Title 40—Protection of Environment--Volume 1
PART 86—CONTROL OF EMISSIONS FROM NEW AND IN-USE HIGHWAY VEHICLES AND ENGINES
§ 86.1   Incorporation by reference.
Certain material is incorporated by reference into this part with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that specified in this section, EPA must publish a document in the Federal Register and the material must be available to the public. All approved incorporation by reference (IBR) material is available for inspection at EPA and at the National Archives and Records Administration (NARA). Contact EPA at: U.S. EPA, Air and Radiation Docket Center, WJC West Building, Room 3334, 1301 Constitution Ave. NW, Washington, DC 20004; www.epa.gov/dockets ; (202) 202-1744. For information on inspecting this material at NARA, visit www.archives.gov/federal-register/cfr/ibr-locations.html or email fr.inspection@nara.gov . The material may be obtained from the following sources:
(a) ASTM International (ASTM). ASTM International, 100 Barr Harbor Drive, P.O. Box C700, West Conshohocken, PA, 19428-2959; (610) 832-9585; www.astm.org.
(1) ASTM C1549-09, Standard Test Method for Determination of Solar Reflectance Near Ambient Temperature Using a Portable Solar Reflectometer, approved August 1, 2009 (“ASTM C1549”); IBR approved for § 86.1869-12(b).
(2) ASTM D86-12, Standard Test Method for Distillation of Petroleum Products at Atmospheric Pressure, approved December 1, 2012 (“ASTM D86”); IBR approved for §§ 86.113-04(a); 86.113-94(b); 86.213(a); 86.513(a).
(3) ASTM D93-13, Standard Test Methods for Flash Point by Pensky-Martens Closed Cup Tester, approved July 15, 2013 (“ASTM D93”); IBR approved for § 86.113-94(b).
(4) ASTM D445-12, Standard Test Method for Kinematic Viscosity of Transparent and Opaque Liquids (and Calculation of Dynamic Viscosity), approved April 15, 2012 (“ASTM D445”); IBR approved for § 86.113-94(b).
(5) ASTM D613-13, Standard Test Method for Cetane Number of Diesel Fuel Oil, approved December 1, 2013 (“ASTM D613”); IBR approved for § 86.113-94(b).
(6) ASTM D975-13a, Standard Specification for Diesel Fuel Oils, approved December 1, 2013 (“ASTM D975”); IBR approved for § 86.1910(c).
(7) ASTM D976-06 (Reapproved 2011), Standard Test Method for Calculated Cetane Index of Distillate Fuels, approved October 1, 2011 (“ASTM D976”); IBR approved for § 86.113-94(b).
(8) ASTM D1319-13, Standard Test Method for Hydrocarbon Types in Liquid Petroleum Products by Fluorescent Indicator Adsorption, approved May 1, 2013 (“ASTM D1319”); IBR approved for §§ 86.113-04(a); 86.213(a); 86.513(a).
(9) ASTM D1945-03 (reapproved 2010), Standard Test Method for Analysis of Natural Gas by Gas Chromatography, approved January 1, 2010 (“ASTM D1945”); IBR approved for §§ 86.113-94(e); 86.513(d).
(10) ASTM D2163-07, Standard Test Method for Determination of Hydrocarbons in Liquefied Petroleum (LP) Gases and Propane/Propene Mixtures by Gas Chromatography, approved December 1, 2007 (“ASTM D2163”); IBR approved for §§ 86.113-94(f).
(11) ASTM D2622-10, Standard Test Method for Sulfur in Petroleum Products by Wavelength Dispersive X-ray Fluorescence Spectrometry, approved February 15, 2010 (“ASTM D2622”); IBR approved for §§ 86.113-04(a); 86.113-94(b); 86.213(a); 86.513(a).
(12) ASTM D2699-13b, Standard Test Method for Research Octane Number of Spark-Ignition Engine Fuel, approved October 1, 2013 (“ASTM D2699”); IBR approved for §§ 86.113-04(a); 86.213(a).
(13) ASTM D2700-13b, Standard Test Method for Motor Octane Number of Spark-Ignition Engine Fuel, approved October 1, 2013 (“ASTM D2700”); IBR approved for §§ 86.113-04(a); 86.213(a).
(14) ASTM D3231-13, Standard Test Method for Phosphorus in Gasoline, approved June 15, 2013 (“ASTM D3231”); IBR approved for §§ 86.113-04(a); 86.213(a); 86.513(a).
(15) ASTM D3237-12, Standard Test Method for Lead in Gasoline by Atomic Absorption Spectroscopy, approved June 1, 2012 (“ASTM D3237”); IBR approved for §§ 86.113-04(a); 86.213(a); 86.513(a).
(16) ASTM D4052-11, Standard Test Method for Density, Relative Density, and API Gravity of Liquids by Digital Density Meter, approved October 15, 2011 (“ASTM D4052”); IBR approved for § 86.113-94(b).
(17) ASTM D5186-03 (Reapproved 2009), Standard Test Method for Determination of the Aromatic Content and Polynuclear Aromatic Content of Diesel Fuels and Aviation Turbine Fuels by Supercritical Fluid Chromatography, approved April 15, 2009 (“ASTM D5186”); IBR approved for § 86.113-94(b).
(18) ASTM D5191-13, Standard Test Method for Vapor Pressure of Petroleum Products (Mini Method), approved December 1, 2013 (“ASTM D5191”); IBR approved for §§ 86.113-04(a); 86.213(a); 86.513(a).
(19) ASTM D5769-20, Standard Test Method for Determination of Benzene, Toluene, and Total Aromatics in Finished Gasolines by Gas Chromatography/Mass Spectrometry, approved June 1, 2020 (“ASTM5769”); IBR approved for §§ 86.113-04(a); 86.213(a); 86.513(a).
(20) ASTM D6550-20, Standard Test Method for Determination of Olefin Content of Gasolines by Supercritical-Fluid Chromatography, approved July 1, 2020 (“ASTM D6550”); IBR approved for §§ 86.113-04(a); 86.213(a); 86.513(a).
(21) ASTM E29-93a, Standard Practice for Using Significant Digits in Test Data to Determine Conformance with Specifications, approved March 15, 1993 (“ASTM E29”); IBR approved for §§ 86.004-15(c); 86.007-11(a); 86.007- 15(m); 86.1803-01.
(22) ASTM E903-96, Standard Test Method for Solar Absorptance, Reflectance, and Transmittance of Materials Using Integrating Spheres, approved April 10, 1996 (“ASTM E903”); IBR approved for § 86.1869-12(b).
(23) ASTM E1918-06, Standard Test Method for Measuring Solar Reflectance of Horizontal and Low-Sloped Surfaces in the Field, approved August 15, 2006 (“ASTM E1918”); IBR approved for § 86.1869-12(b).
(b) American National Standards Institute (ANSI). American National Standards Institute, 25 W 43rd Street, 4th Floor, New York, NY 10036; (212) 642-4900; www.ansi.org.
(1) ANSI NGV1-2006, Standard for Compressed Natural Gas Vehicle (NGV) Fueling Connection Devices, 2nd edition, reaffirmed and consolidated March 2, 2006; IBR approved for § 86.1813-17(f).
(2) CSA IR-1-15, Compressed Natural Gas Vehicle (NGV) High Flow Fueling Connection Devices—Supplement to NGV 1-2006, ANSI approved August 26, 2015; IBR approved for § 86.1813-17(f).
(c) California Air Resources Board (California ARB). California Air Resources Board, 1001 I Street, Sacramento, CA 95812; (916) 322-2884; www.arb.ca.gov.
(1) California Requirements Applicable to the LEV III Program, including the following documents:
(i) LEV III exhaust emission standards are in Title 13 Motor Vehicles, Division 3 Air Resources Board, Chapter 1 Motor Vehicle Pollution Control Devices, Article 2 Approval of Motor Vehicle Pollution Control Devices (New Vehicles), § 1961.2 Exhaust Emission Standards and Test Procedures—2015 and Subsequent Model Passenger Cars, Light-Duty Trucks, and Medium-Duty Vehicles, effective as of December 31, 2012; IBR approved for § 86.1803-01.
(ii) LEV III evaporative emission standards for model year 2015 and later vehicles are in Title 13 Motor Vehicles, Division 3 Air Resources Board, Chapter 1 Motor Vehicle Pollution Control Devices, Article 2 Approval of Motor Vehicle Pollution Control Devices (New Vehicles) § 1976 Standards and Test Procedures for Motor Vehicle Fuel Evaporative Emissions, effective as of December 31, 2012; IBR approved for § 86.1803-01.
(2) 13 CCR 1962.5, Title 13, Motor Vehicles, Division 3, Air Resources Board, Chapter 1, Motor Vehicle Pollution Control Devices, Article 2, Approval of Motor Vehicle Pollution Control Devices (New Vehicles), § 1962.5 Data Standardization Requirements for 2026 and Subsequent Model Year Light-Duty Zero Emission Vehicles and Plug-in Hybrid Electric Vehicles; Operative November 30, 2022; IBR approved for § 86.1815-27(h).
(3) 13 CCR 1962.7, Title 13, Motor Vehicles, Division 3, Air Resources Board, Chapter 1, Motor Vehicle Pollution Control Devices, Article 2, Approval of Motor Vehicle Pollution Control Devices (New Vehicles), § 1962.7 In-Use Compliance, Corrective Action and Recall Protocols for 2026 and Subsequent Model Year Zero-Emission and Plug-in Hybrid Electric Passenger Cars and Light-Duty Trucks; Operative November 30, 2022; IBR approved for § 86.1815-27(h).
(4) 13 CCR 1968.2 (known as Onboard Diagnostics II (OBD-II)), Title 13, Motor Vehicles, Division 3, Air Resources Board, Chapter 1, Motor Vehicle Pollution Control Devices, Article 2, Approval of Motor Vehicle Pollution Control Devices (New Vehicles), § 1968.2 Malfunction and Diagnostic System Requirements—2004 and Subsequent Model-Year Passenger Cars, Light-Duty Trucks, and Medium-Duty Vehicles and Engines, effective as of July 31, 2013; IBR approved for § 86.1806-17(a).
(5) 13 CCR 1968.2 (known as Onboard Diagnostics II (OBD-II)), Title 13, Motor Vehicles, Division 3, Air Resources Board, Chapter 1, Motor Vehicle Pollution Control Devices, Article 2, Approval of Motor Vehicle Pollution Control Devices (New Vehicles), § 1968.2 Malfunction and Diagnostic System Requirements—2004 and Subsequent Model-Year Passenger Cars, Light-Duty Trucks, and Medium-Duty Vehicles and Engines; Operative November 30, 2022; IBR approved for § 86.1806-27(a).
(d) International Organization for Standardization (ISO). International Organization for Standardization, Case Postale 56, CH-1211 Geneva 20, Switzerland; 41-22-749-01-11; www.iso.org .
(1) ISO 13837:2008(E), Road Vehicles—Safety glazing materials—Method for the determination of solar transmittance, First edition, April 15, 2008; IBR approved for § 86.1869-12(b).
(2) ISO 15765-4:2005(E), Road Vehicles—Diagnostics on Controller Area Networks (CAN)—Part 4: Requirements for emissions-related systems, January 15, 2005; IBR approved for § 86.010-18(k).
(e) National Institute of Standards and Technology ( NIST). National Institute of Standards and Technology, 100 Bureau Drive, Gaithersburg, MD 20899; reflib@nist.gov; www.nist.gov.
(1) NIST Special Publication 811, 2008 Edition, Guide for the Use of the International System of Units (SI), March 2008; IBR approved for § 86.1901(d).
(2) [Reserved]
(f) SAE International (SAE). SAE International, 400 Commonwealth Dr., Warrendale, PA 15096-0001; (877) 606-7323 (U.S. and Canada) or (724) 776-4970 (outside the U.S. and Canada); www.sae.org.
(1) SAE J1151, Methane Measurement Using Gas Chromatography, stabilized September 2011; IBR approved for § 86.111-94(b).
(2) SAE J1349, Engine Power Test Code—Spark Ignition and Compression Ignition—As Installed Net Power Rating, revised September 2011; IBR approved for § 86.1803-01.
(3) SAE J1711 FEB2023, Recommended Practice for Measuring the Exhaust Emissions and Fuel Economy of Hybrid-Electric Vehicles, Including Plug-In Hybrid Vehicles; Revised February 2023; IBR approved for § 86.1866-12(b).
(4) SAE J1877, Recommended Practice for Bar-Coded Vehicle Identification Number Label, July 1994; IBR approved for § 86.1807-01(f).
(5) SAE J1930, Electrical/Electronic Systems Diagnostic Terms, Definitions, Abbreviations, and Acronyms, Revised May 1998; IBR approved for §§ 86.1808-01(f); 86.1808-07(f).
(6) SAE J1930, Electrical/Electronic Systems Diagnostic Terms, Definitions, Abbreviations, and Acronyms—Equivalent to ISO/TR 15031-2, April 30, 2002, Revised April 2002; IBR approved for § 86.010-18(k).
(7) SAE J1939, Recommended Practice for a Serial Control and Communications Vehicle Network, Revised October 2007; IBR approved for § 86.010-18(k).
(8) SAE J1939-13, Off-Board Diagnostic Connector, Revised March 2004; IBR approved for § 86.010-18(k).
(9) SAE J1939-71, Vehicle Application Layer (Through February 2007), Revised January 2008; IBR approved for § 86.010-38(j).
(10) SAE J1939-73, Application Layer—Diagnostics, Revised September 2006; IBR approved for §§ 86.010-18(k); 86.010-38(j).
(11) SAE J1939-81, Network Management, Revised May 2003; IBR approved for § 86.010-38(j).
(12) SAE J1962, Diagnostic Connector Equivalent to ISO/DIS 15031-3, December 14, 2001, Revised April 2002; IBR approved for § 86.010-18(k).
(13) SAE J1978, OBD II Scan Tool—Equivalent to ISO/DIS 15031-4, December 14, 2001, Revised April 2002; IBR approved for § 86.010-18(k).
(14) SAE J1979, E/E Diagnostic Test Modes, Revised September 1997; IBR approved for §§ 86.1808-01(f) and 86.1808-07(f).
(15) SAE J1979, (R) E/E Diagnostic Test Modes, Revised May 2007; IBR approved for § 86.010-18(k).
(16) SAE J2012, (R) Diagnostic Trouble Code Definitions Equivalent to ISO/DIS 15031-6, April 30, 2002, Revised April 2002; IBR approved for § 86.010-18(k).
(17) SAE J2064 FEB2011, R134a Refrigerant Automotive Air-Conditioned Hose, Revised February 2011; IBR approved for § 86.1867-12(a).
(18) SAE J2284-3, High Speed CAN (HSC) for Vehicle Applications at 500 KBPS, May 2001; IBR approved for §§ 86.1808-01(f); 86.1808-07(f).
(19) SAE J2403, Medium/Heavy-Duty E/E Systems Diagnosis Nomenclature—Truck and Bus; Revised August 2007; IBR approved for §§ 86.010-18(k); 86.010-38(j).
(20) SAE J2534, Recommended Practice for Pass-Thru Vehicle Programming, February 2002; IBR approved for §§ 86.1808-01(f); 86.1808-07(f).
(21) SAE J2727 FEB2012, Mobile Air Conditioning System Refrigerant Emission Charts for R-134a and R-1234yf, Revised February 2012; IBR approved for § 86.1867-12(a).
(22) SAE J2727 SEP2023, Mobile Air Conditioning System Refrigerant Emissions Estimate for Mobile Air Conditioning Refrigerants, Revised September 2023; IBR approved for §§ 86.1819-14(h); 86.1867-12(a); 86.1867-31(a).
(23) SAE J2765 OCT2008, Procedure for Measuring System COP [Coefficient of Performance] of a Mobile Air Conditioning System on a Test Bench, Issued October 2008; IBR approved for § 86.1868-12(h).
(24) SAE J2807 FEB2020, Performance Requirements for Determining Tow-Vehicle Gross Combination Weight Rating and Trailer Weight Rating, Revised February 2020; IBR approved for § 86.1845-04(h).
(g) Truck and Maintenance Council (TMC). Truck and Maintenance Council, 950 North Glebe Road, Suite 210, Arlington, VA 22203-4181; (703) 838-1754; tmc@trucking.org; tmc.trucking.org .
(1) TMC RP 1210B, Revised June 2007, WINDOWSTMCOMMUNICATION API; IBR approved for § 86.010-38(j).
(2) [Reserved]
(h) UN Economic Commission for Europe (UNECE). UN Economic Commission for Europe, Information Service, Palais des Nations, CH-1211 Geneva 10, Switzerland; unece_info@un.org; www.unece.org .
(1) ECE/TRANS/180/Add.22, Addendum 22: United Nations Global Technical Regulation, No. 22, United Nations Global Technical Regulation on In-vehicle Battery Durability for Electrified Vehicles; Adopted April 14, 2022, (“GTR No. 22”); IBR approved for § 86.1815-27.
(2) [Reserved]
§ 86.000-2   Definitions.
The definitions of § 86.098-2 continue to apply to 1998 and later model year vehicles. The definitions listed in this section apply beginning with the 2000 model year.
AC1 means a test procedure as described in § 86.162-00 which simulates testing with air conditioning operating in an environmental test cell by adding the air conditioning compressor load to the normal dynamometer forces.
AC2 means a test procedure as described in § 86.162-00 which simulates testing with air conditioning operating in an environmental test cell by adding a heat load to the passenger compartment.
Alternative fuels means any fuel other than gasoline and diesel fuels, such as methanol, ethanol, and gaseous fuels.
866 Cycle means the test cycle that consists of the last 866 seconds (seconds 505 to 1372) of the EPA Urban Dynamometer Driving Schedule, described in § 86.115-00 and listed in appendix I, paragraph (a), of this part.
Environmental test cell means a test cell capable of wind-speed, solar thermal load, ambient temperature, and humidity control or simulation which meets the requirements of § 86.161-00 for running emission tests with the air conditioning operating.
Federal Test Procedure, or FTP means the test procedure as described in § 86.130-00 (a) through (d) and (f) which is designed to measure urban driving tail pipe exhaust emissions and evaporative emissions over the Urban Dynamometer Driving Schedule as described in appendix I to this part.
505 Cycle means the test cycle that consists of the first 505 seconds (seconds 1 to 505) of the EPA Urban Dynamometer Driving Schedule, described in § 86.115-00 and listed in appendix I, paragraph (a), of this part.
SC03 means the test cycle, described in § 86.160-00 and listed in appendix I, paragraph (h), of this part, which is designed to represent driving immediately following startup.
Supplemental FTP, or SFTP means the additional test procedures designed to measure emissions during aggressive and microtransient driving, as described in § 86.159-00 over the US06 cycle, and also the test procedure designed to measure urban driving emissions while the vehicle's air conditioning system is operating, as described in § 86.160-00 over the SC03 cycle.
US06 means the test cycle, described in § 86.159-00 and listed in appendix I, paragraph (g), of this part, which is designed to evaluate emissions during aggressive and microtransient driving.
§ 86.000-3   Abbreviations.
The abbreviations in § 86.098-3 continue to apply to 1998 and later model year vehicles. The abbreviations in this section apply beginning with the 2000 model year:
§ 86.000-7   Maintenance of records; submittal of information; right of entry.
Section 86.000-7 includes text that specifies requirements that differ from § 86.091-7 or § 86.094-7. Where a paragraph in § 86.091-7 or § 86.094-7 is identical and applicable to § 86.000-7, this may be indicated by specifying the corresponding paragraph and the statement “[Reserved]. For guidance see § 86.091-7.” or “[Reserved]. For guidance see § 86.094-7.”
(a) introductory text through (a)(2) [Reserved]. For guidance see § 86.091-7.
(a)(3) [Reserved]. For guidance see § 86.094-7.
(b)-(c)(2) [Reserved]. For guidance see § 86.091-7.
(c)(3) [Reserved]. For guidance see § 86.094-7.
(c)(4)-(d)(1)(v) [Reserved]. For guidance see § 86.091-7.
(d)(1)(vi)-(d)(2)(iv) [Reserved]. For guidance see § 86.094-7.
(d)(3)-(g) [Reserved]. For guidance see § 86.091-7.
(h)(1) [Reserved]
(h)(2)-(h)(5) [Reserved]. For guidance see § 86.094-7.
(6) EPA may void ab initio a certificate for a vehicle certified to Tier 1 certification standards or to the respective evaporative and/or refueling test procedure and accompanying evaporative and/or refueling standards as set forth or otherwise referenced in § 86.098-10 for which the manufacturer fails to retain the records required in this section or to provide such information to the Administrator upon request.
§ 86.000-24   Test vehicles and engines.
(a) [Reserved.
(b) introductory text [Reserved]
(b)(1)(i) Vehicles are chosen to be operated and tested for emission data based upon engine family groupings. Within each engine family, one test vehicle is selected. If air conditioning is projected to be available on any vehicles within the engine family, the Administrator will limit selections to engine codes which have air conditioning available and will require that any vehicle selected under this section has air conditioning installed and operational. The Administrator selects as the test vehicle the vehicle with the heaviest equivalent test weight (including options) within the family which meets the air conditioning eligibility requirement discussed earlier in this section. If more than one vehicle meets this criterion, then within that vehicle grouping, the Administrator selects, in the order listed, the highest road-load power, largest displacement, the transmission with the highest numerical final gear ratio (including overdrive), the highest numerical axle ratio offered in that engine family, and the maximum fuel flow calibration.
(ii) The Administrator selects one additional test vehicle from within each engine family. The additional vehicle selected is the vehicle expected to exhibit the highest emissions of those vehicles remaining in the engine family. The selected vehicle will include an air conditioning engine code unless the Administrator chooses a worst vehicle configuration that is not available with air conditioning. If all vehicles within the engine family are similar, the Administrator may waive the requirements of this paragraph.
(b)(1)(iii)-(b)(1)(vi) [Reserved]
(c)-(f) [Reserved]
(g)(1)-(2) [Reserved]
(g)(3) Except for air conditioning, where it is expected that 33 percent or less of a carline, within an engine-system combination, will be equipped with an item (whether that item is standard equipment or an option) that can reasonably be expected to influence emissions, that item may not be installed on any emission data vehicle or durability data vehicle of that carline within that engine-system combination, unless that item is standard equipment on that vehicle or specifically required by the Administrator.
(4) Air conditioning must be installed and operational on any emission data vehicle of any vehicle configuration that is projected to be available with air conditioning regardless of the rate of installation of air conditioning within the carline. Section 86.096-24(g) (1) and (2) and paragraph (g)(3) of this section will be used to determine whether the weight of the air conditioner will be included in equivalent test weight calculations for emission testing.
§ 86.001-2   Definitions.
The definitions of § 86.000-2 continue to apply to 2000 and later model year vehicles. The definitions listed in this section apply beginning with the 2001 model year.
Useful life means:
(1) For light-duty vehicles, and for light light-duty trucks not subject to the Tier 0 standards of § 86.094-9(a), intermediate useful life and/or full useful life. Intermediate useful life is a period of use of 5 years or 50,000 miles, whichever occurs first. Full useful life is a period of use of 10 years or 100,000 miles, whichever occurs first, except as otherwise noted in § 86.094-9. The useful life of evaporative and/or refueling emission control systems on the portion of these vehicles subject to the evaporative emission test requirements of § 86.130-96, and/or the refueling emission test requirements of § 86.151-2001, is defined as a period of use of 10 years or 100,000 miles, whichever occurs first.
(2) For light light-duty trucks subject to the Tier 0 standards of § 86.094-9(a), and for heavy light-duty truck engine families, intermediate and/or full useful life. Intermediate useful life is a period of use of 5 years or 50,000 miles, whichever occurs first. Full useful life is a period of use of 11 years or 120,000 miles, whichever occurs first. The useful life of evaporative emission and/or refueling control systems on the portion of these vehicles subject to the evaporative emission test requirements of § 86.130-96, and/or the refueling emission test requirements of § 86.151-2001, is also defined as a period of 11 years or 120,000 miles, whichever occurs first.
(3) For an Otto-cycle heavy-duty engine family:
(i) For hydrocarbon and carbon monoxide standards, a period of use of 8 years or 110,000 miles, whichever first occurs.
(ii) For the oxides of nitrogen standard, a period of use of 10 years or 110,000 miles, whichever first occurs.
(iii) For the portion of evaporative emission control systems subject to the evaporative emission test requirements of § 86.1230-96, a period of use of 10 years or 110,000 miles, whichever occurs first.
(4) For a diesel heavy-duty engine family:
(i) For light heavy-duty diesel engines, for hydrocarbon, carbon monoxide, and particulate standards, a period of use of 8 years or 110,000 miles, whichever first occurs.
(ii) For light heavy-duty diesel engines, for the oxides of nitrogen standard, a period of use of 10 years or 110,000 miles, whichever first occurs.
(iii) For medium heavy-duty diesel engines, for hydrocarbon, carbon monoxide, and particulate standards, a period of use of 8 years or 185,000 miles, whichever first occurs.
(iv) For medium heavy-duty diesel engines, for the oxides of nitrogen standard, a period of use of 10 years or 185,000 miles, whichever first occurs.
(v) For heavy heavy-duty diesel engines, for hydrocarbon, carbon monoxide, and particulate standards, a period of use of 8 years or 290,000 miles, whichever first occurs, except as provided in paragraph (4)(vii) of this definition.
(vi) For heavy heavy-duty diesel engines, for the oxides of nitrogen standard, a period of use of 10 years or 290,000 miles, whichever first occurs.
(vii) For heavy heavy-duty diesel engines used in urban buses, for the particulate standard, a period of use of 10 years or 290,000 miles, whichever first occurs.
§ 86.001-21   Application for certification.
Section 86.001-21 includes text that specifies requirements that differ from § 86.094-21 or § 86.096-21. Where a paragraph in § 86.094-21 or § 86.096-21 is identical and applicable to § 86.001-21, this may be indicated by specifying the corresponding paragraph and the statement “[Reserved]. For guidance see § 86.094-21.” or “[Reserved]. For guidance see § 86.096-21.”
(a)-(b)(1)(i)(B) [Reserved]. For guidance see § 86.094-21.
(b)(1)(i)(C) The manufacturer must submit a Statement of Compliance in the application for certification which attests to the fact that they have assured themselves that the engine family is designed to comply with the intermediate temperature cold testing criteria of subpart C of this part, and does not unnecessarily reduce emission control effectiveness of vehicles operating at high altitude or other conditions not experienced within the US06 (aggressive driving) and SC03 (air conditioning) test cycles.
(b)(1)(i)(C)( 1 )-(b)(1)(ii)(C) [Reserved]. For guidance see § 86.094-21.
(b)(2) Projected U.S. sales data sufficient to enable the Administrator to select a test fleet representative of the vehicles (or engines) for which certification is requested, and data sufficient to determine projected compliance with the standards implementation schedules of § 86.000-8 and 86.000-9. Volume projected to be produced for U.S. sale may be used in lieu of projected U.S. sales.
(b)(3) A description of the test equipment and fuel proposed to be used.
(b)(4)(i) For light-duty vehicles and light-duty trucks, a description of the test procedures to be used to establish the evaporative emission and/or refueling emission deterioration factors, as appropriate, required to be determined and supplied in § 86.001-23(b)(2).
(b)(4)(ii)-(b)(5)(iv) [Reserved]. For guidance see § 86.094-21.
(b)(5)(v) For light-duty vehicles and applicable light-duty trucks with non-integrated refueling emission control systems, the number of continuous UDDS cycles, determined from the fuel economy on the UDDS applicable to the test vehicle of that evaporative/refueling emission family-emission control system combination, required to use a volume of fuel equal to 85% of fuel tank volume.
(b)(6)-(b)(8) [Reserved]. For guidance see § 86.094-21.
(b)(9) For each light-duty vehicle, light-duty truck, evaporative/refueling emission family or heavy-duty vehicle evaporative emission family, a description of any unique procedures required to perform evaporative and/or refueling emission tests, as applicable, (including canister working capacity, canister bed volume, and fuel temperature profile for the running loss test) for all vehicles in that evaporative and/or evaporative/refueling emission family, and a description of the method used to develop those unique procedures.
(10) For each light-duty vehicle or applicable light-duty truck evaporative/refueling emission family, or each heavy-duty vehicle evaporative emission family:
(i) Canister working capacity, according to the procedures specified in § 86.132-96(h)(1)(iv);
(ii) Canister bed volume; and
(iii) Fuel temperature profile for the running loss test, according to the procedures specified in § 86.129-94(d).
(c)-(j) [Reserved]. For guidance see § 86.094-21.
(k) and (l) [Reserved]. For guidance see § 86.096-21.
§ 86.001-23   Required data.
Section 86.001-23 includes text that specifies requirements that differ from § 86.098-23. Where a paragraph in § 86.098-23 is identical and applicable to § 86.001-23, this may be indicated by specifying the corresponding paragraph and the statement “[Reserved]. For guidance see § 86.098-23.”
(a)-(b)(1) [Reserved]. For guidance see § 86.098-23.
(b)(2) For light-duty vehicles and light-duty trucks, the manufacturer shall submit evaporative emission and/or refueling emission deterioration factors for each evaporative/refueling emission family-emission control system combination and all test data that are derived from testing described under § 86.001-21(b)(4)(i) designed and conducted in accordance with good engineering practice to assure that the vehicles covered by a certificate issued under § 86.001-30 will meet the evaporative and/or refueling emission standards in § 86.099-8 or § 86.001-9, as appropriate, for the useful life of the vehicle.
(b)(3) and (b)(4) [Reserved]. For guidance see § 86.098-23.
(c) Emission data (1) [Reserved]
(c)(2)-(e)(1) [Reserved]. For guidance see § 86.098-23.
(e)(2) For evaporative and refueling emissions durability, or light-duty truck or HDE exhaust emissions durability, a statement of compliance with paragraph (b)(2) of this section or § 86.098-23 (b)(1)(ii), (b)(3), or (b)(4) as applicable.
(3) For certification of vehicles with non-integrated refueling systems, a statement that the drivedown used to purge the refueling canister was the same as described in the manufacturer's application for certification. Furthermore, a description of the procedures used to determine the number of equivalent UDDS miles required to purge the refueling canisters, as determined by the provisions of § 86.001-21(b)(5)(v) and subpart B of this part. Furthermore, a written statement to the Administrator that all data, analyses, test procedures, evaluations and other documents, on which the above statement is based, are available to the Administrator upon request.
(f)-(g) [Reserved]
(h)-(m) [Reserved]. For guidance see § 86.098-23.
§ 86.001-24   Test vehicles and engines.
Section 86.001-24 includes text that specifies requirements that differ from § 86.096-24, § 86.098-24 or § 86.000-24. Where a paragraph in § 86.096-24, § 86.098-24 or § 86.000-9 is identical and applicable to § 86.001-24, this may be indicated by specifying the corresponding paragraph and the statement “[Reserved]. For guidance see § 86.096-24.” or “[Reserved]. For guidance see § 86.098-24.” or “[Reserved]. For guidance see § 86.000-24.”
(a)-(a)(4) [Reserved]. For guidance see § 86.096-24.
(a)(5)-(a)(7) [Reserved]. For guidance see § 86.098-24.
(a)(8)-(b)(1) introductory text [Reserved]. For guidance see § 86.096-24.
(b)(1)(i)-(b)(1)(ii) [Reserved]. For guidance see § 86.000-24.
(b)(1)(iii)-(b)(1)(vi) [Reserved]. For guidance see § 86.096-24.
(b)(1)(vii)(A)-(b)(1)(viii)(A) [Reserved]. For guidance see § 86.098-24.
(b)(1)(viii)(B)-(e)(2) [Reserved]. For guidance see § 86.096-24.
(f) Carryover and carryacross of durability and emission data. In lieu of testing an emission-data or durability vehicle (or engine) selected under § 86.096-24(b)(1) introductory text, (b)(1)(iii)-(b)(1)(vi) and § 86.000-24(b)(1)(i)-(b)(1)(ii) and § 86.098-24(b)(1)(vii)(A)-(b)(1)(viii)(A) or § 86.096-24(c), and submitting data therefor, a manufacturer may, with the prior written approval of the Administrator, submit exhaust emission data, evaporative emission data and/or refueling emission data, as applicable, on a similar vehicle (or engine) for which certification has been obtained or for which all applicable data required under § 86.001-23 has previously been submitted.
(g)(1)-(g)(2) [Reserved]. For guidance see § 86.096-24.
(g)(3)-(g)(4) [Reserved]. For guidance see § 86-000-24.
(h) [Reserved]. For guidance see § 86.096-24.
§ 86.004-2   Definitions.
The definitions of § 86.001-2 continue to apply to 2001 and later model year vehicles. The definitions listed in this section apply beginning with the 2004 model year.
Ambulance has the meaning given in § 86.1803.
Defeat device means an auxiliary emission control device (AECD) that reduces the effectiveness of the emission control system under conditions which may reasonably be expected to be encountered in normal vehicle operation and use, unless:
(1) Such conditions are substantially included in the applicable Federal emission test procedure for heavy-duty vehicles and heavy-duty engines described in subpart N of this part;
(2) The need for the AECD is justified in terms of protecting the vehicle against damage or accident;
(3) The AECD does not go beyond the requirements of engine starting; or
(4) The AECD applies only for engines that will be installed in emergency vehicles, and the need is justified in terms of preventing the engine from losing speed, torque, or power due abnormal conditions of the emission control system, or in terms of preventing such abnormal conditions from occurring, during operation related to emergency response. Examples of such abnormal conditions may include excessive exhaust backpressure from an overloaded particulate trap, and running out of diesel exhaust fluid for engines that rely on urea-based selective catalytic reduction.
Diesel exhaust fluid (DEF) means a liquid reducing agent (other than the engine fuel) used in conjunction with selective catalytic reduction to reduce NO X emissions. Diesel exhaust fluid is generally understood to be an aqueous solution of urea conforming to the specifications of ISO 22241.
Emergency vehicle has the meaning given in 40 CFR 1037.801.
Fire truck has the meaning given in § 86.1803.
U.S.-directed production means the engines and/or vehicles (as applicable) produced by a manufacturer for which the manufacturer has reasonable assurance that sale was or will be made to ultimate purchasers in the United States, excluding engines and/or vehicles that are certified to state emission standards different than the emission standards in this part.
Useful life means:
(1) For light-duty vehicles, and for light light-duty trucks not subject to the Tier 0 standards of § 86.094-9(a), intermediate useful life and/or full useful life. Intermediate useful life is a period of use of 5 years or 50,000 miles, whichever occurs first. Full useful life is a period of use of 10 years or 100,000 miles, whichever occurs first, except as otherwise noted in § 86.094-9. The useful life of evaporative and/or refueling emission control systems on the portion of these vehicles subject to the evaporative emission test requirements of § 86.130-96, and/or the refueling emission test requirements of § 86.151-98, is defined as a period of use of 10 years or 100,000 miles, whichever occurs first.
(2) For light light-duty trucks subject to the Tier 0 standards of § 86.094-9(a), and for heavy light-duty truck engine families, intermediate and/or full useful life. Intermediate useful life is a period of use of 5 years or 50,000 miles, whichever occurs first. Full useful life is a period of use of 11 years or 120,000 miles, whichever occurs first. The useful life of evaporative emission and/or refueling control systems on the portion of these vehicles subject to the evaporative emission test requirements of § 86.130-96, and/or the refueling emission test requirements of § 86.151-98, is also defined as a period of 11 years or 120,000 miles, whichever occurs first.
(3) For an Otto-cycle HDE family:
(i) For hydrocarbon and carbon monoxide standards, a period of use of 10 years or 110,000 miles, whichever first occurs.
(ii) For the oxides of nitrogen standard, a period of use of 10 years or 110,000 miles, whichever first occurs.
(iii) For the portion of evaporative emission control systems subject to the evaporative emission test requirements of § 86.1230-96, a period of use of 10 years or 110,000 miles, whichever first occurs.
(4) For a diesel HDE family:
(i) For light heavy-duty diesel engines, for carbon monoxide, particulate, and oxides of nitrogen plus non-methane hydrocarbons emissions standards, a period of use of 10 years or 110,000 miles, whichever first occurs.
(ii) For medium heavy-duty diesel engines, for carbon monoxide, particulate, and oxides of nitrogen plus non-methane hydrocarbons emission standards, a period of use of 10 years or 185,000 miles, whichever first occurs.
(iii) For heavy heavy-duty diesel engines, for carbon monoxide, particulate, and oxides of nitrogen plus non-methane hydrocarbon emissions standards, a period of use of 10 years or 435,000 miles, or 22,000 hours, whichever first occurs, except as provided in paragraphs (4)(iv) and (4)(v) of this definition.
(iv) The useful life limit of 22,000 hours in paragraph (4)(iii) of this definition is effective as a limit to the useful life only when an accurate hours meter is provided by the manufacturer with the engine and only when such hours meter can reasonably be expected to operate properly over the useful life of the engine.
(v) For an individual engine, if the useful life hours limit of 22,000 hours is reached before the engine reaches 10 years or 100,000 miles, the useful life shall become 10 years or 100,000 miles, whichever occurs first, as required under Clean Air Act section 202(d).
(5) As an option for both light-duty trucks under certain conditions and HDE families, an alternative useful life period may be assigned by the Administrator under the provisions of § 86.094-21(f).
Warranty period, for purposes of HDE emissions defect warranty and emissions performance warranty, shall be a period of 5 years/50,000 miles, whichever occurs first, for Otto-cycle HDEs and light heavy-duty diesel engines. For all other heavy-duty diesel engines the aforementioned period shall be 5 years/100,000 miles, whichever occurs first. However, in no case may this period be less than the basic mechanical warranty period that the manufacturer provides (with or without additional charge) to the purchaser of the engine. Extended warranties on select parts do not extend the emissions warranty requirements for the entire engine but only for those parts. In cases where responsibility for an extended warranty is shared between the owner and the manufacturer, the emissions warranty shall also be shared in the same manner as specified in the warranty agreement.
§ 86.004-11   Emission standards for 2004 and later model year diesel heavy-duty engines and vehicles.
This section applies to 2004 and later model year diesel HDEs.
(a)(1) Exhaust emissions from new 2004 and later model year diesel HDEs shall not exceed the following:
(i)(A) Oxides of Nitrogen plus Non-methane Hydrocarbons (NO X + NMHC) for engines fueled with either petroleum fuel, natural gas, or liquefied petroleum gas, 2.4 grams per brake horsepower-hour (0.89 gram per megajoule), as measured under transient operating conditions.
(B) Oxides of Nitrogen plus Non-methane Hydrocarbon Equivalent (NO X + NMHCE) for engines fueled with methanol, 2.4 grams per brake horsepower-hour (0.89 gram per megajoule), as measured under transient operating conditions.
(C) Optional standard. Manufacturers may elect to certify to an Oxides of Nitrogen plus Non-methane Hydrocarbons (or equivalent for methanol-fueled engines) standard of 2.5 grams per brake horsepower-hour (0.93 gram per megajoule), as measured under transient operating conditions, provided that Non-methane Hydrocarbons (or equivalent for methanol-fueled engines) do not exceed 0.5 grams per brake horsepower-hour (0.19 gram per megajoule) NMHC (or NMHCE for methanol-fueled engines), as measured under transient operating conditions.
(D) A manufacturer may elect to include any or all of its diesel HDE families in any or all of the emissions ABT programs for HDEs, within the restrictions described in § 86.004-15 or superseding applicable sections. If the manufacturer elects to include engine families in any of these programs, the NO X plus NMHC (or NO X plus NMHCE for methanol-fueled engines) FELs may not exceed 4.5 grams per brake horsepower-hour (1.7 grams per megajoule). This ceiling value applies whether credits for the family are derived from averaging, banking, or trading programs. Additionally, families certified to the optional standard contained in paragraph (a)(1)(i)(C) of this section shall not exceed 0.50 grams per brake horsepower-hour (0.19 gram per megajoule) NMHC (or NMHCE for methanol-fueled engines) through the use of credits.
(E) [Reserved]
(ii) Carbon monoxide. (A) 15.5 grams per brake horsepower-hour (5.77 grams per megajoule), as measured under transient operating conditions.
(B) 0.50 percent of exhaust gas flow at curb idle (methanol-, natural gas-, and liquefied petroleum gas-fueled diesel HDEs only).
(iii) Particulate. (A) For diesel engines to be used in urban buses, 0.05 gram per brake horsepower-hour (0.019 gram per megajoule) for certification testing and selective enforcement audit testing, and 0.07 gram per brake horsepower-hour (0.026 gram per megajoule) for in-use testing, as measured under transient operating conditions.
(B) For all other diesel engines, 0.10 gram per brake horsepower-hour (0.037 gram per megajoule), as measured under transient operating conditions.
(C) A manufacturer may elect to include any or all of its diesel HDE families in any or all of the particulate ABT programs for HDEs, within the restrictions described in § 86.004-15 or superseding applicable sections. If the manufacturer elects to include engine families in any of these programs, the particulate FEL may not exceed 0.25 gram per brake horsepower-hour (0.093 gram per megajoule).
(2) The standards set forth in paragraph (a)(1) of this section refer to the exhaust emitted over the operating schedule set forth in paragraph (f)(2) of appendix I to this part, and measured and calculated in accordance with the procedures set forth in subpart N or P of this part, except as noted in § 86.098-23(c)(2) or superceding sections.
(b)(1) The opacity of smoke emission from new 2004 and later model year diesel HDEs shall not exceed:
(i) 20 percent during the engine acceleration mode.
(ii) 15 percent during the engine lugging mode.
(iii) 50 percent during the peaks in either mode.
(2) The standards set forth in paragraph (b)(1) of this section refer to exhaust smoke emissions generated under the conditions set forth in subpart I of this part and measured and calculated in accordance with those procedures.
(3) This paragraph (b)(3) applies as specified in 40 CFR 1037.103. Evaporative emissions (total of non-oxygenated hydrocarbons plus methanol) from heavy-duty vehicles equipped with methanol-fueled diesel engines shall not exceed the following standards. The standards apply equally to certification and in-use vehicles. The spitback standard also applies to newly assembled vehicles.
(i) For vehicles with a Gross Vehicle Weight Rating of up to 14,000 lbs:
(A)( 1 ) For the full three-diurnal test sequence described in § 86.1230-96, diurnal plus hot soak measurements: 3.0 grams per test.
( 2 ) For the supplemental two-diurnal test sequence described in § 86.1230-96, diurnal plus hot soak measurements: 3.5 grams per test.
(B) Running loss test: 0.05 grams per mile.
(C) Fuel dispensing spitback test: 1.0 gram per test.
(ii) For vehicles with a Gross Vehicle Weight Rating of greater than 14,000 lbs:
(A)( 1 ) For the full three-diurnal test sequence described in § 86.1230-96, diurnal plus hot soak measurements: 4.0 grams per test.
( 2 ) For the supplemental two-diurnal test sequence described in § 86.1230-96, diurnal plus hot soak measurements: 4.5 grams per test.
(B) Running loss test: 0.05 grams per mile.
(iii)(A) For vehicles with a Gross Vehicle Weight Rating of up to 26,000 lbs, the standards set forth in paragraph (b)(3) of this section refer to a composite sample of evaporative emissions collected under the conditions and measured in accordance with the procedures set forth in subpart M of this part. For certification vehicles only, manufacturers may conduct testing to quantify a level of nonfuel background emissions for an individual test vehicle. Such a demonstration must include a description of the source(s) of emissions and an estimated decay rate. The demonstrated level of nonfuel background emissions may be subtracted from emission test results from certification vehicles if approved in advance by the Administrator.
(B) For vehicles with a Gross Vehicle Weight Rating of greater than 26,000 lbs., the standards set forth in paragraph (b)(3)(ii) of this section refer to the manufacturer's engineering design evaluation using good engineering practice (a statement of which is required in § 86.091-23(b)(4)(ii)).
(iv) All fuel vapor generated during in-use operations shall be routed exclusively to the evaporative control system (e.g., either canister or engine purge). The only exception to this requirement shall be for emergencies.
(4) This paragraph (b)(4) applies as specified in 40 CFR 1037.103. Evaporative emissions from 2004 and later model year heavy-duty vehicles equipped with natural gas-fueled or liquefied petroleum gas-fueled HDEs shall not exceed the following standards. The standards apply equally to certification and in-use vehicles.
(i) For vehicles with a Gross Vehicle Weight Rating of up to 14,000 pounds for the full three-diurnal test sequence described in § 86.1230-96, diurnal plus hot soak measurements: 3.0 grams per test.
(ii) For vehicles with a Gross Vehicle Weight Rating of greater than 14,000 pounds for the full three-diurnal test sequence described in § 86.1230-96, diurnal plus hot soak measurements: 4.0 grams per test.
(iii)(A) For vehicles with a Gross Vehicle Weight Rating of up to 26,000 pounds, the standards set forth in paragraph (b)(4) of this section refer to a composite sample of evaporative emissions collected under the conditions set forth in subpart M of this part and measured in accordance with those procedures.
(B) For vehicles with a Gross Vehicle Weight Rating greater than 26,000 pounds, the standards set forth in paragraphs (b)(3)(ii) and (b)(4)(ii) of this section refer to the manufacturer's engineering design evaluation using good engineering practice (a statement of which is required in § 86.091-23(b)(4)(ii)).
(iv) Compressed natural gas vehicles must meet the requirements for fueling connection devices as specified in § 86.1813-17(f)(1). Vehicles meeting these requirements are deemed to comply with evaporative emission standards.
(c) No crankcase emissions shall be discharged into the ambient atmosphere from any new 2004 or later model year methanol-, natural gas-, or liquefied petroleum gas-fueled diesel, or any naturally-aspirated diesel HDE. For petroleum-fueled engines only, this provision does not apply to engines using turbochargers, pumps, blowers, or superchargers for air induction.
(d) Every manufacturer of new motor vehicle engines subject to the standards prescribed in this section shall, prior to taking any of the actions specified in section 203(a)(1) of the Act, test or cause to be tested motor vehicle engines in accordance with applicable procedures in subpart I or N of this part to ascertain that such test engines meet the requirements of this section.
(e) The standards described in this section do not apply to diesel-fueled medium-duty passenger vehicles (MDPVs) that are subject to regulation under subpart S of this part, except as specified in subpart S of this part. The standards described in this section also do not apply to diesel engines used in such MDPVs, except as specified in the regulations in subpart S of this part. The term “medium-duty passenger vehicle” is defined in § 86.1803.
§ 86.004-15   NOXplus NMHC and particulate averaging, trading, and banking for heavy-duty engines.
(a) Overview. (1) Heavy-duty engines eligible for NO X plus NMHC and particulate averaging, trading and banking programs are described in the applicable emission standards sections in this subpart. For manufacturers not selecting Options 1 or 2 contained in § 86.005-10(f), the ABT program requirements contained in § 86.000-15 apply for 2004 model year Otto-cycle engines, rather than the provisions contained in this section. Participation in these programs is voluntary.
(2)(i) Engine families with FELs exceeding the applicable standard shall obtain emission credits in a mass amount sufficient to address the shortfall. Credits may be obtained from averaging, trading, or banking, within the averaging set restrictions described in this section.
(ii) Engine families with FELs below the applicable standard will have emission credits available to average, trade, bank or a combination thereof. Credits may not be used for averaging or trading to offset emissions that exceed an FEL. Credits may not be used to remedy an in-use nonconformity determined by a Selective Enforcement Audit or by recall testing. However, credits may be used to allow subsequent production of engines for the family in question if the manufacturer elects to recertify to a higher FEL.
(b) Participation in the NO X plus NMHC and/or particulate averaging, trading, and banking programs shall be done as follows:
(1) During certification, the manufacturer shall:
(i) Declare its intent to include specific engine families in the averaging, trading and/or banking programs. Separate declarations are required for each program and for each pollutant (i.e., NO X plus NMHC, and particulate).
(ii) Declare an FEL for each engine family participating in one or more of these two programs.
(A) The FEL must be to the same level of significant digits as the emission standard (one-tenth of a gram per brake horsepower-hour for NO X plus NMHC emissions and one-hundredth of a gram per brake horsepower-hour for particulate emissions).
(B) In no case may the FEL exceed the upper limit prescribed in the section concerning the applicable heavy-duty engine NO X plus NMHC and particulate emission standards.
(iii) Calculate the projected emission credits (positive or negative) based on quarterly production projections for each participating family and for each pollutant, using the applicable equation in paragraph (c) of this section and the applicable factors for the specific engine family.
(iv)(A) Determine and state the source of the needed credits according to quarterly projected production for engine families requiring credits for certification.
(B) State where the quarterly projected credits will be applied for engine families generating credits.
(C) Credits may be obtained from or applied to only engine families within the same averaging set as described in paragraph (d) or (e) of this section. Credits available for averaging, trading, or banking as defined in § 86.090-2, may be applied exclusively to a given engine family, or reserved as defined in § 86.091-2.
(2) Based on this information each manufacturer's certification application must demonstrate:
(i) That at the end of model year production, each engine family has a net emissions credit balance of zero or more using the methodology in paragraph (c) of this section with any credits obtained from averaging, trading or banking.
(ii) The source of the credits to be used to comply with the emission standard if the FEL exceeds the standard, or where credits will be applied if the FEL is less than the emission standard. In cases where credits are being obtained, each engine family involved must state specifically the source (manufacturer/engine family) of the credits being used. In cases where credits are being generated/supplied, each engine family involved must state specifically the designated use (manufacturer/engine family or reserved) of the credits involved. All such reports shall include all credits involved in averaging, trading or banking.
(3) During the model year manufacturers must:
(i) Monitor projected versus actual production to be certain that compliance with the emission standards is achieved at the end of the model year.
(ii) Provide the end-of-model year reports required under § 86.001-23.
(iii) For manufacturers participating in emission credit trading, maintain the quarterly records required under § 86.091-7(c)(8).
(4) Projected credits based on information supplied in the certification application may be used to obtain a certificate of conformity. However, any such credits may be revoked based on review of end-of-model year reports, follow-up audits, and any other compliance measures deemed appropriate by the Administrator.
(5) Compliance under averaging, banking, and trading will be determined at the end of the model year. Engine families without an adequate amount of NO X . NO X plus NMHC, and/or particulate emission credits will violate the conditions of the certificate of conformity. The certificates of conformity may be voided ab initio for engine families exceeding the emission standard.
(6) If EPA or the manufacturer determines that a reporting error occurred on an end-of-year report previously submitted to EPA under this section, the manufacturer's credits and credit calculations will be recalculated. Erroneous positive credits will be void. Erroneous negative balances may be adjusted by EPA for retroactive use.
(i) If EPA review of a manufacturer's end-of-year report indicates a credit shortfall, the manufacturer will be permitted to purchase the necessary credits to bring the credit balance for that engine family to zero, using the discount specified in paragraph (c)(1) of this section on the ratio of credits purchased for every credit needed to bring the balance to zero. If sufficient credits are not available to bring the credit balance for the family in question to zero, EPA may void the certificate for that engine family ab initio.
(ii) If within 180 days of receipt of the manufacturer's end-of-year report, EPA review determines a reporting error in the manufacturer's favor (i.e., resulting in a positive credit balance) or if the manufacturer discovers such an error within 180 days of EPA receipt of the end-of-year report, the credits will be restored for use by the manufacturer.
(c)(1) For each participating engine family, NO X plus NMHC, and particulate emission credits (positive or negative) are to be calculated according to one of the following equations and rounded, in accordance with ASTM E29-93a (incorporated by reference at § 86.1), to the nearest one-tenth of a Megagram (Mg). Consistent units are to be used throughout the equation.
(i) For determining credit need for all engine families and credit availability for engine families generating credits for averaging programs only:
(ii) For determining credit availability for engine families generating credits for trading or banking programs:
(iii) For purposes of the equation in paragraphs (c)(1)(i) and (ii) of this section:
(2)(i) The transient cycle conversion factor is the total (integrated) cycle brake horsepower-hour or Megajoules, divided by the equivalent mileage of the applicable transient cycle. For Otto-cycle heavy-duty engines, the equivalent mileage is 6.3 miles. For diesel heavy-duty engines, the equivalent mileage is 6.5 miles.
(ii) When more than one configuration is chosen by EPA to be tested in the certification of an engine family (as described in § 86.085-24), the conversion factor used is to be based upon a production weighted average value of the configurations in an engine family to calculate the conversion factor.
(d) Averaging sets for NO X plus NMHC emission credits. The averaging and trading of NO X plus NMHC emission credits will only be allowed between heavy-duty engine families in the same averaging set. The averaging sets for the averaging and trading of NO X plus NMHC emission credits for heavy-duty engines are defined as follows:
(1) For NO X + NMHC credits from Otto-cycle heavy-duty engines:
(i) Otto-cycle heavy-duty engines constitute an averaging set. Averaging and trading among all Otto-cycle heavy-duty engine families is allowed. There are no subclass restrictions.
(ii) Otto-cycle heavy-duty vehicles certified under the chassis-based provisions of subpart S of this part may not average or trade with heavy-duty Otto-cycle engines except as allowed in § 86.1817-05(o).
(2) For NO X plus NMHC credits from diesel-cycle heavy-duty engines:
(i) Each of the three primary intended service classes for heavy-duty diesel engines, as defined in § 86.004-2, constitute an averaging set. Averaging and trading among all diesel-cycle engine families within the same primary service class is allowed.
(ii) Urban buses are treated as members of the primary intended service class where they otherwise would fall.
(e) Averaging sets for particulate emission credits. The averaging and trading of particulate emission credits will only be allowed between diesel cycle heavy-duty engine families in the same averaging set. The averaging sets for the averaging and trading of particulate emission credits for diesel cycle heavy-duty engines are defined as follows:
(1) Engines intended for use in urban buses constitute a separate averaging set from all other heavy-duty engines. Averaging and trading between diesel cycle bus engine families is allowed.
(2) For heavy-duty engines, exclusive of urban bus engines, each of the three primary intended service classes for heavy-duty diesel cycle engines, as defined in § 86.004-2, constitute an averaging set. Averaging and trading between diesel-cycle engine families within the same primary service class is allowed.
(3) Otto cycle engines may not participate in particulate averaging, trading, or banking.
(f) Banking of NO X plus NMHC, and particulate emission credits —(1) Credit deposits. (i) NO X plus NMHC, and particulate emission credits may be banked from engine families produced in any model year.
(ii) Manufacturers may bank credits only after the end of the model year and after actual credits have been reported to EPA in the end-of-year report. During the model year and before submittal of the end-of-year report, credits originally designated in the certification process for banking will be considered reserved and may be redesignated for trading or averaging.
(2) Credit withdrawals. (i) NO X plus NMHC and particulate credits generated in 2004 and later model years do not expire. NO X plus NMHC credits generated by Otto-cycle engines in the 2003 model year for manufacturers selecting Option 1 contained in § 86.005-10(f)(1) also do not expire.
(ii) Manufacturers withdrawing banked NO X plus NMHC, and/or particulate credits shall indicate so during certification and in their credit reports, as described in § 86.091-23.
(3) Use of banked emission credits. The use of banked credits shall be within the averaging set and other restrictions described in paragraphs (d) and (e) of this section, and only for the following purposes:
(i) Banked credits may be used in averaging, or in trading, or in any combination thereof, during the certification period. Credits declared for banking from the previous model year but not reported to EPA may also be used. However, if EPA finds that the reported credits can not be proven, they will be revoked and unavailable for use.
(ii) Banked credits may not be used for NO X plus NMHC or particulate averaging and trading to offset emissions that exceed an FEL. Banked credits may not be used to remedy an in-use nonconformity determined by a Selective Enforcement Audit or by recall testing. However, banked credits may be used for subsequent production of the engine family if the manufacturer elects to recertify to a higher FEL.
(iii) NO X credits banked under paragraph § 86.098-15(j) or § 86.000-15(k) may be used in place of NO X plus NMHC credits in 2004 and later model years provided that they are used in the correct averaging set. NO X credits banked under paragraph § 86.000-15(k) may also be used in place of NO X plus NMHC credits in the 2003 model year for manufacturers selecting Option 1 contained in § 86.005-10(f)(1), provided that they are used in the correct averaging set.
(iv) Except for early credits banked under § 86.000-15(k), NO X credits banked in accordance with § 86.000-15 may not be used to meet the Otto-cycle engine standards contained in § 86.005-10.
(g)(1) This paragraph (g) assumes NO X plus NMHC, and particulate nonconformance penalties (NCPs) will be available for the 2004 and later model year HDEs.
(2) Engine families using NO X plus NMHC and/or particulate NCPs but not involved in averaging:
(i) May not generate NO X plus NMHC or particulate credits for banking and trading.
(ii) May not use NO X plus NMHC or particulate credits from banking and trading.
(3) If a manufacturer has any engine family to which application of NCPs and banking and trading credits is desired, that family must be separated into two distinct families. One family, whose FEL equals the standard, must use NCPs only while the other, whose FEL does not equal the standard, must use credits only.
(4) If a manufacturer has any engine family in a given averaging set which is using NO X plus NMHC and/or particulate NCPs, none of that manufacturer's engine families in that averaging set may generate credits for banking and trading.
(h) In the event of a negative credit balance in a trading situation, both the buyer and the seller would be liable.
(i) Certification fuel used for credit generation must be of a type that is both available in use and expected to be used by the engine purchaser. Therefore, upon request by the Administrator, the engine manufacturer must provide information acceptable to the Administrator that the designated fuel is readily available commercially and would be used in customer service.
(j) Credit apportionment. At the manufacturer's option, credits generated under the provisions described in this section may be sold to or otherwise provided to another party for use in programs other than the averaging, trading and banking program described in this section.
(1) The manufacturer shall pre-identify two emission levels per engine family for the purposes of credit apportionment. One emission level shall be the FEL and the other shall be the level of the standard that the engine family is required to certify to under § 86.005-10 or § 86.004-11. For each engine family, the manufacturer may report engine sales in two categories, “ABT-only credits” and “nonmanufacturer-owned credits”.
(i) For engine sales reported as “ABT-only credits”, the credits generated must be used solely in the ABT program described in this section.
(ii) The engine manufacturer may declare a portion of engine sales “nonmanufacturer-owned credits” and this portion of the credits generated between the standard and the FEL, based on the calculation in (c)(1) of this section, would belong to the engine purchaser. For ABT, the manufacturer may not generate any credits for the engine sales reported as “nonmanufacturer-owned credits”. Engines reported as “nonmanufacturer-owned credits” shall comply with the FEL and the requirements of the ABT program in all other respects.
(2) Only manufacturer-owned credits reported as “ABT-only credits” shall be used in the averaging, trading, and banking provisions described in this section.
(3) Credits shall not be double-counted. Credits used in the ABT program may not be provided to an engine purchaser for use in another program.
(4) Manufacturers shall determine and state the number of engines sold as “ABT-only credits” and “nonmanufacturer-owned credits” in the end-of-model year reports required under § 86.001-23.
(k) Additional flexibility for diesel-cycle engines. If a diesel-cycle engine family meets the conditions of either paragraph (k)(1) or (2) of this section, a Discount of 1.0 may be used in the trading and banking calculation, for both NO X plus NMHC and for particulate, described in paragraph (c)(1) of this section.
(1) The engine family certifies with a certification level of 1.9 g/bhp-hr NO X plus NMHC or lower for all diesel-cycle engine families.
(2) All of the following must apply to the engine family:
(i) Diesel-cycle engines only;
(ii) 2004, 2005, and 2006 model years only;
(iii) Must be an engine family using carry-over certification data from prior to model year 2004 where the NO X plus the HC certification level prior to model year 2004 is below the NO X plus NMHC or NO X plus NMHCE standard set forth in § 86.004-11. Under this option, the NO X credits generated from this engine family prior to model year 2004 may be used as NO X plus NMHC credits.
(l) Additional flexibility for Otto-cycle engines. If an Otto-cycle engine family meets the conditions of paragraph (l)(1) or (2) of this section, a discount of 1.0 may be used in the trading and banking credits calculation for NO X plus NMHC described in paragraph (c)(1) of this section, as follows:
(1) The engine family has a FEL of 0.5 g/bhp-hr NO X plus NMHC or lower;
(2) All of the following conditions are met:
(i) For first three consecutive model years that the engine family is certified to a NO X plus NMHC standard contained in § 86.005-10;
(ii) The engine family is certified using carry-over data from an engine family which was used to generate early NO X credits per § 86.000-15(k) where the sum of the NO X FEL plus the HC (or hydrocarbon equivalent where applicable) certification level is below 1.0 g/bhp-hr.
§ 86.004-16   Prohibition of defeat devices.
(a) No new heavy-duty vehicle or heavy-duty engine shall be equipped with a defeat device.
(b) The Administrator may test or require testing on any vehicle or engine at a designated location, using driving cycles and conditions which may reasonably be expected to be encountered in normal operation and use, for the purpose of investigating a potential defeat device.
(c) [Reserved]
(d) For vehicle and engine designs designated by the Administrator to be investigated for possible defeat devices:
(1) General. The manufacturer must show to the satisfaction of the Administrator that the vehicle or engine design does not incorporate strategies that reduce emission control effectiveness exhibited during the applicable Federal emissions test procedures when the vehicle or engine is operated under conditions which may reasonably be expected to be encountered in normal operation and use, unless one of the specific exceptions set forth in the definition of “defeat device” in § 86.004-2 has been met.
(2) Information submissions required. The manufacturer will provide an explanation containing detailed information (including information which the Administrator may request to be submitted) regarding test programs, engineering evaluations, design specifications, calibrations, on-board computer algorithms, and design strategies incorporated for operation both during and outside of the applicable Federal emission test procedure.
§ 86.004-21   Application for certification.
Section 86.004-21 includes text that specifies requirements that differ from § 86.094-21. Where a paragraph in § 86.094-21 is identical and applicable to § 86.004-21, this may be indicated by specifying the corresponding paragraph and the statement “[Reserved]. For guidance see § 86.094-21.”
(a)-(b)(3) [Reserved]. For guidance see § 86.094-21.
(b)(4)(i) [Reserved]
(b)(4)(ii)-(b)(5)(iv) [Reserved]. For guidance see § 86.094-21.
(6) Participation in averaging programs —(i) Particulate averaging. (A) If the manufacturer elects to participate in the particulate averaging program for diesel light-duty vehicles and/or diesel light-duty trucks or the particulate averaging program for heavy-duty diesel engines, the application must list the family particulate emission limit and the projected U.S. production volume of the family for the model year.
(B) The manufacturer shall choose the level of the family particulate emission limits, accurate to hundredth of a gram per mile or hundredth of a gram per brake horsepowerhour for HDEs.
(C) The manufacturer may at any time during production elect to change the level of any family particulate emission limit(s) by submitting the new limit(s) to the Administrator and by demonstrating compliance with the limit(s) as described in §§ 86.090-2 and 86.094-28(b)(5)(i).
(ii) NO X and NO X plus NMHC averaging. (A) If the manufacturer elects to participate in the NO X averaging program for light-duty trucks or otto-cycle HDEs or the NO X plus NMHC averaging program for diesel-cycle HDEs, the application must list the family emission limit and the projected U.S. production volume of the family for the model year.
(B) The manufacturer shall choose the level of the family emission limits, accurate to one-tenth of a gram per mile or to one-tenth of a gram per brake horsepower-hour for HDEs.
(C) The manufacturer may at any time during production elect to change the level of any family emission limit(s) by submitting the new limits to the Administrator and by demonstrating compliance with the limit(s) as described in §§ 86.088-2 and 86.094-28(b)(5)(ii).
(b)(7) and (b)(8) [Reserved]. For guidance see § 86.094-21.
(b)(9) For each light-duty vehicle, light-duty truck, evaporative/refueling emission family or heavy-duty vehicle evaporative emission family, a description of any unique procedures required to perform evaporative and/or refueling emission tests, as applicable, (including canister working capacity, canister bed volume, and fuel temperature profile for the running loss test) for all vehicles in that evaporative and/or evaporative/refueling emission family, and a description of the method used to develop those unique procedures.
(10) For each light-duty vehicle or applicable light-duty truck evaporative/refueling emission family, or each heavy-duty vehicle evaporative emission family:
(i) Canister working capacity, according to the procedures specified in § 86.132-96(h)(1)(iv);
(ii) Canister bed volume; and
(iii) Fuel temperature profile for the running loss test, according to the procedures specified in § 86.129-94(d).
(c)-(j) [Reserved]. For guidance see § 86.094-21.
(k)-(l) [Reserved]
(m) For model years 2004 through 2007, within 180 days after submission of the application for certification of a heavy-duty diesel engine, the manufacturer must provide emission test results from the Load Response Test conducted according to § 86.1380-2004, including, at a minimum, test results conducted at each of the speeds identified in § 86.1380-2004. Load Response Test data submissions are not necessary for carry-over engine families for which Load Response Test data has been previously submitted. In addition, upon approval of the Administrator, manufacturers may carry Load Response Test data across from one engine family to other engine families, provided that the carry-across engine families use similar emission control technology hardware which would be expected to result in the generation of similar emission data when run over the Load Response Test.
(n) Upon request from EPA, a manufacturer must provide to EPA any hardware (including scan tools), passwords, and/or documentation necessary for EPA to read, interpret, and store (in engineering units if applicable) any information broadcast by an engine's on-board computers and electronic control modules which relates in any way to emission control devices and auxiliary emission control devices, provided that such hardware, passwords, or documentation exists and is not otherwise commercially available. Passwords include any information necessary to enable generic scan tools or personal computers access to proprietary emission related information broadcast by an engine's on-board computer, if such passwords exist. This requirement includes access by EPA to any proprietary code information which may be broadcast by an engine's on-board computer and electronic control modules. Information which is confidential business information must be marked as such. Engineering units refers to the ability to read, interpret, and store information in commonly understood engineering units, for example, engine speed in revolutions per minute or per second, injection timing parameters such as start of injection in degree's before top-dead center, fueling rates in cubic centimeters per stroke, vehicle speed in miles per hour or kilometers per hour. This paragraph (n) does not restrict EPA authority to take any action authorized by section 208 of the Clean Air Act.
§ 86.004-25   Maintenance.
Section 86.004-25 includes text that specifies requirements that differ from § 86.094-25. Where a paragraph in § 86.094-25 is applicable to § 86.004-25, this may be indicated by specifying the corresponding paragraph and the statement “[Reserved]. For guidance see § 86.094-25.”.
(a)(1) Applicability. This section applies to light-duty vehicles, light-duty trucks, and HDEs.
(2) Maintenance performed on vehicles, engines, subsystems, or components used to determine exhaust, evaporative or refueling emission deterioration factors, as appropriate, is classified as either emission-related or non-emission-related and each of these can be classified as either scheduled or unscheduled. Further, some emission-related maintenance is also classified as critical emission-related maintenance.
(b) Introductory text through (b)(3)(ii) [Reserved]. For guidance see § 86.094-25.
(b)(3)(iii) For otto-cycle heavy-duty engines, the adjustment, cleaning, repair, or replacement of the items listed in paragraphs (b)(3)(iii) (A)-(E) of this section shall occur at 50,000 miles (or 1,500 hours) of use and at 50,000-mile (or 1,500-hour) intervals thereafter.
(A) Crankcase ventilation valves and filters.
(B) Emission-related hoses and tubes.
(C) Ignition wires.
(D) Idle mixture.
(E) Exhaust gas recirculation system related filters and coolers.
(iv) For otto-cycle light-duty vehicles, light-duty trucks and otto-cycle heavy-duty engines, the adjustment, cleaning, repair, or replacement of the oxygen sensor shall occur at 80,000 miles (or 2,400 hours) of use and at 80,000-mile (or 2,400-hour) intervals thereafter.
(v) For otto-cycle heavy-duty engines, the adjustment, cleaning, repair, or replacement of the items listed in paragraphs (b)(3)(v) (A)-(H) of this section shall occur at 100,000 miles (or 3,000 hours) of use and at 100,000-mile (or 3,000-hour) intervals thereafter.
(A) Catalytic converter.
(B) Air injection system components.
(C) Fuel injectors.
(D) Electronic engine control unit and its associated sensors (except oxygen sensor) and actuators.
(E) Evaporative emission canister.
(F) Turbochargers.
(G) Carburetors.
(H) Exhaust gas recirculation system (including all related control valves and tubing) except as otherwise provided in paragraph (b)(3)(iii)(E) of this section.
(4) For diesel-cycle heavy-duty engines, emission-related maintenance in addition to or at shorter intervals than the following specified values will not be accepted as technologically necessary, except as provided in paragraph (b)(7) of this section:
(i) For diesel-cycle heavy-duty engines, the adjustment, cleaning, repair, or replacement of the following items shall occur at 50,000 miles (or 1,500 hours) of use and at 50,000-mile (or 1,500-hour) intervals thereafter:
(A) Exhaust gas recirculation system related filters and coolers.
(B) Crankcase ventilation valves and filters.
(C) Fuel injector tips (cleaning only).
(D) DEF filters.
(ii) [Reserved]
(iii) The adjustment, cleaning, repair, or replacement of items listed in paragraphs (b)(4)(iii) (A)-(G) of this section shall occur at 100,000 miles (or 3,000 hours) of use and at 100,000-mile (or 3,000-hour) intervals thereafter for light heavy-duty diesel engines, or, at 150,000 miles (or 4,500 hours) intervals thereafter for medium and heavy heavy-duty diesel engines.
(A) Fuel injectors.
(B) Turbocharger.
(C) Electronic engine control unit and its associated sensors and actuators.
(D) Particulate trap or trap oxidizer systems including related components (adjustment and cleaning only for filter element, replacement of the filter element is not allowed during the useful life).
(E) Exhaust gas recirculation system (including all related control valves and tubing) except as otherwise provided in paragraph (b)(4)(i)(A) of this section.
(F) Catalytic converter (adjustment and cleaning only for catalyst beds, replacement of the bed is not allowed during the useful life).
(G) Any other add-on emissions-related component (i.e., a component whose sole or primary purpose is to reduce emissions or whose failure will significantly degrade emissions control and whose function is not integral to the design and performance of the engine.)
(iv) [Reserved]
(v) For engines that use selective catalytic reduction, the diesel exhaust fluid (DEF) tank must be sized so that DEF replenishment can occur at an interval, in miles or hours of vehicle operation, that is no less than the miles or hours of vehicle operation corresponding to the vehicle's fuel capacity. Use good engineering judgment to ensure that you meet this requirement for worst-case operation. For example, if the highest rate of DEF consumption (relative to fuel consumption) will occur under highway driving conditions (characterized by the SET), the DEF tank should be large enough that a single tankful of DEF would be enough to continue proper operation of the SCR system for the expected highway driving range with a single tank of fuel. Conversely, if the highest rate of DEF consumption (relative to fuel consumption) will occur under city or urban driving conditions (characterized by the transient FTP test), the DEF tank should be large enough that a single tank of DEF would be enough to continue proper operation of the SCR system for the expected city driving range with a single tank of fuel. For engine testing in a laboratory, any size DEF tank and fuel tank may be used; however, for our testing of engines, we may require you to provide us with a production-type DEF tank, including any associated sensors.
(5) [Reserved]
(6)(i) The following components are defined as critical emission-related components:
(A) Catalytic converter.
(B) Air injection system components.
(C) Electronic engine control unit and its associated sensors (including oxygen sensor if installed) and actuators.
(D) Exhaust gas recirculation system (including all related filters, coolers, control valves, and tubing).
(E) Crankcase ventilation valves and filters.
(F) Evaporative and refueling emission control system components (excluding canister air filter).
(G) Particulate trap or trap-oxidizer system.
(H) Components comprising the selective catalytic reduction system (including DEF tank).
(I) Any other component whose primary purpose is to reduce emissions or whose failure would commonly increase emissions of any regulated pollutant without significantly degrading engine performance.
(ii) All critical emission-related scheduled maintenance must have a reasonable likelihood of being performed in-use. The manufacturer shall be required to show the reasonable likelihood of such maintenance being performed in-use, and such showing shall be made prior to the performance of the maintenance on the durability data engine. Critical emission-related scheduled maintenance items which satisfy one of the conditions defined in paragraphs (b)(6)(ii) (A)-(F) of this section will be accepted as having a reasonable likelihood of the maintenance item being performed in-use, except that DEF replenishment must satisfy paragraph (b)(6)(ii)(A) or (F) of this section to be accepted as having a reasonable likelihood of the maintenance item being performed in-use.
(A) Data are presented which establish for the Administrator a connection between emissions and vehicle performance such that as emissions increase due to lack of maintenance, vehicle performance will simultaneously deteriorate to a point unacceptable for typical driving.
(B) Survey data are submitted which adequately demonstrate to the Administrator that, at an 80 percent confidence level, 80 percent of such engines already have this critical maintenance item performed in-use at the recommended interval(s).
(C) A clearly displayed visible signal system approved by the Administrator is installed to alert the vehicle driver that maintenance is due. A signal bearing the message “maintenance needed” or “check engine”, or a similar message approved by the Administrator, shall be actuated at the appropriate mileage point or by component failure. This signal must be continuous while the engine is in operation and not be easily eliminated without performance of the required maintenance. Resetting the signal shall be a required step in the maintenance operation. The method for resetting the signal system shall be approved by the Administrator. For HDEs, the system must not be designed to deactivate upon the end of the useful life of the engine or thereafter.
(D) A manufacturer may desire to demonstrate through a survey that a critical maintenance item is likely to be performed without a visible signal on a maintenance item for which there is no prior in-use experience without the signal. To that end, the manufacturer may in a given model year market up to 200 randomly selected vehicles per critical emission-related maintenance item without such visible signals, and monitor the performance of the critical maintenance item by the owners to show compliance with paragraph (b)(6)(ii)(B) of this section. This option is restricted to two consecutive model years and may not be repeated until any previous survey has been completed. If the critical maintenance involves more than one engine family, the sample will be sales weighted to ensure that it is representative of all the families in question.
(E) The manufacturer provides the maintenance free of charge, and clearly informs the customer that the maintenance is free in the instructions provided under § 86.087-38.
(F) Any other method which the Administrator approves as establishing a reasonable likelihood that the critical maintenance will be performed in-use.
(iii) Visible signal systems used under paragraph (b)(6)(ii)(C) of this section are considered an element of design of the emission control system. Therefore, disabling, resetting, or otherwise rendering such signals inoperative without also performing the indicated maintenance procedure is a prohibited act under section 203(a)(3) of the Clean Air Act (42 U.S.C. 7522(a)(3)).
(b)(7)-(h) [Reserved]. For guidance see § 86.094-25.
(i) Notwithstanding the provisions of paragraph (b)(4) and (6) of this section, manufacturers may schedule replacement or repair of particulate trap (or trap oxidizer) systems or catalytic converters (including NO X adsorbers), provided that the manufacturer demonstrates to the Administrator's satisfaction that the repair or replacement will be performed according to the schedule and the manufacturer pays for the repair or replacement.
§ 86.004-26   Mileage and service accumulation; emission measurements.
(a)-(b) [Reserved]
(c)(1) Paragraph (c) of this section applies to heavy-duty engines.
(2) Two types of service accumulation are applicable to heavy-duty engines, as described in paragraphs (c)(2)(i) and (ii) of this section. For Otto-cycle heavy-duty engines exhaust emissions, the service accumulation method used by a manufacturer must be designed to effectively predict the deterioration of emissions in actual use over the full useful life of the of the candidate in-use vehicles and must cover the breadth of the manufacturer's product line that will be covered by the durability procedure. Manufacturers not selecting Options 1 or 2 described in § 86.005-10(f) may certify Otto-cycle engines using the provisions contained in § 86.094-26(c)(2) rather than those contained in this paragraph (c)(2) for 2004 model year engine families certified using carry-over durability data, except for those engines used for early credit banking as allowed in § 86.000-15(k).
(i) Service accumulation on engines, subsystems, or components selected by the manufacturer under § 86.094-24(c)(3)(i). The manufacturer determines the form and extent of this service accumulation, consistent with good engineering practice, and describes it in the application for certification.
(ii) Dynamometer service accumulation on emission data engines selected under § 86.094-24(b)(2) or (3). The manufacturer determines the engine operating schedule to be used for dynamometer service accumulation, consistent with good engineering practice. A single engine operating schedule shall be used for all engines in an engine family-control system combination. Operating schedules may be different for different combinations.
(3) Exhaust emission deterioration factors will be determined on the basis of the service accumulation described in § 86.000-26(b)(2)(i) and related testing, according to the manufacturer's procedures.
(4) The manufacturer shall determine, for each engine family, the number of hours at which the engine system combination is stabilized for emission-data testing. The manufacturer shall maintain, and provide to the Administrator if requested, a record of the rationale used in making this determination. The manufacturer may elect to accumulate 125 hours on each test engine within an engine family without making a determination. Any engine used to represent emission-data engine selections under § 86.094-24(b)(2) shall be equipped with an engine system combination that has accumulated at least the number of hours determined under this paragraph. Complete exhaust emission tests shall be conducted for each emission-data engine selection under § 86.094-24(b)(2). Evaporative emission controls must be connected, as described in 40 CFR part 1065, subpart F. The Administrator may determine under § 86.094-24(f) that no testing is required.
(d)(1) This paragraph (d) applies for heavy-duty engines.
(2)(i) The results of all emission testing shall be supplied to the Administrator. The manufacturer shall furnish to the Administrator explanation for voiding any test. The Administrator will determine if voiding the test was appropriate based upon the explanation given by the manufacturer for the voided test. Tests between test points may be conducted as required by the Administrator. Data from all tests (including voided tests) may be submitted weekly to the Administrator, but shall be delivered to the Administrator within 7 days after completion of the test. In addition, all test data shall be compiled and provided to the Administrator in accordance with § 86.007-23. Where the Administrator conducts a test on a durability data vehicle at a prescribed test point, the results of that test will be used in the calculation of the deterioration factor.
(ii) The results of all emission tests shall be recorded and reported to the Administrator. These test results shall be rounded as specified in 40 CFR part 1065 to the number of decimal places contained in the applicable emission standard expressed to one additional significant figure.
(3) Whenever a manufacturer intends to operate and test a vehicle (or engine) that may be used for emission data, the manufacturer shall retain in its records all information concerning all emission tests and maintenance, including vehicle (or engine) alterations to represent other vehicle (or engine) selections. This information shall be submitted, including the vehicle (or engine) description and specification information required by the Administrator, to the Administrator following the emission test.
(4) Emission testing of any type with respect to any certification vehicle or engine other than that specified in this subpart is not allowed except as such testing may be specifically authorized by the Administrator.
§ 86.004-28   Compliance with emission standards.
(a)-(b) [Reserved]
(c)(1) Paragraph (c) of this section applies to heavy-duty engines.
(2) The applicable exhaust emission standards (or family emission limits, as appropriate) for Otto-cycle engines and for diesel-cycle engines apply to the emissions of engines for their useful life.
(3) Since emission control efficiency generally decreases with the accumulation of service on the engine, deterioration factors will be used in combination with emission data engine test results as the basis for determining compliance with the standards.
(4)(i) Paragraph (c)(4) of this section describes the procedure for determining compliance of an engine with emission standards (or family emission limits, as appropriate), based on deterioration factors supplied by the manufacturer. Deterioration factors shall be established using applicable emissions test procedures. NO X plus NMHC deterioration factors shall be established based on the sum of the pollutants. When establishing deterioration factors for NO X plus NMHC, a negative deterioration (emissions decrease from the official exhaust emissions test result) for one pollutant may not offset deterioration of the other pollutant. Where negative deterioration occurs for NO X and/or NMHC, the official exhaust emission test result shall be used for purposes of determining the NO X plus NMHC deterioration factor.
(ii) Separate exhaust emission deterioration factors, determined from tests of engines, subsystems, or components conducted by the manufacturer, shall be supplied for each engine-system combination. For Otto-cycle engines, separate factors shall be established for transient NMHC (NMHCE), CO, NO X . NO X plus NMHC, and idle CO, for those engines utilizing aftertreatment technology (e.g., catalytic converters). For diesel-cycle engines, separate factors shall be established for transient NMHC (NMHCE), CO, NO X . NO X plus NMHC and exhaust particulate. For diesel-cycle smoke testing, separate factors shall also be established for the acceleration mode (designated as “A”), the lugging mode (designated as “B”), and peak opacity (designated as “C”).
(iii)(A) Paragraphs (c)(4)(iii)(A) ( 1 ) and ( 2 ) of this section apply to Otto-cycle HDEs.
( 1 ) Otto-cycle HDEs not utilizing aftertreatment technology (e.g., catalytic converters). For transient NMHC (NMHCE), CO, NO X . the official exhaust emission results for each emission data engine at the selected test point shall be adjusted by the addition of the appropriate deterioration factor. However, if the deterioration factor supplied by the manufacturer is less than zero, it shall be zero for the purposes of this paragraph.
( 2 ) Otto-cycle HDEs utilizing aftertreatment technology ( e.g., catalytic converters). For transient NMHC (NMHCE), CO, NO X . and for idle CO, the official exhaust emission results for each emission data engine at the selected test point shall be adjusted by multiplication by the appropriate deterioration factor, except as otherwise provided in paragraph (c)(4)(iii)(A)( 3 ) of this section. The deterioration factor must be calculated by dividing the exhaust emissions at full useful life by the stabilized mileage emission level (reference § 86.096-26(c)(4), e.g., 125 hours). However, if the deterioration factor supplied by the manufacturer is less than one, it shall be one for purposes of this paragraph (c)(4)(iii)(A)( 2 ).
( 3 ) An Otto-cycle heavy-duty engine manufacturer who believes that a deterioration factor derived using the calculation methodology described in paragraph (c)(4)(iii)(4)(A)( 2 ) of this section are significantly unrepresentative for one or more engine families (either too high or too low) may petition the Administrator to allow for the use of an additive rather than a multiplicative deterioration factor. This petition must include full rationale behind the request together with any supporting data or other evidence. Based on this or other information the Administration may allow for an alternative procedure. Any petition should be submitted in a timely manner, to allow adequate time for a thorough evaluation. Manufacturers using an additive deterioration factor under this paragraph (c)(4)(iii)(A)( 3 ) must perform in-use verification testing to determine if the additive deterioration factor reasonably predicts actual in-use emissions. The plan for the in-use verification testing must be approved by the Administrator as part of the approval process described in this paragraph (c)(4)(iii)(4)(A)( 3 ) prior to the use of the additive deterioration factor. The Administrator may consider the results of the in-use verification testing both in certification and in-use compliance programs.
(B) Paragraph (c)(4)(iii)(B) of this section applies to diesel-cycle HDEs.
( 1 ) Additive deterioration factor for exhaust emissions. Except as specified in paragraph (c)(4)(iii)(B)(2) of this section, use an additive deterioration factor for exhaust emissions. An additive deterioration factor for a pollutant is the difference between exhaust emissions at the end of the useful life and exhaust emissions at the low-hour test point. In these cases, adjust the official emission results for each tested engine at the selected test point by adding the factor to the measured emissions. If the factor is less than zero, use zero. Additive deterioration factors must be specified to one more decimal place than the applicable standard.
( 2 ) Multiplicative deterioration factor for exhaust emissions. Use a multiplicative deterioration factor if good engineering judgment calls for the deterioration factor for a pollutant to be the ratio of exhaust emissions at the end of the useful life to exhaust emissions at the low-hour test point. For example, if you use aftertreatment technology that controls emissions of a pollutant proportionally to engine-out emissions, it is often appropriate to use a multiplicative deterioration factor. Adjust the official emission results for each tested engine at the selected test point by multiplying the measured emissions by the deterioration factor. If the factor is less than one, use one. A multiplicative deterioration factor may not be appropriate in cases where testing variability is significantly greater than engine-to-engine variability. Multiplicative deterioration factors must be specified to one more significant figure than the applicable standard.
( 3 ) Diesel-cycle HDEs only. For acceleration smoke (“A”), lugging smoke (“B”), and peak smoke (“C”), the official exhaust emission results for each emission data engine at the selected test point shall be adjusted by the addition of the appropriate deterioration factor. However, if the deterioration factor supplied by the manufacturer is less than zero, it shall be zero for the purposes of this paragraph.
( 4 ) The emission values to compare with the standards (or family emission limits, as appropriate) shall be the adjusted emission values of paragraph (c)(4)(iii) of this section, rounded to the same number of significant figures as contained in the applicable standard in accordance with ASTM E 29-93a (as referenced in § 86.094-28 (a)(4)(i)(B)(2)(ii)), for each emission data engine.
( 5 ) and ( 6 ) [Reserved]
( 7 ) Every test engine of an engine family must comply with all applicable standards (or family emission limits, as appropriate), as determined in paragraph (c)(4)(iv) of this section, before any engine in that family will be certified.
( 8 ) For the purposes of setting an NMHC plus NO X certification level or FEL for a diesel-fueled engine family, the manufacturer may use one of the following options for the determination of NMHC for an engine family. The manufacturer must declare which option is used in its application for certification of that engine family.
(i) THC may be used in lieu of NMHC for the standards set forth in § 86.004-11.
(ii) The manufacturer may choose its own method to analyze methane with prior approval of the Administrator.
(iii) The manufacturer may assume that two percent of the measured THC is methane (NMHC = 0.98 × THC).
(d)(1) Paragraph (d) of this section applies to heavy-duty vehicles equipped with gasoline-fueled or methanol-fueled engines.
(2) The applicable evaporative emission standards in this subpart apply to the emissions of vehicles for their useful life.
(3)(i) For vehicles with a GVWR of up to 26,000 pounds, because it is expected that emission control efficiency will change during the useful life of the vehicle, an evaporative emission deterioration factor shall be determined from the testing described in § 86.098-23(b)(3) for each evaporative emission family-evaporative emission control system combination to indicate the evaporative emission control system deterioration during the useful life of the vehicle (minimum 50,000 miles). The factor shall be established to a minimum of two places to the right of the decimal.
(ii) For vehicles with a GVWR of greater than 26,000 pounds, because it is expected that emission control efficiency will change during the useful life of the vehicle, each manufacturer's statement as required in § 86.098-23(b)(4)(ii) shall include, in accordance with good engineering practice, consideration of control system deterioration.
(4) The evaporative emission test results, if any, shall be adjusted by the addition of the appropriate deterioration factor, provided that if the deterioration factor as computed in paragraph (d)(3) of this section is less than zero, that deterioration factor shall be zero for the purposes of this paragraph.
(5) The emission level to compare with the standard shall be the adjusted emission level of paragraph (d)(4) of this section. Before any emission value is compared with the standard, it shall be rounded, in accordance with ASTM E 29-93a (as referenced in § 86.094-28 (a)(4)(i)(B)(2)(ii)), to two significant figures. The rounded emission values may not exceed the standard.
(6) Every test vehicle of an evaporative emission family must comply with the evaporative emission standard, as determined in paragraph (d)(5) of this section, before any vehicle in that family may be certified.
(e) [Reserved]
(f)-(g) [Reserved]
(h) [Reserved]. For guidance see § 86.001-28.
(i) This paragraph (i) describes how to adjust emission results from model year 2020 and earlier heavy-duty engines equipped with exhaust aftertreatment to account for regeneration events. This provision only applies for engines equipped with emission controls that are regenerated on an infrequent basis. For the purpose of this paragraph (i), the term “regeneration” means an event during which emission levels change while the aftertreatment performance is being restored by design. Examples of regenerations are increasing exhaust gas temperature to remove sulfur from an adsorber or increasing exhaust gas temperature to oxidize PM in a trap. For the purpose of this paragraph (i), the term “infrequent” means having an expected frequency of less than once per transient test cycle. Calculation and use of adjustment factors are described in paragraphs (i)(1) through (5) of this section. If your engine family includes engines with one or more AECDs for emergency vehicle applications approved under paragraph (4) of the definition of defeat device in § 86.004-2, do not consider additional regenerations resulting from those AECDs when calculating emission factors or frequencies under this paragraph (i).
(1) Development of adjustment factors. Manufacturers must develop separate pairs of adjustment factors (an upward adjustment factor and a downward adjustment factor) for each pollutant based on measured emission data and observed regeneration frequency. Adjustment factors may be carried-over to subsequent model years or carried-across to other engine families only where the Administrator determines that such carry-over or carry-across is consistent with good engineering judgment. Adjustment factors should generally apply to an entire engine family, but manufacturers may develop separate adjustment factors for different engine configurations within an engine family. All adjustment factors for regeneration are additive.
(2) Calculation of adjustment factors. The adjustment factors are calculated from the following parameters: the measured emissions from a test in which the regeneration occurs (EF H ), the measured emissions from a test in which the regeneration does not occur (EF L ), and the frequency of the regeneration event in terms of fraction of tests during which the regeneration occurs (F). The average emission rate (EF A ) is calculated as:
(i) The upward adjustment factor (UAF) is calculated as: UAF = EF A − EF L .
(ii) The downward adjustment factor (DAF) is calculated as: DAF = EF A − EF H .
(3) Use of adjustment factors. Upward adjustment factors are added to measured emission rates for all tests in which the regeneration does not occur. Downward adjustment factors are added to measured emission rates for all tests in which the regeneration occurs. The occurrence of the regeneration must be identified in a manner that is readily apparent during all testing. Where no regeneration is identified, the upward adjustment factor shall be applied.
(4) Sample calculation. If EF L is 0.10 g/bhp-hr, EF H is 0.50 g/bhp-hr, and F is 0.1 (i.e., the regeneration occurs once for each ten tests), then:
(5) Options. (i) A manufacturer may elect to omit adjustment factors for one or more of its engine families (or configurations) because the effect of the regeneration is small, or because it is not practical to identify when regenerations occur. In these cases, no upward or downward adjustment factor shall be added, and the manufacturer is liable for compliance with the emission standards for all tests, without regard to whether a regeneration occurs.
(ii) Upon request by the manufacturer, the Administrator may account for regeneration events differently than is provided in this paragraph (i). However, this option only applies for events that occur extremely infrequently, and which cannot be practically addressed using the adjustment factors described in this paragraph (i).
(j) For model year 2021 and later engines using aftertreatment technology with infrequent regeneration events that may occur during testing, take one of the following approaches to account for the emission impact of regeneration:
(1) You may use the calculation methodology described in 40 CFR 1065.680 to adjust measured emission results. Do this by developing an upward adjustment factor and a downward adjustment factor for each pollutant based on measured emission data and observed regeneration frequency as follows:
(i) Adjustment factors should generally apply to an entire engine family, but you may develop separate adjustment factors for different configurations within an engine family. Use the adjustment factors from this section for all testing for the engine family.
(ii) You may use carryover or carry-across data to establish adjustment factors for an engine family as described in § 86.001-24(f), consistent with good engineering judgment.
(iii) Identify the value of F in each application for the certification for which it applies.
(2) You may ask us to approve an alternate methodology to account for regeneration events. We will generally limit approval to cases where your engines use aftertreatment technology with extremely infrequent regeneration and you are unable to apply the provisions of this section.
(3) You may choose to make no adjustments to measured emission results if you determine that regeneration does not significantly affect emission levels for an engine family (or configuration) or if it is not practical to identify when regeneration occurs. If you choose not to make adjustments under paragraph (j)(1) or (2) of this section, your engines must meet emission standards for all testing, without regard to regeneration.
§ 86.004-38   Maintenance instructions.
(a) The manufacturer shall furnish or cause to be furnished to the purchaser of each new motor vehicle (or motor vehicle engine) subject to the standards prescribed in § 86.099-8, § 86.004-9, § 86.004-10, or § 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 § 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 § 86.004-25.
(c) Scheduled emission-related maintenance in addition to that performed under § 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 § 86.004-25(b).
(d) Inspections of emission-related parts or systems with instructions to replace, repair, clean, or adjust the parts or systems if necessary, are not considered to be items of scheduled maintenance which insure the proper functioning of the emission control system. Such inspections, and any recommended maintenance beyond that approved by the Administrator as reasonable and necessary under paragraphs (a), (b), and (c) of this section, may be included in the written instructions furnished to vehicle owners under paragraph (a) of this section: Provided, That such instructions clearly state, in a form approved by the Administrator, that the owner need not perform such inspections or recommended maintenance in order to maintain the emissions defect and emissions performance warranty or manufacturer recall liability.
(e) The manufacturer may choose to include in such instructions an explanation of any distinction between the useful life specified on the label, and the emissions defect and emissions performance warranty period. The explanation must clearly state that the useful life period specified on the label represents the average period of use up to retirement or rebuild for the engine family represented by the engine used in the vehicle. An explanation of how the actual useful lives of engines used in various applications are expected to differ from the average useful life may be included. The explanation(s) shall be in clear, non-technical language that is understandable to the ultimate purchaser.
(f) If approved by the Administrator, the instructions provided to purchasers under paragraph (a) of this section shall indicate what adjustments or modifications, if any, are necessary to allow the vehicle to meet applicable emission standards at elevations above 4,000 feet, or at elevations of 4,000 feet or less.
(g) [Reserved]
(h) The manufacturer shall furnish or cause to be furnished to the purchaser of each new motor engine subject to the standards prescribed in § 86.004-10 or § 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 § 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 § 86.004-40.
(i) For each new diesel-fueled engine subject to the standards prescribed in § 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).”
§ 86.004-40   Heavy-duty engine rebuilding practices.
The provisions of this section are applicable to heavy-duty engines subject to model year 2004 or later standards and are applicable to the process of engine rebuilding (or rebuilding a portion of an engine or engine system). The process of engine rebuilding generally includes disassembly, replacement of multiple parts due to wear, and reassembly, and also may include the removal of the engine from the vehicle and other acts associated with rebuilding an engine. Any deviation from the provisions contained in this section is a prohibited act under section 203(a)(3) of the Clean Air Act (42 U.S.C. 7522(a)(3)).
(a) When rebuilding an engine, portions of an engine, or an engine system, there must be a reasonable technical basis for knowing that the resultant engine is equivalent, from an emissions standpoint, to a certified configuration (i.e., tolerances, calibrations, specifications) and the model year(s) of the resulting engine configuration must be identified. A reasonable basis would exist if:
(1) Parts installed, whether the parts are new, used, or rebuilt, are such that a person familiar with the design and function of motor vehicle engines would reasonably believe that the parts perform the same function with respect to emissions control as the original parts; and
(2) Any parameter adjustment or design element change is made only:
(i) In accordance with the original engine manufacturer's instructions; or
(ii) Where data or other reasonable technical basis exists that such parameter adjustment or design element change, when performed on the engine or similar engines, is not expected to adversely affect in-use emissions.
(b) When an engine is being rebuilt and remains installed or is reinstalled in the same vehicle, it must be rebuilt to a configuration of the same or later model year as the original engine. When an engine is being replaced, the replacement engine must be an engine of (or rebuilt to) a configuration of the same or later model year as the original engine.
(c) At time of rebuild, emissions-related codes or signals from on-board monitoring systems may not be erased or reset without diagnosing and responding appropriately to the diagnostic codes, regardless of whether the systems are installed to satisfy requirements in § 86.004-25 or for other reasons and regardless of form or interface. Diagnostic systems must be free of all such codes when the rebuilt engine is returned to service. Such signals may not be rendered inoperative during the rebuilding process.
(d) When conducting a rebuild without removing the engine from the vehicle, or during the installation of a rebuilt engine, all critical emissions-related components listed in § 86.004-25(b) not otherwise addressed by paragraphs (a) through (c) of this section must be checked and cleaned, adjusted, repaired, or replaced as necessary, following manufacturer recommended practices.
(e) Records shall be kept by parties conducting activities included in paragraphs (a) through (d) of this section. The records shall include at minimum the mileage and/or hours at time of rebuild, a listing of work performed on the engine and emissions-related control components including a listing of parts and components used, engine parameter adjustments, emissions-related codes or signals responded to and reset, and work performed under paragraph (d) of this section.
(1) Parties may keep records in whatever format or system they choose as long as the records are understandable to an EPA enforcement officer or can be otherwise provided to an EPA enforcement officer in an understandable format when requested.
(2) Parties are not required to keep records of information that is not reasonably available through normal business practices including information on activities not conducted by themselves or information that they cannot reasonably access.
(3) Parties may keep records of their rebuilding practices for an engine family rather than on each individual engine rebuilt in cases where those rebuild practices are followed routinely.
(4) Records must be kept for a minimum of two years after the engine is rebuilt.
§ 86.005-1   General applicability.
Section 86.005-1 includes text that specifies requirements that differ from § 86.001-1. Where a paragraph in § 86.001-1 is identical and applicable to § 86.005-1, this may be indicated by specifying the corresponding paragraph and the statement “[Reserved]. For guidance see § 86.001-1.”.
(a) Applicability. The provisions of this subpart generally apply to 2005 and later model year new Otto-cycle heavy-duty engines used in incomplete vehicles and vehicles above 14,000 pounds GVWR and 2005 and later model year new diesel-cycle heavy-duty engines. In cases where a provision applies only to a certain vehicle group based on its model year, vehicle class, motor fuel, engine type, or other distinguishing characteristics, the limited applicability is cited in the appropriate section or paragraph. The provisions of this subpart continue to generally apply to 2000 and earlier model year new Otto-cycle and diesel-cycle light-duty vehicles, 2000 and earlier model year new Otto-cycle and diesel-cycle light-duty trucks, and 2004 and earlier model year new Otto-cycle complete heavy-duty vehicles at or below 14,000 pounds GVWR. Provisions generally applicable to 2001 and later model year new Otto-cycle and diesel-cycle light-duty vehicles, 2001 and later model year new Otto-cycle and diesel-cycle light-duty trucks, and 2005 and later model year Otto-cycle complete heavy-duty vehicles at or below 14,000 pounds GVWR are located in subpart S of this part.
(b) Optional applicability. (1) A manufacturer may request to certify any 2003 or 2004 model year heavy-duty vehicle of 14,000 pounds Gross Vehicle Weight Rating or less in accordance with the light-duty truck provisions located in subpart S of this part. Heavy-duty engine or vehicle provisions of this subpart A do not apply to such a vehicle. This option is not available in the 2003 model year for manufacturers choosing Otto-cycle HDE option 1 in paragraph (c)(1) of this section, or in the 2004 model year for manufacturers choosing Otto-cycle HDE option 2 in paragraph (c)(2) of this section.
(2) For 2005 and later model years, a manufacturer may request to certify any incomplete Otto-cycle heavy-duty vehicle of 14,000 pounds Gross Vehicle Weight Rating or less in accordance with the provisions for Otto-cycle complete heavy-duty vehicles located in subpart S of this part. Heavy-duty engine or heavy-duty vehicle provisions of this subpart A do not apply to such a vehicle. This option is available starting with the 2003 model year to manufacturers choosing Otto-cycle HDE option 1 in paragraph (c)(1) of this section. This option is available starting with the 2004 model year to manufacturers choosing Otto-cycle HDE option 2 in paragraph (c)(1) of this section.
(c) Otto-cycle heavy-duty engines and vehicles. The manufacturer must select one of the three options for Otto-cycle heavy-duty engines and vehicles in paragraphs (c)(1) through (c)(3) of this section. The emission standards and other requirements that apply under a given option shall apply to all Otto-cycle heavy-duty engines and vehicles certified by the manufacturer (e.g., a manufacturer may not select one option for certain engine families and the other option for other engine families). The requirements under each option shall remain effective, once selected, for subsequent model years, until superceded or otherwise revised by the Administrator (e.g., a manufacturer may not select one option prior to the 2004 model year and change to another option in the 2006 model year). The complete requirements under each option are contained in subparts A and S of this part.
(1) Otto-cycle HDE Option 1. The following requirements apply to Otto-cycle heavy-duty engines and vehicles certified by manufacturers selecting this option:
(i) Emission standards for 2003 and later model year Otto-cycle heavy-duty engines, according to the provisions of § 86.005-10(f)(1).
(ii) Emission standards for 2003 and later model year Otto-cycle complete heavy-duty vehicles, according to the provisions of § 86.1816-05, except that, for 2003 through 2006 model year Otto-cycle complete heavy-duty vehicles, manufacturers may optionally comply with the standards in either 86.005-10 or 86.1816-05.
(iii) Averaging, banking, and trading provisions that allow transfer of credits between a manufacturer's complete vehicle averaging set and their heavy-duty Otto-cycle engine averaging set, according to the provisions of § 86.1817-05(o).
(iv) On-board diagnostics requirements effective starting with the 2004 model year for Otto-cycle engines and complete vehicles, according to the provisions of §§ 86.005-17 and 86.1806-05.
(v) Refueling emissions requirements effective starting with the 2004 model year for Otto-cycle complete vehicles, according to the provisions of §§ 86.1810-01 and 86.1816-05.
(2) Otto-cycle HDE Option 2. The following requirements apply to Otto-cycle heavy-duty engines and vehicles certified by manufacturers selecting this option:
(i) Emission standards for 2004 and later model year Otto-cycle heavy-duty engines, according to the provisions of § 86.005-10(f)(2).
(ii) Emission standards for 2004 and later model year Otto-cycle complete heavy-duty vehicles, according to the provisions of § 86.1816-05.
(iii) Averaging, banking, and trading provisions that allow transfer of credits between a manufacturer's complete vehicle averaging set and their heavy-duty Otto-cycle engine averaging set, according to the provisions of § 86.1817-05(o).
(iv) On-board diagnostics requirements effective starting with the 2004 model year for Otto-cycle engines and complete vehicles, according to the provisions of §§ 86.005-17 and 86.1806-05.
(v) Refueling emissions requirements effective starting with the 2004 model year for Otto-cycle complete vehicles, according to the provisions of §§ 86.1810-01 and 86.1816-05.
(3) Otto-cycle HDE Option 3. The following requirements apply to Otto-cycle heavy-duty engines and vehicles certified by manufacturers that do not select one of the options for 2003 or 2004 model year compliance in paragraph (c)(1) or (c)(2) of this section:
(i) Emission standards for 2005 and later model year Otto-cycle heavy-duty engines, according to the provisions of § 86.005-10.
(ii) Emission standards for 2005 and later model year Otto-cycle complete heavy-duty vehicles, according to the provisions of § 86.1816-05.
(iii) On-board diagnostics requirements effective starting with the 2005 model year for Otto-cycle engines and complete vehicles, according to the provisions of §§ 86.005-17 and 86.1806-05.
(iv) Refueling emissions requirements effective starting with the 2005 model year for Otto-cycle complete vehicles, according to the provisions of §§ 86.1810-01 and 86.1816-05.
(v) Manufacturers selecting this option may exempt 2005 model year Otto-cycle heavy-duty engines and vehicles whose model year commences before July 31, 2004 from the requirements in paragraphs (c)(3)(i) through (iv) of this section.
(vi) For 2005 model year engines or vehicles exempted under paragraph (c)(3)(v) of this section, a manufacturer shall certify such Otto-cycle heavy-duty engines and vehicles to all requirements in this subpart applicable to 2004 model year Otto-cycle heavy-duty engines. The averaging, banking, and trading provisions contained in § 86.000-15 remain effective for these engines.
(d) [Reserved]
(e)-(f) [Reserved]. For guidance see § 86.001-1.
§ 86.005-10   Emission standards for 2005 and later model year Otto-cycle heavy-duty engines and vehicles.
Section 86.005-10 includes text that specifies requirements that differ from § 86.099-10. Where a paragraph in § 86.099-10 is identical and applicable to § 86.005-10, this may be indicated by specifying the corresponding paragraph and the statement “[Reserved]. For guidance see § 86.099-10.”
(a)(1) Exhaust emissions from new 2005 and later model year Otto-cycle HDEs, except for Otto-cycle HDEs subject to the alternative standards in paragraph (f) of this section, shall not exceed:
(i)(A) Oxides of Nitrogen plus Non-methane Hydrocarbons (NO X + NMHC) for engines fueled with either gasoline, natural gas, or liquefied petroleum gas. 1.0 grams per brake horsepower-hour (0.37 grams per megajoule).
(B) Oxides of Nitrogen plus Non-methane Hydrocarbon Equivalent (NO X + NMHCE) for engines fueled with methanol. 1.0 grams per brake horsepower-hour (0.37 grams per megajoule).
(C) A manufacturer may elect to include any or all of its Otto-cycle HDE families in any or all of the emissions ABT programs for HDEs, within the restrictions described in § 86.098-15. If the manufacturer elects to include engine families in any of these programs, the NO X plus NMHC (or NO X plus NMHCE for methanol-fueled engines) FELs may not exceed 4.5 grams per brake horsepower-hour (1.7 grams per megajoule). This ceiling value applies whether credits for the family are derived from averaging, banking, or trading programs.
(ii)(A) Carbon monoxide for engines intended for use in all vehicles, except as provided in paragraph (a)(3) of this section. 14.4 grams per brake horsepower-hour (5.36 grams per megajoule), as measured under transient operating conditions.
(B) Carbon monoxide for engines intended for use only in vehicles with a Gross Vehicle Weight Rating of greater than 14,000 pounds. 37.1 grams per brake horsepower-hour (13.8 grams per megajoule), as measured under transient operating conditions.
(C) Idle carbon monoxide. For all Otto-cycle HDEs utilizing aftertreatment technology, and not certified to the onboard diagnostics requirements of § 86.005-17: 0.50 percent of exhaust gas flow at curb idle.
(2) The standards set forth in paragraphs (a)(1) and (f) of this section refer to the exhaust emitted over the operating schedule set forth in paragraph (f)(1) of appendix I to this part, and measured and calculated in accordance with the procedures set forth in subpart N or P of this part.
(3)(i) A manufacturer may certify one or more Otto-cycle HDE configurations intended for use in all vehicles to the emission standard set forth in paragraph (a)(1)(ii)(B) of this section: Provided, that the total model year sales of such configuration(s), segregated by fuel type, being certified to the emission standard in paragraph (a)(1)(ii)(B) of this section represent no more than five percent of total model year sales of each fuel type Otto-cycle HDE intended for use in vehicles with a Gross Vehicle Weight Rating of up to 14,000 pounds by the manufacturer.
(ii) The configurations certified to the emission standards of paragraph (a)(1)(ii)(B) of this section under the provisions of paragraph (a)(3)(i) of this section shall still be required to meet the evaporative emission standards set forth in § 86.099-10(b)(1)(i), (b)(2)(i) and (b)(3)(i).
(4) The manufacturer may exempt 2005 model year HDE engine families whose model year begins before July, 31, 2004 from the requirements in this paragraph (a). Exempted engine families shall be subject to the requirements in § 86.099-10.
(5) For certification purposes, where the applicable California evaporative emission standard is as stringent or more stringent than the applicable federal evaporative emission standard, the Administrator may accept California certification test data indicating compliance with the California standard to demonstrate compliance with the appropriate federal certification evaporative emission standard. The Administrator may require the manufacturer to provide comparative test data which clearly demonstrates that a vehicle meeting the California evaporative standard (when tested under California test conditions/test procedures) will also meet the appropriate federal evaporative emission standard when tested under federal test conditions/test procedures described in this part 86.
(b) [Reserved]. For guidance see § 86.099-10.
(c) No crankcase emissions shall be discharged into the ambient atmosphere from any new 1998 or later model year Otto-cycle heavy-duty engine.
(d) Every manufacturer of new motor vehicle engines subject to the standards prescribed in this section shall, prior to taking any of the actions specified in section 203(a)(1) of the Act, test or cause to be tested motor vehicle engines in accordance with applicable procedures in subpart N or P of this part to ascertain that such test engines meet the requirements of this section.
(e) [Reserved]. For guidance see § 86.099-10.
(f) Alternative exhaust emission standards. In lieu of the exhaust emission standards in paragraph (a)(1)(i)(A) or (B) of this section, the manufacturer may select the standards and provisions in either paragraph (f)(1) or (f)(2) of this section.
(1) Otto-cycle HDE Option 1. The alternative exhaust emission standards in this paragraph (f)(1) shall apply to new 2003 through 2007 model year Otto-cycle HDEs and, at the manufacturers option, to new 2003 through 2006 model year Otto-cycle complete heavy-duty vehicles less than or equal to 14,000 pounds GVWR
(i) Oxides of Nitrogen plus Non-methane Hydrocarbons (NO X + NMHC) for engines fueled with either gasoline, natural gas, or liquefied petroleum gas. 1.5 grams per brake horsepower-hour (0.55 grams per megajoule).
(ii) Oxides of Nitrogen plus Non-methane Hydrocarbon Equivalent (NO X + NMHCE) for engines fueled with methanol. 1.5 grams per brake horsepower-hour (0.55 grams per megajoule).
(2) Otto-cycle HDE Option 2. The alternative exhaust emission standards in this paragraph (f)(2) shall apply to new 2004 through 2007 model year Otto-cycle HDEs.
(i) Oxides of Nitrogen plus Non-methane Hydrocarbons (NO, X + NMHC) for engines fueled with either gasoline, natural gas, or liquefied petroleum gas. 1.5 grams per brake horsepower-hour (0.55 grams per megajoule).
(ii) Oxides of Nitrogen plus Non-methane Hydrocarbon Equivalent (NO X + NMHCE) for engines fueled with methanol. 1.5 grams per brake horsepower-hour (0.55 grams per megajoule).
§ 86.007-11   Emission standards and supplemental requirements for 2007 and later model year diesel heavy-duty engines and vehicles.
This section applies to new 2007 and later model year diesel heavy-duty engines and vehicles. Starting in model year 2021, this section also applies to all heavy HDE, regardless of fuel or combustion cycle (see 40 CFR 1036.140(a) and 1036.150(c)). Section 86.007-11 includes text that specifies requirements that differ from § 86.004-11. Where a paragraph in § 86.004-11 is identical and applicable to § 86.007-11, this may be indicated by specifying the corresponding paragraph and the statement “[Reserved]. For guidance see § 86.004-11.”
(a)(1) Exhaust emissions from new 2007 and later model year diesel HDEs shall not exceed the following:
(i) Oxides of Nitrogen (NO X ). (A) 0.20 grams per brake horsepower-hour (0.075 grams per megajoule).
(B) A manufacturer may elect to include any or all of its diesel HDE families in any or all of the NO X and NO X plus NMHC emissions ABT programs for HDEs, within the restrictions described in § 86.007-15 or § 86.004-15. If the manufacturer elects to include engine families in any of these programs, the NO X FELs may not exceed the following FEL caps: 2.00 grams per brake horsepower-hour (0.75 grams per megajoule) for model years before 2010; 0.50 grams per brake horsepower-hour (0.19 grams per megajoule) for model years 2010 and later. This ceiling value applies whether credits for the family are derived from averaging, banking, or trading programs.
(ii)(A) Nonmethane hydrocarbon (NMHC) for engines fueled with diesel fuel. 0.14 grams per brake horsepower-hour (0.052 grams per megajoule).
(B) Nonmethane-nonethane hydrocarbon (NMNEHC) for engines fueled with natural gas or liquefied petroleum gas. 0.14 grams per brake horsepower-hour (0.052 grams per megajoule).
(C) Nonmethane hydrocarbon equivalent (NMHCE) for engines fueled with methanol. 0.14 grams per brake horsepower-hour (0.052 grams per megajoule).
(iii) Carbon monoxide. 15.5 grams per brake horsepower-hour (5.77 grams per megajoule).
(iv) Particulate. (A) 0.01 grams per brake horsepower-hour (0.0037 grams per megajoule).
(B) A manufacturer may elect to include any or all of its diesel HDE families in any or all of the particulate ABT programs for HDEs, within the restrictions described in § 86.007-15 or other applicable sections. If the manufacturer elects to include engine families in any of these programs, the particulate FEL may not exceed 0.02 grams per brake horsepower-hour (0.0075 grams per megajoule).
(2) The standards set forth in paragraph (a)(1) of this section refer to the exhaust emitted over the duty cycle specified in paragraphs (a)(2)(i) through (iii) of this section, where exhaust emissions are measured and calculated as specified in paragraphs (a)(2)(iv) and (v) of this section in accordance with the procedures set forth in subpart N of this part, except as noted in § 86.007-23(c)(2):
(i) Perform the test interval set forth in paragraph (f)(2) of appendix I of this part with a cold-start according to 40 CFR part 1065, subpart F. This is the cold-start test interval.
(ii) Shut down the engine after completing the test interval and allow 20±1 minutes to elapse. This is the hot soak.
(iii) Repeat the test interval. This is the hot-start test interval.
(iv) Calculate the total emission mass of each constituent, m, and the total work, W, over each test interval according to 40 CFR 1065.650.
(v) Determine your engine's brake-specific emissions using the following calculation, which weights the emissions from the cold-start and hot-start test intervals:
(3) SET (i) Exhaust emissions, as determined under § 86.1360-2007(b) pertaining to the supplemental emission test cycle, for each regulated pollutant shall not exceed 1.0 times the applicable emission standards or FELs specified in paragraph (a)(1) of this section.
(ii) For engines not having a NO X FEL less than1.5 g/bhp-hr, gaseous exhaust emissions shall not exceed the steady-state interpolated values determined by the Maximum Allowable Emission Limits (for the corresponding speed and load), as determined under § 86.1360-2007(f), when the engine is operated in the steady-state control area defined under § 86.1360-2007(d).
(4) NTE (i)(A) The brake-specific exhaust NMHC or NO X emissions in g/bhp-hr, as determined under § 86.1370-2007 pertaining to the not-to-exceed test procedures, shall not exceed 1.5 times the applicable NMHC or NO X emission standards or FELs specified in paragraph (a)(1) of this section, during engine and vehicle operation specified in paragraph (a)(4)(ii) of this section except as noted in paragraph (a)(4)(iii) of this section.
(B) For engines not having a NO X FEL less than1.50 g/bhp-hr, the brake-specific NO X and NMHC exhaust emissions in g/bhp-hr, as determined under § 86.1370-2007 pertaining to the not-to-exceed test procedures, shall not exceed 1.25 times the applicable emission standards or FELs specified in paragraph (a)(1) of this section (or of § 86.004-11, as allowed by paragraph (g) of this section), during engine and vehicle operation specified in paragraph (a)(4)(ii) of this section except as noted in paragraph (a)(4)(iii) of this section.
(C) The brake-specific exhaust PM emissions in g/bhp-hr, as determined under § 86.1370-2007 pertaining to the not-to-exceed test procedures, shall not exceed 1.5 times the applicable PM emission standards or FEL (for FELs above the standard only) specified in paragraph (a)(1) of this section, during engine and vehicle operation specified in paragraph (a)(4)(ii) of this section except as noted in paragraph (a)(4)(iii) of this section.
(D) The brake-specific exhaust CO emissions in g/bhp-hr, as determined under § 86.1370-2007 pertaining to the not-to-exceed test procedures, shall not exceed 1.25 times the applicable CO emission standards or FEL specified in paragraph (a)(1) of this section, during engine and vehicle operation specified in paragraph (a)(4)(ii) of this section except as noted in paragraph (a)(4)(iii) of this section.
(ii) For each engine family, the not-to-exceed emission limits must apply during one of the following two ambient operating regions:
(A) The not-to-exceed limits apply for all altitudes less than or equal to 5,500 feet above sea-level, during all ambient conditions (temperature and humidity). Temperature and humidity ranges for which correction factors are allowed are specified in § 86.1370-2007(e); or
(B)( 1 ) The not-to-exceed emission limits apply at all altitudes less than or equal to 5,500 feet above sea-level, for temperatures less than or equal to the temperature determined by the following equation at the specified altitude:
( 2 ) Temperature and humidity ranges for which correction factors are allowed are specified in § 86.1370-2007(e);
(iii) For engines equipped with exhaust gas recirculation, the not-to-exceed emission limits specified in paragraph (a)(4)(i) of this section do not apply to engine or vehicle operation during cold operating conditions as specified in § 86.1370-2007(f).
(iv) Deficiencies for NTE emission standards. (A) For model years 2007 through 2009, upon application by the manufacturer, the Administrator may accept a HDDE as compliant with the NTE standards even though specific requirements are not fully met. Such compliances without meeting specific requirements, or deficiencies, will be granted only if compliance would be infeasible or unreasonable considering such factors as, but not limited to: Technical feasibility of the given hardware and lead time and production cycles including phase-in or phase-out of engines or vehicle designs and programmed upgrades of computers. Deficiencies will be approved on an engine model and/or horsepower rating basis within an engine family, and each approval is applicable for a single model year. A manufacturer's application must include a description of the auxiliary emission control device(s) which will be used to maintain emissions to the lowest practical level, considering the deficiency being requested, if applicable. An application for a deficiency must be made during the certification process; no deficiency will be granted to retroactively cover engines already certified.
(B) Unmet requirements should not be carried over from the previous model year except where unreasonable hardware or software modifications would be necessary to correct the deficiency, and the manufacturer has demonstrated an acceptable level of effort toward compliance as determined by the Administrator. The NTE deficiency should only be seen as an allowance for minor deviations from the NTE requirements. The NTE deficiency provisions allow a manufacturer to apply for relief from the NTE emission requirements under limited conditions. EPA expects that manufacturers should have the necessary functioning emission control hardware in place to comply with the NTE.
(C) For model years 2010 through 2013, the Administrator may allow up to three deficiencies per engine family. The provisions of paragraphs (a)(4)(iv)(A) and (B) of this section apply for deficiencies allowed by this paragraph (a)(4)(iv)(C). In determining whether to allow the additional deficiencies, the Administrator may consider any relevant factors, including the factors identified in paragraph (a)(4)(iv)(A) of this section. If additional deficiencies are approved, the Administrator may set any additional conditions that he/she determines to be appropriate.
(v) The emission limits specified in paragraphs (a)(3) and (a)(4) of this section shall be rounded to the same number of significant figures as the applicable standards in paragraph (a)(1) of this section using ASTM E29-93a (Incorporated by reference at § 86.1).
(vi) Manufacturers are not required to provide engine information exclusively related to in-use testing as part of initial certification. However, upon request from EPA the manufacturers must provide the information which clearly identifies parameters defining all NTE deficiencies described under paragraph (a)(4)(iv) of this section and parameters defining all NTE limited testing regions described under § 86.1370-2007(b)(6) and (7) that are requested. When requested, deficiencies and limited testing regions must be reported for all engine families and power ratings in English with sufficient detail for us to determine if a particular deficiency or limited testing region will be encountered in the emission test data from the portable emission-sampling equipment and field-testing procedures referenced in § 86.1375. Such information is to be provided within 60 days of the request from EPA.
(b)(1) introductory text through (b)(1)(iii) [Reserved]. For guidance see § 86.004-11.
(b)(1)(iv) Operation within the NTE zone (defined in § 86.1370-2007) must comply with a filter smoke number of 1.0 under steady-state operation, or the following alternate opacity limits:
(A) A 30 second transient test average opacity limit of 4% for a 5 inch path; and
(B) A 10 second steady state test average opacity limit of 4% for a 5 inch path.
(2)(i) The standards set forth in § 86.004-11 (b)(1)(i)-(iii) refer to exhaust smoke emissions generated under the conditions set forth in subpart I of this part and measured and calculated in accordance with those procedures.
(ii) The standards set forth in paragraph (b)(1)(iv) of this section refer to exhaust smoke emissions generated under the conditions set forth in § 86.1370-2007 and calculated in accordance with the procedures set forth in § 86.1372-2007.
(b)(3) and (b)(4) [Reserved]. For guidance see § 86.004-11.
(c) No crankcase emissions shall be discharged directly into the ambient atmosphere from any new 2007 or later model year diesel HDE, with the following exception: HDEs equipped with turbochargers, pumps, blowers, or superchargers for air induction may discharge crankcase emissions to the ambient atmosphere if the emissions are added to the exhaust emissions (either physically or mathematically) during all emission testing. Manufacturers taking advantage of this exception must manufacture the engines so that all crankcase emission can be routed into a dilution tunnel (or other sampling system approved in advance by the Administrator), and must account for deterioration in crankcase emissions when determining exhaust deterioration factors. For the purpose of this paragraph (c), crankcase emissions that are routed to the exhaust upstream of exhaust aftertreatment during all operation are not considered to be “discharged directly into the ambient atmosphere.”
(d) Every manufacturer of new motor vehicle engines subject to the standards prescribed in this section shall, prior to taking any of the actions specified in section 203(a)(1) of the Act, test or cause to be tested motor vehicle engines in accordance with applicable procedures in subpart I or N of this part to ascertain that such test engines meet the requirements of paragraphs (a), (b), (c), and (d) of this section.
(e) [Reserved]. For guidance see § 86.004-11.
(f) Model year 2007 and later diesel-fueled heavy-duty engines and vehicles for sale in Guam, American Samoa, or the Commonwealth of the Northern Mariana Islands may be subject to alternative standards under 40 CFR 1036.655.
(g) Model years 2018 through 2026 engines at or above 56 kW that will be installed in specialty vehicles as allowed by 40 CFR 1037.605 may meet alternate emission standards as follows:
(1) The engines must be of a configuration that is identical to one that is certified under 40 CFR part 1039, and meet the following additional standards using the same duty cycles that apply under 40 CFR part 1039:
(i) The engines must be certified with a Family Emission Limit for PM of 0.020 g/kW-hr.
(ii) Diesel-fueled engines using selective catalytic reduction must meet an emission standard of 0.1 g/kW-hr for N 2 O.
(2) Except as specified in this paragraph (g), engines certified under this paragraph (g) must meet all the requirements that apply under 40 CFR part 1039 instead of the comparable provisions in this subpart A. Before shipping engines under this section, you must have written assurance from the vehicle manufacturers that they need a certain number of exempted engines under this section. In your annual production report under 40 CFR 1039.250, count these engines separately and identify the vehicle manufacturers that will be installing them. Treat these engines as part of the corresponding engine family under 40 CFR part 1039 for compliance purposes such as selective enforcement audits, in-use testing, defect reporting, and recall.
(3) The engines must be labeled as described in § 86.095-35, with the following statement instead of the one specified in § 86.095-35(a)(3)(iii)(H): “This engine conforms to alternate standards for specialty vehicles under 40 CFR 86.007-11(g)”. Engines certified under this paragraph (g) may not have the label specified for nonroad engines in 40 CFR part 1039 or any other label identifying them as nonroad engines.
(4) In a separate application for a certificate of conformity, identify the corresponding nonroad engine family, describe the label required under this paragraph (g), state that you meet applicable diagnostic requirements under 40 CFR part 1039, and identify your projected U.S.-directed production volume.
(5) No additional certification fee applies for engines certified under this paragraph (g).
(6) Engines certified under this paragraph (g) may not generate or use emission credits under this part or under 40 CFR part 1039. The vehicles in which these engines are installed may generate or use emission credits as described in 40 CFR part 1037.
(7) Engines may instead meet standards for heavy-duty highway engines in California, as demonstrated by an Executive Order issued by the California Air Resources Board.
(h)(1) For model years prior to 2012, for purposes of determining compliance after title or custody has transferred to the ultimate purchaser, for engines having a NO X FEL no higher than 1.30 g/bhp-hr, the applicable compliance limit shall be determined by adding the applicable adjustment from paragraph (h)(2) of this section to the otherwise applicable standard or FEL for NO X .
(2)(i) For engines with 110,000 or fewer miles, the adjustment is 0.10 g/bhp-hr.
(ii) For engines with 110,001 to 185,000 miles, the adjustment is 0.15 g/bhp-hr.
(iii) For engines with 185,001 or more miles, the adjustment is 0.20 g/bhp-hr.
(3) For model years prior to 2012, for purposes of determining compliance after title or custody has transferred to the ultimate purchaser, the applicable compliance limit shall be determined by adding 0.01 g/bhp-hr to the otherwise applicable standard or FEL for PM.
(i) [Reserved]
(j) Engines installed in new glider vehicles are subject to the standards of this section as specified in 40 CFR part 1037.
§ 86.007-15   NOXand particulate averaging, trading, and banking for heavy-duty engines.
Section 86.007-15 includes text that specifies requirements that differ from § 86.004-15. Where a paragraph in § 86.004-15 is identical and applicable to § 86.007-15, this may be indicated by specifying the corresponding paragraph and the statement “[Reserved]. For guidance see § 86.004-15.”
(a)-(l) [Reserved]. For guidance see § 86.004-15.
(m) The following provisions apply for model year 2007 and later engines (including engines certified during years 2007-2009 under the phase-in provisions of § 86.007-11(g)(1), § 86.005-10(a), or § 86.008-10(f)(1)). These provisions apply instead of the provisions of paragraphs § 86.004-15 (a) through (k) to the extent that they are in conflict.
(1) Manufacturers of Otto-cycle engines may participate in an NMHC averaging, banking and trading program to show compliance with the standards specified in § 86.008-10. The generation and use of NMHC credits are subject to the same provisions in paragraphs § 86.004-15 (a) through (k) that apply for NO X plus NMHC credits, except as otherwise specified in this section.
(2) Credits are calculated as NO X or NMHC credits for engines certified to separate NO X and NMHC standards. NO X plus NMHC credits (including banked credits and credits that are generated during years 2007-2009 under the phase-in provisions of § 86.007-11(g)(1), § 86.005-10(a), or § 86.008-10(f)(1)) may be used to show compliance with 2007 or later NO X standards (NO X or NMHC standards for Otto-cycle engines), subject to an 0.8 discount factor (e.g., 100 grams of NO X plus NMHC credits is equivalent to 80 grams of NO X credits).
(3) NO X or NMHC (or NO X plus NMHC) credits may be exchanged between heavy-duty Otto-cycle engine families certified to the engine standards of this subpart and heavy-duty Otto-cycle engine families certified to the chassis standards of subpart S of this part, subject to an 0.8 discount factor (e.g., 100 grams of NO X (or NO X plus NMHC) credits generated from engines would be equivalent to 80 grams of NO X credits if they are used in the vehicle program of subpart S, and vice versa).
(4) Credits that were previously discounted when they were banked according to paragraph (c) of § 86.004-15, are subject to an additional discount factor of 0.888 instead of the 0.8 discount factor otherwise required by paragraph (m)(2) or (m)(3) of this section. This results in a total discount factor of 0.8 (0.9 × 0.888 = 0.8).
(5) For diesel engine families, the combined number of engines certified to FELs higher than 0.50 g/bhp-hr using banked NO X (and/or NO X plus NMHC) credits in any given model year may not exceed 10 percent of the manufacturer's U.S.-directed production of engines in all heavy-duty diesel engine families for that model year.
(6) The FEL must be expressed to the same number of decimal places as the standard (generally, one-hundredth of a gram per brake horsepower-hour). For engines certified to standards expressed only one-tenth of a gram per brake horsepower-hour, if the FEL is below 1.0, then add a zero to the standard in the second decimal place and express the FEL to nearest one-hundredth of a gram per brake horsepower-hour.
(7) Credits are to be rounded to the nearest one-hundredth of a Megagram using ASTM E29-93a (Incorporated by reference at § 86.1).
(8) Credits generated for 2007 and later model year diesel engine families, or generated for 2008 and later model year Otto-cycle engine families are not discounted (except as specified in paragraph (m)(2) or (m)(3) of this section), and do not expire.
(9) For the purpose of using or generating credits during a phase-in of new standards, a manufacturer may elect to split an engine family into two subfamilies (e.g., one which uses credits and one which generates credits). The manufacturer must indicate in the application for certification that the engine family is to be split, and may assign the numbers and configurations of engines within the respective subfamilies at any time prior to the submission of the end-of-year report required by § 86.001-23.
(i) Manufacturers certifying a split diesel engine family to both the Phase 1 and Phase 2 standards with equally sized subfamilies may exclude the engines within that split family from end-of-year NO X (or NO X + NMHC) ABT calculations, provided that neither subfamily generates credits for use by other engine families, or uses banked credits, or uses averaging credits from other engine families. All of the engines in that split family must be excluded from the phase-in calculations of § 86.007-11(g)(1) (both from the number of engines complying with the standards being phased-in and from the total number of U.S.-directed production engines.)
(ii) Manufacturers certifying a split Otto-cycle engine family to both the Phase 1 and Phase 2 standards with equally sized subfamilies may exclude the engines within that split family from end-of-year NO X (or NO X + NMHC) ABT calculations, provided that neither subfamily generates credits for use by other engine families, or uses banked credits, or uses averaging credits from other engine families. All of the engines in that split family must be excluded from the phase-in calculations of § 86.008-10(f)(1) (both from the number of engines complying with the standards being phased-in and from the total number of U.S.-directed production engines.)
(iii) Manufacturers certifying a split engine family may label all of the engines within that family with a single NO X or NO X + NMHC FEL. The FEL on the label will apply for all SEA or other compliance testing.
(iv) Notwithstanding the provisions of paragraph (m)(9)(iii) of this section, for split families, the NO X FEL shall be used to determine applicability of the provisions of §§ 86.007-11(a)(3)(ii), (a)(4)(i)(B), and (h)(1), and 86.008-10(g).
(10) For model years 2007 through 2009, to be consistent with the phase-in provisions of § 86.007-11(g)(1), credits generated from engines in one diesel engine service class (e.g., light-heavy duty diesel engines) may be used for averaging by engines in a different diesel engine service class, provided the credits are calculated for both engine families using the conversion factor and useful life of the engine family using the credits, and the engine family using the credits is certified to the standards listed in § 86.007-11(a)(1). Banked or traded credits may not be used by any engine family in a different service class than the service class of the engine family generating the credits.
§ 86.007-17   Onboard diagnostics for engines used in applications less than or equal to 14,000 pounds GVWR.
Heavy-duty engines intended to be installed in heavy duty vehicles at or below 14,000 pounds GVWR that are subject to standards under this subpart must meet onboard diagnostic requirements as specified in § 86.1806.
§ 86.007-21   Application for certification.
Section 86.007-21 includes text that specifies requirements that differ from § 86.004-21, 86.094-21 or 86.096-21. Where a paragraph in § 86.004-21, 86.094-21 or 86.096-21 is identical and applicable to § 86.007-21, this may be indicated by specifying the corresponding paragraph and the statement “[Reserved]. For guidance see § 86.004-21.”, “[Reserved]. For guidance see § 86.094-21.”, or “[Reserved]. For guidance see § 86.096-21.”.
(a)-(b)(3) [Reserved]. For guidance see § 86.094-21.
(b)(4)(i) [Reserved]
(b)(4)(ii)-(b)(5)(iv) [Reserved]. For guidance see § 86.094-21.
(b)(5)(v)-(b)(6) [Reserved]. For guidance see § 86.004-21.
(b)(7)-(b)(8) [Reserved]. For guidance see § 86.094-21.
(c)-(j) [Reserved]. For guidance see § 86.094-21.
(k)-(l) [Reserved]
(m)-(n) [Reserved]. For guidance see § 86.004-21.
(o) For diesel heavy-duty engines, the manufacturer must provide the following additional information pertaining to the supplemental emission test conducted under § 86.1360-2007:
(1) Weighted brake-specific emissions data (i.e., in units of g/bhp-hr), calculated according to 40 CFR 1065.650 for all pollutants for which a brake-specific emission standard is established in this subpart;
(2) For engines subject to the MAEL (see § 86.007-11(a)(3)(ii)), brake specific gaseous emission data for each of the 12 non-idle test points (identified under § 86.1360-2007(b)(1)) and the 3 EPA-selected test points (identified under § 86.1360-2007(b)(2));
(3) For engines subject to the MAEL (see § 86.007-11(a)(3)(ii)), concentrations and mass flow rates of all regulated gaseous emissions plus carbon dioxide;
(4) Values of all emission-related engine control variables at each test point;
(5) A statement that the test results correspond to the test engine selection criteria in 40 CFR 1065.401. The manufacturer also must maintain records at the manufacturer's facility which contain all test data, engineering analyses, and other information which provides the basis for this statement, where such information exists. The manufacturer must provide such information to the Administrator upon request;
(6) For engines subject to the MAEL (see § 86.007-11(a)(3)(ii)), a statement that the engines will comply with the weighted average emissions standard and interpolated values comply with the Maximum Allowable Emission Limits specified in § 86.007-11(a)(3) for the useful life of the engine where applicable. The manufacturer also must maintain records at the manufacturer's facility which contain a detailed description of all test data, engineering analyses, and other information which provides the basis for this statement, where such information exists. The manufacturer must provide such information to the Administrator upon request.
(7) [Reserved]
(p)(1) The manufacturer must provide a statement in the application for certification that the diesel heavy-duty engine for which certification is being requested will comply with the applicable Not-To-Exceed Limits specified in § 86.007-11(a)(4) when operated under all conditions which may reasonably be expected to be encountered in normal vehicle operation and use. The manufacturer also must maintain records at the manufacturers facility which contain all test data, engineering analyses, and other information which provides the basis for this statement, where such information exists. The manufacturer must provide such information to the Administrator upon request.
(2) For engines equipped with exhaust gas recirculation, the manufacturer must provide a detailed description of the control system the engine will use to comply with the requirements of §§ 86.007-11(a)(4)(iii) and 86.1370-2007(f) for NTE cold temperature operating exclusion, including but not limited to the method the manufacturer will use to access this exclusion during normal vehicle operation.
(3) For each engine model and/or horsepower rating within an engine family for which a manufacturer is applying for an NTE deficiency(ies) under the provisions of § 86.007-11(a)(4)(iv), the manufacturer's application for an NTE deficiency(ies) must include a complete description of the deficiency, including but not limited to: the specific description of the deficiency; what pollutant the deficiency is being applied for, all engineering efforts the manufacturer has made to overcome the deficiency, what specific operating conditions the deficiency is being requested for (i.e., temperature ranges, humidity ranges, altitude ranges, etc.), a full description of the auxiliary emission control device(s) which will be used to maintain emissions to the lowest practical level; and what the lowest practical emission level will be.
(q) The manufacturer must name an agent for service of process located in the United States. Service on this agent constitutes service on you or any of your officers or employees for any action by EPA or otherwise by the United States related to the requirements of this part.
§ 86.007-23   Required data.
Section 86.007-23 includes text that specifies requirements that differ from § 86.098-23 or § 86.001-23. Where a paragraph in § 86.098-23 or § 86.001-23 is identical and applicable to § 86.007-23, this may be indicated by specifying the corresponding paragraph and the statement “[Reserved]. For guidance see § 86.098-23.” or “[Reserved]. For guidance see § 86.001-23.”.
(a)-(b)(1) [Reserved]. For guidance see § 86.098-23.
(b)(2) [Reserved]
(b)(3) and (b)(4) [Reserved]. For guidance see § 86.098-23.
(c) Emission data from c ertification vehicles and engines. The manufacturer shall submit emission data for each applicable emission standard from vehicles and engines tested in accordance with applicable test procedures and in such numbers as specified. These data shall include zero-mile or zero-hour data, if generated, and emission data generated for certification as required under § 86.004-26. However, manufacturers may provide a statement in the application for certification that vehicles and engines comply with the following standards instead of submitting test data, provided that the statement is supported by previous emission tests, development tests, or other appropriate information, and good engineering judgment:
(1) Idle CO, smoke, or particulate matter emissions from methanol-fueled or gaseous-fueled diesel-cycle certification engines.
(2) Particulate matter emissions from Otto-cycle certification engines or gaseous-fueled certification engines.
(3) CO emissions from diesel-cycle certification engines.
(4) Formaldehyde emissions from petroleum-fueled engines.
(5) Particulate matter and formaldehyde emissions when conducting Selective Enforcement Audit testing of Otto-cycle engines.
(6) Smoke from methanol-fueled or petroleum-fueled diesel-cycle certification engines.
(7) Smoke when conducting Selective Enforcement Audit testing of diesel-cycle engines.
(8) Evaporative emissions from vehicles fueled by natural gas, liquefied petroleum gas, or hydrogen.
(d)-(e)(1) [Reserved]. For guidance see § 86.098-23.
(e)(2) and (e)(3) [Reserved]. For guidance see § 86.001-23.
(f)-(g) [Reserved]
(h)-(k) [Reserved]. For guidance see § 86.098-23.
(l) [Reserved]
(m) [Reserved]. For guidance see § 86.098-23.
§ 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 § 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 § 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 § 86.098-28(g), one such certificate will be issued for each engine family-evaporative/refueling emission family combination. Each certificate will certify compliance with no more than one set of in-use and certification standards (or family emission limits, as appropriate).
(ii) For gasoline-fueled and methanol fueled heavy-duty vehicles, one such certificate will be issued for each manufacturer and will certify compliance for those vehicles previously identified in that manufacturer's statement(s) of compliance as required in § 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 § 86.094-28(a)(6), § 86.094-28(b)(5)(i), or § 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 NO X averaging program, the manufacturer may at any time during production elect to change the level of any family NO X emission limit by demonstrating compliance with the new limit as described in § 86.094-28(b)(5)(ii) or § 86.004-28(c)(5)(ii). New certificates issued under this paragraph will be applicable only for vehicles (or engines) produced subsequent to the day of issue.
(4)-(5) [Reserved]
(6) Catalyst-equipped vehicles, otherwise covered by a certificate, which are driven outside the United States, Canada, and Mexico will be presumed to have been operated on leaded gasoline resulting in deactivation of the catalysts. If these vehicles are imported or offered for importation without retrofit of the catalyst, they will be considered not to be within the coverage of the certificate unless included in a catalyst control program operated by a manufacturer or a United States Government agency and approved by the Administrator.
(7) [Reserved]
(8) For heavy-duty engines, a certificate covers only those new motor vehicle engines installed in heavy-duty vehicles which conform to the minimum gross vehicle weight rating, curb weight, or frontal area limitations for heavyduty vehicles described in § 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 § 86.094-21(e).
(10)(i) [Reserved]
(ii) For all heavy-duty diesel-cycle engines which are included in the particulate ABT programs under § 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 § 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 § 86.098-15 or superseding ABT sections as applicable will be considered to be a failure to satisfy the conditions upon which the certificate was issued, and the certificate may be deemed void ab initio.
(C) The manufacturer shall bear the burden of establishing to the satisfaction of the Administrator that the conditions upon which the certificate was issued were satisfied or excused.
(11)(i) [Reserved]
(ii) For all HDEs which are included in the NO X plus NMHC ABT programs contained in § 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 § 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 § 86.098-15 or superseding ABT sections as applicable will be considered to be a failure to satisfy the conditions upon which the certificate was issued, and the certificate may be deemed void ab initio.
(C) The manufacturer shall bear the burden of establishing to the satisfaction of the Administrator that the conditions upon which the certificate was issued were satisfied or excused.
(12)-(16) [Reserved]
(17) For all heavy-duty vehicles certified to evaporative test procedures and accompanying standards specified under § 86.096-10:
(i) All certificates issued are conditional upon the manufacturer complying with all provisions of § 86.096-10 both during and after model year production.
(ii) Failure to meet the required implementation schedule sales percentages as specified in § 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 § 86.098-11:
(i) All certificates issued are conditional upon the manufacturer complying with all provisions of § 86.098-11 both during and after model year production.
(ii) Failure to meet the required implementation schedule sales percentages as specified in § 86.098-11 will be considered to be a failure to satisfy the conditions upon which the certificate was issued and the vehicles sold in violation of the implementation schedule shall not be covered by the certificate.
(iii) The manufacturer shall bear the burden of establishing to the satisfaction of the Administrator that the conditions upon which the certificate was issued were satisfied.
(b)(1) The Administrator will determine whether a vehicle (or engine) covered by the application complies with applicable standards (or family emission limits, as appropriate) by observing the following relationships: in paragraphs (b)(1)(i) through (iv) of this section:
(i)-(ii) [Reserved]
(iii) Heavy-duty engines. (A) An Otto-cycle emission data test engine selected under § 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 § 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 § 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 § 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 § 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 § 86.091-29, data or information derived from any inspection carried out under § 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 § 86.078-6 with respect to such issue.
(4) [Reserved]
(5) For heavy-duty engines the manufacturer may, at his option, proceed with any of the following alternatives 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 § 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 § 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 § 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 § 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 § 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 § 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 § 86.078-6. If the Administrator finds, after a review of the request and supporting data, that the request raises a substantial factual issue, he will grant the request with respect to such issue.
(d) [Reserved]
(e) For light-duty trucks and heavy-duty engines. (1) Notwithstanding the fact that any vehicle configuration or engine family may be covered by a valid outstanding certificate of conformity, the Administrator may suspend such outstanding certificate of conformity in whole or in part with respect to such vehicle or engine configuration or engine family if:
(i) The manufacturer refuses to comply with the provisions of a test order issued by the Administrator pursuant to § 86.1003; or
(ii) The manufacturer refuses to comply with any of the requirements of § 86.1003; or
(iii) The manufacturer submits false or incomplete information in any report or information provided pursuant to the requirements of § 86.1009; or
(iv) The manufacturer renders inaccurate any test data submitted pursuant to § 86.1009; or
(v) Any EPA Enforcement Officer is denied the opportunity to conduct activities related to entry and access as authorized in § 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 § 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 §§ 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 § 86.1006 in fact occurred, if the manufacturer wishes to contend that, although the violation occurred, the vehicle or engine configuration or engine family in question was not involved in the violation to a degree that would warrant suspension of certification under paragraph (e)(1)(v) of this section, he shall have the burden of establishing that contention to the satisfaction of the Administrator.
(6) Any suspension of certification under paragraph (e)(1) of this section shall:
(i) Be made only after the manufacturer concerned has been offered an opportunity for a hearing conducted in accordance with § 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 § 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 § 86.1014.
§ 86.008-10   Emission standards for 2008 and later model year Otto-cycle heavy-duty engines and vehicles.
This section applies to new 2008 and later model year Otto-cycle heavy-duty engines and vehicles. Starting in model year 2021, this section applies to light HDE and medium HDE, but it no longer applies to heavy HDE (see 40 CFR 1036.140(a) and 1036.150(c)).
(a)(1) Exhaust emissions from new 2008 and later model year Otto-cycle HDEs shall not exceed:
(i)(A) Oxides of Nitrogen (NO X ). 0.20 grams per brake horsepower-hour (0.075 grams per megajoule).
(B) A manufacturer may elect to include any or all of its Otto-cycle HDE families in any or all of the NO X and NO X plus NMHC emissions ABT programs for HDEs, within the restrictions described in § 86.008-15 or § 86.004-15. If the manufacturer elects to include engine families in any of these programs, the NO X FEL may not exceed 0.50 grams per brake horsepower-hour (0.26 grams per megajoule). This ceiling value applies whether credits for the family are derived from averaging, banking, or trading programs. The NO X FEL cap is 0.80 for model years before 2011 for manufacturers choosing to certify to the 1.5 g/bhp-hr NO X + NMHC standard in 2003 or 2004, in accordance with § 86.005-10(f).
(ii)(A) Nonmethane hydrocarbon (NMHC) for engines fueled with gasoline. 0.14 grams per brake horsepower-hour (0.052 grams per megajoule).
(B) Nonmethane-nonethane hydrocarbon (NMNEHC) for engines fueled with natural gas or liquefied petroleum gas. 0.14 grams per brake horsepower-hour (0.052 grams per megajoule).
(C) Nonmethane hydrocarbon equivalent (NMHCE) for engines fueled with methanol. 0.14 grams per brake horsepower-hour (0.052 grams per megajoule).
(D) A manufacturer may elect to include any or all of its Otto-cycle HDE families in any or all of the hydrocarbon emission ABT programs for HDEs, within the restrictions described in § 86.007-15 or § 86.004-15. If the manufacturer elects to include engine families in any of these programs, the hydrocarbon FEL may not exceed 0.30 grams per brake horsepower-hour. This ceiling value applies whether credits for the family are derived from averaging, banking, or trading programs. The hydrocarbon FEL cap is 0.40 for model years before 2011 for manufacturers choosing to certify to the 1.5 g/bhp-hr NO X + HC in 2004, as allowed in § 86.005-10.
(iii) Carbon monoxide. 14.4 grams per brake horsepower-hour (5.36 grams per megajoule).
(iv) Particulate. 0.01 grams per brake horsepower-hour (0.0037grams per megajoule).
(2) The standards set forth in paragraph (a)(1) of this section refer to the exhaust emitted over the operating schedule set forth in paragraph (f)(1) of Appendix I to this part, and measured and calculated in accordance with the procedures set forth in subpart N or P of this part:
(i) Perform the test interval set forth in paragraph (f)(1) of Appendix I of this part with a cold-start according to 40 CFR part 1065, subpart F. This is the cold-start test interval.
(ii) Shut down the engine after completing the test interval and allow 20 minutes to elapse. This is the hot soak.
(iii) Repeat the test interval. This is the hot-start test interval.
(iv) Calculate the total emission mass of each constituent, m, and the total work, W, over each test interval according to 40 CFR 1065.650.
(v) Determine your engine's brake-specific emissions using the following calculation, which weights the emissions from the cold-start and hot-start test intervals:
(3)-(4) [Reserved]
(b) This paragraph (b) applies as specified in 40 CFR 1037.103. Evaporative emissions from heavy-duty vehicles shall not exceed the following standards when measured using the test procedures specified in 40 CFR 1037.501. The standards apply equally to certification and in-use vehicles. The spitback standard also applies to newly assembled vehicles. For certification vehicles only, manufacturers may conduct testing to quantify a level of nonfuel background emissions for an individual test vehicle. Such a demonstration must include a description of the source(s) of emissions and an estimated decay rate. The demonstrated level of nonfuel background emissions may be subtracted from emission test results from certification vehicles if approved in advance by the Administrator.
(1) Hydrocarbons (for vehicles equipped with gasoline-fueled, natural gas-fueled or liquefied petroleum gas-fueled engines).
(i) For vehicles with a Gross Vehicle Weight Rating of up to 14,000 lbs:
(A)( 1 ) For the full three-diurnal test sequence described in § 86.1230-96, diurnal plus hot soak measurements: 1.4 grams per test.
( 2 ) For the supplemental two-diurnal test sequence described in § 86.1230-96, diurnal plus hot soak measurements (gasoline-fueled vehicles only): 1.75 grams per test.
(B) Running loss test (gasoline-fueled vehicles only): 0.05 grams per mile.
(C) Fuel dispensing spitback test (gasoline-fueled vehicles only): 1.0 grams per test.
(ii) For vehicles with a Gross Vehicle Weight Rating of greater than 14,000 lbs:
(A)( 1 ) For the full three-diurnal test sequence described in § 86.1230-96, diurnal plus hot soak measurements: 1.9 grams per test.
( 2 ) For the supplemental two-diurnal test sequence described in § 86.1230-96, diurnal plus hot soak measurements (gasoline-fueled vehicles only): 2.3 grams per test.
(B) Running loss test (gasoline-fueled vehicles only): 0.05 grams per mile.
(2) Total Hydrocarbon Equivalent (for vehicles equipped with methanol-fueled engines).
(i) For vehicles with a Gross Vehicle Weight Rating of up to 14,000 lbs:
(A)( 1 ) For the full three-diurnal test sequence described in § 86.1230-96, diurnal plus hot soak measurements: 1.4 grams carbon per test.
( 2 ) For the supplemental two-diurnal test sequence described in § 86.1230-96, diurnal plus hot soak measurements: 1.75 grams carbon per test.
(B) Running loss test: 0.05 grams carbon per mile.
(C) Fuel dispensing spitback test: 1.0 grams carbon per test.
(ii) For vehicles with a Gross Vehicle Weight Rating of greater than 14,000 lbs:
(A)( 1 ) For the full three-diurnal test sequence described in § 86.1230-96, diurnal plus hot soak measurements: 1.9 grams carbon per test.
( 2 ) For the supplemental two-diurnal test sequence described in § 86.1230-96, diurnal plus hot soak measurements: 2.3 grams carbon per test.
(B) Running loss test: 0.05 grams carbon per mile.
(3)(i) For vehicles with a Gross Vehicle Weight Rating of up to 26,000 lbs, the standards set forth in paragraphs (b)(1) and (b)(2) of this section refer to a composite sample of evaporative emissions collected under the conditions and measured in accordance with the procedures set forth in subpart M of this part.
(ii) For vehicles with a Gross Vehicle Weight Rating of greater than 26,000 lbs., the standards set forth in paragraphs (b)(1)(ii) and (b)(2)(ii) of this section refer to the manufacturer's engineering design evaluation using good engineering practice (a statement of which is required in § 86.098-23(b)(4)(ii)).
(4) All fuel vapor generated in a gasoline- or methanol-fueled heavy-duty vehicle during in-use operations shall be routed exclusively to the evaporative control system (e.g., either canister or engine purge). The only exception to this requirement shall be for emergencies.
(5) Compressed natural gas vehicles must meet the requirements for fueling connection devices as specified in § 86.1813-17(f)(1). Vehicles meeting these requirements are deemed to comply with evaporative emission standards.
(c) No crankcase emissions shall be discharged into the ambient atmosphere from any new 2008 or later model year Otto-cycle HDE.
(d) Every manufacturer of new motor vehicle engines subject to the standards prescribed in this section shall, prior to taking any of the actions specified in section 203(a)(1) of the Act, test or cause to be tested motor vehicle engines in accordance with applicable procedures in subpart N or P of this part to ascertain that such test engines meet the requirements of this section.
(e) The standards described in this section do not apply to Otto-cycle medium-duty passenger vehicles (MDPVs) that are subject to regulation under subpart S of this part, except as specified in subpart S of this part. The standards described in this section also do not apply to Otto-cycle engines used in such MDPVs, except as specified in subpart S of this part. The term “medium-duty passenger vehicle” is defined in § 86.1803.
(f) [Reserved]
(g) Model years 2018 through 2026 engines that will be installed in specialty vehicles as allowed by 40 CFR 1037.605 may meet alternate emission standards as follows:
(1) The engines must be of a configuration that is identical to one that is certified under 40 CFR part 1048 to the Blue Sky standards under 40 CFR 1048.140.
(2) Except as specified in this paragraph (g), engines certified under this paragraph (g) must meet all the requirements that apply under 40 CFR part 1048 instead of the comparable provisions in this subpart A. Before shipping engines under this section, you must have written assurance from the vehicle manufacturers that they need a certain number of exempted engines under this section. In your annual production report under 40 CFR 1048.250, count these engines separately and identify the vehicle manufacturers that will be installing them. Treat these engines as part of the corresponding engine family under 40 CFR part 1048 for compliance purposes such as testing production engines, in-use testing, defect reporting, and recall.
(3) The engines must be labeled as described in § 86.095-35, with the following statement instead of the one specified in § 86.095-35(a)(3)(iii)(H): “This engine conforms to alternate standards for specialty vehicles under 40 CFR 86.008-10(g)”. Engines certified under this paragraph (g) may not have the label specified for nonroad engines in 40 CFR part 1048 or any other label identifying them as nonroad engines.
(4) In a separate application for a certificate of conformity, identify the corresponding nonroad engine family, describe the label required under this paragraph (g), state that you meet applicable diagnostic requirements under 40 CFR part 1048, and identify your projected U.S.-directed production volume.
(5) No additional certification fee applies for engines certified under this paragraph (g).
(6) Engines certified under this paragraph (g) may not generate or use emission credits under this part. The vehicles in which these engines are installed may generate or use emission credits as described in 40 CFR part 1037.
(7) Engines may instead meet standards for heavy-duty highway engines in California, as demonstrated by an Executive Order issued by the California Air Resources Board.
§ 86.010-2   Definitions.
The definitions of § 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 §§ 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 § 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 § 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 § 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.