 
implementation schedule shall not be covered by the certificate.
    (iii) The manufacturer shall bear the burden of establishing to the 
satisfaction of the Administrator that the conditions upon which the 
certificate was issued were satisfied.
    (b)(1) The Administrator will determine whether a vehicle (or 
engine) covered by the application complies with applicable standards 
(or family emission limits, as appropriate) by observing the following 
relationships: in paragraphs (b)(1)(i) through (iv) of this section:
    (i) Light-duty vehicles.
    (A) The durability data vehicle(s) selected under Sec.  86.094-
24(c)(1)(i) shall represent all vehicles of the same engine system 
combination.
    (B) The emission data vehicle(s) selected under Sec.  86.094-
24(b)(1) (ii) through (iv) shall represent all vehicles of the same 
engine-system combination as applicable.
    (C) The emission data vehicle(s) selected under Sec.  86.094-
24(b)(1)(vii)(A) and (B) shall represent all vehicles of the same 
evaporative control system within the evaporative family.
    (ii) Light-duty trucks.
    (A) The emission data vehicle(s) selected under Sec.  86.094-
24(b)(1)(ii), shall represent all vehicles of the same engine-system 
combination as applicable.
    (B) The emission data vehicle(s) selected under Sec.  86.001-
24(b)(vii)(A) and (B) shall represent all vehicles of the same 
evaporative/refueling control system within the evaporative/refueling 
family.
    (C) The emission data vehicle(s) selected under Sec.  
86.09424(b)(1)(v) shall represent all vehicles of the same engine 
system combination as applicable.
    (D) The emission-data vehicle(s) selected under Sec.  86.098-
24(b)(1)(viii) shall represent all vehicles of the same evaporative/
refueling control system within the evaporative/refueling emission 
family, as applicable.
    (iii) Heavy-duty engines.
    (A) An Otto-cycle emission data test engine selected under Sec.  
86.094-24(b)(2)(iv) shall represent all engines in the same family of 
the same engine displacement-exhaust emission control system 
combination.
    (B) An Otto-cycle emission data test engine selected under Sec.  
86.094-24(b)(2)(iii) shall represent all engines in the same engine 
family of the same engine displacement-exhaust emission control system 
combination.
    (C) A diesel emission data test engine selected under Sec.  86.094-
24(b)(3)(ii) shall represent all engines in the same engine-system 
combination.
    (D) A diesel emission data test engine selected under Sec.  86.094-
24(b)(3)(iii) shall represent all engines of that emission control 
system at the rated fuel delivery of the test engine.
    (iv) Gasoline-fueled and methanol-fueled heavy-duty vehicles. A 
statement of compliance submitted under Sec.  86.094-23(b)(4)(i) or 
(ii) shall represent all vehicles in the same evaporative emission 
family-evaporative emission control system combination.
    (2) The Administrator will proceed as in paragraph (a) of this 
section with respect to the vehicles (or engines) belonging to an 
engine family or engine family-evaporative/refueling emission family 
combination (as applicable), all of which comply with all applicable 
standards (or family emission limits, as appropriate).
    (3) If after a review of the test reports and data submitted by the 
manufacturer, data derived from any additional testing conducted 
pursuant to Sec.  86.091-29, data or information derived from any 
inspection carried out under Sec.  86.094-7(d) or any other pertinent 
data or information, the Administrator determines that one or more test 
vehicles (or test engines) of the certification test fleet do not meet 
applicable standards (or family emission limits, as appropriate), he 
will notify the manufacturer in writing, setting forth the basis for 
his determination. Within 30 days following receipt of the 
notification, the manufacturer may request a hearing on the 
Administrator's determination. The request shall be in writing, signed 
by an authorized representative of the manufacturer and shall include a 
statement specifying the manufacturer's objections to the 
Administrator's determination and data in support of such objections. 
If, after a review of the request and supporting data, the 
Administrator finds that the request raises a substantial factual 
issue, he shall provide the manufacturer a hearing in accordance with 
Sec.  86.078-6 with respect to such issue.
    (4) For light-duty vehicles and light-duty trucks the manufacturer 
may, at its option, proceed with any of the following alternatives with 
respect to an emission data vehicle determined not in compliance with 
all applicable standards (or family emission limits, as appropriate) 
for which it was tested:
    (i) Request a hearing under Sec.  86.078-6; or
    (ii) Remove the vehicle configuration (or evaporative/refueling 
vehicle configuration, as applicable) which failed, from his 
application:
    (A) If the failed vehicle was tested for compliance with exhaust 
emission standards (or family emission limits, as appropriate) only: 
The Administrator may select, in place of the failed vehicle, in 
accordance with the selection criteria employed in selecting the failed 
vehicle, a new emission data vehicle to be tested for exhaust emission 
compliance only; or
    (B) If the failed vehicle was tested for compliance with one or 
more of the exhaust, evaporative and refueling emission standards: The 
Administrator may select, in place of the failed vehicle, in accordance 
with the selection criteria employed in selecting the failed vehicle, a 
new emission data vehicle which will be tested for compliance with all 
of the applicable emission standards. If one vehicle cannot be selected 
in accordance with the selection criteria employed in selecting the 
failed vehicle, then two or more vehicles may be selected (e.g., one 
vehicle to satisfy the exhaust emission vehicle selection criteria and 
one vehicle to satisfy the evaporative and refueling emission vehicle 
selection criteria). The vehicle selected to satisfy

[[Page 8366]]

the exhaust emission vehicle selection criteria will be tested for 
compliance with exhaust emission standards (or family emission limits, 
as appropriate) only. The vehicle selected to satisfy the evaporative 
and/or refueling emission vehicle selection criteria will be tested for 
compliance with exhaust, evaporative and/or refueling emission 
standards; or
    (iii) Remove the vehicle configuration (or evaporative/refueling 
vehicle configuration, as applicable) which failed from the application 
and add a vehicle configuration(s) (or evaporative/refueling vehicle 
configuration(s), as applicable) not previously listed. The 
Administrator may require, if applicable, that the failed vehicle be 
modified to the new engine code (or evaporative/refueling emission 
code, as applicable) and demonstrate by testing that it meets 
applicable standards (or family emission limits, as appropriate) for 
which it was originally tested. In addition, the Administrator may 
select, in accordance with the vehicle selection criteria given in 
Sec.  86.001-24(b), a new emission data vehicle or vehicles. The 
vehicles selected to satisfy the exhaust emission vehicle selection 
criteria will be tested for compliance with exhaust emission standards 
(or family emission limits, as appropriate) only. The vehicles selected 
to satisfy the evaporative emission vehicle selection criteria will be 
tested for compliance with all of the applicable emission standards (or 
family emission limits, as appropriate); or
    (iv) Correct a component or system malfunction and show that with a 
correctly functioning system or component the failed vehicle meets 
applicable standards (or family emission limits, as appropriate) for 
which it was originally tested. The Administrator may require a new 
emission data vehicle, of identical vehicle configuration (or 
evaporative/refueling vehicle configuration, as applicable) to the 
failed vehicle, to be operated and tested for compliance with the 
applicable standards (or family emission limits, as appropriate) for 
which the failed vehicle was originally tested.
    (5) For heavy-duty engines the manufacturer may, at his option, 
proceed with any of the following alternatives with respect to any 
engine family represented by a test engine(s) determined not in 
compliance with applicable standards (or family emission limit, as 
appropriate):
    (i) Request a hearing under Sec.  86.078-6; or
    (ii) Delete from the application for certification the engines 
represented by the failing test engine. (Engines so deleted may be 
included in a later request for certification under Sec.  86.079-32.) 
The Administrator may then select in place of each failing engine an 
alternate engine chosen in accordance with selection criteria employed 
in selecting the engine that failed; or
    (iii) Modify the test engine and demonstrate by testing that it 
meets applicable standards. Another engine which is in all material 
respect the same as the first engine, as modified, may then be operated 
and tested in accordance with applicable test procedures.
    (6) If the manufacturer does not request a hearing or present the 
required data under paragraphs (b)(4) or (5) of this section (as 
applicable) of this section, the Administrator will deny certification.
    (c)(1) Notwithstanding the fact that any certification vehicle(s) 
(or certification engine(s)) may comply with other provisions of this 
subpart, the Administrator may withhold or deny the issuance of a 
certificate of conformity (or suspend or revoke any such certificate 
which has been issued) with respect to any such vehicle(s) (or 
engine(s)) if:
    (i) The manufacturer submits false or incomplete information in his 
application for certification thereof;
    (ii) The manufacturer renders inaccurate any test data which he 
submits pertaining thereto or otherwise circumvents the intent of the 
Act, or of this part with respect to such vehicle (or engine);
    (iii) Any EPA Enforcement Officer is denied access on the terms 
specified in Sec.  86.091-7(d) to any facility or portion thereof which 
contains any of the following:
    (A) The vehicle (or engine);
    (B) Any components used or considered for use in its modification 
or buildup into a certification vehicle (or certification engine);
    (C) Any production vehicle (or production engine) which is or will 
be claimed by the manufacturer to be covered by the certificate;
    (D) Any step in the construction of a vehicle (or engine) described 
in paragraph (c)(iii)(C) of this section;
    (E) Any records, documents, reports, or histories required by this 
part to be kept concerning any of the above; or
    (iv) Any EPA Enforcement Officer is denied ``reasonable 
assistance'' (as defined in Sec.  86.091-7(d) in examining any of the 
items listed in paragraph (c)(1)(iii) of this section.
    (2) The sanctions of withholding, denying, revoking, or suspending 
of a certificate may be imposed for the reasons in paragraphs 
(c)(1)(i), (ii), (iii), or (iv) of this section only when the 
infraction is substantial.
    (3) In any case in which a manufacturer knowingly submits false or 
inaccurate information or knowingly renders inaccurate or invalid any 
test data or commits any other fraudulent acts and such acts contribute 
substantially to the Administrator's decision to issue a certificate of 
conformity, the Administrator may deem such certificate void ab initio.
    (4) In any case in which certification of a vehicle (or engine) is 
proposed to be withheld, denied, revoked, or suspended under paragraph 
(c)(1)(iii) or (iv) of this section, and in which the Administrator has 
presented to the manufacturer involved reasonable evidence that a 
violation of Sec.  86.091-7(d) in fact occurred, the manufacturer, if 
he wishes to contend that, even though the violation occurred, the 
vehicle (or engine) in question was not involved in the violation to a 
degree that would warrant withholding, denial, revocation, or 
suspension of certification under either paragraph (c)(1)(iii) or (iv) 
of this section, shall have the burden of establishing that contention 
to the satisfaction of the Administrator.
    (5) Any revocation or suspension of certification under paragraph 
(c)(1) of this section shall:
    (i) Be made only after the manufacturer concerned has been offered 
an opportunity for a hearing conducted in accordance with Sec.  86.078-
6 hereof; and
    (ii) Extend no further than to forbid the introduction into 
commerce of vehicles (or engines) previously covered by the 
certification which are still in the hands of the manufacturer, except 
in cases of such fraud or other misconduct as makes the certification 
invalid ab initio.
    (6) The manufacturer may request in the form and manner specified 
in paragraph (b)(3) of this section that any determination made by the 
Administrator under paragraph (c)(1) of this section to withhold or 
deny certification be reviewed in a hearing conducted in accordance 
with Sec.  86.078-6. If the Administrator finds, after a review of the 
request and supporting data, that the request raises a substantial 
factual issue, he will grant the request with respect to such issue.
    (d)(1) For light-duty vehicles. Notwithstanding the fact that any 
vehicle configuration or engine family may be covered by a valid 
outstanding certificate of conformity, the Administrator may suspend 
such outstanding certificate of conformity in whole or in part with 
respect to such

[[Page 8367]]

vehicle configuration or engine family if:
    (i) The manufacturer refuses to comply with the provisions of a 
test order issued by the Administrator pursuant to Sec.  86.603; or
    (ii) The manufacturer refuses to comply with any of the 
requirements of Sec.  86.603; or
    (iii) The manufacturer submits false or incomplete information in 
any report or information provided pursuant to the requirements of 
Sec.  86.609; or
    (iv) The manufacturer renders inaccurate any test data which he 
submits pursuant to Sec.  86.609; or
    (v) Any EPA Enforcement Officer is denied the opportunity to 
conduct activities related to entry and access as authorized in Sec.  
86.606 of this part and in a warrant or court order presented to the 
manufacturer or the party in charge of a facility in question; or
    (vi) EPA Enforcement Officers are unable to conduct activities 
related to entry and access or to obtain ``reasonable assistance'' as 
authorized in Sec.  86.606 of this part because a manufacturer has 
located its facility in a foreign jurisdiction where local law 
prohibits those activities; or
    (vii) The manufacturer refuses to or in fact does not comply with 
Sec.  86.604(a), Sec.  86.605, Sec.  86.607, Sec.  86.608, or Sec.  
86.610.
    (2) The sanction of suspending a certificate may not be imposed for 
the reasons in paragraph (d)(1)(i), (ii), or (vii) of this section 
where the refusal is caused by conditions and circumstances outside the 
control of the manufacturer which render it impossible to comply with 
those requirements.
    (3) The sanction of suspending a certificate may be imposed for the 
reasons in paragraph (d)(1)(iii), (iv), or (v) of this section only 
when the infraction is substantial.
    (4) In any case in which a manufacturer knowingly submitted false 
or inaccurate information or knowingly rendered inaccurate any test 
data or committed any other fraudulent acts, and such acts contributed 
substantially to the Administrator's original decision not to suspend 
or revoke a certificate of conformity in whole or in part, the 
Administrator may deem such certificate void from the date of such 
fraudulent act.
    (5) In any case in which certification of a vehicle is proposed to 
be suspended under paragraph (d)(1)(v) of this section and in which the 
Administrator has presented to the manufacturer involved reasonable 
evidence that a violation of Sec.  86.606 in fact occurred, if the 
manufacturer wishes to contend that, although the violation occurred, 
the vehicle configuration or engine family in question was not involved 
in the violation to a degree that would warrant suspension of 
certification under paragraph (d)(1)(v) of this section, the 
manufacturer shall have the burden of establishing the contention to 
the satisfaction of the Administrator.
    (6) Any suspension of certification under paragraph (d)(1) of this 
section shall:
    (i) Be made only after the manufacturer concerned has been offered 
an opportunity for a hearing conducted in accordance with Sec.  86.614; 
and
    (ii) Not apply to vehicles no longer in the hands of the 
manufacturer.
    (7) Any voiding of a certificate of conformity under paragraph 
(d)(4) of this section will be made only after the manufacturer 
concerned has been offered an opportunity for a hearing conducted in 
accordance with Sec.  86.614.
    (8) Any voiding of the certificate under Sec.  86.091-30(a)(10) 
will be made only after the manufacturer concerned has been offered an 
opportunity for a hearing conducted in accordance with Sec.  86.614.
    (e) For light-duty trucks and heavy-duty engines.
    (1) Notwithstanding the fact that any vehicle configuration or 
engine family may be covered by a valid outstanding certificate of 
conformity, the Administrator may suspend such outstanding certificate 
of conformity in whole or in part with respect to such vehicle or 
engine configuration or engine family if:
    (i) The manufacturer refuses to comply with the provisions of a 
test order issued by the Administrator pursuant to Sec.  86.1003; or
    (ii) The manufacturer refuses to comply with any of the 
requirements of Sec.  86.1003; or
    (iii) The manufacturer submits false or incomplete information in 
any report or information provided pursuant to the requirements of 
Sec.  86.1009; or
    (iv) The manufacturer renders inaccurate any test data submitted 
pursuant to Sec.  86.1009; or
    (v) Any EPA Enforcement Officer is denied the opportunity to 
conduct activities related to entry and access as authorized in Sec.  
86.1006 of this part and in a warrant or court order presented to the 
manufacturer or the party in charge of a facility in question; or
    (vi) EPA Enforcement Officers are unable to conduct activities 
related to entry and access as authorized in Sec.  86.1006 of this part 
because a manufacturer has located a facility in a foreign jurisdiction 
where local law prohibits those activities; or
    (vii) The manufacturer refuses to or in fact does not comply with 
the requirements of Sec. Sec.  86.1004(a), 86.1005, 86.1007, 86.1008, 
86.1010, 86.1011, or 86.1013.
    (2) The sanction of suspending a certificate may not be imposed for 
the reasons in paragraph (e)(1) (i), (ii), or (vii) of this section 
where such refusal or denial is caused by conditions and circumstances 
outside the control of the manufacturer which renders it impossible to 
comply with those requirements. Such conditions and circumstances shall 
include, but are not limited to, any uncontrollable factors which 
result in the temporary unavailability of equipment and personnel 
needed to conduct the required tests, such as equipment breakdown or 
failure or illness of personnel, but shall not include failure of the 
manufacturers to adequately plan for and provide the equipment and 
personnel needed to conduct the tests. The manufacturer will bear the 
burden of establishing the presence of the conditions and circumstances 
required by this paragraph.
    (3) The sanction of suspending a certificate may be imposed for the 
reasons outlined in paragraph (e)(1)(iii), (iv), or (v) of this section 
only when the infraction is substantial.
    (4) In any case in which a manufacturer knowingly submitted false 
or inaccurate information or knowingly rendered inaccurate any test 
data or committed any other fraudulent acts, and such acts contributed 
substantially to the Administrator's original decision not to suspend 
or revoke a certificate of conformity in whole or in part, the 
Administrator may deem such certificate void from the date of such 
fraudulent act.
    (5) In any case in which certification of a light-duty truck or 
heavy-duty engine is proposed to be suspended under paragraph (e)(1)(v) 
of this section and in which the Administrator has presented to the 
manufacturer involved reasonable evidence that a violation of Sec.  
86.1006 in fact occurred, if the manufacturer wishes to contend that, 
although the violation occurred, the vehicle or engine configuration or 
engine family in question was not involved in the violation to a degree 
that would warrant suspension of certification under paragraph 
(e)(1)(v) of this section, he shall have the burden of establishing 
that contention to the satisfaction of the Administrator.
    (6) Any suspension of certification under paragraph (e)(1) of this 
section shall:
    (i) Be made only after the manufacturer concerned has been

[[Page 8368]]

offered an opportunity for a hearing conducted in accordance with Sec.  
86.1014; and
    (ii) Not apply to vehicles or engines no longer in the hands of the 
manufacturer.
    (7) Any voiding of a certificate of conformity under paragraph 
(e)(4) of this section shall be made only after the manufacturer 
concerned has been offered an opportunity for a hearing conducted in 
accordance with Sec.  86.1014.
    (8) Any voiding of the certificate under paragraph (a) (10) or (11) 
of this section will be made only after the manufacturer concerned has 
been offered an opportunity for a hearing conducted in accordance with 
Sec.  86.1014.
    (f) For engine families required to have an OBD system and meant 
for applications less than or equal to 14,000 pounds, certification 
will not be granted if, for any test vehicle approved by the 
Administrator in consultation with the manufacturer, the malfunction 
indicator light does not illuminate under any of the following 
circumstances, unless the manufacturer can demonstrate that any 
identified OBD problems discovered during the Administrator's 
evaluation will be corrected on production vehicles.
    (1)(i) Otto-cycle. A catalyst is replaced with a deteriorated or 
defective catalyst, or an electronic simulation of such, resulting in 
an increase of 1.5 times the NMHC+NOX standard or FEL above 
the NMHC+NOX emission level measured using a representative 
4000 mile catalyst system.
    (ii) Diesel.
    (A) If monitored for emissions performance--a reduction catalyst is 
replaced with a deteriorated or defective catalyst, or an electronic 
simulation of such, resulting in exhaust emissions exceeding, for model 
years 2007 through 2012, 1.75 times the applicable NOX 
standard for engines certified to a NOX FEL greater than 
0.50 g/bhp-hr, or the applicable NOX FEL+0.6 g/bhp-hr for 
engines certified to a NOX FEL less than or equal to 0.50 g/
bhp-hr and, for model years 2013 and later, the applicable 
NOX FEL+0.3 g/bhp-hr. Also if monitored for emissions 
performance--an oxidation catalyst is replaced with a deteriorated or 
defective catalyst, or an electronic simulation of such, resulting in 
exhaust NMHC emissions exceeding, for model years 2007 through 2012, 
2.5 times the applicable NMHC standard and, for model years 2013 and 
later, 2 times the applicable NMHC standard. If monitored for exotherm 
performance, an oxidation catalsyt is replaced with a deteriorated or 
defective catalyst, or an electronic simulation of such, resulting in 
an inability to achieve a 100 degree C temperature rise, or the 
necessary regeneration temperature, within 60 seconds of initiating a 
DPF regeneration.
    (B) If monitored for performance--a diesel particulate filter (DPF) 
is replaced with a DPF that has catastrophically failed, or an 
electronic simulation of such; or, for model years 2010 and later, a 
DPF is replaced with a deteriorated or defective DPF, or an electronic 
simulation of such, resulting in either exhaust PM emissions exceeding 
the applicable FEL+0.04 g/bhp-hr or 0.05 g/bhp-hr PM, whichever is 
higher. If monitored for a decrease in the expected pressure drop 
according to the alternative monitoring provision of Sec.  86.007-
17(b)(1)(ii)(B), the OBD system fails to detect any of the pressure 
drop values across the DPF provided by the manufacturer at each of the 
nine engine speed/load operating points regardless of how those 
pressure drops are generated.
    (2)(i) Otto-cycle. An engine misfire condition is induced resulting 
in exhaust emissions exceeding 1.5 times the applicable standards or 
FEL for NMHC+NOX or CO.
    (ii) Diesel. An engine misfire condition is induced and is not 
detected.
    (3) Exhaust gas sensors.
    (i) Oxygen sensors and air-fuel ratio sensors downstream of 
aftertreatment devices.
    (A) Otto-cycle. If so equipped, any oxygen sensor or air-fuel ratio 
sensor located downstream of aftertreatment devices is replaced with a 
deteriorated or defective sensor, or an electronic simulation of such, 
resulting in exhaust emissions exceeding 1.5 times the applicable 
standard or FEL for NMHC, NOX or CO.
    (B) Diesel. If so equipped, any oxygen sensor or air-fuel ratio 
sensor located downstream of aftertreatment devices is replaced with a 
deteriorated or defective sensor, or an electronic simulation of such, 
resulting in exhaust emissions exceeding any of the following levels: 
The applicable PM FEL+0.04 g/bhp-hr or 0.05 g/bhp-hr PM, whichever is 
higher; or, for model years 2007 through 2012, 1.75 times the 
applicable NOX standard for engines certified to a 
NOX FEL greater than 0.50 g/bhp-hr, or the applicable 
NOX FEL+0.6 g/bhp-hr for engines certified to a 
NOX FEL less than or equal to 0.50 g/bhp-hr and, for model 
years 2013 and later, the applicable NOX FEL+0.3 g/bhp-hr; 
or, for model years 2007 through 2012, 2.5 times the applicable NMHC 
standard and, for model years 2013 and later, 2 times the applicable 
NMHC standard.
    (ii) Oxygen sensors and air-fuel ratio sensors upstream of 
aftertreatment devices.
    (A) Otto-cycle. If so equipped, any oxygen sensor or air-fuel ratio 
sensor located upstream of aftertreatment devices is replaced with a 
deteriorated or defective sensor, or an electronic simulation of such, 
resulting in exhaust emissions exceeding 1.5 times the applicable 
standard or FEL for NMHC, NOX or CO.
    (B) Diesel. If so equipped, any oxygen sensor or air-fuel ratio 
sensor located upstream of aftertreatment devices is replaced with a 
deteriorated or defective sensor, or an electronic simulation of such, 
resulting in exhaust emissions exceeding any of the following levels: 
For model years 2007 through 2012, the applicable PM FEL+0.04 g/bhp-hr 
or 0.05 g/bhp-hr PM, whichever is higher and, for model years 2013 and 
later, the applicable PM FEL+0.02 g/bhp-hr or 0.03 g/bhp-hr PM, 
whichever is higher; or, for model years 2007 through 2012, 1.75 times 
the applicable NOX standard for engines certified to a 
NOX FEL greater than 0.50 g/bhp-hr, or the applicable 
NOX FEL+0.6 g/bhp-hr for engines certified to a 
NOX FEL less than or equal to 0.50 g/bhp-hr and, for model 
years 2013 and later, the applicable NOX FEL+0.3 g/bhp-hr; 
or, for model years 2007 through 2012, 2.5 times the applicable NMHC 
standard and, for model years 2013 and later, 2 times the applicable 
NMHC standard; or, for model years 2007 through 2012, 2.5 times the 
applicable CO standard and, for model years 2013 and later, 2 times the 
applicable CO standard.
    (iii) NOX sensors.
    (A) Otto-cycle. If so equipped, any NOX sensor is 
replaced with a deteriorated or defective sensor, or an electronic 
simulation of such, resulting in exhaust emissions exceeding 1.5 times 
the applicable standard or FEL for NMHC, NOX or CO.
    (B) Diesel. If so equipped, any NOX sensor is replaced 
with a deteriorated or defective sensor, or an electronic simulation of 
such, resulting in exhaust emissions exceeding any of the following 
levels: The applicable PM FEL+0.04 g/bhp-hr or 0.05 g/bhp-hr PM, 
whichever is higher; or, for model years 2007 through 2012, 1.75 times 
the applicable NOX standard for engines certified to a 
NOX FEL greater than 0.50 g/bhp-hr, or the applicable 
NOX FEL+0.6 g/bhp-hr for engines certified to a 
NOX FEL less than or equal to 0.50 g/bhp-hr and, for model 
years 2013 and later, the applicable NOX FEL+0.3 g/bhp-hr.
    (4) If so equipped and for Otto-cycle engines, a vapor leak is 
introduced in

[[Page 8369]]

the evaporative and/or refueling system (excluding the tubing and 
connections between the purge valve and the intake manifold) greater 
than or equal in magnitude to a leak caused by a 0.040 inch diameter 
orifice, or the evaporative purge air flow is blocked or otherwise 
eliminated from the complete evaporative emission control system.
    (5)(i) Otto-cycle. A malfunction condition is induced in any 
emission-related engine system or component, including but not 
necessarily limited to, the exhaust gas recirculation (EGR) system, if 
equipped, the secondary air system, if equipped, and the fuel control 
system, singularly resulting in exhaust emissions exceeding 1.5 times 
the applicable emission standard or FEL for NMHC, NOX, or 
CO.
    (ii) Diesel. A malfunction condition is induced in any emission-
related engine system or component, including but not necessarily 
limited to, the exhaust gas recirculation (EGR) system, if equipped, 
and the fuel control system, singularly resulting in exhaust emissions 
exceeding any of the following levels: The applicable PM FEL+0.04 g/
bhp-hr or 0.05 g/bhp-hr PM, whichever is higher; or, for model years 
2007 through 2012, 1.75 times the applicable NOX standard 
for engines certified to a NOX FEL greater than 0.50 g/bhp-
hr, or the applicable NOX FEL+0.6 g/bhp-hr for engines 
certified to a NOX FEL less than or equal to 0.50 g/bhp-hr 
and, for model years 2013 and later, the applicable NOX 
FEL+0.3 g/bhp-hr; or, for model years 2007 through 2012, 2.5 times the 
applicable NMHC standard and, for model years 2013 and later, 2 times 
the applicable NMHC standard; or, for model years 2007 through 2012, 
2.5 times the applicable CO standard and, for model years 2013 and 
later, 2 times the applicable CO standard.
    (6) A malfunction condition is induced in an electronic emission-
related engine system or component not otherwise described above that 
either provides input to or receives commands from the on-board 
computer resulting in a measurable impact on emissions.

0
5. Section 86.010-2 is added to Subpart A to read as follows:


Sec.  86.010-2  Definitions.

    The definitions of Sec.  86.004-2 continue to apply to 2004 and 
later model year vehicles. The definitions listed in this section apply 
beginning with the 2010 model year.
    DTC means diagnostic trouble code.
    Engine or engine system as used in Sec. Sec.  86.007-17, 86.007-30, 
86.010-18, and 86.010-38 means the engine, fuel system, induction 
system, aftertreatment system, and everything that makes up the system 
for which an engine manufacturer has received a certificate of 
conformity.
    Engine start as used in Sec.  86.010-18 means the point when the 
engine reaches a speed 150 rpm below the normal, warmed-up idle speed 
(as determined in the drive position for vehicles equipped with an 
automatic transmission). For hybrid vehicles or for engines employing 
alternative engine start hardware or strategies (e.g., integrated 
starter and generators.), the manufacturer may use an alternative 
definition for engine start (e.g., key-on) provided the alternative 
definition is based on equivalence to an engine start for a 
conventional vehicle.
    Functional check, in the context of onboard diagnostics, means 
verifying that a component and/or system that receives information from 
a control computer responds properly to a command from the control 
computer.
    Ignition cycle as used in Sec.  86.010-18 means a cycle that begins 
with engine start, meets the engine start definition for at least two 
seconds plus or minus one second, and ends with engine shutoff.
    Limp-home operation as used in Sec.  86.010-18 means an operating 
mode that an engine is designed to enter upon determining that normal 
operation cannot be maintained. In general, limp-home operation implies 
that a component or system is not operating properly or is believed to 
be not operating properly.
    Malfunction means the conditions have been met that require the 
activation of an OBD malfunction indicator light and storage of a DTC.
    MIL-on DTC means the diagnostic trouble code stored when an OBD 
system has detected and confirmed that a malfunction exists (e.g., 
typically on the second drive cycle during which a given OBD monitor 
has evaluated a system or component). Industry standards may refer to 
this as a confirmed or an active DTC.
    Onboard Diagnostics (OBD) group means a combination of engines, 
engine families, or engine ratings that use the same OBD strategies and 
similar calibrations.
    Pending DTC means the diagnostic trouble code stored upon the 
detection of a potential malfunction.
    Permanent DTC means a DTC that corresponds to a MIL-on DTC and is 
stored in non-volatile random access memory (NVRAM). A permanent DTC 
can only be erased by the OBD system itself and cannot be erased 
through human interaction with the OBD system or any onboard computer.
    Potential malfunction means that conditions have been detected that 
meet the OBD malfunction criteria but for which more drive cycles are 
allowed to provide further evaluation prior to confirming that a 
malfunction exists.
    Previous-MIL-on DTC means a DTC that corresponds to a MIL-on DTC 
but is distinguished by representing a malfunction that the OBD system 
has determined no longer exists but for which insufficient operation 
has occurred to satisfy the DTC erasure provisions.
    Rationality check, in the context of onboard diagnostics, means 
verifying that a component that provides input to a control computer 
provides an accurate input to the control computer while in the range 
of normal operation and when compared to all other available 
information.
    Similar conditions, in the context of onboard diagnostics, means 
engine conditions having an engine speed within 375 rpm, load 
conditions within 20 percent, and the same warm up status (i.e., cold 
or hot). The manufacturer may use other definitions of similar 
conditions based on comparable timeliness and reliability in detecting 
similar engine operation.

0
6. Section 86.010-18 is added to Subpart A to read as follows:


Sec.  86.010-18  On-board Diagnostics for engines used in applications 
greater than 14,000 pounds GVWR.

    (a) General. According to the implementation schedule shown in 
paragraph (o) of this section, heavy-duty engines intended for use in a 
heavy-duty vehicle weighing more than 14,000 pounds GVWR must be 
equipped with an on-board diagnostic (OBD) system capable of monitoring 
all emission-related engine systems or components during the life of 
the engine. The OBD system is required to detect all malfunctions 
specified in paragraphs (g), (h), and (i) of this Sec.  86.010-18 
although the OBD system is not required to use a unique monitor to 
detect each of those malfunctions.
    (1) When the OBD system detects a malfunction, it must store a 
pending, a MIL-on, or a previous-MIL-on diagnostic trouble code (DTC) 
in the onboard computer's memory. A malfunction indicator light (MIL) 
must also be activated as specified in paragraph (b) of this section.
    (2) Data link connector.
    (i) For model years 2010 through 2012, the OBD system must be 
equipped with a data link connector to provide access to the stored 
DTCs as specified in paragraph (k)(2) of this section.

[[Page 8370]]

    (ii) For model years 2013 and later, the OBD system must be 
equipped with a standardized data link connector to provide access to 
the stored DTCs as specified in paragraph (k)(2) of this section.
    (3) The OBD system cannot be programmed or otherwise designed to 
deactivate based on age and/or mileage. This requirement does not alter 
existing law and enforcement practice regarding a manufacturer's 
liability for an engine beyond its regulatory useful life, except where 
an engine has been programmed or otherwise designed so that an OBD 
system deactivates based on age and/or mileage of the engine.
    (4) Drive cycle or driving cycle, in the context of this Sec.  
86.010-18, means operation that meets any of the conditions of 
paragraphs (a)(4)(i) through (a)(4)(iv) of this section. Further, for 
OBD monitors that run during engine-off conditions, the period of 
engine-off time following engine shutoff and up to the next engine 
start may be considered part of the drive cycle for the conditions of 
paragraphs (a)(4)(i) and (a)(4)(iv) of this section. For engines/
vehicles that employ engine shutoff OBD monitoring strategies that do 
not require the vehicle operator to restart the engine to continue 
vehicle operation (e.g., a hybrid bus with engine shutoff at idle), the 
manufacturer may use an alternative definition for drive cycle (e.g., 
key-on followed by key-off). Any alternative definition must be based 
on equivalence to engine startup and engine shutoff signaling the 
beginning and ending of a single driving event for a conventional 
vehicle. For engines that are not likely to be routinely operated for 
long continuous periods of time, a manufacturer may also request 
approval to use an alternative definition for drive cycle (e.g., solely 
based on engine start and engine shutoff without regard to four hours 
of continuous engine-on time). Administrator approval of the 
alternative definition will be based on manufacturer-submitted data 
and/or information demonstrating the typical usage, operating habits, 
and/or driving patterns of these vehicles.
    (i) Begins with engine start and ends with engine shutoff;
    (ii) Begins with engine start and ends after four hours of 
continuous engine-on operation;
    (iii) Begins at the end of the previous four hours of continuous 
engine-on operation and ends after four hours of continuous engine-on 
operation; or
    (iv) Begins at the end of the previous four hours of continuous 
engine-on operation and ends with engine shutoff.
    (5) As an alternative to demonstrating compliance with the 
provisions of paragraphs (b) through (l) of this Sec.  86.010-18, a 
manufacturer may demonstrate how the OBD system they have designed to 
comply with California OBD requirements for engines used in 
applications greater than 14,000 pounds also complies with the intent 
of the provisions of paragraphs (b) through (l) of this section. To 
make use of this alternative, the manufacturer must demonstrate to the 
Administrator how the OBD system they intend to certify meets the 
intent behind all of the requirements of this section, where applicable 
(e.g., paragraph (h) of this section would not apply for a diesel 
fueled/CI engine). Furthermore, if making use of this alternative, the 
manufacturer must comply with the specific certification documentation 
requirements of paragraph (m)(3) of this section.
    (6) Temporary provisions to address hardship due to unusual 
circumstances.
    (i) After considering the unusual circumstances, the Administrator 
may permit the manufacturer to introduce into U.S. commerce engines 
that do not comply with this Sec.  86.010-18 for a limited time if all 
the following conditions apply:
    (A) Unusual circumstances that are clearly outside the 
manufacturer's control prevent compliance with the requirements of this 
Sec.  86.010-18.
    (B) The manufacturer exercised prudent planning and was not able to 
avoid the violation and has taken all reasonable steps to minimize the 
extent of the nonconformity.
    (C) No other allowances are available under the regulations in this 
chapter to avoid the impending violation.
    (ii) To apply for an exemption, the manufacturer must send to the 
Administrator a written request as soon as possible before being in 
violation. In the request, the manufacturer must show that all the 
conditions and requirements of paragraph (a)(6)(i) of this section are 
met.
    (iii) The request must also include a plan showing how all the 
applicable requirements will be met as quickly as possible.
    (iv) The manufacturer shall give the Administrator other relevant 
information upon request.
    (v) The Administrator may include additional conditions on an 
approval granted under the provisions of this paragraph (a)(6), 
including provisions that may require field repair at the 
manufacturer's expense to correct the noncompliance.
    (vi) Engines sold as non-compliant under this temporary hardship 
provision must display ``non-OBD'' in the data stream as required under 
paragraph (k)(4)(ii) of this section. Upon correcting the 
noncompliance, the data stream value must be updated accordingly.
    (b) Malfunction indicator light (MIL) and Diagnostic Trouble Codes 
(DTC). The OBD system must incorporate a malfunction indicator light 
(MIL) or equivalent and must store specific types of diagnostic trouble 
codes (DTC). Unless otherwise specified, all provisions of this 
paragraph (b) apply for 2010 and later model years.
    (1) MIL specifications.
    (i) For model years 2013 and later, the MIL must be located on the 
primary driver's side instrument panel and be of sufficient 
illumination and location to be readily visible under all lighting 
conditions. The MIL must be amber (yellow) in color; the use of red for 
the OBD-related MIL is prohibited. More than one general purpose 
malfunction indicator light for emission-related problems shall not be 
used; separate specific purpose warning lights (e.g., brake system, 
fasten seat belt, oil pressure, etc.) are permitted. When activated, 
the MIL shall display the International Standards Organization (ISO) 
engine symbol.
    (ii) The OBD system must activate the MIL when the ignition is in 
the key-on/engine-off position before engine cranking to indicate that 
the MIL is functional. The MIL shall be activated continuously during 
this functional check for a minimum of 5 seconds. During this MIL key-
on functional check, the data stream value (see paragraph (k)(4)(ii) of 
this section) for MIL status must indicate ``commanded off'' unless the 
OBD system has detected a malfunction and has stored a MIL-on DTC. This 
MIL key-on functional check is not required during vehicle operation in 
the key-on/engine-off position subsequent to the initial engine 
cranking of an ignition cycle (e.g., due to an engine stall or other 
non-commanded engine shutoff).
    (iii) As an option, the MIL may be used to indicate readiness 
status (see paragraph (k)(4)(i) of this section) in a standardized 
format in the key-on/engine-off position.
    (iv) A manufacturer may also use the MIL to indicate which, if any, 
DTCs are currently stored (e.g., to ``blink'' the stored DTCs). Such 
use must not activate unintentionally during routine driver operation.
    (v) For model years 2013 and later, the MIL required by this 
paragraph (b) must not be used in any other way than is specified in 
this section.

[[Page 8371]]

    (2) MIL activation and DTC storage protocol.
    (i) Within 10 seconds of detecting a potential malfunction, the OBD 
system must store a pending DTC that identifies the potential 
malfunction.
    (ii) If the potential malfunction is again detected before the end 
of the next drive cycle during which monitoring occurs (i.e., the 
potential malfunction has been confirmed as a malfunction), then within 
10 seconds of such detection the OBD system must activate the MIL 
continuously and store a MIL-on DTC (systems using the SAE J1939 
standard protocol specified in paragraph (k)(1) of this section may 
either erase or retain the pending DTC in conjunction with storing the 
MIL-on DTC). If the potential malfunction is not detected before the 
end of the next drive cycle during which monitoring occurs (i.e., there 
is no indication of the malfunction at any time during the drive 
cycle), the corresponding pending DTC should be erased at the end of 
the drive cycle. Similarly, if a malfunction is detected for the first 
time and confirmed on a given drive cycle without need for further 
evaluation, then within 10 seconds of such detection the OBD system 
must activate the MIL continuously and store a MIL-on DTC (again, 
systems using the SAE J1939 standard protocol specified in paragraph 
(k)(1) of this section may optionally store a pending DTC in 
conjunction with storing the MIL-on DTC).
    (iii) A manufacturer may request Administrator approval to employ 
alternative statistical MIL activation and DTC storage protocols to 
those specified in paragraphs (b)(2)(i) and (b)(2)(ii) of this section. 
Approval will depend upon the manufacturer providing data and/or 
engineering evaluations that demonstrate that the alternative protocols 
can evaluate system performance and detect malfunctions in a manner 
that is equally effective and timely. Strategies requiring on average 
more than six drive cycles for MIL activation will not be accepted.
    (iv) The OBD system must store a ``freeze frame'' of the operating 
conditions (as defined in paragraph (k)(4)(iii) of this section) 
present upon detecting a malfunction or a potential malfunction. In the 
event that a pending DTC has matured to a MIL-on DTC, the manufacturer 
shall either retain the currently stored freeze frame conditions or 
replace the stored freeze frame with freeze frame conditions regarding 
the MIL-on DTC. Any freeze frame stored in conjunction with any pending 
DTC or MIL-on DTC should be erased upon erasure of the corresponding 
DTC.
    (v) If the engine enters a limp-home mode of operation that can 
affect emissions or the performance of the OBD system, or in the event 
of a malfunction of an onboard computer(s) itself that can affect the 
performance of the OBD system, the OBD system must activate the MIL and 
store a MIL-on DTC within 10 seconds to inform the vehicle operator. If 
the limp-home mode of operation is recoverable (i.e., operation 
automatically returns to normal at the beginning of the following 
ignition cycle), the OBD system may wait to activate the MIL and store 
the MIL-on DTC if the limp-home mode of operation is again entered 
before the end of the next ignition cycle rather than activating the 
MIL within 10 seconds on the first drive cycle during which the limp-
home mode of operation is entered.
    (vi) Before the end of an ignition cycle, the OBD system must store 
a permanent DTC(s) that corresponds to any stored MIL-on DTC(s).
    (3) MIL deactivation and DTC erasure protocol.
    (i) Deactivating the MIL. Except as otherwise provided for in 
paragraphs (g)(2)(iv)(E) and (g)(6)(iv)(B) of this section for diesel 
misfire malfunctions and empty reductant tanks, and paragraphs 
(h)(1)(iv)(F), (h)(2)(viii), and (h)(7)(iv)(B) of this section for 
gasoline fuel system, misfire, and evaporative system malfunctions, 
once the MIL has been activated, it may be deactivated after three 
subsequent sequential drive cycles during which the monitoring system 
responsible for activating the MIL functions and the previously 
detected malfunction is no longer present and provided no other 
malfunction has been detected that would independently activate the MIL 
according to the requirements outlined in paragraph (b)(2) of this 
section.
    (ii) Erasing a MIL-on DTC. The OBD system may erase a MIL-on DTC if 
the identified malfunction has not again been detected in at least 40 
engine warm up cycles and the MIL is presently not activated for that 
malfunction. The OBD system may also erase a MIL-on DTC upon 
deactivating the MIL according to paragraph (b)(3)(i) of this section 
provided a previous-MIL-on DTC is stored upon erasure of the MIL-on 
DTC. The OBD system may erase a previous-MIL-on DTC if the identified 
malfunction has not again been detected in at least 40 engine warm up 
cycles and the MIL is presently not activated for that malfunction.
    (iii) Erasing a permanent DTC. The OBD system can erase a permanent 
DTC only if:
    (A) The OBD system itself determines that the malfunction that 
caused the corresponding permanent DTC to be stored is no longer 
present and is not commanding activation of the MIL, concurrent with 
the requirements of paragraph (b)(3)(i) of this section which, for 
purposes of this paragraph (b)(3)(iii), shall apply to all monitors.
    (B) All externally erasable DTC information stored in the onboard 
computer has been erased (i.e., through the use of a scan tool or 
battery disconnect) and the monitor of the malfunction that caused the 
permanent DTC to be stored is subject to the minimum ratio requirements 
of paragraph (d) of this section, the OBD system shall erase the 
permanent DTC at the end of a drive cycle if the monitor has run and 
made one or more determinations during a drive cycle that the 
malfunction of the component or the system is not present and has not 
made any determinations within the same drive cycle that the 
malfunction is present.
    (C) (1) All externally erasable DTC information stored in the 
onboard computer has been erased (i.e., through the use of a scan tool 
or battery disconnect) and the monitor of the malfunction that caused 
the permanent DTC to be stored is not subject to the minimum ratio 
requirements of paragraph (d) of this section, the OBD system shall 
erase the permanent DTC at the end of a drive cycle provided the 
following two criteria have independently been satisfied:
    (i) The monitor has run and made one or more determinations during 
a drive cycle that the malfunction is no longer present and has not 
made any determinations within the same drive cycle that the 
malfunction is present; and,
    (ii) The monitor does not detect a malfunction on a drive cycle and 
the criteria of paragraph (d)(4)(ii) of this section has been met.
    (2) These two separate criteria may be met on the same or different 
drive cycles provided the monitor never detects a malfunction during 
either drive cycle, and if criteria (b)(3)(iii)(C)(1)(i) happens first 
then no malfunction may be detected before criteria 
(b)(3)(iii)(C)(1)(ii) occurs. If a malfunction occurs after criteria 
(b)(3)(iii)(C)(1)(i) then criteria (b)(3)(iii)(C)(1)(i) must be 
satisfied again. For the second criterion, the manufacturer must 
exclude any temperature and/or elevation provisions of paragraph 
(d)(4)(ii) of this section. For this paragraph (b)(3)(iii)(C), monitors 
required to use ``similar conditions'' as defined in Sec.  86.010-2 to

[[Page 8372]]

store and erase pending and MIL-on DTCs cannot require that the similar 
conditions be met prior to erasure of the permanent DTC.
    (D) The Administrator shall allow monitors subject to paragraph 
(b)(3)(iii)(B) of this section to use the criteria of paragraph 
(b)(3)(iii)(C) of this section in lieu of paragraph (b)(3)(iii)(B). 
Further, manufacturers may request Administrator approval to use 
alternative criteria to erase the permanent DTC. The Administrator 
shall approve alternate criteria that will not likely require driving 
conditions that are longer and more difficult to meet than those 
required under paragraph (b)(3)(iii)(C) of this section and do not 
require access to enhanced scan tools to determine conditions necessary 
to erase the permanent DTC.
    (4) Exceptions to MIL and DTC requirements.
    (i) If a limp-home mode of operation causes a overt indication 
(e.g., activation of a red engine shut-down warning light) such that 
the driver is certain to respond and have the problem corrected, a 
manufacturer may choose not to activate the MIL as required by 
paragraph (b)(2)(v) of this section. Additionally, if an auxiliary 
emission control device has been properly activated as approved by the 
Administrator, a manufacturer may choose not to activate the MIL.
    (ii) For gasoline engines, a manufacturer may choose to meet the 
MIL and DTC requirements in Sec.  86.007-17 in lieu of meeting the 
requirements of paragraph (b) of this Sec.  86.010-18.
    (c) Monitoring conditions. The OBD system must monitor and detect 
the malfunctions specified in paragraphs (g), (h), and (i) of this 
section under the following general monitoring conditions. The more 
specific monitoring conditions of paragraph (d) of this section are 
sometimes required according to the provisions of paragraphs (g), (h), 
and (i) of this section.
    (1) As specifically provided for in paragraphs (g), (h), and (i) of 
this section, the monitoring conditions for detecting malfunctions must 
be technically necessary to ensure robust detection of malfunctions 
(e.g., avoid false passes and false indications of malfunctions); 
designed to ensure monitoring will occur under conditions that may 
reasonably be expected to be encountered in normal vehicle operation 
and normal vehicle use; and, designed to ensure monitoring will occur 
during the FTP transient test cycle contained in Appendix I paragraph 
(f), of this part, or similar drive cycle as approved by the 
Administrator.
    (2) Monitoring must occur at least once per drive cycle in which 
the monitoring conditions are met.
    (3) Manufacturers may define monitoring conditions that are not 
encountered during the FTP cycle as required in paragraph (c)(1) of 
this section. In doing so, the manufacturer would be expected to 
consider the degree to which the requirement to run during the FTP 
transient cycle restricts monitoring during in-use operation, the 
technical necessity for defining monitoring conditions that are not 
encountered during the FTP cycle, whether monitoring is otherwise not 
feasible during the FTP cycle, and/or the ability to demonstrate that 
the monitoring conditions satisfy the minimum acceptable in-use monitor 
performance ratio requirement as defined in paragraph (d) of this 
section.
    (d) In-use performance tracking. As specifically required in 
paragraphs (g), (h), and (i) of this section, the OBD system must 
monitor and detect the malfunctions specified in paragraphs (g), (h), 
and (i) of this section according to the criteria of this paragraph 
(d). The OBD system is not required to track and report in-use 
performance for monitors other than those specifically identified in 
paragraph (d)(1) of this section, but all monitors on applicable model 
year engines are still required to meet the in-use performance ratio as 
specified in paragraph (d)(1)(ii) of this section.
    (1) The manufacturer must implement software algorithms in the OBD 
system to individually track and report the in-use performance of the 
following monitors, if equipped, in the standardized format specified 
in paragraph (e) of this section: NMHC converting catalyst (paragraph 
(g)(5) of this section); NOX converting catalyst (paragraph 
(g)(6) of this section); gasoline catalyst (paragraph (h)(6) of this 
section); exhaust gas sensor (paragraph (g)(9) of this section) or 
paragraph(h)(8) of this section); evaporative system (paragraph (h)(7) 
of this section); EGR system (paragraph (g)(3) of this section or 
(h)(3) of this section); VVT system (paragraph (g)(10) of this section 
or (h)(9) of this section); secondary air system (paragraph (h)(5) of 
this section); DPF system (paragraph (g)(8) of this section); boost 
pressure control system (paragraph (g)(4) of this section); and, 
NOX adsorber system (paragraph (g)(7) of this section).
    (i) The manufacturer shall not use the calculated ratio specified 
in paragraph (d)(2) of this section or any other indication of monitor 
frequency as a monitoring condition for a monitor (e.g., using a low 
ratio to enable more frequent monitoring through diagnostic executive 
priority or modification of other monitoring conditions, or using a 
high ratio to enable less frequent monitoring).
    (ii) For model years 2013 and later, manufacturers must define 
monitoring conditions that, in addition to meeting the criteria in 
paragraphs (c)(1) and (d)(1) of this section, ensure that the monitor 
yields an in-use performance ratio (as defined in paragraph (d)(2) of 
this section) that meets or exceeds the minimum acceptable in-use 
monitor performance ratio of 0.100 for all monitors specifically 
required in paragraphs (g), (h), and (i) of this section to meet the 
monitoring condition requirements of this paragraph (d).
    (iii) If the most reliable monitoring method developed requires a 
lower ratio for a specific monitor than that specified in paragraph 
(d)(1)(ii) of this section, the Administrator may lower the minimum 
acceptable in-use monitoring performance ratio.
    (2) In-use performance ratio definition. For monitors required to 
meet the requirements of paragraph (d) of this section, the performance 
ratio must be calculated in accordance with the specifications of this 
paragraph (d)(2).
    (i) The numerator of the performance ratio is defined as the number 
of times a vehicle has been operated such that all monitoring 
conditions have been encountered that are necessary for the specific 
monitor to detect a malfunction.
    (ii) The denominator is defined as the number of times a vehicle 
has been operated in accordance with the provisions of paragraph (d)(4) 
of this section.
    (iii) The performance ratio is defined as the numerator divided by 
the denominator.
    (3) Specifications for incrementing the numerator.
    (i) Except as provided for in paragraph (d)(3)(v) of this section, 
the numerator, when incremented, must be incremented by an integer of 
one. The numerator shall not be incremented more than once per drive 
cycle.
    (ii) The numerator for a specific monitor must be incremented 
within 10 seconds if and only if the following criteria are satisfied 
on a single drive cycle:
    (A) Every monitoring condition has been satisfied that is necessary 
for the specific monitor to detect a malfunction and store a pending 
DTC, including applicable enable criteria, presence or absence of 
related DTCs, sufficient length of monitoring time, and diagnostic 
executive priority assignments (e.g., diagnostic ``A'' must execute 
prior to diagnostic ``B''). For the

[[Page 8373]]

purpose of incrementing the numerator, satisfying all the monitoring 
conditions necessary for a monitor to determine that the monitor is not 
malfunctioning shall not, by itself, be sufficient to meet this 
criteria.
    (B) For monitors that require multiple stages or events in a single 
drive cycle to detect a malfunction, every monitoring condition 
necessary for all events to complete must be satisfied.
    (C) For monitors that require intrusive operation of components to 
detect a malfunction, a manufacturer must request approval of the 
strategy used to determine that, had a malfunction been present, the 
monitor would have detected the malfunction. Administrator approval of 
the request will be based on the equivalence of the strategy to actual 
intrusive operation and the ability of the strategy to determine 
accurately if every monitoring condition was satisfied that was 
necessary for the intrusive event to occur.
    (D) For the secondary air system monitor, the criteria in 
paragraphs (d)(3)(ii)(A) through (d)(3)(ii)(C) of this section are 
satisfied during normal operation of the secondary air system. 
Monitoring during intrusive operation of the secondary air system later 
in the same drive cycle for the sole purpose of monitoring shall not, 
by itself, be sufficient to meet these criteria.
    (iii) For monitors that can generate results in a ``gray zone'' or 
``non-detection zone'' (i.e., monitor results that indicate neither a 
properly operating system nor a malfunctioning system) or in a ``non-
decision zone'' (e.g., monitors that increment and decrement counters 
until a pass or fail threshold is reached), the numerator, in general, 
shall not be incremented when the monitor indicates a result in the 
``non-detection zone'' or prior to the monitor reaching a complete 
decision. When necessary, the Administrator will consider data and/or 
engineering analyses submitted by the manufacturer demonstrating the 
expected frequency of results in the ``non-detection zone'' and the 
ability of the monitor to determine accurately, had an actual 
malfunction been present, whether or not the monitor would have 
detected a malfunction instead of a result in the ``non-detection 
zone.''
    (iv) For monitors that run or complete their evaluation with the 
engine off, the numerator must be incremented either within 10 seconds 
of the monitor completing its evaluation in the engine off state, or 
during the first 10 seconds of engine start on the subsequent drive 
cycle.
    (v) Manufacturers that use alternative statistical MIL activation 
protocols as allowed in paragraph (b)(2)(iii) of this section for any 
of the monitors requiring a numerator, are required to increment the 
numerator(s) appropriately. The manufacturer may be required to provide 
supporting data and/or engineering analyses demonstrating both the 
equivalence of their incrementing approach to the incrementing 
specified in this paragraph (d)(3) for monitors using the standard MIL 
activation protocol, and the overall equivalence of the incrementing 
approach in determining that the minimum acceptable in-use performance 
ratio of paragraph (d)(1)(ii) of this section, if applicable, has been 
satisfied.
    (4) Specifications for incrementing the denominator.
    (i) The denominator, when incremented, must be incremented by an 
integer of one. The denominator shall not be incremented more than once 
per drive cycle.
    (ii) The denominator for each monitor must be incremented within 10 
seconds if and only if the following criteria are satisfied on a single 
drive cycle:
    (A) Cumulative time since the start of the drive cycle is greater 
than or equal to 600 seconds while at an elevation of less than 8,000 
feet (2,400 meters) above sea level and at an ambient temperature of 
greater than or equal to 20 degrees Fahrenheit (-7 C);
    (B) Cumulative gasoline engine operation at or above 25 miles per 
hour or diesel engine operation at or above 1,150 rotations per minute 
(diesel engines may use the gasoline criterion for 2010 through 2012 
model years), either of which occurs for greater than or equal to 300 
seconds while at an elevation of less than 8,000 feet (2,400 meters) 
above sea level and at an ambient temperature of greater than or equal 
to 20 degrees Fahrenheit (-7 C); and,
    (C) Continuous engine operation at idle (e.g., accelerator pedal 
released by driver and engine speed less than or equal to 200 rpm above 
normal warmed-up idle (as determined in the drive position for vehicles 
equipped with an automatic transmission) or vehicle speed less than or 
equal to one mile per hour) for greater than or equal to 30 seconds 
while at an elevation of less than 8,000 feet (2,400 meters) above sea 
level and at an ambient temperature of greater than or equal to 20 
degrees Fahrenheit (-7 C).
    (iii) In addition to the requirements of paragraph (d)(4)(ii) of 
this section, the evaporative system monitor denominator(s) may be 
incremented if and only if:
    (A) Cumulative time since the start of the drive cycle is greater 
than or equal to 600 seconds while at an ambient temperature of greater 
than or equal to 40 degrees Fahrenheit (4 C) but less than or equal to 
95 degrees Fahrenheit (35 C); and,
    (B) Engine cold start occurs with the engine coolant temperature 
greater than or equal to 40 degrees Fahrenheit (4 C) but less than or 
equal to 95 degrees Fahrenheit (35 C) and less than or equal to 12 
degrees Fahrenheit (7 C) higher than the ambient temperature.
    (iv) In addition to the requirements of paragraph (d)(4)(ii) of 
this section, the denominator(s) for the following monitors may be 
incremented if and only if the component or strategy is commanded 
``on'' for a cumulative time greater than or equal to 10 seconds. For 
purposes of determining this commanded ``on'' time, the OBD system 
shall not include time during intrusive operation of any of the 
components or strategies that occurs later in the same drive cycle for 
the sole purpose of monitoring.
    (A) Secondary air system (paragraph (h)(5) of this section).
    (B) Cold start emission reduction strategy (paragraph (h)(4) of 
this section).
    (C) Components or systems that operate only at engine start-up 
(e.g., glow plugs, intake air heaters) and are subject to monitoring 
under ``other emission control systems'' (paragraph (i)(4) of this 
section) or comprehensive component output components (paragraph 
(i)(3)(iii) of this section).
    (v) In addition to the requirements of paragraph (d)(4)(ii) of this 
section, the denominator(s) for the following monitors of output 
components (except those operated only at engine start-up and subject 
to the requirements of paragraph (d)(4)(iv) of this section, may be 
incremented if and only if the component is commanded to function 
(e.g., commanded ``on'', ``opened'', ``closed'', ``locked'') on two or 
more occasions during the drive cycle or for a cumulative time greater 
than or equal to 10 seconds, whichever occurs first:
    (A) Variable valve timing and/or control system (paragraph (g)(10) 
of this section or (h)(9) of this section).
    (B) ``Other emission control systems'' (paragraph (i)(4) of this 
section).
    (C) Comprehensive component output component (paragraph (i)(3) of 
this section) (e.g., turbocharger waste-gates, variable length manifold 
runners).
    (vi) For monitors of the following components, the manufacturer may 
use alternative or additional criteria for incrementing the denominator 
to that set forth in paragraph (d)(4)(ii) of this

[[Page 8374]]

section. To do so, the alternative criteria must be based on 
equivalence to the criteria of paragraph (d)(4)(ii) of this section in 
measuring the frequency of monitor operation relative to the amount of 
engine operation:
    (A) Engine cooling system input components (paragraph (i)(1) of 
this section).
    (B) ``Other emission control systems'' (paragraph (i)(4) of this 
section).
    (C) Comprehensive component input components that require extended 
monitoring evaluation (paragraph (i)(3) of this section) (e.g., stuck 
fuel level sensor rationality).
    (D) Comprehensive component input component temperature sensor 
rationality monitors (paragraph (i)(3) of this section) (e.g., intake 
air temperature sensor, ambient temperature sensor, fuel temperature 
sensor).
    (E) Diesel particulate filter (DPF) frequent regeneration 
(paragraph (g)(8)(ii)(B) of this section).
    (vii) For monitors of the following components or other emission 
controls that experience infrequent regeneration events, the 
manufacturer may use alternative or additional criteria for 
incrementing the denominator to that set forth in paragraph (d)(4)(ii) 
of this section. To do so, the alternative criteria must be based on 
equivalence to the criteria of paragraph (d)(4)(ii) of this section in 
measuring the frequency of monitor operation relative to the amount of 
engine operation:
    (A) NMHC converting catalyst (paragraph (g)(5) of this section).
    (B) Diesel particulate filter (DPF) (paragraphs (g)(8)(ii)(A) and 
(g)(8)(ii)(D) of this section).
    (viii) In addition to the requirements of paragraph (d)(4)(ii) of 
this section, the denominator(s) for the following monitors shall be 
incremented if and only if a regeneration event is commanded for a time 
greater than or equal to 10 seconds:
    (A) DPF incomplete regeneration (paragraph (g)(8)(ii)(C) of this 
section).
    (B) DPF active/intrusive injection (paragraph (g)(8)(ii)(E) of this 
section).
    (ix) For hybrids that employ alternative engine start hardware or 
strategies (e.g., integrated starter and generators), or alternative 
fuel vehicles (e.g., dedicated, bi-fuel, or dual-fuel applications), 
the manufacturer may use alternative criteria for incrementing the 
denominator to that set forth in paragraph (d)(4)(ii) of this section. 
In general, the Administrator will not approve alternative criteria for 
those hybrids that employ engine shut off only at or near idle and/or 
vehicle stop conditions. To use alternative criteria, the alternative 
criteria must be based on the equivalence to the criteria of paragraph 
(d)(4)(ii) of this section in measuring the amount of vehicle operation 
relative to the measure of conventional vehicle operation.
    (5) Disablement of numerators and denominators.
    (i) Within 10 seconds of detecting a malfunction (i.e., a pending 
or a MIL-on DTC has been stored) that disables a monitor for which the 
monitoring conditions in paragraph (d) of this section must be met, the 
OBD system must stop incrementing the numerator and denominator for any 
monitor that may be disabled as a consequence of the detected 
malfunction. Within 10 seconds of the time at which the malfunction is 
no longer being detected (e.g., the pending DTC is erased through OBD 
system self-clearing or through a scan tool command), incrementing of 
all applicable numerators and denominators must resume.
    (ii) Within 10 seconds of the start of a power take-off unit (e.g., 
dump bed, snow plow blade, or aerial bucket, etc.) that disables a 
monitor for which the monitoring conditions in paragraph (d) of this 
section must be met, the OBD system must stop incrementing the 
numerator and denominator for any monitor that may be disabled as a 
consequence of power take-off operation. Within 10 seconds of the time 
at which the power take-off operation ends, incrementing of all 
applicable numerators and denominators must resume.
    (iii) Within 10 seconds of detecting a malfunction (i.e., a pending 
or a MIL-on DTC has been stored) of any component used to determine if 
the criteria of paragraphs (d)(4)(ii) and (d)(4)(iii) of this section 
are satisfied, the OBD system must stop incrementing all applicable 
numerators and denominators. Within 10 seconds of the time at which the 
malfunction is no longer being detected (e.g., the pending DTC is 
erased through OBD system self-clearing or through a scan tool 
command), incrementing of all applicable numerators and denominators 
must resume.
    (e) Standardized tracking and reporting of in-use monitor 
performance.
    (1) General. For monitors required to track and report in-use 
monitor performance according to paragraph (d) of this section, the 
performance data must be tracked and reported in accordance with the 
specifications in paragraphs (d)(2), (e), and (k)(5) of this section. 
The OBD system must separately report an in-use monitor performance 
numerator and denominator for each of the following components:
    (i) For diesel engines, NMHC catalyst bank 1, NMHC catalyst bank 2, 
NOX catalyst bank 1, NOX catalyst bank 2, exhaust 
gas sensor bank 1, exhaust gas sensor bank 2, EGR/VVT system, DPF, 
boost pressure control system, and NOX adsorber. The OBD 
system must also report a general denominator and an ignition cycle 
counter in the standardized format specified in paragraphs (e)(5), 
(e)(6), and (k)(5) of this section.
    (ii) For gasoline engines, catalyst bank 1, catalyst bank 2, 
exhaust gas sensor bank 1, exhaust gas sensor bank 2, evaporative leak 
detection system, EGR/VVT system, and secondary air system. The OBD 
system must also report a general denominator and an ignition cycle 
counter in the standardized format specified in paragraphs (e)(5), 
(e)(6), and (k)(5) of this section.
    (iii) For specific components or systems that have multiple 
monitors that are required to be reported under paragraphs (g) and (h) 
of this section (e.g., exhaust gas sensor bank 1 may have multiple 
monitors for sensor response or other sensor characteristics), the OBD 
system must separately track numerators and denominators for each of 
the specific monitors and report only the corresponding numerator and 
denominator for the specific monitor that has the lowest numerical 
ratio. If two or more specific monitors have identical ratios, the 
corresponding numerator and denominator for the specific monitor that 
has the highest denominator must be reported for the specific 
component.
    (2) Numerator.
    (i) The OBD system must report a separate numerator for each of the 
applicable components listed in paragraph (e)(1) of this section.
    (ii) The numerator(s) must be reported in accordance with the 
specifications in paragraph (k)(5)(ii) of this section.
    (3) Denominator.
    (i) The OBD system must report a separate denominator for each of 
the applicable components listed in paragraph (e)(1) of this section.
    (ii) The denominator(s) must be reported in accordance with the 
specifications in paragraph (k)(5)(ii) of this section.
    (4) Monitor performance ratio. For purposes of determining which 
corresponding numerator and denominator to report as required in 
paragraph (e)(1)(iii) of this section, the ratio must be calculated in 
accordance with the specifications in paragraph (k)(5)(iii) of this 
section.
    (5) Ignition cycle counter.

[[Page 8375]]

    (i) The ignition cycle counter is defined as a counter that 
indicates the number of ignition cycles a vehicle has experienced 
according to the specifications of paragraph (e)(5)(ii)(B) of this 
section. The ignition cycle counter must be reported in accordance with 
the specifications in paragraph (k)(5)(ii) of this section.
    (ii) The ignition cycle counter must be incremented as follows:
    (A) The ignition cycle counter, when incremented, must be 
incremented by an integer of one. The ignition cycle counter shall not 
be incremented more than once per ignition cycle.
    (B) The ignition cycle counter must be incremented within 10 
seconds if and only if the engine exceeds an engine speed of 50 to 150 
rpm below the normal, warmed-up idle speed (as determined in the drive 
position for engines paired with an automatic transmission) for at 
least two seconds plus or minus one second.
    (iii) Within 10 seconds of detecting a malfunction (i.e., a pending 
or a MIL-on DTC has been stored) of any component used to determine if 
the criteria in paragraph (e)(5)(ii)(B) of this section are satisfied 
(i.e., engine speed or time of operation), the OBD system must stop 
incrementing the ignition cycle counter. Incrementing of the ignition 
cycle counter shall not be stopped for any other condition. Within 10 
seconds of the time at which the malfunction is no longer being 
detected (e.g., the pending DTC is erased through OBD system self-
clearing or through a scan tool command), incrementing of the ignition 
cycle counter must resume.
    (6) General denominator.
    (i) The general denominator is defined as a measure of the number 
of times an engine has been operated according to the specifications of 
paragraph (e)(6)(ii)(B) of this section. The general denominator must 
be reported in accordance with the specifications in paragraph 
(k)(5)(ii) of this section.
    (ii) The general denominator must be incremented as follows:
    (A) The general denominator, when incremented, must be incremented 
by an integer of one. The general denominator shall not be incremented 
more than once per drive cycle.
    (B) The general denominator must be incremented within 10 seconds 
if and only if the criteria identified in paragraph (d)(4)(ii) of this 
section are satisfied on a single drive cycle.
    (C) Within 10 seconds of detecting a malfunction (i.e., a pending 
or a MIL-on DTC has been stored) of any component used to determine if 
the criteria in paragraph (d)(4)(ii) of this section are satisfied 
(i.e., vehicle speed/load, ambient temperature, elevation, idle 
operation, or time of operation), the OBD system must stop incrementing 
the general denominator. Incrementing of the general denominator shall 
not be stopped for any other condition (e.g., the disablement criteria 
in paragraphs (d)(5)(i) and (d)(5)(ii) of this section shall not 
disable the general denominator). Within 10 seconds of the time at 
which the malfunction is no longer being detected (e.g., the pending 
DTC is erased through OBD system self-clearing or through a scan tool 
command), incrementing of the general denominator must resume.
    (f) Malfunction criteria determination.
    (1) In determining the malfunction criteria for the diesel engine 
monitors required under paragraphs (g) and (i) of this section that are 
required to indicate a malfunction before emissions exceed an emission 
threshold based on any applicable standard, the manufacturer must:
    (i) Use the emission test cycle and standard (i.e., the transient 
FTP or the supplemental emissions test (SET)) determined by the 
manufacturer to provide the most effective monitoring conditions and 
robust monitor provided all other applicable requirements of this 
section are met.
    (ii) Identify in the certification documentation required under 
paragraph (m) of this section, the test cycle and standard determined 
by the manufacturer to be the most stringent for each applicable 
monitor and the most effective and robust for each applicable monitor.
    (iii) If the Administrator reasonably believes that a manufacturer 
has determined incorrectly the test cycle and standard that is most 
stringent or effective, the manufacturer must be able to provide 
emission data and/or engineering analysis supporting their choice of 
test cycle and standard.
    (2) On engines equipped with emission controls that experience 
infrequent regeneration events, a manufacturer need not adjust the 
emission test results that are used to determine the malfunction 
criteria for monitors that are required to indicate a malfunction 
before emissions exceed a certain emission threshold. For each such 
monitor, should the manufacturer choose to adjust the emission test 
results, the manufacturer must adjust the emission result as done in 
accordance with the provisions of Sec.  86.004-28(i) with the component 
for which the malfunction criteria are being established having been 
deteriorated to the malfunction threshold. The adjusted emission value 
must be used for purposes of determining whether or not the applicable 
emission threshold is exceeded.
    (i) For purposes of this paragraph (f)(2), regeneration means an 
event, by design, during which emissions levels change while the 
emission control performance is being restored.
    (ii) For purposes of this paragraph (f)(2), infrequent means having 
an expected frequency of less than once per transient FTP cycle.
    (3) For gasoline engines, rather than meeting the malfunction 
criteria specified under paragraphs (h) and (i) of this section, the 
manufacturer may request approval to use an OBD system certified to the 
requirements of Sec.  86.007-17. To do so, the manufacturer must 
demonstrate use of good engineering judgment in determining equivalent 
malfunction detection criteria to those required in this section.
    (g) OBD monitoring requirements for diesel-fueled/compression-
ignition engines. The following table shows the thresholds at which 
point certain components or systems, as specified in this paragraph 
(g), are considered malfunctioning.

     Table 1--OBD Emissions Thresholds for Diesel-Fueled/Compression-Ignition Engines Meant for Placement in
                             Applications Greater Than 14,000 Pounds GVWR (g/bhp-hr)
----------------------------------------------------------------------------------------------------------------
                                                     Sec.
                   Component                      86.010-18       NMHC          CO          NOX           PM
                                                  reference
----------------------------------------------------------------------------------------------------------------
Model years 2010-2012:
    NOX aftertreatment system..................       (g)(6)  ...........  ...........         +0.6
                                                      (g)(7)
    Diesel particulate filter (DPF) system.....       (g)(8)         2.5x  ...........  ...........   0.05/+0.04
    Air-fuel ratio sensors upstream of                (g)(9)         2.5x         2.5x         +0.3   0.03/+0.02
     aftertreat ment devices...................

[[Page 8376]]

 
    Air-fuel ratio sensors downstream of              (g)(9)         2.5x  ...........         +0.3   0.05/+0.04
     aftertreatment devices....................
    NOX sensors................................       (g)(9)  ...........  ...........         +0.6   0.05/+0.04
    ``Other monitors'' with emissions                 (g)(1)         2.5x         2.5x         +0.3   0.03/+0.02
     thresholds................................       (g)(3)
                                                      (g)(4)
                                                     (g)(10)
Model years 2013 and later:
    NOX aftertreatment system..................       (g)(6)  ...........  ...........         +0.3
                                                      (g)(7)
    Diesel particulate filter (DPF) system.....       (g)(8)           2x  ...........  ...........   0.05/+0.04
    Air-fuel ratio sensors upstream of                (g)(9)           2x           2x         +0.3   0.03/+0.02
     aftertreatment devices....................
    Air-fuel ratio sensors downstream of              (g)(9)           2x  ...........         +0.3   0.05/+0.04
     aftertreatment devices....................
    NOX sensors................................       (g)(9)  ...........  ...........         +0.3   0.05/+0.04
    ``Other monitors'' with emissions                 (g)(1)           2x           2x         +0.3  0.03/+0.02
     thresholds................................       (g)(2)
                                                      (g)(3)
                                                      (g)(4)
                                                     (g)(10)
----------------------------------------------------------------------------------------------------------------
Notes: FEL = Family Emissions Limit; 2.5x std means a multiple of 2.5 times the applicable emissions standard;
  +0.3 means the standard or FEL plus 0.3; 0.05/+0.04 means an absolute level of 0.05 or an additive level of
  the standard or FEL plus 0.04, whichever level is higher; these emissions thresholds apply to the monitoring
  requirements of paragraph (g) of this Sec.   86.010-18.

    (1) Fuel system monitoring.
    (i) General. The OBD system must monitor the fuel delivery system 
to verify that it is functioning properly. The individual electronic 
components (e.g., actuators, valves, sensors, pumps) that are used in 
the fuel system and are not specifically addressed in this paragraph 
(g)(1) must be monitored in accordance with the requirements of 
paragraph (i)(3) of this section.
    (ii) Fuel system malfunction criteria.
    (A) Fuel system pressure control. The OBD system must monitor the 
fuel system's ability to control to the desired fuel pressure. This 
monitoring must be done continuously unless new hardware has to be 
added, in which case the monitoring must be done at least once per 
drive cycle. The OBD system must detect a malfunction of the fuel 
system's pressure control system when the pressure control system is 
unable to maintain an engine's emissions at or below the emissions 
thresholds for ``other monitors'' as shown in Table 1 of this paragraph 
(g). For engines in which no failure or deterioration of the fuel 
system pressure control could result in an engine's emissions exceeding 
the applicable emissions thresholds, the OBD system must detect a 
malfunction when the system has reached its control limits such that 
the commanded fuel system pressure cannot be delivered. For model year 
2010 to 2012 engines with a unit injector fuel system, this requirement 
may be met by conducting a functional check of the fuel system pressure 
control in lieu of monitoring for conditions that could cause an 
engine's emissions to exceed the applicable emissions thresholds.
    (B) Fuel system injection quantity. The OBD system must detect a 
malfunction of the fuel injection system when the system is unable to 
deliver the commanded quantity of fuel necessary to maintain an 
engine's emissions at or below the emissions thresholds for ``other 
monitors'' as shown in Table 1 of this paragraph (g). For engines in 
which no failure or deterioration of the fuel injection quantity could 
result in an engine's emissions exceeding the applicable emissions 
thresholds, the OBD system must detect a malfunction when the system 
has reached its control limits such that the commanded fuel quantity 
cannot be delivered. For model year 2010 to 2012 engines with a unit 
injector fuel system, this requirement may be met by conducting a 
functional check of the fuel system injection quantity in lieu of 
monitoring for conditions that could cause an engine's emissions to 
exceed the applicable emissions thresholds.
    (C) Fuel system injection timing. The OBD system must detect a 
malfunction of the fuel injection system when the system is unable to 
deliver fuel at the proper crank angle/timing (e.g., injection timing 
too advanced or too retarded) necessary to maintain an engine's 
emissions at or below the emissions thresholds for ``other monitors'' 
as shown in Table 1 of this paragraph (g). For engines in which no 
failure or deterioration of the fuel injection timing could result in 
an engine's emissions exceeding the applicable emissions thresholds, 
the OBD system must detect a malfunction when the system has reached 
its control limits such that the commanded fuel injection timing cannot 
be achieved. For model year 2010 to 2012 engines with a unit injector 
fuel system, this requirement may be met by conducting a functional 
check of the fuel system injection timing in lieu of monitoring for 
conditions that could cause an engine's emissions to exceed the 
applicable emissions thresholds.
    (D) Combined Monitoring. For engines with a unit injector fuel 
system, the manufacturer may request Administrator approval to combine 
the malfunction criteria of paragraphs (g)(1)(ii)(A) through 
(g)(1)(ii)(C) of this section into one malfunction provided the 
manufacturer can demonstrate that the combined malfunction will satisfy 
the intent of each separate malfunction criteria. For engines with a 
common rail fuel system, the manufacturer may request Administrator 
approval to combine the malfunction criteria of paragraphs 
(g)(1)(ii)(B) through (g)(1)(ii)(C) of this section into one 
malfunction provided the manufacturer can demonstrate that the combined 
malfunction will satisfy the intent of each separate malfunction 
criteria.
    (E) Fuel system feedback control. See paragraph (i)(6) of this 
section.
    (iii) Fuel system monitoring conditions.
    (A) With the exceptions noted in this paragraph for unit injector 
systems, the OBD system must monitor continuously for malfunctions 
identified in paragraphs (g)(1)(ii)(A) and (g)(1)(ii)(E) of this 
section. For 2010 through 2012

[[Page 8377]]

unit injector systems, where functional monitoring is done in lieu of 
emission threshold monitoring for malfunctions identified in paragraph 
(g)(1)(ii)(A) of this section, the manufacturer must define the 
monitoring conditions in accordance with paragraphs (c) and (d) of this 
section. For 2013 and later unit injector systems, the manufacturer 
must define the monitoring conditions for malfunctions identified in 
paragraph (g)(1)(ii)(A) of this section in accordance with paragraphs 
(c) and (d) of this section, with the exception that monitoring must 
occur every time the monitoring conditions are met during the drive 
cycle rather than once per drive cycle as required in paragraph (c)(2) 
of this section.
    (B) For 2010 through 2012, the manufacturer must define the 
monitoring conditions for malfunctions identified in paragraphs 
(g)(1)(ii)(B), (g)(1)(ii)(C), and (g)(1)(ii)(D) of this section in 
accordance with paragraphs (c) and (d) of this section. For 2013 and 
later, the manufacturer must define the monitoring conditions in 
accordance with paragraphs (c) and (d) of this section, with the 
exception that monitoring must occur every time the monitoring 
conditions are met during the drive cycle rather than once per drive 
cycle as required in paragraph (c)(2) of this section.
    (iv) Fuel system MIL activation and DTC storage. The MIL must 
activate and DTCs must be stored according to the provisions of 
paragraph (b) of this section.
    (2) Engine misfire monitoring.
    (i) General. The OBD system must monitor the engine for misfire 
causing excess emissions.
    (ii) Engine misfire malfunction criteria.
    (A) The OBD system must be capable of detecting misfire occurring 
in one or more cylinders. To the extent possible without adding 
hardware for this specific purpose, the OBD system must also identify 
the specific misfiring cylinder. If more than one cylinder is misfiring 
continuously, or if more than one but less than half of the cylinders 
are misfiring continuously (if the manufacturer can demonstrate the 
robustness of their monitor to the approval of the Administrator), a 
separate DTC must be stored indicating that multiple cylinders are 
misfiring. When identifying multiple cylinder misfire, the OBD system 
is not required to identify individually through separate DTCs each of 
the continuously misfiring cylinders.
    (B) For model years 2013 and later, on engines equipped with 
sensors that can detect combustion or combustion quality (e.g., for use 
in engines with homogeneous charge compression ignition (HCCI) control 
systems), the OBD system must detect a misfire malfunction causing 
emissions to exceed the applicable thresholds for ``other monitors'' 
shown in Table 1 of this paragraph (g). To determine what level of 
misfire would cause emissions to exceed the applicable emissions 
thresholds, the manufacturer must determine the percentage of misfire 
evaluated in 1,000 revolution increments that would cause emissions 
from an emission durability demonstration engine to exceed the 
emissions thresholds if the percentage of misfire were present from the 
beginning of the test. To establish this percentage of misfire, the 
manufacturer must use misfire events occurring at equally spaced, 
complete engine cycle intervals, across randomly selected cylinders 
throughout each 1,000-revolution increment. If this percentage of 
misfire is determined to be lower than one percent, the manufacturer 
may set the malfunction criteria at one percent. Any misfire 
malfunction must be detected if the percentage of misfire established 
via this testing is exceeded regardless of the pattern of misfire 
events (e.g., random, equally spaced, continuous). The manufacturer may 
employ other revolution increments besides the 1,000 revolution 
increment. To do so, the manufacturer must demonstrate that the 
strategy is equally effective and timely in detecting misfire.
    (iii) Engine misfire monitoring conditions.
    (A) The OBD system must monitor for engine misfire during engine 
idle conditions at least once per drive cycle in which the monitoring 
conditions for misfire are met. The manufacturer must be able to 
demonstrate via engineering analysis and/or data that the self-defined 
monitoring conditions: are technically necessary to ensure robust 
detection of malfunctions (e.g., avoid false passes and false detection 
of malfunctions); require no more than 1000 cumulative engine 
revolutions; and, do not require any single continuous idle operation 
of more than 15 seconds to make a determination that a malfunction is 
present (e.g., a decision can be made with data gathered during several 
idle operations of 15 seconds or less); or, satisfy the requirements of 
paragraph (c) of this section with alternative engine operating 
conditions.
    (B) Manufacturers may employ alternative monitoring conditions 
(e.g., off-idle) provided the manufacturer is able to demonstrate that 
the alternative monitoring ensure equivalent robust detection of 
malfunctions and equivalent timeliness in detection of malfunctions.
    (C) For model years 2013 and later, on engines equipped with 
sensors that can detect combustion or combustion quality the OBD system 
must monitor continuously for engine misfire under all positive torque 
engine speed and load conditions. If a monitoring system cannot detect 
all misfire patterns under all required engine speed and load 
conditions, the manufacturer may request that the Administrator approve 
the monitoring system nonetheless. In evaluating the manufacturer's 
request, the Administrator will consider the following factors: the 
magnitude of the region(s) in which misfire detection is limited; the 
degree to which misfire detection is limited in the region(s) (i.e., 
the probability of detection of misfire events); the frequency with 
which said region(s) are expected to be encountered in-use; the type of 
misfire patterns for which misfire detection is troublesome; and 
demonstration that the monitoring technology employed is not inherently 
incapable of detecting misfire under required conditions (i.e., 
compliance can be achieved on other engines). The evaluation will be 
based on the following misfire patterns: equally spaced misfire 
occurring on randomly selected cylinders; single cylinder continuous 
misfire; and, paired cylinder (cylinders firing at the same crank 
angle) continuous misfire.
    (iv) Engine misfire MIL activation and DTC storage.
    (A) General requirements for MIL activation and DTC storage are set 
forth in paragraph (b) of this section.
    (B) For model years 2013 and later, on engines equipped with 
sensors that can detect combustion or combustion quality, upon 
detection of the percentage of misfire specified in paragraph 
(g)(2)(ii)(B) of this section, the following criteria shall apply for 
MIL activation and DTC storage: A pending DTC must be stored no later 
than after the fourth exceedance of the percentage of misfire specified 
in paragraph (g)(2)(ii) of this section during a single drive cycle; if 
a pending fault code has been stored, the OBD system must activate the 
MIL and store a MIL-on DTC within 10 seconds if the percentage of 
misfire specified in paragraph (g)(2)(ii) of this section is again 
exceeded four times during the drive cycle immediately following 
storage of the pending DTC, regardless of the conditions encountered 
during the drive cycle, or on the next drive cycle in which similar 
conditions are encountered to those that were occurring when the 
pending DTC was stored. Similar conditions means an

[[Page 8378]]

engine speed within 375 rpm, engine load within 20 percent, and the 
same warm up status (i.e., cold or hot). The Administrator may approve 
other definitions of similar conditions based on comparable timeliness 
and reliability in detecting similar engine operation. The pending DTC 
may be erased at the end of the next drive cycle in which similar 
conditions are encountered to those that were occurring when the 
pending DTC was stored provided the specified percentage of misfire was 
not again exceeded. The pending DTC may also be erased if similar 
conditions are not encountered during the 80 drive cycles immediately 
following initial detection of the malfunction.
    (C) For model years 2013 and later, on engines equipped with 
sensors that can detect combustion or combustion quality, the OBD 
system must store and erase freeze frame conditions either in 
conjunction with storing and erasing a pending DTC or in conjunction 
with storing and erasing a MIL-on DTC. If freeze frame conditions are 
stored for a malfunction other than a misfire malfunction when a DTC is 
stored as specified in paragraph (g)(2)(iv)(B) of this section, the 
stored freeze frame information must be replaced with the freeze frame 
information regarding the misfire malfunction.
    (D) For model years 2013 and later, on engines equipped with 
sensors that can detect combustion or combustion quality, upon 
detection of misfire according to paragraph (g)(2)(iv)(B) of this 
section, the OBD system must also store the following engine 
conditions: engine speed, load, and warm up status of the first misfire 
event that resulted in the storage of the pending DTC.
    (E) For model years 2013 and later, on engines equipped with 
sensors that can detect combustion or combustion quality, the MIL may 
be deactivated after three sequential drive cycles in which similar 
conditions have been encountered without an exceedance of the specified 
percentage of misfire.
    (3) EGR system monitoring.
    (i) General. The OBD system must monitor the EGR system on engines 
so equipped for low flow rate, high flow rate, and slow response 
malfunctions. For engines equipped with EGR coolers (e.g., heat 
exchangers), the OBD system must monitor the cooler for insufficient 
cooling malfunctions. The individual electronic components (e.g., 
actuators, valves, sensors) that are used in the EGR system must be 
monitored in accordance with the comprehensive component requirements 
in paragraph (i)(3) of this section.
    (ii) EGR system malfunction criteria.
    (A) EGR low flow. The OBD system must detect a malfunction of the 
EGR system prior to a decrease from the manufacturer's specified EGR 
flow rate that would cause an engine's emissions to exceed the 
emissions thresholds for ``other monitors'' as shown in Table 1 of this 
paragraph (g). For engines in which no failure or deterioration of the 
EGR system that causes a decrease in flow could result in an engine's 
emissions exceeding the applicable emissions thresholds, the OBD system 
must detect a malfunction when the system has reached its control 
limits such that it cannot increase EGR flow to achieve the commanded 
flow rate.
    (B) EGR high flow. The OBD system must detect a malfunction of the 
EGR system, including a leaking EGR valve (i.e., exhaust gas flowing 
through the valve when the valve is commanded closed) prior to an 
increase from the manufacturer's specified EGR flow rate that would 
cause an engine's emissions to exceed the emissions thresholds for 
``other monitors'' as shown in Table 1 of this paragraph (g). For 
engines in which no failure or deterioration of the EGR system that 
causes an increase in flow could result in an engine's emissions 
exceeding the applicable emissions thresholds, the OBD system must 
detect a malfunction when the system has reached its control limits 
such that it cannot reduce EGR flow to achieve the commanded flow rate.
    (C) EGR slow response. The OBD system must detect a malfunction of 
the EGR system prior to any failure or deterioration in the capability 
of the EGR system to achieve the commanded flow rate within a 
manufacturer-specified time that would cause an engine's emissions to 
exceed the emissions thresholds for ``other monitors'' as shown in 
Table 1 of this paragraph (g). The OBD system must monitor both the 
capability of the EGR system to respond to a commanded increase in flow 
and the capability of the EGR system to respond to a commanded decrease 
in flow.
    (D) EGR system feedback control. See paragraph (i)(6) of this 
section.
    (E) EGR cooler performance. The OBD system must detect a 
malfunction of the EGR cooler prior to a reduction from the 
manufacturer's specified cooling performance that would cause an 
engine's emissions to exceed the emissions thresholds for ``other 
monitors'' as shown in Table 1 of this paragraph (g). For engines in 
which no failure or deterioration of the EGR cooler could result in an 
engine's emissions exceeding the applicable emissions thresholds, the 
OBD system must detect a malfunction when the system has no detectable 
amount of EGR cooling.
    (iii) EGR system monitoring conditions.
    (A) The OBD system must monitor continuously for malfunctions 
identified in paragraphs (g)(3)(ii)(A), (g)(3)(ii)(B), and 
(g)(3)(ii)(D) of this section.
    (B) The manufacturer must define the monitoring conditions for 
malfunctions identified in paragraph (g)(3)(ii)(C) of this section in 
accordance with paragraphs (c) and (d) of this section, with the 
exception that monitoring must occur every time the monitoring 
conditions are met during the drive cycle rather than once per drive 
cycle as required in paragraph (c)(2) of this section. For purposes of 
tracking and reporting as required in paragraph (d)(1) of this section, 
all monitors used to detect malfunctions identified in paragraph 
(g)(3)(ii)(C) of this section must be tracked separately but reported 
as a single set of values as specified in paragraph (e)(1)(iii) of this 
section.
    (C) The manufacturer must define the monitoring conditions for 
malfunctions identified in paragraph (g)(3)(ii)(E) of this section in 
accordance with paragraphs (c) and (d) of this section. For purposes of 
tracking and reporting as required in paragraph (d)(1) of this section, 
all monitors used to detect malfunctions identified in paragraph 
(g)(3)(ii)(E) of this section must be tracked separately but reported 
as a single set of values as specified in paragraph (e)(1)(iii) of this 
section.
    (D) The manufacturer may request Administrator approval to disable 
temporarily the EGR system monitor(s) under specific ambient conditions 
(e.g., when freezing may affect performance of the system) or during 
specific operating conditions (e.g., transients, extreme low or high 
flow conditions). The manufacturer must be able to demonstrate via data 
or engineering analysis that a reliable system monitor cannot be run 
when these conditions exist because it cannot robustly distinguish 
between a malfunctioning system and a properly operating system. The 
manufacturer is still required to maintain comprehensive component 
monitoring as required in paragraph (i)(3) of this section.
    (iv) EGR system MIL activation and DTC storage. The MIL must 
activate and DTCs must be stored according to the provisions of 
paragraph (b) of this section.
    (4) Turbo boost control system monitoring.
    (i) General. The OBD system must monitor the boost pressure control 
system (e.g., turbocharger) on engines so

[[Page 8379]]

equipped for under and over boost malfunctions. For engines equipped 
with variable geometry turbochargers (VGT), the OBD system must monitor 
the VGT system for slow response malfunctions. For engines equipped 
with charge air cooler systems, the OBD system must monitor the charge 
air cooler system for cooling system performance malfunctions. The 
individual electronic components (e.g., actuators, valves, sensors) 
that are used in the boost pressure control system must be monitored in 
accordance with the comprehensive component requirements in paragraph 
(i)(3) of this section.
    (ii) Turbo boost control system malfunction criteria.
    (A) Turbo underboost. The OBD system must detect a malfunction of 
the boost pressure control system prior to a decrease from the 
manufacturer's commanded boost pressure, or expected boost pressure on 
engines not equipped with a boost pressure control system, that would 
cause an engine's emissions to exceed the emissions thresholds for 
``other monitors'' as shown in Table 1 of this paragraph (g). For 
engines in which no failure or deterioration of the boost pressure 
control system that causes a decrease in boost could result in an 
engine's emissions exceeding the applicable emissions thresholds, the 
OBD system must detect a malfunction when the system has reached its 
control limits such that it cannot increase boost to achieve the 
commanded boost pressure.
    (B) Turbo overboost. The OBD system must detect a malfunction of 
the boost pressure control system on engines so equipped prior to an 
increase from the manufacturer's commanded boost pressure that would 
cause an engine's emissions to exceed the emissions thresholds for 
``other monitors'' as shown in Table 1 of this paragraph (g). For 
engines in which no failure or deterioration of the boost pressure 
control system that causes an increase in boost could result in an 
engine's emissions exceeding the applicable emissions thresholds, the 
OBD system must detect a malfunction when the system has reached its 
control limits such that it cannot decrease boost to achieve the 
commanded boost pressure.
    (C) VGT slow response. The OBD system must detect a malfunction 
prior to any failure or deterioration in the capability of the VGT 
system on engines so equipped to achieve the commanded turbocharger 
geometry within a manufacturer-specified time that would cause an 
engine's emissions to exceed the emissions thresholds for ``other 
monitors'' as shown in Table 1 of this paragraph (g). For engines in 
which no failure or deterioration of the VGT system response could 
result in an engine's emissions exceeding the applicable emissions 
thresholds, the OBD system must detect a malfunction of the VGT system 
when proper functional response of the system to computer commands does 
not occur.
    (D) Turbo boost feedback control. See paragraph (i)(6)of this 
section.
    (E) Charge air undercooling. The OBD system must detect a 
malfunction of the charge air cooling system prior to a decrease from 
the manufacturer's specified cooling rate that would cause an engine's 
emissions to exceed the emissions thresholds for ``other monitors'' as 
shown in Table 1 of this paragraph (g). For engines in which no failure 
or deterioration of the charge air cooling system that causes a 
decrease in cooling performance could result in an engine's emissions 
exceeding the applicable emissions thresholds, the OBD system must 
detect a malfunction when the system has no detectable amount of charge 
air cooling.
    (iii) Turbo boost monitoring conditions.
    (A) The OBD system must monitor continuously for malfunctions 
identified in paragraphs (g)(4)(ii)(A), (g)(4)(ii)(B), and 
(g)(4)(ii)(D) of this section.
    (B) The manufacturer must define the monitoring conditions for 
malfunctions identified in paragraph (g)(4)(ii)(C) of this section in 
accordance with paragraphs (c) and (d) of this section, with the 
exception that monitoring must occur every time the monitoring 
conditions are met during the drive cycle rather than once per drive 
cycle as required in paragraph (c)(2) of this section. For purposes of 
tracking and reporting as required in paragraph (d)(1) of this section, 
all monitors used to detect malfunctions identified in paragraph 
(g)(4)(ii)(C) of this section must be tracked separately but reported 
as a single set of values as specified in paragraph (e)(1)(iii) of this 
section.
    (C) The manufacturer must define the monitoring conditions for 
malfunctions identified in paragraph (g)(4)(ii)(E) of this section in 
accordance with paragraphs (c) and (d) of this section. For purposes of 
tracking and reporting as required in paragraph (d)(1) of this section, 
all monitors used to detect malfunctions identified in paragraph 
(g)(4)(ii)(E) of this section must be tracked separately but reported 
as a single set of values as specified in paragraph (e)(1)(iii) of this 
section.
    (D) The manufacturer may request Administrator approval to disable 
temporarily the turbo boost system monitor(s) during specific operating 
conditions (e.g., transients, extreme low or high flow conditions). The 
manufacturer must be able to demonstrate via data or engineering 
analysis that a reliable system monitor cannot be run when these 
conditions exist because it cannot robustly distinguish between a 
malfunctioning system and a properly operating system. The manufacturer 
is still required to maintain comprehensive component monitoring as 
required in paragraph (i)(3) of this section.
    (iv) Turbo boost system MIL activation and DTC storage. The MIL 
must activate and DTCs must be stored according to the provisions of 
paragraph (b) of this section.
    (5) NMHC converting catalyst monitoring.
    (i) General. The OBD system must monitor the NMHC converting 
catalyst(s) for proper NMHC conversion capability. For purposes of this 
paragraph (g)(5), each catalyst that converts NMHC must be monitored 
either individually or in combination with others. For purposes of this 
paragraph (g)(5), NMHC conversion that may occur over the DPF or other 
aftertreatment devices is not included.
    (ii) NMHC converting catalyst malfunction criteria.
    (A) NMHC converting catalyst conversion efficiency. The OBD system 
must detect a malfunction when the catalyst has no detectable amount of 
NMHC conversion capability.
    (B) NMHC converting catalyst aftertreatment assistance functions. 
For catalysts used to generate an exotherm to assist DPF regeneration, 
the OBD system must detect a malfunction when the catalyst is unable to 
generate a sufficient exotherm to achieve DPF regeneration. In meeting 
this requirement, the OBD system must detect a malfunction when the DOC 
is unable to generate a temperature rise of 100 degrees C, or to reach 
the necessary DPF regeneration temperature, within 60 seconds of 
initiating an active DPF regeneration. Further, the OBD system must 
detect a malfunction when the DOC is unable to sustain the necessary 
regeneration temperature for the duration of the regeneration event. 
The OBD or control system must abort the regeneration if the 
regeneration temperature has not been reached within five minutes of 
initiating an active regeneration event, or if the regeneration 
temperature cannot be sustained for the duration of the regeneration 
event. As an alternative to these specific malfunction criteria, the 
manufacturer may employ different criteria. To do so, the manufacturer

[[Page 8380]]

must submit a description with supporting data, subject to 
Administrator approval, of their DPF regeneration monitoring strategy. 
The Administrator will consider the strategy's equivalence to the 
specific criteria stated in this paragraph when considering the 
request. Also as an alternative to these specific malfunction criteria, 
the manufacturer may employ an OBD monitor that detects a catalyst 
malfunction when the catalyst conversion capability decreases to the 
point that NMHC emissions exceed 2.5 times the applicable NMHC emission 
standard but must adjust emission test results pursuant to paragraph 
(f)(2) of this section. For catalysts located downstream of a DPF and 
used to convert NMHC emissions during DPF regeneration, the OBD system 
must detect a malfunction when the catalyst has no detectable amount of 
NMHC conversion capability unless the manufacturer can demonstrate that 
deterioration or malfunction of the catalyst will not result in 
emissions that exceed the applicable NMHC standard.
    (iii) NMHC converting catalyst monitoring conditions. The 
manufacturer must define the monitoring conditions for malfunctions 
identified in paragraphs (g)(5)(ii)(A) and (g)(5)(ii)(B) of this 
section in accordance with paragraphs (c) and (d) of this section. For 
purposes of tracking and reporting as required in paragraph (d)(1) of 
this section, all monitors used to detect malfunctions identified in 
paragraphs (g)(5)(ii)(A) and (g)(5)(ii)(B) of this section must be 
tracked separately but reported as a single set of values as specified 
in paragraph (e)(1)(iii) of this section.
    (iv) NMHC converting catalyst MIL activation and DTC storage. The 
MIL must activate and DTCs must be stored according to the provisions 
of paragraph (b) of this section. The monitoring method for the NMHC 
converting catalyst(s) must be capable of detecting all instances, 
except diagnostic self-clearing, when a catalyst DTC has been erased 
but the catalyst has not been replaced (e.g., catalyst over-temperature 
histogram approaches are not acceptable).
    (6) Selective catalytic reduction (SCR) and lean NOX 
catalyst monitoring.
    (i) General. The OBD system must monitor the SCR and/or the lean 
NOX converting catalyst(s) for proper conversion capability. 
For engines equipped with SCR systems or other catalyst systems that 
use an active/intrusive reductant injection (e.g., active lean 
NOX catalysts that use diesel fuel post-injection or in-
exhaust injection), the OBD system must monitor the active/intrusive 
reductant injection system for proper performance. The individual 
electronic components (e.g., actuators, valves, sensors, heaters, 
pumps) in the active/intrusive reductant injection system must be 
monitored in accordance with the comprehensive component requirements 
in paragraph (i)(3) of this section. For purposes of this paragraph 
(g)(6), each catalyst that converts NOX must be monitored 
either individually or in combination with others.
    (ii) SCR and lean NOX catalyst malfunction criteria.
    (A) SCR and lean NOX catalyst conversion efficiency. The 
OBD system must detect a catalyst malfunction when the catalyst 
conversion capability decreases to the point that would cause an 
engine's emissions to exceed the emissions thresholds for 
NOX aftertreatment systems as shown in Table 1 of this 
paragraph (g). If no failure or deterioration of the catalyst 
NOX conversion capability could result in an engine's 
emissions exceeding any of the applicable emissions thresholds, the OBD 
system must detect a malfunction when the catalyst has no detectable 
amount of NOX conversion capability.
    (B) SCR and lean NOX catalyst active/intrusive reductant 
delivery performance. The OBD system must detect a malfunction prior to 
any failure or deterioration of the system to properly regulate 
reductant delivery (e.g., urea injection, separate injector fuel 
injection, post injection of fuel, air assisted injection/mixing) that 
would cause an engine's emissions to exceed any of the applicable 
emissions thresholds for NOX aftertreatment systems as shown 
in Table 1 of this paragraph (g). If no failure or deterioration of the 
reductant delivery system could result in an engine's emissions 
exceeding any of the applicable thresholds, the OBD system must detect 
a malfunction when the system has reached its control limits such that 
it is no longer able to deliver the desired quantity of reductant.
    (C) SCR and lean NOX catalyst active/intrusive reductant 
quantity. If the SCR or lean NOX catalyst system uses a 
reductant other than the fuel used for the engine, or uses a reservoir/
tank for the reductant that is separate from the fuel tank used for the 
engine, the OBD system must detect a malfunction when there is no 
longer sufficient reductant available (e.g., the reductant tank is 
empty).
    (D) SCR and lean NOX catalyst active/intrusive reductant 
quality. If the SCR or lean NOX catalyst system uses a 
reservoir/tank for the reductant that is separate from the fuel tank 
used for the engine, the OBD system must detect a malfunction when an 
improper reductant is used in the reductant reservoir/tank (e.g., the 
reductant tank is filled with something other than the reductant).
    (E) SCR and lean NOX catalyst active/intrusive reductant 
feedback control. See paragraph (i)(6) of this section.
    (iii) SCR and lean NOX catalyst monitoring conditions.
    (A) The manufacturers must define the monitoring conditions for 
malfunctions identified in paragraphs (g)(6)(ii)(A) and (g)(6)(ii)(D) 
of this section in accordance with paragraphs (c) and (d) of this 
section. For purposes of tracking and reporting as required in 
paragraph (d)(1) of this section, all monitors used to detect 
malfunctions identified in paragraph (g)(6)(ii)(A) of this section must 
be tracked separately but reported as a single set of values as 
specified in paragraph (e)(1)(iii) of this section.
    (B) The OBD system must monitor continuously for malfunctions 
identified in paragraphs (g)(6)(ii)(B), (g)(6)(ii)(C), and 
(g)(6)(ii)(E) of this section.
    (iv) SCR and lean NOX catalyst MIL activation and DTC 
storage.
    (A) For malfunctions identified in paragraph (g)(6)(ii)(A) of this 
section, the MIL must activate and DTCs must be stored according to the 
provisions of paragraph (b) of this section.
    (B) For malfunctions identified in paragraphs (g)(6)(ii)(B), 
(g)(6)(ii)(C), and (g)(6)(ii)(D) of this section, the manufacturer may 
delay activating the MIL if the vehicle is equipped with an alternative 
indicator for notifying the vehicle operator of the malfunction. The 
alternative indicator must be of sufficient illumination and be located 
such that it is readily visible to the vehicle operator under all 
lighting conditions. If the vehicle is not equipped with such an 
alternative indicator and the OBD MIL activates, the MIL may be 
immediately deactivated and the corresponding DTC(s) erased once the 
OBD system has verified that the reductant tank has been refilled 
properly and the MIL has not been activated for any other malfunction. 
The Administrator may approve other strategies that provide equivalent 
assurance that a vehicle operator would be promptly notified and that 
corrective action would be taken.
    (C) The monitoring method for the SCR and lean NOX 
catalyst(s) must be capable of detecting all instances, except 
diagnostic self-clearing, when a catalyst DTC(s) has been erased but 
the

[[Page 8381]]

catalyst has not been replaced (e.g., catalyst over-temperature 
histogram approaches are not acceptable).
    (7) NOX adsorber system monitoring.
    (i) General. The OBD system must monitor the NOX 
adsorber on engines so-equipped for proper performance. For engines 
equipped with active/intrusive injection (e.g., in-exhaust fuel and/or 
air injection) to achieve desorption of the NOX adsorber, 
the OBD system must monitor the active/intrusive injection system for 
proper performance. The individual electronic components (e.g., 
injectors, valves, sensors) that are used in the active/intrusive 
injection system must be monitored in accordance with the comprehensive 
component requirements in paragraph (i)(3) of this section.
    (ii) NOX adsorber system malfunction criteria.
    (A) NOX adsorber system capability. The OBD system must 
detect a NOX adsorber malfunction when its capability (i.e., 
its combined adsorption and conversion capability) decreases to the 
point that would cause an engine's NOX emissions to exceed 
the emissions thresholds for NOX aftertreatment systems as 
shown in Table 1 of this paragraph (g). If no failure or deterioration 
of the NOX adsorber capability could result in an engine's 
NOX emissions exceeding the applicable emissions thresholds, 
the OBD system must detect a malfunction when the system has no 
detectable amount of NOX adsorber capability.
    (B) NOX adsorber system active/intrusive reductant 
delivery performance. For NOX adsorber systems that use 
active/intrusive injection (e.g., in-cylinder post fuel injection, in-
exhaust air-assisted fuel injection) to achieve desorption of the 
NOX adsorber, the OBD system must detect a malfunction if 
any failure or deterioration of the injection system's ability to 
properly regulate injection causes the system to be unable to achieve 
desorption of the NOX adsorber.
    (C) NOX adsorber system feedback control. Malfunction 
criteria for the NOX adsorber and the NOX 
adsorber active/instrusive reductant delivery system are contained in 
paragraph (i)(6) of this section.
    (iii) NOX adsorber system monitoring conditions.
    (A) The manufacturer must define the monitoring conditions for 
malfunctions identified in paragraph (g)(7)(ii)(A) of this section in 
accordance with paragraphs (c) and (d) of this section. For purposes of 
tracking and reporting as required in paragraph (d)(1) of this section, 
all monitors used to detect malfunctions identified in paragraph 
(g)(7)(ii)(A) of this section must be tracked separately but reported 
as a single set of values as specified in paragraph (e)(1)(iii) of this 
section.
    (B) The OBD system must monitor continuously for malfunctions 
identified in paragraphs (g)(7)(ii)(B) and (g)(7)(ii)(C) of this 
section.
    (iv) NOX adsorber system MIL activation and DTC storage. 
The MIL must activate and DTCs must be stored according to the 
provisions of paragraph (b) of this section.
    (8) Diesel particulate filter (DPF) system monitoring.
    (i) General. The OBD system must monitor the DPF on engines so-
equipped for proper performance. For engines equipped with active 
regeneration systems that use an active/intrusive injection (e.g., in-
exhaust fuel injection, in-exhaust fuel/air burner), the OBD system 
must monitor the active/intrusive injection system for proper 
performance. The individual electronic components (e.g., injectors, 
valves, sensors) that are used in the active/intrusive injection system 
must be monitored in accordance with the comprehensive component 
requirements in paragraph (i)(3) of this section.
    (ii) DPF system malfunction criteria.
    (A) DPF filtering performance. The OBD system must detect a 
malfunction prior to a decrease in the PM filtering capability of the 
DPF (e.g., cracking, melting, etc.) that would cause an engine's PM 
emissions to exceed the emissions thresholds for DPF systems as shown 
in Table 1 of this paragraph (g). If no failure or deterioration of the 
PM filtering performance could result in an engine's PM emissions 
exceeding the applicable emissions thresholds, the OBD system must 
detect a malfunction when no detectable amount of PM filtering occurs. 
As an alternative to a threshold monitor, the OBD system, on model year 
2010 through 2012 engines only, can be designed to detect a malfunction 
based on a detectable decrease in the expected pressure drop across the 
DPF for a period of 5 seconds or more. The monitoring area for this 
alternative is determined using engine speed and load points defined in 
test cycles and procedures for the supplemental emissions test (SET) 
under Sec.  86.1360-2007. The monitoring area shall include all engine 
speed and load points greater than a region bounded by a line 
connecting mode numbers 2, 6, 3, and 13 (i.e. A100, A75, B50, and C50). 
At engine speeds greater than ``speed C'', the monitor shall run 
whenever engine load is greater than 50%. For purposes of this 
paragraph, the detectable change in pressure drop is determined by 
operating the engine at the B50 engine speed and load point (as 
described in the SET test procedures), observing the pressure drop on a 
clean, nominal DPF, and multiplying the observed pressure drop by 0.5 
or other factor supported by data and approved by the Administrator. 
The detectable change in pressure drop shall be reported in units of 
kilopascals (kPa). At time of certification, manufacturers shall 
provide the detectable change in pressure drop value along with OBD 
data stream parameters recorded with a clean DPF under the following 
nine engine speed/load operating points of the SET: A50, A75, A100, 
B50, B75, B100, C50, C75, and C100. The OBD data stream pararmeters to 
be reported are described in (k)(4)(ii) of this section and shall 
include the following: Engine speed; calculated load; air flow rate 
from mass air flow sensor (if so equipped); fuel rate; and DPF delta 
pressure.
    (B) DPF regeneration frequency. The OBD system must detect a 
malfunction when the DPF regeneration frequency increases from (i.e., 
occurs more often than) the manufacturer's specified regeneration 
frequency to a level such that it would cause an engine's NMHC 
emissions to exceed the emissions threshold for DPF systems as shown in 
Table 1 of this paragraph (g). If no such regeneration frequency exists 
that could cause NMHC emissions to exceed the applicable emission 
threshold, the OBD system must detect a malfunction when the DPF 
regeneration frequency exceeds the manufacturer's specified design 
limits for allowable regeneration frequency.
    (C) DPF incomplete regeneration. The OBD system must detect a 
regeneration malfunction when the DPF does not properly regenerate 
under manufacturer-defined conditions where regeneration is designed to 
occur.
    (D) DPF missing substrate. The OBD system must detect a malfunction 
if either the DPF substrate is completely destroyed, removed, or 
missing, or if the DPF assembly has been replaced with a muffler or 
straight pipe.
    (E) DPF system active/intrusive injection. For DPF systems that use 
active/intrusive injection (e.g., in-cylinder post fuel injection, in-
exhaust air-assisted fuel injection) to achieve regeneration of the 
DPF, the OBD system must detect a malfunction if any failure or 
deterioration of the injection system's ability to properly regulate 
injection causes the system to be unable to achieve regeneration of the 
DPF.

[[Page 8382]]

    (F) DPF regeneration feedback control. See paragraph (i)(6) of this 
section.
    (iii) DPF monitoring conditions. The manufacturer must define the 
monitoring conditions for malfunctions identified in paragraph 
(g)(8)(ii) of this section in accordance with paragraphs (c) and (d) of 
this section, with the exception that monitoring must occur every time 
the monitoring conditions are met during the drive cycle rather than 
once per drive cycle as required in paragraph (c)(2) of this section. 
For OBD systems designed to the alternative malfunction criteria of 
paragraph (g)(8)(ii)(A) of this section, the alternative DPF monitor 
shall run continuously whenever engine speed and load conditions are 
within the monitoring area described in paragraph (g)(8)(ii)(A). The 
OBD system may make a malfunction or potential malfunction 
determination during any successful monitoring event but shall include 
in the enable criteria of any subsequent monitoring events a confirmed 
successful and complete DPF regeneration. The subsequent monitoring 
events must be conducted within an operating period that ensures that 
the detected malfunction has not ``healed'' due to trapped particulates 
in the compromised portion of the DPF substrate. For purposes of 
tracking and reporting as required in paragraph (d)(1) of this section, 
all monitors used to detect malfunctions identified in paragraph 
(g)(8)(ii) of this section must be tracked separately but reported as a 
single set of values as specified in paragraph (e)(1)(iii) of this 
section.
    (iv)DPF system MIL activation and DTC storage. The MIL must 
activate and DTCs must be stored according to the provisions of 
paragraph (b) of this section.
    (9) Exhaust gas sensor and sensor heater monitoring.
    (i) General. The OBD system must monitor for proper output signal, 
activity, response rate, and any other parameter that can affect 
emissions, all exhaust gas sensors (e.g., oxygen, air-fuel ratio, 
NOX) used for emission control system feedback (e.g., EGR 
control/feedback, SCR control/feedback, NOX adsorber 
control/feedback) and/or as a monitoring device. For engines equipped 
with heated exhaust gas sensors, the OBD system must monitor the heater 
for proper performance.
    (ii) Malfunction criteria for air-fuel ratio sensors located 
upstream of aftertreatment devices.
    (A)Sensor performance. The OBD system must detect a malfunction 
prior to any failure or deterioration of the sensor voltage, 
resistance, impedance, current, response rate, amplitude, offset, or 
other characteristic(s) that would cause an engine's emissions to 
exceed the emissions thresholds for ``other monitors'' as shown in 
Table 1 of this paragraph (g).
    (B) Circuit integrity. The OBD system must detect malfunctions of 
the sensor related to a lack of circuit continuity or signal out-of-
range values.
    (C) Feedback function. The OBD system must detect a malfunction of 
the sensor if the emission control system (e.g., EGR, SCR, or 
NOX adsorber) is unable to use that sensor as a feedback 
input (e.g., causes limp-home or open-loop operation).
    (D) Monitoring function. To the extent feasible, the OBD system 
must detect a malfunction of the sensor when the sensor output voltage, 
resistance, impedance, current, amplitude, activity, offset, or other 
characteristics are no longer sufficient for use as an OBD system 
monitoring device (e.g., for catalyst, EGR, SCR, or NOX 
adsorber monitoring).
    (iii) Malfunction criteria for air-fuel ratio sensors located 
downstream of aftertreatment devices.
    (A) Sensor performance. The OBD system must detect a malfunction 
prior to any failure or deterioration of the sensor voltage, 
resistance, impedance, current, response rate, amplitude, offset, or 
other characteristic(s) that would cause an engine's emissions to 
exceed the emissions thresholds for air-fuel ratio sensors downstream 
of aftertreatment devices as shown in Table 1 of this paragraph (g).
    (B) Circuit integrity. The OBD system must detect malfunctions of 
the sensor related to a lack of circuit continuity or signal out-of-
range values.
    (C) Feedback function. The OBD system must detect a malfunction of 
the sensor if the emission control system (e.g., EGR, SCR, or 
NOX absorber) is unable to use that sensor as a feedback 
input (e.g., causes limp-home or open-loop operation).
    (D) Monitoring function. To the extent feasible, the OBD system 
must detect a malfunction of the sensor when the sensor output voltage, 
resistance, impedance, current, amplitude, activity, offset, or other 
characteristics are no longer sufficient for use as an OBD system 
monitoring device (e.g., for catalyst, EGR, SCR, or NOX 
absorber monitoring).
    (iv) Malfunction criteria for NOX sensors.
    (A) Sensor performance. The OBD system must detect a malfunction 
prior to any failure or deterioration of the sensor voltage, 
resistance, impedance, current, response rate, amplitude, offset, or 
other characteristic(s) that would cause an engine's emissions to 
exceed the emissions thresholds for NOX sensors as shown in 
Table 1 of this paragraph (g).
    (B) Circuit integrity. The OBD system must detect malfunctions of 
the sensor related to a lack of circuit continuity or signal out-of-
range values.
    (C) Feedback function. The OBD system must detect a malfunction of 
the sensor if the emission control system (e.g., EGR, SCR, or 
NOX adsorber) is unable to use that sensor as a feedback 
input (e.g., causes limp-home or open-loop operation).
    (D) Monitoring function. To the extent feasible, the OBD system 
must detect a malfunction of the sensor when the sensor output voltage, 
resistance, impedance, current, amplitude, activity, offset, or other 
characteristics are no longer sufficient for use as an OBD system 
monitoring device (e.g., for catalyst, EGR, SCR, or NOX 
adsorber monitoring).
    (v) Malfunction criteria for other exhaust gas sensors. For other 
exhaust gas sensors, the manufacturer must submit a monitoring plan to 
the Administrator for approval. The plan must include data and/or 
engineering evaluations that demonstrate that the monitoring plan is as 
reliable and effective as the monitoring required in paragraphs 
(g)(9)(ii), (g)(9)(iii), (g)(9)(iv) of this section.
    (vi) Malfunction criteria for exhaust gas sensor heaters.
    (A) The OBD system must detect a malfunction of the heater 
performance when the current or voltage drop in the heater circuit is 
no longer within the manufacturer's specified limits for normal 
operation (i.e., within the criteria required to be met by the 
component vendor for heater circuit performance at high mileage). The 
manufacturer may use other malfunction criteria for heater performance 
malfunctions. To do so, the manufacturer must be able to demonstrate 
via data and/or an engineering evaluation that the monitor is reliable 
and robust.
    (B) The OBD system must detect malfunctions of the heater circuit 
including open or short circuits that conflict with the commanded state 
of the heater (e.g., shorted to 12 Volts when commanded to 0 Volts 
(ground)).
    (vii) Monitoring conditions for exhaust gas sensors.
    (A) The manufacturer must define the monitoring conditions for 
malfunctions identified in paragraphs (g)(9)(ii)(A), (g)(9)(iii)(A), 
and (g)(9)(iv)(A) of this section (i.e., sensor performance) in 
accordance with paragraphs (c) and (d)

[[Page 8383]]

of this section. For purposes of tracking and reporting as required in 
paragraph (d)(1) of this section, all monitors used to detect 
malfunctions identified in paragraphs (g)(9)(ii)(A), (g)(9)(iii)(A), 
and (g)(9)(iv)(A) of this section must be tracked separately but 
reported as a single set of values as specified in paragraph 
(e)(1)(iii) of this section.
    (B) The manufacturer must define the monitoring conditions for 
malfunctions identified in paragraphs (g)(9)(ii)(D), (g)(9)(iii)(D), 
and (g)(9)(iv)(D) of this section (i.e., monitoring function) in 
accordance with paragraphs (c) and (d) of this section with the 
exception that monitoring must occur every time the monitoring 
conditions are met during the drive cycle rather than once per drive 
cycle as required in paragraph (c)(2) of this section.
    (C) Except as provided for in paragraph (g)(9)(vii)(D) of this 
section, the OBD system must monitor continuously for malfunctions 
identified in paragraphs (g)(9)(ii)(B), (g)(9)(ii)(C), (g)(9)(iii)(B), 
(g)(9)(iii)(C), (g)(9)(iv)(B), (g)(9)(iv)(C) of this section (i.e., 
circuit integrity and feedback function).
    (D) A manufacturer may request approval to disable continuous 
exhaust gas sensor monitoring when an exhaust gas sensor malfunction 
cannot be distinguished from other effects (e.g., disable monitoring 
for out-of-range on the low side during fuel cut conditions). To do so, 
the manufacturer must demonstrate via data and/or engineering analyses 
that a properly functioning sensor cannot be distinguished from a 
malfunctioning sensor and that the disablement interval is limited only 
to that necessary for avoiding false malfunction detection.
    (viii) Monitoring conditions for exhaust gas sensor heaters.
    (A) The manufacturer must define monitoring conditions for 
malfunctions identified in paragraph (g)(9)(vi)(A) of this section 
(i.e., sensor heater performance) in accordance with paragraphs (c) and 
(d) of this section.
    (B) The OBD system must monitor continuously for malfunctions 
identified in paragraph (g)(9)(vi)(B) of this section (i.e., circuit 
malfunctions).
    (ix) Exhaust gas sensor and sensor heater MIL activation and DTC 
storage. The MIL must activate and DTCs must be stored according to the 
provisions of paragraph (b) of this section.
    (10) Variable Valve Timing (VVT) system monitoring.
    (i) General. The OBD system must monitor the VVT system on engines 
so equipped for target error and slow response malfunctions. The 
individual electronic components (e.g., actuators, valves, sensors) 
that are used in the VVT system must be monitored in accordance with 
the comprehensive components requirements in paragraph (i)(3) of this 
section.
    (ii) VVT system malfunction criteria.
    (A) VVT system target error. The OBD system must detect a 
malfunction prior to any failure or deterioration in the capability of 
the VVT system to achieve the commanded valve timing and/or control 
within a crank angle and/or lift tolerance that would cause an engine's 
emissions to exceed the emission thresholds for ``other monitors'' as 
shown in Table 1 of this paragraph (g).
    (B) VVT slow response. The OBD system must detect a malfunction 
prior to any failure or deterioration in the capability of the VVT 
system to achieve the commanded valve timing and/or control within a 
manufacturer-specified time that would cause an engine's emissions to 
exceed the emission thresholds for ``other monitors'' as shown in Table 
1 of this paragraph (g).
    (C) For engines in which no failure or deterioration of the VVT 
system could result in an engine's emissions exceeding the applicable 
emissions thresholds of paragraphs (g)(10)(ii)(A) and (g)(10)(ii)(B) of 
this section, the OBD system must detect a malfunction of the VVT 
system when proper functional response of the system to computer 
commands does not occur.
    (iii) VVT system monitoring conditions. Manufacturers must define 
the monitoring conditions for VVT system malfunctions identified in 
paragraph (g)(10)(ii) of this section in accordance with paragraphs (c) 
and (d) of this section, with the exception that monitoring must occur 
every time the monitoring conditions are met during the drive cycle 
rather than once per drive cycle as required in paragraph (c)(2) of 
this section. For purposes of tracking and reporting as required in 
paragraph (d)(1) of this section, all monitors used to detect 
malfunctions identified in paragraph (g)(10)(ii) of this section must 
be tracked separately but reported as a single set of values as 
specified in paragraph (e)(1)(iii) of this section.
    (iv) VVT MIL activation and DTC storage. The MIL must activate and 
DTCs must be stored according to the provisions of paragraph (b) of 
this section.
    (h) OBD monitoring requirements for gasoline-fueled/spark-ignition 
engines. The following table shows the thresholds at which point 
certain components or systems, as specified in this paragraph (h), are 
considered malfunctioning.

Table 2--OBD Emissions Thresholds for Gasoline-Fueled/Spark-Ignition Engines Meant for Placement in Applications
                                   Greater Than 14,000 Pounds GVWR (g/bhp-hr)
----------------------------------------------------------------------------------------------------------------
                                                                                               Sec.   86.010-18
            Component                     NOX                NMHC                 CO               reference
----------------------------------------------------------------------------------------------------------------
Catalyst system.................  1.75x std.........  1.75x std.........  ..................  (h)(6)
Evaporative emissions control     ..................  0.150 inch leak...  ..................  (h)(7)
 system.
``Other monitors'' with           1.5x std..........  1.5x std..........  1.5x std..........  (h)(1), (h)(2),
 emissions thresholds.                                                                         (h)(3), (h)(4),
                                                                                               (h)(5), (h)(8),
                                                                                               (h)(9)
----------------------------------------------------------------------------------------------------------------
Notes: 1.75x std means a multiple of 1.75 times the applicable emissions standard; these emissions thresholds
  apply to the monitoring requirements of paragraph (h) of this section; The evaporative emissions control
  system threshold is not, technically, an emissions threshold but rather a leak size that must be detected;
  nonetheless, for ease we refer to this as the threshold.

    (1) Fuel system monitoring.
    (i) General. The OBD system must monitor the fuel delivery system 
to determine its ability to provide compliance with emission standards.
    (ii) Fuel system malfunction criteria.
    (A) The OBD system must detect a malfunction of the fuel delivery 
system (including feedback control based on a secondary oxygen sensor) 
when the fuel delivery system is unable to maintain an engine's 
emissions at or below the emissions thresholds for ``other monitors'' 
as shown in Table 2 of this paragraph (h).
    (B) Except as provided for in paragraph (h)(1)(ii)(C) of this 
section, if the engine is equipped with adaptive

[[Page 8384]]

feedback control, the OBD system must detect a malfunction when the 
adaptive feedback control has used up all of the adjustment allowed by 
the manufacturer.
    (C) If the engine is equipped with feedback control that is based 
on a secondary oxygen (or equivalent) sensor, the OBD system is not 
required to detect a malfunction of the fuel system solely when the 
feedback control based on a secondary oxygen sensor has used up all of 
the adjustment allowed by the manufacturer. However, if a failure or 
deterioration results in engine emissions that exceed the emissions 
thresholds for ``other monitors'' as shown in Table 2 of this paragraph 
(h), the OBD system is required to detect a malfunction.
    (D) The OBD system must detect a malfunction whenever the fuel 
control system fails to enter closed loop operation following engine 
start within a manufacturer specified time interval. The specified time 
interval must be supported by data and/or engineering analyses 
submitted by the manufacturer.
    (E) The manufacturer may adjust the malfunction criteria and/or 
monitoring conditions to compensate for changes in altitude, for 
temporary introduction of large amounts of purge vapor, or for other 
similar identifiable operating conditions when such conditions occur.
    (iii) Fuel system monitoring conditions. The fuel system must be 
monitored continuously for the presence of a malfunction.
    (iv) Fuel system MIL activation and DTC storage.
    (A) A pending DTC must be stored immediately upon the fuel system 
exceeding the malfunction criteria established in paragraph (h)(1)(ii) 
of this section.
    (B) Except as provided for in paragraph (h)(1)(iv)(C) of this 
section, if a pending DTC is stored, the OBD system must activate the 
MIL immediately and store a MIL-on DTC if a malfunction is again 
detected during either the drive cycle immediately following storage of 
the pending DTC regardless of the conditions encountered during that 
drive cycle, or on the next drive cycle in which similar conditions are 
encountered to those that occurred when the pending DTC was stored. 
Similar conditions means engine conditions having an engine speed 
within 375 rpm, load conditions within 20 percent, and the same warm-up 
status (i.e., cold or hot) as the engine conditions stored pursuant to 
paragraph (h)(1)(iv)(E) of this section. Other definitions of similar 
conditions may be used but must result in comparable timeliness and 
reliability in detecting similar engine operation.
    (C) The pending DTC may be erased at the end of the next drive 
cycle in which similar conditions have been encountered without having 
again exceeded the specified fuel system malfunction criteria. The 
pending DTC may also be erased if similar conditions are not 
encountered during the 80 drive cycles immediately following detection 
of the potential malfunction for which the pending DTC was stored.
    (D) Storage of freeze frame conditions. The OBD system must store 
and erase freeze frame conditions either in conjunction with storing 
and erasing a pending DTC or in conjunction with storing and erasing a 
MIL-on DTC. Freeze frame information associated with a fuel system 
malfunction shall be stored in preference to freeze frame information 
required elsewhere in paragraphs (h) or (i) of this section.
    (E) Storage of fuel system conditions for determining similar 
conditions of operation. The OBD must store the engine speed, load, and 
warm-up status present at the time it first detects a potential 
malfunction meeting the criteria of paragraph (h)(1)(ii) of this 
section and stores a pending DTC.
    (F) Deactivating the MIL. The MIL may be extinguished after three 
sequential driving cycles in which similar conditions have been 
encountered without detecting a malfunction of the fuel system.
    (2) Engine misfire monitoring.
    (i) General.
    (A) The OBD system must monitor the engine for misfire causing 
catalyst damage and misfire causing excess emissions.
    (B) The OBD system must identify the specific cylinder that is 
misfiring. The manufacturer may store a general misfire DTC instead of 
a cylinder specific DTC under certain operating conditions. To do so, 
the manufacturer must submit data and/or engineering analyses that 
demonstrate that the misfiring cylinder cannot be identified reliably 
when the conditions occur.
    (C) If more than one cylinder is misfiring, a separate DTC must be 
stored to indicate that multiple cylinders are misfiring unless 
otherwise allowed by this paragraph (h)(2). When identifying multiple 
cylinder misfire, the OBD system is not required to also identify using 
separate DTCs each of the misfiring cylinders individually. If more 
than 90 percent of the detected misfires occur in a single cylinder, an 
appropriate DTC may be stored that indicates the specific misfiring 
cylinder rather than storing the multiple cylinder misfire DTC. If two 
or more cylinders individually have more than 10 percent of the total 
number of detected misfires, a multiple cylinder DTC must be stored.
    (ii) Engine misfire malfunction criteria.
    (A) Misfire causing catalyst damage. The manufacturer must 
determine the percentage of misfire evaluated in 200 revolution 
increments for each engine speed and load condition that would result 
in a temperature that causes catalyst damage. If this percentage of 
misfire is exceeded, it shall be considered a malfunction that must be 
detected. For every engine speed and load condition for which this 
percentage of misfire is determined to be lower than five percent, the 
manufacturer may set the malfunction criteria at five percent. The 
manufacturer may use a longer interval than 200 revolutions but only 
for determining, on a given drive cycle, the first misfire exceedance 
as provided in paragraph (h)(2)(iv)(A) of this section. To do so, the 
manufacturer must demonstrate that the interval is not so long that 
catalyst damage would occur prior to the interval being elapsed.
    (B) Misfire causing emissions to exceed the applicable thresholds. 
The manufacturer must determine the percentage of misfire evaluated in 
1000 revolution increments that would cause emissions from an emissions 
durability demonstration engine to exceed the emissions thresholds for 
``other monitors'' as shown in Table 2 of this paragraph (h) if that 
percentage of misfire were present from the beginning of the test. If 
this percentage of misfire is exceeded, regardless of the pattern of 
misfire events (e.g., random, equally spaced, continuous), it shall be 
considered a malfunction that must be detected. To establish this 
percentage of misfire, the manufacturer must use misfire events 
occurring at equally spaced, complete engine cycle intervals, across 
randomly selected cylinders throughout each 1000-revolution increment. 
If this percentage of misfire is determined to be lower than one 
percent, the manufacturer may set the malfunction criteria at one 
percent. The manufacturer may use a longer interval than 1000 
revolutions. To do so, the manufacturer must demonstrate that the 
strategy would be equally effective and timely at detecting misfire.
    (iii) Engine misfire monitoring conditions.
    (A) The OBD system must monitor continuously for misfire under the 
following conditions: from no later than the end of the second 
crankshaft revolution after engine start; during the rise time and 
settling time for engine speed to reach the desired idle engine speed 
at engine start-up (i.e., ``flare-up''

[[Page 8385]]

and ``flare-down''); and, under all positive torque engine speeds and 
load conditions except within the engine operating region bound by the 
positive torque line (i.e., engine load with the transmission in 
neutral), and the points represented by an engine speed of 3000 rpm 
with the engine load at the positive torque line and the redline engine 
speed with the engine's manifold vacuum at four inches of mercury lower 
than that at the positive torque line. For this purpose, redline engine 
speed is defined as either the recommended maximum engine speed as 
displayed on the instrument panel tachometer, or the engine speed at 
which fuel shutoff occurs.
    (B) If an OBD monitor cannot detect all misfire patterns under all 
required engine speed and load conditions as required by paragraph 
(h)(2)(iii)(A) of this section, the OBD system may still be acceptable. 
The Administrator will evaluate the following factors in making a 
determination: The magnitude of the region(s) in which misfire 
detection is limited; the degree to which misfire detection is limited 
in the region(s) (i.e., the probability of detection of misfire 
events); the frequency with which said region(s) are expected to be 
encountered in-use; the type of misfire patterns for which misfire 
detection is troublesome; and demonstration that the monitoring 
technology employed is not inherently incapable of detecting misfire 
under the required conditions (i.e., compliance can be achieved on 
other engines). The evaluation will be based on the following misfire 
patterns: equally spaced misfire occurring on randomly selected 
cylinders; single cylinder continuous misfire; and paired cylinder 
(cylinders firing at the same crank angle) continuous misfire.
    (C) The manufacturer may use monitoring system that has reduced 
misfire detection capability during the portion of the first 1000 
revolutions after engine start that a cold start emission reduction 
strategy is active that reduces engine torque (e.g., spark retard 
strategies). To do so, the manufacturer must demonstrate that the 
probability of detection is greater than or equal to 75 percent during 
the worst case condition (i.e., lowest generated torque) for a vehicle 
operated continuously at idle (park/neutral idle) on a cold start 
between 50 and 86 degrees Fahrenheit and that the technology cannot 
reliably detect a higher percentage of the misfire events during the 
conditions.
    (D) The manufacturer may disable misfire monitoring or use an 
alternative malfunction criterion when misfire cannot be distinguished 
from other effects. To do so, the manufacturer must demonstrate that 
the disablement interval or the period of use of an alternative 
malfunction criterion is limited only to that necessary for avoiding 
false detection and for one or more of the following operating 
conditions: Rough road; fuel cut; gear changes for manual transmission 
vehicles; traction control or other vehicle stability control 
activation such as anti-lock braking or other engine torque 
modifications to enhance vehicle stability; off-board control or 
intrusive activation of vehicle components or monitors during service 
or assembly plant testing; portions of intrusive evaporative system or 
EGR monitors that can significantly affect engine stability (i.e., 
while the purge valve is open during the vacuum pull-down of an 
evaporative system leak check but not while the purge valve is closed 
and the evaporative system is sealed or while an EGR monitor causes the 
EGR valve to be cycled intrusively on and off during positive torque 
conditions); or, engine speed, load, or torque transients due to 
throttle movements more rapid than those that occur over the FTP cycle 
for the worst case engine within each engine family. In general, the 
Administrator will not approve disablement for conditions involving 
normal air conditioning compressor cycling from on-to-off or off-to-on, 
automatic transmission gear shifts (except for shifts occurring during 
wide open throttle operation), transitions from idle to off-idle, 
normal engine speed or load changes that occur during the engine speed 
rise time and settling time (i.e., ``flare-up'' and ``flare-down'') 
immediately after engine starting without any vehicle operator-induced 
actions (e.g., throttle stabs), or excess acceleration (except for 
acceleration rates that exceed the maximum acceleration rate obtainable 
at wide open throttle while the vehicle is in gear due to abnormal 
conditions such as slipping of a clutch). The Administrator may approve 
misfire monitoring disablement or use of an alternate malfunction 
criterion for any other condition on a case by case basis upon 
determining that the manufacturer has demonstrated that the request is 
based on an unusual or unforeseen circumstance and that it is applying 
the best available computer and monitoring technology.
    (E) For engines with more than eight cylinders that cannot meet the 
requirements of paragraph (h)(2)(iii)(A) of this section, a 
manufacturer may use alternative misfire monitoring conditions. Such 
use must be based on data and/or an engineering evaluation submitted by 
the manufacturer that demonstrate that misfire detection throughout the 
required operating region cannot be achieved when employing proven 
monitoring technology (i.e., a technology that provides for compliance 
with these requirements on other engines) and provided misfire is 
detected to the fullest extent permitted by the technology. However, 
the misfire detection system must still monitor during all positive 
torque operating conditions encountered during an FTP cycle.
    (iv) MIL activation and DTC storage for engine misfire causing 
catalyst damage.
    (A) Pending DTCs. A pending DTC must be stored immediately if, 
during a single drive cycle, the specified misfire percentage described 
in paragraph (h)(2)(ii)(A) of this section is exceeded three times when 
operating in the positive torque region encountered during a FTP cycle 
or is exceeded on a single occasion when operating at any other engine 
speed and load condition in the positive torque region defined in 
paragraph (h)(2)(iii)(A) of this section. Immediately after a pending 
DTC is stored pursuant to this paragraph, the MIL must blink once per 
second at all times during the drive cycle that engine misfire is 
occurring. The MIL may be deactivated during those times that misfire 
is not occurring. If, at the time that a catalyst damaging misfire 
malfunction occurs, the MIL is already activated for a malfunction 
other than misfire, the MIL must still blink once per second at all 
times during the drive cycle that engine misfire is occurring. If 
misfire ceases, the MIL must stop blinking but remain activated as 
appropriate in accordance with the other malfunction.
    (B) MIL-on DTCs. If a pending DTC is stored in accordance with 
paragraph (h)(2)(iv)(A) of this section, the OBD system must 
immediately store a MIL-on DTC if the percentage of misfire described 
in paragraph (h)(2)(ii)(A) of this section is again exceeded one or 
more times during either the drive cycle immediately following storage 
of the pending DTC, regardless of the conditions encountered during 
that drive cycle, or on the next drive cycle in which similar 
conditions are encountered to those that occurred when the pending DTC 
was stored. If, during a previous drive cycle, a pending DTC is stored 
in accordance with paragraph (h)(2)(iv)(A) of this section, a MIL-on 
DTC must be stored immediately upon exceeding the percentage misfire 
described in

[[Page 8386]]

paragraph (h)(2)(ii)(A) of this section regardless of the conditions 
encountered. Upon storage of a MIL-on DTC, the MIL must blink once per 
second at all times during the drive cycle that engine misfire is 
occurring. If misfire ceases, the MIL must stop blinking but remain 
activated until the conditions are met for extinguishing the MIL.
    (C) Erasure of pending DTCs. Pending DTCs stored in accordance with 
paragraph (h)(2)(iv)(A) of this section must be erased at the end of 
the next drive cycle in which similar conditions are encountered to 
those that occurred when the pending DTC was stored provided no 
exceedances have been detected of the misfire percentage described in 
paragraph (h)(2)(ii)(A) of this section. The pending DTC may also be 
erased if similar conditions are not encountered during the next 80 
drive cycles immediately following storage of the pending DTC.
    (D) Exemptions for engines with fuel shutoff and default fuel 
control. In engines that provide for fuel shutoff and default fuel 
control to prevent over fueling during catalyst damaging misfire 
conditions, the MIL need not blink as required by paragraphs 
(h)(2)(iv)(A) and (h)(2)(iv)(B) of this section. Instead, the MIL may 
be activated continuously upon misfire detection provided that the fuel 
shutoff and default fuel control are activated immediately upon misfire 
detection. Fuel shutoff and default fuel control may be deactivated 
only when the engine is outside of the misfire range except that the 
manufacturer may periodically, but not more than once every 30 seconds, 
deactivate fuel shutoff and default fuel control to determine if the 
catalyst damaging misfire is still occurring. Normal fueling and fuel 
control may be resumed if the catalyst damaging misfire is no longer 
occurring.
    (E) The manufacturer may use a strategy that activates the MIL 
continuously rather than blinking the MIL during extreme catalyst 
damage misfire conditions (i.e., catalyst damage misfire occurring at 
all engine speeds and loads). Use of such a strategy must be limited to 
catalyst damage misfire levels that cannot be avoided during reasonable 
driving conditions. To use such a strategy, the manufacturer must be 
able to demonstrate that the strategy will encourage operation of the 
vehicle in conditions that will minimize catalyst damage (e.g., at low 
engine speeds and loads).
    (v) MIL activation and DTC storage for engine misfire causing 
emissions to exceed applicable emissions thresholds.
    (A) Immediately upon detection, during the first 1000 revolutions 
after engine start of the misfire percentage described in paragraph 
(h)(2)(ii)(B) of this section, a pending DTC must be stored. If such a 
pending DTC is stored already and another such exceedance of the 
misfire percentage is detected within the first 1000 revolutions after 
engine start on any subsequent drive cycle, the MIL must activate and a 
MIL-on DTC must be stored. The pending DTC may be erased if, at the end 
of the next drive cycle in which similar conditions are encountered to 
those that occurred when the pending DTC was stored, there has been no 
exceedance of the misfire percentage described in paragraph 
(h)(2)(ii)(B) of this section. The pending DTC may also be erased if 
similar conditions are not encountered during the next 80 drive cycles 
immediately following storage of the pending DTC.
    (B) No later than the fourth detection during a single drive cycle, 
following the first 1000 revolutions after engine start of the misfire 
percentage described in paragraph (h)(2)(ii)(B) of this section, a 
pending DTC must be stored. If such a pending DTC is stored already, 
then the MIL must activate and a MIL-on DTC must be stored within 10 
seconds of the fourth detection of the misfire percentage described in 
paragraph (h)(2)(ii)(B) of this section during either the drive cycle 
immediately following storage of the pending DTC, regardless of the 
conditions encountered during that drive cycle excepting those 
conditions within the first 1000 revolutions after engine start, or on 
the next drive cycle in which similar conditions are encountered to 
those that occurred when the pending DTC was stored excepting those 
conditions within the first 1000 revolutions after engine start. The 
pending DTC may be erased if, at the end of the next drive cycle in 
which similar conditions are encountered to those that occurred when 
the pending DTC was stored, there has been no exceedance of the misfire 
percentage described in paragraph (h)(2)(ii)(B) of this section. The 
pending DTC may also be erased if similar conditions are not 
encountered during the next 80 drive cycles immediately following 
storage of the pending DTC.
    (vi) Storage of freeze frame conditions for engine misfire.
    (A) The OBD system must store and erase freeze frame conditions (as 
defined in paragraph (k)(4)(iii) of this section) either in conjunction 
with storing and erasing a pending DTC or in conjunction with storing 
and erasing a MIL-on DTC.
    (B) If, upon storage of a DTC as required by paragraphs (h)(2)(iv) 
and (h)(2)(v) of this section, there already exist stored freeze frame 
conditions for a malfunction other than a misfire or fuel system 
malfunction (see paragraph (h)(1) of this section) then the stored 
freeze frame information shall be replaced with freeze frame 
information associated with the misfire malfunction.
    (vii) Storage of engine conditions in association with engine 
misfire. Upon detection of the misfire percentages described in 
paragraphs (h)(2)(ii)(A) and (h)(2)(ii)(B) of this section, the 
following engine conditions must be stored for use in determining 
similar conditions: Engine speed, load, and warm up status of the first 
misfire event that resulted in pending DTC storage.
    (viii) MIL deactivation in association with engine misfire. The MIL 
may be deactivated after three sequential drive cycles in which similar 
conditions have been encountered without an exceedance of the misfire 
percentages described in paragraphs (h)(2)(ii)(A) and (h)(2)(ii)(B) of 
this section.
    (3) Exhaust gas recirculation system monitoring.
    (i) General. The OBD system must monitor the EGR system on engines 
so equipped for low and high flow rate malfunctions. The individual 
electronic components (e.g., actuators, valves, sensors) that are used 
in the EGR system must be monitored in accordance with the 
comprehensive component requirements in paragraph (i)(3) of this 
section.
    (ii) EGR system malfunction criteria.
    (A) The OBD system must detect a malfunction of the EGR system 
prior to a decrease from the manufacturer's specified EGR flow rate 
that would cause an engine's emissions to exceed the emissions 
thresholds for ``other monitors'' as shown in Table 2 of this paragraph 
(h). For engines in which no failure or deterioration of the EGR system 
that causes a decrease in flow could result in an engine's emissions 
exceeding the applicable emissions thresholds, the OBD system must 
detect a malfunction when the system has no detectable amount of EGR 
flow.
    (B) The OBD system must detect a malfunction of the EGR system 
prior to an increase from the manufacturer's specified EGR flow rate 
that would cause an engine's emissions to exceed the emissions 
thresholds for ``other monitors'' as shown in Table 2 of this paragraph 
(h). For engines in which no failure or deterioration of the EGR system 
that causes an increase in flow could result in an engine's emissions 
exceeding the applicable emissions thresholds, the OBD system must 
detect a malfunction when the system has

[[Page 8387]]

reached its control limits such that it cannot reduce EGR flow.
    (iii) EGR system monitoring conditions.
    (A) The manufacturer must define the monitoring conditions for 
malfunctions identified in paragraph (h)(3)(ii) of this section in 
accordance with paragraphs (c) and (d) of this section. For purposes of 
tracking and reporting as required by paragraph (d)(1) of this section, 
all monitors used to detect malfunctions identified in paragraph 
(h)(3)(ii) of this section must be tracked separately but reported as a 
single set of values as specified in paragraph (e)(1)(iii) of this 
section.
    (B) The manufacturer may disable temporarily the EGR monitor under 
conditions when monitoring may not be reliable (e.g., when freezing may 
affect performance of the system). To do so, the manufacturer must be 
able to demonstrate that the monitor is unreliable when such conditions 
exist.
    (iv) EGR system MIL activation and DTC storage. The MIL must 
activate and DTCs must be stored according to the provisions of 
paragraph (b) of this section.
    (4) Cold start emission reduction strategy monitoring.
    (i) General. If an engine incorporates a specific engine control 
strategy to reduce cold start emissions, the OBD system must monitor 
the key components (e.g., idle air control valve), other than secondary 
air, while the control strategy is active to ensure proper operation of 
the control strategy.
    (ii) Cold start strategy malfunction criteria.
    (A) The OBD system must detect a malfunction prior to any failure 
or deterioration of the individual components associated with the cold 
start emission reduction control strategy that would cause an engine's 
emissions to exceed the emissions thresholds for ``other monitors'' as 
shown in Table 2 of this paragraph (h). The manufacturer must establish 
the malfunction criteria based on data from one or more representative 
engine(s) and provide an engineering evaluation for establishing the 
malfunction criteria for the remainder of the manufacturer's product 
line.
    (B) Where no failure or deterioration of a component used for the 
cold start emission reduction strategy could result in an engine's 
emissions exceeding the applicable emissions thresholds, the individual 
component must be monitored for proper functional response while the 
control strategy is active in accordance with the malfunction criteria 
in paragraphs (i)(3)(ii) and (i)(3)(iii) of this section.
    (iii) Cold start strategy monitoring conditions. The manufacturer 
must define monitoring conditions for malfunctions identified in 
paragraph (h)(4)(ii) of this section in accordance with paragraphs (c) 
and (d) of this section.
    (iv) Cold start strategy MIL activation and DTC storage. The MIL 
must activate and DTCs must be stored according to the provisions of 
paragraph (b) of this section.
    (5) Secondary air system monitoring.
    (i) General. The OBD system on engines equipped with any form of 
secondary air delivery system must monitor the proper functioning of 
the secondary air delivery system including all air switching valve(s). 
The individual electronic components (e.g., actuators, valves, sensors) 
that are used in the secondary air system must be monitored in 
accordance with the comprehensive component requirements in paragraph 
(i)(3) of this section. For purposes of this paragraph (h)(5), ``air 
flow'' is defined as the air flow delivered by the secondary air system 
to the exhaust system. For engines using secondary air systems with 
multiple air flow paths/distribution points, the air flow to each bank 
(i.e., a group of cylinders that share a common exhaust manifold, 
catalyst, and control sensor) must be monitored in accordance with the 
malfunction criteria in paragraph (h)(5)(ii) of this section. Also for 
purposes of this paragraph (h)(5), ``normal operation'' is defined as 
the condition when the secondary air system is activated during 
catalyst and/or engine warm-up following engine start. ``Normal 
operation'' does not include the condition when the secondary air 
system is turned on intrusively for the sole purpose of monitoring.
    (ii) Secondary air system malfunction criteria.
    (A) Except as provided in paragraph (h)(5)(ii)(C) of this section, 
the OBD system must detect a secondary air system malfunction prior to 
a decrease from the manufacturer's specified air flow during normal 
operation that would cause an engine's emissions to exceed the 
emissions thresholds for ``other monitors'' as shown in Table 2 of this 
paragraph (h).
    (B) Except as provided in paragraph (h)(5)(ii)(C) of this section, 
the OBD system must detect a secondary air system malfunction prior to 
an increase from the manufacturer's specified air flow during normal 
operation that would cause an engine's emissions to exceed the 
emissions thresholds for ``other monitors'' as shown in Table 2 of this 
paragraph (h).
    (C) For engines in which no deterioration or failure of the 
secondary air system would result in an engine's emissions exceeding 
the applicable emissions thresholds, the OBD system must detect a 
malfunction when no detectable amount of air flow is delivered by the 
secondary air system during normal operation.
    (iii) Secondary air system monitoring conditions. The manufacturer 
must define monitoring conditions for malfunctions identified in 
paragraph (h)(5)(ii) of this section in accordance with paragraphs (c) 
and (d) of this section. For purposes of tracking and reporting as 
required by paragraph (d)(1) of this section, all monitors used to 
detect malfunctions identified in paragraph (h)(5)(ii) of this section 
must be tracked separately but reported as a single set of values as 
specified in paragraph (e)(1)(iii) of this section.
    (iv) Secondary air system MIL activation and DTC storage. The MIL 
must activate and DTCs must be stored according to the provisions of 
paragraph (b) of this section.
    (6) Catalyst system monitoring.
    (i) General. The OBD system must monitor the catalyst system for 
proper conversion capability.
    (ii) Catalyst system malfunction criteria. The OBD system must 
detect a catalyst system malfunction when the catalyst system's 
conversion capability decreases to the point that emissions exceed the 
emissions thresholds for the catalyst system as shown in Table 2 of 
this paragraph (h).
    (iii) Catalyst system monitoring conditions. The manufacturer must 
define monitoring conditions for malfunctions identified in paragraph 
(h)(6)(ii) of this section in accordance with paragraphs (c) and (d) of 
this section. For purposes of tracking and reporting as required by 
paragraph (d)(1) of this section, all monitors used to detect 
malfunctions identified in paragraph (h)(6)(ii) of this section must be 
tracked separately but reported as a single set of values as specified 
in paragraph (e)(1)(iii) of this section.
    (iv) Catalyst system MIL activation and DTC storage.
    (A) The MIL must activate and DTCs must be stored according to the 
provisions of paragraph (b) of this section.
    (B) The monitoring method for the catalyst system must be capable 
of detecting when a catalyst DTC has been erased (except OBD system 
self erasure), but the catalyst has not been replaced (e.g., catalyst 
overtemperature histogram approaches are not acceptable).

[[Page 8388]]

    (7) Evaporative system monitoring.
    (i) General. The OBD system must verify purge flow from the 
evaporative system and monitor the complete evaporative system, 
excluding the tubing and connections between the purge valve and the 
intake manifold, for vapor leaks to the atmosphere. Individual 
components of the evaporative system (e.g. valves, sensors) must be 
monitored in accordance with the comprehensive components requirements 
in paragraph (i)(3) of this section.
    (ii) Evaporative system malfunction criteria.
    (A) Purge monitor. The OBD system must detect an evaporative system 
malfunction when no purge flow from the evaporative system to the 
engine can be detected by the OBD system.
    (B) Leak monitor. The OBD system must detect an evaporative system 
malfunction when the complete evaporative system contains a leak or 
leaks that cumulatively are greater than or equal to a leak caused by a 
0.150 inch diameter hole.
    (C) The manufacturer may demonstrate that detection of a larger 
hole is more appropriate than that specified in paragraph (h)(7)(ii)(B) 
of this section. To do so, the manufacturer must demonstrate through 
data and/or engineering analyses that holes smaller than the proposed 
detection size would not result in evaporative or running loss 
emissions that exceed 1.5 times the applicable evaporative emissions 
standards. Upon such a demonstration, the proposed detection size could 
be substituted for the requirement of paragraph (h)(7)(ii)(B) of this 
section.
    (iii) Evaporative system monitoring conditions.
    (A) The manufacturer must define monitoring conditions for 
malfunctions identified in paragraph (h)(7)(ii)(A) of this section in 
accordance with paragraphs (c) and (d) of this section.
    (B) The manufacturer must define monitoring conditions for 
malfunctions identified in paragraph (h)(7)(ii)(B) of this section in 
accordance with paragraphs (c) and (d) of this section. For purposes of 
tracking and reporting as required by paragraph (d)(1) of this section, 
all monitors used to detect malfunctions identified in paragraph 
(h)(7)(ii)(B) of this section must be tracked separately but reported 
as a single set of values as specified in paragraph (e)(1)(iii) of this 
section.
    (C) The manufacturer may disable or abort an evaporative system 
monitor when the fuel tank level is over 85 percent of nominal tank 
capacity or during a refueling event.
    (D) The manufacturer may request Administrator approval to run the 
evaporative system monitor during only those drive cycles characterized 
as cold starts provided such a condition is needed to ensure reliable 
monitoring. In making the request, the manufacturer must demonstrate 
through data and/or engineering analyses that a reliable monitor can 
only be run on drive cycles that begin with a specific set of cold 
start criteria. A set of cold start criteria based solely on ambient 
temperature exceeding engine coolant temperature will not be 
acceptable.
    (E) The OBD system may disable temporarily the evaporative purge 
system to run an evaporative system leak monitor.
    (iv) Evaporative system MIL activation and DTC storage.
    (A) Except as provided for in paragraph (h)(7)(iv)(B) of this 
section, the MIL must activate and DTCs must be stored according to the 
provisions of paragraph (b) of this section.
    (B) If the OBD system is capable of discerning that a system leak 
is being caused by a missing or improperly secured gas cap, the OBD 
system need not activate the MIL or store a DTC provided the vehicle is 
equipped with an alternative indicator for notifying the operator of 
the gas cap problem. The alternative indicator must be of sufficient 
illumination and location to be readily visible under all lighting 
conditions. If the vehicle is not equipped with such an alternative 
indicator, the MIL must activate and a DTC be stored as required in 
paragraph (h)(7)(iv)(A) of this section; however, these may be 
deactivated and erased, respectively, if the OBD system determines that 
the gas cap problem has been corrected and the MIL has not been 
activated for any other malfunction. The Administrator may approve 
other strategies that provide equivalent assurance that a vehicle 
operator will be notified promptly of a missing or improperly secured 
gas cap and that corrective action will be undertaken.
    (8) Exhaust gas sensor monitoring.
    (i) General.
    (A) The OBD system must monitor for malfunctions the output signal, 
response rate, and any other parameter that can affect emissions of all 
primary (i.e., fuel control) exhaust gas sensors (e.g., oxygen, wide-
range air/fuel). Both the lean-to-rich and rich-to-lean response rates 
must be monitored.
    (B) The OBD system must also monitor all secondary exhaust gas 
sensors (those used for secondary fuel trim control or as a monitoring 
device) for proper output signal, activity, and response rate.
    (C) For engines equipped with heated exhaust gas sensor, the OBD 
system must monitor the heater for proper performance.
    (ii) Primary exhaust gas sensor malfunction criteria.
    (A) The OBD system must detect a malfunction prior to any failure 
or deterioration of the exhaust gas sensor output voltage, resistance, 
impedance, current, response rate, amplitude, offset, or other 
characteristic(s) (including drift or bias corrected for by secondary 
sensors) that would cause an engine's emissions to exceed the emissions 
thresholds for ``other monitors'' as shown in Table 2 of this paragraph 
(h).
    (B) The OBD system must detect malfunctions of the exhaust gas 
sensor caused by either a lack of circuit continuity or out-of-range 
values.
    (C) The OBD system must detect a malfunction of the exhaust gas 
sensor when a sensor failure or deterioration causes the fuel system to 
stop using that sensor as a feedback input (e.g., causes default or 
open-loop operation).
    (D) The OBD system must detect a malfunction of the exhaust gas 
sensor when the sensor output voltage, resistance, impedance, current, 
amplitude, activity, or other characteristics are no longer sufficient 
for use as an OBD system monitoring device (e.g., for catalyst 
monitoring).
    (iii) Secondary exhaust gas sensor malfunction criteria.
    (A) The OBD system must detect a malfunction prior to any failure 
or deterioration of the exhaust gas sensor voltage, resistance, 
impedance, current, response rate, amplitude, offset, or other 
characteristic(s) that would cause an engine's emissions to exceed the 
emissions thresholds for ``other monitors'' as shown in Table 2 of this 
paragraph (h).
    (B) The OBD system must detect malfunctions of the exhaust gas 
sensor caused by a lack of circuit continuity.
    (C) To the extent feasible, the OBD system must detect a 
malfunction of the exhaust gas sensor when the sensor output voltage, 
resistance, impedance, current, amplitude, activity, offset, or other 
characteristics are no longer sufficient for use as an OBD system 
monitoring device (e.g., for catalyst monitoring).
    (D) The OBD system must detect malfunctions of the exhaust gas 
sensor caused by out-of-range values.
    (E) The OBD system must detect a malfunction of the exhaust gas 
sensor when a sensor failure or deterioration causes the fuel system 
(e.g., fuel control) to stop using that sensor as a feedback input 
(e.g., causes default or open-loop operation).

[[Page 8389]]

    (iv) Exhaust gas sensor heater malfunction criteria.
    (A) The OBD system must detect a malfunction of the heater 
performance when the current or voltage drop in the heater circuit is 
no longer within the manufacturer's specified limits for normal 
operation (i.e., within the criteria required to be met by the 
component vendor for heater circuit performance at high mileage). Other 
malfunction criteria for heater performance malfunctions may be used 
upon demonstrating via data or engineering analyses that the monitoring 
reliability and timeliness is equivalent to the stated criteria in this 
paragraph (h)(8)(iv)(A).
    (B) The OBD system must detect malfunctions of the heater circuit 
including open or short circuits that conflict with the commanded state 
of the heater (e.g., shorted to 12 Volts when commanded to 0 Volts 
(ground)).
    (v) Primary exhaust gas sensor monitoring conditions.
    (A) The manufacturer must define monitoring conditions for 
malfunctions identified in paragraphs (h)(8)(ii)(A) and (h)(8)(ii)(D) 
of this section in accordance with paragraphs (c) and (d) of this 
section. For purposes of tracking and reporting as required by 
paragraph (d)(1) of this section, all monitors used to detect 
malfunctions identified in paragraphs (h)(8)(ii)(A) and (h)(8)(ii)(D) 
of this section must be tracked separately but reported as a single set 
of values as specified in paragraph (e)(1)(iii) of this section.
    (B) Except as provided for in paragraph (h)(8)(v)(C) of this 
section, monitoring for malfunctions identified in paragraphs 
(h)(8)(ii)(B) and (h)(8)(ii)(C) of this section must be conducted 
continuously.
    (C) The manufacturer may disable continuous primary exhaust gas 
sensor monitoring when a primary exhaust gas sensor malfunction cannot 
be distinguished from other effects (e.g., disable out-of-range low 
monitoring during fuel cut conditions). To do so, the manufacturer must 
demonstrate via data or engineering analyses that a properly 
functioning sensor cannot be distinguished from a malfunctioning sensor 
and that the disablement interval is limited only to that necessary for 
avoiding false detection.
    (vi) Secondary exhaust gas sensor monitoring conditions.
    (A) The manufacturer must define monitoring conditions for 
malfunctions identified in paragraphs (h)(8)(iii)(A) through 
(h)(8)(iii)(C) of this section in accordance with paragraphs (c) and 
(d) of this section.
    (B) Except as provided for in paragraph (h)(8)(vi)(C) of this 
section, monitoring for malfunctions identified in paragraphs 
(h)(8)(iii)(D) and (h)(8)(iii)(E) of this section must be conducted 
continuously.
    (C) The manufacturer may disable continuous secondary exhaust gas 
sensor monitoring when a secondary exhaust gas sensor malfunction 
cannot be distinguished from other effects (e.g., disable out-of-range 
low monitoring during fuel cut conditions). To do so, the manufacturer 
must demonstrate via data or engineering analyses that a properly 
functioning sensor cannot be distinguished from a malfunctioning sensor 
and that the disablement interval is limited only to that necessary for 
avoiding false detection.
    (vii) Exhaust gas sensor heater monitoring conditions.
    (A) The manufacturer must define monitoring conditions for 
malfunctions identified in paragraph (h)(8)(iv)(A) of this section in 
accordance with paragraphs (c) and (d) of this section.
    (B) Monitoring for malfunctions identified in paragraph 
(h)(8)(iv)(B) of this section must be conducted continuously.
    (viii) Exhaust gas sensor MIL activation and DTC storage. The MIL 
must activate and DTCs must be stored according to the provisions of 
paragraph (b) of this section.
    (9) Variable valve timing (VVT) system monitoring.
    (i) General. The OBD system must monitor the VVT system on engines 
so equipped for target error and slow response malfunctions. The 
individual electronic components (e.g., actuators, valves, sensors) 
that are used in the VVT system must be monitored in accordance with 
the comprehensive components requirements in paragraph (i)(3).
    (ii) VVT system malfunction criteria.
    (A) VVT system target error. The OBD system must detect a 
malfunction prior to any failure or deterioration in the capability of 
the VVT system to achieve the commanded valve timing and/or control 
within a crank angle and/or lift tolerance that would cause an engine's 
emissions to exceed the emission thresholds for ``other monitors'' as 
shown in Table 2 of this paragraph (h).
    (B) VVT slow response. The OBD system must detect a malfunction 
prior to any failure or deterioration in the capability of the VVT 
system to achieve the commanded valve timing and/or control within a 
manufacturer-specified time that would cause an engine's emissions to 
exceed the emission thresholds for ``other monitors'' as shown in Table 
2 of this paragraph (h).
    (C) For engines in which no failure or deterioration of the VVT 
system could result in an engine's emissions exceeding the applicable 
emissions thresholds of paragraphs (h)(9)(ii)(A) and (h)(9)(ii)(B) of 
this section, the OBD system must detect a malfunction of the VVT 
system when proper functional response of the system to computer 
commands does not occur.
    (iii) VVT system monitoring conditions. Manufacturers must define 
the monitoring conditions for VVT system malfunctions identified in 
paragraph (h)(9)(ii) in accordance with paragraphs (c) and (d) of this 
section, with the exception that monitoring must occur every time the 
monitoring conditions are met during the drive cycle rather than once 
per drive cycle as required in paragraph (c)(2) of this section. For 
purposes of tracking and reporting as required in paragraph (d)(1) of 
this section, all monitors used to detect malfunctions identified in 
paragraph (h)(9)(ii) must be tracked separately but reported as a 
single set of values as specified in paragraph (e)(1)(iii) of this 
section.
    (iv) VVT MIL activation and DTC storage. The MIL must activate and 
DTCs must be stored according to the provisions of paragraph (b) of 
this section.
    (i) OBD monitoring requirements for all engines.
    (1) Engine cooling system monitoring.
    (i) General.
    (A) The OBD system must monitor the thermostat on engines so 
equipped for proper operation.
    (B) The OBD system must monitor the engine coolant temperature 
(ECT) sensor for electrical circuit continuity, out-of-range values, 
and rationality malfunctions.
    (C) For engines that use a system other than the cooling system and 
ECT sensor (e.g., oil temperature, cylinder head temperature) to 
determine engine operating temperature for emission control purposes 
(e.g., to modify spark or fuel injection timing or quantity), the 
manufacturer may forego cooling system monitoring and instead monitor 
the components or systems used in their approach. To do so, the 
manufacturer must to submit data and/or engineering analyses that 
demonstrate that their monitoring plan is as reliable and effective as 
the monitoring required in this paragraph (i)(1).
    (ii) Malfunction criteria for the thermostat.
    (A) The OBD system must detect a thermostat malfunction if, within 
the manufacturer specified time interval following engine start, any of 
the following conditions occur: The coolant

[[Page 8390]]

temperature does not reach the highest temperature required by the OBD 
system to enable other diagnostics; and, the coolant temperature does 
not reach a warmed-up temperature within 20 degrees Fahrenheit of the 
manufacturer's nominal thermostat regulating temperature. For the 
second of these two conditions, the manufacturer may use a lower 
temperature for this criterion if either the manufacturer can 
demonstrate that the fuel, spark timing, and/or other coolant 
temperature-based modification to the engine control strategies would 
not cause an emissions increase greater than or equal to 50 percent of 
any of the applicable emissions standards; or, ambient air temperature 
is between 20 degrees Fahrenheit and 50 degrees Fahrenheit in which 
case, upon Administrator approval, the minimum coolant temperature 
required to be reached may be decreased based on the ambient air 
temperature.
    (B) With Administrator approval, the manufacturer may use 
alternative malfunction criteria to those of paragraph (i)(1)(ii)(A) of 
this section and/or alternative monitoring conditions to those of 
paragraph (i)(1)(iv) of this section that are a function of temperature 
at engine start on engines that do not reach the temperatures specified 
in the malfunction criteria when the thermostat is functioning 
properly. To do so, the manufacturer is required to submit data and/or 
engineering analyses that demonstrate that a properly operating system 
does not reach the specified temperatures and that the possibility is 
minimized for cooling system malfunctions to go undetected thus 
disabling other OBD monitors.
    (C) The manufacturer may request Administrator approval to forego 
monitoring of the thermostat if the manufacturer can demonstrate that a 
malfunctioning thermostat cannot cause a measurable increase in 
emissions during any reasonable driving condition nor cause any 
disablement of other OBD monitors.
    (iii) Malfunction criteria for the ECT sensor.
    (A) Circuit integrity. The OBD system must detect malfunctions of 
the ECT sensor related to a lack of circuit continuity or out-of-range 
values.
    (B) Time to reach closed-loop/feedback enable temperature. The OBD 
system must detect if, within the manufacturer specified time interval 
following engine start, the ECT sensor does not achieve the highest 
stabilized minimum temperature that is needed to initiate closed-loop/
feedback control of all affected emission control systems (e.g., fuel 
system, EGR system). The manufacturer specified time interval must be a 
function of the engine coolant temperature and/or intake air 
temperature at startup. The manufacturer time interval must be 
supported by data and/or engineering analyses demonstrating that it 
provides robust monitoring and minimizes the likelihood of other OBD 
monitors being disabled. The manufacturer may forego the requirements 
of this paragraph (i)(1)(iii)(B) provided the manufacturer does not use 
engine coolant temperature or the ECT sensor to enable closed-loop/
feedback control of any emission control systems.
    (C) Stuck in range below the highest minimum enable temperature. To 
the extent feasible when using all available information, the OBD 
system must detect a malfunction if the ECT sensor inappropriately 
indicates a temperature below the highest minimum enable temperature 
required by the OBD system to enable other monitors (e.g., an OBD 
system that requires ECT to be greater than 140 degrees Fahrenheit to 
enable a diagnostic must detect malfunctions that cause the ECT sensor 
to inappropriately indicate a temperature below 140 degrees 
Fahrenheit). The manufacturer may forego this requirement for 
temperature regions in which the monitors required under paragraphs 
(i)(1)(ii) or (i)(1)(iii)(B) of this section will detect ECT sensor 
malfunctions as defined in this paragraph (i)(1)(iii)(C).
    (D) Stuck in range above the lowest maximum enable temperature. The 
OBD system must detect a malfunction if the ECT sensor inappropriately 
indicates a temperature above the lowest maximum enable temperature 
required by the OBD system to enable other monitors (e.g., an OBD 
system that requires an engine coolant temperature less than 90 degrees 
Fahrenheit at startup prior to enabling an OBD monitor must detect 
malfunctions that cause the ECT sensor to indicate inappropriately a 
temperature above 90 degrees Fahrenheit). The manufacturer may forego 
this requirement within temperature regions in which the monitors 
required under paragraphs (i)(1)(ii), (i)(1)(iii)(B), (i)(1)(iii)(C) of 
this section will detect ECT sensor malfunctions as defined in this 
paragraph (i)(1)(iii)(D) or in which the MIL will be activated 
according to the provisions of paragraph (b)(2)(v) of this section. The 
manufacturer may also forego this monitoring within temperature regions 
where a temperature gauge on the instrument panel indicates a 
temperature in the ``red zone'' (engine overheating zone) and displays 
the same temperature information as used by the OBD system.
    (iv) Monitoring conditions for the thermostat.
    (A) The manufacturer must define the monitoring conditions for 
malfunctions identified in paragraph (i)(1)(ii)(A) of this section in 
accordance with paragraph (c) of this section. Additionally, except as 
provided for in paragraphs (i)(1)(iv)(B) and (i)(1)(iv)(C) of this 
section, monitoring for malfunctions identified in paragraph 
(i)(1)(ii)(A) of this section must be conducted once per drive cycle on 
every drive cycle in which the ECT sensor indicates, at engine start, a 
temperature lower than the temperature established as the malfunction 
criteria in paragraph (i)(1)(ii)(A) of this section.
    (B) The manufacturer may disable thermostat monitoring at ambient 
engine start temperatures below 20 degrees Fahrenheit.
    (C) The manufacturers may request Administrator approval to suspend 
or disable thermostat monitoring if the engine is subjected to 
conditions that could lead to false diagnosis. To do so, the 
manufacturer must submit data and/or engineering analyses that 
demonstrate that the suspension or disablement is necessary. In 
general, the manufacturer will not be allowed to suspend or disable the 
thermostat monitor on engine starts where the engine coolant 
temperature at engine start is more than 35 degrees Fahrenheit lower 
than the thermostat malfunction threshold temperature determined under 
paragraph (i)(1)(ii)(A) of this section.
    (v) Monitoring conditions for the ECT sensor.
    (A) Except as provided for in paragraph (i)(1)(v)(D) of this 
section, the OBD system must monitor continuously for malfunctions 
identified in paragraph monitoring for malfunctions identified in 
paragraph (i)(1)(iii)(A) of this section (i.e., circuit integrity and 
out-of-range).
    (B) The manufacturer must define the monitoring conditions for 
malfunctions identified in paragraph (i)(1)(iii)(B) of this section in 
accordance with paragraph (c) of this section. Additionally, except as 
provided for in paragraph (i)(1)(v)(D) of this section, monitoring for 
malfunctions identified in paragraph (i)(1)(iii)(B) of this section 
must be conducted once per drive cycle on every drive cycle in which 
the ECT sensor indicates a temperature lower than the closed-loop 
enable temperature at engine start (i.e., all engine start temperatures 
greater than the ECT sensor out-of-range low temperature and less than 
the closed-loop enable temperature).

[[Page 8391]]

    (C) The manufacturer must define the monitoring conditions for 
malfunctions identified in paragraphs (i)(1)(iii)(C) and (i)(1)(iii)(D) 
of this section in accordance with paragraphs (c) and (d) of this 
section.
    (D) The manufacturer may suspend or delay the monitor for the time 
to reach closed-loop enable temperature if the engine is subjected to 
conditions that could lead to false diagnosis (e.g., vehicle operation 
at idle for more than 50 to 75 percent of the warm-up time).
    (E) The manufacturer may request Administrator approval to disable 
continuous ECT sensor monitoring when an ECT sensor malfunction cannot 
be distinguished from other effects. To do so, the manufacturer must 
submit data and/or engineering analyses that demonstrate a properly 
functioning sensor cannot be distinguished from a malfunctioning sensor 
and that the disablement interval is limited only to that necessary for 
avoiding false detection.
    (vi) Engine cooling system MIL activation and DTC storage. The MIL 
must activate and DTCs must be stored according to the provisions of 
paragraph (b) of this section.
    (2) Crankcase ventilation (CV) system monitoring.
    (i) General. The OBD system must monitor the CV system on engines 
so equipped for system integrity. Engines not required to be equipped 
with CV systems are exempt from monitoring the CV system. For diesel 
engines, the manufacturer must submit a plan for Administrator approval 
prior to OBD certification. That plan must include descriptions of the 
monitoring strategy, malfunction criteria, and monitoring conditions 
for CV system monitoring. The plan must demonstrate that the CV system 
monitor is of equivalent effectiveness, to the extent feasible, to the 
malfunction criteria and the monitoring conditions of this paragraph 
(i)(2).
    (ii) Crankcase ventilation system malfunction criteria.
    (A) For the purposes of this paragraph (i)(2), ``CV system'' is 
defined as any form of crankcase ventilation system, regardless of 
whether it utilizes positive pressure. ``CV valve'' is defined as any 
form of valve or orifice used to restrict or control crankcase vapor 
flow. Further, any additional external CV system tubing or hoses used 
to equalize crankcase pressure or to provide a ventilation path between 
various areas of the engine (e.g., crankcase and valve cover) are 
considered part of the CV system ``between the crankcase and the CV 
valve'' and subject to the malfunction criteria in paragraph 
(i)(2)(ii)(B) of this section.
    (B) Except as provided for in paragraphs (i)(2)(ii)(C) through 
(i)(2)(ii)(E) of this section, the OBD system must detect a malfunction 
of the CV system when a disconnection of the system occurs between 
either the crankcase and the CV valve, or between the CV valve and the 
intake manifold.
    (C) The manufacturer may forego monitoring for a disconnection 
between the crankcase and the CV valve provided the CV system is 
designed such that the CV valve is fastened directly to the crankcase 
such that it is significantly more difficult to remove the CV valve 
from the crankcase than to disconnect the line between the CV valve and 
the intake manifold (taking aging effects into consideration). To do 
so, the manufacturer must be able to provide data and/or an engineering 
evaluation demonstrating that the CV system is so designed.
    (D) The manufacturer may forego monitoring for a disconnection 
between the crankcase and the CV valve provided the CV system is 
designed such that it uses tubing connections between the CV valve and 
the crankcase that are: resistant to deterioration or accidental 
disconnection; significantly more difficult to disconnect than is the 
line between the CV valve and the intake manifold; and, not subject to 
disconnection per the manufacturer's repair procedures for any non-CV 
system repair. To do so, the manufacturer must be able to provide data 
and/or engineering evaluation demonstrating that the CV system is so 
designed.
    (E) The manufacturer may forego monitoring for a disconnection 
between the CV valve and the intake manifold provided the CV system is 
designed such that any disconnection either causes the engine to stall 
immediately during idle operation, or is unlikely to occur due to a CV 
system design that is integral to the induction system (e.g., machined 
passages rather than tubing or hoses). To do so, the manufacturer must 
be able to provide data and/or an engineering evaluation demonstrating 
that the CV system is so designed.
    (iii) Crankcase ventilation system monitoring conditions. The 
manufacturer must define the monitoring conditions for malfunctions 
identified in paragraph (i)(2) of this section in accordance with 
paragraphs (c) and (d) of this section.
    (iv) Crankcase ventilation system MIL activation and DTC storage. 
The MIL must activate and DTCs must be stored according to the 
provisions of paragraph (b) of this section. The stored DTC need not 
identify specifically the CV system (e.g., a DTC for idle speed control 
or fuel system monitoring can be stored) if the manufacturer can 
demonstrate that additional monitoring hardware is necessary to make 
such an identification and provided the manufacturer's diagnostic and 
repair procedures for the detected malfunction include directions to 
check the integrity of the CV system.
    (3) Comprehensive component monitoring.
    (i) General. Except as provided for in paragraph (i)(4) of this 
section, the OBD system must detect a malfunction of any electronic 
engine component or system not otherwise described in paragraphs (g), 
(h), (i)(1), and (i)(2) of this section that either provides input to 
(directly or indirectly, such components may include the crank angle 
sensor, knock sensor, throttle position sensor, cam position sensor, 
intake air temperature sensor, boost pressure sensor, manifold pressure 
sensor, mass air flow sensor, exhaust temperature sensor, exhaust 
pressure sensor, fuel pressure sensor, fuel composition sensor of a 
flexible fuel vehicle, etc.) or receives commands from (such components 
or systems may include the idle speed control system, glow plug system, 
variable length intake manifold runner systems, supercharger or 
turbocharger electronic components, heated fuel preparation systems, 
the wait-to-start lamp on diesel applications, the MIL, etc.) the 
onboard computer(s) and meets either of the criteria described in 
paragraphs (i)(3)(i)(A) and/or (i)(3)(i)(B) of this section. Note that, 
for the purposes of this paragraph (i)(3), ``electronic engine 
component or system'' does not include components that are driven by 
the engine and are not related to the control of the fueling, air 
handling, or emissions of the engine (e.g., PTO components, air 
conditioning system components, and power steering components).
    (A) It can cause emissions to exceed applicable emission standards. 
To preclude monitoring, the manufacturer must be able to provide 
emission data showing that the component or system, when malfunctioning 
and installed on a suitable test engine, does not cause emissions to 
exceed the emission standards.
    (B) It is used as part of the monitoring strategy for any other 
monitored system or component.
    (ii) Comprehensive component malfunction criteria for input 
components.
    (A) The OBD system must detect malfunctions of input components 
caused by a lack of circuit continuity and out-of-range values. In 
addition, where feasible, rationality checks must

[[Page 8392]]

also be done and shall verify that a sensor output is neither 
inappropriately high nor inappropriately low (i.e., ``two-sided'' 
monitoring).
    (B) To the extent feasible, the OBD system must separately detect 
and store different DTCs that distinguish rationality malfunctions from 
lack of circuit continuity and out-of-range malfunctions. For lack of 
circuit continuity and out-of-range malfunctions, the OBD system must, 
to the extent feasible, separately detect and store different DTCs for 
each distinct malfunction (e.g., out-of-range low, out-of-range high, 
open circuit). The OBD system is not required to store separate DTCs 
for lack of circuit continuity malfunctions that cannot be 
distinguished from other out-of-range circuit malfunctions.
    (C) For input components that are used to activate alternative 
strategies that can affect emissions (e.g., AECDs, engine shutdown 
systems), the OBD system must conduct rationality checks to detect 
malfunctions that cause the system to activate erroneously or 
deactivate the alternative strategy. To the extent feasible when using 
all available information, the rationality check must detect a 
malfunction if the input component inappropriately indicates a value 
that activates or deactivates the alternative strategy. For example, 
for an alternative strategy that activates when the intake air 
temperature is greater than 120 degrees Fahrenheit, the OBD system must 
detect malfunctions that cause the intake air temperature sensor to 
indicate inappropriately a temperature above 120 degrees Fahrenheit.
    (D) For engines that require precise alignment between the camshaft 
and the crankshaft, the OBD system must monitor the crankshaft position 
sensor(s) and camshaft position sensor(s) to verify proper alignment 
between the camshaft and crankshaft in addition to monitoring the 
sensors for circuit continuity and proper rationality. Proper alignment 
monitoring between a camshaft and a crankshaft is required only in 
cases where both are equipped with position sensors. For engines 
equipped with VVT systems and a timing belt or chain, the OBD system 
must detect a malfunction if the alignment between the camshaft and 
crankshaft is off by one or more cam/crank sprocket cogs (e.g., the 
timing belt/chain has slipped by one or more teeth/cogs). If a 
manufacturer demonstrates that a single tooth/cog misalignment cannot 
cause a measurable increase in emissions during any reasonable driving 
condition, the OBD system must detect a malfunction when the minimum 
number of teeth/cogs misalignment has occurred that does cause a 
measurable emission increase.
    (iii) Comprehensive component malfunction criteria for output 
components/systems.
    (A) The OBD system must detect a malfunction of an output 
component/system when proper functional response does not occur in 
response to computer commands. If such a functional check is not 
feasible, the OBD system must detect malfunctions of output components/
systems caused by a lack of circuit continuity or circuit malfunction 
(e.g., short to ground or high voltage). For output component lack of 
circuit continuity malfunctions and circuit malfunctions, the OBD 
system is not required to store different DTCs for each distinct 
malfunction (e.g., open circuit, shorted low). Manufacturers are not 
required to activate an output component/system when it would not 
normally be active for the sole purpose of performing a functional 
check of it as required in this paragraph (i)(3).
    (B) For gasoline engines, the idle control system must be monitored 
for proper functional response to computer commands. For gasoline 
engines using monitoring strategies based on deviation from target idle 
speed, a malfunction must be detected when either of the following 
conditions occurs: The idle speed control system cannot achieve the 
target idle speed within 200 revolutions per minute (rpm) above the 
target speed or 100 rpm below the target speed; or, the idle speed 
control system cannot achieve the target idle speed within the smallest 
engine speed tolerance range required by the OBD system to enable any 
other monitors. Regarding the former of these conditions, the 
manufacturer may use larger engine speed tolerances. To do so, the 
manufacturer must be able to provide data and/or engineering analyses 
that demonstrate that the tolerances can be exceeded without a 
malfunction being present.
    (C) For diesel engines, the idle control system must be monitored 
for proper functional response to computer commands. For diesel 
engines, a malfunction must be detected when either of the following 
conditions occurs: the idle fuel control system cannot achieve the 
target idle speed or fuel injection quantity within +/-50 percent of 
the manufacturer-specified fuel quantity and engine speed tolerances; 
or, the idle fuel control system cannot achieve the target idle speed 
or fueling quantity within the smallest engine speed or fueling 
quantity tolerance range required by the OBD system to enable any other 
monitors.
    (D) For model years 2010 through 2012, glow plugs must be monitored 
for circuit continuity malfunctions. For model years 2010 and later, 
intake air heater systems and, for model years 2013 and later, glow 
plugs must be monitored for proper functional response to computer 
commands and for circuit continuity malfunctions. The glow plug/intake 
air heater circuit(s) must be monitored for proper current and voltage 
drop. The manufacturer may use other monitoring strategies but must be 
able to provide data and/or engineering analyses that demonstrate 
reliable and timely detection of malfunctions. The OBD system must also 
detect a malfunction when a single glow plug no longer operates within 
the manufacturer's specified limits for normal operation. If a 
manufacturer can demonstrate that a single glow plug malfunction cannot 
cause a measurable increase in emissions during any reasonable driving 
condition, the OBD system must instead detect a malfunction when the 
number of glow plugs needed to cause an emission increase is 
malfunctioning. To the extent feasible, the stored DTC must identify 
the specific malfunctioning glow plug(s).
    (E) The wait-to-start lamp circuit and the MIL circuit must be 
monitored for malfunctions that cause either lamp to fail to activate 
when commanded to do so (e.g., burned out bulb). This monitoring of the 
wait-to-start lamp circuit and the MIL circuit is not required for 
wait-to-start lamps and MILs using light-emitting diodes (LEDs).
    (iv) Monitoring conditions for input components.
    (A) The OBD system must monitor input components continuously for 
out-of-range values and circuit continuity. The manufacturer may 
disable continuous monitoring for circuit continuity and out-of-range 
values when a malfunction cannot be distinguished from other effects. 
To do so, the manufacturer must be able to provide data and/or 
engineering analyses that demonstrate that a properly functioning input 
component cannot be distinguished from a malfunctioning input component 
and that the disablement interval is limited only to that necessary for 
avoiding false malfunction detection.
    (B) For input component rationality checks (where applicable), the 
manufacturer must define the monitoring conditions for detecting 
malfunctions in accordance with paragraphs (c) and (d) of this section, 
with the exception that rationality

[[Page 8393]]

checks must occur every time the monitoring conditions are met during 
the drive cycle rather than once per drive cycle as required in 
paragraph (c)(2) of this section.
    (v) Monitoring conditions for output components/systems.
    (A) The OBD system must monitor output components/systems 
continuously for circuit continuity and circuit malfunctions. The 
manufacturer may disable continuous monitoring for circuit continuity 
and circuit malfunctions when a malfunction cannot be distinguished 
from other effects. To do so, the manufacturer must be able to provide 
data and/or engineering analyses that demonstrate that a properly 
functioning output component/system cannot be distinguished from a 
malfunctioning one and that the disablement interval is limited only to 
that necessary for avoiding false malfunction detection.
    (B) For output component/system functional checks, the manufacturer 
must define the monitoring conditions for detecting malfunctions in 
accordance with paragraphs (c) and (d) of this section. Specifically 
for the idle control system, the manufacturer must define the 
monitoring conditions for detecting malfunctions in accordance with 
paragraphs (c) and (d) of this section, with the exception that 
functional checks must occur every time the monitoring conditions are 
met during the drive cycle rather than once per drive cycle as required 
in paragraph (c)(2) of this section.
    (vi) Comprehensive component MIL activation and DTC storage.
    (A) Except as provided for in paragraphs (i)(3)(vi)(B) and 
(i)(3)(vi)(C) of this section, the MIL must activate and DTCs must be 
stored according to the provisions of paragraph (b) of this section.
    (B) The MIL need not be activated in conjunction with storing a 
MIL-on DTC for any comprehensive component if: the component or system, 
when malfunctioning, could not cause engine emissions to increase by 15 
percent or more of the applicable FTP standard during any reasonable 
driving condition; or, the component or system is not used as part of 
the monitoring strategy for any other system or component that is 
required to be monitored.
    (C) The MIL need not be activated if a malfunction has been 
detected in the MIL circuit that prevents the MIL from activating 
(e.g., burned out bulb or light-emitting diode, LED). Nonetheless, the 
electronic MIL status (see paragraph (k)(4)(ii) of this section) must 
be reported as MIL commanded-on and a MIL-on DTC must be stored.
    (4) Other emission control system monitoring.
    (i) General. For other emission control systems that are either not 
addressed in paragraphs (g) through (i)(3) of this section (e.g., 
hydrocarbon traps, homogeneous charge compression ignition control 
systems), or addressed in paragraph (i)(3) of this section but not 
corrected or compensated for by an adaptive control system (e.g., swirl 
control valves), the manufacturer must submit a plan for Administrator 
approval of the monitoring strategy, malfunction criteria, and 
monitoring conditions prior to introduction on a production engine. The 
plan must demonstrate the effectiveness of the monitoring strategy, the 
malfunction criteria used, the monitoring conditions required by the 
monitor, and, if applicable, the determination that the requirements of 
paragraph (i)(4)(ii) of this section are satisfied.
    (ii) For engines that use emission control systems that alter 
intake air flow or cylinder charge characteristics by actuating 
valve(s), flap(s), etc., in the intake air delivery system (e.g., swirl 
control valve systems), the manufacturer, in addition to meeting the 
requirements of paragraph (i)(4)(i) of this section, may elect to have 
the OBD system monitor the shaft to which all valves in one intake bank 
are physically attached rather than performing a functional check of 
the intake air flow, cylinder charge, or individual valve(s)/flap(s). 
For non-metal shafts or segmented shafts, the monitor must verify all 
shaft segments for proper functional response (e.g., by verifying that 
the segment or portion of the shaft farthest from the actuator 
functions properly). For systems that have more than one shaft to 
operate valves in multiple intake banks, the manufacturer is not 
required to add more than one set of detection hardware (e.g., sensor, 
switch) per intake bank to meet this requirement.
    (5) Exceptions to OBD monitoring requirements.
    (i) The Administrator may revise the PM filtering performance 
malfunction criteria for DPFs to exclude detection of specific failure 
modes such as partially melted substrates, if the most reliable 
monitoring method developed requires it.
    (ii) The manufacturer may disable an OBD system monitor at ambient 
engine start temperatures below 20 degrees Fahrenheit (low ambient 
temperature conditions may be determined based on intake air or engine 
coolant temperature at engine start) or at elevations higher than 8,000 
feet above sea level. To do so, the manufacturer must submit data and/
or engineering analyses that demonstrate that monitoring is unreliable 
during the disable conditions. A manufacturer may request that an OBD 
system monitor be disabled at other ambient engine start temperatures 
by submitting data and/or engineering analyses demonstrating that 
misdiagnosis would occur at the given ambient temperatures due to their 
effect on the component itself (e.g., component freezing).
    (iii) The manufacturer may disable an OBD system monitor when the 
fuel level is 15 percent or less of the nominal fuel tank capacity for 
those monitors that can be affected by low fuel level or running out of 
fuel (e.g., misfire detection). To do so, the manufacturer must submit 
data and/or engineering analyses that demonstrate that monitoring at 
the given fuel levels is unreliable, and that the OBD system is still 
able to detect a malfunction if the component(s) used to determine fuel 
level indicates erroneously a fuel level that causes the disablement.
    (iv) The manufacturer may disable OBD monitors that can be affected 
by engine battery or system voltage levels.
    (A) For an OBD monitor affected by low vehicle battery or system 
voltages, manufacturers may disable monitoring when the battery or 
system voltage is below 11.0 Volts. The manufacturer may use a voltage 
threshold higher than 11.0 Volts to disable monitors but must submit 
data and/or engineering analyses that demonstrate that monitoring at 
those voltages is unreliable and that either operation of a vehicle 
below the disablement criteria for extended periods of time is unlikely 
or the OBD system monitors the battery or system voltage and will 
detect a malfunction at the voltage used to disable other monitors.
    (B) For an OBD monitor affected by high engine battery or system 
voltages, the manufacturer may disable monitoring when the battery or 
system voltage exceeds a manufacturer-defined voltage. To do so, the 
manufacturer must submit data and/or engineering analyses that 
demonstrate that monitoring above the manufacturer-defined voltage is 
unreliable and that either the electrical charging system/alternator 
warning light will be activated (or voltage gauge would be in the ``red 
zone'') or the OBD system monitors the battery or system voltage and 
will detect a malfunction at the voltage used to disable other 
monitors.
    (v) The manufacturer may also disable affected OBD monitors in 
systems designed to accommodate the

[[Page 8394]]

installation of power take off (PTO) units provided monitors are 
disabled only while the PTO unit is active and the OBD readiness status 
(see paragraph (k)(4)(i) of this section) is cleared by the onboard 
computer (i.e., all monitors set to indicate ``not complete'' or ``not 
ready'') while the PTO unit is activated. If monitors are so disabled 
and when the disablement ends, the readiness status may be restored to 
its state prior to PTO activation.
    (6) Feedback control system monitoring. If the engine is equipped 
with feedback control of any of the systems covered in paragraphs (g), 
(h) and (i) of this section, then the OBD system must detect as 
malfunctions the conditions specified in this paragraph (i)(6) for each 
of the individual feedback controls.
    (i) The OBD system must detect when the system fails to begin 
feedback control within a manufacturer specified time interval.
    (ii) When any malfunction or deterioration causes open loop or 
limp-home operation.
    (iii) When feedback control has used up all of the adjustment 
allowed by the manufacturer.
    (iv) A manufacturer may temporarily disable monitoring for 
malfunctions specified in paragraph (i)(6)(iii) of this section during 
conditions that the specific monitor cannot distinguish robustly 
between a malfunctioning system and a properly operating system. To do 
so, the manufacturer is required to submit data and/or engineering 
analyses demonstrating that the individual feedback control system, 
when operating as designed on an engine with all emission controls 
working properly, routinely operates during these conditions while 
having used up all of the adjustment allowed by the manufacturer. In 
lieu of detecting, with a system specific monitor, the malfunctions 
specified in paragraphs (i)(6)(i) and (i)(6)(ii) of this section the 
OBD system may monitor the individual parameters or components that are 
used as inputs for individual feedback control systems provided that 
the monitors detect all malfunctions that meet the criteria of 
paragraphs (i)(6)(i) and (i)(6)(ii) of this section.
    (j) Production evaluation testing.
    (1) Verification of Standardization Requirements.
    (i) For model years 2013 and later, the manufacturer must perform 
testing to verify that production vehicles meet the requirements of 
paragraphs (k)(3) and (k)(4) of this section relevant to the proper 
communication of required emissions-related messages to a SAE J1978 or 
SAE J1939 (both as specified in paragraph (k)(1) of this section) scan 
tool.
    (ii) Selection of Test Vehicles.
    (A) The manufacturer must perform this testing every model year on 
ten unique production vehicles (i.e., engine rating and chassis 
application combination) per engine family. If there are less than ten 
unique production vehicles for a certain engine family, the 
manufacturer must test each unique production vehicle in that engine 
family. The manufacturer must perform this testing within either three 
months of the start of engine production or one month of the start of 
vehicle production, whichever is later. The manufacturer may request 
approval to group multiple production vehicles together and test one 
representative vehicle per group. To do so, the software and hardware 
designed to comply with the standardization requirements of paragraph 
(k)(1) of this section (e.g., communication protocol message timing, 
number of supported data stream parameters, engine and vehicle 
communication network architecture) in the representative vehicle must 
be identical to all others in the group and any differences in the 
production vehicles cannot be relevant with respect to meeting the 
criteria of paragraph (j)(1)(iv) of this section.
    (B) For 2016 and subsequent model years, the required number of 
vehicles to be tested shall be reduced to five per engine family 
provided zero vehicles fail the testing required by paragraph (j)(1) of 
this section for two consecutive years.
    (C) For 2019 and subsequent model years, the required number of 
vehicles to be tested shall be reduced to three per engine family 
provided zero vehicles fail the testing required by paragraph (j)(1) of 
this section for three consecutive years.
    (D) The requirement for submittal of data from one or more of the 
production vehicles shall be waived if data have been submitted 
previously for all of the production vehicles. The manufacturer may 
request approval to carry over data collected in previous model years. 
To do so, the software and hardware designed to comply with the 
standardization requirements of paragraph (k)(1) of this section must 
be identical to the previous model year and there must not have been 
other hardware or software changes that affect compliance with the 
standardization requirements.
    (iii) Test equipment. For the testing required by paragraph (j)(1) 
of this section, the manufacturer shall use an off-board device to 
conduct the testing. The manufacturer must be able to show that the 
off-board device is able to verify that the vehicles tested using the 
device are able to perform all of the required functions in paragraph 
(j)(1)(iv) of this section with any other off-board device designed and 
built in accordance with the SAE J1978 or SAE J1939 (both as specified 
in paragraph (k)(1) of this section) generic scan tool specifications.
    (iv) Required testing. The testing must verify that communication 
can be established properly between all emission-related on-board 
computers and a SAE J1978 or SAE J1939 (both as specified in paragraph 
(k)(1) of this section) scan tool designed to adhere strictly to the 
communication protocols allowed in paragraph (k)(3) of this section. 
The testing must also verify that all emission-related information is 
communicated properly between all emission-related on-board computers 
and a SAE J1978 or SAE J1939 (both as specified in paragraph (k)(1) of 
this section) scan tool in accordance with the requirements of 
paragraph (k)(1) of this section and the applicable ISO and SAE 
specifications including specifications for physical layer, network 
layer, message structure, and message content. The testing must also 
verify that the onboard computer(s) can properly respond to a SAE J1978 
or SAE J1939 (both as specified in paragraph (k)(1) of this section) 
scan tool request to clear emissions-related DTCs and reset the ready 
status in accordance with paragraph (k)(4)(ix) of this section. The 
testing must further verify that the following information can be 
properly communicated to a SAE J1978 or SAE J1939 (both as specified in 
paragraph (k)(1) of this section) scan tool:
    (A) The current ready status from all onboard computers required to 
support ready status in accordance with SAE J1978 or SAE J1939-73 (both 
as specified in paragraph (k)(1) of this section) and paragraph 
(k)(4)(i) of this section in the key-on, engine-off position and while 
the engine is running.
    (B) The MIL command status while a deactivated MIL is commanded and 
while an activated MIL is commanded in accordance with SAE J1979 or SAE 
J1939 (both as specified in paragraph (k)(1) of this section) and 
paragraph (k)(4)(ii) of this section in the key-on, engine-off position 
and while the engine is running, and in accordance with SAE J1979 or 
SAE J1939 (both as specified in paragraph (k)(1) of this section) and 
paragraphs (b)(1)(ii) of this section during the MIL functional check, 
if applicable, and, if applicable, (k)(4)(i)(C) of this section during 
the MIL ready status check while the engine is off.

[[Page 8395]]

    (C) All data stream parameters required in paragraph (k)(4)(ii) of 
this section in accordance with SAE J1979 or SAE J1939 (both as 
specified in paragraph (k)(1) of this section) including, if 
applicable, the proper identification of each data stream parameter as 
supported in SAE J1979 (e.g., Mode/Service $01, PID $00).
    (D) The CAL ID, CVN, and VIN as required by paragraphs (k)(4)(vi), 
(k)(4)(vii), and (k)(4)(viii) of this section and in accordance with 
SAE J1979 or SAE J1939 (both as specified in paragraph (k)(1) of this 
section).
    (E) An emissions-related DTC (permanent, pending, MIL-on, previous-
MIL-on) in accordance with SAE J1979 or SAE J1939-73 (both as specified 
in paragraph (k)(1) of this section) including the correct indication 
of the number of stored DTCs (e.g., Mode/Service $01, PID $01, Data A 
for SAE J1979 (as specified in paragraph (k)(1) of this section)) and 
paragraph (k)(4)(iv) of this section.
    (v) Reporting of results. The manufacturer must submit to the 
Administrator the following, based on the results of the testing 
required by paragraph (j)(1)(iv) of this section:
    (A) If a variant meets all the requirements of paragraph (j)(1)(iv) 
of this section, a statement specifying that the variant passed all the 
tests. Upon request from the Administrator, the detailed results of any 
such testing may have to be submitted.
    (B) If any variant does not meet the requirements paragraph 
(j)(1)(iv) of this section, a written report detailing the problem(s) 
identified and the manufacturer's proposed corrective action (if any) 
to remedy the problem(s). This report must be submitted within one 
month of testing the specific variant. The Administrator will consider 
the proposed remedy and, if in disagreement, will work with the 
manufacturer to propose an alternative remedy. Factors to be considered 
by the Administrator in considering the proposed remedy will include 
the severity of the problem(s), the ability of service technicians to 
access the required diagnostic information, the impact on equipment and 
tool manufacturers, and the amount of time prior to implementation of 
the proposed corrective action.
    (vi) Alternative testing protocols. Manufacturers may request 
approval to use other testing protocols. To do so, the manufacturer 
must demonstrate that the alternative testing methods and equipment 
will provide an equivalent level of verification of compliance with the 
standardization requirements as is required by paragraph (j)(1) of this 
section.
    (2) Verification of monitoring requirements.
    (i) Within either the first six months of the start of engine 
production or the first three months of the start of vehicle 
production, whichever is later, the manufacturer must conduct a 
complete evaluation of the OBD system of one or more production 
vehicles (test vehicles) and submit the results of the evaluation to 
the Administrator.
    (ii) Selection of test vehicles.
    (A) For each engine selected for monitoring system demonstration in 
paragraph (l) of this section, the manufacturer must evaluate one 
production vehicle equipped with an engine from the same engine family 
and rating as the demonstration engine. The vehicle selection must be 
approved by the Administrator.
    (B) If the manufacturer is required to test more than one test 
vehicle, the manufacturer may test an engine in lieu of a vehicle for 
all but one of the required test vehicles.
    (C) The requirement for submittal of data from one or more of the 
test vehicles may be waived if data have been submitted previously for 
all of the engine ratings and variants.
    (iii) Evaluation requirements.
    (A) The evaluation must demonstrate the ability of the OBD system 
on the selected test vehicle to detect a malfunction, activate the MIL, 
and, where applicable, store an appropriate DTC readable by a scan tool 
when a malfunction is present and the monitoring conditions have been 
satisfied for each individual monitor required by this section. For 
model years 2013 and later, the evaluation must demonstrate the ability 
of the OBD system on the selected test vehicle to detect a malfunction, 
activate the MIL, and, where applicable, store an appropriate DTC 
readable by a SAE J1978 or SAE J1939 (both as specified in paragraph 
(k)(1) of this section) scan tool when a malfunction is present and the 
monitoring conditions have been satisfied for each individual monitor 
required by this section.
    (B) The evaluation must verify that the malfunction of any 
component used to enable another OBD monitor but that does not itself 
result in MIL activation (e.g., fuel level sensor) will not inhibit the 
ability of other OBD monitors to detect malfunctions properly.
    (C) The evaluation must verify that the software used to track the 
numerator and denominator for the purpose of determining in-use 
monitoring frequency increments as required by paragraph (d)(2) of this 
section.
    (D) Malfunctions may be implanted mechanically or simulated 
electronically, but internal onboard computer hardware or software 
changes shall not be used to simulate malfunctions. For monitors that 
are required to indicate a malfunction before emissions exceed an 
emission threshold, manufacturers are not required to use 
malfunctioning components/systems set exactly at their malfunction 
criteria limits. Emission testing is not required to confirm that the 
malfunction is detected before the appropriate emission thresholds are 
exceeded.
    (E) The manufacturer must submit a proposed test plan for approval 
prior to performing evaluation testing. The test plan must identify the 
method used to induce a malfunction for each monitor.
    (F) If the demonstration of a specific monitor cannot be reasonably 
performed without causing physical damage to the test vehicle (e.g., 
onboard computer internal circuit malfunctions), the manufacturer may 
omit the specific demonstration.
    (G) For evaluation of test vehicles selected in accordance with 
paragraph (j)(2)(ii) of this section, the manufacturer is not required 
to demonstrate monitors that were demonstrated prior to certification 
as required in paragraph (l) of this section.
    (iv) The manufacturer must submit a report of the results of all 
testing conducted as required by paragraph (j)(2) of this section. The 
report must identify the method used to induce a malfunction in each 
monitor, the MIL activation status, and the DTC(s) stored.
    (3) Verification of in-use monitoring performance ratios.
    (i) The manufacturer must collect and report in-use monitoring 
performance data representative of production vehicles (i.e., engine 
rating and chassis application combination). The manufacturer must 
collect and report the data to the Administrator within 12 months after 
the first production vehicle was first introduced into commerce.
    (ii) The manufacturer must separate production vehicles into the 
monitoring performance groups and submit data that represents each of 
these groups. The groups shall be based on the following criteria:
    (A) Emission control system architecture. All engines that use the 
same or similar emissions control system architecture (e.g., EGR with 
DPF and SCR; EGR with DPF and NOX adsorber; EGR with DPF-
only) and associated monitoring system would be in the same emission 
architecture category.

[[Page 8396]]

    (B) Vehicle application type. Within an emission architecture 
category, engines shall be separated into one of three vehicle 
application types: Engines intended primarily for line-haul chassis 
applications, engines intended primarily for urban delivery chassis 
applications, and all other engines.
    (iii) The manufacturer may use an alternative grouping method to 
collect representative data. To do so, the manufacturer must show that 
the alternative groups include production vehicles using similar 
emission controls, OBD strategies, monitoring condition calibrations, 
and vehicle application driving/usage patterns such that they are 
expected to have similar in-use monitoring performance. The 
manufacturer will still be required to submit one set of data for each 
of the alternative groups.
    (iv) For each monitoring performance group, the data must include 
all of the in-use performance tracking data (i.e., all numerators, 
denominators, the general denominator, and the ignition cycle counter), 
the date the data were collected, the odometer reading, the VIN, and 
the calibration ID. For model years 2013 and later, for each monitoring 
performance group, the data must include all of the in-use performance 
tracking data reported through SAE J1979 or SAE J1939 (both as 
specified in paragraph (k)(1) of this section; i.e., all numerators, 
denominators, the general denominator, and the ignition cycle counter), 
the date the data were collected, the odometer reading, the VIN, and 
the calibration ID.
    (v) The manufacturer must submit a plan to the Administrator that 
details the types of production vehicles in each monitoring performance 
group, the number of vehicles per group to be sampled, the sampling 
method, the timeline to collect the data, and the reporting format. The 
plan must provide for effective collection of data from, at least, 15 
vehicles per monitoring performance group and provide for data that 
represent a broad range of temperature conditions. The plan shall not, 
by design, exclude or include specific vehicles in an attempt to 
collect data only from vehicles expected to have the highest in-use 
performance ratios.
    (vi) The 12 month deadline for reporting may be extended to 18 
months if the manufacturer can show that the delay is justified. In 
such a case, an interim report of progress to date must be submitted 
within the 12 month deadline.
    (k) Standardization requirements.
    (1) Reference materials. The following documents are incorporated 
by reference, see Sec.  86.1. Anyone may inspect copies at the U.S. EPA 
or at the National Archives and Records Administration (NARA). For 
information on the availability of this material at U.S. EPA, NARA, or 
the standard making bodies directly, refer to Sec.  86.1.
    (i) SAE J1930, Revised April 2002.
    (ii) SAE J1939, Revised October 2007.
    (iii) SAE J1939-13, Revised March 2004, for model years 2013 and 
later.
    (iv) SAE J1939-73, Revised September 2006.
    (v) SAE J1962, Revised April 2002, for model years 2013 and later.
    (vi) SAE J1978, Revised April 2002.
    (vii) SAE J1979, Revised May 2007.
    (viii) SAE J2012, Revised April 2002.
    (ix) SAE J2403, Revised August 2007.
    (x) ISO 15765-4:2005(E), January 15, 2005.
    (2) Diagnostic connector. For model years 2010 through 2012, the 
manufacturer defined data link connector must be accessible to a 
trained service technician. For model years 2013 and later, a standard 
data link connector conforming to SAE J1962 (as specified in paragraph 
(k)(1) of this section) or SAE J1939-13 (as specified in paragraph 
(k)(1) of this section) specifications (except as provided for in 
paragraph (k)(2)(iii) if this section) must be included in each 
vehicle.
    (i) For model years 2013 and later, the connector must be located 
in the driver's side foot-well region of the vehicle interior in the 
area bound by the driver's side of the vehicle and the driver's side 
edge of the center console (or the vehicle centerline if the vehicle 
does not have a center console) and at a location no higher than the 
bottom of the steering wheel when in the lowest adjustable position. 
The connector shall not be located on or in the center console (i.e., 
neither on the horizontal faces near the floor-mounted gear selector, 
parking brake lever, or cup-holders nor on the vertical faces near the 
car stereo, climate system, or navigation system controls). The 
location of the connector shall be capable of being easily identified 
and accessed (e.g., to connect an off-board tool). For vehicles 
equipped with a driver's side door, the connector must be identified 
and accessed easily by someone standing (or ``crouched'') on the ground 
outside the driver's side of the vehicle with the driver's side door 
open. The Administrator may approve an alternative location upon 
request from the manufacturer. In all cases, the installation position 
of the connector must be both identified and accessed easily by someone 
standing outside the vehicle and protected from accidental damage 
during normal vehicle use.
    (ii) For model years 2013 and later, if the connector is covered, 
the cover must be removable by hand without the use of any tools and be 
labeled ``OBD'' to aid technicians in identifying the location of the 
connector. Access to the diagnostic connector shall not require opening 
or the removal of any storage accessory (e.g., ashtray, coinbox). The 
label must clearly identify that the connector is located behind the 
cover and is consistent with language and/or symbols commonly used in 
the automobile and/or heavy truck industry.
    (iii) For model years 2013 and later, if the ISO 15765-4:2005(E) 
(as specified in paragraph (k)(1) of this section) communication 
protocol is used for the required OBD standardized functions, the 
connector must meet the ``Type A'' specifications of SAE J1962 (as 
specified in paragraph (k)(1) of this section). Any pins in the 
connector that provide electrical power must be properly fused to 
protect the integrity and usefulness of the connector for diagnostic 
purposes and shall not exceed 20.0 Volts DC regardless of the nominal 
vehicle system or battery voltage (e.g., 12V, 24V, 42V).
    (iv) For model years 2013 and later, if the SAE J1939 (as specified 
in paragraph (k)(1) of this section) protocol is used for the required 
OBD standardized functions, the connector must meet the specifications 
of SAE J1939-13 (as specified in paragraph (k)(1) of this section). Any 
pins in the connector that provide electrical power must be properly 
fused to protect the integrity and usefulness of the connector for 
diagnostic purposes.
    (v) For model years 2013 and later, the manufacturer may equip 
engines/vehicles with additional diagnostic connectors for 
manufacturer-specific purposes (i.e., purposes other than the required 
OBD functions). However, if the additional connector conforms to the 
``Type A'' specifications of SAE J1962 (as specified in paragraph 
(k)(1) of this section) or the specifications of SAE J1939-13 (as 
specified in paragraph (k)(1) of this section) and is located in the 
vehicle interior near the required connector as described in this 
paragraph (k)(2), the connector(s) must be labeled clearly to identify 
which connector is used to access the standardized OBD information 
required by paragraph (k) of this section.
    (3) Communications to a scan tool. For model years 2013 and later, 
all OBD control modules (e.g., engine, auxiliary emission control 
module) on a single vehicle must use the same protocol for 
communication of required emission-related messages from on-board to 
off-

[[Page 8397]]

board network communications to a scan tool meeting SAE J1978 (as 
specified in paragraph (k)(1) of this section) specifications or 
designed to communicate with an SAE J1939 (as specified in paragraph 
(k)(1) of this section) network. Engine manufacturers shall not alter 
normal operation of the engine emission control system due to the 
presence of off-board test equipment accessing information required by 
this paragraph (k). The OBD system must use one of the following 
standardized protocols:
    (i) ISO 15765-4:2005(E) (as specified in paragraph (k)(1) of this 
section). All required emission-related messages using this protocol 
must use a 500 kbps baud rate.
    (ii) SAE J1939 (as specified in paragraph (k)(1) of this section). 
This protocol may only be used on vehicles with diesel engines.
    (4) Required emission related functions. The following functions 
must be implemented and must be accessible by, at a minimum, a 
manufacturer scan tool. For model years 2013 and later, the following 
standardized functions must be implemented in accordance with the 
specifications in SAE J1979 (as specified in paragraph (k)(1) of this 
section) or SAE J1939 (as specified in paragraph (k)(1) of this 
section) to allow for access to the required information by a scan tool 
meeting SAE J1978 (as specified in paragraph (k)(1) of this section) 
specifications or designed to communicate with an SAE J1939 (as 
specified in paragraph (k)(1) of this section) network:
    (i) Ready status. The OBD system must indicate, in accordance with 
SAE J1979 or SAE J1939-73 (both as specified in paragraph (k)(1) of 
this section) specifications for model years 2013 and later, 
``complete'' or ``not complete'' for each of the installed monitored 
components and systems identified in paragraphs (g), (h) with the 
exception of (h)(4), and (i)(3) of this section. All components or 
systems identified in paragraphs (h)(1), (h)(2), or (i)(3) of this 
section that are monitored continuously must always indicate 
``complete.'' Components or systems that are not subject to being 
monitored continuously must immediately indicate ``complete'' upon the 
respective monitor(s) being executed fully and determining that the 
component or system is not malfunctioning. A component or system must 
also indicate ``complete'' if, after the requisite number of decisions 
necessary for determining MIL status has been executed fully, the 
monitor indicates a malfunction of the component or system. The status 
for each of the monitored components or systems must indicate ``not 
complete'' whenever diagnostic memory has been cleared or erased by a 
means other than that allowed in paragraph (b) of this section. Normal 
vehicle shut down (i.e., key-off/engine-off) shall not cause the status 
to indicate ``not complete.''
    (A) The manufacturer may request that the ready status for a 
monitor be set to indicate ``complete'' without the monitor having 
completed if monitoring is disabled for a multiple number of drive 
cycles due to the continued presence of extreme operating conditions 
(e.g., cold ambient temperatures, high altitudes). Any such request 
must specify the conditions for monitoring system disablement and the 
number of drive cycles that would pass without monitor completion 
before ready status would be indicated as ``complete.''
    (B) For the evaporative system monitor, the ready status must be 
set in accordance with this paragraph (k)(4)(i) when both the 
functional check of the purge valve and, if applicable, the leak 
detection monitor of the hole size specified in paragraph (h)(7)(ii)(B) 
of this section indicate that they are complete.
    (C) If the manufacturer elects to indicate ready status through the 
MIL in the key-on/engine-off position as provided for in paragraph 
(b)(1)(iii) of this section, the ready status must be indicated in the 
following manner: If the ready status for all monitored components or 
systems is ``complete,'' the MIL shall remain continuously activated in 
the key-on/engine-off position for at least 10-20 seconds. If the ready 
status for one or more of the monitored components or systems is ``not 
complete,'' after at least 5 seconds of operation in the key-on/engine-
off position with the MIL activated continuously, the MIL shall blink 
once per second for 5-10 seconds. The data stream value for MIL status 
as required in paragraph (k)(4)(ii) of this section must indicate 
``commanded off'' during this sequence unless the MIL has also been 
``commanded on'' for a detected malfunction.
    (ii) Data stream. For model years 2010 through 2012, the following 
signals must be made available on demand through the data link 
connector. For model years 2013 and later, the following signals must 
be made available on demand through the standardized data link 
connector in accordance with SAE J1979 or SAE J1939 (both as specified 
in paragraph (k)(1) of this section) specifications. The actual signal 
value must always be used instead of a limp home value. Data link 
signals may report an error state or other predefined status indicator 
if they are defined for those signals in the SAE J1979 or SAE J1939 
(both as specified in paragraph (k)(1) of this section) specifications.
    (A) For gasoline engines.
    (1) Calculated load value, engine coolant temperature, engine 
speed, vehicle speed, and time elapsed since engine start.
    (2) Absolute load, fuel level (if used to enable or disable any 
other monitors), barometric pressure (directly measured or estimated), 
engine control module system voltage, and commanded equivalence ratio.
    (3) Number of stored MIL-on DTCs, catalyst temperature (if directly 
measured or estimated for purposes of enabling the catalyst 
monitor(s)), monitor status (i.e., disabled for the rest of this drive 
cycle, complete this drive cycle, or not complete this drive cycle) 
since last engine shut-off for each monitor used for ready status, 
distance traveled (or engine run time for engines not using vehicle 
speed information) while MIL activated, distance traveled (or engine 
run time for engines not using vehicle speed information) since DTC 
memory last erased, and number of warm-up cycles since DTC memory last 
erased, OBD requirements to which the engine is certified (e.g., 
California OBD, EPA OBD, European OBD, non-OBD) and MIL status (i.e., 
commanded-on or commanded-off).
    (B) For diesel engines.
    (1) Calculated load (engine torque as a percentage of maximum 
torque available at the current engine speed), driver's demand engine 
torque (as a percentage of maximum engine torque), actual engine torque 
(as a percentage of maximum engine torque), reference engine maximum 
torque, reference maximum engine torque as a function of engine speed 
(suspect parameter numbers (SPN) 539 through 543 defined by SAE J1939 
(as specified in paragraph (k)(1) of this section) within parameter 
group number (PGN) 65251 for engine configuration), engine coolant 
temperature, engine oil temperature (if used for emission control or 
any OBD monitors), engine speed, and time elapsed since engine start.
    (2) Fuel level (if used to enable or disable any other monitors), 
vehicle speed (if used for emission control or any OBD monitors), 
barometric pressure (directly measured or estimated), and engine 
control module system voltage.
    (3) Number of stored MIL-on DTCs, monitor status (i.e., disabled 
for the rest of this drive cycle, complete this drive cycle, or not 
complete this drive cycle) since last engine shut-off for each

[[Page 8398]]

monitor used for ready status, distance traveled (or engine run time 
for engines not using vehicle speed information) while MIL activated, 
distance traveled (or engine run time for engines not using vehicle 
speed information) since DTC memory last erased, number of warm-up 
cycles since DTC memory last erased, OBD requirements to which the 
engine is certified (e.g., California OBD, EPA OBD, European OBD, non-
OBD), and MIL status (i.e., commanded-on or commanded-off).
    (4) NOX NTE control area status (i.e., inside control 
area, outside control area, inside manufacturer-specific NOX 
NTE carve-out area, or deficiency active area) and PM NTE control area 
status (i.e., inside control area, outside control area, inside 
manufacturer-specific PM NTE carve-out area, or deficiency active 
area).
    (5) For purposes of the calculated load and torque parameters in 
paragraph (k)(4)(ii)(B)(1) of this section, manufacturers must report 
the most accurate values that are calculated within the applicable 
electronic control unit (e.g., the engine control module). Most 
accurate, in this context, must be of sufficient accuracy, resolution, 
and filtering to be used for the purposes of in-use emission testing 
with the engine still in a vehicle (e.g., using portable emission 
measurement equipment).
    (C) For all engines so equipped.
    (1) Absolute throttle position, relative throttle position, fuel 
control system status (e.g., open loop, closed loop), fuel trim, fuel 
pressure, ignition timing advance, fuel injection timing, intake air/
manifold temperature, engine intercooler temperature, manifold absolute 
pressure, air flow rate from mass air flow sensor, secondary air status 
(upstream, downstream, or atmosphere), ambient air temperature, 
commanded purge valve duty cycle/position, commanded EGR valve duty 
cycle/position, actual EGR valve duty cycle/position, EGR error between 
actual and commanded, PTO status (active or not active), redundant 
absolute throttle position (for electronic throttle or other systems 
that utilize two or more sensors), absolute pedal position, redundant 
absolute pedal position, commanded throttle motor position, fuel rate, 
boost pressure, commanded/target boost pressure, turbo inlet air 
temperature, fuel rail pressure, commanded fuel rail pressure, DPF 
inlet pressure, DPF inlet temperature, DPF outlet pressure, DPF outlet 
temperature, DPF delta pressure, exhaust pressure sensor output, 
exhaust gas temperature sensor output, injection control pressure, 
commanded injection control pressure, turbocharger/turbine speed, 
variable geometry turbo position, commanded variable geometry turbo 
position, turbocharger compressor inlet temperature, turbocharger 
compressor inlet pressure, turbocharger turbine inlet temperature, 
turbocharger turbine outlet temperature, waste gate valve position, and 
glow plug lamp status.
    (2) Oxygen sensor output, air/fuel ratio sensor output, 
NOX sensor output, and evaporative system vapor pressure.
    (iii) Freeze frame.
    (A) For model years 2010 through 2012, ``Freeze frame'' information 
required to be stored pursuant to paragraphs (b)(2)(iv), (h)(1)(iv)(D), 
and (h)(2)(vi) of this section must be made available on demand through 
the data link connector. For model years 2013 and later, ``Freeze 
frame'' information required to be stored pursuant to paragraphs 
(b)(2)(iv), (h)(1)(iv)(D), and (h)(2)(vi) of this section must be made 
available on demand through the standardized data link connector in 
accordance with SAE J1979 or SAE J1939-73 (both as specified in 
paragraph (k)(1) of this section) specifications.
    (B) ``Freeze frame'' conditions must include the DTC that caused 
the data to be stored along with all of the signals required in 
paragraphs (k)(4)(ii)(A)(1) and (k)(4)(ii)(B)(1) of this section. 
Freeze frame conditions must also include all of the signals required 
on the engine in paragraphs (k)(4)(ii)(A)(2) and (k)(4)(ii)(B)(2) of 
this section, and paragraph (k)(4)(ii)(C)(1) of this section that are 
used for diagnostic or control purposes in the specific monitor or 
emission-critical powertrain control unit that stored the DTC.
    (C) Only one frame of data is required to be recorded. For model 
years 2010 through 2012, the manufacturer may choose to store 
additional frames provided that at least the required frame can be read 
by, at a minimum, a manufacturer scan tool. For model years 2013 and 
later, the manufacturer may choose to store additional frames provided 
that at least the required frame can be read by a scan tool meeting SAE 
J1978 (as specified in paragraph (k)(1) of this section) specifications 
or designed to communicate with an SAE J1939 (as specified in paragraph 
(k)(1) of this section) network.
    (iv) Diagnostic trouble codes.
    (A) For model years 2010 through 2012, For all monitored components 
and systems, any stored pending, MIL-on, and previous-MIL-on DTCs must 
be made available through the diagnostic connector. For model years 
2013 and later, all monitored components and systems, any stored 
pending, MIL-on, and previous-MIL-on DTCs must be made available 
through the diagnostic connector in a standardized format in accordance 
with SAE J1939 (as specified in paragraph (k)(1) of this section) or 
ISO 15765-4:2005(E) (as specified in paragraph (k)(1) of this section) 
specifications; standardized DTCs conforming to the applicable 
standardized specifications must be employed.
    (B) The stored DTC must, to the extent possible, pinpoint the 
probable cause of the malfunction or potential malfunction. To the 
extent feasible, the manufacturer must use separate DTCs for every 
monitor where the monitor and repair procedure or probable cause of the 
malfunction is different. In general, rationality and functional checks 
must use different DTCs than the respective circuit integrity checks. 
Additionally, to the extent possible, input component circuit integrity 
checks must use different DTCs for distinct malfunctions (e.g., out-of-
range low, out-of-range high, open circuit).
    (C) The manufacturer must use appropriate standard-defined DTCs 
whenever possible. With Administrator approval, the manufacturer may 
use manufacturer-defined DTCs in accordance with the applicable 
standard's specifications. To do so, the manufacturer must be able to 
show a lack of available standard-defined DTCs, uniqueness of the 
monitor or monitored component, expected future usage of the monitor or 
component, and estimated usefulness in providing additional diagnostic 
and repair information to service technicians. Manufacturer-defined 
DTCs must be used in a consistent manner (i.e., the same DTC shall not 
be used to represent two different failure modes) across a 
manufacturer's entire product line.
    (D) For model years 2010 through 2012, a pending or MIL-on DTC (as 
required in paragraphs (g) through (i) of this section) must be stored 
and available to, at a minimum, a manufacturer scan tool within 10 
seconds after a monitor has determined that a malfunction or potential 
malfunction has occurred. A permanent DTC must be stored and available 
to, at a minimum, a manufacturer scan tool no later than the end of an 
ignition cycle in which the corresponding MIL-on DTC that caused MIL 
activation has been stored. For model years 2013 and later, a pending 
or MIL-on DTC (as required in paragraphs (g) through (i) of this 
section) must be stored and available to an SAE J1978 (as specified in 
paragraph (k)(1) of this section) or SAE J1939 (as specified in 
paragraph (k)(1) of this section) scan tool within 10 seconds after a 
monitor has determined that a malfunction or potential

[[Page 8399]]

malfunction has occurred. A permanent DTC must be stored and available 
to an SAE J1978 (as specified in paragraph (k)(1) of this section) or 
SAE J1939 (as specified in paragraph (k)(1) of this section) scan tool 
no later than the end of an ignition cycle in which the corresponding 
MIL-on DTC that caused MIL activation has been stored.
    (E) For model years 2010 through 2012, pending DTCs for all 
components and systems (including those monitored continuously and non-
continuously) must be made available through the diagnostic connector. 
For model years 2013 and later, pending DTCs for all components and 
systems (including those monitored continuously and non-continuously) 
must be made available through the diagnostic connector in accordance 
with the applicable standard's specifications. For all model years, a 
manufacturer using alternative statistical protocols for MIL activation 
as allowed in paragraph (b)(2)(iii) of this section must submit the 
details of their protocol for setting pending DTCs. The protocol must 
be, overall, equivalent to the requirements of this paragraph 
(k)(4)(iv)(E) and provide service technicians with a quick and accurate 
indication of a potential malfunction.
    (F) For model years 2010 through 2012, permanent DTC for all 
components and systems must be made available through the diagnostic 
connector in a format that distinguishes permanent DTCs from pending 
DTCs, MIL-on DTCs, and previous-MIL-on DTCs. A MIL-on DTC must be 
stored as a permanent DTC no later than the end of the ignition cycle 
and subsequently at all times that the MIL-on DTC is commanding the MIL 
on. For model years 2013 and later, permanent DTC for all components 
and systems must be made available through the diagnostic connector in 
a standardized format that distinguishes permanent DTCs from pending 
DTCs, MIL-on DTCs, and previous-MIL-on DTCs. A MIL-on DTC must be 
stored as a permanent DTC no later than the end of the ignition cycle 
and subsequently at all times that the MIL-on DTC is commanding the MIL 
on. For all model years, permanent DTCs must be stored in non-volatile 
random access memory (NVRAM) and shall not be erasable by any scan tool 
command or by disconnecting power to the on-board computer. Permanent 
DTCs must be erasable if the engine control module is reprogrammed and 
the ready status described in paragraph (k)(4)(i) of this section for 
all monitored components and systems are set to ``not complete.'' The 
OBD system must have the ability to store a minimum of four current 
MIL-on DTCs as permanent DTCs in NVRAM. If the number of MIL-on DTCs 
currently commanding activation of the MIL exceeds the maximum number 
of permanent DTCs that can be stored, the OBD system must store the 
earliest detected MIL-on DTC as permanent DTC. If additional MIL-on 
DTCs are stored when the maximum number of permanent DTCs is already 
stored in NVRAM, the OBD system shall not replace any existing 
permanent DTC with the additional MIL-on DTCs.
    (v) Test results.
    (A) For model years 2010 through 2012 and except as provided for in 
paragraph (k)(4)(v)(G) of this section, for all monitored components 
and systems identified in paragraphs (g) and (h) of this section, 
results of the most recent monitoring of the components and systems and 
the test limits established for monitoring the respective components 
and systems must be stored and available through the data link. For 
model years 2013 and later and except as provided for in paragraph 
(k)(4)(v)(G) of this section, for all monitored components and systems 
identified in paragraphs (g) and (h) of this section, results of the 
most recent monitoring of the components and systems and the test 
limits established for monitoring the respective components and systems 
must be stored and available through the data link in accordance with 
the standardized format specified in SAE J1979 (as specified in 
paragraph (k)(1) of this section) for engines using the ISO 15765-
4:2005(E) (as specified in paragraph (k)(1) of this section) protocol 
or SAE J1939 (as specified in paragraph (k)(1) of this section).
    (B) The test results must be reported such that properly 
functioning components and systems (e.g., ``passing'' systems) do not 
store test values outside of the established test limits. Test limits 
must include both minimum and maximum acceptable values and must be 
defined so that a test result equal to either test limit is a 
``passing'' value, not a ``failing'' value.
    (C) For model years 2013 and later, the test results must be 
standardized such that the name of the monitored component (e.g., 
catalyst bank 1) can be identified by a generic scan tool and the test 
results and limits can be scaled and reported by a generic scan tool 
with the appropriate engineering units.
    (D) The test results must be stored until updated by a more recent 
valid test result or the DTC memory of the OBD system computer is 
cleared. Upon DTC memory being cleared, test results reported for 
monitors that have not yet completed with valid test results since the 
last time the fault memory was cleared must report values of zero for 
the test result and test limits.
    (E) All test results and test limits must always be reported and 
the test results must be stored until updated by a more recent valid 
test result or the DTC memory of the OBD system computer is cleared.
    (F) The OBD system must store and report unique test results for 
each separate monitor.
    (G) The requirements of this paragraph (k)(4)(v) do not apply to 
continuous fuel system monitoring, cold start emission reduction 
strategy monitoring, and continuous circuit monitoring.
    (vi) Software calibration identification (CAL ID). On all engines, 
a single software calibration identification number (CAL ID) for each 
monitor or emission critical control unit(s) must be made available 
through, for model years 2010 through 2012, the data link connector or, 
for model years 2013 and later, the standardized data link connector in 
accordance with the SAE J1979 or SAE J1939 (both as specified in 
paragraph (k)(1) of this section) specifications. A unique CAL ID must 
be used for every emission-related calibration and/or software set 
having at least one bit of different data from any other emission-
related calibration and/or software set. Control units coded with 
multiple emission or diagnostic calibrations and/or software sets must 
indicate a unique CAL ID for each variant in a manner that enables an 
off-board device to determine which variant is being used by the 
engine. Control units that use a strategy that will result in MIL 
activation if the incorrect variant is used (e.g., control units that 
contain variants for manual and automatic transmissions but will 
activate the MIL if the selected variant does not match the type of 
transmission mated to the engine) are not required to use unique CAL 
IDs. Manufacturers may request Administrator approval to respond with 
more than one CAL ID per diagnostic or emission critical control unit. 
Administrator approval of the request shall be based on the method used 
by the manufacturer to ensure each control unit will respond to a scan 
tool with the CAL IDs in order of highest to lowest priority with 
regards to areas of the software most critical to emission and OBD 
system performance.
    (vii) Software calibration verification number (CVN).
    (A) All engines must use an algorithm to calculate a single 
calibration verification number (CVN) that verifies the on-board 
computer software integrity for each monitor or emission critical 
control unit that is electronically

[[Page 8400]]

reprogrammable. The CVN must be made available through, for model years 
2010 through 2012, the data link connector or, for model years 2013 and 
later, the standardized data link connector in accordance with the SAE 
J1979 or SAE J1939 (both as specified in paragraph (k)(1) of this 
section) specifications. The CVN must indicate whether the emission-
related software and/or calibration data are valid and applicable for 
the given vehicle and CAL ID. For systems having more than one CAL ID 
as allowed under paragraph (k)(4)(vi) of this section, one CVN must be 
made available for each CAL ID and must be output to a scan tool in the 
same order as the corresponding CAL IDs. For 2010 through 2012, 
manufacturers may use a default value for the CVN if their emissions 
critical powertrain control modules are not programmable in the field. 
For all years, manufacturers may use a default value for the CVN if 
their emissions critical powertrain control modules are one-time 
programmable or masked read-only memory. Any default CVN shall be 
00000000 for systems designed in accordance with the SAE J1979 (as 
specified in paragraph (k)(1) of this section) specifications, and 
FFFFFFFFh for systems designed in accordance with the SAE J1939 (as 
specified in paragraph (k)(1) of this section) specifications.
    (B) The CVN algorithm used to calculate the CVN must be of 
sufficient complexity that the same CVN is difficult to achieve with 
modified calibration values.
    (C) The CVN must be calculated at least once per ignition cycle and 
stored until the CVN is subsequently updated. Except for immediately 
after a reprogramming event or a non-volatile memory clear or for the 
first 30 seconds of engine operation after a volatile memory clear or 
battery disconnect, the stored value must be made available through, 
for model years 2010 through 2012, the data link connector to, at a 
minimum, a manufacturer scan tool or, for model years 2013 and later, 
the data link connector to a generic scan tool in accordance with SAE 
J1979 or SAE J1939 (both as specified in paragraph (k)(1) of this 
section) specifications. For model years 2010 through 2012, the stored 
CVN value shall not be erased when DTC memory is erased or during 
normal vehicle shut down (i.e., key-off/engine-off). For model years 
2013 and later, the stored CVN value shall not be erased when DTC 
memory is erased by a generic scan tool in accordance with SAE J1979 or 
SAE J1939 (both as specified in paragraph (k)(1) of this section) 
specifications or during normal vehicle shut down (i.e., key-off/
engine-off).
    (D) For model years 2013 and later, the CVN and CAL ID combination 
information must be available for all engines/vehicles in a 
standardized electronic format that allows for off-board verification 
that the CVN is valid and appropriate for a specific vehicle and CAL 
ID.
    (viii) Vehicle identification number (VIN).
    (A) For model years 2010 through 2012, all vehicles must have the 
vehicle identification number (VIN) available through the data link 
connector to, at a minimum, a manufacturer scan tool Only one 
electronic control unit per vehicle may report the VIN to a scan tool. 
For model years 2013 and later, all vehicles must have the vehicle 
identification number (VIN) available in a standardized format through 
the standardized data link connector in accordance with SAE J1979 or 
SAE J1939 (both as specified in paragraph (k)(1) of this section) 
specifications. Only one electronic control unit per vehicle may report 
the VIN to an SAE J1978 or SAE J1939 (both as specified in paragraph 
(k)(1) of this section) scan tool.
    (B) If the VIN is reprogrammable, all emission-related diagnostic 
information identified in paragraph (k)(4)(ix)(A) of this section must 
be erased in conjunction with reprogramming of the VIN.
    (ix) Erasure of diagnostic information.
    (A) For purposes of this paragraph (k)(4)(ix), ``emission-related 
diagnostic information'' includes all of the following: ready status as 
required by paragraph (k)(4)(i) of this section; data stream 
information as required by paragraph (k)(4)(ii) of this section 
including the number of stored MIL-on DTCs, distance traveled while MIL 
activated, number of warm-up cycles since DTC memory last erased, and 
distance traveled since DTC memory last erased; freeze frame 
information as required by paragraph (k)(4)(iii) of this section; 
pending, MIL-on, and previous-MIL-on DTCs as required by paragraph 
(k)(4)(iv) of this section; and, test results as required by paragraph 
(k)(4)(v) of this section.
    (B) For all engines, the emission-related diagnostic information 
must be erased if commanded by any scan tool and may be erased if the 
power to the on-board computer is disconnected. If any of the emission-
related diagnostic information is commanded to be erased by any scan 
tool, all emission-related diagnostic information must be erased from 
all diagnostic or emission critical control units. The OBD system shall 
not allow a scan tool to erase a subset of the emission-related 
diagnostic information (e.g., the OBD system shall not allow a scan 
tool to erase only one of three stored DTCs or only information from 
one control unit without erasing information from the other control 
unit(s)).
    (5) In-use performance ratio tracking requirements.
    (i) For each monitor required in paragraphs (g) through (i) of this 
section to separately report an in-use performance ratio, manufacturers 
must implement software algorithms to, for model years 2010 through 
2012, report a numerator and denominator or, for model years 2013 and 
later, report a numerator and denominator in the standardized format 
specified in this paragraph (k)(5) in accordance with the SAE J1979 or 
SAE J1939 (both as specified in paragraph (k)(1) of this section) 
specifications.
    (ii) For the numerator, denominator, general denominator, and 
ignition cycle counters required by paragraph (e) of this section, the 
following numerical value specifications apply:
    (A) Each number shall have a minimum value of zero and a maximum 
value of 65,535 with a resolution of one.
    (B) Each number shall be reset to zero only when a non-volatile 
random access memory (NVRAM) reset occurs (e.g., reprogramming event) 
or, if the numbers are stored in keep-alive memory (KAM), when KAM is 
lost due to an interruption in electrical power to the control unit 
(e.g., battery disconnect). Numbers shall not be reset to zero under 
any other circumstances including when a scan tool command to clear 
DTCs or reset KAM is received.
    (C) To avoid overflow problems, if either the numerator or 
denominator for a specific component reaches the maximum value of 
65,535 2, both numbers shall be divided by two before 
either is incremented again.
    (D) To avoid overflow problems, if the ignition cycle counter 
reaches the maximum value of 65,535 2, the ignition cycle 
counter shall rollover and increment to zero on the next ignition 
cycle.
    (E) To avoid overflow problems, if the general denominator reaches 
the maximum value of 65,535 2, the general denominator 
shall rollover and increment to zero on the next drive cycle that meets 
the general denominator definition.
    (F) If a vehicle is not equipped with a component (e.g., oxygen 
sensor bank 2, secondary air system), the corresponding numerator and 
denominator for that specific

[[Page 8401]]

component shall always be reported as zero.
    (iii) For the ratio required by paragraph (e) of this section, the 
following numerical value specifications apply:
    (A) The ratio shall have a minimum value of zero and a maximum 
value of 7.99527 with a resolution of 0.000122.
    (B) The ratio for a specific component shall be considered to be 
zero whenever the corresponding numerator is equal to zero and the 
corresponding denominator is not zero.
    (C) The ratio for a specific component shall be considered to be 
the maximum value of 7.99527 if the corresponding denominator is zero 
or if the actual value of the numerator divided by the denominator 
exceeds the maximum value of 7.99527.
    (6) Engine run time tracking requirements.
    (i) For all gasoline and diesel engines, the manufacturer must 
implement software algorithms to, for model years 2010 through 2012, 
track and report individually or, for model years 2013 and later, track 
and report individually in a standardized format the amount of time the 
engine has been operated in the following conditions:
    (A) Total engine run time.
    (B) Total idle run time (with ``idle'' defined as accelerator pedal 
released by the driver, engine speed less than or equal to 200 rpm 
above normal warmed-up idle (as determined in the drive position for 
vehicles equipped with an automatic transmission) or vehicle speed less 
than or equal to one mile per hour, and power take-off not active).
    (C) Total run time with power take off active.
    (ii) For each counter specified in paragraph (k)(6)(i) of this 
section, the following numerical value specifications apply:
    (A) Each number shall be a four-byte value with a minimum value of 
zero, a resolution of one second per bit, and an accuracy of +/- ten 
seconds per drive cycle.
    (B) Each number shall be reset to zero only when a non-volatile 
memory reset occurs (e.g., reprogramming event). Numbers shall not be 
reset to zero under any other circumstances including when a scan tool 
(generic or enhanced) command to clear fault codes or reset KAM is 
received.
    (C) To avoid overflow problems, if any of the individual counters 
reach the maximum value, all counters shall be divided by two before 
any are incremented again.
    (D) For model years 2010 through 2012, the counters shall be made 
available to, at a minimum, a manufacturer scan tool and may be 
rescaled when transmitted from a resolution of one second per bit to no 
more than three minutes per bit. For model years 2013 and later, the 
counters shall be made available to a generic scan tool in accordance 
with the SAE J1979 or SAE J1939 (both as specified in paragraph (k)(1) 
of this section) specifications and may be rescaled when transmitted, 
if required by the SAE specifications, from a resolution of one second 
per bit to no more than three minutes per bit.
    (7) For 2019 and subsequent model year alternative-fueled engines 
derived from a diesel-cycle engine, a manufacturer may meet the 
standardization requirements of paragraph (k) of this section that are 
applicable to diesel engines rather than the requirements applicable to 
gasoline engines.
    (l) Monitoring system demonstration requirements for certification.
    (1) General.
    (i) The manufacturer must submit emissions test data from one or 
more durability demonstration test engines (test engines).
    (ii) The Administrator may approve other demonstration protocols if 
the manufacturer can provide comparable assurance that the malfunction 
criteria are chosen based on meeting the malfunction criteria 
requirements and that the timeliness of malfunction detection is within 
the constraints of the applicable monitoring requirements.
    (iii) For flexible fuel engines capable of operating on more than 
one fuel or fuel combinations, the manufacturer must submit a plan for 
providing emission test data. The plan must demonstrate that testing 
will represent properly the expected in-use fuel or fuel combinations.
    (2) Selection of test engines.
    (i) Prior to submitting any applications for certification for a 
model year, the manufacturer must notify the Administrator regarding 
the planned engine families and engine ratings within each family for 
that model year. The Administrator will select the engine family(ies) 
and the specific engine rating within the engine family(ies) that the 
manufacturer shall use as demonstration test engines. The selection of 
test vehicles for production evaluation testing as specified in 
paragraph (j)(2) of this section may take place during this selection 
process.
    (ii) For model years 2010 through 2012. The manufacturer must 
provide emissions test data from the OBD parent rating as defined in 
paragraph (o)(1) of this section.
    (iii) For model years 2013 and later.
    (A) A manufacturer certifying one to five engine families in a 
given model year must provide emissions test data for a single test 
engine from one engine rating. A manufacturer certifying six to ten 
engine families in a given model year must provide emissions test data 
for a single test engine from two different engine ratings. A 
manufacturer certifying eleven or more engine families in a given model 
year must provide emissions test data for a single test engine from 
three different engine ratings. A manufacturer may forego submittal of 
test data for one or more of these test engines if data have been 
submitted previously for all of the engine ratings and/or if all 
requirements for certification carry-over from one model year to the 
next are satisfied.
    (B) For a given model year, a manufacturer may elect to provide 
emissions data for test engines from more engine ratings than required 
by paragraph (l)(2)(iii)(A) of this section. For each additional engine 
rating tested in that given model year, the number of engine ratings 
required for testing in one future model year will be reduced by one.
    (iv) For the test engine, the manufacturer must use an engine 
(excluding aftertreatment devices) aged for a minimum of 125 hours 
fitted with exhaust aftertreatment emission controls aged to be 
representative of useful life aging. In the event that an accelerated 
aging procedure is used, the manufacturer is required to submit a 
description of the accelerated aging process and/or supporting data or 
use the accelerated aging procedure used for emission certification 
deterioration factor generation. The process and/or data must 
demonstrate that deterioration of the exhaust aftertreatment emission 
controls is stabilized sufficiently such that it represents emission 
control performance at the end of the useful life.
    (3) Required testing. Except as otherwise described in this 
paragraph (l)(3), the manufacturer must perform single malfunction 
testing based on the applicable test with the components/systems set at 
their malfunction criteria limits as determined by the manufacturer for 
meeting the emissions thresholds required in paragraphs (g), (h), and 
(i) of this section.
    (i) Required testing for diesel-fueled/compression ignition 
engines.
    (A) Fuel system. The manufacturer must perform a separate test for 
each malfunction limit established by the manufacturer for the fuel 
system parameters (e.g., fuel pressure, injection timing) specified in 
paragraphs (g)(1)(ii)(A) through (g)(1)(ii)(C) and/or

[[Page 8402]]

(g)(1)(ii)(D) of this section, if applicable, of this section. When 
performing a test for a specific parameter, the fuel system must be 
operating at the malfunction criteria limit for the applicable 
parameter only. All other parameters must be operating with normal 
characteristics. In conducting the fuel system demonstration tests, the 
manufacturer may use computer modifications to cause the fuel system to 
operate at the malfunction limit if the manufacturer can demonstrate 
that the computer modifications produce test results equivalent to an 
induced hardware malfunction.
    (B) Engine misfire. For model years 2013 and later, the 
manufacturer must perform a test at the malfunction limit established 
by the manufacturer for the monitoring required by paragraph 
(g)(2)(ii)(B) of this section.
    (C) EGR system. The manufacturer must perform a separate test for 
each malfunction limit established by the manufacturer for the EGR 
system parameters (e.g., low flow, high flow, slow response) specified 
in paragraphs (g)(3)(ii)(A) through (g)(3)(ii)(C) and in (g)(3)(ii)(E) 
of this section. In conducting the EGR system slow response 
demonstration tests, the manufacturer may use computer modifications to 
cause the EGR system to operate at the malfunction limit if the 
manufacturer can demonstrate that the computer modifications produce 
test results equivalent to an induced hardware malfunction.
    (D) Turbo boost control system. The manufacturer must perform a 
separate test for each malfunction limit established by the 
manufacturer for the turbo boost control system parameters (e.g., 
underboost, overboost, response) specified in paragraphs (g)(4)(ii)(A) 
through (g)(4)(ii)(C) and in (g)(4)(ii)(E) of this section.
    (E) NMHC catalyst. The manufacturer must perform a separate test 
for each monitored NMHC catalyst(s). The catalyst(s) being evaluated 
must be deteriorated to the applicable malfunction limit established by 
the manufacturer for the monitoring required by paragraph (g)(5)(ii)(A) 
of this section and using methods established by the manufacturer in 
accordance with paragraph (l)(7) of this section. For each monitored 
NMHC catalyst(s), the manufacturer must also demonstrate that the OBD 
system will detect a catalyst malfunction with the catalyst at its 
maximum level of deterioration (i.e., the substrate(s) completely 
removed from the catalyst container or ``empty'' can). Emissions data 
are not required for the empty can demonstration.
    (F) NOX catalyst. The manufacturer must perform a separate test for 
each monitored NOX catalyst(s) (e.g., SCR catalyst). The catalyst(s) 
being evaluated must be deteriorated to the applicable malfunction 
criteria established by the manufacturer for the monitoring required by 
paragraphs (g)(6)(ii)(A) and (g)(6)(ii)(B) of this section and using 
methods established by the manufacturer in accordance with paragraph 
(l)(7) of this section. For each monitored NOX catalyst(s), the 
manufacturer must also demonstrate that the OBD system will detect a 
catalyst malfunction with the catalyst at its maximum level of 
deterioration (i.e., the substrate(s) completely removed from the 
catalyst container or ``empty'' can). Emissions data are not required 
for the empty can demonstration.
    (G) NOX adsorber. The manufacturer must perform a test using a NOX 
adsorber(s) deteriorated to the applicable malfunction limit 
established by the manufacturer for the monitoring required by 
paragraph (g)(7)(ii)(A) of this section. The manufacturer must also 
demonstrate that the OBD system will detect a NOX adsorber malfunction 
with the NOX adsorber at its maximum level of deterioration (i.e., the 
substrate(s) completely removed from the container or ``empty'' can). 
Emissions data are not required for the empty can demonstration.
    (H) Diesel particulate filter. The manufacturer must perform a 
separate test using a DPF deteriorated to the applicable malfunction 
limits established by the manufacturer for the monitoring required by 
paragraph (g)(8)(ii)(A) and (g)(8)(ii)(B) of this section. For systems 
using the optional DPF monitoring provision of paragraph (g)(8)(ii)(A) 
of this section, the manufacturer must perform a separate test using a 
DPF modified in a manner approved by the Administrator (e.g., drilling 
of wallflow channel end plugs, drilling of through holes, etc.) and 
testing at each of the nine test points specified in paragraph 
(g)(8)(ii)(A) of this section. The manufacturer must also demonstrate 
that the OBD system will detect a DPF malfunction with the DPF at its 
maximum level of deterioration (i.e., the filter(s) completely removed 
from the filter container or ``empty'' can). Emissions data are not 
required for the empty can demonstration.
    (I) Exhaust gas sensor. The manufacturer must perform a separate 
test for each malfunction limit established by the manufacturer for the 
monitoring required in paragraphs (g)(9)(ii)(A), (g)(9)(iii)(A), and 
(g)(9)(iv)(A) of this section. When performing a test, all exhaust gas 
sensors used for the same purpose (e.g., for the same feedback control 
loop, for the same control feature on parallel exhaust banks) must be 
operating at the malfunction criteria limit for the applicable 
parameter only. All other exhaust gas sensor parameters must be 
operating with normal characteristics.
    (J) VVT system. The manufacturer must perform a separate test for 
each malfunction limit established by the manufacturer for the 
monitoring required in paragraphs (g)(10)(ii)(A) and (g)(10)(ii)(B) of 
this section. In conducting the VVT system demonstration tests, the 
manufacturer may use computer modifications to cause the VVT system to 
operate at the malfunction limit if the manufacturer can demonstrate 
that the computer modifications produce test results equivalent to an 
induced hardware malfunction.
    (K) For each of the testing requirements of this paragraph 
(l)(3)(i) of this section, if the manufacturer has established that 
only a functional check is required because no failure or deterioration 
of the specific tested system could result in an engine's emissions 
exceeding the applicable emissions thresholds, the manufacturer is not 
required to perform a demonstration test; however, the manufacturer is 
required to provide the data and/or engineering analysis used to 
determine that only a functional test of the system(s) is required.
    (ii) Required testing for gasoline-fueled/spark-ignition engines.
    (A) Fuel system. For engines with adaptive feedback based on the 
primary fuel control sensor(s), the manufacturer must perform a test 
with the adaptive feedback based on the primary fuel control sensor(s) 
at the rich limit(s) and a test at the lean limit(s) established by the 
manufacturer as required by paragraph (h)(1)(ii)(A) of this section to 
detect a malfunction before emissions exceed applicable emissions 
thresholds. For engines with feedback based on a secondary fuel control 
sensor(s) and subject to the malfunction criteria in paragraph 
(h)(1)(ii)(A) of this section, the manufacturer must perform a test 
with the feedback based on the secondary fuel control sensor(s) at the 
rich limit(s) and a test at the lean limit(s) established by the 
manufacturer as required by paragraph (h)(1)(ii)(A) of this section to 
detect a malfunction before emissions exceed the applicable emissions 
thresholds. For other fuel metering or control systems, the 
manufacturer must perform a test at the criteria limit(s). For purposes 
of fuel system testing as required by this

[[Page 8403]]

paragraph (l)(3)(ii)(A), the malfunction(s) induced may result in a 
uniform distribution of fuel and air among the cylinders. Non uniform 
distribution of fuel and air used to induce a malfunction shall not 
cause misfire. In conducting the fuel system demonstration tests, the 
manufacturer may use computer modifications to cause the fuel system to 
operate at the malfunction limit. To do so, the manufacturer must be 
able to demonstrate that the computer modifications produce test 
results equivalent to an induced hardware malfunction.
    (B) Misfire. The manufacturer must perform a test at the 
malfunction criteria limit specified in paragraph (h)(2)(ii)(B) of this 
section.
    (C) EGR system. The manufacturer must perform a test at each flow 
limit calibrated to the malfunction criteria specified in paragraphs 
(h)(3)(ii)(A) and (h)(3)(ii)(B) of this section.
    (D) Cold start emission reduction strategy. The manufacturer must 
perform a test at the malfunction criteria for each component monitored 
according to paragraph (h)(4)(ii)(A) of this section.
    (E) Secondary air system. The manufacturer must perform a test at 
each flow limit calibrated to the malfunction criteria specified in 
paragraphs (h)(5)(ii)(A) and (h)(5)(ii)(B) of this section.
    (F) Catalyst. The manufacturer must perform a test using a catalyst 
system deteriorated to the malfunction criteria specified in paragraph 
(h)(6)(ii) of this section using methods established by the 
manufacturer in accordance with paragraph (l)(7)(ii) of this section. 
The manufacturer must also demonstrate that the OBD system will detect 
a catalyst system malfunction with the catalyst system at its maximum 
level of deterioration (i.e., the substrate(s) completely removed from 
the catalyst container or ``empty'' can). Emission data are not 
required for the empty can demonstration.
    (G) Exhaust gas sensor. The manufacturer must perform a test with 
all primary exhaust gas sensors used for fuel control simultaneously 
possessing a response rate deteriorated to the malfunction criteria 
limit specified in paragraph (h)(8)(ii)(A) of this section. The 
manufacturer must also perform a test for any other primary or 
secondary exhaust gas sensor parameter under parargraphs (h)(8)(ii)(A) 
and (h)(8)(iii)(A) of this section that can cause engine emissions to 
exceed the applicable emissions thresholds (e.g., shift in air/fuel 
ratio at which oxygen sensor switches, decreased amplitude). When 
performing additional test(s), all primary and secondary (if 
applicable) exhaust gas sensors used for emission control must be 
operating at the malfunction criteria limit for the applicable 
parameter only. All other primary and secondary exhaust gas sensor 
parameters must be operating with normal characteristics.
    (H) VVT system. The manufacturer must perform a test at each target 
error limit and slow response limit calibrated to the malfunction 
criteria specified in paragraphs (h)(9)(ii)(A) and (h)(9)(ii)(B) of 
this section. In conducting the VVT system demonstration tests, the 
manufacturer may use computer modifications to cause the VVT system to 
operate at the malfunction limit. To do so, the manufacturer must be 
able to demonstrate that the computer modifications produce test 
results equivalent to an induced hardware malfunction.
    (I) For each of the testing requirements of this paragraph 
(l)(3)(ii), if the manufacturer has established that only a functional 
check is required because no failure or deterioration of the specific 
tested system could cause an engine's emissions to exceed the 
applicable emissions thresholds, the manufacturer is not required to 
perform a demonstration test; however the manufacturer is required to 
provide the data and/or engineering analyses used to determine that 
only a functional test of the system(s) is required.
    (iii) Required testing for all engines.
    (A) Other emission control systems. The manufacturer must conduct 
demonstration tests for all other emission control components (e.g., 
hydrocarbon traps, adsorbers) designed and calibrated to a malfunction 
limit based on an emissions threshold based on the requirements of 
paragraph (i)(4) of this section.
    (B) For each of the testing requirements of paragraph 
(l)(3)(iii)(A) of this section, if the manufacturer has established 
that only a functional check is required because no failure or 
deterioration of the specific tested system could result in an engine's 
emissions exceeding the applicable emissions thresholds, the 
manufacturer is not required to perform a demonstration test; however, 
the manufacturer is required to provide the data and/or engineering 
analysis used to determine that only a functional test of the system(s) 
is required.
    (iv) The manufacturer may electronically simulate deteriorated 
components but shall not make any engine control unit modifications 
when performing demonstration tests unless approved by the 
Administrator. All equipment necessary to duplicate the demonstration 
test must be made available to the Administrator upon request.
    (4) Testing protocol.
    (i) Preconditioning. The manufacturer must use an applicable cycle 
for preconditioning test engines prior to conducting each of the 
emission tests required by paragraph (l)(3) of this section. The 
manufacturer may perform a single additional preconditioning cycle, 
identical to the initial one, after a 20-minute hot soak but must 
demonstrate that such an additional cycle is necessary to stabilize the 
emissions control system. A practice of requiring a cold soak prior to 
conducting preconditioning cycles is not permitted.
    (ii) Test sequence.
    (A) The manufacturer must set individually each system or component 
on the test engine at the malfunction criteria limit prior to 
conducting the applicable preconditioning cycle(s). If a second 
preconditioning cycle is permitted in accordance with paragraph 
(l)(4)(i) of this section, the manufacturer may adjust the system or 
component to be tested before conducting the second preconditioning 
cycle. The manufacturer shall not replace, modify, or adjust the system 
or component after the last preconditioning cycle has been completed.
    (B) After preconditioning, the test engine must be operated over 
the applicable cycle to allow for the initial detection of the tested 
system or component malfunction. This test cycle may be omitted from 
the testing protocol if it is unnecessary. If required by the 
monitoring strategy being tested, a cold soak may be performed prior to 
conducting this test cycle.
    (C) The test engine must then be operated over the applicable 
exhaust emissions test.
    (iii) A manufacturer required to test more than one test engine 
according to paragraph (l)(2)(iii) of this section may use internal 
calibration sign-off test procedures (e.g., forced cool downs, less 
frequently calibrated emission analyzers) instead of official test 
procedures to obtain the emission test data required by this paragraph 
(l) of this section for all but one of the required test engines. The 
manufacturer may elect this option if the data from the alternative 
test procedure are representative of official emissions test results. A 
manufacturer using this option is still responsible for meeting the 
malfunction criteria specified in paragraphs (g) through (i) of this 
section if and when emissions tests are

[[Page 8404]]

performed in accordance with official test procedures.
    (iv) The manufacturer may request approval to use an alternative 
testing protocol for demonstration of MIL activation if the engine 
dynamometer emission test cycle does not allow all of a given monitor's 
enable conditions to be satisfied. The manufacturer may request the use 
of an alternative engine dynamometer test cycle or the use of chassis 
testing to demonstrate proper MIL activation. To do so, the 
manufacturer must demonstrate the technical necessity for using an 
alternative test cycle and the degree to which the alternative test 
cycle demonstrates that in-use operation with the malfunctioning 
component will result in proper MIL activation.
    (5) Evaluation protocol. Full OBD engine ratings, as defined by 
paragraph (o)(1) of this section, shall be evaluated according to the 
following protocol:
    (i) For all tests conducted as required by paragraph (l) of this 
section, the MIL must activate before the end of the first engine start 
portion of the applicable test.
    (ii) If the MIL activates prior to emissions exceeding the 
applicable malfunction criteria limits specified in paragraphs (g) 
through (i), no further demonstration is required. With respect to the 
misfire monitor demonstration test, if the manufacturer has elected to 
use the minimum misfire malfunction criteria of one percent as allowed 
in paragraphs (g)(2)(ii)(B), if applicable, and (h)(2)(ii)(B) of this 
section, no further demonstration is required provided the MIL 
activates with engine misfire occurring at the malfunction criteria 
limit.
    (iii) If the MIL does not activate when the system or component is 
set at its malfunction criteria limit(s), the criteria limit(s) or the 
OBD system is not acceptable.
    (A) Except for testing of the catalyst or DPF system, if the MIL 
first activates after emissions exceed the applicable malfunction 
criteria specified in paragraphs (g) through (i) of this section, the 
test engine shall be retested with the tested system or component 
adjusted so that the MIL will activate before emissions exceed the 
applicable malfunction criteria specified in paragraphs (g) through (i) 
of this section. If the component cannot be so adjusted because an 
alternative fuel or emission control strategy is used when a 
malfunction is detected (e.g., open loop fuel control used after an 
oxygen sensor malfunction is detected), the test engine shall be 
retested with the component adjusted to the worst acceptable limit 
(i.e., the applicable OBD monitor indicates that the component is 
performing at or slightly better than the malfunction criteria limit). 
When tested with the component so adjusted, the MIL must not activate 
during the test and the engine emissions must be below the applicable 
malfunction criteria specified in paragraphs (g) through (i) of this 
section.
    (B) In testing the catalyst or DPF system, if the MIL first 
activates after emissions exceed the applicable emissions threshold(s) 
specified in paragraphs (g) and (h), the tested engine shall be 
retested with a less deteriorated catalyst or DPF system (i.e., more of 
the applicable engine out pollutants are converted or trapped). For the 
OBD system to be approved, testing shall be continued until the MIL 
activates with emissions below the applicable thresholds of paragraphs 
(g) and (h) of this section, or the MIL activates with emissions within 
a range no more than 20 percent below the applicable emissions 
thresholds and 10 percent or less above those emissions thresholds.
    (iv) If an OBD system is determined to be unacceptable by the 
criteria of this paragraph (l)(5) of this section, the manufacturer may 
recalibrate and retest the system on the same test engine. In such a 
case, the manufacturer must confirm, by retesting, that all systems and 
components that were tested prior to the recalibration and are affected 
by it still function properly with the recalibrated OBD system.
    (6) Confirmatory testing.
    (i) The Administrator may perform confirmatory testing to verify 
the emission test data submitted by the manufacturer as required by 
this paragraph (l) of this section comply with its requirements and the 
malfunction criteria set forth in paragraphs (g) through (i) of this 
section. Such confirmatory testing is limited to the test engine(s) 
required by paragraph (l)(2) of this section.
    (ii) To conduct this confirmatory testing, the Administrator may 
install appropriately deteriorated or malfunctioning components (or 
simulate them) in an otherwise properly functioning test engine of an 
engine rating represented by the demonstration test engine in order to 
test any of the components or systems required to be tested by 
paragraph (l) of this section. The manufacturer shall make available, 
if requested, an engine and all test equipment (e.g., malfunction 
simulators, deteriorated components) necessary to duplicate the 
manufacturer's testing. Such a request from the Administrator shall 
occur within six months of reviewing and approving the demonstration 
test engine data submitted by the manufacturer for the specific engine 
rating.
    (7) Catalyst aging.
    (i) Diesel catalysts. For purposes of determining the catalyst 
malfunction limits for the monitoring required by paragraphs 
(g)(5)(ii)(A), (g)(5)(ii)(B), and (g)(6)(ii)(A) of this section, where 
those catalysts are monitored individually, the manufacturer must use a 
catalyst deteriorated to the malfunction criteria using methods 
established by the manufacturer to represent real world catalyst 
deterioration under normal and malfunctioning engine operating 
conditions. For purposes of determining the catalyst malfunction limits 
for the monitoring required by paragraphs (g)(5)(ii)(A), (g)(5)(ii)(B), 
and (g)(6)(ii)(A) of this section, where those catalysts are monitored 
in combination with other catalysts, the manufacturer must submit their 
catalyst system aging and monitoring plan to the Administrator as part 
of their certification documentation package. The plan must include the 
description, emission control purpose, and location of each component, 
the monitoring strategy for each component and/or combination of 
components, and the method for determining the applicable malfunction 
criteria including the deterioration/aging process.
    (ii) Gasoline catalysts. For the purposes of determining the 
catalyst system malfunction criteria in paragraph (h)(6)(ii) of this 
section, the manufacturer must use a catalyst system deteriorated to 
the malfunction criteria using methods established by the manufacturer 
to represent real world catalyst deterioration under normal and 
malfunctioning operating conditions. The malfunction criteria must be 
established by using a catalyst system with all monitored and 
unmonitored (downstream of the sensor utilized for catalyst monitoring) 
catalysts simultaneously deteriorated to the malfunction criteria 
except for those engines that use fuel shutoff to prevent over-fueling 
during engine misfire conditions. For such engines, the malfunction 
criteria must be established by using a catalyst system with all 
monitored catalysts simultaneously deteriorated to the malfunction 
criteria while unmonitored catalysts shall be deteriorated to the end 
of the engine's useful life.
    (m) Certification documentation requirements.
    (1) When submitting an application for certification of an engine, 
the manufacturer must submit the following documentation. If any of the 
items listed here are standardized for all of the manufacturer's 
engines, the

[[Page 8405]]

manufacturer may, for each model year, submit one set of documents 
covering the standardized items for all of its engines.
    (i) For the required documentation that is not standardized across 
all engines, the manufacturer may be allowed to submit documentation 
for certification from one engine that is representative of other 
engines. All such engines shall be considered to be part of an OBD 
certification documentation group. To represent the OBD group, the 
chosen engine must be certified to the most stringent emissions 
standards and OBD monitoring requirements and cover all of the 
emissions control devices for the engines in the group and covered by 
the submitted documentation. Such OBD groups must be approved in 
advance of certification.
    (ii) Upon approval, one or more of the documentation requirements 
of this paragraph (m) of this section may be waived or modified if the 
information required is redundant or unnecessarily burdensome to 
generate.
    (iii) To the extent possible, the certification documentation must 
use SAE J1930 (as specified in paragraph (k)(1) of this section) or SAE 
J2403 (as specified in paragraph (k)(1) of this section) terms, 
abbreviations, and acronyms as specified in paragraph (k)(1) of this 
section.
    (2) Unless otherwise specified, the following information must be 
submitted as part of the certification application and prior to 
receiving a certificate.
    (i) A description of the functional operation of the OBD system 
including a complete written description for each monitoring strategy 
that outlines every step in the decision-making process of the monitor. 
Algorithms, diagrams, samples of data, and/or other graphical 
representations of the monitoring strategy shall be included where 
necessary to adequately describe the information.
    (ii) A table including the following information for each monitored 
component or system (either computer-sensed or computer-controlled) of 
the emissions control system:
    (A) Corresponding diagnostic trouble code.
    (B) Monitoring method or procedure for malfunction detection.
    (C) Primary malfunction detection parameter and its type of output 
signal.
    (D) Malfunction criteria limits used to evaluate output signal of 
primary parameter.
    (E) Other monitored secondary parameters and conditions (in 
engineering units) necessary for malfunction detection.
    (F) Monitoring time length and frequency of monitoring events.
    (G) Criteria for storing a diagnostic trouble code.
    (H) Criteria for activating a malfunction indicator light.
    (I) Criteria used for determining out-of-range values and input 
component rationality checks.
    (iii) Whenever possible, the table required by paragraph (m)(2)(ii) 
of this section shall use the following engineering units:
    (A) Degrees Celsius for all temperature criteria.
    (B) KiloPascals (KPa) for all pressure criteria related to manifold 
or atmospheric pressure.
    (C) Grams (g) for all intake air mass criteria.
    (D) Pascals (Pa) for all pressure criteria related to evaporative 
system vapor pressure.
    (E) Miles per hour (mph) for all vehicle speed criteria.
    (F) Relative percent (%) for all relative throttle position 
criteria (as defined in SAE J1979 or SAE J1939 (both as specified in 
paragraph (k)(1) of this section)).
    (G) Voltage (V) for all absolute throttle position criteria (as 
defined in SAE J1979 or SAE J1939 (both as specified in paragraph 
(k)(1) of this section)).
    (H) Per crankshaft revolution (/rev) for all changes per ignition 
event based criteria (e.g., g/rev instead of g/stroke or g/firing).
    (I) Per second (/sec) for all changes per time based criteria 
(e.g., g/sec).
    (J) Percent of nominal tank volume (%) for all fuel tank level 
criteria.
    (iv) A logic flowchart describing the step-by-step evaluation of 
the enable criteria and malfunction criteria for each monitored 
emission related component or system.
    (v) Emissions test data, a description of the testing sequence 
(e.g., the number and types of preconditioning cycles), approximate 
time (in seconds) of MIL activation during the test, diagnostic trouble 
code(s) and freeze frame information stored at the time of detection, 
corresponding test results (e.g. SAE J1979 (as specified in paragraph 
(k)(1) of this section) Mode/Service $06, SAE J1939 (as specified in 
paragraph (k)(1) of this section) Diagnostic Message 8 (DM8)) stored 
during the test, and a description of the modified or deteriorated 
components used for malfunction simulation with respect to the 
demonstration tests specified in paragraph (l) of this section. The 
freeze frame data are not required for engines termed ``Extrapolated 
OBD'' engines.
    (vi) For gasoline engines, data supporting the misfire monitor, 
including:
    (A) The established percentage of misfire that can be tolerated 
without damaging the catalyst over the full range of engine speed and 
load conditions.
    (B) Data demonstrating the probability of detection of misfire 
events by the misfire monitoring system over the full engine speed and 
load operating range for the following misfire patterns: random 
cylinders misfiring at the malfunction criteria established in 
paragraph (h)(2)(ii)(B) of this section, one cylinder continuously 
misfiring, and paired cylinders continuously misfiring.
    (C) Data identifying all disablement of misfire monitoring that 
occurs during the FTP. For every disablement that occurs during the 
cycles, the data shall identify: when the disablement occurred relative 
to the driver's trace, the number of engine revolutions during which 
each disablement was present, and which disable condition documented in 
the certification application caused the disablement.
    (D) Manufacturers are not required to use the durability 
demonstration engine to collect the misfire data required by paragraph 
(m)(2)(vi) of this section.
    (vii) Data supporting the limit for the time between engine 
starting and attaining the designated heating temperature for after-
start heated catalyst systems.
    (viii) Data supporting the criteria used to detect a malfunction of 
the fuel system, EGR system, boost pressure control system, catalyst, 
NOX adsorber, DPF, cold start emission reduction strategy, 
secondary air, evaporative system, VVT system, exhaust gas sensors, and 
other emission controls that causes emissions to exceed the applicable 
malfunction criteria specified in paragraphs (g) through (i) of this 
section. For diesel engine monitors required by paragraphs (g) and (i) 
of this section that are required to indicate a malfunction before 
emissions exceed an emission threshold based on any applicable standard 
(e.g., 2.5 times any of the applicable standards), the test cycle and 
standard determined by the manufacturer to be the most stringent for 
each applicable monitor in accordance with paragraph (f)(1) of this 
section.
    (ix) A list of all electronic powertrain input and output signals 
(including those not monitored by the OBD system) that identifies which 
signals are monitored by the OBD system. For input and output signals 
that are monitored as comprehensive components, the listing shall also 
identify the specific

[[Page 8406]]

diagnostic trouble code for each malfunction criteria (e.g., out-of-
range low, out-of-range high, open circuit, rationality low, 
rationality high).
    (x) A written description of all parameters and conditions 
necessary to begin closed-loop/feedback control of emission control 
systems (e.g., fuel system, boost pressure, EGR flow, SCR reductant 
delivery, DPF regeneration, fuel system pressure).
    (xi) A written identification of the communication protocol 
utilized by each engine for communication with a scan tool (model years 
2010 through 2012) or an SAE J1978 or SAE J1939 (both as specified in 
paragraph (k)(1) of this section) scan tool (model years 2013 and 
later).
    (xii) For model years 2013 and later, a pictorial representation or 
written description of the diagnostic connector location including any 
covers or labels.
    (xiii) A written description of the method used by the manufacturer 
to meet the requirements of paragraph (i)(2) of this section (crankcase 
ventilation system monitoring) including diagrams or pictures of valve 
and/or hose connections.
    (xiv) Build specifications provided to engine purchasers or chassis 
manufacturers detailing all specifications or limitations imposed on 
the engine purchaser relevant to OBD requirements or emissions 
compliance (e.g., cooling system heat rejection rates, allowable MIL 
locations, connector location specifications). A description of the 
method or copies of agreements used to ensure engine purchasers or 
chassis manufacturers will comply with the OBD and emissions relevant 
build specifications (e.g., signed agreements, required audit/
evaluation procedures).
    (xv) Any other information determined by the Administrator to be 
necessary to demonstrate compliance with the requirements of this 
section.
    (3) In addition to the documentation required by paragraphs (m)(1) 
and (m)(2) of this section, a manufacturer making use of paragraph 
(a)(5) of this section must submit the following information with their 
application for certification.
    (i) A detailed description of how the OBD system meets the intent 
of Sec.  86.010-18.
    (ii) A detailed description of why the manufacturer has chosen not 
to design the OBD system to meet the requirements of Sec.  86.010-18 
and has instead designed the OBD system to meet the applicable 
California OBD requirements.
    (iii) A detailed description of any deficiencies granted by the 
California staff and any concerns raised by California staff. A copy of 
a California Executive Order alone will not be considered acceptable 
toward meeting this requirement. This description shall also include, 
to the extent feasible, a plan with timelines for resolving 
deficiencies and/or concerns.
    (n) Deficiencies.
    (1) Upon application by the manufacturer, the Administrator may 
accept an OBD system as compliant even though specific requirements are 
not fully met. Such compliances without meeting specific requirements, 
or deficiencies, will be granted only if compliance is infeasible or 
unreasonable considering such factors as, but not limited to: Technical 
feasibility of the given monitor and lead time and production cycles 
including phase-in or phase-out of engines or vehicle designs and 
programmed upgrades of computers. Unmet requirements shall not be 
carried over from the previous model year except where unreasonable 
hardware or software modifications are necessary to correct the 
deficiency, and the manufacturer has demonstrated an acceptable level 
of effort toward compliance as determined by the Administrator. 
Furthermore, EPA will not accept any deficiency requests that include 
the complete lack of a major diagnostic monitor (``major'' diagnostic 
monitors being those for exhaust aftertreatment devices, oxygen sensor, 
air-fuel ratio sensor, NOX sensor, engine misfire, 
evaporative leaks, and diesel EGR, if equipped), with the possible 
exception of the special provisions for alternative fueled engines. For 
alternative fueled heavy-duty engines (e.g., natural gas, liquefied 
petroleum gas, methanol, ethanol), manufacturers may request the 
Administrator to waive specific monitoring requirements of this section 
for which monitoring may not be reliable with respect to the use of the 
alternative fuel. At a minimum, alternative fuel engines must be 
equipped with an OBD system meeting OBD requirements to the extent 
feasible as approved by the Administrator.
    (2) In the event the manufacturer seeks to carry-over a deficiency 
from a past model year to the current model year, the manufacturer must 
re-apply for approval to do so. In considering the request to carry-
over a deficiency, the Administrator shall consider the manufacturer's 
progress towards correcting the deficiency. The Administrator may not 
allow manufacturers to carry over monitoring system deficiencies for 
more than two model years unless it can be demonstrated that 
substantial engine hardware modifications and additional lead time 
beyond two years are necessary to correct the deficiency.
    (3) A deficiency shall not be granted retroactively (i.e., after 
the engine has been certified).
    (o) Implementation schedule. Except as specifically provided for in 
this paragraph (o) for small volume manufacturers and alternative 
fueled engines, the requirements of this section must be met according 
to the following provisions:
    (1) For model years 2010 through 2012.
    (i) Full OBD. The manufacturer must implement an OBD system meeting 
the applicable requirements of Sec.  86.010-18 on one engine rating 
within one engine family of the manufacturer's product line. This 
``Full OBD'' rating will be known as the ``OBD parent'' rating. The OBD 
parent rating must be chosen, unless otherwise approved by the 
Administrator, as the rating having the highest weighted projected U.S. 
sales within the engine family having the highest weighted projected 
U.S. sales, with U.S. sales being weighted by the useful life of the 
engine rating.
    (ii) Extrapolated OBD. For all other engine ratings within the 
engine family from which the OBD parent rating has been selected, the 
manufacturer must implement an OBD system meeting the applicable 
requirements of Sec.  86.010-18 except that the OBD system is not 
required to detect a malfunction prior to exceeding the emission 
thresholds shown in Table 1 of paragraph (g) and Table 2 of paragraph 
(h) of this section. These ``Extrapolated OBD'' engines will be know as 
the ``OBD child'' ratings. On these OBD child ratings, rather than 
detecting a malfunction prior to exceeding the emission thresholds, the 
manufacturer must submit a plan for Administrator review and approval 
that details the engineering evaluation the manufacturer will use to 
establish the malfunction criteria for the OBD child ratings. The plan 
must demonstrate both the use of good engineering judgment in 
establishing the malfunction criteria, and robust detection of 
malfunctions, including consideration of differences of base engine, 
calibration, emission control components, and emission control 
strategies.
    (iii) Engine families other than those from which the parent and 
child ratings have been selected, are not subject to the requirements 
of this section.
    (iv) Small volume manufacturers, as defined in Sec.  86.094-
14(b)(1) and (2) and as determined using 2010 model year sales, are 
exempt from the requirements of this Sec.  86.010-18, unless model year 
2011 or model year 2012 sales exceed 20,000 units.

[[Page 8407]]

    (v) Engines certified as alternative fueled engines are exempt from 
the requirements of this Sec.  86.010-18.
    (2) For model years 2013 through 2015.
    (i) OBD groups. The manufacturer shall define one or more OBD 
groups to cover all engine ratings in all engine families. The 
manufacturer must submit a grouping plan for Administrator review and 
approval detailing the OBD groups and the engine families and engine 
ratings within each group for a given model year.
    (ii) Full OBD.
    (A) For all model year 2010 through 2012 ``Full OBD'' and 
``Extrapolated OBD'' engine ratings, the manufacturer must implement an 
OBD system meeting the applicable requirements of this section.
    (B) On one engine rating within each of the manufacturer's OBD 
groups, the manufacturer must implement an OBD system meeting the 
applicable requirements of this section. These ``Full OBD'' ratings 
will be known as the ``OBD parent'' ratings. The OBD parent rating for 
each OBD group shall be chosen, unless otherwise approved by the 
Administrator, as the rating having the highest weighted projected U.S. 
sales within the OBD group, with U.S. sales being weighted by the 
useful life of the engine rating.
    (iii) Extrapolated OBD. For all other engine ratings within each 
OBD group, the manufacturer must implement an OBD system meeting the 
requirements of this section except that the OBD system is not required 
to detect a malfunction prior to exceeding the emission thresholds 
shown in Table 1 of paragraph (g) and Table 2 of paragraph (h) of this 
section. These extrapolated OBD engines will be know as the ``OBD 
child'' ratings. On these OBD child ratings, rather than detecting a 
malfunction prior to exceeding the emission thresholds, the 
manufacturer must submit a plan for Administrator review and approval 
that details the engineering evaluation the manufacturer will use to 
establish the malfunction criteria for the OBD child ratings. The plan 
must demonstrate both the use of good engineering judgment in 
establishing the malfunction criteria, and robust detection of 
malfunctions, including consideration of differences of base engine, 
calibration, emission control components, and emission control 
strategies.
    (iv) Engines certified as alternative fueled engines shall meet, to 
the extent feasible, the requirements specified in paragraph (i)(3) of 
this Sec.  86.010-18. Additionally, such engines shall monitor the 
NOX aftertreatment system on engines so equipped and detect 
a malfunction if:
    (A) The NOX aftertreatment system has no detectable 
amount of NOX aftertreatement capability (i.e., 
NOX catalyst conversion or NOX adsorption).
    (B) The NOX aftertreatment substrate is completely 
destroyed, removed, or missing.
    (C) The NOX aftertreatment assembly is replaced with a 
straight pipe.
    (3) For model years 2016 through 2018.
    (i) OBD groups. The manufacturer shall define one or more OBD 
groups to cover all engine ratings in all engine families. The 
manufacturer must submit a grouping plan for Administrator review and 
approval detailing the OBD groups and the engine families and engine 
ratings within each group for a given model year.
    (ii) Full OBD. The manufacturer must implement an OBD system 
meeting the applicable requirements of this section on all engine 
ratings in all engine families.
    (iii) Engines certified as alternative fueled engines shall meet, 
to the extent feasible, the requirements specified in paragraph (i)(3) 
of this Sec.  86.010-18. Additionally, such engines shall monitor the 
NOX aftertreatment system on engines so equipped and detect 
a malfunction if:
    (A) The NOX aftertreatment system has no detectable 
amount of NOX aftertreatement capability (i.e., 
NOX catalyst conversion or NOX adsorption).
    (B) The NOX aftertreatment substrate is completely 
destroyed, removed, or missing.
    (C) The NOX aftertreatment assembly is replaced with a 
straight pipe.
    (4) For model years 2019 and later.
    (i) The manufacturer must implement an OBD system meeting the 
applicable requirements of Sec.  86.010-18 on all engines.
    (p) In-use compliance standards. For monitors required to indicate 
a malfunction before emissions exceed a certain emission threshold 
(e.g., 2.5 times any of the applicable standards):
    (1) For model years 2010 through 2012.
    (i) On the full OBD rating (i.e., the parent rating) as defined in 
paragraph (o)(1) of this section, separate in-use emissions thresholds 
shall apply. These thresholds are determined by doubling the applicable 
thresholds as shown in Table 1 of paragraph (g) and Table 2 of 
paragraph (h) of this section. The resultant thresholds apply only in-
use and do not apply for certification or selective enforcement 
auditing.
    (ii) The extrapolated OBD ratings (i.e., the child ratings) as 
defined in paragraph (o)(1) of this section shall not be evaluated 
against emissions levels for purposes of OBD compliance in-use.
    (iii) Only the test cycle and standard determined and identified by 
the manufacturer at the time of certification in accordance with 
paragraph (f) of this section as the most stringent shall be used for 
the purpose of determining OBD system noncompliance in-use.
    (iv) An OBD system shall not be considered noncompliant solely due 
to a failure or deterioration mode of a monitored component or system 
that could not have been reasonably foreseen to occur by the 
manufacturer.
    (2) For model years 2013 through 2015.
    (i) On the full OBD ratings as defined in paragraph (o)(2) of this 
section, separate in-use emissions thresholds shall apply. These 
thresholds are determined by doubling the applicable thresholds as 
shown in Table 1 of paragraph (g) and Table 2 of paragraph (h) of this 
section. The resultant thresholds apply only in-use and do not apply 
for certification or selective enforcement auditing.
    (ii) The extrapolated OBD ratings as defined in paragraph (o)(2) of 
this section shall not be evaluated against emissions levels for 
purposes of OBD compliance in-use.
    (iii) Only the test cycle and standard determined and identified by 
the manufacturer at the time of certification in accordance with 
paragraph (f) of this section as the most stringent shall be used for 
the purpose of determining OBD system noncompliance in-use.
    (iv) For monitors subject to meeting the minimum in-use monitor 
performance ratio of 0.100 in paragraph (d)(1)(ii), the OBD system 
shall not be considered noncompliant unless a representative sample 
indicates the in-use ratio is below 0.050.
    (v) An OBD system shall not be considered noncompliant solely due 
to a failure or deterioration mode of a monitored component or system 
that could not have been reasonably foreseen to occur by the 
manufacturer.
    (3) For model years 2016 through 2018.
    (i) On the engine ratings tested according to (l)(2)(iii) of this 
section, the certification emissions thresholds shall apply in-use.
    (ii) On the manufacturer's remaining engine ratings, separate in-
use emissions thresholds shall apply. These thresholds are determined 
by doubling the applicable thresholds as shown in Table 1 of paragraph 
(g) and Table 2 of paragraph (h) of this section. The resultant 
thresholds apply only in-use

[[Page 8408]]

and do not apply for certification or selective enforcement auditing.
    (iii) An OBD system shall not be considered noncompliant solely due 
to a failure or deterioration mode of a monitored component or system 
that could not have been reasonably foreseen to occur by the 
manufacturer.
    (4) For model years 2019 and later.
    (i) On all engine ratings, the certification emissions thresholds 
shall apply in-use.
    (ii) An OBD system shall not be considered noncompliant solely due 
to a failure or deterioration mode of a monitored component or system 
that could not have been reasonably foreseen to occur by the 
manufacturer.

0
7. Section 86.010-38 is added to subpart A to read as follows:


Sec.  86.010-38  Maintenance instructions.

    (a) The manufacturer shall furnish or cause to be furnished to the 
purchaser of each new motor vehicle (or motor vehicle engine) subject 
to the standards prescribed in Sec.  86.099-8, Sec.  86.004-9, Sec.  
86.004-10, or Sec.  86.004-11, as applicable, written instructions for 
the proper maintenance and use of the vehicle (or engine), by the 
purchaser consistent with the provisions of Sec.  86.004-25, which 
establishes what scheduled maintenance the Administrator approves as 
being reasonable and necessary.
    (1) The maintenance instructions required by this section shall be 
in clear, and to the extent practicable, nontechnical language.
    (2) The maintenance instructions required by this section shall 
contain a general description of the documentation which the 
manufacturer will require from the ultimate purchaser or any subsequent 
purchaser as evidence of compliance with the instructions.
    (b) Instructions provided to purchasers under paragraph (a) of this 
section shall specify the performance of all scheduled maintenance 
performed by the manufacturer on certification durability vehicles and, 
in cases where the manufacturer performs less maintenance on 
certification durability vehicles than the allowed limit, may specify 
the performance of any scheduled maintenance allowed under Sec.  
86.004-25.
    (c) Scheduled emission-related maintenance in addition to that 
performed under Sec.  86.004-25(b) may only be recommended to offset 
the effects of abnormal in-use operating conditions, except as provided 
in paragraph (d) of this section. The manufacturer shall be required to 
demonstrate, subject to the approval of the Administrator, that such 
maintenance is reasonable and technologically necessary to assure the 
proper functioning of the emission control system. Such additional 
recommended maintenance shall be clearly differentiated, in a form 
approved by the Administrator, from that approved under Sec.  86.004-
25(b).
    (d) Inspections of emission-related parts or systems with 
instructions to replace, repair, clean, or adjust the parts or systems 
if necessary, are not considered to be items of scheduled maintenance 
which insure the proper functioning of the emission control system. 
Such inspections, and any recommended maintenance beyond that approved 
by the Administrator as reasonable and necessary under paragraphs (a), 
(b), and (c) of this section, may be included in the written 
instructions furnished to vehicle owners under paragraph (a) of this 
section: Provided, That such instructions clearly state, in a form 
approved by the Administrator, that the owner need not perform such 
inspections or recommended maintenance in order to maintain the 
emissions defect and emissions performance warranty or manufacturer 
recall liability.
    (e) The manufacturer may choose to include in such instructions an 
explanation of any distinction between the useful life specified on the 
label, and the emissions defect and emissions performance warranty 
period. The explanation must clearly state that the useful life period 
specified on the label represents the average period of use up to 
retirement or rebuild for the engine family represented by the engine 
used in the vehicle. An explanation of how the actual useful lives of 
engines used in various applications are expected to differ from the 
average useful life may be included. The explanation(s) shall be in 
clear, non-technical language that is understandable to the ultimate 
purchaser.
    (f) If approved by the Administrator, the instructions provided to 
purchasers under paragraph (a) of this section shall indicate what 
adjustments or modifications, if any, are necessary to allow the 
vehicle to meet applicable emission standards at elevations above 4,000 
feet, or at elevations of 4,000 feet or less.
    (g) Emission control diagnostic service information:
    (1) Manufacturers are subject to the provisions of this paragraph 
(g) beginning in the 1996 model year for manufacturers of light-duty 
vehicles and light-duty trucks, and beginning in the 2005 model year 
for manufacturers of heavy-duty vehicles and heavy-duty engines 
weighing 14,000 pounds gross vehicle weight (GVW) and less that are 
subject to the OBD requirements of this part.
    (2) General requirements.
    (i) Manufacturers shall furnish or cause to be furnished to any 
person engaged in the repairing or servicing of motor vehicles or motor 
vehicle engines, or the Administrator upon request, any and all 
information needed to make use of the on-board diagnostic system and 
such other information, including instructions for making emission-
related diagnoses and repairs, including but not limited to service 
manuals, technical service bulletins, recall service information, bi-
directional control information, and training information, unless such 
information is protected by section 208(c) of the Act as a trade 
secret. No such information may be withheld under section 208(c) of the 
Act if that information is provided (directly or indirectly) by the 
manufacturer to franchised dealers or other persons engaged in the 
repair, diagnosing, or servicing of motor vehicles or motor vehicle 
engines.
    (ii) Definitions. The following definitions apply for this 
paragraph (g):
    (A) Aftermarket service provider means any individual or business 
engaged in the diagnosis, service, and repair of a motor vehicle or 
engine, who is not directly affiliated with a manufacturer or 
manufacturer-franchised dealership.
    (B) Bi-directional control means the capability of a diagnostic 
tool to send messages on the data bus that temporarily overrides the 
module's control over a sensor or actuator and gives control to the 
diagnostic tool operator. Bi-directional controls do not create 
permanent changes to engine or component calibrations.
    (C) Data stream information means information (i.e., messages and 
parameters) originated within the vehicle by a module or intelligent 
sensors (i.e., a sensor that contains and is controlled by its own 
module) and transmitted between a network of modules and/or intelligent 
sensors connected in parallel with either one or more communication 
wires. The information is broadcast over the communication wires for 
use by the OBD system to gather information on emissions-related 
components or systems and from other vehicle modules that may impact 
emissions, including but not limited to systems such as chassis or 
transmission. For the purposes of this section, data stream information 
does not include engine calibration-related information, or any

[[Page 8409]]

data stream information from systems or modules that do not impact 
emissions.
    (D) Emissions-related information means any information related to 
the diagnosis, service, and repair of emissions-related components. 
Emissions-related information includes, but is not limited to, 
information regarding any system, component or part of a vehicle that 
controls emissions and any system, component and/or part associated 
with the powertrain system, including, but not limited to:
    (1) The engine, the fuel system and ignition system,
    (2) Information for any system, component or part that is likely to 
impact emissions, such as transmission systems, and any other 
information specified by the Administrator to be relevant to the 
diagnosis and repair of an emissions-related problem; and
    (3) Any other information specified by the Administrator to be 
relevant for the diagnosis and repair of an emissions-related failure 
found through the inspection and maintenance program after such finding 
has been communicated to the affected manufacturer(s).
    (E) Emissions-related training information means any information-
related training or instruction for the purpose of the diagnosis, 
service, and repair of emissions-related components.
    (F) Enhanced service and repair information means information which 
is specific for an original equipment manufacturer's brand of tools and 
equipment. This includes computer or anti-theft system initialization 
information necessary for the completion of any emissions-related 
repair on motor vehicles that employ integral vehicle security systems.
    (G) Equipment and tool company means a registered automotive 
equipment or software company either public or private that is engaged 
in, or plans to engage in, the manufacture of automotive scan tool 
reprogramming equipment or software.
    (H) Generic service and repair information means information which 
is not specific for an original equipment manufacturer's brand of tools 
and equipment.
    (I) Indirect information means any information that is not 
specifically contained in the service literature, but is contained in 
items such as tools or equipment provided to franchised dealers (or 
others). This includes computer or anti-theft system initialization 
information necessary for the completion of any emissions-related 
repair on motor vehicles that employ integral vehicle security systems.
    (J) Intermediary means any individual or entity, other than an 
original equipment manufacturer, which provides service or equipment to 
aftermarket service providers.
    (K) Manufacturer-franchised dealership means any service provider 
with which a manufacturer has a direct business relationship.
    (L) Third-party information provider means any individual or 
entity, other than an original equipment manufacturer, who consolidates 
manufacturer service information and makes this information available 
to aftermarket service providers.
    (M) Third-party training provider means any individual or entity, 
other than an original equipment manufacturer who develops and/or 
delivers instructional and educational material for automotive training 
courses.
    (3) Information dissemination. By December 24, 2003, each 
manufacturer was required to provide or cause to be provided to the 
persons specified in paragraph (g)(2)(i) of this section and to any 
other interested parties a manufacturer-specific World Wide Web site 
containing the information specified in paragraph (g)(2)(i) of this 
section for 1996 and later model year vehicles which have been offered 
for sale; this requirement does not apply to indirect information, 
including the information specified in paragraphs (g)(12) through 
(g)(16) of this section. Upon request and approval of the 
Administrator, manufacturers who can demonstrate significant hardship 
in complying with this provision by December 26, 2003, may request an 
additional six months lead time to meet this requirement. Each 
manufacturer Web site shall:
    (i) Provide access in full-text to all of the information specified 
in paragraph (g)(5) of this section.
    (ii) Be updated at the same time as manufacturer-franchised 
dealership World Wide Web sites;
    (iii) Provide users with a description of the minimum computer 
hardware and software needed by the user to access that manufacturer's 
information (e.g., computer processor speed and operating system 
software). This description shall appear when users first log-on to the 
home page of the manufacturer Web site.
    (iv) Provide Short-Term (24 to 72 hours), Mid-Term (30 day period), 
and Long-Term (365 day period) Web site subscription options to any 
person specified in paragraph (g)(2)(i) of this section whereby the 
user will be able to access the site, search for the information, and 
purchase, view and print the information at a fair and reasonable cost 
as specified in paragraph (g)(7) of this section for each of the 
subscription options. In addition, for each of the subscription 
options, manufacturers are required to make their entire site 
accessible for the respective period of time and price. In other words, 
a manufacturer may not limit any or all of the subscription options to 
just one make or one model.
    (v) Allow the user to search the manufacturer Web site by various 
topics including but not limited to model, model year, key words or 
phrases, etc., while allowing ready identification of the latest 
vehicle calibration. Manufacturers who do not use model year to 
classify their vehicles in their service information may use an 
alternate vehicle delineation such as body series. Any manufacturer 
utilizing this flexibility shall create a cross-reference to the 
corresponding model year and provide this cross-reference on the 
manufacturer Web site home page.
    (vi) Provide accessibility using common, readily available software 
and shall not require the use of software, hardware, viewers, or 
browsers that are not readily available to the general public. 
Manufacturers shall also provide hyperlinks to any plug-ins, viewers or 
browsers (e.g., Adobe Acrobat or Netscape) needed to access the 
manufacturer Web site.
    (vii) Allow simple hyper-linking to the manufacturer Web site from 
government Web sites and automotive-related Web sites.
    (viii) Allow access to the manufacturer Web site with no limits on 
the modem speed by which aftermarket service providers or other 
interested parties can connect to the manufacturer Web site.
    (ix) Possess sufficient server capacity to allow ready access by 
all users and have sufficient capacity to assure that all users may 
obtain needed information without undue delay.
    (x) Correct or delete broken Web links on a weekly basis.
    (xi) Allow for Web site navigation that does not require a user to 
return to the manufacturer home page or a search engine in order to 
access a different portion of the site.
    (xii) Allow users to print out any and all of the materials 
required to be made available on the manufacturer Web site including 
the ability to print it at the user's location.
    (4) Small volume provisions for information dissemination.
    (i) Manufacturers with annual sales of less than 5,000 vehicles had 
until June 28, 2004 to launch their individual Web sites as required by 
paragraph (g)(3) of this section.

[[Page 8410]]

    (ii) Manufacturers with annual sales of less than 1,000 vehicles 
may, in lieu of meeting the requirement of paragraph (g)(3) of this 
section, request the Administrator to approve an alternative method by 
which the required emissions-related information can be obtained by the 
persons specified in paragraph (g)(2)(i) of this section.
    (5) Required information. All information relevant to the diagnosis 
and completion of emissions-related repairs shall be posted on 
manufacturer Web sites. This excludes indirect information specified in 
paragraphs (g)(6) and (g)(12) through (g)(16) of this section. To the 
extent that this information does not already exist in some form for 
their manufacturer franchised dealerships, manufacturers are required 
to develop and make available the information required by this section 
to both their manufacturer franchised dealerships and the aftermarket. 
The required information includes, but is not limited to:
    (i) Manuals, including subsystem and component manuals developed by 
a manufacturer's third party supplier that are made available to 
manufacturer franchised dealerships, technical service bulletins 
(TSBs), recall service information, diagrams, charts, and training 
materials. Manuals and other such service information from third party 
suppliers are not required to be made available in full-text on 
manufacturer Web sites as described in paragraph (g)(3) of this 
section. Rather, manufacturers must make available on the manufacturer 
Web site as required by paragraph (g)(3) of this section an index of 
the relevant information and instructions on how to order such third 
party information. In the alternative, a manufacturer can create a link 
from its Web site to the Web site(s) of the third party supplier.
    (ii) OBD system information which includes, but is not limited to, 
the following:
    (A) A general description of the operation of each monitor, 
including a description of the parameter that is being monitored;
    (B) A listing of all typical OBD diagnostic trouble codes 
associated with each monitor;
    (C) A description of the typical enabling conditions (either 
generic or monitor-specific) for each monitor (if equipped) to execute 
during vehicle operation, including, but not limited to, minimum and 
maximum intake air and engine coolant temperature, vehicle speed range, 
and time after engine startup. In addition, manufacturers shall list 
all monitor-specific OBD drive cycle information for all major OBD 
monitors as equipped including, but not limited to, catalyst, catalyst 
heater, oxygen sensor, oxygen sensor heater, evaporative system, 
exhaust gas re-circulation (EGR), secondary air, and air conditioning 
system. Additionally, for diesel vehicles under 14,000 pounds. GVWR 
which also perform misfire, fuel system and comprehensive component 
monitoring under specific driving conditions (i.e., non-continuous 
monitoring; as opposed to spark ignition engines that monitor these 
systems under all conditions or continuous monitoring), the 
manufacturer shall make available monitor-specific drive cycles. Any 
manufacturer who develops generic drive cycles, either in addition to, 
or instead of, monitor-specific drive cycles shall also make these 
available in full-text on manufacturer Web sites;
    (D) A listing of each monitor sequence, execution frequency and 
typical duration;
    (E) A listing of typical malfunction thresholds for each monitor;
    (F) For OBD parameters for specific vehicles that deviate from the 
typical parameters, the OBD description shall indicate the deviation 
and provide a separate listing of the typical values for those 
vehicles;
    (G) Identification and scaling information necessary to interpret 
and understand data available to a generic scan tool through ``mode 
6,'' pursuant to SAE J1979 (as specified in paragraph (g)(17) of this 
section).
    (H) Algorithms, look-up tables, or any values associated with look-
up tables are not required to be made available.
    (iii) Any information regarding any system, component, or part of a 
vehicle monitored by the OBD system that could in a failure mode cause 
the OBD system to illuminate the malfunction indicator light (MIL);
    (iv) Any information on other systems that can effect the emission 
system within a multiplexed system (including how information is sent 
between emission-related system modules and other modules on a 
multiplexed bus);
    (v) Manufacturer-specific emissions-related diagnostic trouble 
codes (DTCs) and any related service bulletins, trouble shooting 
guides, and/or repair procedures associated with these manufacturer-
specific DTCs; and
    (vi) Information regarding how to obtain the information needed to 
perform reinitialization of any vehicle computer or anti-theft system 
following an emissions-related repair.
    (6) Anti-theft system initialization information. Computer or anti-
theft system initialization information and/or related tools necessary 
for the proper installation of on-board computers or necessary for the 
completion of any emissions-related repair on motor vehicles that 
employ integral vehicle security systems or the repair or replacement 
of any other emission-related part shall be made available at a fair 
and reasonable cost to the persons specified in paragraph (g)(2)(i) of 
this section.
    (i) Except as provided under paragraph (g)(6)(ii) of this section, 
manufacturers must make this information available to persons specified 
in paragraph (g)(2)(i) of this section, such that such persons will not 
need any special tools or manufacturer-specific scan tools to perform 
the initialization. Manufacturers may make such information available 
through, for example, generic aftermarket tools, a pass-through device, 
or inexpensive manufacturer-specific cables.
    (ii) A manufacturer may request Administrator approval for an 
alternative means to re-initialize vehicles for some or all model year 
vehicles through the 2007 model year by September 26, 2003. The 
Administrator shall approve the request only after the following 
conditions have been met:
    (A) The manufacturer must demonstrate that the availability of such 
information to aftermarket service providers would significantly 
increase the risk of vehicle theft.
    (B) The manufacturer must make available a reasonable alternative 
means to install or repair computers, or to otherwise repair or replace 
an emission-related part.
    (C) Any alternative means proposed by a manufacturer cannot require 
aftermarket technicians to use a manufacturer franchised dealership to 
obtain information or special tools to re-initialize the anti-theft 
system. All information must come directly from the manufacturer or a 
single manufacturer-specified designee.
    (D) Any alternative means proposed by a manufacturer must be 
available to aftermarket technicians at a fair and reasonable price.
    (E) Any alternative must be available to aftermarket technicians 
within twenty-four hours of the initial request.
    (F) Any alternative must not require the purchase of a special tool 
or tools, including manufacturer-specific tools, to complete this 
repair. Alternatives may include lease of such tools, but only for 
appropriately minimal cost.
    (G) In lieu of leasing their manufacturer-specific tool to meet 
this requirement, a manufacturer may also release the necessary 
information to equipment and tool manufacturers for incorporation into 
aftermarket scan tools. Any manufacturer choosing this

[[Page 8411]]

option must release the information to equipment and tool manufacturers 
within 60 days of Administrator approval. Manufacturers may also comply 
with this requirement using SAE J2534 (as specified in paragraph 
(g)(17) of this section) for some or all model years through model year 
2007.
    (7) Cost of required information.
    (i) All information required to be made available by this section 
shall be made available at a fair and reasonable price. In determining 
whether a price is fair and reasonable, consideration may be given to 
relevant factors, including, but not limited to, the following:
    (A) The net cost to the manufacturer-franchised dealerships for 
similar information obtained from manufacturers, less any discounts, 
rebates, or other incentive programs.
    (B) The cost to the manufacturer for preparing and distributing the 
information, excluding any research and development costs incurred in 
designing and implementing, upgrading or altering the onboard computer 
and its software or any other vehicle part or component. Amortized 
capital costs for the preparation and distribution of the information 
may be included.
    (C) The price charged by other manufacturers for similar 
information.
    (D) The price charged by manufacturers for similar information 
prior to the launch of manufacturer Web sites.
    (E) The ability of aftermarket technicians or shops to afford the 
information.
    (F) The means by which the information is distributed;
    (G) The extent to which the information is used, which includes the 
number of users, and frequency, duration, and volume of use.
    (H) Inflation.
    (ii) By August 25, 2003, each manufacturer was required to submit 
to the Administrator a request for approval of their pricing structure 
for their Web sites and amounts to be charged for the information 
required to be made available under paragraphs (g)(3) and (g)(5) of 
this section. Subsequent to the approval of the manufacturer Web site 
pricing structure, manufacturers shall notify the Administrator upon 
the increase in price of any one or all of the subscription options of 
20 percent or more above the previously-approved price, taking 
inflation into account.
    (A) The manufacturer shall submit a request to the Administrator 
that sets forth a detailed description of the pricing structure and 
amounts, and support for the position that the pricing structure and 
amounts are fair and reasonable by addressing, at a minimum, each of 
the factors specified in paragraph (g)(7)(i) of this section.
    (B) The Administrator will act upon the request within 180 days 
following receipt of a complete request or following receipt of any 
additional information requested by the Administrator.
    (C) The Administrator may decide not to approve, or to withdraw 
approval for a manufacturer's pricing structure and amounts based on a 
conclusion that this pricing structure and/or amounts are not, or are 
no longer, fair and reasonable, by sending written notice to the 
manufacturer explaining the basis for this decision.
    (D) In the case of a decision by the Administrator not to approve 
or to withdraw approval, the manufacturer shall within three months 
following notice of this decision, obtain Administrator approval for a 
revised pricing structure and amounts by following the approval process 
described in this paragraph (g)(7)(ii).
    (8) Unavailable information. Any information which is not provided 
at a fair and reasonable price shall be considered unavailable, in 
violation of these regulations and section 202(m)(5) of the Clean Air 
Act.
    (9) Third-party information providers. By December 24, 2003, 
manufacturers shall, for model year 2004 and later vehicles and 
engines, make available to third-party information providers as defined 
in paragraph (g)(2)(ii) of this section with whom they engage in 
licensing or business arrangements;
    (i) The required emissions-related information as specified in 
paragraph (g)(5) of this section either:
    (A) Directly in electronic format such as diskette or CD-ROM using 
non-proprietary software, in English; or
    (B) Indirectly via a Web site other than that required by paragraph 
(g)(3) of this section;
    (ii) For any manufacturer who utilizes an automated process in 
their manufacturer-specific scan tool for diagnostic fault trees, the 
data schema, detail specifications, including category types/codes and 
vehicle codes, and data format/content structure of the diagnostic 
trouble trees.
    (iii) Manufacturers can satisfy the requirement of paragraph 
(g)(9)(ii) of this section by making available diagnostic trouble trees 
on their manufacturer Web sites in full-text.
    (iv) Manufacturers are not responsible for the accuracy of the 
information distributed by third parties. However, where manufacturers 
charge information intermediaries for information, whether through 
licensing agreements or other arrangements, manufacturers are 
responsible for inaccuracies contained in the information they provide 
to third-party information providers.
    (10) Required emissions-related training information. By December 
24, 2003, for emissions-related training information, manufacturers 
were required to:
    (i) Video tape or otherwise duplicate and make available for sale 
on manufacturer Web sites within 30 days after transmission any 
emissions-related training courses provided to manufacturer franchised 
dealerships via the Internet or satellite transmission;
    (ii) Provide on the manufacturer Web site an index of all 
emissions-related training information available for purchase by 
aftermarket service providers for 1994 and newer vehicles. For model 
years subsequent to 2003, the required information must be made 
available for purchase within 3 months of model introduction and then 
must be made available at the same time it is made available to 
manufacturer franchised dealerships, whichever is earlier. The index 
shall describe the title of the course or instructional session, the 
cost of the video tape or duplicate, and information on how to order 
the item(s) from the manufacturer Web site. All of the items available 
must be shipped within 24 hours of the order being placed and are to be 
made available at a fair and reasonable price as described in paragraph 
(g)(7) of this section. Manufacturers unable to meet the 24 hour 
shipping requirement under circumstances where orders exceed supply and 
additional time is needed by the distributor to reproduce the item 
being ordered, may exceed the 24 hour shipping requirement, but in no 
instance can take longer than 14 days to ship the item.
    (iii) Provide access to third-party training providers as defined 
in paragraph (g)(2)(ii) of this section all emission-related training 
courses transmitted via satellite or Internet offered to their 
manufacturer franchised dealerships. Manufacturers may not charge 
unreasonable up-front fees to third-party training providers for this 
access, but may require a royalty, percentage, or other arranged fee 
based on per-use enrollment/subscription basis. Manufacturers may take 
reasonable steps to protect any copyrighted information and are not 
required to provide this information to parties that do not agree to 
such steps.
    (11) Timeliness and maintenance of information dissemination.
    (i) General Requirements. Subsequent to the initial launch of the 
manufacturer's Web site, manufacturers

[[Page 8412]]

must make the information required under paragraph (g)(5) of this 
section available on their Web site within six months of model 
introduction, or at the same time it is made available to manufacturer 
franchised dealerships, whichever is earlier. After this six-month 
period, the information must be available and updated on the 
manufacturer Web site at the same time that the updated information is 
made available to manufacturer franchised dealerships, except as 
otherwise specified in this section.
    (ii) Archived information. Beginning with the 1996 model year, 
manufacturers must maintain the required information on their Web sites 
in full-text as defined in paragraph (g)(5) of this section for a 
minimum of 15 years after model introduction. Subsequent to this 
fifteen year period, manufacturers may archive the information in the 
manufacturer's format of choice and provide an index of the archived 
information on the manufacturer Web site and how it can be obtained by 
interested parties. Manufacturers shall index their available 
information with a title that adequately describes the contents of the 
document to which it refers. Manufacturers may allow for the ordering 
of information directly from their Web site, or from a Web site 
hyperlinked to the manufacturer Web site. In the alternative, 
manufacturers shall list a phone number and address where aftermarket 
service providers can call or write to obtain the desired information. 
Manufacturers must also provide the price of each item listed, as well 
as the price of items ordered on a subscription basis. To the extent 
that any additional information is added or changed for these model 
years, manufacturers shall update the index as appropriate. 
Manufacturers will be responsible for ensuring that all information, 
including information that is distributed through information 
distributors, is provided within one regular business day of receiving 
the order. Items that are less than 20 pages (e.g. technical service 
bulletins) shall be faxed, if requested, to the requestor and 
manufacturers are required to deliver the information overnight if 
requested and paid for by the ordering party. Archived information must 
be made available on demand and at a fair and reasonable price.
    (12) Reprogramming information.
    (i) For model years 1996 and later, manufacturers shall make 
available to the persons specified in paragraph (g)(2)(i) of this 
section all emissions-related recalibration or reprogramming events 
(including driveability reprogramming events that may affect emissions) 
in the format of its choice at the same time they are made available to 
manufacturer franchised dealerships. This requirement takes effect on 
September 25, 2003, and within 3 months of model introduction for all 
new model years.
    (ii) For model years 1996 and later manufacturers shall provide 
persons specified in paragraph (g)(2)(i) of this section with an 
efficient and cost-effective method for identifying whether the 
calibrations on vehicles are the latest to be issued. This requirement 
takes effect on September 25, 2003, and within 3 months of model 
introduction for all new model years.
    (iii) For all 2004 and later OBD vehicles equipped with 
reprogramming capability, manufacturers shall comply with SAE J2534 (as 
specified in paragraph (g)(17) of this section). Any manufacturer who 
cannot comply with SAE J2534 in model year 2004 may request one year 
additional lead time from the Administrator.
    (iv) For model years 2004 and later, manufacturers shall make 
available to aftermarket service providers the necessary manufacturer-
specific software applications and calibrations needed to initiate 
pass-through reprogramming. This software shall be able to run on a 
standard personal computer that utilizes standard operating systems as 
specified in SAE J2534 (as specified in paragraph (g)(17) of this 
section).
    (v) For model years prior to 2004, manufacturers may use SAE J2534 
(as specified in paragraph (g)(17) of this section) as described above, 
provided they make available to the aftermarket any additional required 
hardware (i.e. cables). Manufacturers may not require the purchase or 
use of a manufacturer-specific scan tool to receive or use this 
additional hardware. Manufacturers must also make available the 
necessary manufacturer-specific software applications and calibrations 
needed to initiate pass-through reprogramming. Manufacturers must also 
make available to equipment and tool companies any information needed 
to develop aftermarket equivalents of the manufacturer-specific 
hardware.
    (vi) Manufacturers may take any reasonable business precautions 
necessary to protect proprietary business information and are not 
required to provide this information to any party that does not agree 
to these reasonable business precautions. The requirement to make 
hardware available and to release the information to equipment and tool 
companies takes effect on September 25, 2003, and within 3 months of 
model introduction for all new model years.
    (vii) Manufacturers who cannot comply with paragraphs (g)(12)(v) 
and (g)(12)(vi) of this section shall make available to equipment and 
tool companies by September 25, 2003 the following information 
necessary for reprogramming the Electronic Control Unit (ECU):
    (A) The physical hardware requirements for reprogramming events or 
tools (e.g. system voltage requirements, cable terminals/pins, 
connections such as RS232 or USB, wires, etc.).
    (B) ECU data communication (e.g. serial data protocols, 
transmission speed or baud rate, bit timing requirements, etc.).
    (C) Information on the application physical interface (API) or 
layers (descriptions for procedures such as connection, initialization, 
performing and verifying programming/download, and termination).
    (D) Vehicle application information or any other related service 
information such as special pins and voltages for reprogramming events 
or additional vehicle connectors that require enablement and 
specifications for the enablement.
    (E) Information that describes what interfaces or combinations of 
interfaces are used to deliver calibrations from database media (e.g. 
PC using CDROM to the reprogramming device e.g. scan tool or black 
box).
    (viii) A manufacturer can propose an alternative to the 
requirements of paragraph (g)(12)(vii) of this section for how 
aftermarket service providers can reprogram an ECU. The Administrator 
will approve this alternative if the manufacturer demonstrates all of 
the following:
    (A) That it cannot comply with paragraph (g)(12)(v) of this section 
for the vehicles subject to the alternative plan;
    (B) That a very small percentage of its vehicles in model years 
prior to 2004 cannot be reprogrammed with the provisions described in 
paragraph (g)(12)(v) of this section, or that releasing the information 
to tool companies would likely not result in this information being 
incorporated into aftermarket tools; and
    (C) That aftermarket service providers will be able to reprogram 
promptly at a reasonable cost.
    (ix) In meeting the requirements of paragraphs (g)(12)(v) through 
(g)(12)(vii) of this section, manufacturers may take any reasonable 
business precautions necessary to protect proprietary business 
information and are not

[[Page 8413]]

required to provide this information to any party that does not agree 
to these reasonable business precautions.
    (13) Generic and enhanced information for scan tools. By September 
25, 2003, manufacturers shall make available to equipment and tool 
companies all generic and enhanced service information including bi-
directional control and data stream information as defined in paragraph 
(g)(2)(ii) of this section. This requirement applies for 1996 and later 
model year vehicles.
    (i) The information required by paragraph (g)(13) of this section 
shall be provided electronically using common document formats to 
equipment and tool companies with whom they have appropriate licensing, 
contractual, and/or confidentiality arrangements. To the extent that a 
central repository for this information (e.g. the TEK-NET library 
developed by the Equipment and Tool Institute) is used to warehouse 
this information, the Administrator shall have free unrestricted 
access. In addition, information required in paragraph (g)(13) of this 
section shall be made available to equipment and tool companies who are 
not otherwise members of any central repository and shall have access 
if the non-members have arranged for the appropriate licensing, 
contractual and/or confidentiality arrangements with the manufacturer 
and/or a central repository.
    (ii) In addition to the generic and enhanced information defined in 
paragraph (g)(2)(ii) of this section, manufacturers shall also make 
available the following information necessary for developing generic 
diagnostic scan tools:
    (A) The physical hardware requirements for data communication (e.g. 
system voltage requirements, cable terminals/pins, connections such as 
RS232 or USB, wires, etc.),
    (B) ECU data communication (e.g. serial data protocols, 
transmission speed or baud rate, bit timing requirements, etc.),
    (C) Information on the application physical interface (API) or 
layers. (i.e., processing algorithms or software design descriptions 
for procedures such as connection, initialization, and termination),
    (D) Vehicle application information or any other related service 
information such as special pins and voltages or additional vehicle 
connectors that require enablement and specifications for the 
enablement.
    (iii) Any manufacturer who utilizes an automated process in its 
manufacturer-specific scan tool for diagnostic fault trees shall make 
available to equipment and tool companies the data schema, detail 
specifications, including category types/codes and vehicle codes, and 
data format/content structure of the diagnostic trouble trees.
    (iv) Manufacturers can satisfy the requirement of paragraph 
(g)(13)(iii) of this section by making available diagnostic trouble 
trees on their manufacturer Web sites in full-text.
    (14) Availability of manufacturer-specific scan tools. 
Manufacturers shall make available for sale to the persons specified in 
paragraph (g)(2)(i) of this section their own manufacturer-specific 
diagnostic tools at a fair and reasonable cost. These tools shall also 
be made available in a timely fashion either through the manufacturer 
Web site or through a manufacturer-designated intermediary. 
Manufacturers who develop different versions of one or more of their 
diagnostic tools that are used in whole or in part for emission-related 
diagnosis and repair shall insure that all emission-related diagnosis 
and repair information is available for sale to the aftermarket at a 
fair and reasonable cost. Manufacturers shall provide technical support 
to aftermarket service providers for the tools described in this 
section, either themselves or through a third party of its choice. 
Factors for determining fair and reasonable cost include, but are not 
limited to:
    (i) The net cost to the manufacturer's franchised dealerships for 
similar tools obtained from manufacturers, less any discounts, rebates, 
or other incentive programs;
    (ii) The cost to the manufacturer for preparing and distributing 
the tools, excluding any research and development costs;
    (iii) The price charged by other manufacturers of similar sizes for 
similar tools;
    (iv) The capabilities and functionality of the manufacturer tool;
    (v) The means by which the tools are distributed;
    (vi) Inflation.
    (vii) The ability of aftermarket technicians and shops to afford 
the tools.
    (15) Changing content of manufacturer-specific scan tools. 
Manufacturers who opt to remove non-emissions related content from 
their manufacturer-specific scan tools and sell them to the persons 
specified in paragraph (g)(2)(i) of this section shall adjust the cost 
of the tool accordingly lower to reflect the decreased value of the 
scan tool. All emissions-related content that remains in the 
manufacturer-specific tool shall be identical to the information that 
is contained in the complete version of the manufacturer-specific tool. 
Any manufacturer who wishes to implement this option must request 
approval from the Administrator prior to the introduction of the tool 
into commerce.
    (16) Special tools.
    (i) Manufacturers who have developed special tools to extinguish 
the malfunction indicator light (MIL) for Model Years 1994 through 2003 
shall make available the necessary information to equipment and tool 
companies to design a comparable generic tool. This information was 
required to be made available to equipment and tool companies no later 
than September 25, 2003.
    (ii) Manufacturers are prohibited from requiring special tools to 
extinguish the malfunction indicator light (MIL) beginning with Model 
Year 2004.
    (17) Reference materials. Manufacturers shall conform with the 
following Society of Automotive Engineers (SAE) standards. These 
documents are incorporated by reference, see Sec.  86.1. Anyone may 
inspect copies at the U.S. EPA or at the National Archives and Records 
Administration (NARA). For information on the availability of this 
material at U.S. EPA, NARA, or the standard making body directly, refer 
to Sec.  86.1.
    (i) SAE J1930, Revised May 1998. For Web-based delivery of service 
information, manufacturers shall comply with this industry standard. 
This recommended practice standardizes various terms, abbreviations, 
and acronyms associated with on-board diagnostics. Manufacturers shall 
comply with SAE J1930 beginning with Model Year 2004.
    (ii) SAE J1979, Revised September 1997. For identification and 
scaling information necessary to interpret and understand data 
available to a generic scan tool through ``mode 6,'' manufacturers 
shall comply with this industry standard. This recommended practice 
describes the implementation of the diagnostic test modes for 
emissions-related test data. Manufacturers shall comply with this 
industry standard beginning with Model Year 2004.
    (iii) SAE J2284-3, May 2001. For allowing ECU and equipment and 
tool manufacturers to satisfy the needs of multiple end users with 
minimum modification to a basic ECU design, manufacturers shall comply 
with this industry standard which establishes standard ECU physical 
layer, data link layer, and media design criteria. Manufacturers may 
comply with SAE J2284-3 beginning with model year

[[Page 8414]]

2003 and shall comply with SAE J2284-3 beginning with model year 2008.
    (iv) SAE J2534, February 2002. For pass-through reprogramming 
capabilities, manufacturers shall comply with this industry standard 
which provides technical specifications and information that 
manufacturers must supply to equipment and tool companies to develop 
aftermarket pass-through reprogramming tools. Manufacturers shall 
comply with SAE J2534 beginning with model year 2004.
    (18) Reporting requirements. Manufacturers shall provide to the 
Administrator reports on an annual basis within 30 days of the end of 
the calendar year and upon request of the Administrator, that describe 
the performance of their individual Web sites. These annual reports 
shall be submitted to the Administrator electronically utilizing non-
proprietary software in the format as agreed to by the Administrator 
and the manufacturers. Manufacturers may request Administrator approval 
to report on parameters other than those described below if the 
manufacturer can demonstrate that those alternate parameters will 
provide sufficient and similar information for the Administrator to 
effectively evaluate the manufacturer Web site. These annual reports 
shall include, at a minimum, monthly measurements of the following 
parameters:
    (i) Total successful requests (measured in number of files 
including graphic interchange formats (GIFs) and joint photographic 
expert group (JPEG) images, i.e., electronic images such as wiring or 
other diagrams or pictures). This is defined as the total successful 
request counts of all the files which have been requested, including 
pages, graphics, etc.
    (ii) Total failed requests (measured in number of files). This is 
defined as the total failed request counts of all the files which were 
requested but failed because they could not be found or were read-
protected. This includes pages, graphics, etc.
    (iii) Average data transferred per day (measured by bytes). This is 
defined as average amount of data transferred per day from one place to 
another.
    (iv) Daily Summary (measured in number of files/pages by day of 
week). This is defined as the total number of requests each day of the 
week, over the time period given at the beginning of the report.
    (v) Daily report (measured in number of files/pages by the day of 
the month). This is defined as how many requests there were in each day 
of a specific month.
    (vi) Browser Summary (measured in number of files/pages by browser 
type, i.e., Netscape, Internet Explorer). This is defined as the 
versions of a browser by vendor.
    (vii) Any other information deemed necessary by the Administrator 
to determine the adequacy of a manufacturer Web site.
    (19) Prohibited acts, liability and remedies.
    (i) It is a prohibited act for any person to fail to promptly 
provide or cause a failure to promptly provide information as required 
by this paragraph (g), or to otherwise fail to comply or cause a 
failure to comply with any provision of this paragraph (g).
    (ii) Any person who fails or causes the failure to comply with any 
provision of this paragraph (g) is liable for a violation of that 
provision. A corporation is presumed liable for any violations of this 
subpart that are committed by any of its subsidiaries, affiliates or 
parents that are substantially owned by it or substantially under its 
control.
    (iii) Any person who violates a provision of this paragraph (g) 
shall be subject to a civil penalty of not more than $32,500 per day 
for each violation. This maximum penalty is shown for calendar year 
2004. Maximum penalty limits for later years may be set higher based on 
the Consumer Price Index, as specified in 40 CFR part 19. In addition, 
such person shall be liable for all other remedies set forth in Title 
II of the Clean Air Act, remedies pertaining to provisions of Title II 
of the Clean Air Act, or other applicable provisions of law.
    (h) The manufacturer shall furnish or cause to be furnished to the 
purchaser of each new motor engine subject to the standards prescribed 
in Sec.  86.004-10 or Sec.  86.004-11, as applicable, the following:
    (1) Instructions for all maintenance needed after the end of the 
useful life of the engine for critical emissions-related components as 
provided in Sec.  86.004-25(b), including recommended practices for 
diagnosis, cleaning, adjustment, repair, and replacement of the 
component (or a statement that such component is maintenance free for 
the life of the engine) and instructions for accessing and responding 
to any emissions-related diagnostic codes that may be stored in on-
board monitoring systems;
    (2) A copy of the engine rebuild provisions contained in Sec.  
86.004-40.
    (i) For each new diesel-fueled engine subject to the standards 
prescribed in Sec.  86.007-11, as applicable, the manufacturer shall 
furnish or cause to be furnished to the ultimate purchaser a statement 
that ``This engine must be operated only with ultra low-sulfur diesel 
fuel (meeting EPA specifications for highway diesel fuel, including a 
15 ppm sulfur cap).''
    (j) Emission control diagnostic service information for heavy-duty 
engines used in vehicles over 14,000 pounds gross vehicle weight (GVW)
    (1) Manufacturers of heavy-duty engines used in applications 
weighing more than 14,000 pounds gross vehicle weight (GVW) that are 
subject to the applicable OBD requirements of this subpart A are 
subject to the provisions of this paragraph (j) beginning in the 2010 
model year. The provisions of this paragraph (j) apply only to those 
heavy-duty engines subject to the applicable OBD requirements.
    (2) Upon Administrator approval, manufacturers of vehicles may 
alternatively comply with all service information and tool provisions 
found in Sec.  86.1808-01 that are applicable to 2001 and subsequent 
model year vehicles weighing less than 14,000 pounds gross vehicle 
weight (GVW). Upon Administrator approval, manufacturers that produce 
engines for use in vehicles between 8,500 and 14,000 pounds may, for 
those engines, alternatively comply with all service information and 
tool provisions in Sec.  86.010-38(j) that are applicable to 2010 and 
subsequent model year vehicles over 14,000 pounds. Implementation dates 
must comply with the service information provision dates applicable to 
engines in vehicles between 8,500 and 14,000 pounds.
    (3) General Requirements
    (i) Manufacturers shall furnish or cause to be furnished to any 
person engaged in the repairing or servicing of heavy-duty engines, or 
the Administrator upon request, any and all information needed to make 
use of the on-board diagnostic system and such other information, 
including instructions for making emission-related diagnosis and 
repairs, including but not limited to service manuals, technical 
service bulletins, recall service information, bi-directional control 
information, and training information, unless such information is 
protected by section 208(c) as a trade secret. Manufacturers may take 
steps to restrict warranty and customer assurance plan information used 
only for the purpose of providing such manufacturer covered repairs to 
only those repair locations authorized by the manufacturer. No such 
information may be withheld under section 208(c) of the Act if that 
information is provided (directly or indirectly) by the manufacturer to 
franchised dealers, authorized service

[[Page 8415]]

networks, or other persons engaged in the repair, diagnosing, or 
servicing of heavy-duty engines.
    (ii) Definitions. The following definitions apply for this 
paragraph (j):
    (A) Aftermarket service provider means any individual or business 
engaged in the diagnosis, service, and repair of a heavy-duty engine, 
who is not directly affiliated with a manufacturer or manufacturer 
franchised dealership, or authorized service network.
    (B) Authorized service network means a group of independent service 
and repair facilities that are recognized by engine manufacturers as 
being capable of performing repairs to factory specification, including 
warranty repair work.
    (C) Bi-directional control means the capability of a diagnostic 
tool to send messages on the data bus that temporarily overrides the 
module's control over a sensor or actuator and gives control to the 
diagnostic tool operator. Bi-directional controls do not create 
permanent changes to engine or component calibrations.
    (D) Data stream information means information (i.e., messages and 
parameters) originated within the engine by a module or intelligent 
sensors (i.e., a sensor that contains and is controlled by its own 
module) and transmitted between a network of modules and/or intelligent 
sensors connected in parallel with either one or more communication 
wires. The information is broadcast over the communication wires for 
use by the OBD system to gather information on emissions-related 
components or systems and from other engine modules that may impact 
emissions. For the purposes of this section, data stream information 
does not include engine calibration related information, or any data 
stream information from systems or modules that do not impact 
emissions.
    (E) Emissions-related information means any information related to 
the diagnosis, service, and repair of emissions-related components. 
Emissions-related information includes, but is not limited to, 
information regarding any system, component or part of an engine that 
controls emissions and that is part of the diagnostic strategy for an 
OBD monitor, but not limited to: The engine, the fuel system and 
ignition system; information for any system, component or part that is 
likely to impact emissions, and any other information specified by the 
Administrator to be relevant to the diagnosis and repair of an 
emissions-related problem; any other information specified by the 
Administrator to be relevant for the diagnosis and repair of an 
emissions-related failure found through an evaluation of vehicles in-
use and after such finding has been communicated to the affected 
manufacturer(s).
    (F) Emissions-related training information means any information 
related training or instruction for the purpose of the diagnosis, 
service, and repair of emissions-related components.
    (G) Enhanced service and repair information means information which 
is specific for an original equipment manufacturer's brand of tools and 
equipment. This includes computer or anti-theft system initialization 
information necessary for the completion of any emissions-related 
repair on engines that employ integral security systems.
    (H) Equipment and Tool Company means a registered equipment or 
software company either public or private that is engaged in, or plans 
to engage in, the manufacture of scan tool reprogramming equipment or 
software.
    (I) Generic service and repair information means information which 
is not specific for an original equipment manufacturer's brand of tools 
and equipment.
    (J) Indirect information means any information that is not 
specifically contained in the service literature, but is contained in 
items such as tools or equipment provided to franchised dealers or 
authorized service networks (or others). This includes computer or 
anti-theft system initialization information necessary for the 
completion of any emissions-related repair on engines that employ 
integral security systems.
    (K) Intermediary means any individual or entity, other than an 
original equipment manufacturer, which provides service or equipment to 
aftermarket service providers.
    (L) Manufacturer franchised dealership means any service provider 
with which a manufacturer has a direct business relationship.
    (M) Recalibration means the process of downloading to an engine's 
on-board computer emissions-related revisions of on-board computer 
application software and calibration parameters with default 
configurations. Recalibration is not dependent on the use of the 
vehicle identification number (VIN) in determining vehicle 
configuration.
    (N) Reconfiguration means the process of enabling or adjusting 
engine features or engine parameters associated with such features to 
adapt a heavy-duty engine to a particular vehicle and/or application.
    (O) Third party information provider means any individual or 
entity, other than an original equipment manufacturer, who consolidates 
manufacturer service information and makes this information available 
to aftermarket service providers.
    (P) Third party training provider means any individual or entity, 
other than an original equipment manufacturer who develops and/or 
delivers instructional and educational material for training courses.
    (4) Information dissemination. By July 1, 2010 each manufacturer 
shall provide or cause to be provided to the persons specified in 
paragraph (j)(3)(i) of this section and to any other interested parties 
a manufacturer-specific World Wide Web site containing the information 
specified in paragraph (j)(3)(i) of this section for 2010 and later 
model year engines which have been certified to the OBD requirements 
specified in Sec.  86.010-18 and are offered for sale; this requirement 
does not apply to indirect information, including the information 
specified in paragraphs (j)(13) through (j)(17) of this section. Upon 
request and approval of the Administrator, manufacturers who can 
demonstrate significant hardship in complying with this provision by 
August 27, 2009, may request an additional six months lead time to meet 
this requirement. Each manufacturer Web site shall:
    (i) Provide access in full-text to all of the information specified 
in paragraph (j)(6) of this section.
    (ii) Be updated at the same time as manufacturer franchised 
dealership or authorized service network World Wide Web sites.
    (iii) Provide users with a description of the minimum computer 
hardware and software needed by the user to access that manufacturer's 
information (e.g., computer processor speed and operating system 
software). This description shall appear when users first log-on to the 
home page of the manufacturer's Web site.
    (iv) Upon Administrator approval, implement a range of time periods 
for online access to any person specified in paragraph (j)(3)(i) of 
this section whereby the user will be able to access the site, search 
for the information, and purchase, view and print the information at a 
fair and reasonable cost as specified in paragraph (j)(8) of this 
section for each of the options. In addition, for each of the range of 
time periods, manufacturers are required to make their entire site 
accessible for the respective period of time and price. In other words, 
a manufacturer may not

[[Page 8416]]

limit Web site access to just one make or one model.
    (v) Allow the user to search the manufacturer Web site by various 
topics including but not limited to model, model year, key words or 
phrases, etc., while allowing ready identification of the latest 
calibration. Manufacturers who do not use model year to classify their 
engines in their service information may use an alternate delineation 
such as body series. Any manufacturer utilizing this flexibility shall 
create a cross-reference to the corresponding model year and provide 
this cross-reference on the manufacturer Web site home page.
    (vi) Provide accessibility using common, readily available software 
and shall not require the use of software, hardware, viewers, or 
browsers that are not readily available to the general public. 
Manufacturers shall also provide hyperlinks to any plug-ins, viewers or 
browsers (e.g. Adobe Acrobat or Netscape) needed to access the 
manufacturer Web site.
    (vii) Allow simple hyper-linking to the manufacturer Web site from 
Government Web sites and automotive-related Web sites.
    (viii) Possess sufficient server capacity to allow ready access by 
all users and has sufficient capacity to assure that all users may 
obtain needed information without undue delay.
    (ix) Correct or delete any reported broken Web links on a weekly 
basis.
    (x) Allow for Web site navigation that does not require a user to 
return to the manufacturer home page or a search engine in order to 
access a different portion of the site.
    (xi) Allow users to print out any and all of the materials required 
to be made available on the manufacturers Web site that can be 
reasonably printed on a standard printer, including the ability to 
print it at the user's location.
    (5) Small volume provisions for information dissemination.
    (i) Manufacturers with total annual sales of less than 5,000 
engines shall have until July 1, 2011 to launch their individual Web 
sites as required by paragraph (j)(4) of this section.
    (ii) Manufacturers with total annual sales of less than 1,000 
engines may, in lieu of meeting the requirement of paragraph (j)(4) of 
this section, request the Administrator to approve an alternative 
method by which the required emissions-related information can be 
obtained by the persons specified in paragraph (j)(3)(i) of this 
section.
    (6) Required information. All information relevant to the diagnosis 
and completion of emissions-related repairs shall be posted on 
manufacturer Web sites. This excludes indirect information specified in 
paragraphs (j)(7) and (j)(13) through (j)(17) of this section. To the 
extent that this information does not already exist in some form for 
their manufacturer franchised dealerships or authorized service 
networks, manufacturers are required to develop and make available the 
information required by this section to both their manufacturer 
franchised dealerships or authorized service networks and the 
aftermarket. The required information includes, but is not limited to:
    (i) Manuals, including subsystem and component manuals developed by 
a manufacturer's third party supplier that are made available to 
manufacturer franchised dealerships or authorized service networks, 
technical service bulletins (TSBs), recall service information, 
diagrams, charts, and training materials. Informal recall service 
information such as engineering notes and/or sketches are not required 
to be made available as long as this information is not made available 
to manufacturer franchised dealerships or authorized service networks 
in the form of manuals. Manuals and other such service information from 
third party suppliers are not required to be made available in full-
text on manufacturer Web sites as described in paragraph (j)(4) of this 
section. Rather, manufacturers must make available on the manufacturer 
Web site as required by paragraph (j)(4) of this section an index of 
the relevant information and instructions on how to order such 
information. In the alternate, a manufacturer can create a link from 
its Web site to the Web site(s) of the third party supplier.
    (ii) OBD system information which includes, but is not limited to, 
the following:
    (A) A general description of the operation of each monitor, 
including a description of the parameter that is being monitored;
    (B) A listing of all typical OBD diagnostic trouble codes 
associated with each monitor;
    (C) A description of the typical enabling conditions (either 
generic or monitor-specific) for each monitor (if equipped) to execute 
during engine operation, including, but not limited to, minimum and 
maximum intake air and engine coolant temperature, speed range, and 
time after engine startup. In addition, manufacturers shall list all 
monitor-specific OBD drive cycle information for all major OBD monitors 
as equipped including, but not limited to, catalyst, catalyst heater, 
oxygen sensor, oxygen sensor heater, evaporative system, exhaust gas 
re-circulation (EGR), secondary air, and air conditioning system. 
Additionally, for diesel engines which also perform misfire, fuel 
system and comprehensive component monitoring under specific driving 
conditions (i.e., non-continuous monitoring; as opposed to spark 
ignition engines that monitor these systems under all conditions or 
continuous monitoring), the manufacturer shall make available monitor-
specific drive cycles for these monitors. Any manufacturer who develops 
generic drive cycles, either in addition to, or instead of, monitor-
specific drive cycles shall also make these available in full-text on 
manufacturer Web sites;
    (D) A listing of each monitor sequence, execution frequency and 
typical duration;
    (E) A listing of typical malfunction thresholds for each monitor;
    (F) For OBD parameters for specific engines that deviate from the 
typical parameters, the OBD description shall indicate the deviation 
and provide a separate listing of the typical values for those engines;
    (G) Identification and scaling information necessary to interpret 
and understand data available through Diagnostic Message 8 pursuant to 
SAE J1939-73 (as specified in paragraph (j)(17) of this section), or 
through Service/Mode $06 pursuant to SAE J1979 (as specified in 
paragraph (j)(17) of this section).
    (H) Algorithms, look-up tables, or any values associated with look-
up tables are not required to be made available.
    (iii) Any information regarding any system, component, or part of a 
engine monitored by the OBD system that could in a failure mode cause 
the OBD system to illuminate the malfunction indicator light (MIL);
    (iv) Manufacturer-specific emissions-related diagnostic trouble 
codes (DTCs) and any related service bulletins, troubleshooting guides, 
and/or repair procedures associated with these manufacturer-specific 
DTCs; and
    (v) Information regarding how to obtain the information needed to 
perform reinitialization of any computer or anti-theft system following 
an emissions-related repair.
    (7) Anti-theft System Initialization Information. Computer or anti-
theft system initialization information and/or related tools necessary 
for the proper installation of on-board computers or necessary for the 
completion of any emissions-related repair on engines that employ 
integral security systems or the repair or replacement of any other 
emission-related part shall be made available at a fair and reasonable 
cost to

[[Page 8417]]

the persons specified in paragraph (j)(3)(i) of this section.
    (i) Except as provided under paragraph (j)(7)(ii) of this section, 
manufacturers must make this information available to persons specified 
in paragraph (j)(3)(i) of this section, such that such persons will not 
need any special tools or manufacturer-specific scan tools to perform 
the initialization. Manufacturers may make such information available 
through, for example, generic aftermarket tools, a pass-through device, 
or inexpensive manufacturer specific cables.
    (ii) A manufacturer may request Administrator approval for an 
alternative means to re-initialize engines for some or all model years 
through the 2013 model year by July 27, 2009. The Administrator shall 
approve the request only after the following conditions have been met:
    (A) The manufacturer must demonstrate that the availability of such 
information to aftermarket service providers would significantly 
increase the risk of theft.
    (B) The manufacturer must make available a reasonable alternative 
means to install or repair computers, or to otherwise repair or replace 
an emission-related part.
    (C) Any alternative means proposed by a manufacturer cannot require 
aftermarket technicians to use a manufacturer franchised dealership or 
authorized service networks to obtain information or special tools to 
re-initialize the anti-theft system. All information must come directly 
from the manufacturer or a single manufacturer-specified designee.
    (D) Any alternative means proposed by a manufacturer must be 
available to aftermarket technicians at a fair and reasonable price.
    (E) Any alternative must be available to aftermarket technicians 
within twenty-four hours of the initial request.
    (F) Any alternative must not require the purchase of a special tool 
or tools, including manufacturer-specific tools, to complete this 
repair. Alternatives may include lease of such tools, but only for 
appropriately minimal cost.
    (G) In lieu of leasing their manufacturer-specific tool to meet 
this requirement, a manufacturer may also choose to release the 
necessary information to equipment and tool manufacturers for 
incorporation into aftermarket scan tools. Any manufacturer choosing 
this option must release the information to equipment and tool 
manufacturers within 60 days of Administrator approval.
    (8) Cost of required information.
    (i) All information required to be made available by this section, 
shall be made available at a fair and reasonable price. In determining 
whether a price is fair and reasonable, consideration may be given to 
relevant factors, including, but not limited to, the following:
    (A) The net cost to the manufacturer franchised dealerships or 
authorized service networks for similar information obtained from 
manufacturers, less any discounts, rebates, or other incentive 
programs;
    (B) The cost to the manufacturer for preparing and distributing the 
information, excluding any research and development costs incurred in 
designing and implementing, upgrading or altering the onboard computer 
and its software or any other engine part or component. Amortized 
capital costs for the preparation and distribution of the information 
may be included;
    (C) The price charged by other manufacturers for similar 
information;
    (D) The price charged by manufacturers for similar information 
prior to the launch of manufacturer Web sites;
    (E) The ability of the average aftermarket technician or shop to 
afford the information;
    (F) The means by which the information is distributed;
    (G) The extent to which the information is used, which includes the 
number of users, and frequency, duration, and volume of use; and
    (H) Inflation.
    (ii) Manufacturers must submit to EPA a request for approval of 
their pricing structure for their Web sites and amounts to be charged 
for the information required to be made available under paragraphs 
(j)(4) and (j)(6) of this section at least 180 days in advance of the 
launch of the web site. Subsequent to the approval of the manufacturer 
Web site pricing structure, manufacturers shall notify EPA upon the 
increase in price of any one or all of the subscription options of 20 
percent or more above the previously approved price, taking inflation 
into account.
    (A) The manufacturer shall submit a request to EPA that sets forth 
a detailed description of the pricing structure and amounts, and 
support for the position that the pricing structure and amounts are 
fair and reasonable by addressing, at a minimum, each of the factors 
specified in paragraph (j)(8)(i) of this section.
    (B) EPA will act upon on the request within180 days following 
receipt of a complete request or following receipt of any additional 
information requested by EPA.
    (C) EPA may decide not to approve, or to withdraw approval for a 
manufacturer's pricing structure and amounts based on a conclusion that 
this pricing structure and/or amounts are not, or are no longer, fair 
and reasonable, by sending written notice to the manufacturer 
explaining the basis for this decision.
    (D) In the case of a decision by EPA not to approve or to withdraw 
approval, the manufacturer shall within three months following notice 
of this decision, obtain EPA approval for a revised pricing structure 
and amounts by following the approval process described in this 
paragraph.
    (9) Unavailable information. Any information which is not provided 
at a fair and reasonable price shall be considered unavailable, in 
violation of these regulations and section 202(m)(5) of the Clean Air 
Act.
    (10) Third party information providers. (i) By January 1, 2011 
manufacturers shall, for model year 2010 and later engines, make 
available to third-party information providers as defined in paragraph 
(j)(3)(ii) of this section with whom they may wish to engage in 
licensing or business arrangements, the required emissions-related 
information as specified in paragraph (j)(6) of this section either:
    (A) Directly in electronic format such as diskette or CD-ROM using 
non-proprietary software, in English; or
    (B) Indirectly via a Web site other than that required by paragraph 
(j)(4) of this section
    (ii) Manufacturers are not responsible for the accuracy of the 
information distributed by third parties. However, where manufacturers 
charge information intermediaries for information, whether through 
licensing agreements or other arrangements, manufacturers are 
responsible for inaccuracies contained in the information they provide 
to third party information providers.
    (11) Required emissions-related training information. By January 1, 
2011, for emissions-related training information, manufacturers shall:
    (i) Video tape or otherwise duplicate and make available for sale 
on manufacturer Web sites within 30 days after transmission any 
emissions-related training courses provided to manufacturer franchised 
dealerships or authorized service networks via the Internet or 
satellite transmission. Manufacturers shall not be required to 
duplicate transmitted emissions-related training courses if anyone 
engaged in the repairing or servicing of heavy-duty engines has the 
opportunity to receive the Internet or satellite transmission, even if 
there is a cost associated with

[[Page 8418]]

the equipment required to receive the transmission;
    (ii) Provide on the manufacturer Web site an index of all 
emissions-related training information available for purchase by 
aftermarket service providers for 2010 and newer engines. The required 
information must be made available for purchase within 3 months of 
model introduction and then must be made available at the same time it 
is made available to manufacturer franchised dealerships or authorized 
service networks, whichever is earlier. The index shall describe the 
title of the course or instructional session, the cost of the video 
tape or duplicate, and information on how to order the item(s) from the 
manufacturer Web site. All of the items available must be shipped 
within 3 business day of the order being placed and are to made 
available at a fair and reasonable price as described in paragraph 
(j)(8) of this section. Manufacturers unable to meet the 3 business day 
shipping requirement under circumstances where orders exceed supply and 
additional time is needed by the distributor to reproduce the item 
being ordered, may exceed the 3 business day shipping requirement, but 
in no instance can take longer than 14 days to ship the item.
    (12) Timeliness and maintenance of information dissemination.
    (i) Subsequent to the initial launch of the manufacturer's Web 
site, manufacturers must make the information required under paragraph 
(j)(6) of this section available on their Web site within six months of 
model introduction, or at the same time it is made available to 
manufacturer franchised dealerships or authorized service networks, 
whichever is earlier. After this six month period, the information must 
be available and updated on the manufacturer Web site at the same time 
that the updated information is made available to manufacturer 
franchised dealerships or authorized service networks, except as 
otherwise specified in this section.
    (ii) Archived information. Manufacturers must maintain the required 
information on their Web sites in full-text as defined in paragraph 
(j)(6) of this section for a minimum of 15 years after model 
introduction. Subsequent to this fifteen year period, manufacturers may 
archive the information in the manufacturer's format of choice and 
provide an index of the archived information on the manufacturer Web 
site and how it can be obtained by interested parties. Manufacturers 
shall index their available information with a title that adequately 
describes the contents of the document to which it refers. 
Manufacturers may allow for the ordering of information directly from 
their Web site, or from a Web site hyperlinked to the manufacturer Web 
site. In the alternate, manufacturers shall list a phone number and 
address where aftermarket service providers can call or write to obtain 
the desired information. Manufacturers must also provide the price of 
each item listed, as well as the price of items ordered on a 
subscription basis. To the extent that any additional information is 
added or changed for these model years, manufacturers shall update the 
index as appropriate. Manufacturers will be responsible for ensuring 
that their information distributors do so within one regular business 
day of receiving the order. Items that are less than 20 pages (e.g. 
technical service bulletins) shall be faxed to the requestor and 
distributors are required to deliver the information overnight if 
requested and paid for by the ordering party. Archived information must 
be made available on demand and at a fair and reasonable price.
    (13) Recalibration Information.
    (i) Manufacturers shall make available to the persons specified in 
paragraph (j)(3)(i) of this section all emissions-related recalibration 
or reprogramming events (including driveability reprogramming events 
that may affect emissions) in the format of their choice at the same 
time they are made available to manufacturer franchised dealerships or 
authorized service networks. This requirement applies on July 1, 2013.
    (ii) Manufacturers shall provide persons specified in paragraph 
(j)(3)(i) of this section with an efficient and cost-effective method 
for identifying whether the calibrations on engines are the latest to 
be issued. This requirement applies on July 1, 2013.
    (iii) For all 2013 and later OBD engines equipped with 
reprogramming capability, manufacturers shall comply with either SAE 
J2534-1 (as specified in paragraph (j)(17) of this section), or the 
Technology and Maintenance Council's (TMC) Recommended Practice TMC RP 
1210B (as specified in paragraph (j)(17) of this section).
    (iv) For model years 2013 and later, manufacturers shall make 
available to aftermarket service providers the necessary manufacturer-
specific software applications and calibrations needed to initiate 
pass-through reprogramming. This software shall be able to run on a 
standard personal computer that utilizes standard operating systems as 
specified in either SAE J2534-1 (as specified in paragraph (j)(17) of 
this section) or TMC RP 1210B (as specified in paragraph (j)(17) of 
this section).
    (v) Manufacturers may take any reasonable business precautions 
necessary to protect proprietary business information and are not 
required to provide this information to any party that does not agree 
to these reasonable business precautions. The requirements to make 
hardware available and to release the information to equipment and tool 
companies apply on July 1, 2013, and within 3 months of model 
introduction for all new model years.
    (14) Generic and enhanced information for scan tools. By July 1, 
2013, manufacturers shall make available to equipment and tool 
companies all generic and enhanced service information including bi-
directional control and data stream information as defined in paragraph 
(j)(3(ii) of this section. This requirement applies for 2013 and later 
model year engines.
    (i) The information required by this paragraph (j)(14) shall be 
provided electronically using common document formats to equipment and 
tool companies with whom they have appropriate licensing, contractual, 
and/or confidentiality arrangements. To the extent that a central 
repository for this information (e.g. the TEK-NET library developed by 
the Equipment and Tool Institute) is used to warehouse this 
information, the Administrator shall have free unrestricted access. In 
addition, information required by this paragraph (j)(14) shall be made 
available to equipment and tool companies who are not otherwise members 
of any central repository and shall have access if the non-members have 
arranged for the appropriate licensing, contractual and/or 
confidentiality arrangements with the manufacturer and/or a central 
repository.
    (ii) In addition to the generic and enhanced information defined in 
paragraph (j)(3)(ii) of this section, manufacturers shall also make 
available the following information necessary for developing generic 
diagnostic scan tools:
    (A) The physical hardware requirements for data communication 
(e.g., system voltage requirements, cable terminals/pins, connections 
such as RS232 or USB, wires, etc.),
    (B) Electronic Control Unit (ECU) data communication (e.g., serial 
data protocols, transmission speed or baud rate, bit timing 
requirements, etc.),
    (C) Information on the application physical interface (API) or 
layers. (i.e., processing algorithms or software design descriptions 
for procedures such

[[Page 8419]]

as connection, initialization, and termination),
    (D) Engine application information or any other related service 
information such as special pins and voltages or additional connectors 
that require enablement and specifications for the enablement.
    (iii) Any manufacturer who utilizes an automated process in their 
manufacturer-specific scan tool for diagnostic fault trees shall make 
available to equipment and tool companies the data schema, detail 
specifications, including category types/codes and codes, and data 
format/content structure of the diagnostic trouble trees.
    (iv) Manufacturers can satisfy the requirement of paragraph 
(j)(14)(iii) of this section by making available diagnostic trouble 
trees on their manufacturer Web sites in full-text.
    (v) Manufacturers shall make all required information available to 
the requesting equipment and tool company within 14 days after the 
request to purchase has been made unless the manufacturer requests 
Administrator approval to refuse to disclose such information to the 
requesting company or requests Administrator approval for additional 
time to comply. After receipt of a request and consultation with the 
affected parties, the Administrator shall either grant or refuse the 
petition based on the evidence submitted during the consultation 
process:
    (A) If the evidence demonstrates that the engine manufacturer has a 
reasonably based belief that the requesting equipment and tool company 
could not produce safe and functionally accurate tools that would not 
cause damage to the engine, the petition for non-disclosure will be 
granted. Engine manufacturers are not required to provide data stream 
and bi-directional control information that would permit an equipment 
and tool company's products to modify an EPA-certified engine or 
transmission configuration.
    (B) If the evidence does not demonstrate that the engine 
manufacturer has a reasonably-based belief that the requesting 
equipment and tool company could not produce safe and functionally 
accurate tools that would not cause damage to the engine, the petition 
for non-disclosure will be denied and the engine manufacturer, as 
applicable, shall make the requested information available to the 
requesting equipment and tool company within 2 days of the denial.
    (vi) If the manufacturer submits a request for Administrator 
approval for additional time, and satisfactorily demonstrates to the 
Administrator that the engine manufacturer is able to comply but 
requires additional time within which to do so, the Administrator shall 
grant the request and provide additional time to fully and 
expeditiously comply.
    (vii) Manufacturers may require that tools using information 
covered under paragraph (j)(14) of this section comply with the 
Component Identifier message specified in SAE J1939-71 (as specified in 
paragraph (j)(17) of this section) as Parameter Group Number (PGN) 
65249 (including the message parameter's make, model, and serial 
number) and the SAE J1939-81 (as specified in paragraph (j)(17) of this 
section) Address Claim PGN.
    (viii) Manufacturers are not required to make available to 
equipment and tool companies any information related to reconfiguration 
capabilities or any other information that would make permanent changes 
to existing engine configurations.
    (15) Availability of manufacturer-specific scan tools. (i) 
Manufacturers shall make available for sale to the persons specified in 
paragraph (j)(3)(i) of this section their own manufacturer-specific 
diagnostic tools at a fair and reasonable cost. These tools shall also 
be made available in a timely fashion either through the manufacturer 
Web site or through a manufacturer-designated intermediary. Upon 
Administrator approval, manufacturers will not be required to make 
available manufacturer-specific tools with reconfiguration capabilities 
if they can demonstrate to the satisfaction of the Administrator that 
these tools are not essential to the completion of an emissions-related 
repair, such as recalibration. As a condition of purchase, 
manufacturers may request that the purchaser take all necessary 
training offered by the engine manufacturer. Any required training 
materials and classes must comply with the following:
    (A) Similar training must be required by the engine manufacturer 
for the use of the same tool by its franchised dealerships or 
authorized service networks;
    (B) The training must be substantially similar to such training in 
terms of material covered and the length of training;
    (C) The training must be made available within six months after a 
tool request has been made;
    (D) The training must be made available at a fair and reasonable 
price.
    (ii) Manufacturers shall ship purchased tools in a timely manner 
after a request and training, if any, has been completed. Any required 
training materials and classes must be made available at a fair and 
reasonable price. Manufacturers who develop different versions of one 
or more of their diagnostic tools that are used in whole or in part for 
emission-related diagnosis and repair shall also insure that all 
emission-related diagnosis and repair information is available for sale 
to the aftermarket at a fair and reasonable cost. Factors for 
determining fair and reasonable cost include, but are not limited to:
    (A) The net cost to the manufacturer's franchised dealerships or 
authorized service network for similar tools obtained from 
manufacturers, less any discounts, rebates, or other incentive 
programs;
    (B) The cost to the manufacturer for preparing and distributing the 
tools, excluding any research and development costs;
    (C) The price charged by other manufacturers of similar sizes for 
similar tools;
    (D) The capabilities and functionality of the manufacturer tool;
    (E) The means by which the tools are distributed;
    (F) Inflation;
    (G) The ability of aftermarket technicians and shops to afford the 
tools.
    Manufacturers shall provide technical support to aftermarket 
service providers for the tools described in this section, either 
themselves or through a third-party of their choice.
    (16) Changing content of manufacturer-specific scan tools. 
Manufacturers who opt to remove non-emissions related content from 
their manufacturer-specific scan tools and sell them to the persons 
specified in paragraph (j)(3)(i) of this section shall adjust the cost 
of the tool accordingly lower to reflect the decreased value of the 
scan tool. All emissions-related content that remains in the 
manufacturer-specific tool shall be identical to the information that 
is contained in the complete version of the manufacturer-specific tool. 
Any manufacturer who wishes to implement this option must request 
approval from the Administrator prior to the introduction of the tool 
into commerce.
    (17) Reference Materials. Manufacturers shall conform with the 
following industry standards. These documents are incorporated by 
reference in Sec.  86.1. Anyone may inspect copies at the U.S. EPA or 
at the National Archives and Records Administration (NARA). For 
information on the availability of this material at U.S. EPA, NARA, or 
the standard making bodies directly, refer to Sec.  86.1.

[[Page 8420]]

    (i) SAE J1939-71, Revised January 2008. For providing a means for 
the application processes to access the OSI environment, manufacturers 
shall comply with this industry standard.
    (ii) SAE J1939-73, Revised September 2006. For identification and 
scaling information necessary to interpret and understand data 
available through Diagnostic Message 8, manufacturers shall comply with 
this industry standard. In the alternate, manufacturers may comply with 
Service/Mode $06 pursuant to SAE J1979, Revised May 2007. These 
recommended practices describe the implementation of diagnostic test 
modes for emissions related test data. Manufacturers shall comply with 
either SAE J1939-73 or SAE J1979 beginning with Model Year 2013.
    (iii) SAE J1939-81, Revised May 2003. For management of source 
addresses and the association of those address with an actual function 
and with the detection and reporting of network realized errors, 
manufacturers shall comply with this industry standard.
    (iv) SAE J2403, Revised August 2007. For Web-based delivery of 
service information, manufacturers shall comply with this industry 
standard which standardizes various terms, abbreviations, and acronyms 
associated with on-board diagnostics. Manufacturers shall comply with 
SAE J2403 beginning with the Model Year 2013.
    (v) TMC RP 1210B, Revised June 2007. For pass-thru reprogramming 
capabilities, manufacturers shall comply with Technology and 
Maintenance Council's (TMC) Recommended Practice TMC RP 1210B. In the 
alternate, manufacturers may comply with SAE J2534-1, Revised December 
2004. These recommended practices provide technical specifications and 
information that manufacturers must supply to equipment and tool 
companies to develop aftermarket pass-thru reprogramming tools. 
Manufacturers shall comply with either TMC RP 1210B or SAE J2534-1 
beginning with Model Year 2013.
    (18) Reporting Requirements. Performance reports that adequately 
demonstrate that each manufacturers website meets the information 
requirements outlined in paragraphs (j)(6)(i) through (j)(6)(vi) of 
this section shall be submitted to the Administrator annually or upon 
request by the Administrator. These reports shall indicate the 
performance and effectiveness of the websites by using commonly used 
Internet statistics (e.g., successful requests, frequency of use, 
number of subscriptions purchased, etc.). Manufacturers shall provide 
to the Administrator reports on an annual basis within 30 days of the 
end of the calendar year. These annual reports shall be submitted to 
the Administrator electronically utilizing non-proprietary software in 
the format as agreed to by the Administrator and the manufacturers.
    (19) Prohibited Acts, Liability and Remedies.
    (i) It is a prohibited act for any person to fail to promptly 
provide or cause a failure to promptly provide information as required 
by this paragraph (j), or to otherwise fail to comply or cause a 
failure to comply with any provision of this subsection.
    (ii) Any person who fails or causes the failure to comply with any 
provision of this paragraph (j) is liable for a violation of that 
provision. A corporation is presumed liable for any violations of this 
subpart that are committed by any of its subsidiaries, affiliates or 
parents that are substantially owned by it or substantially under its 
control.
    (iii) Any person who violates a provision of this paragraph (j) 
shall be subject to a civil penalty of not more than $ 31,500 per day 
for each violation. This maximum penalty is shown for calendar year 
2002. Maximum penalty limits for later years may be set higher based on 
the Consumer Price Index, as specified in 40 CFR part 19. In addition, 
such person shall be liable for all other remedies set forth in Title 
II of the Clean Air Act, remedies pertaining to provisions of Title II 
of the Clean Air Act, or other applicable provisions of law.
    (iv) Manufacturers will not have any emissions warranty, in-use 
compliance, defect reporting or recall liability for service on a 
heavy-duty engine that is not undertaken by the manufacturer, for any 
damage caused by their own tools in the hands of independent service 
providers, or for the use and misuse of third party tools.

0
8. Section 86.1806-05 is amended by revising the section heading, 
paragraphs (a)(3), (h) introductory text, (h)(1)(v), (h)(1)(vii), (i), 
and (j) and adding new paragraphs (h)(2)(iv), (n) and (o) to read as 
follows:


Sec.  86.1806-05  On-board diagnostics for vehicles less than or equal 
to 14,000 pounds GVWR.

    (a) * * *
    (3) An OBD system demonstrated to fully meet the requirements in, 
through model year 2006, Sec.  86.004-17 and, for model years 2007 and 
later, Sec.  86.007-17 may be used to meet the requirements of this 
section, provided that such an OBD system also incorporates appropriate 
transmission diagnostics as may be required under this section, and 
provided that the Administrator finds that a manufacturer's decision to 
use the flexibility in this paragraph (a)(3) is based on good 
engineering judgement.
* * * * *
    (h) The following documents are incorporated by reference, see 
Sec.  86.1. Anyone may inspect copies at the U.S. EPA or at the 
National Archives and Records Administration (NARA). For information on 
the availability of this material at U.S. EPA, NARA, or the standard 
making bodies directly, refer to Sec.  86.1.
    (1) * * *
    (v) SAE J1930, Revised April 2002. All acronyms, definitions and 
abbreviations shall be formatted according to this industry standard. 
Alternatively, manufacturers may use SAE J2403, Revised August 2007.
* * * * *
    (vii) As an alternative to the above standards, heavy-duty vehicles 
may conform to the specifications of these SAE standards: SAE J1939-11, 
Revised October 1999; SAE J1939-13, July 1999; SAE J1939-21, Revised 
April 2001; SAE J1939-31, Revised December 1997; SAE J1939-71, Revised 
August 2002; SAE J1939-73, Revised June 2001; SAE J1939-81, July 1997.
    (2) * * *
    (iv) ISO 15765-4:2005(E), January 15, 2005. Beginning with the 2008 
model year and beyond, this industry standard shall be the only 
acceptable protocol used for standardized on-board to off-board 
communications for vehicles below 8500 pounds. For vehicles 8500 to 
14000 pounds, either this ISO industry standard or the SAE standards 
listed in paragraph (h)(1)(vii) of this section shall be the only 
acceptable protocols used for standardized on-board to off-board 
communications.
    (i) Deficiencies and alternative fueled vehicles. Upon application 
by the manufacturer, the Administrator may accept an OBD system as 
compliant even though specific requirements are not fully met. Such 
compliances without meeting specific requirements, or deficiencies, 
will be granted only if compliance would be infeasible or unreasonable 
considering such factors as, but not limited to: Technical feasibility 
of the given monitor and lead time and production cycles including 
phase-in or phase-out of vehicle designs and programmed upgrades of 
computers. Unmet requirements should not be carried over from the 
previous model year except where unreasonable hardware or software 
modifications would be necessary to correct the

[[Page 8421]]

deficiency, and the manufacturer has demonstrated an acceptable level 
of effort toward compliance as determined by the Administrator. 
Furthermore, EPA will not accept any deficiency requests that include 
the complete lack of a major diagnostic monitor (``major'' diagnostic 
monitors being those for exhaust aftertreatment devices, oxygen sensor, 
air-fuel ratio sensor, NOX sensor, engine misfire, 
evaporative leaks, and diesel EGR, if equipped), with the possible 
exception of the special provisions for alternative fueled engines. For 
alternative fueled vehicles (e.g., natural gas, liquefied petroleum 
gas, methanol, ethanol), manufacturers may request the Administrator to 
waive specific monitoring requirements of this section for which 
monitoring may not be reliable with respect to the use of the 
alternative fuel. At a minimum, alternative fuel engines must be 
equipped with an OBD system meeting OBD requirements to the extent 
feasible as approved by the Administrator.
    (j) California OBDII compliance option. Through the 2006 model 
year, for light-duty vehicles, light-duty trucks, and heavy-duty 
vehicles weighing 14,000 pounds GVWR or less, demonstration of 
compliance with California OBDII requirements (Title 13 California Code 
of Regulations Sec.  1968.2 (13 CCR 1968.2)), as modified, approved and 
filed on April 21, 2003 (incorporated by reference, see Sec.  86.1), 
shall satisfy the requirements of this section, except that compliance 
with 13 CCR 1968.2(e)(4.2.2)(C), pertaining to 0.02 inch evaporative 
leak detection, and 13 CCR 1968.2(d)(1.4), pertaining to tampering 
protection, are not required to satisfy the requirements of this 
section. Also, the deficiency provisions of 13 CCR 1968.2(i) do not 
apply. In addition, demonstration of compliance with 13 CCR 
1968.2(e)(16.2.1)(C), to the extent it applies to the verification of 
proper alignment between the camshaft and crankshaft, applies only to 
vehicles equipped with variable valve timing. Beginning with the 2007 
model year, for light-duty vehicles, light-duty trucks, and heavy-duty 
vehicles weighing 14,000 pounds GVWR or less, demonstration of 
compliance with California OBD II requirements (Title 13 California 
Code of Regulations Sec.  1968.2 (13 CCR 1968.2)), approved on November 
9, 2007 (incorporated by reference, see Sec.  86.1), shall satisfy the 
requirements of this section, except that compliance with 13 CCR 
1968.2(e)(4.2.2)(C), pertaining to 0.02 inch evaporative leak 
detection, and 13 CCR 1968.2(d)(1.4), pertaining to tampering 
protection, are not required to satisfy the requirements of this 
section. Also, the deficiency provisions of 13 CCR 1968.2(k) do not 
apply. In addition, demonstration of compliance with 13 CCR 
1968.2(e)(15.2.1)(C), to the extent it applies to the verification of 
proper alignment between the camshaft and crankshaft, applies only to 
vehicles equipped with variable valve timing. For all model years, the 
deficiency provisions of paragraph (i) of this section and the 
evaporative leak detection requirement of paragraph (b)(4) of this 
section, if applicable, apply to manufacturers selecting this paragraph 
for demonstrating compliance.
* * * * *
    (n) For 2007 and later model year diesel complete heavy-duty 
vehicles, in lieu of the malfunction descriptions of paragraph (b) of 
this section, the malfunction descriptions of this paragraph (n) shall 
apply. The OBD system must detect and identify malfunctions in all 
monitored emission-related powertrain systems or components according 
to the following malfunction definitions as measured and calculated in 
accordance with test procedures set forth in subpart B of this part 
(chassis-based test procedures), excluding those test procedures 
defined as ``Supplemental'' test procedures in Sec.  86.004-2 and 
codified in Sec. Sec.  86.158, 86.159, and 86.160.
    (1) Catalysts and diesel particulate filters (DPF).
    (i) If equipped, reduction catalyst deterioration or malfunction 
before it results in exhaust emissions exceeding, for model years 2007 
through 2009, 4 times the applicable NOX standard and, for 
model years 2010 through 2012, the applicable NOX 
standard+0.6 g/mi and, for model years 2013 and later, the applicable 
NOX standard+0.3 g/mi. Further, if equipped, oxidation 
catalyst (not to include the DPF), deterioration or malfunction before 
it results in exhaust NMHC emissions exceeding, for 2010 through 2012 
model years, 2.5 times the applicable NMHC standard and, for 2013 and 
later model years, 2 times the applicable NMHC standard. Monitoring of 
oxidation catalysts is not required through the 2009 model year. These 
catalyst monitoring need not be done if the manufacturer can 
demonstrate that deterioration or malfunction of the system will not 
result in exceedance of the threshold. As an alternative to the 
oxidation catalyst monitoring requirement, the monitor can be designed 
to detect oxidation catalyst deterioration or malfunction before it 
results in an inability to achieve a temperature rise of 100 degrees C, 
or to reach the necessary DPF regeneration temperature, within 60 
seconds of initiating an active DPF regeneration. Further, oxidation 
catalyst deterioration or malfunction when the DOC is unable to sustain 
the necessary regeneration temperature for the duration of the 
regeneration event. The OBD or control system must abort the 
regeneration if the regeneration temperature has not been reached 
within five minutes of initiating an active regeneration event, and if 
the regeneration temperature cannot be sustained for the duration of 
the regeneration event.
    (ii) If equipped with a DPF, for all model years, catastrophic 
failure of the device must be detected. Any DPF whose complete failure 
results in exhaust emissions exceeding 1.5 times the applicable PM 
standard or family emissions limit (FEL) must be monitored for such 
catastrophic failure. This monitoring need not be done if the 
manufacturer can demonstrate that a catastrophic failure of the system 
will not result in exceedance of the threshold. Further, if equipped 
with a DPF, the OBD system shall detect DPF deterioration or 
malfunction before it results in exhaust emissions exceeding, for 2010 
through 2012 model years, 4 times the applicable PM standard and, for 
2013 and later model years, the applicable PM standard +0.04 g/mi.
    (2) Engine misfire. Lack of cylinder combustion must be detected.
    (3) Exhaust gas sensors.
    (i) Oxygen sensors and air-fuel ratio sensors downstream of 
aftertreatment devices. If equipped, sensor deterioration or 
malfunction resulting in exhaust emissions exceeding any of the 
following levels: for 2007 through 2009 model years, 4 times the 
applicable PM standard, or 3 times the applicable NOX 
standard, or 2.5 times the applicable NMHC standard and, for 2010 
through 2012 model years, 4 times the applicable PM standard, or the 
applicable NOX standard+0.3 g/mi, or 2.5 times the 
applicable NMHC standard and, for 2013 and later model years, the 
applicable PM standard+0.04 g/mi, or the applicable NOX 
standard+0.3 g/mi, or 2 times the applicable NMHC standard.
    (ii) Oxygen sensors and air-fuel ratio sensors upstream of 
aftertreatment devices. If equipped, sensor deterioration or 
malfunction resulting in exhaust emissions exceeding any of the 
following levels: for 2007 through 2009 model years, 4 times the 
applicable PM standard, or 3 times the applicable NOX 
standard, or 2.5 times the applicable NMHC standard, or 2.5 times the 
applicable CO standard and, for 2010

[[Page 8422]]

through 2012 model years, the applicable PM standard+0.02 g/mi, or the 
applicable NOX standard+0.3 g/mi, or 2.5 times the 
applicable NMHC standard, or 2.5 times the applicable CO standard and, 
for 2013 and later model years, the applicable PM standard+0.02 g/mi, 
or the applicable NOX standard+0.3 g/mi, or 2 times the 
applicable NMHC standard, or 2 times the applicable CO standard.
    (iii) NOX sensors. If equipped, sensor deterioration or malfunction 
resulting in exhaust emissions exceeding any of the following levels: 
for 2007 through 2009 model years, 5 times the applicable PM standard, 
or 4 times the applicable NOX standard and, for 2010 through 
2012 model years, 4 times the applicable PM standard, or the applicable 
NOX standard+0.6 g/mi and, for 2013 and later model years, 
the applicable PM standard+0.04 g/mi, or the applicable NOX 
standard+0.3 g/mi.
    (4) [Reserved.]
    (5) Other emission control systems and components. Any 
deterioration or malfunction occurring in an engine system or component 
directly intended to control emissions, including but not necessarily 
limited to, the exhaust gas recirculation (EGR) system, if equipped, 
and the fuel control system, singularly resulting in exhaust emissions 
exceeding any of the following levels: For 2007 through 2009 model 
years, 4 times the applicable PM standard, or 3 times the applicable 
NOX standard, or 2.5 times the applicable NMHC standard, or 
2.5 times the applicable CO standard and, for 2010 through 2012 model 
years, 4 times the applicable PM standard, or the applicable 
NOX standard+0.3 g/mi, or 2.5 times the applicable NMHC 
standard, or 2.5 times the applicable CO standard and, for 2013 and 
later model years, the applicable PM standard+0.02 g/mi, or the 
applicable NOX standard+0.3 g/mi, or 2 times the applicable 
NMHC standard, or 2 times the applicable CO standard. A functional 
check, as described in paragraph (n)(6) of this section, may satisfy 
the requirements of this paragraph (n)(5) provided the manufacturer can 
demonstrate that a malfunction would not cause emissions to exceed the 
applicable levels. This demonstration is subject to Administrator 
approval. For engines equipped with crankcase ventilation (CV), 
monitoring of the CV system is not necessary provided the manufacturer 
can demonstrate to the Administrator's satisfaction that the CV system 
is unlikely to fail.
    (6) Other emission-related powertrain components. Any other 
deterioration or malfunction occurring in an electronic emission-
related powertrain system or component not otherwise described in 
paragraphs (n)(1) through (n)(5) of this section that either provides 
input to or receives commands from the on-board computer and has a 
measurable impact on emissions; monitoring of components required by 
this paragraph (n)(6) must be satisfied by employing electrical circuit 
continuity checks and rationality checks for computer input components 
(input values within manufacturer specified ranges based on other 
available operating parameters), and functionality checks for computer 
output components (proper functional response to computer commands) 
except that the Administrator may waive such a rationality or 
functionality check where the manufacturer has demonstrated 
infeasibility. Malfunctions are defined as a failure of the system or 
component to meet the electrical circuit continuity checks or the 
rationality or functionality checks.
    (7) Performance of OBD functions. Any sensor or other component 
deterioration or malfunction which renders that sensor or component 
incapable of performing its function as part of the OBD system must be 
detected and identified on engines so equipped.
    (o) For 2007 and later model year diesel complete heavy-duty 
vehicles, in lieu of the certification provisions of paragraph (k) of 
this section, the certification provisions of this paragraph (o) shall 
apply. For test groups required to have an OBD system, certification 
will not be granted if, for any test vehicle approved by the 
Administrator in consultation with the manufacturer, the malfunction 
indicator light does not illuminate under any of the following 
circumstances, unless the manufacturer can demonstrate that any 
identified OBD problems discovered during the Administrator's 
evaluation will be corrected on production vehicles.
    (1)(i) If monitored for emissions performance--a reduction catalyst 
is replaced with a deteriorated or defective catalyst, or an electronic 
simulation of such, resulting in exhaust emissions exceeding, for 2007 
through 2009 model years, 4 times the applicable NOX 
standard and, for 2010 through 2012 model years, the applicable 
NOX standard+0.6 g/mi and, for 2013 and later model years, 
the applicable NOX standard+0.3 g/mi. Also if monitored for 
emissions performance-an oxidation catalyst (not to include the DPF) is 
replaced with a deteriorated or defective catalyst, or an electronic 
simulation of such, resulting in exhaust NMHC emissions exceeding, for 
2010 through 2012 model years, 2.5 times the applicable NMHC standard 
and, for 2013 and later model years, 2 times the applicable NMHC 
standard. If monitored for exotherm performance for 2010 and later 
model years, an oxidation catalsyt is replaced with a deteriorated or 
defective catalyst, or an electronic simulation of such, resulting in 
an inability to achieve a 100 degree C temperature rise, or the 
necessary regeneration temperature, within 60 seconds of initiating a 
DPF regeneration.
    (ii) If monitored for performance--a DPF is replaced with a DPF 
that has catastrophically failed, or an electronic simulation of such. 
Further, a DPF is replaced with a deteriorated or defective DPF, or an 
electronic simulation of such, resulting in exhaust PM emissions 
exceeding, for 2010 through 2012 model years, 4 times the applicable PM 
standard and, for 2013 and later model years, the applicable PM 
standard+0.04 g/mi.
    (2) An engine misfire condition is induced and is not detected.
    (3)(i) If so equipped, any oxygen sensor or air-fuel ratio sensor 
located downstream of aftertreatment devices is replaced with a 
deteriorated or defective sensor, or an electronic simulation of such, 
resulting in exhaust emissions exceeding any of the following levels: 
for 2007 through 2009 model years, 4 times the applicable PM standard, 
or 3 times the applicable NOX standard, or 2.5 times the 
applicable NMHC standard and, for 2010 through 2012 model years, 4 
times the applicable PM standard, or the applicable NOX 
standard+0.3 g/mi, or 2.5 times the applicable NMHC standard and, for 
2013 and later model years, the applicable PM standard+0.04 g/mi, or 
the applicable NOX standard+0.3 g/mi, or 2 times the 
applicable NMHC standard.
    (ii) If so equipped, any oxygen sensor or air-fuel ratio sensor 
located upstream of aftertreatment devices is replaced with a 
deteriorated or defective sensor, or an electronic simulation of such, 
resulting in exhaust emissions exceeding any of the following levels: 
for 2007 through 2009 model years, 4 times the applicable PM standard, 
or 3 times the applicable NOX standard, or 2.5 times the 
applicable NMHC standard, or 2.5 times the applicable CO standard and, 
for 2010 through 2012 model years, the applicable PM standard+0.02 g/
mi, or the applicable NOX standard+0.3 g/mi, or 2.5 times 
the applicable NMHC standard, or 2.5 times the applicable CO standard 
and, for 2013 and later model years, the applicable PM standard+0.02 g/
mi, or the applicable NOX standard+0.3 g/mi, or 2 times the 
applicable NMHC

[[Page 8423]]

standard, or 2 times the applicable CO standard.
    (iii) If so equipped, any NOX sensor is replaced with a 
deteriorated or defective sensor, or an electronic simulation of such, 
resulting in exhaust emissions exceeding any of the following levels: 
for 2007 through 2009 model years, 5 times the applicable PM standard, 
or 4 times the applicable NOX standard and, for 2010 through 
2012 model years, 4 times the applicable PM standard, or the applicable 
NOX standard+0.6 g/mi and, for 2013 and later model years, 
the applicable PM standard+0.04 g/mi, or the applicable NOX 
standard+0.3 g/mi.
    (4) [Reserved.]
    (5) A malfunction condition is induced in any emission-related 
engine system or component, including but not necessarily limited to, 
the exhaust gas recirculation (EGR) system, if equipped, and the fuel 
control system, singularly resulting in exhaust emissions exceeding any 
of the following levels: for 2007 through 2009 model years, 4 times the 
applicable PM standard or 3 times the applicable NOX 
standard, or 2.5 times the applicable NMHC standard, or 2.5 times the 
applicable CO standard and, for 2010 through 2012 model years, 4 times 
the applicable PM standard, or the applicable NOX 
standard+0.3 g/mi, or 2.5 times the applicable NMHC standard, or 2.5 
times the applicable CO standard and, for 2013 and later model years, 
the applicable PM standard+0.02 g/mi, or the applicable NOX 
standard+0.3 g/mi, or 2 times the applicable NMHC standard, or 2 times 
the applicable CO standard.
    (6) A malfunction condition is induced in an electronic emission-
related powertrain system or component not otherwise described in this 
paragraph (o) that either provides input to or receives commands from 
the on-board computer resulting in a measurable impact on emissions.

0
9. Section 86.1863-07 is amended by revising paragraphs (b) and (c) to 
read as follows.


Sec.  86.1863-07  Optional chassis certification for diesel vehicles.

* * * * *
    (b) For OBD, diesel vehicles optionally certified under this 
section are subject to the OBD requirements of Sec.  86.1806-05 and 
superseding sections.
    (c) Diesel vehicles optionally certified under this section may be 
tested using the test fuels, sampling systems, or analytical systems 
specified for diesel engines in Subpart N of this part or in 40 CFR 
part 1065.
* * * * *

PART 89--CONTROL OF EMISSIONS FROM NEW AND IN-USE NONROAD 
COMPRESSION-IGNITION ENGINES

0
10. The authority citation for part 89 continues to read as follows:

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

Subpart A--[Amended]

0
11. Section 89.1 is amended by revising paragraph (b)(5) to read as 
follows:


Sec.  89.1  Applicability.

* * * * *
    (b) * * *
    (5) Hobby engines. This part does not apply for engines installed 
in reduced-scale models of vehicles that are not capable of 
transporting a person.
* * * * *

PART 90--CONTROL OF EMISSIONS FROM NONROAD SPARK-IGNITION ENGINES 
AT OR BELOW 19 KILOWATTS

0
12. The authority citation for part 90 continues to read as follows:

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

Subpart G--[Amended]

0
13. Section 90.611 is revised to read as follows:


Sec.  90.611  Importation for purposes other than resale.

    The provisions of 40 CFR 1054.630 apply for importation of 
nonconforming engines for personal use.

PART 1027--FEES FOR ENGINE, VEHICLE, AND EQUIPMENT COMPLIANCE 
PROGRAMS

0
14. The authority citation for part 1027 continues to read as follows:

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


0
15. Section 1027.105 is amended by revising the equation in paragraph 
(c)(1)(i) and the equation in paragraph (c)(1)(ii) to read as follows.


Sec.  1027.105  How much are the fees?

* * * * *
    (c) * * *
    (1) * * *
    (i) * * *
    [GRAPHIC] [TIFF OMITTED] TR24FE09.003
    
* * * * *
    (ii) * * *
    [GRAPHIC] [TIFF OMITTED] TR24FE09.004
    
* * * * *

PART 1033--CONTROL OF EMISSIONS FROM LOCOMOTIVES

0
16. The authority citation for part 1033 continues to read as follows:

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

Subpart B--[Amended]

0
17. Section 1033.150 is amended by revising Table 1 in paragraph (f) to 
read as follows.


Sec.  1033.150  Interim provisions.

* * * * *
    (f) * * *

[[Page 8424]]



  Table 1 to Sec.   1033.150--In-use Adjustments for Tier 4 Locomotives
------------------------------------------------------------------------
                                           In-use adjustments (g/bhp-hr)
                                         -------------------------------
                                          For model year  For model year
  Fraction of useful life already used       2017 and        2017 and
                                          earlier Tier 4  earlier Tier 4
                                          NOX  standards   PM standards
------------------------------------------------------------------------
0 < MW-hrs <= 50% of UL.................             0.7            0.01
50 < MW-hrs <= 75% of UL................             1.0            0.01
MW-hrs > 75% of UL......................             1.3            0.01
------------------------------------------------------------------------

* * * * *

Subpart F--[Amended]

0
18. Section 1033.515 is amended by revising paragraph (c)(5) to read as 
follows.


Sec.  1033.515  Discrete-mode steady-state emission tests of 
locomotives and locomotive engines.

* * * * *
    (c) * * *
    (5) Begin proportional sampling of PM emissions at the beginning of 
each sampling period and terminate sampling within  5 
seconds of the specified time in each test mode. If the PM sample is 
not sufficiently large, take one of the following actions consistent 
with good engineering judgment:
    (i) Extend the sampling period up to a maximum of 15 minutes.
    (ii) Group the modes in the same manner as the phases of the ramped 
modal cycle and use three different dilution settings for the groups. 
Use one setting for both idle modes, one for dynamic brake through 
notch 5, and one for notches 6 through 8. For each group, ensure that 
the mode with the highest exhaust flow (typically normal idle, notch 5, 
and notch 8) meets the criteria for minimum dilution ratio in 40 CFR 
part 1065.
* * * * *
0
19. Section 1033.520 is amended by removing Tables 1 and 2 in paragraph 
(e)(7), and adding a new paragraph (g) to read as follows:


Sec.  1033.520  Alternative ramped modal cycles.

* * * * *
    (g) The following tables define applicable ramped modal cycles for 
line-haul and switch locomotives:

                       Table 1 to Sec.   1033.520--Line-Haul Locomotive Ramped Modal Cycle
----------------------------------------------------------------------------------------------------------------
                RMC test phase                  Weighting     RMC     Time in             Notch setting
----------------------------------------------    factor     mode       mode    --------------------------------
                                              ---------------------  (seconds)
                Pre-test idle                                      -------------     Lowest idle setting \1\
                                                    NA        NA     600 to 900
----------------------------------------------------------------------------------------------------------------
Phase 1                                        ...........       A          600  Low Idle.\2\
(Idle test)..................................        0.380       B          600  Normal Idle.
----------------------------------------------------------------------------------------------------------------
                                                Phase Transition
----------------------------------------------------------------------------------------------------------------
                                                                 C         1000  Dynamic Brake.\3\
                                                                 1          520  Notch 1.
Phase 2......................................        0.389       2          520  Notch 2.
                                                                 3          416  Notch 3.
                                                                 4          352  Notch 4.
                                                                 5          304  Notch 5.
----------------------------------------------------------------------------------------------------------------
                                                Phase Transition
----------------------------------------------------------------------------------------------------------------
                                                                 6          144  Notch 6.
Phase 3......................................        0.231       7          111  Notch 7.
                                                                 8          600  Notch 8.
----------------------------------------------------------------------------------------------------------------
\1\ See paragraph (d) of this section for alternate pre-test provisions.
\2\ Operate at normal idle for modes A and B if not equipped with multiple idle settings.
\3\ Operate at normal idle if not equipped with a dynamic brake.


[[Page 8425]]


                        Table 2 to Sec.   1033.520--Switch Locomotive Ramped Modal Cycle
----------------------------------------------------------------------------------------------------------------
                RMC test phase                  Weighting     RMC     Time in             Notch setting
----------------------------------------------    factor     mode       mode    --------------------------------
                                              ---------------------  (seconds)
                Pre-test idle                                      -------------     Lowest idle setting \1\
                                                    NA        NA     600 to 900
----------------------------------------------------------------------------------------------------------------
Phase 1                                        ...........       A          600  Low Idle.\2\
(Idle test)..................................        0.598       B          600  Normal Idle.
----------------------------------------------------------------------------------------------------------------
                                                Phase Transition
----------------------------------------------------------------------------------------------------------------
                                                                 1          868  Notch 1.
                                               ...........       2          861  Notch 2.
Phase 2......................................        0.377       3          406  Notch 3.
                                                                 4          252  Notch 4.
                                                                 5          252  Notch 5.
----------------------------------------------------------------------------------------------------------------
                                                Phase Transition
----------------------------------------------------------------------------------------------------------------
                                                                 6         1080  Notch 6.
Phase 3......................................        0.025       7          144  Notch 7.
                                                                 8          576  Notch 8.
----------------------------------------------------------------------------------------------------------------
\1\ See paragraph (d) of this section for alternate pre-test provisions.
\2\ Operate at normal idle for modes A and B if not equipped with multiple idle settings.

Subpart G--[Amended]

0
20. Section 1033.640 is amended by revising paragraph (a)(2) to read as 
follows.


Sec.  1033.640  Provisions for repowered and refurbished locomotives.

    (a) * * *
    (2) Refurbished locomotives are locomotives that contain more 
unused parts than previously used parts. As described in this section, 
a locomotive containing more unused parts than previously used parts 
may be deemed to be either remanufactured or freshly manufactured, 
depending on the total amount of unused parts on the locomotive. Note 
that Sec.  1033.901 defines refurbishment of a pre-1973 locomotive to 
be an upgrade of the locomotive.
* * * * *

0
21. Section 1033.645 is amended by revising paragraph (a) to read as 
follows.


Sec.  1033.645  Non-OEM component certification program.

* * * * *
    (a) Applicability. This section applies only for components that 
are commonly replaced during remanufacturing. It does not apply for 
other types of components that are replaced during a locomotive's 
useful life, but not typically replaced during remanufacture. Certified 
components may be used for remanufacturing or other maintenance.
    (1) The following components are eligible for approval under this 
section:
    (i) Cylinder liners.
    (ii) Pistons.
    (iii) Piston rings.
    (iv) Heads
    (v) Fuel injectors.
    (vi) Turbochargers
    (vii) Aftercoolers and intercoolers.
    (2) Catalysts and electronic controls are not eligible for approval 
under this section.
    (3) We may determine that other types of components can be 
certified under this section, consistent with good engineering 
judgment.
* * * * *

PART 1042--CONTROL OF EMISSIONS FROM NEW AND IN-USE MARINE 
COMPRESSION-IGNITION ENGINES AND VESSELS

0
22. The authority citation for part 1042 continues to read as follows:

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

Subpart B--[Amended]

0
23. Section 1042.101 is amended by revising Table 1 in paragraph (a)(3) 
to read as follows:


Sec.  1042.101  Exhaust emission standards.

    (a) * * *
    (3) * * *

              Table 1 to Sec.   1042.101--Tier 3 Standards for Category 1 Engines Below 3700 kW \a\
----------------------------------------------------------------------------------------------------------------
                                                                                                       NOX + HC
  Power density and application     Displacement (L/     Maximum  engine    Model year   PM  (g/kW-   (g/kW-hr)
                                          cyl)                power                         hr)          \b\
----------------------------------------------------------------------------------------------------------------
All.............................  disp. < 0.9........  kW < 19...........        2009+         0.40          7.5
                                                       19 <= kW < 75.....    2009-2013         0.30          7.5
                                                                                 2014+         0.30          4.7
Commercial engines with kW/L <=   disp. < 0.9........  kW >= 75..........        2012+         0.14          5.4
 35 \b\.
                                  0.9 <= disp. < 1.2.  all...............        2013+         0.12          5.4
                                  1.2 <= disp. < 2.5.  kW < 600..........    2014-2017         0.11          5.6
                                                                                 2018+         0.10          5.6
                                                       kW >= 600.........        2014+         0.11          5.6
                                  2.5 <= disp. < 3.5.  kW < 600..........    2013-2017         0.11          5.6
                                                                                 2018+         0.10          5.6
                                                       kW >= 600.........        2013+         0.11          5.6
                                  3.5 <= disp. < 7.0.  kW < 600..........    2012-2017         0.11          5.8
                                                                                 2018+         0.10          5.8
                                                       kW >= 600.........        2012+         0.11          5.8

[[Page 8426]]

 
Commercial engines with kW/L >    disp. < 0.9........  kW >= 75..........        2012+         0.15          5.8
 35 and all recreational engines
 \b\.
                                  0.9 <= disp. < 1.2.  all...............        2013+         0.14          5.8
                                  1.2 <= disp. < 2.5.  ..................        2014+         0.12          5.8
                                  2.5 <= disp. < 3.5.  ..................        2013+         0.12          5.8
                                  3.5 <= disp. < 7.0.  ..................        2012+         0.11          5.8
----------------------------------------------------------------------------------------------------------------
\a\ No Tier 3 standards apply for commercial Category 1 engines at or above 3700 kW. See Sec.   1042.1(c) and
  paragraph (a)(6) of this section for the standards that apply for these engines.
\b\ The applicable NOX + HC standards specified for Tier 2 engines in Appendix I of this part continue to apply
  instead of the values noted in the table for commercial engines at or above 2000 kW. FELs for these engines
  may not be higher than the Tier 1 NOX standard specified in Appendix I of this part.

* * * * *

Subpart G--[Amended]

0
24. Section 1042.635 is amended by revising paragraphs (a) and (b) and 
removing and reserving paragraph (c) to read as follows:


Sec.  1042.635   National security exemption.

* * * * *
    (a) An engine is exempt without a request if it will be used or 
owned by an agency of the federal government responsible for national 
defense, where the vessel in which it is installed has armor, 
permanently attached weaponry, specialized electronic warfare systems, 
unique stealth performance requirements, and/or unique combat 
maneuverability requirements. This applies to both remanufactured and 
freshly manufactured marine engines.
    (b) Manufacturers may request a national security exemption for 
engines not meeting the conditions of paragraph (a) of this section, as 
long as the request is endorsed by an agency of the federal government 
responsible for national defense. Agencies of the federal government 
responsible for national defense may request exemptions for 
remanufactured engines. In your request, explain why you need the 
exemption.
    (c) [Reserved].
* * * * *

Subpart I--[Amended]

0
25. Section 1042.850 is amended by adding paragraph (d) to read as 
follows:


Sec.  1042.850  Exemptions and hardship relief.

* * * * *
    (d) Other exemptions specified in subpart G of this part and 40 CFR 
part 1068, subparts C and D also apply to remanufactured engines. For 
example, the national security exemption applies to remanufactured 
engines as described in Sec.  1042.635.

PART 1048--CONTROL OF EMISSIONS FROM NEW, LARGE NONROAD SPARK-
IGNITION ENGINES

0
26. The authority citation for part 1048 continues to read as follows:

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

Subpart A--[Amended]

0
27. Section 1048.15 is amended by revising paragraph (a) to read as 
follows:


Sec.  1048.15  Do any other regulation parts apply to me?

    (a) Part 1060 of this chapter describes standards and procedures 
for controlling evaporative emissions from engines fueled by gasoline 
or other volatile liquid fuels and the associated fuel systems. These 
requirements apply to engine manufacturers as specified in this part 
1048. Part 1060 applies optionally for equipment manufacturers and 
fuel-system component manufacturers for certifying their products.
* * * * *

Subpart I--[Amended]

0
28. Section 1048.801 is amended by revising the definition for 
``Constant-speed engine'' to read as follows:


Sec.  1048.801  What definitions apply to this part?

* * * * *
    Constant-speed engine means an engine that is certified only for 
constant-speed operation. This may include engines that allow the 
operator to adjust the set point for fixing the appropriate governed 
speed. See subparts B and C of this part for specific provisions 
related to certifying engines only for constant-speed operation. 
Engines whose constant-speed governor function is removed or disabled 
are no longer constant-speed engines.
* * * * *

PART 1054--CONTROL OF EMISSIONS FROM NEW, SMALL NONROAD SPARK-
IGNITION ENGINES AND EQUIPMENT

0
29. The authority citation for part 1054 continues to read as follows:

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

Subpart G--[Amended]

0
30. Section 1054.690 is amended by revising paragraph (a) to read as 
follows:


Sec.  1054.690  What bond requirements apply for certified engines?

    (a) Before introducing certified engines into U.S. commerce, you 
must post a bond to cover any potential compliance or enforcement 
actions under the Clean Air Act unless you demonstrate to us in your 
application for certification that you are able to meet any potential 
compliance- or enforcement-related obligations, as described in this 
section. See paragraph (j) of this section for the requirements related 
to importing engines that have been certified by someone else. Note 
that you might also post bond under this section to meet your 
obligations under Sec.  1054.120.
* * * * *

PART 1060--CONTROL OF EVAPORATIVE EMISSIONS FROM NEW AND IN-USE 
NONROAD AND STATIONARY EQUIPMENT

0
31. The authority citation for part 1060 continues to read as follows:

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

Subpart B--[Amended]

0
32. Section 1060.102 is amended by revising paragraph (d)(1) to read as 
follows:

[[Page 8427]]

Sec.  1060.102  What permeation emission control requirements apply for 
fuel lines?

* * * * *
    (d) * * *
    (1) EPA Low-Emission Fuel Lines must have permeation emissions at 
or below 10 g/m\2\/day when measured according to the test procedure 
described in Sec.  1060.510. Fuel lines that comply with this emission 
standard are deemed to comply with all the emission standards specified 
in this section.
* * * * *

0
33. Section 1060.103 is amended by revising paragraph (d) to read as 
follows:


Sec.  1060.103  What permeation emission control requirements apply for 
fuel tanks?

* * * * *
    (d) For purposes of this part, fuel tanks do not include fuel lines 
that are subject to Sec.  1060.102, petcocks designed for draining 
fuel, grommets used with fuel lines, or grommets used with other hose 
or tubing excluded from the definition of ``fuel line.'' Fuel tanks 
include other fittings (such as fuel caps, gaskets, and O-rings) that 
are directly mounted to the fuel tank.
* * * * *

0
34. Section 1060.105 is amended by revising paragraph (c)(2) to read as 
follows:


Sec.  1060.105  What diurnal requirements apply for equipment?

* * * * *
    (c) * * *
    (2) They must remain sealed up to a positive pressure of 24.5 kPa 
(3.5 psig); however, they may contain air inlets that open when there 
is a vacuum pressure inside the tank. Such fuel tanks may not contain 
air outlets that vent to the atmosphere at pressures below 34.5 kPa 
(5.0 psig).
* * * * *

Subpart F--[Amended]

0
35. Section 1060.501 is amended by revising paragraph (e) to read as 
follows:


Sec.  1060.501  General testing provisions.

* * * * *
    (e) Accuracy and precision of mass balances must be sufficient to 
ensure accuracy and precision of two percent or better for emission 
measurements for products at the maximum level allowed by the standard. 
The readability of the display may not be coarser than half of the 
required accuracy and precision. Examples are shown in the following 
table for a digital readout:

----------------------------------------------------------------------------------------------------------------
                                          Example 1       Example 2       Example 3
----------------------------------------------------------------------------------------------------------------
Applicable standard..................  1.5 g/m\2\/day.........  1.5 g/m\2\/day.........  15 g/m\2\/day.
Internal surface area................   1.15 m\2\.............   0.47 m\2\.............   0.015 m\2\.
Length of test.......................   14.0 days.............   14.0 days.............   14.1 days.
Maximum allowable mass change........   24.15 g...............   9.87 g................   3.173 g.
Required accuracy and precision......  0.483 g or   0.197 g or   0.0635 g or
                                        better.                  better.                  better.
Required readability.................   0.1 g or better.......   0.1 g or better.......   0.01 g or better.
----------------------------------------------------------------------------------------------------------------


0
36. Section 1060.510 is revised to read as follows:


Sec.  1060.510  How do I test EPA Low-Emission Fuel Lines for 
permeation emissions?

    For EPA Low-Emission Fuel Lines, measure emissions according to SAE 
J2260, which is incorporated by reference in Sec.  1060.810.

0
37. Section 1060.515 is amended by revising paragraphs (a)(1) and (c) 
to read as follows:


Sec.  1060.515  How do I test EPA Nonroad Fuel Lines and EPA Cold-
Weather Fuel Lines for permeation emissions?

* * * * *
    (a) * * *
    (1) For EPA Nonroad Fuel Lines, use Fuel CE10, which is Fuel C as 
specified in ASTM D471 (incorporated by reference in Sec.  1060.810) 
blended with ethanol such that the blended fuel has 10.0  
1.0 percent ethanol by volume.
* * * * *
    (c) Measure fuel line permeation emissions using the equipment and 
procedures for weight-loss testing specified in SAE J30 or SAE J1527 
(incorporated by reference in Sec.  1060.810). Start the measurement 
procedure within 8 hours after draining and refilling the fuel line. 
Perform the emission test over a sampling period of 14 days.
* * * * *

PART 1065--ENGINE-TESTING PROCEDURES

0
38. The authority citation for part 1065 continues to read as follows:

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

Subpart G--[Amended]

0
39. Section 1065.672 is amended by revising paragraph (d)(2) to read as 
follows:


Sec.  1065.672  Drift correction.

* * * * *
    (d) * * *
    (2) Correct for drift using the following equation:
    [GRAPHIC] [TIFF OMITTED] TR24FE09.005
    
Where:

xidriftcorrected = concentration corrected for drift.
xrefzero = reference concentration of the zero gas, which 
is usually zero unless known to be otherwise.
xrefspan = reference concentration of the span gas.
xprespan = pre-test interval gas analyzer response to the 
span gas concentration.
xpostspan = post-test interval gas analyzer response to 
the span gas concentration.
xi or x = concentration recorded during test, before 
drift correction.
xprezero = pre-test interval gas analyzer response to the 
zero gas concentration.
xpostzero = post-test interval gas analyzer response to 
the zero gas concentration.

Example:

xrefzero = 0 [mu]mol/mol
xrefspan = 1800.0 [mu]mol/mol
xprespan = 1800.5 [mu]mol/mol
xpostspan = 1695.8 [mu]mol/mol
xi or x = 435.5 [mu]mol/mol
xprezero = 0.6 [mu]mol/mol

[[Page 8428]]

xpostzero = -5.2 [mu]mol/mol
[GRAPHIC] [TIFF OMITTED] TR24FE09.006

xidriftcorrected = 450.2 [mu]mol/mol
* * * * *

Subpart K--[Amended]

0
40. Section 1065.1001 is amended by revising the definition for 
``Constant-speed operation'' to read as follows:


Sec.  1065.1001  Definitions.

* * * * *
    Constant-speed operation means engine operation with a governor 
that automatically controls the operator demand to maintain engine 
speed, even under changing load. Governors do not always maintain speed 
exactly constant. Typically speed can decrease (0.1 to 10) % below the 
speed at zero load, such that the minimum speed occurs near the 
engine's point of maximum power. (Note: An engine with an adjustable 
governor setting may be considered to operate at constant speed, 
subject to our approval. For such engines, the governor setting is 
considered an adjustable parameter.)
* * * * *

PART 1068--GENERAL COMPLIANCE PROVISIONS FOR NONROAD PROGRAMS

0
41. The authority citation for part 1068 continues to read as follows:

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

Subpart C--[Amended]

0
42. Section 1068.201 is amended by revising paragraph (h) to read as 
follows:


Sec.  1068.201  Does EPA exempt or exclude any engines/equipment from 
the prohibited acts?

* * * * *
    (h) You may ask us to modify the administrative requirements for 
the exemptions described in this subpart or in subpart D of this part. 
We may approve your request if we determine that such approval is 
consistent with the intent of this part. For example, waivable 
administrative requirements might include some reporting requirements, 
but would not include any eligibility requirements or use restrictions.
* * * * *

0
43. Section 1068.225 is amended by revising paragraphs (a) and (b) and 
removing and reserving paragraph (c) to read as follows:


Sec.  1068.225  What are the provisions for exempting engines/equipment 
for national security?

    (a) An engine/equipment is exempt without a request if it will be 
used or owned by an agency of the federal government responsible for 
national defense, where the equipment in which it is installed has 
armor, permanently attached weaponry, or other substantial features 
typical of military combat.
    (b) Manufacturers may request a national security exemption for 
engines/equipment not meeting the conditions of paragraph (b) of this 
section as long as the request is endorsed by an agency of the federal 
government responsible for national defense. In your request, explain 
why you need the exemption.
    (c) [Reserved].
* * * * *

Subpart D--[Amended]

0
44. Section 1068.325 is amended as follows:
0
a. By revising paragraph (g).
0
b. By redesignating paragraph (i) as paragraph (j).
0
c. By adding and reserving paragraph (i).


Sec.  1068.325  What are the temporary exemptions for imported engines/
equipment?

* * * * *
    (g) You may import an engine if another company already has a 
certificate of conformity and will be modifying the engine to be in its 
final, certified configuration under the provisions of Sec.  1068.262. 
You may also import a partially complete engine by shipping it from one 
of your facilities to another under the provisions of Sec.  
1068.260(c). If you are importing a used engine that becomes new as a 
result of importation, you must meet all the requirements that apply to 
original engine manufacturers under Sec.  1068.262.
* * * * *
    (i) [Reserved]
* * * * *

 [FR Doc. E9-2405 Filed 2-23-09; 8:45 am]
BILLING CODE 6560-50-P