Environmental Protection Agency
Subpart 0-Miscellaneous Plan Content Requirements
51.280 Resources. 51.281 Copies ofrules andregulations. 51.285 Publicnotification

. 51.286 Electronicreporting. Subpart P-Protection of Visibility
51.300 Purpose and applicability. 51.301 Definitions

. 51.302 Implementation control strategies for reasonably attributable visibility impairment

. 51.303 Exemptionsfrom control. 51.304 Identification ofIntegral vistas. 51.305 Monitoring for reasonably attributable visibility impairment

. 51.306 Long-term strategy requirements for reasonably attributable visibility impairment. 51.307 New source review. 51.308 Regional haze program requirements

. 51.309 Requirements related to the Grand Canyon Visibility Transport Commission. Subpart Q-Reports

AIR QUALITY DATA REPORTING 51.320 Annual airquality datareport.

SOURCE EMISSIONS AND STATE ACTION REPORTING 51.321 Annual source emissions and State actionreport

. 51.322 Sources subject to emissions reportIng. 51.323 Reportable emissions data and Information. 51.324 Progress In plan enforcement. 51.326 Reportablerevisions. 51.327 Enforcement orders and other State actions. 51.328 [Reserved] Subpart R-Extensions
51.341 Request for 18-monthextension. Subpart 5-tnspection/Maintenance Program Requirements
51.350 Applicability. 51.351 Enhanced 11M performance standard. 51.352 Basic 11M performance standard. 51.353 Network type and program evaluation. 51.354 Adequate tools andresources

. 51.355 Testfrequency and convenience. 51.356 Vehicle coverage. 51.357 Testproceduresand standards. 51.356 Testequipment. 51.359 Qualitycontrol. 51.360 Waivers and compliance via diagnostic Inspection. 

### Pf. 51

51.361 Motoristcompliance enforcement

. 51.362 Motorist compliance enforcement program oversight. 51.363 Quailty assurance. 51.364 Enforcement against contractors, stations and Inspectors. 51.365 Datacollection. 51.366 Data analysis andreporting. 51.367 Inspector training and licensing or certification. 51.368 Public Information and consumer protection

. 51.369 Improvingrepair effect!veness. 51.370 Compliance with recall notices. 51.371 On-road testing. 51.372 State Implementation Plan submissions

. 51.373 Implementation deadlines.

APPENDIX A TO SUBPART S

- CALIBRATIONS, ADJUSTMENTS AND QUALITY CONTROL APPENDIX B TO SUBPART S

- TEST PROCEDURES APPENDIX C TO SUBPART S-STEADY-STATE SHORT TEST STANDARDS APPENDIX D TO SUBPART S-STEADY-STATE SHORT TEST EQUIPMENT APPENDIX E TO SUBPART S-TRANSIENT TEST DRIVING CYCLE Subpart T-conformity to State or Federal Implementation Plans of Transportation Plans, Programs, and Projects Developed, Funded or Approved Under Title 23 U.S

.C

. or the Federal Transit Laws
51.390 Implementation plan revision. Subpart U-Economic Incentive Programs
51.490 Appllcabillty. 51.491 Definitions

. 51.492 State program election and submittal. 51.493 State program requirements

. 51.494 Use ofprogram revenues. Subpart W-Determlning Conformity of General Federal Actions to State or Federal Implementation Plans
51.850 [Reserved] 51.851 State Implementation plan (SIP) or Tribal implementation plan (TIP) revision. 51

.852--51.860 [Reserved] Subpart X-Provisions for Implementation of 8-hour Ozone National Ambient Air Quality Standard
51.900 Definitions

. 51.901 Applicability ofpart51. 51.902 Which classification and nonattain- ment area planning provisions of the CAA shall apply to areas designated nonattainmentfor the 1997 8-hourNAAQS?


### 153d 

### §51.350
(d) Any such request must be submitted sufficiently early to permit development of a plan prior to the deadline in the event that such request is denied. [51 FR40675, Nov. 7, 1986) 

### Subpart nonce ments S-lnspection/MainteProgram RequireSOURCE: 57 FR 52987
, Nov. 5, 1992, unless otherwise noted.
§51.350 Applicability.

Inspection/maintenance (I!M) programs are required in both ozone and carbon monoxide (CO) nonattainment areas, depending upon population and nonattainment classification or design value.

(a) Nonattainment area classification and population criteria. (1) States or areas within an ozone transport region shall implement enhanced liM programs in any metropolitan statistical
area (MSA), or portion of an MSA, within the State or area with a 1990 population of 100,000 or more as defined by the Office ofManagement and Budget (OMB) regardless of the area's attainment classification. In the case of
a multi-state MSA, enhanced I!M shall be implemented in all ozone transport region portions ifthe sum of these portions has a population of 100,000 or more, irrespective of the population of the portion in the individual ozone transportregion State or area.

(2) Apart from those areas described in paragraph (a)(1) of this section
, any area classified as serious or worse ozone nonattainment, or as moderate
or serious CO nonattainmentwith a design value greater than 12.7 ppm, and having a 1980 Bureau of Census-defined (Census-defined) urbanized area population of 200,000 or more, shall implement enhanced liM in the 1990 Censusdefined urbanized area.

(3) Any area classified, as of Novem

ber 5
, 1992, as marginal ozone nonattainment or moderate CO nonattainment with a design value of 12.7 ppm or less shall continue operating liM programs that were part of an approved State Implementation Plan (SIP) as of November 15, 1990
, and shall update 40 CFR Ch

. I (7

- 1-12 Edition)

those programs as necessary to meet the basic liM program requirements of this subpart. Any sucharearequired by the Clean Air Act, as in effect prior to November 15, 1990
, as interpreted in EPA guidance, to have an liM program shall also implement a basic liM program. Serious, severe and extreme
ozone areas and CO areas over 12.7 ppm shall also continue operating existing liM programs and shall upgrade such programs, as appropriate, pursuant to this subpart.

(4) Any area classified as moderate
ozone nonattainment
, and not required to implement enhanced liM underparagraph (a)(1) ofthis section, shall implement basic liM in any 1990 Census-defined urbanized area with a population of200
,000 or more

.

(5) [Reserved] (6) If the boundaries of a moderate
ozone nonattainment area are changed pursuant to section 107(d)(4)(A)(i)-(ii) of the Clean Air Act
, such that the area includes additional urbanized areas with a population of 200,000 or more, then a basic liM program shall be implemented in these additional urbanized areas

.

(7) If the boundaries of a serious or worse ozone nonattainment area or ofa moderate or serious CO nonattainment
area with a design value greater than 12.7 ppm are changedany time afterenactment pursuant to section 107(d)(4)(A) such that the area includes additional urbanized areas, then an en- hanced liM program shall be implemented in the newly included 1990 Census-defined urbanized areas, if the 1980 Census-defined urban area population is200,000 ormore.

(8) If a marginal ozone nonattainment area, not required to implement enhanced liM under paragraph (a)(1) of this section, is reclassified to moderate, a basic liM program shall be implemented in the 1990 Census-defined urbanized area(s) with a population of 200
,000 or more

. If the area is reclassified to serious or worse, an enhanced II M program shallbe implementedin the 1990 Census-defined urbanized area, if the 1980 Census-defined urban area populationis 200
,000 ormore

.

(9) If a moderate ozone or CO nonattainment area is reclassified to seri-
ous or worse, an enhanced liM program


### 314

### Environmental Protection Agency

shall be implemented in the 1990 Census-defined urbanized area, if the 1980 Census-defined population is 200,000 or more.

(b) 

### Extent ofarea coverage. (1) In an ozone transport region, the program shall cover all counties within subject MSAs or subject portions of MSAs, as defined by OMB in 1990, except largely rural countieshavinga population density of less than 200 persons per square mile based on the 1990 Census and counties with less than 1% ofthe population in the MSA may be excluded provided that at least 50% of the MSA population is included in the program. This provision does not preclude the voluntary inclusion of portions of an excluded county. Non-urbanized islands not connected to the mainland by roads, bridges, or tunnels may be ex- cluded withoutregard to population.

(2) Outside of ozone transport re- gions, programs shall nominally cover at least the entire urbanized area, based on the 1990 census. Exclusion of
some urban population is allowed as long as an equal number of non-urban residents of the MSA containing the subject urbanized area are included to compensatefor the exclusion.

(3) Emission reduction benefits from expanding coverage beyond the min

- imum required urban area boundaries
can be applied toward the reasonable further progress requirements or can be used for offsets
, provided the cov- ered vehicles are operated in the non- attainment area, but not toward the enhanced IJM 

### performance standard re- quirement.

(4) In a multi-state urbanized area with a population of 200,000 or more that is required under paragraph (a) of this section to implement IIM, any State with a portion ofthe area having
a 1990 Census-defined population of 50,000 or more shall implement an IIM program. The other coverage requirements in paragraph (b) of this section shall apply in multi-state areas aswell.

(5) Notwithstanding the limitation in paragraph (b)(3) of this section, in an ozone transport region, States which opt for a program which meets the performance standard described in §

### 51.351(h) and claim in their SIP less emission reduction credit than the basic performance standard for one or §51.351



### more pollutants, may apply a geographic bubble covering areas in the State not otherwise subject to an IIM requirement to achieve emission reductions from other measures equal to or greater than what would have been achieved if 

### the low enhanced perform-
ance standard were met in the subject IIM areas

. Emissions reductions from non-IIM measures shall not be counted towards the OTR low enhanced performance standard.

(c) 

### Requirements after attainment. All IIM programs shall provide that the program will remain effective, even if the area is redesignated to attainment status or the standardis otherwiseren- dered no longer applicable, until the State submits and EPA approves a SIP revision which convincingly demonstrates that the area can maintain the relevant standard(s) without benefit of the emission reductions attributable to the IIM program

. The State shall commit to fully implement and enforce the program until such a demonstration can be made and approved by EPA. At a minimum
, for the purposes of SIP approval, legislation au- thorizing the program shall not sunset prior to the attainment deadline for the applicable National Ambient Air Quality Standards (NAAQS).

(d)

### SIP requirements. The SIP shall de

- scribe the applicable areas in detail and, consistent with §51.372 ofthis subpart, shall include the legal authority
orrules necessary to establish program boundaries.
[57 FR 52987
, Nov. 5, 1992, as amended at 60 FR 48034, Sept. 18, 1995; 61 FR 39036, July 25, 1996; 65 FR45532
, July 24, 2000)
§51.351 Enhanced 11M performance

. standard. 

### (a) [Reserved] (b) 

### On-road testing

. The performance standard shall include on-road testing (including out-of-cycle repairs in the
case of confirmed failures) of at least 0.5% of the subject vehicle population,
or20,000 vehicles whichever is less, as a supplement to the periodic inspection required in paragraphs (f), 

### (g), and (h) of this section. Specific requirements
are listedin §51.371 ofthis subpart

.

(c) On-board diagnostics (OBD). For those areas required to implement an 

### 315§51.351

enhanced I/M program prior to the effective date of designation and classifications under the 8-hour ozone standard, the performance standard shall include inspection of all model year 1996 and later light-duty vehicles and lightduty trucks equipped with certified on- board diagnostic systems, and repair of malfunctions or system deterioration identified by or affecting OBD systems
as specified in §51.357, and assuming a start date of 2002 for such testing. For
areas required to implement enhanced I/M as a result of designation and classification under the 8-hour ozone standard, the performance standard defined in paragraph (i) of this section shall include inspection of all model year 2001 and later light-duty vehicles and light-duty trucks equipped with certified on-board diagnostic systems, and repair of malfunctions or system deterioration identified by or affecting OBD systems as specified in §51.357, and assuming a start date of 4 years after the effective date of designation and classification under the 8-hour
ozone standard.

(d) Modeling requirements. Equivalency of the emission levels which will be achieved by the I/M program design in the SIP to those of the model program described in this section shall be demonstrated using the most current version of EPA's mobile source emission model
, or an alternative approved by the Administrator, using EPA guidance to aid in the estimation of input parameters. States may adopt alternative approaches that meet this performance standard. States may do so through program design changes that affect normal IJM input parameters to the mobile source emission factor model, or through program changes (such as the accelerated retirement of high emitting vehicles) that reduce inuse mobile source emissions. Ifthe Administrator finds
, under section 182(b)(1)(A)(i) of the Act pertaining to reasonable further progress demonstrations or section 182(f)(1) of the Act pertaining to provisions for major stationary sources, that NOx emission re- ductions are not beneficial in a given
ozone nonattainment area, then NOx emission reductions are not required of the enhanced IJM program, but the program shall be designed to offset NOx 40 CFR Ch

. I (7-1-12 Edition)

increases resulting from the repair of HC and CO failures

.

(e) [Reserved) (f) High Enhanced Performance Standard

. Enhanced I/M programs shall be designed and implemented to meet or exceed a minimum performance standard, which is expressed as emission levels inarea-wide average grams permile (gpm), achieved from highway mobile
sources as a result ofthe program. The emission levels achieved by the State's program design shall be calculated using the most current version
, at the time of submittal, of the EPA mobile
source emission factor model or an alternative model approved by the Administrator
, and shall meet the minimum performance standard both in operation and for SIP approval. Areas shall meet the performance standard for the pollutants which cause them to be subject to enhanced IJM requirements

. In the case of ozone nonattainment areas subject to enhancedIJM and subject areas in the Ozone Transport Region, the performance standard must be met for both oxides of nitrogen (NOx) and volatile organic compounds (VOCs), except as provided in paragraph (d) ofthis section. Except as provided in paragraphs (g) and (h) of this section
, the model program elements for the enhanced I/M performance standard shallbe as follows:

(1) Network type. Centralizedtesting. (2) Start date. For areas with existing I!M programs, 1983

. For areas newly subject, 1995.

(3) Test frequency

. Annual testing. (4) Model year coverage. Testing of 1968 andlatervehicles.

(5) Vehicle type coverage. Light duty vehicles, and light duty trucks
, rated up to 8,500 pounds Gross Vehicle WeightRating (GVWR).

(6) Exhaust e mission test type. Transient mass-emission testing on 1986 and later model year vehicles using the IM240 driving cycle, two-speed testing (as described in appendix B of this subpart S) of 1981-1985 vehicles, and idle testing (as described in appendix B of this subpart S) of pre-1981 vehicles is assumed.

(7) Emission standards. (i) Emission standards for 1986 through 1993 model year light duty vehicles, and 1994 and 1995 light-duty vehicles not meeting


### 316Environmental Protection Agency

Tier 1 emission standards, of 0.80 gpm hydrocarbons (HC), 20 gpm CO, and 2.0 gpm NOx;

(ii) Emission standards for 1986 through 1993 light duty trucks less than 6000 pounds gross vehicle weight rating (GVWR), and 1994 and 1995 trucks not meeting Tier 1 emission standards, of 1.2 gpm HC, 20 gpm CO, and 3

.5gpm NOx;

(iii) Emission standards for 1986 through 1993 light duty trucks greater than 6000 pounds GVWR, and 1994 and 1995 trucks not meeting the Tier 1 emission standards, of 1.2 gpm HC, 20 gpm CO, and 3.5 gpmNOx;

(iv) Emission standards for 1994 and laterlight duty vehicles meetingTier 1 emission standards of 0.70 gpm HC, 15 gpm CO, and 1.4 gpmNOx;

(v) Emission standards for 1994 and later light duty trucks under 6000 pounds GVWR and meeting Tier 1emission standards of 0.70 gpm HC, 15 gpm CO, and 2.0 gpm NOx;

(vi) Emission standards for 1994 and later light duty trucks greater than 6000 pounds GVWR and meeting Tier 1 emission standards of 0.80 gpm HC, 15 gpm CO and 2.5 gpm NOx;

(vii) Emission standards for 1981-1985 model year vehicles of 1.2% CO, and 220 gpm HC for the idle, two-speed tests and loaded steady-state tests (as described in appendix B of this subpart S); and

(viii) Maximum exhaust dilution measured as no less than 6% CO plus carbon dioxide (C02) on vehicles subject to a steady-state test (as described inappendix B ofthis subpart S); and

(viii) Maximum exhaust dilution measured as no less than 6% CO plus carbon dioxide (C02) on vehicles subject to a steady-state test (as described inappendix B ofthis subpart S)

.

(8) Emission control device inspections. (i) Visual inspection of the catalyst and fuel inlet restrictor on all 1984 and later model yearvehicles.

(ii) Visual inspection of the positive crankcase ventilation valve on 1968 through 1971 model years, inclusive, and of the exhaust gas recirculation valve on 1972 through 1983 model year vehicles, inclusive.

(9) Evaporative system function checks. Evaporative system integrity {pressure) test on 1983 and later model year §51.351

vehicles and an evaporative system transient purge test on 1986 and later model yearvehicles.

(10) Stringency. A 20% emission test failure rate among pre-1981 model year vehicles.

(11) Waiver rate. A 3% waiver rate, as a percentage offailed vehicles.

(12) Compliance rate. A 96% compliancerate.

(13) Evaluation date

. Enhanced liM program areas subject to the provisions of this paragraph shall be shown to obtain the same or lower emission levels
as the model program described in this paragraph by January 1, 2002 to within ±0.02 gpm. Subject programs shall demonstrate through modeling the ability to maintain this level of emission re- duction (or better) through their attainment deadline for the applicable NAAQS standard(s)

.

(g) Alternate Low Enhanced J IM Performance Standard. An enhanced liM
area which is either not subject to or has an approved State Implementation Plan pursuant to the requirements of the Clean Air Act Amendments of 1990 for Reasonable Further Progress in 1996, and does not have a disapproved plan for Reasonable Further Progress for the period after 1996 or a disapproved plan for attainment ofthe air quality standards for ozone or CO, may select the alternate low enhanced liM performance standard described below in lieu of the standard described in paragraph (f) ofthis section. The model program elements for this alternate low enhanced liM performance standard are:

(1) Network type. Centralized testing. (2) Start date. For areas with existing liM programs, 1983

. For areas newly subject, 1995.

(3) Test frequency. Annual testing. (4) Model year coverage

. Testing of 1968 and newervehicles.

(5) Vehicle type coverage

. Light duty vehicles, and light duty trucks, rated upto 8,500 pounds GVWR.

(6) Exhaust emission test type. Idle testing of all covered vehicles (as described in appendix B ofsubpart S).

(7) Emission standards. Those specified in40 CFRpart 85, subpartW.

(8) Emission control device inspections. Visual inspection ofthe positive crank-
case ventilation valve on all 1968


### 317§51.351 through 1971 model year vehicles, inclusive, and of the exhaust gas recirculation valve on all 1972 and newer model yearvehicles.

(9) Evaporative system Junction checks

. None

.

(10) Stringency. A 20% emission test failure rate among pre-1981 model year vehicles.

(11) Waiver rate. A 3% waiver rate, as a percentage offailed vehicles.

(12) Compliance rate

. A 96% compliance rate.

(13) Evaluation date

. Enhanced liM program areas subject to the provisions of this paragraph (g) shall be shown to obtain the same or lower emission levels as the model program described in this paragraph by January 1, 2002 to within ±0.02 gpm. Subject programs shall demonstrate through modeling the ability to maintain this level of emission reduction (or better) through their attainment deadline for the applicable NAAQS standard(s).

(h) Ozone Transport Re gion Low-Enhanced Performance Standard. An attainment area, marginal ozone area, or moderate ozone area with a 1980 Census population of less than 200,000 in the urbanized area, in an ozone transport region
, that is required to implement enhanced IJM under section 184(b)(1)(A) of the Clean Air Act
, but was not previously required to or did not in fact implement basic liM under the Clean Air Act as enacted prior to 1990 and is not subject to the requirements for basic liM programs in this subpart, may select the performance standard described below in lieu of the standard described in paragraph (f) or (g) of this section as long as the difference in emission reductions between the program described in paragraph (g) and this paragraph are made up with other measures, as provided in §51.350(b)(5)

. Offsetting measures shall not include those otherwise required by the Clean Air Act in the areas from which credit is bubbled. The program elements for this alternate OTR enhanced liM performance standardare:

(1) Network type. Centralized testing. (2) Start date. January 1
, 1999

. (3) Test frequency. Annual testing. (4) Model year coverage. Testing of 1968 andnewervehicles. 40 CFR Ch

. I (7-1-12 Edition)
(5) Vehicle type coverage. Light duty vehicles
, and light duty trucks, rated upto 8
,500 pounds GVWR.

(6) Exhaust emission test type. Remote sensing measurements on 1968-1995 ve- hicles; on-board diagnostic system checks on 1996 andnewervehicles.

(7) Emission standards

. For remote sensing measurements, a carbon monoxide standard of 7.5% (with at least two separate readings above this level to establish a failure).

(8) Emission control device inspections. Visual inspection of the catalytic con- verter on 1975 and newer vehicles and visual inspection ofthe positive crankcase ventilation valve on 1968-1974 ve- hicles.

(9) Waiver rate. A 3% waiver rate, as a percentage offailed vehicles.

(10) Compliance rate. A 96% compliance rate.

(11) Evaluation date. Enhanced liM program areas subject to the provisions of this paragraph shall be shown to obtain the same or lower VOC and NOx emission levels as the model program described in this paragraph (h) by January 1
, 2002 to within ±0.02 gpm. Subject programs shall demonstrate through modeling the ability to maintain this level of emission reduction (or better) through their attainment deadline for the applicable NAAQS standard(s). Equality of substituted emission reductions to the benefits of the low enhanced performance standard must be demonstrated for the same evaluation date.

(i) Enhanced performance standard for
areas designated and classified under the 8-hour ozone standard

. Areas requiredto implement an enhancedIJM program as a result of being designated and classified under the 8-hour ozone standard, must meet or exceed the HC and NOx emission reductions achieved by the model program defined as follows:

(1) Network type. Centralized testing. (2) Start date. 4 years after the effective date of designation and classification underthe 8-hour ozone standard

.

(3) Test frequency. Annual testing. (4) Model year coverage. Testing of 1968 andnewervehicles.

(5) Vehicle type coverage

. Light duty vehicles, and light duty trucks, rated upto 8
,500 pounds GVWR.


### 318

### Environmental Protection Agency
(6) Emission test type. Idle testing (as described in appendix B ofthis subpart) for 1968--2000 vehicles; onboard diagnostic checks on 2001 and newer vehicles.

(7) Emission standards. Those specified in40 CFRpart 85, subpartW.

(8) Emission control device inspections. Visual inspection ofthe positive crankcase ventilation valve on all 1968 through 1971 model year vehicles, inclusive
, and of the exhaust gas recirculation valve on all 1972 and newer model yearvehicles.

(9) Evaporative system function checks. None, with the exception of those performed by the OED system on vehicles so-equipped and only for model year 2001 and newervehicles.

(10) Stringency. A 20% emission test failure rate among pre-1981 model year vehicles.

(11) Waiver rate. A 3% waiver rate, as a percentage offailed vehicles.

(12) Compliance rate. A 96% compliance rate

.

(13) Evaluation date. Enhanced IIM program areas subject to the provisions of this paragraph (i) shall be shown to obtain the same or lower emission levels for HC and NOx as the model program described in this paragraph assuming an evaluation date set 6 years after the effective date of designation and classification under the 8-hour
ozone standard (rounded to the nearest July) to within ±0.02 gpm. Subject programs shall demonstrate through modeling the ability to maintain this percent level of emission reduction (or better) through their applicable attainment date for the 8-hour ozone standard
, also roundedto the nearestJuly.
[57 FR 52987, Nov. 5
, 1992
, as amended at 58 FR 59367, Nov

. 9, 1993; 59 FR 32343, June 23
, 1994; 60 FR 48035
, Sept. 18, 1995; 61 FR 39036, July 25, 1996; 61 FR 40945, Aug

. 6, 1996; 63 FR 24433, May 4
, 1998; 65 FR 45532, July 24, 2000; 66 FR 18176
, Apr

. 5, 2001; 71 FR 17710, Apr

. 7, 2006]

§51.352 Basic 11M performance stand· ard

. (a) Basic IIM programs shall be designed and implemented to meet or ex- ceed a minimum performance standard, which is expressed as emission levels achieved from highway mobile sources as a result of the program. The per- 

### §51.352

formance standard shall be established using the following model IIM program inputs and local characteristics, such
as vehicle mix and local fuel controls. Similarly, the emission reduction benefits of the State's program design shall be estimated using the most current version of the EPA mobile source emission model, and shall meet the minimum performance standard both in operationand for SIP approval.

(1) Network type

. Centralizedtesting. (2) Start date. For areas with existing IIM programs, 1983. For areas newly subject, 1994.

(3) Testfrequency

. Annual testing. (4) Model year coverage

. Testing of 1968 andlatermodel yearvehicles.

(5) Vehicle type coverage. Light duty vehicles.

(6) Exhaust emission test type. Idle test.

(7) Emission standards. No weaker than specified in 40 CFR part 85, subpartW.

(8) Emission control device inspections. None.

(9) Stringency

. A 20% emission test failure rate among pre-1981 model year vehicles.

(10) Waiver rate. A 0% waiverrate. (11) Compliance rate

. A 100% compliance rate.

(12) Evaluation date. Basic IIM programs shall be shown to obtain the
same or lower emission levels as the model inputs by 1997 for ozone nonattainment areas and 1996 for CO nonattainment areas; and, for serious or worse ozone nonattainment areas, on each applicable milestone and attainment deadline, thereafter.

(b) Oxides ofnitrogen. Basic IIM testing in ozone nonattainment areas shall be designed such that no increase in NOx emissions occurs as a result ofthe program. If the Administrator finds, under section 182(b)(l)(A)(i) of the Act pertaining to reasonable further progress demonstrations or section 182(f)(1) of the Act pertaining to provisions for major stationary sources, that NOx emission reductions are not beneficial in a given ozone nonattainment area, then the basic IIM NOx re- quirement may be omitted. States shall implement any required NOx controls within 12 months of implementation of the program deadlines required


### 319

### §51.353

in §51.373 of this subpart, except that newly implemented I/M programs shall include NOx controls from the start

.

(c) On-board diagnostics (OBD). For those areas required to implement a basicliM program prior to the effective date of designation and classification under the 8-hour ozone standard
, the performance standard shall include inspection of all model year 1996 and later light-duty vehicles equipped with certified on

-board diagnostic systems, and repair of malfunctions or system deterioration identified by or affecting OBD systems as specified in §51.357
, and assuming a start date of 2002 for such testing. For areas required to implement basic I/M as a result of designation and classification under the 8- hour ozone standard, the performance standard defined in paragraph (e) of this section shall include inspection of all model year 2001 and later light-duty vehicles equipped with certified on- board diagnostic systems, and repair of malfunctions or system deterioration identified by or affecting OBD systems
as specified in §51.357, and assuming a start date of4 years after the effective date of designation and classification underthe 8-hour ozone standard.

(d) Modeling requirements. Equivalency of emission levels which will be achieved by the I/M program design in the SIP to those of the model program described in this section shall be demonstrated using the most current version of EPA's mobile source emission model and EPA guidance on the estimation of input parameters. Areas required to implement basic I/M programs shall meet the performance standard for the pollutants which
cause them to be subject to basic re- quirements. Areas subjectas a result of
ozone nonattainment shall meet the standard for VOCs and shall demonstrate no NOx increase, as required inparagraph (b) ofthis section.

(e) Basic performance standard [or
areas designated non-attainment for the 8-hour ozone standard. Areas required to implement a basic liM program as are- sult of being designated and classified under the 8-hour ozone standard, must meet or exceed the emissionreductions achieved by the model program defined for the applicable ozone precursor(s):

(1) Network type. Centralized testing. 40 CFR Ch. I (7-1-12 Edition)
(2) Start date. 4 years after the effective date of designation and classification under the 8-hourozone standard.

(3) Test frequency. Annual testing. (4) Model year coverage

. Testing of 1968 andnewervehicles

.

(5) Vehicle type coverage

. Light duty vehicles

.

(6) Emission test type. Idle testing (as described in appendix B ofthis subpart) for 1968-2000 vehicles; onboard diagnostic checks on 2001 and newer vehicles.

(7) Emission standards. Those specified in40 CFRpart85
, subpartW

.

(8) Emission control device inspections. None.

(9) Evaporative system function checks

. None
, with the exception of those performed by the OBD system on vehicles so-equipped and only for model year 2001 andnewervehicles.

(10) Stringency. A 20% emission test failure rate among pre-1981 model year vehicles

.

(11) Waiver rate. A 0% waiver rate, as a percentage offailed vehicles.

(12) Compliance rate. A 100% compliancerate.

(13) Evaluation date

. Basic liM program areas subject to the provisions of this paragraph (e) shall be shown to obtain the same or lower emission levels
as the model program described in this paragraph by an evaluation date set 6 years after the effective date of des

ignation and classification under the 8- hour ozone standard (rounded to the nearest July) for the applicable ozone precursor(s). [57 FR 52987, Nov. 5, 1992
, as amended at 61 FR 40945
, Aug. 6, 1996; 63 FR 24433
, May 4
, 1998; 66 FR 18177
, Apr

. 5
, 2001; 71 FR 17711, Apr. 7, 2006]
§51.353 Network type and program evaluation. Basic and enhanced liM programs can be centralized
, decentralized
, or a hybrid of the two at the State's discretion, but shall be demonstrated to achieve the same (or better) level of emission reduction as the applicable performance standard described in either §51.351 or 51.352 of this subpart. For decentralized programs other than those meeting the design characteristics described in paragraph (a) of this section, the State must demonstrate


### 320

### Environmental Protection Agency

that the program is achieving the level of effectiveness claimed in the plan within 12 months of the plan's final conditional approval before EPA can convert that approval to a final full approval. The adequacy of these demonstrations will be judged by the Administrator on a case-by

-case basis through notice-and-comment rulemaking.

(a) Presumptive equivalency. 

### A decentralized network consisting of stations that only perform official liM testing (which may include safety-related inspections) and in which owners and em- ployees ofthose stations
, or companies owning those stations, are contractually or legally barred from engaging in motor vehicle repair or service
, motor vehicle parts sales, and motor vehicle sale and leasing, either directly
or indirectly, and are barred from re- ferring vehicle owners to particular providers of motor vehicle repair serv- ices (except as provided in §51.369(b)(1) ofthis subpart) shall be considered presumptively equivalent to a centralized, test-only system including comparable test elements. States may allow such stations to engage in the full range of sales not covered by the above prohibition, including self-serve gasoline
, prepackaged oil
, or other
, non-automotive, convenience store items. At the State's discretion
, such stations may also fulfill other functions typically carried out by the State such as renewal of vehicle registration and driver's licenses, or tax and fee collections.

(b) [Reserved] (c) Program evaluation. 

### Enhanced liM 

### programs shall include an ongoing evaluation to quantify the emissionre- duction benefits ofthe program, and to determine if the program is meeting the requirements of the Clean Air Act and this subpart

.

(1) The State shall report the results of the program evaluation on a biennial basis
, starting two years after the initial start date of mandatory testing
asrequired in §51.373 ofthis subpart

.

(2)The evaluation shall be considered in establishing actual emission reductions achieved from liM 

### for the purposes of satisfying the requirements of sections 182(g)(1) and 182(g)(2) of the CleanAirAct, relating to reductions in 

### §51.353

emissions and compliance demonstration.

(3)The evaluationprogram shall consist
, at a minimum, of those items described in paragraph (b)(1) of this section and program evaluation data using a sound evaluation methodology,
as approved by EPA, and evaporative system checks, specified in §51.357(a) (9) and (10) of this subpart, for model years subject to those evaporative system test procedures

. The test data shall be obtained from a representative
, random sample
, taken at the time ofinitial inspection (before repair)ona minimum of 0

.1 percent of the vehicles subject to inspection in a given year. Such vehicles shall receive a State administered or monitored test, as specified in this paragraph (c)(3), prior to the performance of liM-triggered re

pairs during the inspection cycle under consideration

.

(4

) The program evaluation test data shall be submitted to EPA and shall be capable of providing accurate information about the overall effectiveness of
an liM program, such evaluation to begin no later than 1 year after program start-up.

(5) Areas that qualify for and choose to implement an OTR low enhancedliM program, as established in §51.351(h)
, and that claim in their SIP less emission reduction credit than the basic performance standard for one or more pollutants, are exempt from the re- quirements of paragraphs (c)(1) through (c)( 4) of this section. The reportsrequired under §51.366 ofthis part shallbe sufficientin these areas to satisfy the requirements of Clean Air Act for programreporting.

(d) SIP requirements. 

### (1) The SIP shall include a description of the network to be employed, the required legal authority
, and
, in the case of areas making claims under paragraph (b) of this section, the required demonstration.

(2) The SIP shall include a description of the evaluation schedule and protocol
, the sampling methodology, the data collection and analysis system, the resources and personnel for evaluation, and related details of the



### 321

### §51.354

evaluation program, and the legal authority enabling the evaluation program

. [57 FR 52987
, Nov. 5
, 1992
, as amended at 58 FR 59367, Nov

. 9
, 1993; 61 FR 39037
, July 25
, 1996; 63 FR 1368
, Jan. 9, 1998; 65 FR45532
, July 24
, 2000; 71 FR 17711, Apr

. 7
, 2006]

§51.354 Adequate tools and resources.

(a) 

### Administrative resources. The pro

- gram shall maintain the administrative resources necessary to perform all of the program functions including quality assurance, data analysis and reporting
, and the holding of hearings and adjudication of cases. A portion of the test fee ora separately assessed per vehicle fee shall be collected
, placed in
a dedicated fund and retained, to be used to finance program oversight
, management, and capital expenditures. Alternatives to this approach shall be acceptable if the State can demonstrate that adequate funding of the program can be maintained in some other fashion (e.g

., through contractual obligation along with demonstrated past performance). Reliance
on future uncommitted annual or biennial appropriations from the State or local General Fund is not acceptable, unless doing otherwise would be a violation of the State's constitution. This section shall in no way require the establishment of a test fee if the State chooses to fund the program in some othermanner.

(b) 

### Personnel. The program shall employ sufficient personnel to effectively carry out the duties related to the program, including but not limited to administrative audits
, inspector audits
, data analysis
, program oversight, program evaluation
, public education and assistance, and enforcement against stations and inspectors as well as against motorists who are out of com- pliance with program regulations and requirements

.

(c) 

### Equipment. The program shall possess equipment necessary to achieve the objectives of the program and meet program requirements, including but not limited to a steady supply of vehicles for covert auditing, test equipment and facilities for program evaluation, and computers capable of data processing
, analysis
, and reporting

. Equipment or equivalent services may be 40 CFR Ch. I (7-1-12 Edition)

contractor supplied or owned by the State orlocal authority.

(d) 

### SIP requirements. The SIP shall include a description of the resources that will be used for program operation
, and discuss how the performance standard will be met

.

(1) The SIP shall include a detailed budget plan which describes the source of funds for personnel
, program administration
, program enforcement
, purchase of necessary equipment (such as vehicles for undercover audits), and any other requirements discussed throughout
, for the period prior to the next biennial self-evaluation required in §51.366 ofthis subpart

.

(2) The SIP shall include a description of personnel resources. The plan shall include the number of personnel dedicated to overt and covert auditing
, data analysis, program administration, enforcement, and other necessary functions and the training attendant to each function.

§51.355 Test frequency and conven- ience. (a) The performance standards for IJ M programs assume an annual test frequency; other schedules may be approved if the required emission targets
are achieved. The SIP shall describe the test schedule in detail, including the test year selection scheme if testing is other than annual. The SIP shall include the legal authority necessary to implement and enforce the test frequency requirement and explain how the test frequency will be integrated with the enforcement process.

(b) In enhanced IJM programs, test systems shall be designed in such a way as to provide convenient service to motorists required to get theirvehicles tested

. The SIP shall demonstrate that the network of stations providing test services is sufficient to insure short waiting times to get a test and short driving distances. Stations shall be re- quired to adhere to regular testing hours and to test any subject vehicle presented for a test during its test period

. §51.356 Vehicle coverage.

The performance standard for en- hanced IJM programs assumes coverage of all 1968 and later model year light


### 322Environmental Protection Agency 

### duty vehicles and light duty trucks up to 8
,500 pounds GVWR, and includes ve

- hicles operating on all fuel types. The standard for basic IJM programs does not include light duty trucks. Other levels of coverage may be approved if 

### the necessary emission reductions are achieved

. Vehicles registered or re- quired to be registered within the IJM program area boundaries and fleets primarily operated within the I/M 

### program area boundaries and belonging to the covered model years and vehicle classes comprise the subjectvehicles.

(a) Subject vehicles. 

### (1) All vehicles of
a covered model year and vehicle type shall be tested according to the appli

- cable test schedule, including leased vehicles whose registration ortitling is in the name of an equity owner other thanthe lessee oruser.

(2) All subject fleet vehicles shall be inspected

. Fleets may be officially inspected outside of the normal liM program test facilities, if such alternatives are approved by the program administration
, but shall be subject to the same test requirements using the
same quality control standards as non- fleet vehicles. If 

### all vehicles in a particular fleet are tested during one part of the cycle, then the quality control requirements shall be met during the time oftesting only

. Any vehicle available for rent in the liM area or for use in the liM area shall be subject

. Fleet vehicles not being tested in normal IJM test facilities in enhanced IJM pro

- grams, however
, shall be inspected in independent, test-only facilities
, ac- cording to the requirements of §

### 51.353(a) ofthis subpart.

(3) Subject vehicles which are registered in the program area but are primarily operated in another liM area shall be tested
, either in the area of primary operation, or in the area of registration. Alternate schedules may be established to permit convenient testing of these vehicles (e.g., vehicles belonging to students away at college should be rescheduled for testing during a visit home)

. liM programs shall make provisions for providing official testing to vehicles registered elsewhere.

(4

) Vehicles which are operated on Federal installations located within an liM program area shall be tested, re- 

### §51.356 gardless of whether the vehicles are registered in the State or local IJM
area. This requirement applies to all employee-owned or leased vehicles (including vehicles owned, leased
, or operated by civilian and military personnel
on Federal installations) as well as agency-owned or operated vehicles, ex- cept tactical military vehicles, operated on the installation

. This requirement shall not apply to visiting agen

- cy, employee, or military personnel ve- hicles as long as such visits do not ex- ceed 60 calendar days per year. In areas without test fees collected in the lane
, arrangements shall be made by the installation with the liM program for re- imbursement of the costs of tests provided for agency vehicles, at the discretion ofthe IJM agency. The installation shall provide documentation ofproofof compliance to the liM agency

. The doc

- umentation shall include a list of subject vehicles and shall be updated periodically
, as determined by the liM program administrator, but no less frequently than each inspection cycle. The installation shall use one of the following methods to establish proof of compliance:

(i) 

### Presentation of a valid certificate of compliance from the local I/M 

### program, from any other liM program at least as stringent as the local program, or from any program deemed acceptable by the I/M 

### program administrator.

(ii) 

### Presentation of proof of vehicle registration within the geographic area covered by the liM program, except for any program whose enforcement is not throughregistrationdenial.

(iii) 

### Another method approved by the State or local IJM program administrator

.

(5) Special exemptions may be permitted for certain subject vehicles provided a demonstration is made that the performance standardwill be met

.

(6) States may also exempt MY 1996 and newer OBD-equipped vehicles that receive an OBD

-IJM inspectionfrom the tailpipe, purge, and fill-neck pressure tests (where applicable) without any loss ofemissionreduction credit

.

(b) SIP requirements. 

### (1) The SIP shall include a detailed description of the number and types ofvehicles to be cov- ered by the program, and a plan for how those vehicles are to be identified,


### 323§51.357
including vehicles that are routinely operated in the area but may not be registeredin the area.

(2) The SIP shall include a description of any special exemptions which will be granted by the program, and an estimate of the percentage and number of subject vehicles which will be impacted. Such exemptions shall be ac- counted for in the emission reduction analysis.

(3) The SIP shall include the legal au- thority or rule necessary to implement and enforce the vehicle coverage re- quirement. [57 FR 52987, Nov

. 5, 1992
, as amended at 66 FR 18177
, Apr. 5
, 2001]
§51.357 Test procedures and stand-
ards. Written test procedures and pass/fail standards shall be established and followed for each model year and vehicle type includedin the program.

(a) Test procedure requirements. Emission tests and functional tests shall be conducted according to good engineeringpractices to assure test accuracy.

(1) Initial tests (i.e., those occurring for the first time in a test cycle) shall be performed without repair or adjustment at the inspection facility, prior to the test, except as provided in paragraph (a)(10)(i) ofthis section

.

(2) The vehicle owner or driver shall have access to the test area such that observation of the entire official inspection process on the vehicle is permitted. Such access may be limitedbut shall in no way prevent full observation.

(3) An official test, once initiated
, shall be performed in its entirety regardless of intermediate outcomes ex- cept in the case of invalid test condition, unsafe conditions, fast pass/fail algorithms, or, in the case of the on- board diagnostic (OBD) system check, unsetreadiness codes

.

(4) Tests involving measurement shall be performed with program-approved equipment that has been calibrated according to the quality procedures contained in appendix A to this subpart.

(5) Vehicles shall be rejected from testing if the exhaust system is missing or leaking
, or ifthe vehicle is in an unsafe condition for testing. Coinci40 CFR Ch. I (7-1-12 Edition)

dent with mandatory OBD-I!M testing and repair of vehicles so equipped, MY 1996 and newer vehicles shall be rejectedfrom testing ifa scan ofthe OBD system reveals a "not ready" code for any component of the OBD system

. At
a state's option it may choose alternatively to reject MY 1996-2000 vehicles only ifthree ormore "notready" codes
are present and to reject MY 2001 and later model years only if two or more "not ready" codes are present. This provision does not release manufacturers from the obligations regarding readiness status set forth in 40 CFR 86

.094-17(e)(1): "Control of Air Pollution From New Motor Vehicles and New Motor Vehicle Engines: Regulations RequiringOn-Board Diagnostic Systems on 1994 and Later Model Year Light-Duty Vehicles and Light-Duty Trucks." Once the cause for rejection has been corrected
, the vehicle must return for testing to continue the testing process. Failure to return for testing in a timely manner after rejection shall be considered non-compliance with the program, unless the motorist
can prove that the vehicle has been sold, scrapped, or is otherwise no longer in operation within the program area.

(6) Vehicles shall be retested after repair for any portion of the inspection that is failed on the previous test to determine if repairs were effective. To the extent that repair to correct a previous failure could lead to failure of another portion of the test, that portion shall also be retested. Evaporative system repairs shall trigger an exhaust emissions retest (in programs which conduct an exhaust emission test as part ofthe initial inspection).

(7) Steady-state testing. Steady-state tests shall be performed in accordance with the procedures contained in appendix B to this subpart.

(8) Emission control device inspection. Visual emission control device checks shall be performed through direct observation or through indirect observation using a mirror, video camera or other visual aid. These inspections shall include a determination as to whether each subject device is present and appears to be properly connected and appears to be the correct type for the certifiedvehicle configuration.



### 324Environmental Protection Agency


### (9) Evaporative systempurge test procedure. 

### The purge test procedure shall consist of measuring the total purge flow (in standard liters) occurring in the vehicle's evaporative system during the transient dynamometer emission test specified in paragraph (a)(ll) of this section. The purge flow meas- urement system shall be connected to the purge portion of the evaporative system in series between the canister and the engine, preferably near the canister. The inspector shall be responsible for ensuring that all items that
are disconnected in the conduct of the test procedure are properly re-con- nected at the conclusion of the test procedure. Alternative procedures may be used if

### they are shown to be equivalent orbetter to the satisfaction ofthe Administrator. Except in the case of government-run test facilities claiming sovereign immunity, any damage done to the evaporative emission control system during this test shall be re- paired at the expense of the inspection facility

.

(10) Evaporative system integrity test procedure. 

### The test sequence shall con- sist ofthe following steps:

(i) Test equipment shall be connected to the fuel tank canister hose at the canister end. The gas cap shall be checked to ensure that it is properly, but not excessively tightened, and shallbe tightened ifnecessary.

(ii) 

### The system shall be pressurized to 14 ±0.5 inches of water without ex- ceeding 26 inches ofwater system pres- sure

.

(iii) Close off the pressure source, seal the evaporative system and mon- itor pressure decay for up to two minutes.

(iv) Loosen the gas cap after a max- imum of two minutes and monitor for
a sudden pressure drop, indicating that the fuel tank was pressurized.

(v) The inspector shall be responsible for ensuring that all items that are disconnected in the conduct of the test procedure are properly re-connected at the conclusion ofthe test procedure.

(vi) Alternative procedures may be used ifthey are shown to be equivalent
or better to the satisfaction of the Administrator. Except in the case of government-run test facilities claiming sovereign immunity, any damage done §51.357



### to the evaporative emission control system during this test shall be re- paired at the expense of the inspection facility.

(11) 

### Transient emission test. 

### The transient emission test shall consist of
mass emission measurement using a constant volume sampler (or an Administrator-approved alternative methodology for accounting for ex- haustvolume) while the vehicle is driv-
en through a computer-monitored driving cycle on a dynamometer. The driving cycle shall include acceleration, deceleration, and idle operating modes as specified in appendix E to this subpart (or an approved alternative). The driving cycle may be ended earlier using approved fast pass or fast fail algorithms and multiple pass/fail algorithms may be used during the test cycle to eliminate false failures. The transient test procedure, including algorithms and other procedural details, shall be approved by the Administrator priorto use in an liM program.

(12) On-board diagnostic checks. 

### Beginning January 1, 2002, inspection of the on-board diagnostic (OBD) system on MY 1996 and newer light-duty vehicles and light-duty trucks shall be con- ducted according to the procedure described in 40 CFR 85

.2222, at a minimum. This inspection may be used in lieu of tailpipe, purge, and fill-neck pressure testing. Alternatively, states may elect to phase-in OBD-1/M testing for one test cycle by using the OBD-11 M check to screen clean vehicles from tailpipe testing and require repair and retest for only those vehicles which proceed to fail the tailpipe test

. An 

### additional alternative is also available to states with regard to the deadline for mandatory testing, repair, and re- testing ofvehiclesbasedupon the OBD1/M check. Under this third option, ifa state can show good cause (and the Ad

- ministrator takes notice-and-comment action to approve this good cause showing as a revision to the State's Implementation Plan), up to an additional 12 months' extensionmay be granted
, establishing an alternative start date for such states of no later than January 1, 2003. States choosing to make this showing will also have available to them the phase-in approach described in this section, with


### 325§51.357

the one-cycle time limit to begin coincident with the alternative start date established by Administrator approval ofthe showing
, but no later than January 1
, 2003

. The showing of good cause (and its approval or disapproval) will be addressed on a case-by-case basis by theAdministrator.

(13) Approval of alternative tests

. Alternative test procedures may be approved if the Administrator finds that such procedures show a reasonable correlation with the Federal Test Procedure and are capable of identifying comparable emission reductions from the liM program as a whole, in combination with other program elements,
as would be identified by the test(s) which they are intended to replace.

(b) Test standards-(1) Emissions standards. HC, CO, and CO+C02 (or C02 alone) emission standards shall be applicable to all vehicles subject to the program with the exception ofMY 1996 and newer OBD-equipped light-duty vehicles andlight-duty trucks, which will be held to the requirements of 40 CFR 85.2207, at a minimum. Repairs shall be required for failure ofany standard regardless of the attainment status of the area. NOx emission standards shall be applied to vehicles subject to a loaded mode test in ozone nonattainment
areas and in an ozone transport region
, unless a waiver of NOx controls is provided to the Stateunder §51.351(d).

(2) Visual equipment inspection standards. (i) Vehicles shall fail visual inspections of subject emission control devices if such devices are part of the original certified configuration and are found to be missing, modified, disconnected, orimproperly connected.

(ii) Vehicles shall fail visual inspections of subject emission control devices ifsuch devices are found to be incorrect for the certified vehicle configuration under inspection. Aftermarket parts, as well as original equipment manufacture parts, may be considered correct if they are proper for the certified vehicle configuration

. Where an EPA aftermarket approval or self-certification program exists for a particular class of subject parts, vehicles shall fail visual equipment inspections if the part is neither original equipment manufacture nor from an 40 CFR Ch

. I (7-1-12 Edition) approved or self-certified aftermarket manufacturer.

(3) Functional test standards-(i) Evaporative s ystem integrity test. Vehicles shall fail the evaporative system pres- sure test if the system cannot maintain a system pressure above eight inches of water for up to two minutes after being pressurized to 14 ±0.5 inches of water or if no pressure drop is detected when the gas cap is loosened as described in paragraph (a)(10)(iv) of this section. Additionally, vehicles shall fail the evaporative test if the canister is missing or obviously damaged
, if hoses are missing or obviously disconnected
, or if the gas cap is missing.

(ii) Ev aporative canister purge te st. Vehicles with a total purge system flow measuring less than one liter, over the
course of the transient test required in paragraph (a)(9) of this section
, shall fail the evaporative purge test.

(4) On-board diagnostic test standards. Vehicles shall fail the on-board diagnostic test if they fail to meet the re- quirements of 40 CFR 85.2207
, at a minimum. Failure of the on-board diagnostic test need not result in failure of the vehicle inspection/maintenance test until January 1
, 2002. Alternatively
, states may elect to phase-in OBD-1/M testing for one test cycle by using the OBD- liM check to screen cleanvehicles from tailpipe testing and require repair and retest for only those vehicles which proceed to fail the tailpipe test. An additional alternative is also available to states with regard to the deadline for mandatory testing
, re- pair, and retesting of vehicles based upon the OBD-1/M check. Under this third option
, if a state can show good
cause (and the Administrator takes no- tice-and-comment action to approve this good cause showing), up to an additional 12 months' extension may be granted
, establishing an alternative start date for such states of no later than January 1
, 2003. States choosing to make this showing will also have available to them the phase

-in ap

- proach described in this section, with the one-cycle time limit to begin coin

- cident with the alternative start date established by Administrator approval ofthe showing, but no later than January 1
, 2003. The showing of good cause


### 326Environmental Protection Agency 

### (and its approval or disapproval) will be addressed on a case-by-casebasis

.

(c) Fast test algorithms and standards. 

### Special test algorithms and pass/fail algorithms may be employed to reduce test time when the test outcome ispredictable with near certainty, ifthe Administrator approves by letter the equivalencyto full procedure testing.

(d) Applicability. 

### In general, section 203(a)(3)(A) of the Clean Air Act prohibits altering a vehicle's configuration such that it changes from a cer- tified to a non-certified configuration. In the inspection process, vehicles that have been altered from their original certified configuration are to be tested in the same manner as other subject vehicles with the exception of MY 1996 and newer, QED-equipped vehicles on which the data link connector is missing, has been tampered with or which has been altered in such a way as to make QED system testing impossible

. Such vehicles shall be failed for the on- board diagnostics portion of the test and are expected to be repaired so that the vehicle is testable. Failure to re- turn for retesting in a timely manner after failure and repair shall be considered non-compliance with the program, unless the motorist can prove that the vehicle has been sold, scrapped, or is otherwise no longer in operation within the program area.

(1) Vehicles with engines other than the engine originally installed by the manufacturer or an identical replacement of such engine shall be subject to the test procedures and standards for the chassis type**an~** 

### model yearincluding visual equipment inspections for all parts that are part of the original
or now-applicable certified configuration and part ofthe normal inspection. States may choose to require vehicles with such engines to be subject to the test procedures and standards for the engine model year if it is newer than the chassismodel year.

(2) Vehicles that have been switched from an engine of one fuel type to an- other fuel type that is subject to the program (e.g., from a diesel engine to a gasoline engine) shall be subject to the test procedures and standards for the current fuel type, and to the requirements of paragraph (d)(1) of this sec- tion. 

### §51.358
(3) Vehicles that are switched to a fuel type for which there is no certified configuration shall be tested according to the most stringent emission standards established for that vehicle type and model year

. Emission control device requirements may be waived if

### the program determines that the alternatively fueled vehicle configuration would meet the new vehicle standards for that model year without such devices.

(4) Mixing vehicle classes (e.g., lightduty with heavy-duty) and certification types (e.g., California with Federal) within a single vehicle configuration shall be considered tampering.

(e) SIP requirements. 

### The SIP shall include a description of each test procedure used. The SIP shall include the rule, ordinance or law describing and establishingthe test procedures

. [57 FR 52987, Nov

. 5, 1992, as amended at 61 FR 40945, Aug. 6, 1996; 63 FR 24433
, May 4, 1998; 65 FR 45533, July 24, 2000; 66 FR 18178, Apr

. 5, 2001]

§51.358 Test equipment.



### Computerized emission test systems
are required for performing an official emissions test on subject vehicles.

(a) Performance features of computerized emission test systems. 

### The emission test equipment shall be certifiedby the program, and newly acquired emission test systems shall be subjected to ac- ceptance test procedures to ensure compliance with program specifications.

(1) Emission test equipment shall be capable of testing all subject vehicles and shall be updated from time to time to accommodate new technology vehicles as well as changes to the program. In the case of QED-based testing, the equipment used to access the onboard computer shall be capable oftestingall MY 1996 and newer, QED-equipped light-duty vehicles and light-duty trucks.

(2) At a minimum, emission test equipment:

(i) Shall make automatic pass/fail decisions;

(ii) Shall be secured from tampering and/or abuse;

(iii) Shall be based upon written specifications; and


### 327

### §51.359
(iv) Shall be capable of simultaneously sampling dual exhaust vehicles in the case of tailpipe-based emission test equipment.

(3) The vehicle owner or driver shall be provided with a record of test re- sults
, including all of the items listed in 40 CFR part 85, subpart W as being required on the test record (as applicable). The testreport shall include:

(i) A vehicle description
, including license plate number
, vehicle identificationnumber, and odometerreading;

(ii)The date and time oftest; (iii) The name or identification num- ber of the individual(s) performing the tests and the location of the test sta

- tion andlane;

(iv)The type(s) oftest(s) performed; (v)The applicable test standards; (vi) The test results, by test, and
, where applicable
, by pollutant;

(vii) A statement indicating the availability ofwarranty coverage asrequired in section 207 of the Clean Air Act;

(viii) Certification that tests were performed in accordance with the regulations and, in the case ofdecentralized programs, the signature of the individual who performed the test; and

(ix) For vehicles that fail the emission test, information on the possible
cause(s) ofthe failure

.

(b) 

### Functional characteristics of com

- puterized emission test systems. The test system is composed of motor vehicle test equipmentcontrolledby a computerized processor and shall make automatic pass/fail decisions.

(1) [Reserved] (2) Test systems in enhanced liM programs shall include a real-time data link to a host computer that prevents unauthorized multiple initial tests on the same vehicle in a test cycle and to insure test record accuracy. For areas which have demonstrated the ability to meet their other
, non-liM Clean Air Act requirements without relying on emission reductions from the liM program (and which have also elected to employ stand-alone test equipment as part of the liM program)
, such areas may adopt alternative methods for preventing multiple initial tests, subject to approval by the Administrator.

(3) [Reserved] 40 CFR Ch

. I (7-1-12 Edition)

(4) 

### On

-board diagnostic test equi pment
r equirements

. The test equipment used to perform on

-board diagnostic inspections shall function as specified in 40 CFR 8 5.2231. (c) 

### SIP requirements

. The SIP shall include written technical specifications for all test equipment used in the program and shall address each of the above requirements (as applicable). The specifications shall describe the testing process, the necessary test equipment
, the required features, and written acceptance testing criteria and procedures.
[57 FR 52987
, Nov

. 5
, 1992
, as amended at 61 FR 40945
, Aug. 6
, 1996; 65 FR 45533, July 24
, 2000; 66 FR 18178, Apr

. 5
, 2001]

§51.359 Qualitycontrol.

Quality control measures shall insure that emission testing equipment is calibrated and maintained properly
, and that inspection, calibration records, and control charts are accurately created, recorded and maintained (where applicable).

(a) 

### General requirements. (1) The prac

tices described in this section and in appendix A to this subpart shall be followed for those tests (or portions of tests) which fall into the testing categories identified

. Alternatives or exceptions to these procedures or frequencies may be approved by the Administrator based on a demonstration ofcomparable performance.

(2) Preventive maintenance on all inspection equipment necessary to insure accurate and repeatable operation shall be performed on a periodic basis.

(3) [Reserved] (b) 

### Requirementsfor steady-state emis

### sions testing equipment. (1) Equipment shall be maintained according to dem

onstratedgood engineering practices to
assure test accuracy

. The calibration and adjustment requirements in appendix A to this subpart shall apply to all steady-state test equipment. States may adjust calibration schedules and other quality control frequencies by using statistical process control to monitor equipment performance on an ongoing basis.

(2) For analyzers that use ambient air as zero air
, provision shall be made


### 328

### Environmental Protection Agency

to draw the air from outside the inspection bay or lane in which the ana- lyzer is situated.

(3) The analyzerhousing shall be constructed to protect the analyzer bench and electrical components from ambient temperature and humidity fluctuations that exceed the range of the ana- lyzer's design specifications.

(4) Analyzers shall automatically purge the analytical system after each test.

(c) 

### Requirements [or transient exhaust emission test equipment

. Equipment shall be maintained according to demonstratedgood engineeringpracticesto
assure test accuracy. Computer control of quality assurance checks and quality control charts shall be used when-
ever possible. Exceptions to the procedures and the frequency of the checks described in appendix A ofthis subpart may be approved by the Administrator based on a demonstration of com- parableperformance

.

(d) 

### Requirements tor evaporative system functional test equipment. Equipment shall be maintained according to demonstratedgood engineeringpractices to
assure test accuracy. Computer control of quality assurance checks and quality control charts shall be used when-
ever possible. Exceptions to the procedures and the frequency of the checks described in appendix A of this subpart may be approved by the Administrator based on a demonstration of com- parableperformance

.

(e) 

### Document security. Measures shall be taken to maintain the security of all documents by which compliance with the inspection requirement is es- tablished including, but not limited to inspection certificates, waiver certificates, license plates, license tabs, and stickers. This section shall in no way require the use ofpaper documents but shall apply if they are used by the program for these purposes.

(1) Compliance documents shall be counterfeitresistant

. Suchmeasures as the use of special fonts, water marks, ultra-violet inks
, encoded magnetic strips, unique bar-coded identifiers
, and difficult to acquire materials may be used to accomplish this requirement.

(2) All inspection certificates, waiver certificates, and stickers shall be 

### §51.360 printed with a unique serial number and an official program seal.

(3) Measures shall be taken to ensure that compliance documents cannot be stolen or removed without being damaged.

(f) 

### SIP requirements. The SIP shall include a description of quality control and record keeping procedures

. The SIP shall include the procedure man- ual
, rule, ordinance or law describing and establishing the quality control procedures and requirements.
(57 FR 52987, Nov

. 5, 1992, as amended at 58 FR 59367, Nov. 9
, 1993; 65 FR 45533, July 24, 2000)

§51.360 Waivers and compliance via diagnostic inspection

. 

### The program may allow the issuance of a waiver, which is a form of compli-
ance with the program requirements that allows a motorist to comply without meeting the applicable test standards, as long as the prescribed criteria describedbelow are met

.

(a) 

### Waiver issuance criteria. The waiv-
er criteria shall include the following at a minimum.

(1) Waivers shall be issued only after
a vehicle has failed a retest performed after all qualifying repairs have been completed. Qualifying repairs include repairs of the emission control components, listed in paragraph (a)(5) of this section, performed within 60 days of the test date

.

(2) Any available warranty coverage shall be used to obtain needed repairs before expenditures can be counted towards the cost limits in paragraphs (a)(5) and (a)(6) of this section. The operatorofa vehicle within the statutory age and mileage coverage under section 207(b) of the Clean Air Act shall present a written denial of warranty coverage from the manufacturer or au- thorized dealer for this provision to be waived for approved tests applicable to the vehicle.

(3) Waivers shall not be issued to ve- hicles for tampering-related repairs. The cost of tampering-related repairs shall notbe applicable to the minimum expenditure in paragraphs (a)(5) and (a)(6) of this section. States may issue exemptions for tampering-related re- pairs if it can be verified that the part



### 329

### §51.360

in question or one similar to it is no longer available for sale.

(4) Repairs shall be appropriate to the cause of the test failure
, and a visual check shallbe made to determine if repairs were actually made if, given the nature of the repair
, it can be visually confirmed. Receipts shall be submitted for review to further verify that qualifying repairs were performed.

(5) General repairs shall be performed by a recognized repair technician (i.e.
, one professionally engaged in vehicle repair, employed by a going concern whose purpose is vehicle repair, or possessing nationally recognized certification for emission-related diagnosis and repair) in order to qualify for a waiver

. liM programs may allow the cost of parts (not labor) utilized by non-technicians (e.g., owners) to apply toward the waiver limit. The waiver would apply to the cost ofparts for the repair or replacement of the following list of emission control components: oxygen sensor, catalytic converter, thermal reactor, EGR valve, fuel filler cap, evaporative canister, PCV valve, air pump, distributor, ignition wires
, coil
, and spark plugs. The cost of any hoses
, gaskets
, belts
, clamps, brackets
or other accessories directly associated with these components may also be applied to the waiver limit.

(6) In basic programs, a minimum of $75 for pre-81 vehicles and $200 for 1981 and newer vehicles shall be spent in order to qualify for a waiver. These model year cutoffs and the associated dollar limits shall be in full effect by January 1, 1998, or coincident with program start-up, whicheveris later. Prior to January 1
, 1998
, States may adopt any minimum expenditure commensu- rate with the waiverrate committed to for the purposes of modeling compli-
ance with the basic liM performance standard.

(7) Beginning on January 1, 1998
, enhanced liM programs shall require the motorist to make an expenditure of at least $450 in repairs to qualify for a waiver

. The liM program shall provide that the $450 minimum expenditure shall be adjusted in January of each year by the percentage, if any, by which the Consumer Price Index for the preceding calendar year differs from the Consumer Price Index of 1989

. 40 CFR Ch

. I (7

- 1-12 Edition)

Prior to January 1, 1998, States may adopt any minimum expenditure commensurate with the waiver rate com

mitted to for the purposes of modeling compliance with the relevant enhanced liM performance standard

.

(i) The Consumer Price Index for any calendar year is the average of the Consumer Price Index for all-urban
consumers published by the Department ofLabor
, as ofthe close ofthe 12- month period ending on August 31 of each calendar year

. A copy of the current Consumer Price Index may be obtained from the Emission Planning and Strategies Division, U

.S

. Environmental Protection Agency, 2565 Plymouth Road, Ann Arbor, Michigan 48105.

(ii) The revision of the Consumer Price Index which is most consistent with the Consumer Price Index for calendar year 1989 shall be used.

(8) States may establish lower minimum expenditures if a program is es- tablished to scrap vehicles that do not meet standards after the lower expe nditure is made

.

(9) A time extension
, not to exceed the period of the inspection frequency, may be granted to obtain needed re- pairs on a vehicle in the case of eco- nomic hardship when waiver requirements have not been met

. After having received a time extension
, a vehicle must fully pass the applicable test standards before becoming eligible for another time extension. The extension for a vehicle shall be tracked and reportedby the program

.

(b) Compliance via diagnostic ins pe

ction

. Vehicles subject to a transient IM240 emission test at the cutpoints es- tablished in §§51.351 (f)(7) and (g)(7) of this subpart may be issueda certificate ofcompliance without meeting the prescribed emission cutpoints
, if
, after failing a retest on emissions, a com

- plete, documented physical and functional diagnosis and inspection performed by the liM agency or a con- tractor to the liM agency show that no additional emission-related repairs are needed. Any such exemption policy and procedures shall be subject to approval by the Administrator.

(c) Quality control of waiver issuance

. (1) Enhanced programs shall control waiver issuance and processing by es- tablishing a system of agency-issued


### 330

### Environmental Protection Agency

waivers. The State may delegate this authority to a single contractorbutinspectors in stations and lanes shall not issue waivers. Basic programs may permit inspector-issued waivers as long as quality assurance efforts include a comprehensive review of waiver issuance.

(2) The program shall include methods of informing vehicle owners or les-
sors of potential warranty coverage, and ways to obtain warrantyrepairs.

(3) The program shall insure that re- pair receipts are authentic and cannot be revised orreused.

(4) The program shall insure that waivers are only valid for one test cycle.

(5) The program shall track, manage, and account for time extensions or ex- emptions so that owners orlessors can- not receive or retain a waiver improperly.

(d) SIP requirements

. 

### (1) The SIP shall include a maximum waiver rate ex- pressed as a percentage of initially failed vehicles. This waiver rate shall be used for estimating emission reduction benefits in the modeling analysis.

(2) The State shall take corrective action if the waiver rate exceeds that· committed to in the SIP or revise the SIP and the emission reductions claimed.

(3) The SIP shall describe the waiver criteria and procedures, including cost limits, quality assurance methods and measures, and administration.

(4) The SIP shall include the nec- essary legal authority, ordinance
, or rules to issue waivers, set and adjust cost limits as required in paragraph (a)(5) ofthis section, and carry out any other functions necessary to administer the waiver system, including en- forcement ofthe waiver provisions.
[57 FR 52987
, Nov. 5
, 1992, as amended at 58 FR 59367
, Nov. 9, 1993; 60 FR 48036, Sept. 18, 1995; 71 FR 17711, Apr. 7, 2006]

§51.361 Motorist compliance enforce-
ment. 

### Compliance shall be ensured through the denial of motor vehicle registration in enhanced liM programs unless
an exception for use of an existing alternative is approved. An enhanced liM


### area may use an existing alternative if 

### it demonstrates that the alternative §51.361



### has been more effective than registration denial. An 

### enforcement mechanism may be considered an "existing alternative" only in States that, for
some area in the State, had an liM program with that mechanism in operation prior to passage of the 1990 Amendments to the Act. A basic liM


### area may use an alternative enforcement mechanism if it demonstrates that the alternative will be as effective
as registration denial. Two other types of enforcement programs may qualify for enhanced liM programs if demonstrated to have been more effective than enforcement of the registration requirement in the past: Sticker-based enforcement programs and computermatching programs. States that did not adopt an liM program for any area of the State before November 15, 1990, may not use an enforcement alternative in connection with an enhanced liM program required to be adopted afterthatdate.

(a) Registration denial

. 

### Registration denial enforcementis defined as rejecting an application for initial registration or reregistration of a used vehicle (i.e., a vehicle being registered after the initial retail sale and associated registration) unless the vehicle has complied with the liM requirement prior to granting the application. Pursuant to section 207(g)(3) of the Act, nothing in this subpart shall be con- strued to require that new vehicles shall receive emission testing prior to initial retail sale. In designing its en- forcement program, the State shall:

(1) Provide an external, readily visible means of determining vehicle com- pliance with the registration requirement to facilitate enforcement of the program;

(2) Adopt a schedule oftesting (either annual or biennial) that clearly determines when a vehicle shall comply prior to registration;

(3) Design a testing certification mechanism (either paper-based or electronic) that shall be used for registration purposes and clearly indicates whether the certification is valid for purposes ofregistration, including:

(i) 

### Expiration date of the certificate; (ii) 

### Unambiguous vehicle identificationinformation;and


### 331§51.361
(iii) Whether the vehicle passed orreceived a waiver;

(4) Routinely issue citations to motorists with expired or missing license plates, with either no registration or an expired registration, and with no license plate decals or expired decals, and provide for enforcement officials other than police to issue citations (e.g., parking meter attendants) to parkedvehicles innoncompliance;

(5) Structure the penalty system to deter non-compliance with the registration requirement through the use ofmandatory minimum fines (meaning civil, monetary penalties, in this subpart) constituting a meaningful deterrent and through a requirement that compliance be demonstrated before a case canbe closed;

(6) Ensure that evidence of testing is available and checked for validity at the time ofa new registration ofa used vehicle or registration renewal;

(7) Prevent owners or lessors from avoiding testing through manipulation ofthe title orregistration system; title transfers may re-start the clock on the inspection cycle only if proof of cur- rent compliance is required at title transfer;

(8) Prevent the fraudulent initial classification or reclassification of a vehicle from subject to non-subject or exempt by requiring proof of address changes prior to registration record modification, and documentation from the testing program (or delegate) certifying based on a physical inspection that the vehicle is exempt;

(9) Limit and track the use of time extensions of the registration requirement to preventrepeated extensions;

(10) Provide for meaningful penalties for cases ofregistrationfraud;

(11) Limit and track exemptions to prevent abuse of the exemption policy for vehicles claimed to be out-of-state; and

(12) Encourage enforcement of vehicle registration transfer requirements when vehicle owners move into the I/M
area by coordinating with local and State enforcement agencies and structuring other activities (e.g., drivers license issuance) to effect registration transfers.

(b) 

### Alternative enforcement mechanisms-(1) 

### General requirements. The pro40 CFR Ch

. I (7-1-12 Edition)

gram shall demonstrate that a non-registration-based enforcement program is currently more effective than registration-denial enforcement in enhanced II M programs or, prospectively, as effective as registration denial in basic programs. The following general requirements shall apply:

(i) For enhanced I/M programs, the

area in question shall have had an operating I/M program using the alternative mechanism prior to enactment of the Clean Air Act Amendments of 1990. While modifications to improve compliance may be made to the program that was in effect at the time of enactment, the expected change in effectiveness cannot be considered in determining acceptability;

(ii) The State shall assess the alternative program's effectiveness, as well

as the current effectiveness of the registration system, including the following:

(A) Determine the number and percentage of vehicles subject to the IJM program that were in compliance with the program over the course of at least

one test cycle; and

(B) Determine the number and fraction ofthe same group ofvehicles as in paragraph (b)(1)(ii)(A) of this section that were in compliance with the registration requirement over the same period. Late registration shall not be considered non-compliance for the purposes of this determination. The precise definition of late registration
versus a non-complying vehicle shall be explainedandjustifiedin the SIP;

(iii) An alternative mechanism shall be considered more effective ifthe fraction ofvehicles complying with the existing program, as determined according to the requirements ofthis section, is greater than the fraction of vehicles complying with the registration requirement

. An alternative mechanism is as effective ifthe fraction complying with the program is at least equal to the fraction complying with the registrationrequirement.

(2) 

### Sticker-based enforcement. In addition to the general requirements, a sticker-based enforcement program



### 332Environmental Protection Agency



### shall demonstrate that the enforcement mechanism will swiftly and effectively prevent operation of subject ve- hicles that fail to comply. Such demonstration shall include the following:

(i) An assessment of the current ex- tent ofthe following forms ofnon-com- pliance and demonstration that mechanisms exist to keep such non-compli-
ance within acceptable limits:

(A) Use of stolen, counterfeit, or fraudulently obtainedstickers;

(B) In States with safety inspections, the use of "Safety Inspection Only" stickers on vehicles that shouldbe subjectto the liM

### requirementas well; and

(C) Operation ofvehicles with expired stickers, including a stratification of non-compliance by length of non- compliance and model year

.

(ii) 

### The program as currently implemented or as proposed to be improved shall also:

(A) Require an easily observed external identifier such as the county name on the license plate, an obviously unique license plate tab, or other
means that shows whether or not a ve- hicle is subject to the IJM requirement;

(B) Require an easily observed external identifier, such as a windshield sticker or license plate tab that shows whether a subject vehicle is in compli-
ance with the inspectionrequirement;

(C) Impose monetary fines at least as great as the estimated cost of compli-
ance with IJM requirements (e.g., test fee plus minimum waiver expenditure) for the absence ofsuchidentifiers;

(D) Require that such identifiers be of a quality that makes them difficult to counterfeit, difficult to remove without destroying once installed
, and durable enough to last until the next inspection without fading, peeling, or otherdeterioration;

(E) Perform surveys in a variety of locations and at different times for the presence of the required identifiers such that at least 10% of the vehicles
or 10,000 vehicles (whichever is less) in the subject vehicle population are sam- pled each year;

(F) Track missing identifiers for all inspections performed at each station, with stations being held accountable for all such identifiers they are issued; and §51.361


### (G) Assess and collect significant fines for each identifier that is unac- countedforbya station.

(3) Computer matching

. In 

### addition to the general requirements, computermatching programs shall demonstrate that the enforcement mechanism will swiftly and effectively prevent operation of subject vehicles that fail to comply. Such demonstration shall:

(i) 

### Require an expeditious system that results in at least 90% of the subject vehicles in compliance within 4 months ofthe compliance deadline;

(ii) 

### Require that subject vehicles be given compliance deadlines based on the regularly scheduled test date, not the date ofprevious compliance;

(iii) Require that motorists pay mon- etaryfines at least as great as the estimated cost of compliance with IJM re- quirements (e.g., test fee plus minimum waiver expenditure) for the con- tinued operation ofa noncomplying ve- hicle beyond 4 months of the deadline;

(iv) Require that continued non-com- pliance will eventually result in preventing operation of the non-com- plying vehicle (no later than the date of the next test cycle) through, at a minimum, suspension of vehicle registration and subsequent denial of re- registration;

(v) Demonstrate that the computer system currently in use is adequate to store and manipulate the IJM vehicle database, generate computerized no- tices, and provide regular backup to said system while maintaining auxiliary storage devices to insure ongoing operation of the system and prevent data losses;

(vi) Track each vehicle through the steps taken to ensure compliance, including:

(A) The compliance deadline; (B) The date ofinitial notification; (C) The dates warning letters are sentto non-complyingvehicle owners;

(D) The dates notices of violation or otherpenaltynotices are sent; and

(E) The dates and outcomes of other steps in the process, including the final compliance date;

(vii) Compile and report monthly summaries including statistics on the percentage of vehicles at each stage in the enforcementprocess; and



### 333

### §51.362
(viii) Track the number and percentage of vehicles initially identified as requiring testing but which are never tested as a result ofbeing junked
, sold to a motorist in a non-IIM program area, orfor some otherreason

.

(c) SIP requirements. (1) The SIP shall provide information concerning the en

forcement process, including:

(i) A description of the existing compliance mechanism ifitis to be used in the future and the demonstration that it is as effective or more effective than registration-denial enforcement;

(ii) An identification of the agencies responsible for performing each of the applicable activities in this section;

(iii) A description of and accounting for all classes ofexempt vehicles; and

(iv) A description ofthe plan for testing fleet vehicles, rental car fleets, leased vehicles
, and any other subject vehicles, e.g., those operated in (but not necessarily registered in) the program area.

(2) The SIP shall include a determination of the current compliance rate based on a study of the system that includes an estimate of compli

- ance losses due to loopholes, counterfeiting, and unregistered vehicles. Esti

mates of the effect of closing such loopholes and otherwise improving the enforcement mechanism shall be supportedwith detailed analyses.

(3) The SIP shall include the legal authority to implement and enforce the program.

(4) The SIP shall include a commitment to an enforcement level to be used for modeling purposes and to be maintained
, at a minimum, in practice. [57 FR 52987
, Nov

. 5, 1992, as amended at 61 FR49682, Sept. 23
, 1996]
§51.362 Motorist compliance enforcement program oversight

. The enforcement program shall be audited regularly and shall follow effective program management practices, including adjustments to improve operation whennecessary.

(a) Quality assurance and quality con
trol. A quality assurance program shall be implemented to insure effective overall performance ofthe enforcement system. Quality control procedures are required to instruct individuals in the enforcement process regarding how to 40 CFR Ch

. I (7-1-12 Edition)
properly conduct their activities

. At a minimum
, the quality control and quality assurance program shall include:

(1) Verification of exempt vehicle status by inspecting and confirming suchvehicles by the program orits delegate;

(2) Facilitation of accurate critical test data and vehicle identifier collection through the use of automatic data capture systems such as bar-code scanners or optical character readers
, or through redundant data entry (where applicable);

(3) Maintenance of an audit trail to allow for the assessment of enforcement effectiveness;

(4) Establishment of written procedures for personnel directly engaged in IIM enforcementactivities;

(5) Establishment of written procedures for personnel engaged in IIM document handling andprocessing, suchas registration clerks or personnel involved in sticker dispensing and waiver processing
, as well as written proce- dures for the auditing oftheir perform-
ance;

(6) Follow-up validity checks on outof-area or exemption-triggering registration changes;

(7) Analysis of registration-change applications to target potential violators;

(8) A determination of enforcement program effectiveness through periodic audits of test records and program compliance documentation;

(9) Enforcement procedures for disciplining
, retraining, or removing enforcement personnel who deviate from established requirements, or in the
case of non-government entities that process registrations, for defranchising, revoking or otherwise discontinuing the activity ofthe entity issuingregistrations;and

(10) The prevention offraudulent procurement or use of inspection documents by controlling and tracking document distribution and handling, and making stations financially liable for missing or unaccounted for documents by assessing monetary fines reflecting the "street value" of these documents (i

.e

., the test fee plus the minimum waiver expenditure).



### 334Environmental Protection Agency 

### (b) Information management. In 

### establishing an information base to be used in characterizing, evaluating, and en- forcing the program, the State shall:

(1) 

### Determine the subject vehicle population;

(2) Permit EPA audits ofthe enforcement process;

(3) Assure the accuracy of registration and otherprogram document files;

(4) Maintain and ensure the accuracy of the testing database through periodic internal and/or third-party review;

(5) Compare the testing database to the registration database to determine program effectiveness, establish com- pliance rates, and to trigger potential enforcement action against non-com- plying motorists; and

(6) Sample the fleet as a determination ofcompliance through parking lot surveys, road-side pull-overs, or other in-use vehicle measurements

.

(c) SIP requirements. The SIP shall include a description of enforcement program oversight and information man- agementactivities.
[57 FR 52987
, Nov. 5
, 1992
, as amended at 65 FR45534, July 24, 2000]

§51.363 Qualityassurance.

An 

### ongoing quality assurance program shall be implementedto discover, correct and prevent fraud, waste, and abuse and to determine whether procedures are being followed, are adequate, whether equipment is measuring accu- rately, and whether other problems might exist which would impede program performance. The quality assur- ance and quality control procedures shall be periodically evaluated to as- sess their effectiveness and relevance inachievingprogram goals.

(a) Performance audits

. Performance audits shall be conducted on a regular basis to determine whether inspectors
are correctly performing all tests and other required functions. Performance audits shall be of two types: overt and
covert, and shall include:

(1) Performance audits based upon written procedures and results shall be reported using either electronic or written forms to be retained in the inspector and station history files, with sufficient detail to support either an administrative orcivilhearing; 

### §51.363
(2) Performance audits in addition to regularly programmed audits for stations employing inspectors suspected of violating regulations as a result of audits, data analysis, or consumer complaints;

(3) Overt performance audits shall be performed at least twice per year for each lane or test bay and shall include:

(i) A check for the observance of appropriate document security;

(ii) A check to see that required record keeping practices are being fol

- lowed;

(iii) A check for licenses or certificates and other required display information; and

(iv) Observation and written evaluation ofeach inspector's ability to properlyperform an inspection;

(4) Covert performance audits shall include:

(i) Remote visual observation of inspector performance, which may in

- clude the use ofaids such as binoculars
or video cameras, at least once per year per inspector in high-volume stations (i.e., those performing more than 4000 tests peryear);

(ii) Site visits at least once per year per number of inspectors using covert vehicles set to fail (this requirement sets a minimum level ofactivity, not a requirement that each inspector be involved in a covertaudit);

(iii) For stations that conduct both testing and repairs, at least one covert vehicle visit per station per year including the purchase of repairs and subsequent retesting if the vehicle is initially failed for tailpipe emissions (this activity may be accomplished in conjunction with paragraph (a)(4)(ii) of this section but must involve each station atleast once peryear);

(iv) Documentation of the audit, including vehicle condition and prepara

- tion, sufficient for building a legal case and establishing a performance record;

(v) Covert vehicles covering the range of vehicle technology groups (e.g., carbureted and fuel-injected vehi-
cles) included in the program, including a full range of introduced malfunc- tions covering the emission test, the evaporative system tests, and emission control component checks (as applica- ble);



### 335

### §51.364
(vi) Sufficient numbers of covert vehicles and auditors to allow for frequent rotation of both to prevent detectionby stationpersonnel; and

(vii) Where applicable, access to online inspection databases by State personnel to permit the creation and maintenance of covert vehicle records

.

(b) Record audits. Station and inspector records shall be reviewed or screened at least monthly to assess station performance and identify problems that may indicate potential fraud
or incompetence

. Such review shall include:

(1) Automated record analysis to identify statistical inconsistencies, unusual patterns, and other discrepancies;

(2) Visits to inspection stations toreview records not already covered in the electronic analysis (ifany); and

(3) Comprehensive accounting for all official forms that can be used to demonstrate compliance with the program.

(c) Equipment audits. During overt site visits, auditors shall conduct qual

- ity control evaluations of the required test equipment, including (where applicable):

(1) A gas audit using gases of known concentrations at least as accurate as those required for regular equipment quality control and comparing these concentrations to actual readings;

(2) A check for tampering, worn instrumentation, blocked filters, and other conditions that would impede ac- curate sampling;

(3) A check for critical flow in critical now CVS units;

(4) A check of the Constant Volume Samplernow calibration;

(5) A check for the optimization of the FlameIonization Detectionfuel-air ratio using methane;

(6) A leak check; (7) A check to determine that station gas bottles used for calibration purposes are properly labelled and within therelevanttolerances;

(8) Functional dynamometer checks addressing coast-down, roll speed and roll distance
, inertia weight selection, and power absorption;

(9) A check of the system's ability to accurately detect background pollutant concentrations; 40 CFR Ch. I (7-1-12 Edition)
(10) A check of the pressure monitoring devices used to perform the evaporative canister pressure test(s); and

(11) A check of the purge flow metering system.

(d) Auditor training andproficiency. (1) Auditors shall be formally trained and knowledgeable in:

(i) The use of test equipment and/or procedures;

(ii) Programrules andregulations; (iii) The basics of air pollution con- trol;

(iv) Basic principles of motor vehicle engine repair, related to emission performance;

(v) Emission control systems; (vi) Evidence gathering; (vii) State administrative procedures laws;

(viii) Quality assurance practices; and

(ix) Covert audit procedures. (2) Auditors shall themselves be au- dited at least once annually

.

(3) The training and knowledge re- quirements in paragraph (d)(1) of this section may be waived for temporary auditors engaged solely for the purpose ofconducting covert vehicle runs

.

(e) SIP requirements. The SIP shall include a description of the quality assurance program, and written procedures manuals covering both overt and covert performance audits, record audits
, and equipment audits. This re- quirement does not include materials
or discussion of details of enforcement strategies that would ultimately hamperthe enforcement process. [57 FR 52987
, Nov

. 5
, 1992, as amended at 65 FR45534, July 24, 2000)
§51.364 Enforcement against contractors, stations and inspectors. Enforcement against licensed stations or contractors, and inspectors shall include swift, sure, effective, and consistent penalties for violation of programrequirements.

(a) Imposition of penalties. A penalty schedule shall be developed that establishes minimum penalties for violations of program rules and procedures.

(1) The schedule shall categorize and list violations and the minimum penalties to be imposed for first, second,



### 336

### Environmental Protection Agency

and subsequent violations and for multiple violation of different requirements

. In the case of contracted systems, the State may use compensation retainage in lieu ofpenalties.

(2) Substantial penalties or retainage shallbe imposed on the first offense for violations that directly affect emission reduction benefits. At a minimum, in test-and-repair programs inspector and station license suspension shall be imposed for at least 6months whenever a vehicle is intentionally improperly passed for any required portion of the test

. In test-only programs, inspectors shall be removed from inspector duty for at least 6 months (or a retainage penalty equivalent to the inspector's salary for that period shall be imposed).

(3) All findings of serious violations of rules or procedural requirements shall result in mandatory fines or retainage. In the case of gross neglect
, a first offense shall result in a fine or retainage ofno less than$100 or5times the inspection fee, whichever is greater, for the contractor or the licensed station, and the inspectorifinvolved.

(4) Any finding of inspector incompetence shall result in mandatory training before inspection privileges
are restored.

(5) License or certificate suspension
orrevocation shall mean the individual is barred from direct or indirect involvement in any inspection operation during the term of the suspension or revocation.

(b) Legal authority. 

### (1) The quality as- surance officer shall have the authority to temporarily suspend station and inspector licenses or certificates (after approval of a superior) immediately upon finding a violation or equipment failure that directly affects emission reduction benefits, pending a hearing when requested

. In the case of immediate suspension, a hearing shall be held within fourteen calendar days ofa written request by the station licensee
or the inspector

. Failure to hold a hearing within 14 days when requested shall cause the suspension to lapse. In the event that a State's constitution precludes such a temporarylicense sus- pension, the enforcement system shall be designed with adequate resources and mechanisms to hold a hearing to §51.364 

### suspend or revoke the station or inspector license within three station business days ofthe finding.

(2) The oversight agency shall have the authority to impose penalties against the licensed station or con- tractor, as well as the inspector, even if

### the licensee or contractor had no direct knowledge ofthe violationbut was found to be careless in oversight of inspectors or has a history of violations. Contractors and licensees shall be held fully responsible for inspector perform-
ance in the course ofduty.

(c) Recordkeeping. 

### The oversight agency shall maintain records of all warnings, civil fines, suspensions, rev- ocations, and violations and shall com- pile statistics on violations and pen

- alties on an annual basis.

(d) SIP requirements. 

### (1) The SIP shall include the penalty schedule and the legal authority for establishing andimposing penalties, civil fines, license suspension, andrevocations

.

(2) In 

### the case ofState constitutional impediments to immediate suspension authority, the State Attorney General shall furnish an official opinion for the SIP explaining the constitutional impediment as well as relevant case law

.

(3) The SIP shall describe the administrative and judicial procedures and responsibilitiesrelevant to the enforcement process, including which agencies, courts, and jurisdictions are involved; who will prosecute and adjudicate cases; and other aspects of the enforcement of the program requirements, the resources to be allocated to this function, and the source of those funds. In 

### States without immediate suspension authority
, the SIP shall demonstrate that sufficient resources, personnel, and systems are in place to meet the three day case management requirement for violations that directly affect emissionreductions

.

(e) Alternative quality assurance procedures or frequencies that achieve equivalent or better results may be approved by the Administrator. Statistical process control shall be used whenever possible to demonstrate the efficacy ofalternatives.

(f) 

### Areas that qualify for and choose to implement an OTR low enhancedliM program, as established in §

### 51.351(h),



### 337

### §51.365

and that claim in their SIP less emission reduction credit than the basic performance standard for one or more pollutants
, are not required to meet the oversight specifications ofthis sec

- tion

. [57 FR 52987, Nov. 5
, 1992
, as amended at 61 FR39037, July 25, 1996]
§51.365 Data collection.

Accurate data collection is essential to the management, evaluation, and enforcement of an IJM program

. The program shall gather test data on individual vehicles, as well as quality control data on test equipment (with the exception of test procedures for which either no testing equipment is required
or those test procedures relying upon a vehicle's OBD system).

(a) Test data

. The goal of gathering test data is to unambiguously link specific test results to a specific vehicle, II M program registrant, test site, and inspector, and to determine whether or not the correct testing parameters
were observed for the specific vehicle in question

. In turn, these data can be used to distinguish complying and noncomplying vehicles as a result of analyzing the data collected and com- paring it to the registration database, to screen inspection stations and inspectorsfor investigationas to possible irregularities, and to help establish the overall effectiveness of the program

. At a minimum, the program shall collect the following with respect to each testconducted:

(1) Testrecordnumber; (2) Inspection station and inspector numbers;

(3) Test system number (where applicable);

(4) Date ofthe test; (5) Emission test start time and the time final emission scores are determined;

(6) Vehicle IdentificationNumber; (7) License plate number; (8) Test certificate number; (9) Gross Vehicle Weight Rating (GVWR);

(1 0) Vehicle model year, make
, and type;

(11) Number of cylinders or engine displacement;

(12)Transmission type; (13) Odometerreading; 40 CFR Ch. I (7-1-12 Edition)
(14) Category of test performed (i.e. initial test, first retest, or subsequent retest);

(15) Fuel type of the vehicle (i.e., gas, diesel
, or otherfuel);

(16) Type of vehicle preconditioning performed (ifany);

(17) Emission test sequence(s) used; (18) Hydrocarbon emission scores and standards for each applicable test mode;

(19) Carbon monoxide emission scores and standards for each applicable test mode;

(20) Carbon dioxide emission scores (CO+C02) and standards for each applicable test mode;

(21) Nitrogen oxides emission scores and standards for each applicable test mode;

(22) Results (Pass/Fail/Not Applicable) ofthe applicable visual inspections for the catalytic converter, air system, gas cap, evaporative system, positive crankcase ventilation (PCV) valve fuel inlet restrictor, and any other visual inspection for which emission reduction credit is claimed;

(23) Results of the evaporative system pressure test(s) expressed as a pass orfail;

(24) Results of the evaporative system purge test expressed as a pass or fail along with the total purge flow in liters achieved during the test (where applicable); and

(25) Results of the on-board diagnostic check expressed as a pass or fail along with the diagnostic trouble codes revealed (where applicable).

(b) Quality control data. At a minimum, the program shall gatherandreport the results of the quality control checks required under §51.359 of this subpart
, identifying each check by station number, system number, date, and start time. The data report shall also contain the concentration values ofthe calibration gases used to perform the gas characterization portion of the quality control checks (where applicable).
[ 57 FR 52987
, Nov. 5, 1992, as amended at 61 FR 40945
, Aug. 6
, 1996; 65 FR 45534 July 24 2000] •

.
§51.366 Data analysis andreporting

.

Data analysis and reporting are re- quired to allow for monitoring and



### 338

### Environmental Protection Agency

evaluation of the program by program management and EPA, and shall pro

vide information regarding the types of program activities performed and their final outcomes, including summary statistics and effectiveness evaluations of the enforcement mechanism, the quality assurance system, the quality control program, and the testing element

. Initial submission of the following annual reports shall commence within 18 months of initial implementation of the program as required by §51.373 of this subpart

. The biennial report shall commence within 30 months of initial implementation of the program as required by §51.373 ofthis subpart.

(a) Test data report. The program shall submit to EPA by July of each year a report providing basic statistics
on the testing program for January through December ofthe previous year, including:

(1) The number of vehicles tested by model year and vehicle type;

(2) By model year and vehicle type, the number and percentage ofvehicles:

(i) Failinginitially, pertest type; (ii) Failing the first retest per test type;

(iii) Passing the first retest per test type;

(iv) Initially failed vehicles passing the second or subsequent retest per test type;

(v) Initially failed vehicles receiving
a waiver; and

(vi) Vehicles with no known final outcome (regardless ofreason).

(vii}-(x) [Reserved] (xi) Passing the on-board diagnostic check;

(xii) Failing the on-board diagnostic check;

(xiii) Failing the on-board diagnostic check and passing the tailpipe test (if applicable);

(xiv) Failing the on-board diagnostic check and failing the tailpipe test (if applicable);

(xv) Passing the on-board diagnostic check and failing the liM gas cap evaporative system test (ifapplicable);

(xvi) Failing the on-board diagnostic check andpassing theliM gas cap evaporative system test (ifapplicable); 

### §51.366
(xvii) Passingboth the on-board diagnostic check and liM gas cap evaporative system test (ifapplicable);

(xviii) Failing both the on-board diagnostic check and liM gas cap evaporative system test (ifapplicable);

(xix) MIL is commanded on and no codes are stored;

(xx) MIL is not commanded on and codes are stored;

(xxi) MIL is commanded on and codes
are stored;

(xxii) MIL is not commanded on and codes are not stored;

(xxiii) Readiness status indicates that the evaluation is not complete for any module supported by on-board diagnostic systems;

(3) The initial test volume by model year and test station;

(4) The initial test failure rate by model year and test station; and

(5) The average increase or decrease in tailpipe emission levels for HC, CO, and NOx (if applicable) after repairs by model year and vehicle type for vehicles receiving a mass emissions test.

(b) Quality assurance report. The program shall submit to EPA by July of each year a report providing basic statistics on the quality assurance program for January through December of the previous year, including:

(1) The number ofinspection stations and lanes:

(i) Operating throughout the year; and

(ii) Operating for only part of the year;

(2) The number ofinspection stations and lanes operating throughout the year:

(i) Receiving overt performance au- dits in the year;

(ii) Not receiving overt performance audits in the year;

(iii) Receiving covert performance audits in the year;

(iv) Not receiving covert performance auditsin the year; and

(v) Thathave been shut down as are- sult ofovert performance audits;

(3) The numberofcovert audits: (i) Conducted with the vehicle set to fail pertest type;

(ii) Conducted with the vehicle set to fail any combination of two or more testtypes;


### 339§51.366
(iii) Resulting in a false pass per test type;

(iv) Resulting in a false pass for any combination oftwo or more test types;

(v}-(viii) [Reserved] (4) The number ofinspectors and stations:

(i) Thatwere suspended, fired, orotherwise prohibited from testing as a re- sult ofcovert audits;

(ii) That were suspended, fired
, or otherwise prohibited from testing for othercauses; and

(iii) Thatreceivedfines; (5) The number ofinspectors licensed
orcertified to conduct testing;

(6) Thenumberofhearings: (i) Held to consider adverse actions against inspectors and stations; and

(ii) Resulting in adverse actions againstinspectors and stations;

(7) The total amount collected in fines from inspectors and stations by type ofviolation;

(8) The total number of covert vehicles available for undercover audits
over the year; and

(9) The number of covert auditors available for undercover audits.

(c) Quality control report

. The program shall submit to EPA by July of each year a report providing basic statistics on the quality control program for January through December of the previous year, including:

(1) The number of emission testing sites and lanes in use in the program;

(2) The number of equipment audits by station and lane;

(3) The number and percentage ofstations that have failed equipment au- dits;and

(4) Number and percentage of stations and lanes shut down as a result of equipment audits.

(d) Enforcement report. (1) All varieties of enforcement programs shall, at
a minimum, submit to EPA by July of each year a report providing basic statistics on the enforcement program for January through December of the previous year, including:

(i) An estimate of the number of vehicles subject to the inspection program, including the results of an analysis ofthe registration data base;

(ii) The percentage of motorist com- pliance based upon a comparison ofthe 40 CFR Ch

. I (7-1-12 Edition)

number of valid final tests with the numberofsubject vehicles;

(iii) The total number of compliance documents issued to inspection stations;

(iv) The number of missing compliance documents;

(v) The number of time extensions and other exemptions granted to mo- torists; and

(vi) The number of compliance surveys conducted, number of vehicles surveyed in each
, and the compliance ratesfound.

(2) Registration denial based enforcement programs shall provide the following additional information:

(i) A report of the program's efforts and actions to prevent motorists from falsely registering vehicles out of the program area or falsely changing fuel type or weight class on the vehicle registration, and the results of special studies to investigate the frequency of suchactivity;and

(ii) The number of registration file audits
, number of registrations reviewed, and compliance rates found in suchaudits.

(3) Computer-matching based en- forcement programs shall provide the following additional information:

(i) The number and percentage of subject vehicles that were tested by the initial deadline, and by other milestones in the cycle;

(ii) A report on the program's efforts to detect and enforce against motorists falsely changing vehicle classifications to circumvent program requirements, and the frequency of this type ofactivity; and

(iii) The number of enforcement system audits, and the error rate found during those audits

.

(4) Sticker-based enforcement systems shall provide the following additional information:

(i) A report on the program's efforts to prevent, detect
, and enforce against sticker theft and counterfeiting, and the frequency ofthis type ofactivity;

(ii) A report on the program's efforts to detect and enforce against motorists falsely changing vehicle classifications to circumvent program requirements, and the frequency ofthis type of activity;and



### 340Environmental Protection Agency
(iii) The number ofparking lot sticker audits conducted, the number of ve- hicles surveyed in each, and the noncompliance rate found during those audits

.

(e) Additional reporting requirements

. In addition to the annual reports in paragraphs (a) through (d) of this sec- tion, programs shall submit to EPA by July of every other year, biennial reportsaddressing:

(1) Any changes made in program design, funding, personnel levels, procedures, regulations, and legal authority
, with detaileddiscussion and evaluation of the impact on the program of all such changes; and

(2) Any weaknesses or problems identified in the program within the twoyear reporting period, what steps have already been taken to correct those problems, the results of those steps, and any future efforts planned

.

(f) SIP requirements

. The SIP shall describe the types ofdata to be collected

. [ 57 FR 52987
, Nov. 5, 1992. as amended at 61 FR 40945. Aug

. 6, 1996; 65 FR 45534, July 24, 2000; 66 FR 18178, Apr

. 5, 2001)

§51.367 Inspector training and licens- ingorcertification

. All inspectors shall receive formal training and be licensed or certified to perform inspections.

(a) Training. (1) Inspector training shall impart knowledge of the following:

(i) The air pollution problem, its
causes and effects;

(ii) The purpose, function, andgoal of the inspection program;

(iii) Inspection regulations and procedures;

(iv) Technical details of the test procedures and the rationale for their design;

(v) Emission control device function, configuration, and inspection;

(vi) Test equipment operation, calibration, and maintenance (with the ex- ception of test procedures which either do not require the use of special equipment or which rely upon a vehicle's OBD system);

(vii) Quality control procedures and theirpurpose;

(viii) Publicrelations; and (ix) Safety and health issues related to the inspection process. 

### §51.368
(2) Ifinspector training is not administered by the program, the responsible State agency shall monitor and evalu

- ate the training program delivery

.

(3) In order to complete the training requirement, a trainee shall pass (i.e

.. a minimum of 80% of correct responses or lower if an occupational analysis justifies it) a written test covering all aspects of the training

. In addition, a hands-on test shall be administered in which the trainee demonstrates without assistance the ability to conduct a proper inspection and to follow other required procedures

. Inability to properly conduct all test procedures shall constitute failure of the test

. The program shall take appropriate steps to insure the security and integrity ofthe testing process.

(b) Licensing and certification. (1) All inspectors shall be either licensed by the program (in the case oftest-and-repair systems that do not use contracts with stations) or certified by an orga

- nization other than the employer (in test-only programs and test-and-repair programs that require station owners to enter into contracts with the State) in order to perform official inspections.

(2) Completion of inspector training and passing required tests shall be a condition oflicensing orcertification.

(3) Inspector licenses and certificates shall be valid for no more than 2years, at which point refresher training and testing shall be required prior to re

- newal. Alternative approaches based on more comprehensive skill examination and determination of inspector com- petency may be used.

(4) Licenses or certificates shall not be considered a legal right butrather a privilegebestowed by the program conditional upon adherence to program re- quirements

.

(c) SIP requirements. The SIP shall include a description of the training program, the written and hands-on tests, and the licensing or certification proc- ess

. [57 FR 52987
, Nov. 5. 1992
, as amended at 65 FR45534
, July 24
, 2000)

§51.368 Public information and con· sumer protection

. (a) Public awareness

.The SIP shall include a plan for informing the public
on an ongoing basis throughout the life


### 341

### §51.369

of the IIM program of the air quality problem
, the requirements of Federal and State law, the role of motor vehicles in the air quality problem
, the need for and benefits of an inspection program, how to maintain a vehicle in
a low-emission condition, how to find a qualified repair technician, and the re

- quirements of the IIM program

. Motorists that fail the l!M test in enhanced II M areas shall be offered a list ofrepair facilities in the area and information
on the results of repairs performed by repair facilities in the area, as described in §51.369(b)(l) of this subpart

. Motorists that fail the l!M test shall also be provided with information concerning the possible cause(s) for failing the particular portions of the test that
were failed

.

(b) Consumerprotection. The oversight agency shall institute procedures and mechanisms to protect the public from fraud and abuse by inspectors, mechanics, and others involved in the l!M program. This shall include a challenge mechanism by which a vehicle owner can contest the results of an inspection

. It shall include mechanisms for protecting whistle blowers and following up on complaints by the public
or others involved in the process. It shall include a program to assist own- ers in obtaining warranty covered repairs for eligible vehicles that fail a test. The SIP shall include a detailed
consumerprotectionplan.
[57 FR 52987, Nov. 5, 1992
, as amended at 65 FR45534
, July 24
, 2000]

§51.369 Improving repair effective-
ness. Effective repairs are the key to achieving program goals and the State shall take steps to ensure the capability exists in the repair industry to repairvehicles thatfail l!M tests.

(a) Technical assistance

. The oversight agency shall provide the repair industry with information and assistance related to vehicle inspection diagnosis andrepair.

(1) The agency shall regularly inform repair facilities of changes in the inspection program, training course schedules, common problems being found with particular engine families, diagnostic tips and the like

. 40 CFR Ch

. I (7-1-12 Edition)
(2) The agency shall provide a hot line service to assist repair technicians with specific repair problems
, answer technical questions that arise in the repair process, and answer questions related to the legal requirements of State and Federal law with regard to emission control device tampering, en- gine switching, or similarissues.

(b) Performance monitoring. (1) In en- hanced I/M program areas, the oversight agency shall monitor the performance of individual motor vehicle repair facilities
, and provide to the public at the time of initial failure
, a summary of the performance of local repair facilities that have repaired vehicles for retest. Performance moni

toring shall include statistics on the number of vehicles submitted for a retest after repair by the repair facility
, the percentage passing on first retest, the percentage requiring more than one repair / retest trip before passing, and the percentage receiving a waiver. Programs may provide motorists with alternative statistics that convey similar information on the relative ability of repair facilities in providing effective and convenient repair, in light ofthe age and other characteristics of vehicles presented for repair ateach facility.

(2) Programs shall provide feedback
, including statistical and qualitative information to individual repair facilities on a regular basis (at least annu- ally) regarding their success in repairingfailed vehicles.

(3) A prerequisite for a retest shall be
a completed repair form that indicates which repairs were performed, as well
as any technician recommended repairs that were not performed, and identification of the facility that performed the repairs

.

(c) Repair technician training. The State shall assess the availability of adequate repair technician training in the IIM area and, if the types of training described in paragraphs (c)(l) through (4) of this section are not currently available, shall insure that training is made available to all inter

- ested individuals in the community ei

- ther through private or public facilities. This may involve working with local community colleges or vocational schools to add curricula to existing


### 342Environmental Protection Agency

programs or start new programs or it might involve attracting private training providers to offer classes in the
area. The training available shall include:

(1) Diagnosis and repair of malfunctions in computer controlled, closeloopvehicles;

(2) The application of emission con- trol theory and diagnostic data to the diagnosis and repair of failures on the transient emission test and the evaporative system functional checks (where applicable);

(3) Utilization of diagnostic information on systematic or repeated failures observed in the transient emission test and the evaporative system functional checks (where applicable); and

(4) General training on the various subsystems related to engine emission control.

(d) 

### SIP requirements. The SIP shall include a description of the technical assistance program to be implemented, a description of the procedures and criteria to be used in meeting the performance monitoring requirements of this section, and a description of the repair technician training resources available in the community. [57 FR 52987, Nov

. 5
, 1992
, as amended at 65 FR45535, July 24, 2000]

§51.370 Compliance with recall no· tices. States shall establish methods to ensure that vehicles subject to enhanced I/M and that are included in either a "Voluntary Emissions Recall" as defined at 40 CFR 85.1902(d), or in a remedial plan determination made pursuant to section 207(c) ofthe Act, receive the required repairs. States shall require that owners of recalled vehicles have the necessary recall repairs completed, either in order to complete an annual
or biennial inspection process or to obtain vehicle registration renewal. All recalls for which owner notification oc- curs after January 1, 1995 shall be included in the enhanced I/M recall re- quirement.

(a) 

### General requirements. (1) The State shall have an electronic means to identify recalled vehicles based on lists of VINs with unresolved recalls made available by EPA, the vehicle manufacturers, or a third party supplier ap- §51.370 proved by the Administrator. The State shall update its list ofunresolved recalls on a quarterly basis at a minimum.

(2) The State shall require owners or lessees of vehicles with unresolved recalls to show proof of compliance with recall notices in order to complete either the inspection or registration cycle.

(3) Compliance shall be required on the next registration or inspection date, allowing a reasonable period to comply, after notification ofrecall was receivedby the State.

(b) 

### Enforcement

. (1) A vehicle shall eitherfail inspection orbe denied vehicle registration if the required recall repairs have notbeen completed.

(2) In the case of vehicles obtaining recall repairs but remaining on the updated list provided in paragraph (a)(1) of this section, the State shall have a means of verifying completion of the required repairs; electronic records or paper receipts provided by the authorized repair facility shall be required

. The vehicle inspection or registration record shall be modified to include (or be supplemented with otherVIN-linked records which include) the recall cam- paign number(s) and the date(s) repairs
were performed

. Documentation verifying required repairs shall include the following:

(i) The VIN, make, and model year of thevehicle; and

(ii) The recall campaign number and the date repairswere completed.

(c) 

### Reporting requirements

. The State shall submit to EPA, by July of each year for the previous calendar year, an annual report providing the following information:

(1) The number of vehicles in the I/M
area initially listed as having unre- solved recalls, segregated by recall campaignnumber;

(2) The number of recalled vehicles brought into complianceby owners;

(3) The numberoflisted vehicles with unresolved recalls that, as ofthe end of the calendar year, were not yet due for inspection orregistration;

(4) The number of recalled vehicles still in non-compliance that have either failed inspection or been denied registration on the basis ofnon-compli-
ance withrecall; and


### 343§51.371
(5) The number of recalled vehicles that are otherwise not in compliance.

(d) 

### SIP submittals. The SIP shall describe the procedures used to incorporate the vehicle lists provided in paragraph (a)(1) ofthis section into the inspection orregistration database, the quality control methods used to insure that recall repairs are properly documented and tracked, and the method (inspection failure or registration denial) used to enforce the recall requirements.

§51.371 On-road testing

.

On-road testing is defined as testing of vehicles for conditions impacting the emission ofHC, CO, NOx and/or C02 emissions on any road or roadside in the nonattainment area or the liM program area. On-road testing is required in enhanced liM areas and is an option for basic liM areas.

(a) 

### General requirements. (1) On-road testing is to be part of the emission testing system, but is to be a complement to testing otherwise required.

(2) On-road testing is not required in every season or on every vehicle but shall evaluate the emission perform-
ance of 0

.5% of the subject fleet statewide or 20,000 vehicles, whichever is less, perinspection cycle.

(3) The on-road testing program shall provide informationabout the perform-
ance of in-use vehicles, by measuring on-road emissions through the use of remote sensing devices or by assessing vehicle emission performance through roadside pullovers including tailpipe or evaporative emission testing or a check of the onboard diagnostic (OBD) system for vehicles so equipped. The program shall collect
, analyze and reporton-road testingdata.

(4) Owners of vehicles that have previously been through the normal periodic inspection and passed the final retest and found to be high emitters shall be notified that the vehicles are required to pass an out-of-cycle followup inspection; notification may be by mailing in the case of remote sensing on-road testing or through immediate notification if roadside pullovers are used

.

(b) 

### SIP requirements. (1) The SIP shall include a detailed description of the on-road testing program, including the 40 CFR Ch. I (7-1-12 Edition)

types of testing, test limits and criteria, the number of vehicles (the percentage of the fleet) to be tested, the number ofemployees to be dedicated to the on-road testing effort, the methods for collecting, analyzing
, utilizing
, and reporting the results of on-road testing and, the portion ofthe program budget to be dedicated to on-roadtesting.

(2) The SIP shall include the legal authority necessary to implement the on- road testing program, including the authority to enforce off-cycle inspection and repair requirements (where applicable)

.

(3) Emission reduction credit for on- road testing programs shall be granted for a program designed to obtain measurable emission reductions over and above those already predicted to be achieved by other aspects of the liM program. Emission reduction credit will only be granted to those programs which require out-of-cycle repairs for confirmed high-emitting vehicles identified under the on-road testing program. The SIP shall include technical support for the claimed additional emissionreductions. [57 FR 52987
, Nov

. 5
, 1992
, as amended at 65 FR45535
, July 24
, 2000]

§51.372 State Implementation Plan
submissions. (a) 

### SIP submittals

. The SIP shall address each of the elements covered in this subpart
, including
, but not limited to:

(1) A schedule of implementation of the program including interim milestones leading to mandatory testing. The milestones shall include
, at a minimum:

(i) Passage of enabling statutory or otherlegal authority;

(ii) Proposal of draft regulations and promulgation offinal regulations;

(iii) Issuance of final specifications and procedures;

(iv) Issuance offinal Request for Proposals (ifapplicable);

(v) Licensing or certifications of stations and inspectors;

(vi) The date mandatory testing will begin for each model year to be covered by the program;

(vii) The date full-stringency cutpointswill take effect;

(viii)All otherrelevant dates;


### 344Environmental Protection Agency
(2) An analysis of emission level targets for the program using the most current EPA mobile source emission model or an alternative approved by the Administrator showing that the program meets the performance standard described in §51.351 or §51.352 of this subpart, as applicable;

(3) A description of the geographic
coverage ofthe program. including ZIP codes if the program is not countywide;

(4) A detailed discussion of each of

·the required design elements, including provisions for Federal facility compliance;

(5) Legal authority requiring or allowing implementation of the liM program and providing eitherbroad or spe

cific authority to perform all required elements ofthe program;

(6) Legal authority for liM program operation until such time as it is no longer necessary (i.e

.. until a Section 175 maintenance plan without an liM program is approvedbyEPA);

(7) Implementing regulations, interagency agreements, and memoranda of understanding; and

(8) Evidence of adequate funding and
resources to implement all aspects of the program.

(b) Submittal schedule. The SIP shall be submitted to EPA according to the following schedule--

(1) [Reserved] (2) A SIPrevision required as a result of designation for a National Ambient Air Quality Standard in place prior to implementation of the 8-hour ozone standard and including all necessary legal authority and the items specified in paragraphs (a)(1) through (a)(8) of this section, shall be submitted no later than November 15, 1993. For nonattainment areas designated and classified under the 8-hour ozone standard,
a SIP revision including all necessary legal authority and the items specified in paragraphs (a)(1) through (a)(8) of this section, shall be submittedby May 8, 2007 or 1 year after the effective date of designation and classification under the 8-hour ozone National Ambient Air Quality Standard
, whicheveris later

.

(3) [Reserved] (c) Redesignation requests. Any nonattainment area that EPA determines would otherwise qualify for redesigna- §51.372

tion from nonattainment to attainment shall receive full approval of a State Implementation Plan (SIP) submittal under Sections 182(a)(2)(B) or 182(b)(4) if the submittal contains the following elements:

(1) Legal authority to implement a basic liM program (or enhanced if the State chooses to opt up) as required by this subpart

. The legislative authority for an liM program shall allow the adoption of implementing regulations without requiringfurther legislation.

(2) A request to place the liM plan (if
no liM program is currently in place or if an liM program has been terminated,) or the liM upgrade (ifthe existing liM program is to continue without being upgraded) into the contingency
measures portion of the maintenance plan uponredesignation

.

(3) A contingency measure consisting of a commitment by the Governor or the Governor's designee to adopt or consider adopting regulations to implement an liM program to correct a violation of the ozone or CO standard or other air quality problem
, in accordance with the provisions ofthe mainte-
nance plan

.

(4) A contingency commitment that includes an enforceable schedule for adoption and implementation of the II M program, and appropriate milestones. The schedule shall include the date for submission of a SIP meeting all ofthe requirements of this subpart

. Schedule milestones shall be listed in months from the date EPA notifies the State that it is in violation of the
ozone or CO standard or any earlier date specified in the State plan. Unless the State, in accordance with the provisions ofthe maintenance plan, chooses not to implement liM, it must submit a SIP revision containing an liM program no more than 18 months after notification by EPA

.

(d) Basic areas continuing operation of liM programs as part of their main- tenance plan without implemented upgrades shall be assumed to be 80% as effective as an implemented, upgraded version of the same liM program design, unless a State can demonstrate using operating information that the II M program is more effective than the 80% level.


### 345

### §51.373

(e) 

### SIP submittals to correct violations. SIP submissions required pursuant to a violation of the ambient ozone or CO standard (as discussed in paragraph (c) of this section) shall address all of the requirements of this subpart

. The SIP shall demonstrate that performance standards in either §51.351 or §51.352 shall be met using an evaluation date (rounded to the nearest January for carbon monoxide and July for hydrocarbons) seven years after the date EPAnotifies the State that it is inviolation of the ozone or CO standard or any earlier date specified in the State plan. Emission standards for vehicles subject to an IM240 test may be phased in during the program but full standards must be in effect for at least one complete test cycle before the end of the 5-year period

. All other requirements shall take effect within 24 months of the date EPA notifies the State that it is in violation of the
ozone or CO standard or any earlier date specified in the State plan. The phase-in allowances of §51.373(c) of this subpart shall not apply. [57 FR 52987
, Nov. 5
, 1992
, as amended at 60 FR 1738
, Jan

. 5
, 1995; 60 FR 48036
, Sept. 18, 1995; 61 FR 40946
, Aug. 6, 1996; 61 FR 44119, Aug. 27, 1996; 71 FR 17711, Apr. 7
, 2006)
§51.373 Implementation deadlines.

liM programs shall be implemented
as expeditiously as practicable.

(a) Decentralized basic programs shall be fully implemented by January 1, 1994, and centralized basic programs shall be fully implemented by July 1, 1994. More implementation time may be approved by the Administrator ifan enhanced IJM program is implemented.

(b) For areas newly required to implement basic IJM as a result of designation under the 8-hour ozone standard
, the required program shallbe fully implemented no later than 4 years after the effective date of designation and classification under the 8-hour
ozone standard

.

(c) All requirements related to en- hanced IJM programs shall be implemented by January 1, 1995, with the following exceptions.

(1) Areas switching from an existing test-and-repair network to a test-only network may phase in the change between January of 1995 and January of 40 CFR Ch. I (7-1-12 Edition)

1996. Starting in January of 1995 at least 30% of the subject vehicles shall participate in the test-only system (in States with multiple IJM areas, implementation is notrequired in every area by January 1995 as long as statewide, 30% ofthe subjectvehicles are involved in testing) and shall be subject to the
new test procedures (including the evaporative system checks
, visual inspections, and tailpipe emission tests). By January 1, 1996, all applicable vehi

cle model years and types shall be included in the test-only system. During the phase-in period, all requirements of this subpart shall be applied to the test-only portion ofthe program; existing requirements may continue to apply for the test-and-repair portion of the program until it is phased out by January 1, 1996.

(2) Areas starting new test-only programs and those with existing test

only programs may also phase in the
new test procedures between January 1, 1995 and January 1, 1996

. Other program requirements shall be fully implementedby January 1, 1995.

(d) For areas newly required to implement enhanced IJM as a result of designation under the 8-hour ozone standard, the required program shall be fully implemented no later than 4 years after the effective date of designation and classification under the 8- hour ozone standard.

(e) [Reserved] (f) Areas that choose to implement
an enhanced IJM program only meeting the requirements of §51.351(h) shall fully implement the program no later than July 1, 1999. The availability and
use of this late start date does not re- lieve the area ofthe obligation to meet the requirements of §51.351(h)(ll) by the end of 1999.

(g) On

-Board Diagnostic checks shall be implemented in all basic
, low enhanced andhigh enhanced areas as part of the IJM program by January 1
, 2002. Alternatively, states may elect to phase-in OBD-IJM testing for one test cycle by using the OBD-IJM check to
screen clean vehicles from tailpipe testing and require repair and retest for only those vehicles which proceed to fail the tailpipe test. An additional alternative is also available to states


### 346Environmental Protection Agency

with regard to the deadline for mandatory testing, repair, and retesting of vehicles based upon the OBD-IJM check. Under this third option, if a state can show good cause (and the Administrator takes notice-and-comment action to approve this good cause showing), up to an additional 12 months' extension may be granted, es- tablishing an alternative start date for such states of no later than January 1, 2003. States choosing to make this showing will also have available to them the phase-in approach described in this section, with the one-cycle time limit to begin coincident with the alternative start date established by Administrator approval of the showing, but no later than January 1, 2003. The showing ofgood cause (and its approval
or disapproval) will be addressed on a case-by-casebasis.

(h) For areas newly required to implement either a basic or enhanced liM program as a result ofbeing designated and classified under the 8

-hour ozone standard, such programs shall begin OBD testing on subject OBD-equipped vehicles coincident with program start-up. [57 FR 52987, Nov. 5, 1992, as amended at 58 FR 59367, Nov. 9, 1993; 61 FR 39037, July 25, 1996; 61 FR 40946, Aug. 6, 1996; 63 FR 24433, May 4
, 1998; 66 FR 18178, Apr. 5, 2001; 71 FR 17711, Apr. 7, 2006]

APPENDIX A TO SUBPARTS OF PART 51- CALIBRATIONS, ADJUSTMENTS AND QUALITY CONTROL (I) Steady-St ate Test Equipment States may opt to use transient emission test equipment for steady-state tests and follow the quality control requirements In paragraph (II) ofthis appendix Instead of the following requirements.

(a) Equipment shall be calibrated In accordance with the manufacturers' Instructions.

(b) Prior to each test

- (1) Hydrocarbon hangup check

. Immediately prior to each test the
analyzer shall automatically perform a hydrocarbon hang-up check. If the HC reading, when the probe Is sampling ambient air, ex- ceeds 20 ppm, the system shall be purged with clean air or zero gas. The analyzer shall be inhibited from continuing the test until HC levels drop below 20 ppm.

(2) Automatic zero and span. The analyzer shall conduct an automatic zero and span check prior to each test. The span check shall Include the HC
, CO, and C02 channels, Pf. 51 , Subpt

. S, App

. A

and the NO and 

### o, channels, if present. If
zero and/or span drift cause the signal levels to move beyond the adjustment range of the analyzer, It shall lock outfrom testing.

(3) Low flow

. The system shall lock out from testing if sample flow Is below the acceptable level as defined in paragraph (I)(b)(6) ofappendix D to this subpart.

(c) Leak check. A system leak check shall be performed within twenty-four hours before the test In low volume stations (those performingless than the4,000 Inspections per year) and within four hours In high-volume stations (4,000 or more inspections per year) and may be performed in conjunction with the gas calibration described In paragraph (l)(d)(1) of this appendix. If a leak check Is not performed within the preceding twentyfour hours In low volume stations and within four hours In high-volume stations or If the
analyzer falls the leak check, the analyzer shall lock out from testing. The leak check shall be a procedure demonstrated to effectively check the sample hose and probe for leaks and shall be performed In accordance with good engineering practices

. An error of
more than ±2% of the reading using low range span gas shall cause the analyzer to lock out from testing and shall require re- pair ofleaks.

(d) Gas calibration. (l) On each operating day In high-volume stations, analyzers shall
automatically require and successfully pass a two-point gas calibration for HC, CO, and C02 and shall continually compensate for changes in barometric pressure. Calibration shall be checked within four hours before the test and the analyzer adjusted if the reading is more than 2% different from the span gas value. In low-volume stations, analyzers shall undergo a two-point calibration within seventy-two hours before each test, unless changes In barometric pressure are com- pensated for automatically and statistical process control demonstrates equal or better quality control using different frequencies

. Gas calibration shall be accomplished by Introducing span gas that meets the require- ments of paragraph (I)(d)(3) of this appendix into the analyzer through the calibration port. Ifthe analyzerreads the span gas within the allowable tolerance range (i.e., the square root ofsum ofthe squares ofthe span gas tolerance described In paragraph (I)(d)(3) of this appendix and the calibration tolerance, which shall be equal to 2%), no adjustment of the analyzer is necessary. The gas calibration procedure shall correct readings that exceed the allowable tolerance range to the center of the allowable tolerance range. The pressure In the sample cell shall be the
same with the calibration gas flowing during calibration as with the sample gas flowing during sampling. If the system is not calibrated, or the system falls the calibration check, the analyzer shall lock out from test- ing.


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