8310 Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 

ENVIRONMENTAL PROTECTION 

AGENCY 

40 CFR Part 86, 89, 90, 1027, 1033, 

1042, 1048, 1054, 1060, 1065, and 1068 

[EPA–HQ–OAR–2005–0047; FRL–8750–3] 

RIN 2060–AL92 

Control of Air Pollution From New 

Motor Vehicles and New Motor Vehicle 

Engines; Regulations Requiring 

Onboard Diagnostic Systems on 2010 

and Later Heavy-Duty Engines Used in 

Highway Applications Over 14,000 

Pounds; Revisions to Onboard 

Diagnostic Requirements for Diesel 

Highway Heavy-Duty Vehicles Under 

14,000 Pounds 

AGENCY: Environmental Protection 

Agency (EPA). 

ACTION: Final rule. 

SUMMARY: In 2001, EPA finalized a new, 

major program for highway heavy-duty 

engines. That program, the Clean Diesel 

Trucks and Buses program, will result 

in the introduction of advanced 

emissions control systems such as 

catalyzed diesel particulate filters (DPF) 

and catalysts capable of reducing 

harmful nitrogen oxide (NOX) 

emissions. This final rule will require 

that these advanced emissions control 

systems be monitored for malfunctions 

via an onboard diagnostic system (OBD), 

similar to those systems that have been 

required on passenger cars since the 

mid-1990s. This final rule will require 

manufacturers to install OBD systems 

that monitor the functioning of emission 

control components and alert the 

vehicle operator to any detected need 

for emission related repair. This final 

rule will also require that manufacturers 

make available to the service and repair 

industry information necessary to 

perform repair and maintenance service 

on OBD systems and other emission 

related engine components. Lastly, this 

final rule revises certain existing OBD 

requirements for diesel engines used in 

heavy-duty vehicles under 14,000 

pounds. 

DATES: This rule is effective on April 27, 

2009. The incorporation by reference of 

certain publications listed in this 

regulation is approved by the Director of 

the Federal Register as of April 27, 2009. 

ADDRESSES: EPA has established a 

docket for this action under Docket ID 

No. EPA–HQ–OAR–2005–0047. All 

documents in the docket are listed in 

the http://www.regulations.gov index. 

Although listed in the index, some 

information is not publicly available, 

e.g., Confidential Business Information 

(CBI) or other information whose 

disclosure is restricted by statute. 

Certain other material, such as 

copyrighted material, will be publicly 

available only in hard copy. Publicly 

available docket materials are available 

either electronically in http:// 

www.regulations.gov or in hard copy at 

the Air Docket, EPA/DC, EPA West, 

Room B102, 1301 Constitution Ave., 

NW., Washington, DC. The Public 

Reading Room is open from 8:30 a.m. to 

4:30 p.m., Monday through Friday, 

excluding legal holidays. The telephone 

number for the Air Docket is (202) 566– 

1742. 

FOR FURTHER INFORMATION CONTACT: 

Todd Sherwood, U.S. EPA, National 

Vehicle and Fuel Emissions Laboratory, 

Assessment and Standards Division, 

2000 Traverwood Drive, Ann Arbor, MI 

48105; telephone (734) 214–4405, fax 

(734) 214–4816, e-mail 

sherwood.todd@epa.gov. 

SUPPLEMENTARY INFORMATION: 

Regulated Entities 

This action will affect you if you 

produce or import new heavy-duty 

engines which are intended for use in 

highway vehicles such as trucks and 

buses, or produce or import such 

highway vehicles, or convert heavy-duty 

vehicles or heavy-duty engines used in 

highway vehicles to use alternative 

fuels. 

The following table gives some 

examples of entities that may have to 

follow the regulations. But because 

these are only examples, you should 

carefully examine the regulations in 40 

CFR part 86. If you have questions, call 

the person listed in the FOR FURTHER

INFORMATION CONTACT section of this 

preamble: 

Category NAICS 

codes a SIC codes b Examples of potentially regulated entities 

Industry ............................................... 336111 

336112 

336120 

3711 Motor Vehicle Manufacturers; Engine and Truck Manufacturers. 

Industry ............................................... 811112 7533 Commercial Importers of Vehicles and Vehicle Components. 

811198 

541514 

7549 

8742 

Industry ............................................... 336111 3592 Alternative fuel vehicle converters. 

336312 3714 

422720 5172 

454312 5984 

811198 7549 

541514 8742 

541690 8931 

a North American Industry Classification Systems (NAICS). 

bStandard Industrial Classification (SIC) system code. 

Outline of This Preamble 

I. Overview 

A. Background 

B. What Is EPA Requiring? 

1. OBD Requirements for Engines Used in 

Highway Vehicles Over 14,000 Pounds 

GVWR 

2. Requirements That Service Information 

be Made Available 

3. OBD Requirements for Diesel HeavyDuty Vehicles and Engines Used in 

Vehicles Under 14,000 Pounds 

4. Technical Amendments for Other 

Programs 

C. Why Is EPA Promulgating These 

Requirements? 

1. Highway Engines and Vehicles 

Contribute to Serious Air Pollution 

Problems 

2. Emissions Control of Highway Engines 

and Vehicles Depends on Properly 

Operating Emissions Control Systems 

3. Basis for Action Under the Clean Air Act 

4. The Importance of a Nationwide HDOBD 

Program 

5. Worldwide Harmonized OBD (WWH– 

OBD) 

II. How Have the Proposed OBD 

Requirements Changed for This Final 

Rule and When Will They be 

Implemented? 

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Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 8311 

A. General OBD System Requirements 

1. The OBD System 

2. Malfunction Indicator Light (MIL) and 

Diagnostic Trouble Codes (DTC) 

3. Monitoring Conditions 

4. Determining the Proper OBD 

Malfunction Criteria 

5. Demonstrating Compliance With CARB 

Requirements 

6. Temporary Provisions To Address 

Hardship Due To Unusual 

Circumstances 

B. Monitoring Requirements and Timelines 

for Diesel-Fueled/Compression-Ignition 

Engines 

1. Fuel System Monitoring 

2. Engine Misfire Monitoring 

3. Exhaust Gas Recirculation (EGR) System 

Monitoring 

4. Turbo Boost Control System Monitoring 

5. Non-Methane Hydrocarbon (NMHC) 

Converting Catalyst Monitoring 

6. Selective Catalytic Reduction (SCR) and 

Lean NOX Catalyst Monitoring 

7. NOX Adsorber System Monitoring 

8. Diesel Particulate Filter (DPF) System 

Monitoring 

9. Exhaust Gas Sensor Monitoring 

C. Monitoring Requirements and Timelines 

for Gasoline/Spark-Ignition Engines 

D. Monitoring Requirements and Timelines 

for Other Diesel and Gasoline Systems 

1. Variable Valve Timing and/or Control 

(VVT) System Monitoring 

2. Engine Cooling System Monitoring 

3. Crankcase Ventilation System 

Monitoring 

4. Comprehensive Component Monitors 

5. Other Emissions Control System 

Monitoring 

6. Exceptions to Monitoring Requirements 

E. A Standardized Method To Measure 

Real World Monitoring Performance 

1. Description of Software Counters To 

Track Real World Performance 

2. Performance Tracking Requirements 

F. Standardization Requirements 

1. Reference Documents 

2. Diagnostic Connector Requirements 

3. Communications to a Scan Tool 

4. Required Emissions Related Functions 

5. In-Use Performance Ratio Tracking 

Requirements 

6. Exceptions to Standardization 

Requirements 

G. Implementation Schedule, In-Use 

Liability, and In-Use Enforcement 

1. Implementation Schedule and In-Use 

Liability Provisions 

2. In-Use Enforcement 

H. Changes to the Existing 8,500 to 14,000 

Pound Diesel OBD Requirements 

1. NOX Aftertreatment Monitoring 

2. Diesel Particulate Filter System 

Monitoring 

3. NMHC Converting Catalyst Monitoring 

4. Other Monitors 

5. CARB OBDII Compliance Option and 

Deficiencies 

III. How Have the Service Information 

Availability Requirements Changed for 

This Final Rule? 

A. What is the Important Background 

Information for the Provision Being 

Finalized for Service Information 

Availability? 

B. What Provisions are Being Finalized for 

Service Information Availability? 

1. What Information is the OEM Required 

To Make Available? 

2. What are the Requirements for WebBased Delivery of the Required 

Information? 

3. What are the Requirements for Service 

Information for Third Party Information 

Providers? 

4. What are the Requirements for the 

Availability of Training Information? 

5. What are the Requirements for 

Recalibration of Vehicles? 

6. What are the Requirements for the 

Availability of Enhanced Information for 

Scan Tools for Equipment and Tool 

Companies? 

7. What are the Requirements for the 

Availability of OEM-Specific Diagnostic 

Scan Tools and Other Special Tools? 

8. Which Reference Materials are Being 

Incorporated by Reference? 

IV. What are the Emissions Reductions 

Associated with the OBD Requirements? 

V. What are the Costs Associated With the 

OBD Requirements? 

A. Variable Costs for Engines Used in 

Vehicles Over 14,000 Pounds 

B. Fixed Costs for Engines Used in 

Vehicles Over 14,000 Pounds 

C. Total Costs for Engines Used in Vehicles 

Over 14,000 Pounds 

D. Costs for Diesel Heavy-Duty Vehicles 

and Engines Used in Heavy-Duty 

Vehicles Under 14,000 Pounds 

VI. What are the Updated Annual Costs and 

Costs per Ton Associated With the 2007/ 

2010 Heavy-Duty Highway Program? 

A. Updated 2007 Heavy-Duty Highway 

Rule Costs Including OBD 

B. Updated 2007 Heavy-Duty Highway 

Rule Costs per Ton Including OBD 

VII. How Have the Proposed Requirements 

for Engine Manufacturers Changed for 

This Final Rule? 

A. Documentation Requirements 

B. Catalyst Aging Procedures 

C. Demonstration Testing 

1. Selection of Test Engines 

2. Required Testing 

3. Testing Protocol 

4. Evaluation Protocol 

5. Confirmatory Testing 

D. Deficiencies 

E. Production Evaluation Testing 

1. Verification of Standardization 

Requirements 

2. Verification of Monitoring Requirements 

3. Verification of In-Use Monitoring 

Performance Ratios 

VIII. What are the Issues Concerning 

Inspection and Maintenance Programs? 

IX. Statutory and Executive Order Reviews 

A. Executive Order 12866: Regulatory 

Planning and Review 

B. Paperwork Reduction Act 

C. Regulatory Flexibility Act (RFA), as 

Amended by the Small Business 

Regulatory Enforcement Fairness Act of 

1996 (SBREFA), 5 U.S.C. 601 et seq. 

D. Unfunded Mandates Reform Act 

E. Executive Order 13132: Federalism 

F. Executive Order 13175: Consultation 

and Coordination With Indian Tribal 

Governments 

G. Executive Order 13045: Protection of 

Children From Environmental Health 

and Safety Risks 

H. Executive Order 13211: Actions That 

Significantly Affect Energy Supply, 

Distribution, or Use 

I. National Technology Transfer 

Advancement Act 

J. Executive Order 12898: Federal Actions 

To Address Environmental Justice in 

Minority Populations and Low-Income 

Populations 

K. Congressional Review Act 

X. Statutory Provisions and Legal Authority 

I. Overview 

A. Background 

Section 202(m) of the CAA, 42 U.S.C. 

7521(m), directs EPA to promulgate 

regulations requiring 1994 and later 

model year light-duty vehicles (LDVs) 

and light-duty trucks (LDTs) to contain 

an OBD system that monitors emissionrelated components for malfunctions or 

deterioration ‘‘which could cause or 

result in failure of the vehicles to 

comply with emission standards 

established’’ for such vehicles. Section 

202(m) also states that, ‘‘The 

Administrator may, in the 

Administrator’s discretion, promulgate 

regulations requiring manufacturers to 

install such onboard diagnostic systems 

on heavy-duty vehicles and engines.’’ 

On February 19, 1993, we published 

a final rule requiring manufacturers of 

light-duty applications to install such 

OBD systems on their vehicles 

beginning with the 1994 model year (58 

FR 9468). The OBD systems must 

monitor emission control components 

for any malfunction or deterioration that 

could cause emissions to exceed certain 

emission thresholds. The regulation also 

required that the driver be notified of 

any need for repair via a dashboard 

light, or malfunction indicator light 

(MIL), when the diagnostic system 

detected a problem. We also allowed 

optional compliance with California’s 

second phase OBD requirements, 

referred to as OBDII (13 CCR 1968.1), for 

purposes of satisfying the EPA OBD 

requirements. Since publishing the 1993 

OBD final rule, EPA has made several 

revisions to the OBD requirements, most 

of which served to align the EPA OBD 

requirements with revisions to the 

California OBDII requirements (13 CCR 

1968.2). 

On August 9, 1995, EPA published a 

final rulemaking that set forth service 

information regulations for light-duty 

vehicles and light-duty trucks (60 FR 

40474). These regulations, in part, 

required each Original Equipment 

Manufacturer (OEM) to do the 

following: (1) List all of its emissionrelated service and repair information 

on a Web site called FedWorld 

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8312 Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 

1Note that the 2007HD highway rule contained 

new emissions standards for gasoline engines as 

well as diesel engines. 

2See ‘‘On-Board Diagnostics, A Heavy Duty 

Perspective,’’ SAE 951947; ‘‘Recommended Practice 

for a Serial Control and Communications Vehicle 

Network,’’ SAE J1939 which may be obtained from 

Society of Automotive Engineers International, 400 

Commonwealth Dr., Warrendale, PA, 15096–0001; 

and ‘‘Road Vehicles-Diagnostics on Controller Area 

Network (CAN)—Part 4: Requirements for emissionrelated systems,’’ ISO 15765–4:2001 which may be 

obtained from the International Organization for 

Standardization, Case Postale 56, CH–1211 Geneva 

20, Switzerland. 

(including the cost of each item and 

where it could be purchased); (2) either 

provide enhanced information to 

equipment and tool companies or make 

its OEM-specific diagnostic tool 

available for purchase by aftermarket 

technicians, and (3) make 

reprogramming capability available to 

independent service and repair 

professionals if its franchised 

dealerships had such capability. These 

requirements are intended to ensure that 

aftermarket service and repair facilities 

have access to the same emissionrelated service information, in the same 

or similar manner, as that provided by 

OEMs to their franchised dealerships. 

These service information availability 

requirements have been revised since 

that first final rule in response to 

changing technology among other 

reasons. (68 FR 38428) 

In October of 2000, we published a 

final rule requiring OBD systems on 

heavy-duty vehicles and engines up to 

14,000 pounds GVWR (65 FR 59896). In 

that rule, we expressed our intention of 

developing OBD requirements in a 

future rule for vehicles and engines 

used in vehicles over 14,000 pounds. 

We expressed this same intention in our 

2007HD highway final rule (66 FR 5002) 

which established new heavy-duty 

highway emissions standards for 2007 

and later model year engines. In June of 

2003, we published a final rule 

extending service information 

availability requirements to heavy-duty 

vehicles and engines weighing up to 

14,000 pounds GVWR. We declined 

extending these requirements to engines 

above 14,000 pounds GVWR at least 

until such engines are subject to OBD 

requirements. 

On January 18, 2001, EPA established 

a comprehensive national control 

program—the Clean Diesel Truck and 

Bus program—that regulates the heavyduty vehicle and its fuel as a single 

system. (66 FR 5002) As part of this 

program, new emission standards will 

begin to take effect in model year 2007 

and will apply to heavy-duty highway 

engines and vehicles. These standards 

are based on the use of high-efficiency 

catalytic exhaust emission control 

devices or comparably effective 

advanced technologies. Because these 

devices are damaged by sulfur, the 

regulation also requires the level of 

sulfur in highway diesel fuel be reduced 

by 97 percent.1

On January 24, 2007, we proposed 

new OBD requirements for highway 

engines used in vehicles greater than 

14,000 pounds (72 FR 3200). Today’s 

action finalizes those proposed 

requirements. Today’s action also 

requires new availability requirements 

for emission-related service information, 

also proposed in the January 24, 2007 

action, that will make this information 

more widely available to the industry 

servicing vehicles over 14,000 pounds. 

B. What Is EPA Requiring? 

1. OBD Requirements for Engines Used 

in Highway Vehicles Over 14,000 

Pounds GVWR 

We believe that OBD requirements 

should be extended to include over 

14,000 pound heavy-duty vehicles and 

engines for many reasons. In the past, 

heavy-duty diesel engines have relied 

primarily on in-cylinder modifications 

to meet emission standards. For 

example, emission standards have been 

met through changes in fuel timing, 

piston design, combustion chamber 

design, charge air cooling, use of four 

valves per cylinder rather than two 

valves, and piston ring pack design and 

location improvements. In contrast, the 

2004 and 2007 emission standards 

represent a different sort of 

technological challenge that are being 

met with the addition of exhaust gas 

recirculation (EGR) systems and the 

addition of exhaust aftertreatment 

devices such as diesel particulate filters 

(DPF), sometimes called PM traps, and 

NOX catalysts. Such ‘‘add on’’ devices 

can experience deterioration and 

malfunction that, unlike the engine 

design elements listed earlier, may go 

unnoticed by the driver. Because 

deterioration and malfunction of these 

devices can go unnoticed by the driver, 

and because their primary purpose is 

emissions control, and because the level 

of emission control is on the order of 50 

to 99 percent, some form of diagnosis 

and malfunction detection is crucial. 

We believe that such detection can be 

effectively achieved by employing a 

well designed OBD system. 

The same is true for gasoline heavyduty vehicles and engines. While 

emission control is managed with both 

engine design elements and 

aftertreatment devices, the catalytic 

converter is the primary emission 

control feature accounting for over 95 

percent of the emission control. We 

believe that monitoring the emission 

control system for proper operation is 

critical to ensure that new vehicles and 

engines certified to the very low 

emission standards set in recent years 

continue to meet those standards 

throughout their full useful life. 

Further, the industry trend is clearly 

toward increasing use of computer and 

electronic controls for both engine and 

powertrain management, and for 

emission control. In fact, the heavy-duty 

industry has already gone a long way, 

absent any government regulation, to 

standardize computer communication 

protocols.2 Computer and electronic 

control systems, as opposed to 

mechanical systems, provide 

improvements in many areas including, 

but not limited to, improved precision 

and control, reduced weight, and lower 

cost. However, electronic and computer 

controls also create increased difficulty 

in diagnosing and repairing the 

malfunctions that inevitably occur in 

any engine or powertrain system. 

Today’s OBD requirements will build on 

the efforts already undertaken by the 

industry to ensure that key emissions 

related components will be monitored 

in future heavy-duty vehicles and 

engines and that the diagnosis and 

repair of those components will be as 

efficient and cost effective as possible. 

Lastly, heavy-duty engines and, in 

particular, diesel engines tend to have 

very long useful lives. With age comes 

deterioration and a tendency toward 

increasing emissions. With the OBD 

systems we are requiring, we expect that 

these engines will continue to be 

properly maintained and therefore will 

continue to emit at low emissions levels 

even after accumulating hundreds of 

thousands and even a million miles. 

For the reasons laid out above, most 

manufacturers of vehicles, trucks, and 

engines have incorporated some type of 

OBD system into their products that are 

capable of identifying when certain 

types of malfunctions occur, and in 

what systems. In the heavy-duty 

industry, those OBD systems 

traditionally have been geared toward 

detecting malfunctions causing 

drivability and/or fuel economy related 

problems. Without specific 

requirements for manufacturers to 

include OBD mechanisms to detect 

emission-related problems, those types 

of malfunctions that could result in high 

emissions without a corresponding 

adverse drivability or fuel economy 

impact could go unnoticed by both the 

driver and the repair technician. The 

resulting increase in emissions and 

detrimental impact on air quality could 

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Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 8313 

3See Document ID No. EPA–HQ–OAR–2005– 

0047–0057. Also see Document ID No. EPA–HQ– 

OAR–2005–0047–0058. 

be avoided by incorporating an OBD 

system capable of detecting emission 

control system malfunctions. 

2. Requirements That Service 

Information Be Made Available 

We are requiring that makers of 

engines that go into vehicles over 14,000 

pounds make available to any person 

engaged in repair or service all 

information necessary to make use of 

the OBD systems and for making 

emission-related repairs, including any 

emissions-related information that is 

provided by the OEM to franchised 

dealers. This information includes, but 

is not limited to, manuals, technical 

service bulletins (TSBs), a general 

description of the operation of each 

OBD monitor, etc. We discuss the new 

requirements further in section III of 

this preamble. 

The new requirements are similar to 

those required currently for all 1996 and 

newer light-duty vehicles and light-duty 

trucks and 2005 and newer heavy-duty 

applications up to 14,000 pounds. See 

section III for a complete discussion of 

the new service information provisions. 

Note that information for making 

emission-related repairs does not 

include information used to design and 

manufacture parts, but it may include 

OEM changes to internal calibrations 

and other indirect information, as 

discussed in section III. 

3. OBD Requirements for Diesel HeavyDuty Vehicles and Engines Used in 

Vehicles Under 14,000 Pounds 

We are also making some changes to 

the existing diesel OBD requirements for 

heavy-duty applications under 14,000 

pounds (i.e., 8,500 to 14,000 pounds). 

Some of these changes are being made 

for immediate implementation to relax 

some of the requirements that we 

currently have in place for 8,500 to 

14,000 pound applications that cannot 

be met by diesels without granting 

widespread deficiencies to industry. 

Other changes are being made for the 

2010 and later model years since they 

represent an increase in the stringency 

of our current OBD requirements and, 

therefore, some leadtime is necessary for 

manufacturers to comply. All of the 

changes being made for 8,500 to 14,000 

pound diesel applications will result in 

OBD emissions thresholds identical, for 

all practical purposes, to the OBD 

thresholds for over 14,000 pound 

applications. 

4. Technical Amendments for Other 

Programs 

We are finalizing a variety of 

technical amendments in this final rule. 

Most of these changes involve minor 

adjustments or corrections to the 

regulations we adopted on October 8, 

2008 (73 FR 59034) and on June 30, 

2008 (73 FR 37096). See the 

memorandum in the docket entitled 

‘‘Technical Amendments to EPA 

Regulations’’ for a description of these 

changes.3

C. Why Is EPA Promulgating These 

Requirements? 

1. Highway Engines and Vehicles 

Contribute to Serious Air Pollution 

Problems 

The pollution emitted by heavy-duty 

highway engines contributes greatly to 

our nation’s continuing air quality 

problems. Our 2007HD highway rule 

was designed to address these serious 

air quality problems. These problems 

include premature mortality, 

aggravation of respiratory and 

cardiovascular disease, aggravation of 

existing asthma, acute respiratory 

symptoms, chronic bronchitis, and 

decreased lung function. Numerous 

studies also link diesel exhaust to 

increased incidence of lung cancer. We 

believe that exposure to diesel exhaust 

is likely to be carcinogenic to humans 

by inhalation and that this cancer 

hazard exists for occupational and 

environmental levels of exposure. 

Our 2007HD highway rule regulates 

the heavy-duty vehicle and its fuel as a 

single system. As part of this program, 

new emission standards began to take 

effect in model year 2007 and are 

phased-in through model year 2010, and 

will apply to heavy-duty highway 

engines and vehicles. These standards 

are based on the use of high-efficiency 

catalytic exhaust emission control 

devices or comparably effective 

advanced technologies and a cap on the 

allowable sulfur content in both diesel 

fuel and gasoline. 

In the 2007HD highway final rule, we 

estimated that, by 2007, heavy-duty 

trucks and buses would account for 

about 28 percent of nitrogen oxides 

emissions and 20 percent of particulate 

matter emissions from mobile sources. 

In some urban areas, the contribution is 

even greater. The 2007HD highway 

program will reduce particulate matter 

and oxides of nitrogen emissions from 

heavy-duty engines by 90 percent and 

95 percent below current standard 

levels, respectively. In order to meet 

these more stringent standards for diesel 

engines, the program calls for a 97 

percent reduction in the sulfur content 

of diesel fuel. As a result, diesel 

vehicles will achieve gasoline-like 

exhaust emission levels. We have also 

established more stringent standards for 

heavy-duty gasoline vehicles, based in 

part on the use of the low sulfur 

gasoline that will be available when the 

standards go into effect. 

2. Emissions Control of Highway 

Engines and Vehicles Depends on 

Properly Operating Emissions Control 

Systems 

The emissions reductions and 

resulting health and welfare benefits of 

the 2007HD highway program will be 

dramatic when fully implemented. By 

2030, the program will reduce annual 

emissions of nitrogen oxides, 

nonmethane hydrocarbons, and 

particulate matter by a projected 2.6 

million, 115,000 and 109,000 tons, 

respectively. However, to realize those 

large emission reductions and health 

benefits, the emission control systems 

on heavy-duty highway engines and 

vehicles must continue to provide the 

90 to 95 percent emission control 

effectiveness throughout their operating 

life. Today’s OBD requirements, in 

conjunction with/support of EPA’s 

existing compliance programs, will help 

to ensure that emission control systems 

continue to operate properly by 

detecting when those systems 

malfunction, by then notifying the 

driver that a problem exists that requires 

service and, lastly, by informing the 

service technician what the problem is 

so that it can be properly repaired. 

3. Basis for Action Under the Clean Air 

Act 

Section 202(m) of the CAA, 42 U.S.C. 

7521(m), directs EPA to promulgate 

regulations requiring 1994 and later 

model year light-duty vehicles (LDVs) 

and light-duty trucks (LDTs) to contain 

an OBD system that monitors emissionrelated components for malfunctions or 

deterioration ‘‘which could cause or 

result in failure of the vehicles to 

comply with emission standards 

established’’ for such vehicles. Section 

202(m) also states that, ‘‘The 

Administrator may, in the 

Administrator’s discretion, promulgate 

regulations requiring manufacturers to 

install such onboard diagnostic systems 

on heavy-duty vehicles and engines.’’ 

Section 202(m)(5) of the CAA states 

that the Administrator shall require 

manufacturers to, ‘‘provide promptly to 

any person engaged in the repairing or 

servicing of motor vehicles or motor 

vehicle engines * * * with any and all 

information needed to make use of the 

emission control diagnostics system 

prescribed under this subsection and 

such other information including 

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8314 Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 

4See 13 CCR 1971.1. 

instructions for making emission related 

diagnosis and repairs.’’ 

4. The Importance of a Nationwide 

HDOBD Program 

In 2005, the California Air Resources 

Board put into place HDOBD 

requirements.4 More recently, we 

granted a waiver from federal 

preemption to the State of California 

that allows them to implement the 

HDOBD program (73 FR 52042). Given 

the nature of the heavy-duty trucking 

industry in the United States and the 

importance of the free and open 

movement of goods across state borders, 

we believe that a consistent nationwide 

HDOBD program is a desirable outcome. 

We have worked closely with California 

on our proposal and with both 

California and industry stakeholders on 

this final rule, in an effort to develop a 

consistent set of HDOBD requirements. 

As a result, the program we are 

finalizing today is consistent with the 

California program in almost all 

important aspects. We believe that, 

while minor differences exist in the 

requirements we are promulgating today 

and the California requirements, we will 

end up with OBD systems that will be 

compliant with both our federal 

program and the California program. 

Promulgating and implementing this 

final rule is an important step in our 

efforts working with the California Air 

Resources Board to develop a consistent 

national program. 

5. Worldwide Harmonized OBD (WWH– 

OBD) 

The Worldwide Harmonized OBD 

effort (WWH–OBD) is part of the United 

Nations Economic Commission for 

Europe. We discussed this effort in 

detail in our proposal. In line with what 

we said in our proposal, while the 

WWH–OBD global technical regulation 

(gtr) is consistent with many of the 

specific requirements of our final rule, 

it is not currently as comprehensive 

(e.g., it does not contain the same level 

of detail with respect to certification 

requirements and enforcement 

provisions). For that reason, at this time, 

we do not believe that the gtr could 

fully replace what is in our final rule. 

It is important to note that California 

had HDOBD requirements in place prior 

to the WWH–OBD gtr being adopted as 

a final document. The California 

HDOBD requirements were analogous to 

the WWH–OBD requirements, but were 

not identical. At industry’s request, we 

have patterned both our proposal and 

final rule after the California regulation. 

Note that we have an obligation to one 

day propose the gtr for consideration as 

a U.S. regulation, and it is our 

expectation that working together with 

industry and other stakeholders we will 

determine the appropriate process and 

requirements to incorporate the WWH– 

OBD requirements into our regulatory 

structure. 

II. How Have the Proposed OBD 

Requirements Been Changed for This 

Final Rule and When Will They Be 

Implemented? 

The following subsections describe 

how we have changed the proposed 

OBD monitoring requirements in this 

final rule. We also describe the 

timelines for their implementation. The 

requirements are indicative of our goal 

for the program which is a set of OBD 

monitors that provide robust diagnosis 

of the emission control system. Our 

intention is to provide industry 

sufficient time and experience with 

satisfying the demands of the OBD 

program. While their engines already 

incorporate OBD systems, those systems 

are generally less comprehensive and do 

not monitor the emission control system 

in the ways we are requiring. 

Additionally, the OBD requirements 

represent a new set of technological 

requirements and a new set of 

certification requirements for the 

industry in addition to the 2007HD 

highway program and the challenging 

emission standards for PM and NOX and 

other pollutants to be implemented in 

2010. As a result, we believe the 

monitoring requirements and timelines 

outlined in this section appropriately 

weigh the need for OBD monitors on the 

emission control system and the need to 

gain experience with not only those 

monitors but also the newly or recently 

added emission control hardware. 

The changes we have made to the 

proposed requirements are the result of 

comments received on our proposal and 

meetings with stakeholders held in the 

time between proposal and final rule. 

The changes are also the result of our 

collaboration with CARB staff. For a 

detailed summary and analysis of the 

comments we received, and the 

rationale behind the changes made for 

this final rule, refer to the Summary and 

Analysis document contained in the 

docket for this rule. 

In general, the remainder of this 

preamble—in particular, sections II.B 

through II.H—presents the changes 

made to the final OBD requirements 

relative to the proposed OBD 

requirements. As such, we do not restate 

details of the proposed requirements 

unless it is necessary to do so for clarity. 

Of interest to readers when comparing 

the final OBD regulatory text to the 

proposed OBD regulatory text is that we 

have moved all of the requirements for 

over 14,000 pound OBD into § 86.010– 

18. Where certain requirements are not 

applicable until 2013 or 2016, etc., the 

regulatory text in § 86.010–18 makes 

that clear. In our proposal, we had 

separated out the requirements for 

model year 2013 into § 86.013–18 and 

those for 2016 into § 86.016–18 and 

those for 2019 into § 86.019–18. This 

created some confusion and we decided 

that it would be easier to read the 

regulations if we restructured things 

such that all the requirements appear in 

one section. We have done so in the 

final rule and have placed all 

requirements for over 14,000 pound 

OBD in § 86.010–18. This is also true for 

OBD requirements on heavy-duty 

engines under 14,000 pounds where we 

have moved proposed provisions for 

model years 2010 through 2012 and 

2013 and later from proposed 

§§ 86.010–17 and 86.013–17, 

respectively to final § 86.007–17 with 

appropriate mention of when 

requirements apply to specific model 

years. The same holds true for proposed 

§§ 86.1806–07, 86.1806–10, and 

86.1806–13, for OBD systems on under 

14,000 pound vehicles, where all final 

OBD requirements can be found in 

§ 86.1806–05 with appropriate mention 

of when requirements apply to specific 

model years. 

The remainder of Section II below 

highlights the changes made to our 

proposed requirements relative to the 

final rule. The reader is directed to the 

more detailed discussion that follows 

and/or is found in our Summary and 

Analysis of Comments document 

contained in the docket. However, Table 

II–1 provides a brief summary of the 

changes made although this tabular 

summary is not meant to provide a 

thorough explanation of each change. 

For a thorough explanation, refer to the 

more detailed discussion below and/or 

the Summary and Analysis of 

Comments. 

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Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 8315 

TABLE II–1—SUMMARY OF CHANGES IN THE FINAL REGULATIONS RELATIVE TO THE PROPOSED REGULATIONS

[Please refer to the text for acronym definitions] 

Change Discussed in preamble 

section Regulatory cite 

Restructuring—§§ 86.013–18, 86.016–18, 86.019–18 have been moved into § 86.010–18 with 

appropriate date qualifiers.

II Introduction .............. All >14,000 pound 

OBD text now in 

§ 86.010–18. 

Allow EPA to certify systems demonstrated to comply with CARB HDOBD (13 CCR 1971.1) .. II.A.5 ............................ § 86.010–18(a)(5). 

Changed MIL location requirement to read ‘‘primary driver’s side’’ rather than ‘‘driver’s side’’ 

to accommodate vehicles with both left and right side steering.

* ................................... § 86.010–18(b)(1)(i). 

Slight change to erasure of pending DTC upon storage of MIL-on DTC .................................... II.A.2 ............................ § 86.010–18(b)(2)(ii). 

Change to the permanent DTC erasure provisions ..................................................................... II.F.4 ............................ § 86.010– 

18(b)(3)(iii)(A)–(D). 

Minor revisions, for clarity, to the general provisions governing monitoring conditions .............. * ................................... § 86.010–18(c)(3). 

Added clarifying text to general provisions governing in-use performance tracking ................... * ................................... § 86.010–18(d). 

Revision to trip definition, in the context of rate based monitoring, for denominator incrementing on diesel engines.II.E.1 ............................ § 86.010– 

18(d)(4)(ii)(B). 

Change to idle definition in specifications for incrementing the denominator (from vehicle 

speed ≤1 mph to ‘‘engine speed less than or equal to 200 rpm above normal warmed up 

idle or vehicle speed ≤1 mph’’).

II.E.2 ............................ § 86.010– 

18(d)(4)(ii)(C). 

Added text stating that monitors must run over test that gives the most robust monitor rather 

than most stringent monitor.

II.A.4 ............................ § 86.010–18(f)(1)(i). 

Added text to identify in certification documentation which test cycle would provide the most 

stringent and/or the most robust monitor.

* ................................... § 86.010–18(f)(1)(ii). 

Added text stating that OBD-specific IRAFs need not be included in OBD threshold determinations.II.A.4 ............................ § 86.010–18(f)(2). 

Revision to NOX malfunction thresholds for NOX catalyst systems and NOX sensors (2010– 

2012 only).

II.B.6; II.B.7; II.B.9 

(and shown in Table 

II.B–1.

§ 86.010–18(g), Table 

1. 

Added provision to diesel fuel system pressure, timing, and quantity malfunction criteria allowing unit injector systems to conduct functional checks during model years 2010 to 2012.II.B.1 ............................ § 86.010– 

18(g)(1)(ii)(A)–(C). 

Added new paragraph allowing diesel unit injector systems to combine into one malfunction 

the three separate malfunction criteria of pressure, timing, and quantity.

II.B.1 ............................ § 86.010– 

18(g)(1)(ii)(D). 

Minor changes to diesel fuel system monitoring conditions consistent with changes to malfunction criteria.II.B.1 ............................ § 86.010– 

18(g)(1)(iii)(A) & (B). 

Diesel engine misfire malfunction criteria for multiple continuous misfire changed from ‘‘more 

than one cylinder’’ to ‘‘more than one or more than one but less than half (if approved)’’.

II.B.2 ............................ § 86.010– 

18(g)(2)(ii)(A). 

Minor change to diesel EGR monitoring conditions (i.e., a change to the proposed monitoring 

conditions) which allows for temporary disables of ‘‘continuous monitoring’’.

II.B.3 ............................ § 86.010– 

18(g)(3)(iii)(D). 

Diesel turbo boost malfunction criteria changed to note ‘‘for engines so equipped’’ where appropriate.II.B.4 ............................ § 86.010– 

18(g)(4)(ii)(A)–(C). 

Added a new diesel turbo boost monitoring condition that allows for temporary disables of 

‘‘continuous monitoring’’.

II.B.4 ............................ § 86.010– 

18(g)(4)(iii)(D). 

Removed text noting that NMHC conversion over a DPF is required under paragraph (g)(8) 

and added clarifying text that monitoring of NMHC conversion over a DPF is not required.

II.B.8 ............................ § 86.010–18(g)(5)(i). 

Removal of malfunction thresholds from diesel NMHC catalyst malfunction criteria .................. II.B.5 ............................ § 86.010– 

18(g)(5)(ii)(A). 

Added ‘‘delta temperature within time period’’ provision to diesel NMHC aftertreatment assistance malfunction criteria.II.B.5 ............................ § 86.010– 

18(g)(5)(ii)(B). 

Removal of proper feedgas generation malfunction criteria for diesel NMHC catalysts ............. II.B.5 ............................ § 86.010– 

18(g)(5)(ii)(B). 

Added provision to forego monitoring of diesel NMHC catalysts located downstream of a DPF 

provided their malfunction will not result in failure of the NMHC emission standard.

II.B.5 ............................ § 86.010– 

18(g)(5)(ii)(B). 

Change to the DPF malfunction criteria—addition of an optional malfunction criteria for DPF 

filtering performance for model years 2010 to 2012.

II.B.8 ............................ § 86.010– 

18(g)(8)(ii)(A). 

Change to the DPF malfunction criteria—removal of NMHC conversion monitoring .................. II.B.8 ............................ § 86.010– 

18(g)(8)(ii)(D)**. 

Added new monitoring conditions applicable to those systems using the optional DPF malfunction criteria of § 86.010–18(g)(8)(ii)(A).II.B.8 ............................ § 86.010–18(g)(8)(iii). 

Added provision that allows Administrator to approve limited misfire monitor disablement for 

gasoline engines.

II.C ............................... § 86.010– 

18(h)(2)(iii)(D). 

Added provision that allows misfire monitor disables for gasoline engines with >8 cylinders .... II.C ............................... § 86.010– 

18(h)(2)(iii)(E). 

Added phrase allowing lower thermostat regulating temperature requirement for ambient temperatures between 20–50 degrees F.II.D.2 ............................ § 86.010–18(i)(1)(ii)(A). 

Added phrase ‘‘With Administrator approval’’ to the provision allowing alternative thermostat 

malfunction criteria.

* ................................... § 86.010–18(i)(1)(ii)(B). 

Change to the comprehensive component monitoring requirements such that components 

must be monitored if their malfunction can cause emissions to exceed standards rather 

than affect emissions during any reasonable driving condition.

II.D.4 ............................ § 86.010–18(i)(3)(i)(A). 

Change to diesel engine glow plug malfunction criteria for 2010–2012 ...................................... II.D.4 ............................ § 86.010– 

18(i)(3)(iii)(D). 

Added provision stating that monitoring of wait-to-start lamp and MIL circuit is not required for 

systems using light-emitting diodes versus incandescent bulbs.

II.A.2 ............................ § 86.010– 

18(i)(3)(iii)(E). 

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8316 Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 

TABLE II–1—SUMMARY OF CHANGES IN THE FINAL REGULATIONS RELATIVE TO THE PROPOSED REGULATIONS— 

Continued 

[Please refer to the text for acronym definitions] 

Change Discussed in preamble 

section Regulatory cite 

Removed introductory text to the standardization requirements (done to provide greater clarity).* ................................... § 86.010–18(k)(1). 

Removal of SAE J2534 from the OBD section (it remains in the Service Information Availability requirements of § 86.010–38(j)).* ................................... § 86.010– 

18(k)(1)(i)(H)**. 

Added text allowing the Administrator to approve alternative DLC locations .............................. II.F.2 ............................ § 86.010–18(k)(2)(i). 

Added text allowing data link signals to report an error state or other predefined status indicator if they are defined for those signals in the SAE J1979/J1939 specifications.* ................................... § 86.010–18(k)(4)(ii). 

Added the phrase ‘‘to the extent possible’’ to the provision to use separate DTCs for out-ofrange and circuit checks.* ................................... § 86.010– 

18(k)(4)(iv)(B). 

Added provision to allow for multiple CAL IDs with Administrator approval provided CAL IDs 

response is in order of highest to lowest priority.

II.F.4 ............................ § 86.010–18(k)(4)(vi). 

Added provision to require multiple CVNs if using multiple CAL IDs as allowed under newly 

added provision in (k)(4)(vi).

II.F.4 ............................ § 86.010– 

18(k)(4)(vii)(A). 

Added provision allowing, for 2010–2012, a default value for the CVN for systems that are 

not field programmable.

* ................................... § 86.010– 

18(k)(4)(vii)(A). 

Revised CVN calculation requirement from ‘‘once per drive cycle’’ to ‘‘once per ignition cycle’’ * ................................... § 86.010– 

18(k)(4)(vii)(C). 

Change to idle definition in engine run-time tracking (from vehicle speed ≤1 mph to ‘‘engine 

speed less than or equal to 200 rpm above normal warmed-up idle or vehicle speed ≤1 

mph’’).

II.F.4; II.F.5 .................. § 86.010–18(k)(6)(i)(B). 

Added new certification demonstration provisions for systems using the optional DPF monitoring provisions.* ................................... § 86.010–18(l)(3)(i)(H). 

Added new documentation provisions for systems meeting § 86.010–18 with a system designed to CARB 13 CCR 1971.1.II.A.5 ............................ § 86.010–18(m)(3). 

Added a provision that allows Administrator to approve alternative engine ratings as parent 

ratings in 2010–2012.

II.G.1 ........................... § 86.010–18(o)(1)(i). 

Added a provision that allows Administrator to approve alternative engine ratings as parent 

ratings in 2010–2012.

II.G.1 ........................... § 86.010– 

18(o)(2)(ii)(B). 

Added text to make clear that for all engine ratings in years 2019+, the certification emissions 

thresholds apply in-use (provides clarification, no change to original intent).

* ................................... § 86.010–18(p)(4)(i). 

Revised 2007–2009 and 2010–2012 engine certification NOX thresholds from FEL+0.5 to 

FEL+0.6 (for 8500–14K pound diesel engines).

Table II.H–2 ................ § 86.007–17(b) & 

§ 86.007–30(f). 

Added definition of ‘‘engine and engine system’’ applicable to OBD .......................................... * ................................... § 86.010–2. 

Moved definition of ‘‘OBD group’’ from § 86.013–2 to § 86.010–2 .............................................. * ................................... § 86.010–2. 

Added ‘‘delta temperature within time period’’ provision to NMHC malfunction description for 

engine certifications.

II.H.3 ............................ § 86.007–17(b) & 

§ 86.007–30(f). 

Removed 2010–2012 & 2013+ engine certification NMHC thresholds for DPFs (8500–14K 

pound diesel engines).

Table II.H–2 ................ § 86.007–17(b) & 

§ 86.007–30(f). 

Change to the DPF malfunction criteria—addition of an optional malfunction criteria for DPF 

filtering performance.

II.H.2 ............................ § 86.007–17(b) & 

§ 86.007–30(f). 

§ 86.013–17 moved to § 86.007–17 with appropriate date qualifiers (8500–14K pound diesel 

engines; no content change, just formatting).

II.A ............................... § 86.007–17(b). 

§ 86.013–30 moved to § 86.007–30 with appropriate date qualifiers (8500–14K pound diesel 

engines; no content change, just formatting).

II.A ............................... § 86.007–30(f). 

Revised 2007–2009 vehicle certification NOX thresholds from 3x to 4x the standard (8500– 

14K pound diesel vehicles).

Table II.H–2 ................ § 86.1806–05(n) & (o). 

Revised 2010–2012 vehicle certification NOX thresholds for NOX catalysts and NOX sensors 

from +0.3 to +0.6 (8500–14K pound diesel vehicles).

Table II.H–2 ................ § 86.1806–05(n) & (o). 

Added ‘‘delta temperature within time period’’ provision to NMHC malfunction description for 

vehicle certifications.

II.H.3 ............................ § 86.1806–05(n) & (o). 

Removed 2010–2012 & 2013+ vehicle certification NMHC thresholds for DPFs (8500–14K 

pound diesel vehicles).

Table II.H–2 ................ § 86.1806–05(n) & (o). 

Added the phrase ‘‘and superseding sections’’ to the provision for optional chassis certification of diesel vehicles.* ................................... § 86.1863–07. 

* Items not discussed in the preamble since we consider them to be very minor. 

** This is the applicable citation for the proposed regulatory text, but this paragraph contains different text (due to renumbering) or has been 

removed in the final regulatory text. 

A. General OBD System Requirements 

1. The OBD System 

The OBD system must be designed to 

operate for the actual life of the engine 

in which it is installed. Further, the 

OBD system cannot be programmed or 

otherwise designed to deactivate based 

on age and/or mileage of the vehicle 

during the actual life of the engine. This 

requirement does not alter existing law 

and enforcement practice regarding a 

manufacturer’s liability for an engine 

beyond its regulatory useful life, except 

where an engine has been programmed 

or otherwise designed so that an OBD 

system deactivates based on age and/or 

mileage of the engine. 

In addition, computer coded engine 

operating parameters cannot be 

changeable without the use of 

specialized tools and procedures (e.g. 

soldered or potted computer 

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Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 8317 

5What constitutes a ‘‘malfunction’’ for over 

14,000 pound applications under today’s action is 

covered in section II.B for diesel engines, section 

II.C for gasoline engines, and section II.D for all 

engines. 

6 Generally, a ‘‘driving cycle’’ or ‘‘drive cycle’’ 

consists of engine startup and engine shutoff or 

consists of four hours of continuous engine 

operation. 

7A ‘‘continuous’’ monitor—if used in the context 

of monitoring conditions for circuit continuity, lack 

of circuit continuity, circuit faults, and out-of-range 

values—means sampling at a rate no less than two 

samples per second. If a computer input component 

is sampled less frequently for engine control 

purposes, the signal of the component may instead 

be evaluated each time sampling occurs. 

8A ‘‘non-continuous’’ monitor being a monitor 

that runs only when a limited set of operating 

conditions occurs. 

9 Different industry standards organizations—the 

Society of Automotive Engineers (SAE) and the 

International Standards Organization (ISO)—use 

different terminology to refer to a ‘‘MIL-on’’ DTC. 

For clarity, we use the term ‘‘MIL-on’’ DTC 

throughout this preamble to convey the concept and 

not any requirement that standard making bodies 

use the term in their standards. 

10Throughout this final rule, we refer to MIL 

illumination to mean a steady, continuous 

illumination during engine operation unless stated 

otherwise. This contrasts with the MIL illumination 

logic used by many engine manufacturers today by 

which the MIL would illuminate upon detection of 

a malfunction but would remain illuminated only 

while the malfunction was actually occurring. 

Under this latter logic, an intermittent malfunction 

or one that occurs under only limited operating 

conditions may result in a MIL that illuminates, 

extinguishes, illuminates, etc., as operating 

conditions change. 

11A permanent DTC must be stored in a manner 

such that electrical disconnections do not result in 

their erasure (i.e., they must be stored in nonvolatile random access memory (NVRAM)). 

components or sealed (or soldered) 

computer enclosures). Upon 

Administrator approval, certain product 

lines may be exempted from this 

requirement if those product lines can 

be shown to not need such protections. 

In making the approval decision, the 

Administrator will consider such things 

as the current availability of 

performance chips, performance 

capability of the engine, and sales 

volume. 

2. Malfunction Indicator Light (MIL) 

and Diagnostic Trouble Codes (DTC) 

Consistent with our proposal, the 

final rule requires that upon detecting a 

malfunction within the emission control 

system,5 the OBD system must make 

some indication to the driver so that the 

driver can take action to get the problem 

repaired. A dashboard malfunction 

indicator light (MIL) must be 

illuminated to inform the driver that a 

problem exists that needs attention. 

Upon illumination of the MIL, a 

diagnostic trouble code (DTC) must be 

stored in the engine’s computer that 

identifies the detected malfunction. 

This DTC can then be read by a service 

technician to assist in making the 

necessary repair. 

Because the MIL is meant to inform 

the driver of a detected malfunction, we 

are requiring that the MIL be located on 

the driver’s side instrument panel and 

be of sufficient illumination and 

location to be readily visible under all 

lighting conditions. We are requiring 

that the MIL be amber (yellow) in color 

when illuminated because yellow is 

synonymous with the notion of a 

‘‘cautionary warning’’; the use of red for 

the MIL will be strictly prohibited 

because red signifies ‘‘danger’’ which is 

not the proper message for malfunctions 

detected according to today’s rule. 

Further, we are requiring that, when 

illuminated, the MIL display the 

International Standards Organization 

(ISO) engine symbol shown in Table 

II.A–1 because this symbol has become 

accepted after more than 10 years of 

light-duty OBD as a communicator of 

engine and emissions system related 

problems. We are also requiring that 

there be only one MIL used to indicate 

all malfunctions detected by the OBD 

system on a single vehicle. We believe 

this is important to avoid confusion 

over multiple lights and, potentially, 

multiple interpretations of those lights. 

Generally, a manufacturer would be 

allowed sufficient time to be certain that 

a malfunction truly exists before 

illuminating the MIL. No one benefits if 

the MIL illuminates spuriously when a 

real malfunction does not exist. Thus, 

for most OBD monitoring strategies, 

manufacturers will not be required to 

illuminate the MIL until a malfunction 

clearly exists which will be considered 

to be the case when the same problem 

has occurred on two sequential driving 

cycles.6

To keep this clear in the onboard 

computer, we are requiring that the OBD 

system make certain distinctions 

between the problems it has detected, 

and that the system maintain a strict 

logic for diagnostic trouble code (DTC) 

storage/erasure and for MIL 

illumination/extinguishment. Whenever 

the enable criteria for a given monitor 

are met, we would expect that monitor 

to run. For continuous monitors, this 

would be during essentially all engine 

operation.7 For non-continuous 

monitors, it would be during only a 

subset of engine operation.8 In general, 

we are requiring that non-continuous 

monitors make a diagnostic decision 

just once per drive cycle that contains 

operation satisfying the enable criteria 

for the given monitor. 

When a problem is first detected, we 

are requiring that a ‘‘pending’’ DTC be 

stored. If, during the subsequent drive 

cycle that contains operation satisfying 

the enable criteria for the given monitor, 

a problem in the components/system is 

not again detected, the OBD system 

would declare that a malfunction does 

not exist and would, therefore, erase the 

pending DTC. However, if, during the 

subsequent drive cycle that contains 

operation satisfying the enable criteria 

for the given monitor, a problem in the 

component/system is again detected, a 

malfunction has been confirmed and, 

hence, a ‘‘confirmed’’ or ‘‘MIL-on’’ DTC 

would be stored.9 Upon storage of a 

MIL-on DTC, the pending DTC would 

either remain stored or be erased, 

depending on what the manufacturer 

determines to be the most effective 

approach. Consistent with the proposal, 

the final rule does not stipulate which 

communication protocol be used. Upon 

storage of the MIL-on DTC, the MIL 

must be illuminated.10 Also at this time, 

a ‘‘permanent’’ DTC would be stored 

(see section II.F.4 for more details 

regarding permanent DTCs).11

As we proposed, we are requiring 

that, after three subsequent drive cycles 

that contain operation satisfying the 

enable criteria for the given monitor 

without any recurrence of the 

previously detected malfunction, the 

MIL should be extinguished (unless 

there are other MIL-on DTCs stored for 

which the MIL must also be 

illuminated), the permanent DTC 

should be erased, but a ‘‘previous-MILVerDate Nov<24>2008 18:17 Feb 23, 2009 Jkt 217001 PO 00000 Frm 00009 Fmt 4701 Sfmt 4700 E:\FR\FM\24FER2.SGM 24FER2

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8318 Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 

12This general ‘‘three trip’’ condition for 

extinguishing the MIL is true for all but two diesel 

systems/monitors—the misfire monitor and the SCR 

system—and three gasoline systems/monitors—the 

fuel system, the misfire monitor, and the 

evaporative system—which have further conditions 

on extinguishing the MIL. This is discussed in more 

detail in sections II.B and II.C. 

13For simplicity, the discussion here refers to 

‘‘previous-MIL-on’’ DTCs only. The ISO 15765 

standard and the SAE J1939 standard use different 

terms to refer to the concept of a previous-MIL-on 

DTC. Our intent is to present the concept of our 

proposal in this preamble and not to specify the 

terminology used by these standard making bodies. 

14 ‘‘Ignition Cycle’’ means a drive cycle that 

begins with engine start and includes an engine 

speed that exceeds 50 to 150 rotations per minute 

(rpm) below the normal, warmed-up idle speed (as 

determined in the drive position for vehicles 

equipped with an automatic transmission) for at 

least two seconds plus or minus one second. 

15Note that we use the term ‘‘abnormal’’ to refer 

to an operating mode that the engine is designed to 

enter upon determining that ‘‘normal’’ operation 

cannot be maintained. Therefore, the term 

‘‘abnormal’’ is somewhat of a misnomer since the 

engine is doing what it has been designed to do. 

Nonetheless, the abnormal operating mode is 

clearly not the operating mode the manufacturer 

has intended for optimal operation. Such operating 

modes are sometimes referred to as ‘‘default’’ 

operating modes or ‘‘limp-home’’ operating modes. 

on’’ DTC should remain stored.12 We are 

requiring that the previous-MIL-on DTC 

remain stored for 40 engine warmup 

cycles after which time, provided the 

identified malfunction has not been 

detected again and the MIL is presently 

not illuminated for that malfunction, the 

previous-MIL-on DTC can be erased.13

However, if an illuminated MIL is not 

extinguished, or if a MIL-on DTC is not 

erased, by the OBD system itself but is 

instead erased via scan tool or battery 

disconnect (which would erase all nonpermanent, volatile memory), the 

permanent DTC must remain stored. 

This way, permanent DTCs can only be 

erased by the OBD system itself and 

cannot be erased through human 

interaction with the system. 

As proposed, we are allowing the 

manufacturer, upon Administrator 

approval, to use alternative statistical 

MIL illumination and DTC storage 

protocols to those described above (i.e., 

alternatives to the ‘‘first trip—pending 

DTC, second strip—MIL-on DTC logic). 

The Administrator will consider 

whether the manufacturer provided data 

and/or engineering evaluation 

adequately demonstrates that the 

alternative protocols can evaluate 

system performance and detect 

malfunctions in a manner that is equally 

effective and timely. Alternative 

strategies requiring, on average, more 

than six driving cycles for MIL 

illumination would probably not be 

accepted. 

As proposed, upon storage of either a 

pending DTC and/or a MIL-on DTC, we 

are requiring that the computer store a 

set of ‘‘freeze frame’’ data. These freeze 

frame data will provide a snap shot of 

engine operating conditions present at 

the time the malfunction occurred and 

was detected. This information serves 

the repair technician in diagnosing the 

problem and conducting the proper 

repair. The freeze frame data should be 

stored upon storage of a pending DTC. 

If the pending DTC matures to a MIL-on 

DTC, the manufacturer can choose to 

update the freeze frame data or retain 

the freeze frame stored in conjunction 

with the pending DTC. Likewise, any 

freeze frame stored in conjunction with 

any pending or MIL-on DTC should be 

erased upon erasure of the DTC. Further 

information concerning the freeze frame 

requirement and the data required in the 

freeze frame is presented in section 

II.F.4, below. 

As proposed, we are also requiring 

that the OBD system illuminate the MIL 

and store a MIL-on DTC to inform the 

vehicle operator whenever the engine 

enters a mode of operation that can 

affect the performance of the OBD 

system. If such a mode of operation is 

recoverable (i.e., operation 

automatically returns to normal at the 

beginning of the following ignition 

cycle 14), then in lieu of illuminating the 

MIL when the mode of operation is 

entered, the OBD system may wait to 

illuminate the MIL and store the MILon DTC if the mode of operation is again 

entered before the end of the next 

ignition cycle. We are requiring this 

because many operating strategies are 

designed such that they continue 

automatically through to the next keyoff. Regardless, upon the next key-on, 

the engine control would start off in 

‘‘normal’’ operating mode and would 

return to the ‘‘abnormal’’ operating 

mode only if the condition causing the 

abnormal mode was again encountered. 

In such cases, we are allowing that the 

MIL be illuminated during the second 

consecutive drive cycle during which 

such an ‘‘abnormal’’ mode is engaged.15

Whether or not the ‘‘abnormal’’ mode 

of operation is recoverable, in this 

context, has nothing to do with whether 

the detected malfunction goes away or 

stays. Instead, it depends solely on 

whether or not the engine, by design, 

will stay in abnormal operating mode on 

the next key-on. We are requiring this 

MIL logic because often the diagnostic 

(i.e., monitor) that caused the engine to 

enter abnormal mode cannot run again 

once the engine is in the abnormal 

mode. So, if the MIL logic associated 

with abnormal mode activation was 

always a two-trip diagnostic, abnormal 

mode activation would set a pending 

DTC on the first trip and, since the 

system would then be stuck in that 

abnormal operating mode and would 

never be able to run the diagnostic 

again, the pending DTC could never 

mature to a MIL-on DTC nor illuminate 

the MIL. Hence, the MIL must 

illuminate upon the first entry into such 

an abnormal operating mode. If such a 

mode is recoverable, the engine will 

start at the next key-on in ‘‘normal’’ 

mode allowing the monitor to run again 

and, assuming another detection of the 

condition, the system would set a MILon DTC and illuminate the MIL. 

As proposed, the OBD system need 

not store a DTC nor illuminate the MIL 

upon abnormal mode operation if other 

telltale conditions would result in 

immediate action by the driver. Such 

telltale conditions would be, for 

example, an overt indication like a red 

engine shut-down warning light. The 

OBD system also need not store a DTC 

nor illuminate the MIL upon abnormal 

mode operation if the mode is indeed an 

auxiliary emission control device 

(AECD) approved by the Administrator. 

There may be malfunctions of the MIL 

itself that would prevent it from 

illuminating. A repair technician—or 

possibly an I/M inspector—would still 

be able to determine the status of the 

MIL (i.e., commanded ‘‘on’’ or ‘‘off’’) by 

reading electronic information available 

through a scan tool, but there would be 

no indication to the driver of an 

emissions-related malfunction should 

one occur. Unidentified malfunctions 

may cause excess emissions to be 

emitted from the vehicle and may even 

cause subsequent deterioration or 

failure of other components or systems 

without the driver’s knowledge. In order 

to prevent this, the manufacturer must 

ensure that the MIL is functioning 

properly. For this reason and consistent 

with our proposal, we are requiring two 

checks of the functionality of the MIL 

itself. First, the MIL will be required to 

illuminate for a minimum of five 

seconds when the vehicle is in the keyon, engine-off position. This allows an 

interested party to check the MIL’s 

functionality simply by turning the key 

to the key-on position. While the MIL 

would be physically illuminated during 

this functional check, the data stream 

value for the MIL command status 

would be required to indicate ‘‘off’’ 

during this check unless, of course, the 

MIL was currently being commanded 

‘‘on’’ for a detected malfunction. This 

functional check of the MIL is not 

required during vehicle operation in the 

key-on, engine-off position subsequent 

to the initial engine cranking of an 

ignition cycle (e.g., due to an engine 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 8319 

16See proposed § 86.010–18(i)(3)(iii)(E) and 

compare to the final § 86.010–18(i)(3)(iii)(E). 

17See 40 CFR part 86, subpart N for details of 

EPA’s test procedures. 

stall or other non-commanded engine 

shutoff). 

The second functional check of the 

MIL is a circuit continuity check of the 

electrical circuit that is used to 

illuminate the MIL to verify that the 

circuit is not shorted or open (e.g., a 

burned out bulb). While there would not 

be an ability to illuminate the MIL when 

such a malfunction is detected, the 

electronically readable MIL command 

status in the onboard computer would 

be changed from commanded ‘‘off’’ to 

‘‘on’’. This would allow the truck owner 

or fleet maintenance staff to quickly 

determine whether an extinguished MIL 

means ‘‘no malfunctions’’ or ‘‘broken 

MIL.’’ It would also serve, should it 

become of interest in the future, 

complete automation of the I/M process 

by eliminating the need for inspectors to 

input manually the results of their 

visual inspections. Feedback from 

passenger car I/M programs indicates 

that the current visual bulb check 

performed by inspectors is subject to 

error and results in numerous vehicles 

being falsely failed or passed. By 

requiring monitoring of the circuit itself, 

the entire pass/fail criteria of an I/M 

program could be determined by the 

electronic information available through 

a scan tool, thus better facilitating quick 

and effective inspections and 

minimizing the chance for manuallyentered errors. Unlike our proposal, the 

final rule does not require this circuit 

continuity check of the MIL circuit for 

systems that employ light emitting 

diode (LED) MILs.16 These systems are 

very robust and circuit checks are very 

difficult and, we believe, unnecessary. 

We do not want to discourage their use 

or encourage use of bulb-based MILs 

over LED MILs via our OBD 

requirements. 

As proposed, the MIL may be used to 

indicate readiness status in a 

standardized format (see Section II.F) in 

the key-on, engine-off position. 

Readiness status is a term used in lightduty OBD that refers to a vehicle’s 

readiness for I/M inspection. For a 

subset of monitors—those that are noncontinuous monitors for which an 

emissions threshold exists (see sections 

II.B and II.C for more on emissions 

thresholds)—a readiness status indicator 

must be stored in memory to indicate 

whether or not that particular monitor 

has run enough times to make a 

diagnostic decision. Until the monitor 

has run sufficient times, the readiness 

status would indicate ‘‘not ready’’. 

Upon running sufficient times, the 

readiness status would indicate 

‘‘ready.’’ This serves to protect against 

drivers disconnecting their battery just 

prior to the I/M inspection so as to erase 

any MIL-on DTCs. Such an action 

would simultaneously set all readiness 

status indicators to ‘‘not ready’’ 

resulting in a notice to return to the 

inspection site at a future date. 

Readiness indicators also help repair 

technicians because, after completing a 

repair, they can operate the vehicle until 

the readiness status indicates ‘‘ready’’ 

and, provided no DTCs are stored, know 

that the repair has been successful. We 

are requiring that HDOBD systems 

follow this same readiness status logic 

as used for years in light-duty OBD both 

to assist repair technicians and to 

facilitate potential future HDOBD I/M 

programs. 

We are also allowing the 

manufacturer, upon Administrator 

approval, to use the MIL to indicate 

which, if any, DTCs are currently stored 

(e.g., to ‘‘blink’’ the stored codes). The 

Administrator will approve the request 

if the manufacturer can demonstrate 

that the method used to indicate the 

DTCs will not be unintentionally 

activated during any inspection test or 

during routine driver operation. 

3. Monitoring Conditions 

a. Background 

Given that the intent of the OBD 

requirements is to monitor the emission 

control system for proper operation, it is 

logical that the OBD monitors be 

designed such that they monitor the 

emission control system during typical 

driving conditions. While many OBD 

monitors would be designed such that 

they are continuously making decisions 

about the operational status of the 

engine, many—and arguably the most 

critical—monitors are not so designed. 

For example, an OBD monitor whose 

function is to monitor the active fuel 

injection system of a NOX adsorber or a 

DPF cannot be continuously monitoring 

that function since that function occurs 

on an infrequent basis. This OBD 

monitor presumably would be expected 

to ‘‘run,’’ or evaluate the active injection 

system, during an actual fuel injection 

event. 

For this reason, manufacturers are 

allowed to determine the most 

appropriate times to run their noncontinuous OBD monitors. This way, 

they are able to make an OBD evaluation 

either at the operating condition when 

an emission control system is active and 

its operational status can best be 

evaluated, and/or at the operating 

condition when the most accurate 

evaluation can be made (e.g., highly 

transient conditions or extreme 

conditions can make evaluation 

difficult). Importantly, manufacturers 

are prohibited from using a monitoring 

strategy that is so restrictive such that it 

rarely or never runs. To help protect 

against monitors that rarely run, we are 

requiring an ‘‘in-use monitor 

performance ratio’’ requirement which 

is detailed in section II.E. 

The set of operating conditions that 

must be met so that an OBD monitor can 

run are called the ‘‘enable criteria’’ for 

that given monitor. These enable criteria 

are often different for different monitors 

and may well be different for different 

types of engines. A large diesel engine 

intended for use in a Class 8 truck 

would be expected to see long periods 

of relatively steady-state operation 

while a smaller engine intended for use 

in an urban delivery truck would be 

expected to see a lot of transient 

operation. Manufacturers will need to 

balance between a rather loose set of 

enable criteria for their engines and 

vehicles given the very broad range of 

operation HD highway engines see and 

a tight set of enable criteria given the 

desire for greater monitor accuracy. 

b. General Monitoring Conditions 

i. Monitoring Conditions for All Engines 

As guidance to manufacturers, we are 

providing the following criteria to assist 

manufacturers in developing their OBD 

enable criteria. These criteria will be 

used by the Agency during our OBD 

certification approval process to ensure 

that monitors run on a frequent basis 

during real world driving conditions. 

These criteria will be: 

• The monitors should run during 

conditions that are technically 

necessary to ensure robust detection of 

malfunctions (e.g., to avoid false passes 

and false indications of malfunctions); 

• The monitor enable criteria should 

ensure monitoring will occur during 

normal vehicle operation; and, 

• Monitoring should occur during at 

least one test used by EPA for emissions 

verification—either the HD Federal Test 

Procedure (FTP) transient cycle, or the 

Supplementary Emissions Test (SET).17

As discussed in more detail in 

sections II.B through II.D, we are 

requiring that manufacturers define the 

monitoring conditions, subject to 

Administrator approval, for detecting 

the malfunctions required by this rule. 

The Administrator would determine if 

the monitoring conditions proposed by 

the manufacturer for each monitor abide 

by the above criteria. 

In general, except as noted in sections 

II.B through II.D, the regulation requires 

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8320 Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 

18See proposed § 86.010(f)(1)(i) and compare to 

final § 86.010–18(f)(1)(i). 

19See proposed § 86.010–18(f)(2) and compare to 

final § 86.010–18(f)(2). 

each monitor to run at least once per 

driving cycle in which the applicable 

monitoring conditions are met. It also 

requires certain monitors to run 

continuously throughout the driving 

cycle. These include a few threshold 

monitors (e.g., fuel system monitor) and 

most circuit continuity monitors. While 

a basic definition of a driving cycle (e.g., 

from ignition key-on and engine startup 

to engine shutoff) has been sufficient for 

passenger cars, the driving habits of 

many types of vehicles in the heavyduty industry dictate an alternate 

definition. Specifically, many heavyduty operators will start the engine and 

leave it running for an entire day or, in 

some cases, even longer. As such, any 

period of continuous engine-on 

operation of four hours will be 

considered a complete driving cycle. A 

new driving cycle would begin 

following such a four hour period, 

regardless of whether or not the engine 

had been shut down. Thus, the ‘‘clock’’ 

for monitors that are required to run 

once per driving cycle would be reset to 

run again (in the same key-on engine 

start or trip) once the engine has been 

operated beyond four hours 

continuously. This would avoid an 

unnecessary delay in detection of 

malfunctions simply because the heavyduty vehicle operator has elected to 

leave the vehicle running continuously 

for an entire day or days at a time. 

Consistent with our proposal, 

manufacturers may request 

Administrator approval to define 

monitoring conditions that are not 

encountered during the FTP cycle. In 

evaluating the manufacturer’s request, 

the Administrator will consider the 

degree to which the requirement to run 

during the FTP cycle restricts in-use 

monitoring, the technical necessity for 

defining monitoring conditions that are 

not encountered during the FTP cycle, 

data and/or an engineering evaluation 

submitted by the manufacturer which 

demonstrate that the component/system 

does not normally function, or 

monitoring is otherwise not feasible, 

during the FTP cycle, and, where 

applicable, the ability of the 

manufacturer to demonstrate that the 

monitoring conditions will satisfy the 

minimum acceptable in-use monitor 

performance ratio requirement as 

defined below. 

ii. In-Use Performance Tracking 

Monitoring Conditions 

In addition to the general monitoring 

conditions above, and consistent with 

our proposal, we are requiring 

manufacturers to implement software 

algorithms in the OBD system to 

individually track and report in-use 

performance of the following monitors 

in the standardized format specified in 

section II.E: 

• Diesel NMHC converting catalyst(s) 

• Diesel NOX converting catalyst(s) 

• Gasoline catalyst(s) 

• Exhaust gas sensor(s) 

• Gasoline evaporative system 

• Exhaust gas recirculation (EGR) 

system 

• Variable valve timing (VVT) system 

• Gasoline secondary air system 

• Diesel particulate filter system 

• Diesel boost pressure control 

system 

• Diesel NOX adsorber(s) 

The OBD system is not required to 

track and report in-use performance for 

monitors other than those specifically 

identified above. 

iii. In-Use Performance Ratio 

Requirement 

We are also requiring manufacturers 

to define, for all 2013 and subsequent 

model year engines, monitoring 

conditions that, in addition to meeting 

the general monitoring conditions, 

ensure that certain monitors yield an inuse performance ratio (which monitors 

and the details that define the 

performance ratio are defined in section 

II.E) that meets or exceeds the minimum 

acceptable in-use monitor performance 

ratio for in-use vehicles. As proposed, 

we are requiring a minimum acceptable 

in-use monitor performance ratio of 

0.100 for all monitors specifically 

required to track in-use performance. 

This means that the monitors listed in 

section II.A.3.ii above must run and 

make valid diagnostic decisions during 

10 percent of the vehicle’s trips. We 

intend to work with industry during the 

initial years of implementation to gather 

data on in-use performance ratios and 

may revise this ratio as appropriate 

depending on what we learn. 

Note that manufacturers may not use 

the calculated ratio (or any element 

thereof), or any other indication of 

monitor frequency, as a monitoring 

condition for a monitor. For example, 

the manufacturer would not be allowed 

to use a low ratio to enable more 

frequent monitoring through diagnostic 

executive priority or modification of 

other monitoring conditions, or to use a 

high ratio to enable less frequent 

monitoring. 

4. Determining the Proper OBD 

Malfunction Criteria 

For determining the malfunction 

criteria for monitors associated with an 

emissions threshold (see sections II.B 

and II.C for more on emissions 

thresholds), we are requiring 

manufacturers to determine the 

appropriate emissions test cycle during 

which their monitors will run. Unlike 

our proposal, we have removed the 

requirement that the manufacturer 

choose the cycle over which the most 

stringent monitor would result.18 We 

have made this change to provide 

manufacturers the flexibility to develop 

robust monitors that meet all applicable 

requirements of the rule rather than 

requiring the most stringent monitor 

with disregard for its robustness. That 

said, the Administrator retains the right 

to challenge the manufacturer’s choice 

of cycles. While we do not necessarily 

anticipate challenging a manufacturer’s 

determination of which test cycle to use, 

the final regulations make clear that the 

manufacturer should be prepared, 

perhaps with test data, to justify their 

determination. 

We are eliminating our requirement 

that, for engines equipped with 

emission controls that experience 

infrequent regeneration events (e.g., a 

DPF and/or a NOX adsorber), a 

manufacturer must adjust the emission 

test results for monitors that are 

required to indicate a malfunction 

before emissions exceed a certain 

emission threshold.19 For each such 

monitor, the manufacturer need not 

adjust the emission result as done in 

accordance with the provisions of 

section 86.004–28(i) with the 

component for which the malfunction 

criteria are being established having 

been deteriorated to the malfunction 

threshold. As proposed, the adjusted 

emission value would have to have been 

used for purposes of determining 

whether or not the applicable emission 

threshold is exceeded. 

As we noted in our proposal, we 

believe that this adjustment process for 

monitors of systems that experience 

infrequent regeneration events makes 

sense and will result in robust monitors, 

we also believe that it could prove to be 

overly burdensome for manufacturers. 

For example, a NOX adsorber threshold 

being evaluated by running an FTP 

using a ‘‘threshold’’ part (i.e., a NOX

adsorber deteriorated such that tailpipe 

emissions are at the applicable 

thresholds) may be considered 

acceptable provided the NOX adsorber 

does not regenerate during the test, but 

it may be considered unacceptable if the 

NOX adsorber does happen to regenerate 

during the test. This could happen 

because emissions would be expected to 

increase slightly during the regeneration 

event thereby causing emissions to be 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 8321 

20See § 86.010–18(a)(5) which is new in the final 

regulations. Also see § 86.010–18(m)(3) which is 

new in the final regulations. 

21See final § 86.010–18(a)(6). 22See proposed § 86.010–18(g), Table 1, and 

compare to final § 86.010–18(g), Table 1. 

slightly above the applicable threshold. 

This would require the manufacturer to 

recalibrate the NOX adsorber monitor to 

detect at a lower level of deterioration 

to ensure that a regeneration event 

would not cause an exceedance of the 

threshold during an emissions test. 

After such a recalibration, the emissions 

occurring during the regeneration event 

would be lower than before because the 

new ‘‘threshold’’ NOX adsorber would 

have a slightly higher conversion 

efficiency. We are concerned that 

manufacturers may find themselves in a 

difficult iterative process calibrating 

such monitors that, in the end, will not 

be correspondingly more effective. We 

discuss this in more detail in our 

Summary and Analysis of Comments 

document contained in the docket for 

this rule. 

5. Demonstrating Compliance With 

CARB Requirements 

We did not propose that 

manufacturers be given the opportunity 

to demonstrate compliance with CARB 

OBD requirements for the purpose of 

satisfying federal OBD. We have long 

had such a provision in our OBD 

requirements for under 14,000 pound 

applications. For the final rule, we have 

included such a provision but want to 

make clear that this provision should 

not be interpreted as meaning that a 

CARB approval equates to an EPA 

approval.20 We believe that CARB OBD 

requirements will be as stringent if not 

more so than EPA OBD requirements. 

As such, should a manufacturer 

demonstrate, and the Administrator 

determine, that an OBD system 

complies with the CARB requirements, 

it would be acceptable for EPA 

certification. We believe this will lead to 

an eventual national program. 

6. Temporary Provisions To Address 

Hardship Due to Unusual 

Circumstances 

We have added a new ‘‘temporary 

hardship’’ provision for the final rule.21

Under this new provision, EPA may 

allow a manufacturer to sell noncompliant engines for a short time 

period provided the Administrator 

determines that the non-compliance is 

for reasons outside the manufacturer’s 

control. Examples of such reasons may 

be fires in manufacturer or supplier 

plants, or ‘‘acts of God’’ such as floods, 

tornados, or hurricanes that have 

created unforeseen delays in a 

manufacturer’s ability to comply. 

This provision is meant to be used for 

only a limited time (e.g., one to three 

months) and permission to use the 

provision would not be granted for the 

purpose of delaying implementation for 

a model year. Further, the provision 

includes in it an expectation that noncompliances would be corrected as 

quickly as possible, and we would 

require that the manufacturer submit a 

plan detailing how the non-compliances 

will be corrected. The plan must be 

submitted in conjunction with any 

requests to make use of this provision 

and would be subject to Administrator 

approval. Note also that we fully intend 

to enforce the manufacturer’s plan to 

ensure that any engines sold as noncompliant would be corrected. 

B. Monitoring Requirements and 

Timelines for Diesel-Fueled/ 

Compression-Ignition Engines 

Table II.B–1 summarizes the diesel 

fueled compression ignition emissions 

thresholds at which point a component 

or system has failed to the point of 

requiring an illuminated MIL and a 

stored DTC. Some of these thresholds— 

specifically, the NOX aftertreatment and 

NOX sensor thresholds for 2010 through 

2012—differ from what was proposed. 

The differences serve to make the OBD 

threshold less stringent than proposed 

for the purpose of matching thresholds 

with technological capabilities.22 We 

have also eliminated the NMHC catalyst 

thresholds. We discuss the reasons for 

these changes in brief in the sections 

that follow and in more detail in our 

Summary and Analysis of Comments 

document contained in the docket for 

this rule. More detail regarding the final 

monitoring requirements, 

implementation schedules, and 

liabilities can be found in the sections 

that follow. 

TABLE II.B–1—EMISSIONS THRESHOLDS FOR DIESEL FUELED CI ENGINES OVER 14,000 POUNDS

Component/monitor MY NMHC CO NOX PM 

NOX catalyst system ................................................................................ 2010–2012 .................... .................... +0.6 ....................

2013+ .................... .................... +0.3 ....................

DPF system ............................................................................................. 2010–2012 2.5x .................... .................... 0.05/+0.04 

2013+ 2x .................... .................... 0.05/+0.04 

Air-fuel ratio sensors upstream ................................................................ 2010–2012 2.5x 2.5x +0.3 0.03/+0.02 

2013+ 2x 2x +0.3 0.03/+0.02 

Air-fuel ratio sensors downstream ........................................................... 2010–2012 2.5x .................... +0.3 0.05/+0.04 

2013+ 2x .................... +0.3 0.05/+0.04 

NOX sensors ............................................................................................ 2010–2012 .................... .................... +0.6 0.05/+0.04 

2013+ .................... .................... +0.3 0.05/+0.04 

‘‘Other monitors’’ with emissions thresholds (see section II.B) ............... 2010–2012 2.5x 2.5x +0.3 0.03/+0.02 

2013+ 2x 2x +0.3 0.03/+0.02 

Notes: MY = Model Year; 2.5x means a multiple of 2.5 times the applicable emissions standard or family emissions limit (FEL); +0.3 means 

the standard or FEL plus 0.3; 0.05/+0.04 means an absolute level of 0.05 or an additive level of the standard or FEL plus 0.04, whichever level 

is higher; not all monitors have emissions thresholds but instead rely on functionality and rationality checks as described in section II.D.4. 

There are exceptions to the emissions 

thresholds shown in Table II.B–1 

whereby a manufacturer can 

demonstrate that emissions do not 

exceed the threshold even when the 

component or system is non-functional 

at which point a functional check would 

be allowed. 

Note that, in general, the monitoring 

strategies designed to meet the 

requirements should not involve the 

alteration of the engine control system 

or the emissions control system such 

that tailpipe emissions would increase. 

We do not want emissions to increase, 

even for short durations, for the sole 

purpose of monitoring the systems 

intended to control emissions. The 

Administrator will consider such 

monitoring strategies on a case-by-case 

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8322 Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 

23See § 86.010–18(g)(2)(ii)(A) for diesel-fueled 

engines. 

24See § 86.010–18(g)(3)(iii)(D) for diesel-fueled 

engines. 

25See § 86.010–18(i)(3). 

basis taking into consideration the 

emissions impact and duration of the 

monitoring event. However, much effort 

has been expended in recent years to 

minimize engine operation that results 

in increased emissions and we 

encourage manufacturers to develop 

monitoring strategies that do not require 

alteration of the basic control system. 

The remaining discussion in Section 

II.B focuses solely on changes made to 

the monitoring requirements for the 

final rule relative to the proposed rule. 

We have not restated the rationale for 

each monitor, the monitoring 

requirements, or the expected 

monitoring strategies, etc. For such 

discussion, we refer the reader to our 

proposal (72 FR 3200). 

1. Fuel System Monitoring 

We proposed that fuel system 

malfunctions related to injection 

pressure, injection timing, injection 

quantity, and feedback control be 

individually detected prior to emissions 

exceeding the thresholds for ‘‘other 

monitors.’’ Further, we proposed that 

pressure and feedback related 

malfunctions be monitored 

continuously and that quantity and 

timing related malfunctions be 

monitored once per trip. For the final 

rule, we are requiring fuel system 

monitoring for CI engines be consistent 

with our proposal with a few 

exceptions. 

We have added a new combined 

monitor option for fuel injection 

systems. Under this option, the three 

discrete malfunction criteria for unit 

injector systems (pressure, quantity, and 

timing) may be combined into one 

malfunction. The two discrete 

malfunction criteria for common rail 

systems (quantity and timing) may be 

combined into one malfunction. If 

choosing the combined monitoring 

option on either type system, the 

manufacturer must demonstrate with 

data that the combined monitoring 

strategy can detect a component failure 

by some combination of the individual 

monitors, a rationality check between 

the discrete monitors or the downstream 

effect of the failed component. For 

threshold monitoring, the manufacturer 

is expected to demonstrate with data 

that the combined monitor correctly 

detects the operating conditions of the 

fuel injector and indicates the 

component malfunction prior to 

exceeding the threshold level required 

by the regulation. The intent of the 

combined monitor is to effectively 

detect and indicate fuel system injector 

malfunctions although the direct cause 

of the failure (quantity, timing and/or 

pressure) is unknown. 

For unit injector fuel systems, the 

final rule allows the fuel system 

pressure control, injection quantity, and 

injection pressure to be monitored using 

functional checks in lieu of monitoring 

for conditions that would cause 

emissions to exceed the OBD thresholds 

for model years 2010 through 2012. 

Threshold monitoring on unit injector 

fuel system injection pressure, quantity 

and timing will be required for model 

year 2013 and beyond. For common rail 

systems, the regulation remains 

unchanged with threshold detection 

required for fuel system pressure 

control, injection quantity, and injection 

pressure for model years 2010 and 

beyond. 

Regarding monitoring conditions, the 

final rule remains unchanged on 

common rail systems from the proposal 

of once per drive cycle for injection 

pressure and quantity for model years 

2010 to 2012 in addition to constant fuel 

pressure monitoring. On 2013 and later 

common rail fuel systems, we are 

requiring continuous monitoring of 

pressure control and, in a change from 

our proposal, injector quantity and 

injector timing monitoring must be done 

when conditions are met (rather than 

once per trip). On unit injector systems 

for model years 2010 to 2012, the 

monitors for fuel system pressure 

control, injection quantity, and injection 

timing are required once per drive cycle. 

For model years 2013 and beyond, unit 

injector systems are required to monitor 

pressure, injector quantity and injector 

timing when conditions are met. 

We are making these fuel injection 

system monitoring changes because of 

the system monitoring capability 

differences between unit injector and 

common rail systems, while 

maintaining the intent of malfunction 

monitoring to indicate a failed 

component. We believe that the 

monitoring strategies manufacturers are 

expected to use in the interim time 

frame and future system design will 

result in robust monitoring of the fuel 

system without sacrificing malfunction 

detection. The fuel system strategies 

based on hardware diverge in model 

years 2010 to 2012 to account for the 

monitoring capabilities but again 

converge in model years 2013 for as 

much commonality as possible. We 

discuss our rationale in more detail in 

our Summary and Analysis document 

contained in the docket for this rule. 

2. Engine Misfire Monitoring 

We proposed that, for 2010–2012, a 

continuous engine misfire be detected 

during engine idle. For 2013 and later, 

we proposed that engines equipped 

with combustion sensors monitor 

continuously for misfire during the full 

operating range and detect a 

malfunction prior to emissions 

exceeding the thresholds for ‘‘other 

monitors.’’ 

For the final rule, we have made only 

one change to the misfire monitoring 

requirements for CI engines. In the 

proposal, we stated that, if more than 

one cylinder is misfiring continuously, 

a separate DTC must be stored 

indicating that multiple cylinders are 

misfiring. In the final rule, we state that, 

if more than one cylinder is misfiring 

continuously or if more than one but 

less than half of the cylinders is 

misfiring continuously, a separate DTC 

must be stored indicating that multiple 

cylinders are misfiring.23 To make use 

of this additional provision, the 

manufacturer must receive 

Administrator approval. We are making 

this change because we believe that, for 

some systems, a perfectly acceptable 

monitor can be developed without 

sacrificing malfunction detection. 

3. Exhaust Gas Recirculation (EGR) 

System Monitoring 

We proposed that malfunctions of the 

EGR system related to low flow, high 

flow, slow response, feedback control, 

and cooler performance be detected 

prior to emissions exceeding the 

thresholds for ‘‘other monitors.’’ 

Further, we proposed that flow and 

feedback related malfunctions be 

monitored continuously, response 

related malfunctions be monitored 

whenever conditions were met, and that 

cooler malfunctions be monitored once 

per trip. 

For the final rule, we have not made 

any changes to the EGR requirements 

except to provide more clarity to the 

provisions allowing for temporary 

disablement of continuous 

monitoring.24 This new provision 

allows the OBD system, with approval, 

to disable temporarily the EGR system 

monitor(s) under specific ambient 

conditions (e.g., when freezing may 

affect performance of the system) or 

during specific operating conditions 

(e.g., transients, extreme low or high 

flow conditions). Even then, the system 

must still maintain comprehensive 

component monitoring as required by 

the comprehensive component 

monitoring requirements.25

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Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 8323 

26See § 86.010–18(g)(4)(ii) for diesel-fueled 

engines. 

27See § 86.010–18(g)(4)(iii)(D) for diesel-fueled 

engines. 

28See § 86.010–18(g)(5) for the final NMHC 

catalyst requirements for diesel-fueled engines. 

29Please refer to our Final Technical Support 

Document contained in the docket for this rule 

(EPA420–R–08–019, Document ID No. EPA–HQ– 

OAR–2005–0047–0056) which contains our latest 

understanding of NOX sensor technology. 

4. Turbo Boost Control System 

Monitoring 

We proposed that malfunctions of the 

boost control system related to 

underboost, overboost, variable 

geometry slow response, feedback 

control, and undercooling be detected 

prior to emissions exceeding the 

thresholds for ‘‘other monitors.’’ 

Further, we proposed that underboost, 

overboost, and feedback related 

malfunctions be monitored 

continuously, that slow response related 

malfunctions be monitored whenever 

conditions were met, and that 

undercooling related malfunctions be 

monitored once per trip. 

One change we have made to the 

turbo boost control system monitoring 

requirements for the final rule is to add 

the phrase, ‘‘on engines so equipped’’ or 

equivalent.26 We have added this phrase 

to clarify that, for engines that do not 

control the turbo boost control system as 

suggested by the proposed requirements 

the provision would not apply or would 

apply differently. For example, our 

proposal required that the OBD system 

detect when the turbo boost control 

system was unable to achieve the 

commanded boost. However, some 

manufacturers use a system that does 

not in fact command a particular boost 

pressure (i.e., it is not a closed loop 

feedback system). For such systems, the 

final rule makes clear that the system 

must detect when the turbo boost 

control system is unable to achieve the 

commanded boost, or the expected 

boost for systems that do not control 

boost pressure. The change does not 

impact the intent behind the proposed 

requirements and only serves to provide 

clarity to manufacturers. We discuss our 

rationale in more detail in our Summary 

and Analysis document contained in the 

docket for this rule. 

We have also made a minor change to 

the turbo boost monitoring conditions. 

We have added a provision that 

provides clarity to the requirement to 

monitor continuously certain 

parameters. This provision does not 

change the intent of the proposed 

requirement, but only serves to provide 

clarity to the requirement.27

5. Non-Methane Hydrocarbon (NMHC) 

Converting Catalyst Monitoring 

We proposed that malfunctions 

related to NMHC conversion efficiency 

be detected prior to emissions exceeding 

the thresholds for ‘‘NMHC catalyst.’’ We 

also proposed that, should the NMHC 

converting catalyst be used to assist 

other aftertreatment devices, that 

malfunctions be detected if that 

assistance is no longer occurring. 

Further, we proposed that conversion 

efficiency and aftertreatment assistance 

be monitoring once per trip. 

For the final rule, we have eliminated 

the OBD thresholds associated with 

monitoring of NMHC converting 

catalysts (e.g., the diesel oxidation 

catalyst, or DOC). We have also 

eliminated the need to monitor the 

NMHC converting catalyst’s ability to 

generate the proper feedgas for other 

aftertreatment devices. We have 

maintained, as was proposed, the 

requirements to monitor for some level 

of NMHC conversion and for the ability 

to generate and sustain the necessary 

exotherm for catalysts used as part of 

the regeneration strategy of other 

aftertreatment devices.28 As part of this 

latter requirement, we have added a 

provision requiring the OBD system to 

detect when the NMHC converting 

catalyst is unable to generate a 100 

degree Celsius temperature rise, or to 

achieve the necessary regeneration 

temperature, within 60 seconds of 

initiating a forced regeneration event. 

Further, the OBD system must detect the 

inability to sustain the necessary 

regeneration temperature for the 

duration of the regeneration event. We 

have also added a provision that the 

regeneration system be shut down (i.e., 

the forced regeneration must be aborted) 

in the event that the regeneration 

temperature cannot be attained or 

sustained. The manufacturer would be 

allowed to define the monitoring 

conditions for this monitor to ensure 

that a robust monitoring event would be 

possible. This requirement is meant to 

ensure that NMHC emissions will not be 

excessive during a prolonged and 

unsuccessful attempt at generating an 

exotherm for regeneration. As an 

alternative, the manufacturer may 

submit, for Administrator approval, 

their NMHC catalyst exotherm monitor 

strategy and, if equivalent in 

effectiveness, could use that strategy 

instead of the criteria described here. 

Lastly, we have added a provision 

whereby a manufacturer can ‘‘test out’’ 

of monitoring a NMHC catalyst located 

downstream of a DPF provided its 

failure will not cause NMHC emissions 

to exceed the applicable NMHC 

standard. 

We have made these changes for the 

final rule because we have been 

convinced by manufacturers that there 

exists no robust method of detecting 

loss of NMHC conversion at the levels 

required for threshold monitoring. We 

believe that the primary function of the 

NMHC catalyst will be exotherm 

generation which is a monitoring 

requirement we have maintained and 

broadened. Further, we believe that the 

exotherm monitor will also serve to 

provide the detection of lost NMHC 

conversion and will do so in a more 

timely fashion than a direct monitoring 

of NMHC conversion via exhaust gas 

sensors since those sensors appear 

unlikely to be able to detect NMHC 

conversion loss until it is completely 

lost. Similar arguments exist for 

eliminating the feedgas monitoring 

requirement—we know of no robust 

method to detect this loss given today’s 

sensor technology. We discuss our 

rationale in more detail in our Summary 

and Analysis document contained in the 

docket for this rule. 

6. Selective Catalytic Reduction (SCR) 

and Lean NOX Catalyst Monitoring 

We proposed that malfunctions 

related to conversion efficiency, active/ 

intrusive reductant delivery, active/ 

intrusive reductant quantity, active/ 

intrusive reductant quality, and 

feedback control be detected prior to 

emissions exceeding the thresholds for 

‘‘NOX catalyst system.’’ Further, we 

proposed that conversion efficiency and 

reductant quality be monitored once per 

trip and that reductant delivery, 

quantity, and feedback control be 

monitored continuously. 

We have made no changes to the SCR 

and/or lean NOX catalyst monitoring 

requirements relative to our proposal 

except that we have increased the NOX

threshold at which malfunctions must 

be detected. We proposed a threshold of 

the NOX FEL+0.3 g/bhp-hr and are 

finalizing a threshold of the NOX

FEL+0.6 g/bhp-hr. This revised 

threshold applies only to model years 

2010 through 2012. As proposed, the 

threshold for model years 2013 and later 

remains the NOX FEL+0.3 g/bhp-hr. We 

have made this change because the state 

of NOX sensor technology expected for 

the 2010 model year is not sufficient for 

the proposed threshold. We expect that 

to improve for model years 2013 and 

later.29 We discuss our rationale in more 

detail in our Summary and Analysis 

document contained in the docket for 

this rule. 

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8324 Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 

30See § 86.010–18(g)(8)(ii)(A) for diesel-fueled 

engines. 31The detectable change in pressure drop is 

defined as 0.5 times the observed pressure drop on 

a nominal, clean filter when operating the engine 

at the 50% speed, 50% load operating point (as 

specified in test cycle and procedures for the 

supplemental emissions test (SET) in § 86.1360– 

2007.) 32See § 86.010–18(n). 33See proposed § 86.010–18(g)(8)(ii)(D). 34See § 86.010–18(g)(8)(iii) for diesel-fueled 

engines. 

7. NOX Adsorber System Monitoring 

We proposed that malfunctions 

related to adsorber system capability, 

active/intrusive reductant delivery, and 

feedback control be detected prior to 

emissions exceeding the thresholds for 

‘‘NOX catalyst system.’’ Further, we 

proposed that adsorber capability be 

monitored once per trip and that 

reductant delivery and feedback control 

be monitored continuously. 

For the final rule, we have changed 

nothing with respect to the NOX

adsorber monitoring requirements with 

the exception of revising the NOX

threshold for model years 2010 through 

2012 to the NOX FEL+0.6 from the NOX

FEL+0.3. We have made this change for 

the same reasons noted above for SCR 

monitoring. We discuss our rationale in 

more detail in our Summary and 

Analysis document contained in the 

docket for this rule. 

8. Diesel Particulate Filter (DPF) System 

Monitoring 

We proposed that malfunctions 

related to the DPF filtering performance, 

regeneration frequency, regeneration 

completion, NMHC conversion, active/ 

intrusive reductant injection, and 

feedback control be detected prior to 

emissions exceeding the thresholds for 

‘‘DPF system.’’ We also proposed that a 

missing DPF substrate be detected. 

Further, we proposed that all of these 

functions be monitored whenever 

conditions were met. 

For the final rule, we have made two 

changes to the requirements for 

monitoring the DPF system. The first 

change is that we have added to the DPF 

filtering performance monitoring 

requirement an optional requirement 

whereby the OBD system can conduct, 

in effect, a functional check of the DPF. 

A system using this approach would be 

required to detect a change in the 

pressure drop across the DPF relative to 

the nominal pressure drop across a 

clean filter and a properly working 

device.30 In effect, if the DPF substrate 

has been compromised, the failure must 

be detected if it results in a decrease in 

the expected pressure drop equal to or 

greater than a defined level, or 

detectable change in pressure drop, 

relative to a clean filter.31

We believe that such a requirement is, 

in effect, the same as a threshold 

requirement for most DPF systems to be 

certified in the 2010 through 2012 

timeframe. Those systems are expected 

to use a delta pressure approach to DPF 

monitoring and we expect that 

manufacturers will design that monitor 

to detect the smallest hole feasible 

which, we believe, will result in a 

decrease in the expected pressure drop 

somewhere around the level we are 

requiring. Manufacturers would then 

determine the emissions impact 

associated with that hole and hope that 

it meets our threshold requirement. If it 

did not, we would probably certify the 

system with a deficiency presuming the 

manufacturer had made a good faith 

effort at compliance and the monitor 

met our deficiency requirements.32 We 

would not want to refuse to certify it 

since it would be doing the maximum 

that the delta pressure approach could 

feasibly do. We would prefer to certify 

such a system to the decrease in 

pressure drop requirement without the 

deficiency than to certify it to a 

threshold with a deficiency. In the end, 

the same monitor is being approved. 

Another change we have made is to 

eliminate the NMHC conversion 

monitoring over DPFs that have some 

NMHC conversion capacity.33 We have 

eliminated this requirement for the 

same reasons as noted above for NMHC 

converting catalyst monitors. Note that 

we have retained an NMHC threshold 

for the DPF, but it is referenced in 

conjunction with the DPF regeneration 

frequency monitor consistent with our 

proposal. 

Lastly, we have included some new 

monitoring requirements for those 

systems certified to our optional 

backpressure loss provision.34 An 

important element of these new 

monitoring conditions is the distinction 

between conditions used for 

malfunction determinations versus 

subsequent passing determinations. The 

new provisions allow for a malfunction 

determination during any successful 

monitoring event. However, subsequent 

monitoring events are limited to 

operation following a successful DPF 

regeneration. This is to ensure that a 

confirmed leak will not ‘‘fill up’’ with 

PM and begin to look like an acceptable 

DPF. If monitoring events were allowed 

to occur as the leak filled up, the OBD 

system may inadvertently determine 

that the DPF substrate was not 

compromised. Limiting subsequent 

monitoring events (i.e., those following 

a malfunction determination) to 

operation following a complete 

regeneration of the DPF will ensure that 

no PM has filled up the crack or hole. 

We discuss all of these changes in 

more detail in our Summary and 

Analysis of Comments document 

contained in the docket for this rule. 

9. Exhaust Gas Sensor Monitoring 

We proposed that malfunctions 

related to sensor performance be 

detected prior to emissions exceeding 

the applicable thresholds. We also 

proposed that malfunctions related to 

circuit integrity, feedback functions, 

monitoring functions, and heater 

performance and circuit integrity be 

detected prior to those functions being 

lost. Further, we proposed that sensor 

and heater performance be monitored 

once per trip, that monitoring 

functionality be monitored whenever 

conditions were met, and that circuit 

integrity and feedback functionality be 

monitored continuously. 

For the final rule, we have changed 

nothing with respect to the exhaust gas 

sensor monitoring requirements with 

the exception of revising the NOX sensor 

monitor NOX threshold for model years 

2010 through 2012 to the NOX FEL+0.6 

from the NOX FEL+0.3. We have made 

this change for the same reasons noted 

above for the NOX aftertreatment 

monitoring requirements. We discuss 

our rationale in more detail in our 

Summary and Analysis document 

contained in the docket for this rule. 

C. Monitoring Requirements and 

Timelines for Gasoline/Spark-Ignition 

Engines 

Table II.C–1 summarizes the gasoline 

fueled spark ignition emissions 

thresholds at which point a component 

or system has failed to the point of 

requiring an illuminated MIL and a 

stored DTC. 

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Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 8325 

35There are some changes discussed in section 

II.D that pertain to both gasoline and diesel 

applications. 

36See CCR 1971.1(f)(2.3.4)(D) and CCR 

1971.1(f)(2.3.5) and compare to § 86.010– 

18(h)(2)(iii)(D) and § 86.010(h)(2)(iii)(E), 

respectively. 

37This is true according to our certification 

database for the 2004, 2005, and 2006 model years. 

Other manufacturers certify engines that use the 

Otto cycle, but those engines do not burn gasoline 

and instead burn various alternative fuels. 

38 ‘‘EMA Comments on Proposed HDOBD 

Requirements for HDGE,’’ bullet items 3 and 4; 

April 28, 2005, Docket ID# EPA–HQ–OAR–2005– 

0047–0003. 

39See § 86.010–18(g)(10) for diesel-fueled engines 

and § 86.010–18(h)(9) for gasoline-fueled engines. 

40See § 86.010–18(i)(1) for the final cooling 

system monitoring requirements. 

TABLE II.C–1—EMISSIONS THRESHOLDS FOR GASOLINE FUELED SI ENGINES OVER 14,000 POUNDS

Component/monitor MY NMHC CO NOX

Catalytic converter system ............................................................................... 2010+ 1.75x ....................... .................... 1 .75x 

‘‘Other monitors’’ with emissions thresholds (see section II.C) ....................... 2010+ 1.5x ......................... 1.5x 1.5x 

Evaporative emissions control system ............................................................. 2010+ 0.150 inch leak.

Notes: MY=Model Year; 1.75x means a multiple of 1.75 times the applicable emissions standard; not all monitors have emissions thresholds 

but instead rely on functionality and rationality checks as described in section II.D.4. The evaporative emissions control system threshold is not, 

technically, an emissions threshold but rather a leak size that must be detected; nonetheless, for ease we refer to this as the threshold. 

Everything shown in Table II.C–1 is 

unchanged from our proposal. In fact, 

we have made only one change in our 

requirements specific to gasoline 

engines relative to our proposal.35 That 

change is being made in response to 

requests from industry that would allow 

for Administrator approval of misfire 

monitoring disablement under certain 

conditions on engines with more than 

eight cylinders and/or in situations 

where the manufacturer can 

demonstrate that the best available 

monitoring strategy is not able to detect 

the misfire condition. The change we 

are making for our final rule is meant to 

align our disablement allowance, with 

approval, with similar allowances made 

in the California regulation.36

As proposed, there remain exceptions 

to the emissions thresholds shown in 

Table II.C–1 whereby a manufacturer 

can demonstrate that emissions do not 

exceed the threshold even when the 

component or system is non-functional 

at which point a functional check would 

be allowed. 

Additionally, consistent with our 

proposal, the final gasoline monitoring 

requirements for engines over 14,000 

pounds mirror those that are already in 

place for gasoline engines used in 

vehicles under 14,000 pounds. The HD 

gasoline industry—General Motors and 

Ford, as of today37—have told us that 

their preference is to use essentially the 

same OBD system on their engines used 

in both under and over 14,000 pound 

vehicles.38 In general, we agree with the 

HD gasoline industry on this issue for 

three reasons: 

• The engines used in vehicles above 

and below 14,000 pounds are the same 

which makes it easy for industry to use 

the same OBD monitors; 

• The existing OBD requirements for 

engines used in vehicles below 14,000 

pounds have proven effective; and 

• The industry members have more 

than 10 years experience complying 

with the OBD requirements for engines 

used in vehicles below 14,000 pounds. 

As a result, our final requirements 

should allow for OBD system 

consistency in vehicles under and over 

14,000 pounds rather than mirroring the 

HD diesel requirements discussed in 

section II.B. Nonetheless, the final 

requirements are for engine-based OBD 

monitors only rather than monitors for 

the entire powertrain (which would 

include the transmission). We are doing 

this for the same reasons as done for the 

diesel OBD requirements in that 

certification of gasoline applications 

over 14,000 pounds, like their diesel 

counterparts, is done on an engine basis 

and not a vehicle basis. 

D. Monitoring Requirements and 

Timelines for Other Diesel and Gasoline 

Systems 

1. Variable Valve Timing and/or Control 

(VVT) System Monitoring 

We proposed that VVT system 

malfunctions related to achieving the 

commanded valve timing and/or control 

within a crank angle and/or lift 

tolerance and slow system response be 

detected prior to emissions exceeding 

the thresholds for ‘‘other monitors.’’ 

Further, we proposed that these 

malfunctions be monitored whenever 

conditions were met rather than once 

per trip. 

The final requirements for VVT 

system monitoring are identical to the 

proposed requirements.39

2. Engine Cooling System Monitoring 

We proposed that cooling system 

malfunctions related to proper 

thermostat function and engine coolant 

temperature (ECT) sensor readings be 

detected. Further, we proposed that 

malfunctions tied to the thermostat be 

monitored once per trip and that most 

ECT malfunctions be monitored once 

per trip except that circuit malfunctions 

must be monitored continuously. 

For the final rule, we have changed 

the requirement surrounding the need to 

detect when the coolant temperature 

does not warm up to within 20 degrees 

F of the nominal thermostat regulating 

temperature. This change allows the 

OBD system to use a lower temperature 

(lower than 20 degrees below the 

nominal regulating temperature) 

provided the ambient temperature is 

between 20 degrees F and 50 degrees F. 

To do so, the manufacturer must present 

data justifying the new temperature to 

be reached at the lower ambient 

temperatures.40

3. Crankcase Ventilation System 

Monitoring 

We proposed that the OBD system 

monitor the CV system on engines so 

equipped for system integrity. For diesel 

engines, we proposed that the 

manufacturer submit a plan for 

Administrator approval prior to OBD 

certification that describes the 

monitoring strategy, malfunction 

criteria, and monitoring conditions for 

CV system monitoring. Further, we 

proposed that the manufacturer may 

forego monitoring for a disconnection 

between the crankcase and the CV valve 

provided the CV system is designed 

such that it uses tubing connections 

between the CV valve and the crankcase 

that are resistant to failure. We also 

proposed that the manufacturer may 

forego monitoring for a disconnection 

between the CV valve and the intake 

manifold provided the CV system is 

designed such that any disconnection 

either causes the engine to stall 

immediately during idle operation, or is 

unlikely to occur due to a CV system 

design that is integral to the induction 

system (e.g., machined passages rather 

than tubing or hoses). 

The final requirements for crankcase 

ventilation system monitoring are 

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8326 Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 

41See § 86.010–18(i)(2) for the final CV system 

monitoring requirements. 

42See proposed and/or final § 86.010–18(i)(3)(i). 

43See final § 86.010–18(i)(3)(i)(A) and compare to 

proposed § 86.010–18(i)(3)(i)(A). 

44See § 86.010–18(i)(3)(iii)(D). 

45This requirement can be found in § 86.010– 

18(d). 

identical to the proposed 

requirements.41

4. Comprehensive Component Monitors 

We proposed that, in general, the OBD 

system must detect a malfunction of any 

electronic engine component or system 

that either provides input to or receives 

commands from the onboard 

computer(s). Further, we proposed that 

malfunctions related to circuit 

continuity and/or out-of-range values be 

monitored continuously and that 

malfunctions related to input data 

rationality and/or output component 

functional response be monitored 

whenever conditions were met. 

For the final rule, we have made 

several changes to the proposed 

requirements for comprehensive 

component monitoring. The first of 

those changes is to revise the provisions 

concerning the emission effect that 

determines what must be monitored as 

a comprehensive component. In the 

proposed rule, we provided a general set 

of parameters that fit within the 

comprehensive component concept. For 

example, components that provide 

input to or received commands from the 

engine computer along with specific 

examples of such components.42 We 

then stated that any such component 

that could effect emissions over any 

reasonable driving condition must be 

monitored. For the final rule, we have 

changed these emission impacts slightly 

by stating that any such component that 

could cause emissions to exceed 

emissions standards must be 

monitored.43 We have made this change 

because we believe it to be consistent 

with the Clean Air Act which states that 

OBD systems should monitor 

components that could cause or result 

in failure of the vehicles to comply with 

emission standards established for such 

vehicles (see Section I.C.3 above). 

The second change we have made to 

the comprehensive component 

monitoring requirements is the change 

to the MIL circuit check and the waitto-start lamp circuit check. These 

changes were discussed in Section 

II.A.2 above. 

We have also changed the 

requirements for monitoring of glow 

plugs in the 2010 through 2012 model 

years. During those model years, glow 

plugs must be monitored for circuit 

checks only. For model years 2013 and 

later, we have not made any changes to 

our proposal (functional checks must be 

done).44 We are making this change for 

the 2010 through 2012 model years 

because we do not believe that the time 

available for 2010 implementation is 

sufficient for all manufacturers to make 

the changes necessary to conduct 

functional checks, but we believe that 

such checks are important and should 

be done for 2013 and later. 

5. Other Emissions Control System 

Monitoring 

We proposed monitoring of other 

emission control systems that are not 

otherwise specifically addressed and 

that the manufacturer submit a plan for 

Administrator approval of the 

monitoring strategy, malfunction 

criteria, and monitoring conditions prior 

to introduction on a production engine. 

The final requirements for other 

emission control system monitoring are 

identical to the proposed requirements. 

6. Exceptions to Monitoring 

Requirements 

We proposed that certain monitors 

could be disabled under specific 

conditions related generally to ambient 

conditions. Further, we proposed that 

most such disablements be approved by 

the Administrator. 

The final requirements for exceptions 

to monitoring are identical to the 

proposed requirements. 

E. A Standardized Method To Measure 

Real World Monitoring Performance 

As was noted in section II.A.3, 

manufacturers determine the most 

appropriate times to run the noncontinuous OBD monitors. This way, 

they are able to make their OBD 

evaluation either at the operating 

condition when an emissions control 

system is active and its operational 

status can best be evaluated, and/or at 

the operating condition when the most 

accurate evaluation can be made (e.g., 

highly transient conditions or extreme 

conditions can make evaluation 

difficult). Importantly, manufacturers 

are prohibited from using a monitoring 

strategy that is so restrictive such that it 

rarely or never runs. To help protect 

against monitors that rarely run, we 

proposed an ‘‘in-use monitor 

performance ratio’’ requirement. The 

final rule contains the same requirement 

without changes.45

The set of operating conditions that 

must be met so that an OBD monitor can 

run are called the ‘‘enable criteria’’ for 

that given monitor. These enable criteria 

are often different for different monitors 

and may well be different for different 

types of engines. A large diesel engine 

intended for use in a Class 8 truck 

would be expected to see long periods 

of relatively steady-state operation 

while a smaller engine intended for use 

in an urban delivery truck would be 

expected to see a lot of transient 

operation. Manufacturers will need to 

balance between a rather loose set of 

enable criteria for their engines and 

vehicles given the very broad range of 

operation HD highway engines see and 

a tight set of enable criteria given the 

desire for greater monitor accuracy. 

Manufacturers would be required to 

design these enable criteria so that the 

monitor: 

• Is robust (i.e., accurate at making 

pass/fail decisions); 

• Runs frequently in the real world; 

and 

• In general, also runs during the FTP 

heavy-duty transient cycle. 

If designed incorrectly, these enable 

criteria may be either too broad and 

result in inaccurate monitors, or overly 

restrictive thereby preventing the 

monitor from executing frequently in 

the real world. 

Since the primary purpose of an OBD 

system is to monitor for and detect 

emission-related malfunctions while the 

engine is operating in the real world, a 

standardized methodology for 

quantifying real world performance 

would be beneficial to both EPA and 

manufacturers. Generally, in 

determining whether a manufacturer’s 

monitoring conditions are sufficient, a 

manufacturer would discuss the 

proposed monitoring conditions with 

EPA staff. The finalized conditions 

would be included in the certification 

applications and submitted to EPA staff 

who would review the conditions and 

make determinations on a case-by-case 

basis based on the engineering judgment 

of the staff. In cases where we are 

concerned that the documented 

conditions may not be met during 

reasonable in-use driving conditions, we 

would most likely ask the manufacturer 

for data or other engineering analyses 

used by the manufacturer to determine 

that the conditions would occur in-use. 

In requiring a standardized 

methodology for quantifying real world 

performance, we believe this review 

process can be done more efficiently 

than would occur otherwise. 

Furthermore, it would serve to ensure 

that all manufacturers are held to the 

same standard for real world 

performance. Lastly, we want review 

procedures that will ensure that 

monitors operate properly and 

frequently in the field. 

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Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 8327 

46This minimum acceptable ratio applies in 

model years 2013 and later, as was proposed. 

Therefore, manufacturers will be 

required to use a standardized method 

for determining real world monitoring 

performance and will be liable if 

monitoring occurs less frequently than a 

minimum acceptable level, expressed as 

minimum acceptable in-use 

performance ratio.46 We are also 

requiring that manufacturers implement 

software in the onboard computer to 

track how often several of the major 

monitors (e.g., catalyst, EGR, CDPF, 

other diesel aftertreatment devices) 

execute during real world driving. The 

onboard computer must keep track of 

how many times each of these monitors 

has executed and how much the engine 

has been operated. By measuring both of 

these values, the ratio of monitor 

operation relative to engine operation 

can be calculated to determine 

monitoring frequency. 

The minimum acceptable frequency 

requirement will apply to many but not 

all of the OBD monitors. We are 

requiring that monitors operate either 

continuously, once per drive cycle, or, 

in a few cases, multiple times per drive 

cycle (i.e., whenever the proper 

monitoring conditions are present). For 

components or systems that are more 

likely to experience intermittent failures 

or failures that can routinely happen in 

distinct portions of an engine’s 

operating range (e.g., only at high engine 

speed and load, only when the engine 

is cold or hot), monitors are required to 

operate continuously. Examples of 

continuous monitors include most 

electrical/circuit continuity monitors. 

For components or systems that are less 

likely to experience intermittent failures 

or failures that only occur in specific 

vehicle operating regions or for 

components or systems where accurate 

monitoring can only be performed 

under limited operating conditions, 

monitors would be required to run once 

per drive cycle. Examples of once per 

drive cycle monitors typically include 

gasoline catalyst monitors, evaporative 

system leak detection monitors, and 

output comprehensive component 

functional monitors. For components or 

systems that are routinely used to 

perform functions that are crucial to 

maintaining low emissions but may still 

require monitoring under fairly limited 

conditions, monitors are required to run 

each and every time the manufacturerdefined enable conditions are present. 

Examples of multiple times per drive 

cycle monitors typically include input 

comprehensive component rationality 

monitors and some exhaust 

aftertreatment monitors. 

Monitors required to run 

continuously, by definition, would 

always be running thereby making a 

minimum frequency requirement moot. 

The new frequency requirement 

essentially applies only to those 

monitors that are designated as once per 

drive cycle or multiple times per drive 

cycle monitors. For all of these 

monitors, manufacturers are required to 

define monitoring conditions that 

ensure adequate frequency in-use. 

Specifically, the monitors need to run 

often enough so that the measured 

monitor frequency on in-use engines 

will exceed the minimum acceptable 

frequency. However, even though the 

minimum frequency requirement 

applies to nearly all once per drive cycle 

and multiple times per drive cycle 

monitors, manufacturers are only 

required to implement software to track 

and report the in-use frequency for a 

few of the major monitors. These few 

monitors generally represent the major 

emissions control components and the 

ones with the most limited enable 

criteria. 

We believe that OBD monitors should 

run frequently to ensure early detection 

of emissions-related malfunctions and, 

consequently, to maintain low 

emissions. Allowing malfunctions to 

continue undetected and unrepaired for 

long periods of time allows emissions to 

increase unnecessarily. Frequent 

monitoring can also help to ensure 

detection of intermittent emissionsrelated malfunctions (i.e., those that are 

not continuously present but occur 

sporadically for days and even weeks at 

a time). The nature of mechanical and 

electrical systems is that intermittent 

malfunctions can and do occur. The less 

frequent the monitoring, the less likely 

these malfunctions will be detected and 

repaired. Additionally, for both 

intermittent and continuous 

malfunctions, earlier detection is 

equivalent to preventative maintenance 

in that the original malfunction can be 

detected and repaired prior to it causing 

subsequent damage to other 

components. This can help vehicle 

operators avoid more costly repairs that 

could have resulted had the first 

malfunction gone undetected. 

Infrequent monitoring can also have 

an impact on the service and repair 

industry. Specifically, monitors that 

have unreasonable or overly restrictive 

enable conditions could hinder vehicle 

repair services. In general, upon 

completing an OBD-related repair to an 

engine, a technician will attempt to 

verify that the repair has indeed fixed 

the problem. Ideally, a technician will 

operate the vehicle in a manner that will 

exercise the appropriate OBD monitor 

and allow the OBD system to confirm 

that the malfunction is no longer 

present. This affords a technician the 

highest level of assurance that the repair 

was indeed successful. However, OBD 

monitors that operate infrequently are 

difficult to exercise and, therefore, 

technicians may not be able (or may not 

be likely) to perform such post-repair 

evaluations. Despite the service 

information availability requirements 

we are promulgating—requirements that 

manufacturers make all of their service 

and repair information available to all 

technicians, including the information 

necessary to exercise OBD monitors— 

technicians would still find it difficult 

to exercise monitors that require 

infrequently encountered engine 

operating conditions (e.g., abnormally 

steady constant speed operation for an 

extended period of time). Additionally, 

to execute OBD monitors in an 

expeditious manner or to execute 

monitors that would require unusual or 

infrequently encountered conditions, 

technicians may be required to operate 

the vehicle in an unsafe manner (e.g., at 

freeway speeds on residential streets or 

during heavy traffic). If unsuccessful in 

executing these monitors, technicians 

may even take shortcuts in attempting to 

validate the repair while maintaining a 

reasonable cost for customers. These 

shortcuts would likely not be as 

thorough in verifying repairs and could 

increase the chance that improperly 

repaired engines would be returned to 

the vehicle owner or additional repairs 

would be performed just to ensure the 

problem is fixed. In the end, monitors 

that operate less frequently can result in 

unnecessary costs and inconvenience to 

both vehicle owners and technicians. 

1. Description of Software Counters To 

Track Real World Performance 

As stated above, manufacturers are 

required to track monitor performance 

by comparing the number of monitoring 

events (i.e., how often each monitor has 

run) to the number of driving events 

(i.e., how often has the vehicle been 

operated). Our final rule contains this 

requirement as did our proposal. In 

general, we have not changed the 

requirements associated with 

determination of this minimum 

performance ratio. However, we have 

made some minor changes. 

The first of these is the way in which 

the denominator of the ratio is 

determined for diesel engines. The ratio 

mstockstill on PROD1PC66 with RULES2

8328 Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 

47See § 86.010–18(d)(4). 

48These monitors, as presented in section II.A.3 

(also see 86.010–18(e)(1)), are, for diesel engines: 

The NMHC catalyst, the CDPF system, the NOX

adsorber system, the NOX converting catalyst 

system, and the boost system; and, for gasoline 

engines: The catalyst, the evaporative system, and 

the secondary air system; and, for all engines, the 

exhaust gas sensors, the EGR system, and the VVT 

system. 

of these two numbers would give an 

indication of how often the monitor is 

operating relative to vehicle operation. 

In equation form, this can be stated as: 

In -Use Performance (Ratio) Number of Monitoring Events (Nu = merator)

Number of Driving Events (Deno ator) min

Specifically, we have changed the 

denominator provisions which stated 

that the denominator would be 

incremented if, on a single key start, the 

following criteria were satisfied while 

ambient temperature remained above 20 

degrees Fahrenheit and altitude 

remained below 8,000 feet: 

• Minimum engine run time of 10 

minutes; 

• Minimum of 5 minutes, 

cumulatively, of operation at vehicle 

speeds greater than 25 miles-per-hour 

for gasoline engines or calculated load 

greater than 15 percent for diesel 

engines; and 

• At least one continuous idle for a 

minimum of 30 seconds encountered. 

For the final rule, the second bullet 

has been changed to read: 

• Minimum of 5 minutes, 

cumulatively, of operation at vehicle 

speeds greater than 25 miles-per-hour 

for gasoline engines or engine speeds 

greater than 1,150 rotations per minute 

(RPM) for diesel engines. We are also 

allowing diesel engines to employ the 

gasoline criteria for the years 2010 

through 2012 but not thereafter.47

We have made this change because 

we believe that the 1,150 RPM criterion 

is a better measure of work than the 

15% load criterion. The purpose of the 

time at load (i.e., 5 minutes of engine 

load above 15%) was to have criteria 

that would represent that an engine had 

been doing work for at least 5 minutes 

(300 seconds). After consideration, we 

have decided that engine speed above 

1,150 RPM for 5 minutes is a better 

measure of engine work. 

2. Performance Tracking Requirements 

a. In-Use Monitoring Performance Ratio 

Definition 

For monitors required to meet the inuse performance tracking 

requirements,48 we are requiring that 

the incrementing of numerators and 

denominators and the calculation of the 

in-use performance ratio be done in 

accordance with the following 

specifications. These specifications have 

not changed from the proposal. 

The numerator(s) are defined as a 

measure of the number of times a 

vehicle has been operated such that all 

monitoring conditions necessary for a 

specific monitor to detect a malfunction 

have been encountered. Except for 

systems using alternative statistical MIL 

illumination protocols, the numerator is 

to be incremented by an integer of one. 

The numerator(s) may not be 

incremented more than once per drive 

cycle. The numerator(s) for a specific 

monitor would be incremented within 

10 seconds if and only if the following 

criteria are satisfied on a single drive 

cycle: 

• Every monitoring condition 

necessary for the monitor of the specific 

component to detect a malfunction and 

store a pending DTC has been satisfied, 

including enable criteria, presence or 

absence of related DTCs, sufficient 

length of monitoring time, and 

diagnostic executive priority 

assignments (e.g., diagnostic ‘‘A’’ must 

execute prior to diagnostic ‘‘B’’). For the 

purpose of incrementing the numerator, 

satisfying all the monitoring conditions 

necessary for a monitor to determine 

that the component is passing may not, 

by itself, be sufficient to meet this 

criteria. 

• For monitors that require multiple 

stages or events in a single drive cycle 

to detect a malfunction, every 

monitoring condition necessary for all 

events to have completed must be 

satisfied. 

• For monitors that require intrusive 

operation of components to detect a 

malfunction, a manufacturer would be 

required to request Administrator 

approval of the strategy used to 

determine that, had a malfunction been 

present, the monitor would have 

detected the malfunction. Administrator 

approval of the request would be based 

on the equivalence of the strategy to 

actual intrusive operation and the 

ability of the strategy to determine 

accurately if every monitoring condition 

was satisfied as necessary for the 

intrusive event to occur. 

• For the secondary air system 

monitor, the three criteria above are 

satisfied during normal operation of the 

secondary air system. Monitoring during 

intrusive operation of the secondary air 

system later in the same drive cycle 

solely for the purpose of monitoring 

may not, by itself, be sufficient to meet 

these criteria. 

The third bullet item above requires 

explanation. There may be monitors 

designed to use what could be termed 

a two stage or two step process. The first 

step is usually a passive and/or short 

evaluation that can be used to ‘‘pass’’ a 

properly working component where 

‘‘pass’’ refers to evaluating the 

component and determining that it is 

not malfunctioning. The second step is 

usually an intrusive and/or longer 

evaluation that is necessary to ‘‘fail’’ a 

malfunctioning component or ‘‘pass’’ a 

component nearing the point of failure. 

An example of such an approach might 

be an evaporative leak detection 

monitor that uses an intrusive vacuum 

pull-down/bleed-up evaluation during 

highway cruise conditions. If the 

evaporative system is sealed tight, the 

monitor ‘‘passes’’ and is done with 

testing for the given drive cycle. If the 

monitor senses a leak close to the 

required detection limit, the monitor 

does not ‘‘pass’’ and an internal flag is 

stored that will trigger the second stage 

of the test during the next cold start 

when a more accurate evaluation can be 

conducted. On the next cold start, 

provided the internal flag is set, an 

intrusive vacuum pull-down/bleed up 

monitor might be conducted during 

engine idle a very short time after the 

cold start. This second evaluation stage, 

being at idle and cold, gives a more 

accurate indication of the evaporative 

system’s integrity and provides for a 

more accurate decision regarding the 

presence and size of a leak. 

In this example, the second stage of 

this monitor would run less frequently 

in real use than the first stage since it 

is activated only on those occasions 

where the first stage suggests that a leak 

may be present (which most cars will 

not have). The rate-based tracking 

requirements are meant to give a 

measure of how often a monitor could 

detect a malfunction. To know the right 

answer, we need to know how often the 

first stage is running and could ‘‘fail’’, 

thus triggering the second stage, and 

then how often the second stage is 

completing. If we track only the first 

stage, we would get a false indication of 


mstockstill on PROD1PC66 with RULES2ER24FE09.007</MATH>
Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 8329 

49See 86.010–18(d)(3)(iii). 

50See 86.010–18(d)(4) for details on the 

denominator. 

how often the monitor could really 

detect a leak. But, if we track only the 

second stage, most cars would never 

increment the counter since most cars 

do not have leaks and would not trigger 

stage two. 

In considering this, we see two 

possible solutions: (1) Always activate 

the second stage evaluation in which 

case there would be an intrusive 

monitor being performed that does not 

really need to be performed; or, (2) 

implement a ‘‘ghost’’ monitor that 

pretends that the first stage evaluation 

triggers the second stage evaluation and 

then also looks for when the second 

stage evaluation could have completed 

had it been necessary. The third bullet 

item in the list above requires that, if a 

manufacturer intends to implement a 

two stage monitor and intends to 

implement such a ‘‘ghost’’ monitor as 

described here for rate based tracking, 

great care must be taken to ensure that 

it is being done correctly and properly. 

For monitors that can generate results 

in a ‘‘gray zone’’ or ‘‘non-detection 

zone’’ (i.e., results that indicate neither 

a passing system nor a malfunctioning 

system) or in a ‘‘non-decision zone’’ 

(e.g., monitors that increment and 

decrement counters until a pass or fail 

threshold is reached), the manufacturer 

is responsible for incrementing the 

numerator appropriately. In general, the 

numerator should not be incremented 

when the monitor indicates a result in 

the ‘‘non-detection zone’’ or prior to the 

monitor reaching a decision. When 

necessary, the manufacturer will be 

expected to have data and/or 

engineering analyses demonstrating the 

expected frequency of results in the 

‘‘non-detection zone’’ and the ability of 

the monitor to determine accurately, 

had an actual malfunction been present, 

whether or not the monitor would have 

detected a malfunction instead of a 

result in the ‘‘non-detection zone.’’ 49

For monitors that run or complete 

their evaluation with the engine off, the 

numerator must be incremented either 

within 10 seconds of the monitor 

completing its evaluation in the engine 

off state, or during the first 10 seconds 

of engine start on the subsequent drive 

cycle. 

Manufacturers using alternative 

statistical MIL illumination protocols 

for any of the monitors that require a 

numerator would be required to 

increment the numerator(s) 

appropriately. The manufacturer may be 

required to provide supporting data 

and/or engineering analyses 

demonstrating both the equivalence of 

their incrementing approach to the 

incrementing specified above for 

monitors using the standard MIL 

illumination protocol, and the overall 

equivalence of their incrementing 

approach in determining that the 

minimum acceptable in-use 

performance ratio has been satisfied. 

Regarding the denominator(s), defined 

as a measure of the number of times a 

vehicle has been operated, we are 

requiring that it also be incremented by 

an integer of one.50 The denominator(s) 

may not be incremented more than once 

per drive cycle. The general 

denominator and the denominators for 

each monitor would be incremented 

within 10 seconds if and only if the 

following criteria are satisfied on a 

single drive cycle during which ambient 

temperature remained at or above 20 

degrees Fahrenheit and altitude 

remained below 8,000 feet: 

• Cumulative time since the start of 

the drive cycle is greater than or equal 

to 600 seconds (10 minutes); 

• Cumulative gasoline engine 

operation at or above 25 miles per hour 

or diesel engine operation at or above 

1,150 RPM, either of which occurs for 

greater than or equal to 300 seconds (5 

minutes); and 

• Continuous engine operation at idle 

(e.g., accelerator pedal released by the 

driver, engine speed less than or equal 

to 200 rpm above normal warmed-up 

idle or vehicle speed less than or equal 

to one mile per hour) for greater than or 

equal to 30 seconds. 

In addition to the requirements above, 

the evaporative system monitor 

denominator(s) must be incremented if 

and only if: 

• Cumulative time since the start of 

the drive cycle is greater than or equal 

to 600 seconds (10 minutes) while at an 

ambient temperature of greater than or 

equal to 40 degrees Fahrenheit but less 

than or equal to 95 degrees Fahrenheit; 

and 

• Engine cold start occurs with 

engine coolant temperature at engine 

start greater than or equal to 40 degrees 

Fahrenheit but less than or equal to 95 

degrees Fahrenheit and less than or 

equal to 12 degrees Fahrenheit higher 

than ambient temperature at engine 

start. 

In addition to the requirements above, 

the denominator(s) for the following 

monitors must be incremented if and 

only if the component or strategy is 

commanded ‘‘on’’ for a time greater than 

or equal to 10 seconds: 

• Gasoline secondary air system; 

• Cold start emission reduction 

strategy; 

• Components or systems that operate 

only at engine start-up (e.g., glow plugs, 

intake air heaters) and are subject to 

monitoring under ‘‘other emission 

control systems’’ or comprehensive 

component output components. 

For purposes of determining this 

commanded ‘‘on’’ time, the OBD system 

may not include time during intrusive 

operation of any of the components or 

strategies later in the same drive cycle 

solely for the purposes of monitoring. 

In addition to the requirements above, 

the denominator(s) for the monitors of 

the following output components 

(except those operated only at engine 

start-up as outlined above) must be 

incremented if and only if the 

component is commanded to function 

(e.g., commanded ‘‘on’’, ‘‘open’’, 

‘‘closed’’, ‘‘locked’’) two or more times 

during the drive cycle or for a time 

greater than or equal to 10 seconds, 

whichever occurs first: 

• Variable valve timing and/or 

control system 

• ‘‘Other emission control systems’’ 

• Comprehensive component (output 

component only, e.g., turbocharger 

waste-gates, variable length manifold 

runners) 

For monitors of the following 

components, the manufacturer may use 

alternative or additional criteria to that 

set forth above for incrementing the 

denominator. To do so, the 

manufacturer would need to be able to 

demonstrate that the criteria would be 

equivalent to the criteria outlined above 

at measuring the frequency of monitor 

operation relative to the amount of 

engine operation: 

• Engine cooling system input 

components 

• ‘‘Other emission control systems’’ 

• Comprehensive component input 

components that require extended 

monitoring evaluation (e.g., stuck fuel 

level sensor rationality), and 

temperature sensor rationality monitors 

• DPF regeneration frequency 

For monitors of the following 

components or other emission controls 

that experience infrequent regeneration 

events, the manufacturer may use 

alternative or additional criteria to that 

set forth above for incrementing the 

denominator. To do so, the 

manufacturer would need to ensure that 

the criteria would be equivalent to the 

criteria outlined above at measuring the 

frequency of monitor operation relative 

to the amount of engine operation: 

• NMHC converting catalysts 

• Diesel particulate filters 

For hybrid engine systems, engines 

that employ alternative engine start 

hardware or strategies (e.g., integrated 

starter and generators), or alternative 

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8330 Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 

51See 86.010–18(d)(5). 

52These monitors, as presented in section II.A.3, 

are, for diesel engines: the NMHC catalyst, the 

CDPF system, the NOX adsorber system, the NOX

converting catalyst system, and the boost system; 

and, for gasoline engines: the catalyst, the 

evaporative system, and the secondary air system; 

and, for all engines, the exhaust gas sensors, the 

EGR system, and the VVT system. 

53See § 86.010–18(e)(1). 

54See § 86.010–18(e)(2). 

55See § 86.010–18(e)(3). 

56See § 86.010–18(e)(4). 

57See § 86.010–18(e)(5). 

58See § 86.010–18(k). 

fueled engines (e.g., dedicated, bi-fuel, 

or dual-fuel applications), the 

manufacturer may request 

Administrator approval to use 

alternative criteria to that set forth above 

for incrementing the denominator. In 

general, approval would not be given for 

alternative criteria that only employ 

engine shut off at or near idle/vehicle 

stationary conditions. Approval of the 

alternative criteria would be based on 

the equivalence of the alternative 

criteria at determining the amount of 

engine operation relative to the measure 

of conventional engine operation in 

accordance with the criteria above. 

The numerators and denominators 

may need to be disabled at some 

times.51 To do this, within 10 seconds 

of a malfunction being detected (i.e., a 

pending, MIL-on, or active DTC being 

stored) that disables a monitor required 

to meet the performance tracking 

requirements,52 the OBD system must 

disable further incrementing of the 

corresponding numerator and 

denominator for each monitor that is 

disabled. When the malfunction is no 

longer detected (e.g., the pending DTC 

is erased through self-clearing or 

through a scan tool command), 

incrementing of all corresponding 

numerators and denominators should 

resume within 10 seconds. Also, within 

10 seconds of the start of a power 

takeoff unit (PTO) that disables a 

monitor required to meet the 

performance tracking requirements, the 

OBD system should disable further 

incrementing of the corresponding 

numerator and denominator for each 

monitor that is disabled. When the PTO 

operation ends, incrementing of all 

corresponding numerators and 

denominators should resume within 10 

seconds. The OBD system must disable 

further incrementing of all numerators 

and denominators within 10 seconds if 

a malfunction has been detected in any 

component used to determine if: 

Vehicle speed/calculated load; ambient 

temperature; elevation; idle operation; 

engine cold start; or, time of operation 

has been satisfied, and the 

corresponding pending DTC has been 

stored. Incrementing of all numerators 

and denominators should resume 

within 10 seconds when the 

malfunction is no longer present (e.g., 

pending DTC erased through selfclearing or by a scan tool command). 

The in-use performance monitoring 

ratio itself is defined as the numerator 

for the given monitor divided by the 

denominator for that monitor. 

b. Standardized Tracking and Reporting 

of Monitor Performance 

Consistent with our proposal, we are 

requiring that the OBD system 

separately report an in-use monitor 

performance numerator and 

denominator for each of the following 

components: 53

• For diesel engines: NMHC catalyst 

bank 1, NMHC catalyst bank 2, NOX

catalyst bank 1, NOX catalyst bank 2, 

exhaust gas sensor bank 1, exhaust gas 

sensor bank 2, EGR/VVT system, DPF 

system, turbo boost control system, and 

the NOX adsorber. The OBD system 

must also report a general denominator 

and an ignition cycle counter in the 

standardized format discussed below 

and in section II.F.5. 

• For gasoline engines: catalyst bank 

1, catalyst bank 2, oxygen sensor bank 

1, oxygen sensor bank 2, evaporative 

leak detection system, EGR/VVT system, 

and secondary air system. The OBD 

system must also report a general 

denominator and an ignition cycle 

counter in the standardized format 

specified below and in section II.F.5. 

The OBD system will be required to 

report a separate numerator for each of 

the components listed in the above 

bullet lists. For specific components or 

systems that have multiple monitors 

that are required to be reported—e.g., 

exhaust gas sensor bank 1 may have 

multiple monitors for sensor response or 

other sensor characteristics—the OBD 

system should separately track 

numerators and denominators for each 

of the specific monitors and report only 

the corresponding numerator and 

denominator for the specific monitor 

that has the lowest numerical ratio. If 

two or more specific monitors have 

identical ratios, the corresponding 

numerator and denominator for the 

specific monitor that has the highest 

denominator should be reported for the 

specific component. The numerator(s) 

must be reported as discussed in section 

II.F.5.54

The OBD system will also be required 

to report a separate denominator for 

each of the components listed in the 

above bullet lists. The denominator(s) 

must be reported as discussed in section 

II.F.5.55

Similarly, for the in-use performance 

ratio, determining which corresponding 

numerator and denominator to report as 

required for specific components or 

systems that have multiple monitors 

that are required to be reported—e.g., 

exhaust gas sensor bank 1 may have 

multiple monitors for sensor response or 

other sensor characteristics—the ratio 

should be calculated as discussed in 

section II.F.5.56

The ignition cycle counter is defined 

as a counter that indicates the number 

of ignition cycles a vehicle has 

experienced. The ignition cycle counter 

must also be reported as discussed in 

section II.F.5.57 The ignition cycle 

counter, when incremented, should be 

incremented by an integer of one. The 

ignition cycle counter may not be 

incremented more than once per 

ignition cycle. The ignition cycle 

counter should be incremented within 

10 seconds if and only if the engine 

exceeds an engine speed of 50 to 150 

rpm below the normal, warmed-up idle 

speed (as determined in the drive 

position for vehicles equipped with an 

automatic transmission) for at least two 

seconds plus or minus one second. The 

OBD system should disable further 

incrementing of the ignition cycle 

counter within 10 seconds if a 

malfunction has been detected in any 

component used to determine if engine 

speed or time of operation has been 

satisfied and the corresponding pending 

DTC has been stored. The ignition cycle 

counter may not be disabled from 

incrementing for any other condition. 

Incrementing of the ignition cycle 

counter should resume within 10 

seconds after the malfunction is no 

longer present (e.g., pending DTC erased 

through self-clearing or by a scan tool 

command). 

F. Standardization Requirements 

Consistent with our proposal, the 

final regulation includes requirements 

for manufacturers to standardize certain 

features of the OBD system.58 Effective 

standardization assists all repair 

technicians in diagnosing and repairing 

malfunctions by providing equal access 

to essential repair information, and 

requires structuring the information in a 

common format from manufacturer to 

manufacturer. Additionally, the 

standardization will help to facilitate 

the potential use of OBD checks in 

heavy-duty inspection and maintenance 

programs. 

The features that will be standardized 

include: 

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Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 8331 

59See proposed §§ 86.010–18(k)(2) and 86.013– 

18(k)(2) and compare to final § 86.010–18(k)(2). 

60See § 86.010–18(k)(3). 

61 Global Technical Regulation Number 5: 

Technical Requirements for On-board Diagnostic 

Systems for Road Vehicles; ECE/TRANS/180/ 

Add.5; 23 January 2007, see http://www.unece.org/ 

trans/main/wp29/wp29wgs/wp29gen/wp29glob_

registry.html. 

62See proposed § 86.010–18(b)(3)(iii) and 

compare to the final § 86.010–18(b)(3)(iii). 

• The diagnostic connector, the 

computer communication protocol 

(beginning in model year 2013 as we 

proposed); 

• The hardware and software 

specifications for tools used by service 

technicians; 

• The information communicated by 

the onboard computer and the methods 

for accessing that information; 

• The numeric designation of the 

DTCs stored when a malfunction is 

detected; and 

• The terminology used by 

manufacturers in their service manuals. 

Also consistent with our proposal, 

only a certain minimum set of 

emissions-related information must be 

made available through the 

standardized format, protocol, and 

connector. We are not limiting engine 

manufacturers as to what protocol they 

use for engine control, communication 

between onboard computers, or 

communication to manufacturerspecific scan tools or test equipment. 

Further, we are not prohibiting engine 

manufacturers from equipping the 

vehicle with additional diagnostic 

connectors or protocols as required by 

other suppliers or purchasers. For 

example, fleets that use data logging or 

other equipment that requires the use of 

SAE J1587 communication and 

connectors could still be installed and 

supported by the engine and vehicle 

manufacturers. The OBD rules only 

require that engine manufacturers also 

equip their vehicles with a specific 

connector and communication protocol 

that meet the standardized requirements 

to communicate a minimum set of 

emissions-related diagnostic, service 

and, potentially, inspection information. 

1. Reference Documents 

We are requiring that OBD systems 

comply with the provisions laid out in 

certain Society of Automotive Engineers 

(SAE) and/or International Organization 

of Standards (ISO) documents that are 

incorporated by reference (IBR) into 

federal regulation. Details regarding 

these SAE and ISO documents can be 

found in § 86.1(b) and in § 86.010–18(k). 

Notably, we are requiring that OBD 

systems on engines placed in over 

14,000 pound vehicles use either the 

SAE J1939 or the ISO 15765–4:2005(E) 

communication protocols. Note that 

some manufacturers have expressed 

interest in the ISO 27145 standard. As 

of this writing, that standard is not 

available. Should it become available in 

time for model year 2013 and later 

implementation, we will consider 

allowing that standard and may issue a 

technical amendment, direct final rule, 

or proposed rule to address it. 

2. Diagnostic Connector Requirements 

We have made no substantive changes 

relative to our proposal with respect to 

the diagnostic data link connector. The 

one change we have made is simply to 

allow the Administrator to approve 

alternative locations for the connector. 

We have made this change to 

accommodate certain applications such 

as buses in which the required location 

would not work well. Note that the 

requirements for model years 2013 and 

later now appear in § 86.010–18 rather 

than § 86.013–18 as in our proposal.59

3. Communications to a Scan Tool 

In light-duty OBD, manufacturers are 

allowed to use one of four protocols for 

communication between a generic scan 

tool and the vehicle’s onboard 

computer. A generic scan tool 

automatically cycles through each of the 

allowable protocols until it hits upon 

the proper one with which to establish 

communication with the particular 

onboard computer. While this has 

generally worked successfully in the 

field, some communication problems 

have arisen. 

In an effort to address these problems, 

CARB has made recent changes to their 

light-duty OBDII regulation that require 

all light-duty vehicle manufacturers to 

use only one communication protocol 

by the 2008 model year. In making these 

changes, CARB staff argued that their 

experience with standardization under 

the OBD II regulation showed that 

having a single set of standards used by 

all vehicles would be desirable. CARB 

staff argued that a single protocol offers 

a tremendous benefit to both scan tool 

designers and service technicians. Scan 

tool designers could focus on added 

feature content and could expend much 

less time and money validating basic 

functionality of their product on all the 

various permutations of protocol 

interpretations that are implemented. In 

turn, technicians would likely get a scan 

tool that works properly on all vehicles 

without the need for repeated software 

updates that incorporate ‘‘workarounds’’ or other patches to fix bugs or 

adapt the tool to accommodate slight 

variances in how the multiple protocols 

interact with each other or are 

implemented by various manufacturers. 

Further, a single protocol should also be 

beneficial to fleet operators that use 

add-on equipment such as data loggers, 

and for vehicle manufacturers that 

integrate parts from various engine and 

component suppliers all of which must 

work together. 

Based on our similar experiences at 

the federal level with communication 

protocols giving rise to service and 

inspection/maintenance program issues, 

we initially wanted to propose a single 

communication protocol for engines 

used in over 14,000 pound vehicles. 

However, the affected industry has been 

divided over which single protocol 

should be required and has strongly 

argued for more than one protocol to be 

allowed. Therefore, for vehicles with 

diesel engines, we proposed and are 

allowing manufacturers use either the 

standards set forth in SAE J1939, or 

those set forth in the 500 kbps baud rate 

version of ISO 15765. For vehicles with 

gasoline engines, we are requiring that 

manufacturers use the 500 kbps baud 

rate version of ISO 15765.60

Manufacturers would be required to use 

only one standard to meet all the 

standardization requirements on a 

single vehicle; that is, a vehicle must 

use only one protocol for all OBD 

modules on the vehicle. 

As noted above, some manufacturers 

have expressed interest in the ISO 

27145 standard. That standard is being 

developed as part of the Worldwide 

Harmonized Heavy-duty OBD global 

technical regulation (WWH–OBD).61 As 

of this writing, that ISO standard is not 

available. Should it become available in 

time for model year 2013 and later 

implementation, we will consider 

allowing that standard and may issue a 

technical amendment, direct final rule, 

or proposed rule to address it. 

4. Required Emissions Related 

Functions 

We have made only a few changes in 

the final rule relative to our proposal. 

We believe that all of these changes are 

minor and serve to ease the burden on 

manufacturers without sacrificing our 

OBD program. The first change is that 

made to the permanent DTC erasure 

provisions.62 The final provisions 

provide more clarity and flexibility to 

manufacturers in cases where stored 

DTC information has been erased via 

scan tool or battery disconnect. These 

changes are consistent with changes 

made to CARB’s OBDII regulation in 

2007 and changes we believe CARB will 

make when revising their HDOBD 

regulation (expected in 2009). 

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63See proposed § 86.010–18(k)(6)(i)(B) and 

compare to final § 86.010–18(k)(6)(i)(B). 

64See proposed § 86.010–18(k)(4)(vi) and 

(k)(4)(vii)(A) and compare to final § 86.010– 

18(k)(4)(vi) and (k)(4)(vii)(A). 

65See final §§ 86.010–18(k)(5) and 86.010– 

18(k)(6). 

We have also made a slight change to 

the definition of idle where we require 

that the OBD system track engine runtime and track the amount of time 

operating in idle mode. The provision 

removes the phrase ‘‘vehicle speed less 

than 1 mph’’ and replaces it with 

‘‘engine speed less than or equal to 200 

rpm above normal warmed-up idle or 

vehicle speed less than 1 mph.’’ We 

have made this change to be consistent 

with industry request, and because we 

believe it does not sacrifice our intent in 

any way.63

We have also made minor changes to 

the CAL ID and CVN requirements.64

These changes allow for multiple CAL 

IDs per diagnostic or emission critical 

control unit. Our proposal allowed for 

only one. We would prefer that there be 

only one for the sake of minimizing 

confusion. Manufacturers would be 

required to get Administrator approval 

to use multiple CAL IDs and would also 

be required to communicate these to the 

scan tool in order of priority which 

should minimize if not eliminate 

possible confusion. We have made a 

corresponding change to the CVN 

requirements for systems using the 

multiple CAL ID provision. 

5. In-Use Performance Ratio Tracking 

Requirements 

To separately report an in-use 

performance ratio for each applicable 

monitor as discussed in sections II.B 

through II.D, we proposed that 

manufacturers be required to implement 

software algorithms to report a 

numerator and denominator in a 

standardized format. We have made no 

changes to those requirements in the 

final rule, with the exception of the 

minor change to the definition of idle 

from ‘‘vehicle speed less than one mile 

per hour’’ to ‘‘engine speed less than or 

equal to 200 rpm above normal warmedup idle and vehicle speed less than or 

equal to one mile per hour.’’ 65

6. Exceptions to Standardization 

Requirements 

For alternative-fueled engines derived 

from a diesel-cycle engine, we are 

allowing the standardized requirements 

discussed in this section that are 

applicable to diesel engines rather than 

meeting the requirements applicable to 

gasoline engines. 

G. Implementation Schedule, In-Use 

Liability, and In-Use Enforcement 

1. Implementation Schedule and In-Use 

Liability Provisions 

Table II.G–1 summarizes the 

implementation schedule for the OBD 

monitoring requirements, the 

certification requirements, and the inuse liabilities. This implementation 

schedule is identical to the proposed 

schedule. More detail regarding the 

implementation schedule and liabilities 

can be found in the sections that follow. 

TABLE II.G–1—OBD CERTIFICATION REQUIREMENTS AND IN-USE LIABILITY FOR DIESEL FUELED AND GASOLINE FUELED

ENGINES OVER 14,000 POUNDS

Model year Applicability Certification requirement In-use liability 

2010–2012 ......... Parent rating within 1 compliant engine 

family.a

Full liability to thresholds according to 

certification demonstration procedures.b

Full liability to 2x thresholds.c

Child ratings within the compliant engine family.Certification documentation only (i.e., no 

certification demonstration); no liability to thresholds.

Liability to monitor and detect as noted 

in certification documentation. 

All other engine families and ratings ..... None ....................................................... None. 

2013–2015 ......... Parent rating from 2010–2012 and parent rating within 1–2 additional engine 

families.

Full liability to thresholds according to 

certification demonstration procedures.

Full liability to 2x thresholds. 

Child ratings from 2010–2012 and parent ratings from any remaining engine 

families or OBD groups.d

Full liability to thresholds but certification documentation only.Full liability to 2x thresholds. 

Additional engine ratings ....................... Certification documentation only; no liability to thresholds.Liability to monitor and detect as noted 

in certification documentation. 

2016–2018 ......... One rating from 1–3 engine families 

and/or OBD groups.

Full liability to thresholds according to 

certification demonstration procedures.

Full liability to thresholds. 

Remaining ratings .................................. Full liability to thresholds but certification documentation only.Full liability to 2x thresholds. 

2019+ ................. One rating from 1–3 engine families 

and/or OBD groups.

Full liability to thresholds according to 

certification demonstration procedures.

Full liability to thresholds. 

Remaining ratings .................................. Full liability to thresholds but certification documentation only.Full liability to thresholds. 

Notes: (a) Parent and child ratings are defined in section II.G; which rating(s) serves as the parent rating and which engine families must comply is not left to the manufacturer, as discussed in section II.G. (b) The certification demonstration procedures and the certification documentation 

requirements are discussed in section VII. (c) Where in-use liability to thresholds and 2x thresholds is noted, manufacturer liability to monitor and 

detect as noted in their certification documentation is implied. (d) OBD groups are groupings of engine families that use similar OBD strategies 

and/or similar emissions control systems, as described in the text. 

As we proposed, for the 2010 through 

2012 model years, manufacturers are 

required to implement OBD on one 

engine family. All other 2010 through 

2012 engine families are not subject to 

any OBD requirements unless otherwise 

required to do so (e.g., to demonstrate 

that SCR equipped vehicles will not be 

operated without urea). For 2013, 

manufacturers are required to 

implement OBD on all engine families. 

We are setting this implementation 

schedule for several reasons. First, 

industry has made credible arguments 

that their resources are stretched to the 

limit developing and testing strategies 

for compliance with the 2007/2010 

heavy-duty highway emissions 

standards. We do not want to jeopardize 

their success toward that goal by being 

too aggressive with our OBD program. 

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66See § 86.010–18(o)(1)(i) and (o)(2)(ii)(B) to see 

this new provision. 

Second, OBD is a complex and difficult 

regulation with which to comply. We 

believe that our implementation 

schedule would give industry the 

opportunity to introduce OBD systems 

on a limited number of engines giving 

them and us very valuable learning 

experience. Should mistakes or errors in 

regulatory interpretation occur, the 

ramifications would be limited to only 

a subset of the new vehicle fleet rather 

than the entire new vehicle fleet. Lastly, 

the OBD requirements and the 

production vehicle evaluation 

provisions (discussed in Section VII), 

reflect 10 to 20 years of learning by EPA, 

CARB, and industry (primarily the lightduty gasoline industry) as to what works 

and what does not work. This is, 

perhaps, especially true for those OBD 

elements that involve the interface 

between the OBD system and service 

and I/M inspection personnel. Gasoline 

manufacturers have had the ability to 

evolve their OBD systems along with 

this learning process. However, diesel 

engine manufacturers have not really 

been involved in this learning process 

and, as a result, 100 percent 

implementation in 2010 would be 

analogous to implementing 10 to 20 

years of OBD learning in one 

implementation step. We believe that 

implementing slowly rather than one 

big step will benefit everyone involved. 

Table II.G–1 makes reference to 

‘‘parent’’ and ‘‘child’’ ratings. In general, 

engine manufacturers certify an engine 

family that consists of several ratings 

having slightly different horsepower 

and/or torque characteristics but no 

differences large enough to require a 

different engine family designation. For 

emissions certification, the parent 

rating—i.e., the rating for which 

emissions data are submitted to EPA for 

the purpose of demonstrating emissions 

compliance—is defined as the ‘‘worst 

case’’ rating. This worst case rating is 

the rating considered as having the 

worst emissions performance and, 

therefore, its compliance demonstrates 

that all other ratings within the family 

must comply. For OBD purposes, we 

want to limit the burden on industry— 

hence the requirement for only one 

compliant engine family in 2010—yet 

maximize the impact of the OBD 

system. Therefore, for model years 2010 

through 2012, we are defining the OBD 

parent rating as the rating having the 

highest weighted projected sales within 

the engine family having the highest 

weighted projected sales, with sales 

being weighted by the useful life of the 

engine rating. We have added a new 

provision that allows the Administrator 

to approve an alternative rating as the 

parent rating than that described by this 

text and this represents a slight 

departure from the proposal.66 Table 

II.G–2 presents a hypothetical example 

for how this would work absent 

Administrator approval to do otherwise. 

Using this approach, the OBD compliant 

engine family in 2010 would be the 

engine family projected to produce the 

most in-use emissions (based on sales 

weighted by expected miles driven). 

Likewise, the fully liable parent OBD 

rating would be the rating within that 

family projected to produce the most inuse emissions. 

TABLE II.G–2—HYPOTHETICAL EXAMPLE OF HOW THE OBD PARENT AND CHILD RATINGS WOULD BE DETERMINED

OBD group Engine family Rating Projected 

sales 

Certified useful 

life 

OBD 

weighting— 

engine rating a

(billions) 

OBD 

weighting— 

engine family b

(billions) 

I .............................................................. A 1 10,000 285,000 2 .85 14.25 

2 40,000 285,000 11 .4 ........................

B 1 10,000 435,000 4 .35 21.60 

2 20,000 435,000 8 .70 ........................

3 30,000 285,000 8 .55 ........................

II ............................................................. C 1 20,000 110,000 2 .20 7.70 

2 50,000 110,000 5 .50 ........................

Notes: (a) For engine family A, rating 1, 10,000 × 285,000/1 billion = 2.85. (b) For engine family A, 2.85 + 11.4 = 14.25. 

In the example shown in Table II.G– 

2, the compliant engine family in 2010 

would be engine family B and the 

parent OBD rating within that family 

would be rating 2. The other OBD 

compliant ratings within engine family 

B would be dubbed the ‘‘child’’ ratings. 

For model years 2013 through 2015, the 

parent ratings would be those ratings 

having the highest weighted projected 

sales within each of the one to three 

engine families having the highest 

weighted projected sales, with sales 

being weighted by the useful life of the 

engine rating. In the example shown in 

Table II.G–2, the parent ratings would 

be rating 2 of engine family A, rating 2 

of engine family B, and rating 2 of 

engine family C (Note that this is only 

for illustration purposes since the 

regulations would not require that a 

manufacturer with only three engine 

families have three parent ratings and 

instead would require only one). 

The manufacturer does not need to 

submit test data demonstrating 

compliance with the emissions 

thresholds for the child ratings. We 

would fully expect these child ratings to 

use OBD calibrations—i.e., malfunction 

trigger points—that are identical or 

nearly so to those used on the parent 

rating. However, we would allow 

manufacturers to revise the calibrations 

on their child ratings where necessary 

so as to avoid unnecessary or 

inappropriate MIL illumination. Such 

revisions to OBD calibrations have been 

termed ‘‘extrapolated’’ OBD calibrations 

and/or systems. The revisions to the 

calibrations on child ratings and the 

rationale for them will need to be very 

clearly described in the certification 

documentation. 

For the 2013 and later model years, 

we are requiring that manufacturers 

certify one to three parent ratings. The 

actual number of parent ratings would 

depend upon the manufacturer’s fleet 

and would be based on both the 

emissions control system architectures 

present in their fleet and the 

similarities/differences of the engine 

families in their fleet. For example, a 

manufacturer that uses a DPF with NOX

adsorber on each of the engines would 

have only one system architecture. 

Another manufacturer that uses a DPF 

with NOX adsorber on some engines and 

a DPF with SCR on others would have 

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at least two architectures. We expect 

that manufacturers will group similar 

architectures and similar engine 

families into so called ‘‘OBD groups.’’ 

These OBD groups would consist of a 

combination of engines, engine families, 

or engine ratings that use the same OBD 

strategies and similar calibrations. The 

manufacturer will be required to submit 

details regarding their OBD groups as 

part of their certification documentation 

that shows the engine families and 

engine ratings within each OBD group 

for the coming model year. While a 

manufacturer may end up with more 

than three OBD groups, we do not 

intend to require a parent rating for 

more than three OBD groups. Therefore, 

in the example shown in Table II.G–2, 

rather than submitting test data for the 

three parent ratings as suggested above, 

the OBD grouping would result in the 

parent ratings being rating 2 of engine 

family B and rating 2 of engine family 

C. These parents would represent OBD 

groups I and II, and the manufacturer’s 

product line. For 2013 through 2015, we 

will allow the 2010 parent to again act 

as a parent rating and, provided no 

significant changes had been made to 

the engine or its emissions control 

system, complete carryover would be 

possible. However, for model years 2016 

and beyond, we would work closely 

with CARB staff and the manufacturer 

to determine the parent ratings so that 

the same ratings are not acting as the 

parents every year. In other words, our 

definitions for the OBD parent ratings as 

discussed here apply only during the 

years 2010 through 2012 and again for 

the years 2013 through 2015. 

Also consistent with our proposal are 

the relaxations for in-use liability during 

the 2010 through 2018 model years. The 

first such relaxation is higher interim inuse compliance standards for those OBD 

monitors calibrated to specific 

emissions thresholds. For the 2010 

through 2015 model years, an OBD 

monitor on an in-use engine will not be 

considered non-compliant (i.e., subject 

to enforcement action) unless emissions 

exceed twice the OBD threshold without 

detection of a malfunction. For example, 

for an EGR monitor on an engine with 

a NOX FEL of 0.2 g/bhp–hr and an OBD 

threshold of 0.5 g/bhp–hr (i.e., the NOX

FEL+0.3), a manufacturer would not be 

subject to enforcement action unless 

emissions exceed 1.0 g/bhp–hr NOX

without a malfunction being detected. 

For the model years 2016 through 2018, 

parent ratings will be liable to the 

certification emissions thresholds, but 

child ratings and other ratings would be 

liable to twice the certification 

thresholds. Beginning in the 2019 model 

year, all families and all ratings would 

be liable to the certification thresholds. 

The second in-use relaxation is a 

limitation in the number of engines that 

will be liable for in-use compliance with 

the OBD emissions thresholds. 

Consistent with our proposal, for 2010 

through 2012, we are requiring that 

manufacturers be fully liable in-use to 

twice the thresholds for only the OBD 

parent rating. The child ratings within 

the compliant engine family would have 

liability for monitoring in the manner 

described in the certification 

documentation, but would not have 

liability for detecting a malfunction at 

the specified emissions thresholds. For 

example, a child rating’s DPF monitor 

designed to operate under conditions X, 

Y, and Z and calibrated to detect a 

backpressure within the range A to B 

would be expected to do exactly that 

during in-use operation. However, if the 

tailpipe emissions of the child engine 

were to exceed the applicable OBD inuse thresholds (i.e., 2x the certification 

thresholds during 2010–2015), despite 

having a backpressure within range A to 

B under conditions X, Y, and Z, there 

would be no in-use OBD failure nor 

cause for enforcement action. In fact, we 

would expect the OBD monitor to 

determine that the DPF was functioning 

properly since its backpressure was in 

the acceptable range. For model years 

2013 through 2015, this same in-use 

relaxation will apply to those engine 

families that do not lie within an engine 

family for which a parent rating has 

been certified. For 2016 and later model 

years, all engines will have some in-use 

liability to thresholds, either the 

certification thresholds or twice those 

thresholds. 

These in-use relaxations are meant to 

provide ample time for manufacturers to 

gain experience without an excessive 

level of risk for mistakes. They also 

allow manufacturers to fine-tune their 

calibration techniques over a six to ten 

year period. 

We are also requiring a specific 

implementation schedule for the 

standardization requirements discussed 

in section II.F. We initially intended to 

require that any compliant OBD engine 

family would be required to implement 

all of the standardization requirements. 

However, we became concerned that, 

during model years 2010 through 2012, 

we could have a situation where OBD 

compliant engines from manufacturer A 

might be competing against non-OBD 

engines from manufacturer B for sales in 

the same truck. In such a case, the truck 

builder would be placed in a difficult 

position of needing to design their truck 

to accommodate OBD compliant 

engines—along with a standardized 

MIL, a specific diagnostic connector 

location specification, etc.—and nonOBD engines. After consideration of this 

almost certain outcome, we decided to 

limit the standardization requirements 

that must be met during the 2010 

through 2012 model years. Beginning in 

2013, all engines will be OBD compliant 

and this would become a moot issue. 

Table II.G–3 shows the implementation 

schedule for standardization 

requirements. 

TABLE II.G–3—OBD STANDARDIZATION REQUIREMENTS FOR DIESEL FUELED AND GASOLINE FUELED ENGINES OVER

14,000 POUNDS

Model year Applicability Required standardization 

features 

Waived standardization 

features 

2010–2012 ......... Parent and Child ratings within 1 compliant engine family a.Emissions related functions (II.F.4) except for the requirement to make the 

data available in a standardized format or in accordance with SAE 

J1979/1939 specifications. MIL activation and deactivation.b Performance tracking—calculation of numerators, denominators, ratios.

Standardized connector (II.F.2). Dedicated (i.e., regulated OBD-only) MIL. 

Communication protocols (II.F.3). 

Emissions related functions (II.F.4) 

with respect to the requirement to 

make the data available in a standardized format or in accordance with 

SAE J1979/1939 specifications. 

Other engine families ............................. None ....................................................... All. 

2013+ ................. All engine families and ratings ............... All ........................................................... None. 

Notes: aParent and child ratings are defined in section II.G; which rating serves as the parent rating and which engine families must comply is 

not left to the manufacturer, as discussed in section II.G. bThere would be no requirement for a dedicated MIL and no requirement to use a specific MIL symbol, only that a MIL be used and that it use the specified activation/deactivation logic. 

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67See, for example, § 86.010–18(p)(1)(iv). 

2. In-Use Enforcement 

When conducting our in-use 

enforcement investigations into OBD 

systems, we intend to use all tools we 

have available to analyze the 

effectiveness and compliance of the 

system. These tools may include onvehicle emission testing systems such as 

the portable emissions measurement 

systems (PEMS). We may also use scan 

tools and data loggers to analyze the 

data stream information to compare real 

world operation to the documentation 

provided at certification. 

Importantly, we do not intend to 

pursue enforcement action against a 

manufacturer for not detecting a failure 

mode that could not have been 

reasonably predicted or otherwise 

detected using monitoring methods 

known at the time of certification. For 

example, we are imposing a challenging 

set of requirements for monitoring of 

DPF systems. As of today, engine 

manufacturers are reasonably confident 

in their ability to detect certain DPF 

failure modes at or near the final 

thresholds—e.g., a leaking DPF resulting 

from a cracked substrate—but are not 

confident in their ability to detect some 

other DPF failure modes—e.g., a leaking 

DPF resulting from a partially melted 

substrate. If a partially melted substrate 

indeed cannot be detected and this is 

known during the certification process, 

we cannot expect such a failure to be 

detected on an in-use vehicle.67 This 

provision is consistent with our 

proposal. 

We also want to make it clear who 

would be the responsible party should 

we pursue any in-use enforcement 

action with respect to OBD. We are very 

familiar with the heavy-duty industry 

and its tendency toward separate engine 

and component suppliers. This 

contrasts with the light-duty industry 

which tends toward a more vertically 

integrated structure. The non-vertically 

integrated nature of the heavy-duty 

industry can present unique difficulties 

for OBD implementation and for OBD 

enforcement. With the complexity of 

OBD systems, especially those meeting 

today’s requirements, we expect the 

interactions between the various parties 

involved—engine manufacturer, 

transmission manufacturer, vehicle 

manufacturer, etc.—to be further 

complicated. Nonetheless, in the end 

the vast majority of the OBD 

requirements apply directly to the 

engine and its associated emission 

controls, and the engine manufacturer 

will have complete responsibility to 

ensure that the OBD system performs 

properly in-use. Given the central role 

the engine and engine control unit plays 

in the OBD system, we are requiring that 

the party certifying the engine and OBD 

system (typically, the engine 

manufacturer) be the responsible party 

for in-use compliance and enforcement 

actions. In this role, the certifying party 

will be our sole point of contact for 

potential noncompliances identified 

during in-use or enforcement testing. 

We will leave it to the engine 

manufacturer to determine the ultimate 

party responsible for the potential 

noncompliance (e.g., the engine 

manufacturer, the vehicle manufacturer, 

or some other supplier). In cases where 

remedial action such as an engine recall 

would be required, the certifying party 

would take on the responsibility of 

arranging to bring the engines or OBD 

systems back into compliance. Given 

that heavy-duty engines are already 

subject to various emission 

requirements including engine emission 

standards, labels, and certification, 

engine manufacturers currently impose 

restrictions via signed agreements with 

engine purchasers to ensure that their 

engines do not deviate from their 

certified configuration when installed. 

We expect the OBD system’s installation 

to be part of such agreements in the 

future. 

H. Changes to the Existing 8,500 to 

14,000 Pound Diesel OBD Requirements 

We are also making final certain 

changes to our OBD requirements for 

diesel engines used in heavy-duty 

vehicles under 14,000 pounds (see 40 

CFR 86.007–17 for engine-based 

requirements and 40 CFR 86.1806–05 

for vehicle or chassis-based 

requirements). Table II.H–1 summarizes 

the changes to under 14,000 pound 

heavy-duty diesel vehicle emissions 

thresholds at which point a component 

or system has failed to the point of 

requiring an illuminated MIL and a 

stored DTC. Table II.H–2 summarizes 

the changes for diesel engines used in 

heavy-duty applications under 14,000 

pounds. The changes are meant to 

maintain consistency with the diesel 

OBD requirements for over 14,000 

pound applications. 

TABLE II.H–1—NEW AND/OR CHANGES TO EXISTING, EMISSIONS THRESHOLDS FOR DIESEL FUELED CI HEAVY-DUTY

VEHICLES UNDER 14,000 POUNDS (G/MI) 

Component/monitor MY NMHC CO NOX PM 

NMHC catalyst system ............................................................................ 2010–2012 2.5x .................... .................... ....................

2013+ 2x .................... .................... ....................

NOX catalyst system ................................................................................ 2007–2009 .................... .................... 4x ....................

2010–2012 .................... .................... +0.6 ....................

2013+ .................... .................... +0.3 ....................

DPF system ............................................................................................. 2010–2012 .................... .................... .................... 4x 

2013+ .................... .................... .................... +0.04 

Air-fuel ratio sensors upstream ................................................................ 2007–2009 2.5x 2.5x 3x 4x 

2010–2012 2.5x 2.5x +0.3 +0.02 

2013+ 2x 2x +0.3 +0.02 

Air-fuel ratio sensors downstream ........................................................... 2007–2009 2.5x .................... 3x 4x 

2010–2012 2.5x .................... +0.3 4x 

2013+ 2x .................... +0.3 +0.04 

NOX sensors ............................................................................................ 2007–2009 .................... .................... 4x 5x 

2010–2012 .................... .................... +0.6 4x 

2013+ .................... .................... +0.3 +0.04 

‘‘Other monitors’’ with emissions thresholds ........................................... 2007–2009 2.5x 2.5x 3x 4x 

2010–2012 2.5x 2.5x +0.3 4x 

2013+ 2x 2x +0.3 +0.02 

Notes: MY=Model Year; 2.5x means a multiple of 2.5 times the applicable emissions standard; +0.3 means the standard plus 0.3; not all monitors have emissions thresholds but instead rely on functionality and rationality checks as described in section II.D.4. 

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TABLE II.H–2—NEW AND/OR CHANGES TO EXISTING, EMISSIONS THRESHOLDS FOR DIESEL FUELED CI ENGINES USED IN

HEAVY-DUTY VEHICLES UNDER 14,000 POUNDS (G/BHP-HR) 

Component/monitor MY Std/FEL NMHC CO NOX PM 

NMHC catalyst system .................................................... 2010–2012 All 2.5x .................... .................... ....................

2013+ All 2x .................... .................... ....................

NOX catalyst system ........................................................ 2007–2009 >0.5 NOX .................... .................... 1.75x ....................

2007–2009 <=0.5 NOX .................... .................... +0.6 ....................

2010–2012 All .................... .................... +0.6 ....................

2013+ All .................... .................... +0.3 ....................

DPF system ..................................................................... 2010–2012 All .................... .................... .................... 0.05/+0.04 

2013+ All .................... .................... .................... 0.05/+0.04 

Air-fuel ratio sensors upstream ........................................ 2007–2009 >0.5 NOX 2.5x 2.5x 1.75x 0.05/+0.04 

2007–2009 <=0.5 NOX 2.5x 2.5x +0.5 0.05/+0.04 

2010–2012 All 2.5x 2.5x +0.3 0.03/+0.02 

2013+ All 2x 2x +0.3 0.03/+0.02 

Air-fuel ratio sensors downstream ................................... 2007–2009 >0.5 NOX 2.5x .................... 1.75x 0.05/+0.04 

2007–2009 <=0.5 NOX 2.5x .................... +0.5 0.05/+0.04 

2010–2012 All 2.5x .................... +0.3 0.05/+0.04 

2013+ All 2x .................... +0.3 0.05/+0.04 

NOX sensors .................................................................... 2007–2009 >0.5 NOX .................... .................... 1.75x 0.05/+0.04 

2007–2009 <=0.5 NOX .................... .................... +0.6 0.05/+0.04 

2010–2012 All .................... .................... +0.6 0.05/+0.04 

2013+ All .................... .................... +0.3 0.05/+0.04 

‘‘Other monitors’’ with emissions thresholds ................... 2007–2009 >0.5 NOX 2.5x 2.5x 1.75x 0.05/+0.04 

2007–2009 <=0.5 NOX 2.5x 2.5x +0.5 0.05/+0.04 

2010–2012 All 2.5x 2.5x +0.3 0.03/+0.02 

2013+ All 2x 2x +0.3 0.03/+0.02 

Notes: MY=Model Year; 2.5x means a multiple of 2.5 times the applicable emissions standard or family emissions limit (FEL); +0.3 means the 

standard or FEL plus 0.3; 0.05/+0.04 means an absolute level of 0.05 or an additive level of the standard or FEL plus 0.04, whichever level is 

higher; not all monitors have emissions thresholds but instead rely on functionality and rationality checks as described in section II.D.4. 

1. NOX Aftertreatment Monitoring 

We are requiring that the 8,500 to 

14,000 pound NOX aftertreatment 

monitoring requirements mirror those 

for engines used in vehicles over 14,000 

pounds. The current regulations require 

detection of a NOX catalyst malfunction 

before emissions exceed 1.5x the 

emissions standards. We do not believe 

that such a tight threshold level is 

appropriate for diesel SCR and lean 

NOX catalyst systems. The final 

thresholds are less stringent than 

proposed until the 2013 model year 

where they are consistent with our 

proposal. We have made the thresholds 

less stringent for the same reasons as 

discussed in section II.B. The required 

monitoring conditions with respect to 

performance tracking (discussed in 

section II.B.6.c) would not apply for 

under 14,000 pound heavy-duty 

applications since we do not have 

performance tracking requirements for 

under 14,000 pound applications. We 

are proposing this change for the 2007 

model year. 

2. Diesel Particulate Filter System 

Monitoring 

We are requiring that the 8,500 to 

14,000 pound DPF monitoring 

requirements mirror those discussed in 

section II.B.8. Our current regulations 

require detection of a catastrophic 

failure only. The proposed monitoring 

requirements contained emissions 

thresholds like those proposed for over 

14,000 pound OBD. The final PM 

thresholds remain unchanged from the 

proposal. We have eliminated the 

proposed NMHC thresholds for the 

same reasons we have eliminated the 

requirement to monitor NMHC 

conversion of the DPF in the over 

14,000 pound applications. The 

required monitoring conditions with 

respect to performance tracking 

(discussed in section II.B.8.c) would not 

apply for under 14,000 pound heavyduty applications since we do not have 

performance tracking requirements for 

under 14,000 pound applications. We 

are requiring no new DPF monitoring 

requirements in the 2007 to 2009 model 

years because there is not sufficient lead 

time for manufacturers to develop a new 

monitor. The new, more stringent 

monitoring requirements would begin in 

the 2010 model year. Also, for 2010 

through 2012, we are providing the 

option to monitor and detect a decrease 

in the expected pressure drop across the 

DPF, consistent with the provisions for 

over 14,000 pound applications. This 

option is being made available only to 

the engine certified systems since the 

requirement is based on the engine 

certification procedure. 

3. NMHC Converting Catalyst 

Monitoring 

The final requirements for NMHC 

converting catalyst monitoring are 

identical to those we proposed. 

However, we have added the option to 

monitor the ability of the NMHC 

catalyst to generate a 100 degree C 

temperature rise, or to reach the 

necessary regeneration temperature, 

within 60 seconds of initiating a 

regeneration event. We have added 

other criteria for this optional 

monitoring approach to ensure that the 

necessary regeneration temperature is 

being sustained and that the 

regeneration attempt be aborted should 

the regeneration temperature not be 

reached or sustained properly. This 

makes the 8,500 to 14,000 pound 

provisions consistent with the over 

14,000 pound provisions. 

4. Other Monitors 

The final requirements for ‘‘other 

monitors’’ are identical to those we 

proposed, except that we have revised 

the NOX sensor monitor NOX threshold 

to +0.6 to be consistent with changes 

made for other monitors discussed 

above. 

5. CARB OBDII Compliance Option and 

Deficiencies 

We are also making final the proposed 

changes to our deficiency provisions for 

vehicles and engines meant for vehicles 

under 14,000 pounds. We have included 

specific mention of air-fuel ratio sensors 

and NOX sensors where we had long 

referred only to oxygen sensors. We 

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68See 13 CCR 1968.2, approved November 9, 

2007, Docket ID# EPA–HQ–OAR–2005–0047–0045. 

have also updated the referenced CARB 

OBDII document that can be used to 

satisfy the federal OBD requirements.68

III. How Have the Service Information 

Availability Requirements Changed for 

This Final Rule? 

A. What is the Important Background 

Information for the Provision Being 

Finalized for Service Information 

Availability? 

Section 202(m)(5) of the CAA directs 

EPA to promulgate regulations requiring 

OEMs to provide to: 

Any person engaged in the repairing or 

servicing of motor vehicles or motor vehicle 

engines, and the Administrator for use by any 

such persons, * * * any and all information 

needed to make use of the [vehicle’s] 

emission control diagnostic system * * * 

and such other information including 

instructions for making emission-related 

diagnoses and repairs. 

Such regulations are subject to the 

requirements of section 208(c) regarding 

protection of trade secrets; however, no 

such information may be withheld 

under section 208(c) if that information 

is provided (directly or indirectly) by 

the manufacturer to its franchised 

dealers or other persons engaged in the 

repair, diagnosing or servicing of motor 

vehicles. 

On June 27, 2003 EPA published a 

final rulemaking (68 FR 38428) which 

set forth the Agency’s service 

information regulations for light- and 

heavy-duty vehicles and engines below 

14,000 pounds GVWR. These 

regulations, in part, required each 

covered Original Equipment 

Manufacturer (OEM) to do the 

following: (1) OEMs must make full text 

emissions-related service information 

available via the World Wide Web. (2) 

OEMs must provide equipment and tool 

companies with information that allows 

them to develop pass-through 

recalibration tools. (3) OEMs must make 

available enhanced diagnostic 

information to equipment and tool 

manufacturers and to make available 

OEM-specific diagnostic tools for sale. 

These requirements were finalized to 

ensure that aftermarket service and 

repair facilities have access to the same 

emission-related service information, in 

the same or similar manner, as that 

provided by OEMs to their franchised 

dealerships. 

In the NPRM, we proposed several 

provisions related to the availability of 

service information. We proposed to 

require that each heavy-duty Original 

Equipment Manufacturer (OEM) do the 

following: (1) Make full text emissionsrelated service information available via 

the World Wide Web; (2) provide 

equipment and tool companies with 

information that allows them to develop 

pass-through reprogramming tools; (3) 

make available enhanced diagnostic 

information to equipment and tool 

manufacturers and to make available 

OEM-specific diagnostic tools for sale; 

(4) make available emissions-related 

training information. EPA has carefully 

considered the comments we have 

received on our proposed requirements. 

The service information provisions 

finalized in today’s action provide 

maximum flexibility to engine 

manufacturers while still meeting the 

intent of the Clean Air Act to ensure fair 

and reasonable access by aftermarket 

service providers to service information 

and tools needed to service and repairs 

emissions-related problems on heavyduty engines. 

B. What Provisions are Being Finalized 

for Service Information Availability? 

1. What Information is the OEM 

Required to Make Available? 

Today’s action requires OEMs to make 

available to any person engaged in the 

repairing or servicing of heavy-duty 

motor vehicles or motor vehicle engines 

above 14,000 pounds all information 

necessary to make use of the OBD 

systems and any information for making 

emission-related repairs, including any 

emissions-related information that is 

provided by the OEM to franchised 

dealers, beginning generally with 

MY2010, though for the provisions 

related to scan tool availability, we are 

allowing manufacturers until MY2013 

to comply. This information includes, 

but is not limited to, the following: 

(1) Manuals, technical service 

bulletins (TSBs), diagrams, and charts 

(the provisions for training materials, 

including videos and other media are 

discussed in Sections III.A.3 and III.A.4 

below). 

(2) A general description of the 

operation of each monitor, including a 

description of the parameter that is 

being monitored. 

(3) A listing of all typical OBD 

diagnostic trouble codes associated with 

each monitor. 

(4) A description of the typical 

enabling conditions for each monitor to 

execute during vehicle operation, 

including, but not limited to, minimum 

and maximum intake air and engine 

coolant temperature, vehicle speed 

range, and time after engine startup. A 

listing and description of all existing 

monitor-specific drive cycle information 

for those vehicles that perform misfire, 

fuel system, and comprehensive 

component monitoring. 

(5) A listing of each monitor 

sequence, execution frequency and 

typical duration. 

(6) A listing of typical malfunction 

thresholds for each monitor. 

(7) For OBD parameters that deviate 

from the typical parameters, the OBD 

description shall indicate the deviation 

for the vehicles it applies to and provide 

a separate listing of the typical values 

for those vehicles. 

(8) Identification and scaling 

information necessary to interpret and 

understand data available to a generic 

scan tool through Diagnostic Message 8 

pursuant to SAE Recommended Practice 

J1939–73 (revised September 2006). 

(9) Any information related to the 

service, repair, installation or 

replacement of parts or systems 

developed by third party (Tier 1) 

suppliers for OEMs, to the extent they 

are made available to franchise 

dealerships. 

(10) Any information on other 

systems that can directly effect the 

emission system within a multiplexed 

system (including how information is 

sent between emission-related system 

modules and other modules on a 

multiplexed bus), 

(11) Any information regarding any 

system, component, or part of a vehicle 

monitored by the OBD system that 

could in a failure mode cause the OBD 

system to illuminate the malfunction 

indicator light (MIL). 

(12) Any other information relevant to 

the diagnosis and completion of an 

emissions-related repair. This 

information includes, but is not limited 

to, information needed to start the 

vehicle when the vehicle is equipped 

with an anti-theft or similar system that 

disables the engine described below in 

paragraph (13). This information also 

includes any OEM-specific emissionsrelated diagnostic trouble codes (DTCs) 

and any related service bulletins, 

trouble shooting guides, and/or repair 

procedures associated with these OEMspecific DTCs. 

(13) Information regarding how to 

obtain the information needed to 

perform reinitialization of any computer 

or anti-theft system following an 

emissions-related repair. OEMs are not 

required to make this information 

available on the OEM’s Web site unless 

they choose to do so. However, the 

OEM’s Web site shall contain 

information on alternate means for 

obtaining the information and/or ability 

to perform reintialization. Beginning 

with the 2013 model year, we require 

that all OEM systems will be designed 

in such a way that no special tools or 

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69See § 86.010–38(j)(8). 

processes will be necessary to perform 

reinitialization. 

2. What are the Requirements for Webbased Delivery of the Required 

Information? 

a. OEM Web Sites 

Today’s action finalizes a provision 

that requires OEMs to make available in 

full-text all of the information outlined 

above, on individual OEM Web sites. 

The only exceptions to the full-text 

requirements are training information, 

anti-theft information, and indirect 

information. Provisions for the 

availability of training information are 

discussed in Section III.B.4 of this 

document. Today’s action requires that 

each OEM launch their individual Web 

sites with the required information by 

July 1, 2010 for all 2010 and later model 

year vehicles. 

b. Timeliness and Maintenance of 

Information on OEM Web Sites 

Today’s action finalizes a provision 

that requires OEMs to make available 

the required information on their Web 

site within six months of model 

introduction. After this six month 

period, the required information for 

each model must be available and 

updated on the OEM Web site at the 

same time it is available by any means 

to their dealers. 

EPA is also finalizing a provision that, 

beginning with the 2010 model year, 

OEMs maintain the required 

information in full text for at least 15 

years after model introduction. After 

this fifteen-year period, OEMs can 

archive the required service 

information, but it must be made 

available upon request, in a format of 

the OEM’s choice (e.g., CD–ROM). 

c. Accessibility, Reporting and 

Performance Requirements for OEM 

Web Sites 

Performance reports that adequately 

demonstrate that their individual Web 

sites meets the requirements outlined in 

§ 86.010–38(j)(18) will be submitted to 

the Administrator annually or upon 

request by the Administrator. These 

reports shall also indicate the 

performance and effectiveness of the 

Web sites by using commonly used 

Internet statistics (e.g., successful 

requests, frequency of use, number of 

subscriptions purchased, etc.) EPA will 

issue additional direction in the form of 

official manufacturer guidance to 

further specify the process for 

submitting reports to the Administrator. 

In addition, EPA is finalizing a 

provision that requires OEMs to launch 

Web sites that meet the following 

performance criteria: 

(1) OEM Web sites shall possess, 

sufficient server capacity to allow ready 

access by all users and have sufficient 

downloading capacity to assure that all 

users may obtain needed information 

without undue delay; 

(2) Any reported broken Web links 

shall be corrected or deleted weekly. 

(3) Web site navigation does not 

require a user to return to the OEM 

home page or a search engine in order 

to access a different portion of the site. 

(4) Any manufacturer-specific 

acronym or abbreviation shall be 

defined in a glossary webpage which, at 

a minimum, is hyperlinked by each 

webpage that uses such acronyms and 

abbreviations. OEMs may request 

Administrator approval to use alternate 

methods to define such acronyms and 

abbreviations. The Administrator shall 

approve such methods if the motor 

vehicle manufacturer adequately 

demonstrates that the method provides 

equivalent or better ease-of-use to the 

website user. 

(5) Indicates the minimum hardware 

and software specifications required for 

satisfactory access to the Web site(s). 

d. Structure and Cost of OEM Web Sites 

OEMs must implement Web sites that 

offer a range of time periods for on-line 

access and/or the amount of information 

purchased. 

For any time ranges approved by the 

Administrator, OEMs must make their 

entire site accessible for the respective 

period of time and price. In other words, 

an OEM may not limit any or all ranges 

to just one make or one model. 

Prior to the official launch of OEM 

Web sites, each OEM will also be 

required to present to the Administrator 

a specific outline of what will be 

charged for access to each of the tiers. 

OEMs must justify these charges, and 

submit to the Administrator information 

on the following parameters, which 

include but are not limited to, the 

following: 

(1) The price the manufacturer 

currently charges their branded dealers 

for service information. At a minimum, 

this must include the direct price 

charged that is identified exclusively as 

being for service information, not 

including any payment that is 

incorporated in other fees paid by a 

dealer, such as franchise fees. In 

addition, we are requiring that the OEM 

must describe the information that is 

provided to dealers, including the 

nature of the information (e.g., the 

complete service manual), etc.; whether 

dealers have the option of purchasing 

less than all of the available 

information, or if purchase of all 

information is mandatory; the number 

of branded dealers who currently pay 

for this service information; and 

whether this information is made 

available to any persons at a reduced or 

no cost, and if so, identification of these 

persons and the reason they receive the 

information at a reduced cost. 

(2) The price the manufacturer 

currently charges persons other than 

branded dealers for service information. 

The OEM must describe the information 

that is provided, including the nature of 

the information (e.g., the complete 

service manual, emissions control 

service manual), etc.; and the number of 

persons other than branded dealers to 

whom the information is supplied. 

(3) The estimated number of persons 

to whom the manufacturer would be 

expected to provide the service 

information following implementation 

of today’s requirements. 

A complete list of the criteria for 

establishing reasonable cost can be 

found in the regulatory language for this 

final rule.69 We are also finalizing a 

provision that, subsequent to the launch 

of the OEM Web sites, OEMs would be 

required to notify the Administrator 

upon the increase in price of any one or 

all of their approved time ranges of 

twenty percent or more accounting for 

inflation or that sets the charge for enduser access over the established price 

guidelines discussed above, including a 

justification based on the criteria for 

reasonable cost as established by this 

regulation. 

e. Hyperlinking to and From OEM Web 

Sites 

Today’s action finalizes a provision 

that requires OEMs to allow direct 

simple hyperlinking to their Web sites 

from government Web sites and from all 

automotive-related Web sites, such as 

aftermarket service providers, 

educational institutions, and automotive 

associations. 

f. Administrator Access to OEM Web 

Sites 

Today’s action finalizes a provision 

that requires that the Administrator 

shall have access to each OEM Web site 

at no charge to the Agency. The 

Administrator shall have access to the 

site, reports, records and other 

information as provided by sections 114 

and 208 of the Clean Air Act and other 

provisions of law. 

g. Other Media 

We are finalizing a provision that 

require OEMs to make available for 

ordering the required information in 

some format approved by the 

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Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 8339 

Administrator directly from their Web 

site after the full-text window of 15 

years has expired. OEMs shall index 

their available information with a title 

that adequately describes the contents of 

the document to which it refers. In the 

alternate, OEMs may allow for the 

ordering of information directly from 

their Web site, or from a Web site 

hyperlinked to the OEM Web site. OEMs 

are required to list a phone number and 

address where aftermarket service 

providers can call or write to obtain the 

desired information. OEMs must also 

provide the price of each item listed, as 

well as the price of items ordered on a 

subscription basis. To the extent that 

any additional information is added or 

changed for these model years, OEMs 

shall update the index as appropriate. 

OEMs will be responsible for ensuring 

that their information distributors do so 

within three business day of receiving 

the order. 

h. Small Volume Provisions for OEM 

Web Sites 

Manufacturers with total annual sales 

of less than 5,000 engines shall have 

until July 1, 2011 to launch their 

individual Web sites as discussed in 

Section III.B.2. Manufacturers with total 

annual sales of less than 1,000 engines 

may, in lieu of meeting the requirement 

for web-based delivery of service 

information, request the Administrator 

to approve an alternative method by 

which the required emissions-related 

information can be obtained. 

These small-volume flexibilities are 

limited to the distribution and 

availability of service information via 

the World Wide Web under § 86.010–38 

(j)(4) of the regulations. All OEMs, 

regardless of volume, must comply with 

all other provisions as finalized in this 

rulemaking. 

3. What are the Requirements for 

Service Information for Third Party 

Information Providers? 

Today’s action finalizes a provision 

that will require OEMs who currently 

have, or in the future engage in, 

licensing or business arrangements with 

third party information providers, as 

defined in the regulations, to provide 

information to those parties in an 

electronic format in English that utilizes 

non-proprietary software. Any OEM 

licensing or business arrangements with 

third party information providers are 

subject to fair and reasonable cost 

requirements. We expect that OEMs will 

develop pricing structures for access to 

this information that make it affordable 

to any third party information providers 

with which they do business. This 

provision takes effect January 1, 2011 

and will apply for model year 2010 and 

later engines. 

4. What are the Requirements for the 

Availability of Training Information? 

Today’s action finalizes two 

provisions for access to OEM training on 

OEM Web sites. First, OEMs will be 

required to make available for purchase 

on their Web sites the following items: 

Training manuals, training videos, and 

interactive, multimedia CD’s or similar 

training tools available to franchised 

dealerships. Second, we are finalizing a 

provision requiring OEMs who transmit 

emissions-related training via satellite 

or the Internet to tape these 

transmissions and make them available 

for purchase on their Web sites within 

30 days after the first transmission to 

franchised dealerships. Manufacturers 

shall not be required to duplicate 

transmitted emissions-related training 

courses if anyone engaged in the 

repairing or servicing of heavy-duty 

engines has the opportunity to receive 

the Internet or satellite transmission, 

even if there is a cost associated with 

the equipment required to receive the 

transmission. Further, all of the items 

included in this provision must be 

shipped within 3 business days of the 

order being placed and are to be made 

available at a reasonable price. These 

requirements apply for 2010 and later 

model year vehicles beginning July 1, 

2010. For subsequent model years, the 

required information must be made 

available for purchase within three 

months of model introduction, and then 

be made available at the same time it is 

made available to franchised 

dealerships. 

5. What are the Requirements for 

Recalibration of Vehicles? 

Today’s action finalizes two options 

for pass-thru recalibration. We are 

finalizing a provision that heavy-duty 

OEMs must comply with SAE J2534–1 

(Revised December 2004) beginning 

with the 2013 model year. In the 

alternative, heavy-duty OEMs may 

comply with the Technology and 

Maintenance Council’s Recommended 

Practice RP1210B, ‘‘WindowsTM

Communication API,’’ (Revised June 

2007) beginning in the 2013 model year. 

We are also finalizing a provision that 

will require that recalibration 

information be made available within 3 

months of vehicle introduction for new 

models. 

6. What are the Requirements for the 

Availability of Enhanced Information 

for Scan Tools for Equipment and Tool 

Companies? 

a. Description of Information That Must 

Be Provided 

Today’s action finalizes a provision 

that requires OEMs to make available to 

equipment and tool companies all 

generic and enhanced information, 

including bi-directional control and 

data stream information. In addition, 

OEMs must make available the 

following information. 

(i) The physical hardware 

requirements for data communication 

(e.g., system voltage requirements, cable 

terminals/pins, connections such as 

RS232 or USB, wires, etc.). 

(ii) ECU data communication (e.g., 

serial data protocols, transmission speed 

or baud rate, bit timing requirements, 

etc.). 

(iii) Information on the application 

physical interface (API) or layers (i.e., 

processing algorithms or software 

design descriptions for procedures such 

as connection, initialization, and 

termination). 

(iv) Vehicle application information 

or any other related service information 

such as special pins and voltages or 

additional vehicle connectors that 

require enablement and specifications 

for the enablement. 

(v) Information that describes which 

interfaces, or combinations of interfaces, 

from each of the categories as described 

in § 86.010–38(j)(14)(ii)(A) through (D) 

of the regulatory language. 

Manufacturers are not required to 

make available to equipment and tool 

companies any information related to 

reconfiguration capabilities or any other 

information that would make permanent 

changes to existing engine 

configurations. 

The requirements to release the 

information to equipment and tool 

companies takes effect on July 1, 2013 

[for model year 2013 engines], and 

within 3 months of model introduction 

for all new model years. 

b. Distribution of Enhanced Diagnostic 

Information 

Today’s action finalizes a provision 

that will require the above information 

for generic and enhanced diagnostic 

information be provided to aftermarket 

tool and equipment companies with 

whom appropriate licensing, 

contractual, and confidentiality 

agreements have been arranged. This 

information shall be made available in 

electronic format using common 

document formats such as Microsoft 

Excel, Adobe Acrobat, Microsoft Word, 

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8340 Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 

70Regulatory Impact Analysis: Heavy-Duty 

Engine and Vehicle Standards and Highway Diesel 

Fuel Sulfur Control Requirements; EPA420–R–00– 

026; December 2000. 

etc. Further, any OEM licensing or 

business arrangements with equipment 

and tool companies are subject to a fair 

and reasonable cost determination. 

7. What are the Requirements for the 

Availability of OEM-Specific Diagnostic 

Scan Tools and Other Special Tools? 

a. Availability of OEM-Specific 

Diagnostic Scan Tools 

Today’s action finalizes a provision 

that OEMs must make available for sale 

to interested parties the same OEMspecific scan tools that are available to 

franchised dealerships, except as 

discussed below. These tools shall be 

made available at a fair and reasonable 

price. These tools shall also be made 

available in a timely fashion either 

through the OEM Web site or through an 

OEM-designated intermediary. 

Upon Administrator approval, 

manufacturers will not be required to 

make available manufacturer-specific 

tools with reconfiguration capabilities if 

they can demonstrate to the satisfaction 

of the Administrator that these tools are 

not essential to the completion of an 

emissions-related repair, such as 

recalibration. In addition, as a condition 

of purchase, manufacturers may request 

that the purchaser take all necessary 

training offered by the engine 

manufacturer, provided that those 

training requirements are outlined in 

§ 86.010–38(j)(15) of the regulations. 

8. Which Reference Materials are Being 

Incorporated by Reference? 

We are requiring that service 

information requirements comply with 

the provisions laid out in certain 

Society of Automotive Engineers (SAE) 

and/or Truck Maintenance Council 

(TMC) documents that are incorporated 

by reference (IBR) into federal 

regulation. Details regarding these SAE 

and TMC documents can be found in 

§ 86.1(b) and in § 86.010–38(j). 

IV. What Are the Emissions Reductions 

Associated With the OBD 

Requirements? 

In the 2007HD highway rule, we 

estimated the emissions reductions we 

expected to occur as a result of the 

emissions standards being made final in 

the rule. Since the OBD requirements 

contained in today’s rule are considered 

by EPA to be an important element of 

the 2007HD highway program and its 

ultimate success, rather than a new 

element being included as an addition 

to that program, we are not estimating 

emissions reductions associated with 

OBD. Instead, we consider the new 

2007/2010 tailpipe emissions standards 

and fuel standards to be the drivers of 

emissions reductions and HDOBD to be 

part of the assurance we all have that 

those emissions reductions are indeed 

realized. Therefore, this analysis 

presents the emissions reductions 

estimated for the 2007HD highway 

program. Inherent in those estimates is 

an understanding that, while emissions 

control systems sometimes malfunction, 

they presumably are repaired in a timely 

manner. Today’s OBD requirements 

would provide substantial tools to 

assure that our presumption will be 

realized by helping to ensure that 

emission control systems continue to 

operate properly throughout their life. 

We believe that the OBD requirements 

will lead to more repairs of 

malfunctioning or deteriorating 

emission control systems, and may also 

lead to emission control systems that are 

more robust throughout the life of the 

engine and less likely to trigger 

illumination of MILs. The requirements 

would therefore provide greater 

assurance that the emission reductions 

expected from the Clean Diesel Trucks 

and Buses program will actually occur. 

Viewed from another perspective, while 

the OBD requirements will not increase 

the emission reductions that we 

estimated for the 2007HD highway rule, 

they would be expected to lead to actual 

emission reductions in-use compared 

with a program with no OBD system. 

The costs associated with HDOBD 

were not fully estimated in the 2007HD 

highway rule. Those costs are more fully 

considered in section V of this 

preamble. These newly developed 

HDOBD costs are added to those costs 

estimated for the 2007/2010 standards 

and a new set of costs for those 

standards are presented in section VI. 

Section VI also calculates a new set of 

costs per ton associated with the 2007/ 

2010 standards which include the 

previously estimated costs and 

emissions reductions for the 2007/2010 

standards and the newly estimated costs 

associated with today’s HDOBD rule. 

Here we present the emission benefits 

we anticipate from heavy-duty vehicles 

as a result of our 2007/2010 NOX, PM, 

and NMHC emission standards for 

heavy-duty engines. The graphs and 

tables that follow illustrate the Agency’s 

projection of future emissions from 

heavy-duty vehicles for each pollutant. 

The baseline case represents future 

emissions from heavy-duty vehicles at 

present standards (including the 

MY2004 standards). The controlled case 

represents the future emissions from 

heavy-duty vehicles once the new 2007/ 

2010 standards are implemented. A 

detailed analysis of the emissions 

reductions associated with the 2007/ 

2010 HD highway standards is 

contained in the Regulatory Impact 

Analysis for that final rule.70 The results 

of that analysis are presented in Table 

IV.A–1 and in Figures IV.A–1 through 

IV.A–3. 

TABLE IV.A–1—ANNUAL EMISSIONS REDUCTIONS ASSOCIATED WITH THE 2007HD HIGHWAY PROGRAM

[Thousand short tons] 

Year NOX PM NMHC 

2007 ......................................................................................................................................................... 58 11 2 

2010 ......................................................................................................................................................... 419 36 21 

2015 ......................................................................................................................................................... 1,260 61 54 

2020 ......................................................................................................................................................... 1,820 82 83 

2030 ......................................................................................................................................................... 2,570 109 115 

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8342 Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 

71Final Technical Support Document, HDOBD 

final rule, EPA420–R–08–019, Docket ID# EPA– 

HQ–OAR–2005–0047–0056. 

72See 72 FR 3273, Section VI. 

There were additional estimated 

emissions reductions associated with 

the 2007HD highway rule—namely CO, 

SOx, and air toxics. We have not 

presented those additional emissions 

reductions here since, while HDOBD 

will identify malfunctions and hasten 

their repair with the result of reducing 

all emissions constituents, these 

additional emissions are not those 

specifically targeted by OBD systems. 

V. What Are the Costs Associated With 

the OBD Requirements? 

The costs estimated for the final OBD 

requirements are identical to those 

estimated for the proposed OBD 

requirements with three notable 

exceptions. First, we have included 

costs for aging limit parts to their OBD 

thresholds. We inadvertently did not 

include those costs in the draft analysis. 

Discussion of this can be found in the 

Summary and Analysis of Comments 

document in Section VI.B. These newly 

added costs are also presented in detail 

in Section 3.1.2.b of the final technical 

support document.71 Both of these 

documents can be found in the docket 

for this rule. Second, while in the 

proposal we estimated lower warranty 

costs beginning in 2013, we have 

delayed that until 2016 in the final rule. 

This is discussed in Section VI.A of the 

Summary and Analysis of Comments 

document and in Section 3.1.1 of the 

final technical support document. 

Third, we have adjusted all costs to 

2007 dollars—the draft analysis used 

2004 dollars—by using the Consumer 

Price Index. As a result, all costs 

presented here are slightly higher than 

in the draft analysis although we have 

not changed the analysis with the 

exception of this adjustment for 

inflation and, as mentioned previously, 

the addition of costs for aging of limit 

parts and delay of lower warranty costs. 

Here we present the updated tables 

that appeared in our preamble to the 

proposed regulations.72 Please refer to 

the final technical support document 

contained in the docket for the details 

of the analysis behind these cost 

estimates. 

A. Variable Costs for Engines Used in 

Vehicles Over 14,000 Pounds 

The variable costs we have estimated 

represent those costs associated with 

various sensors that we believe will be 

added to the engine to provide the 

required OBD monitoring capability. For 

the 2010 model year, we believe that 

upgraded computers and the new 

sensors needed for OBD would result in 

costs to the buyer of $43 and $53 for 

diesel and gasoline engines, 

respectively. For the 2013 model year, 

we have included costs associated with 

the dedicated MIL and its wiring 

resulting in a hardware cost to the buyer 

of $60 and $70 for both diesel and 

gasoline engines, respectively. In 2016, 

these costs become $57 and $66 for 

diesel and gasoline, respectively, due to 

a reduction in warranty costs. By 

multiplying these costs per engine by 

the projected annual sales we get annual 

costs of around $45–55 million for 

diesel engines and $3–4 million for 

gasoline engines, depending on sales. 

The 30-year net present value of the 

annual variable costs would be $737 

million and $391 million at a three 

percent and a seven percent discount 

rate, respectively. These costs are 

summarized in Table V.A–1. 


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TABLE V.A–1—OBD VARIABLE COSTS FOR ENGINES USED IN VEHICLES OVER 14,000 POUNDS

[All costs in $millions except per engine costs; 2007 dollars] 

Diesel Gasoline Total 

Cost per engine (2010–2012) .................................................................................................................. $43 $53 n/a 

Cost per engine (2013–2015) .................................................................................................................. 60 70 n/a 

Cost per engine (2016+) .......................................................................................................................... 57 66 n/a 

Annual Variable Costs in 2010 a .............................................................................................................. 15 1 $16 

Annual Variable Costs in 2013 a .............................................................................................................. 44 3 47 

Annual Variable Costs in 2016 a .............................................................................................................. 43 3 47 

Annual Variable Costs in 2030 a .............................................................................................................. 53 4 57 

30 year NPV at a 3% discount rate ........................................................................................................ 686 51 737 

30 year NPV at a 7% discount rate ........................................................................................................ 364 27 391 

aAnnual variable costs increase as projected sales increase. 

B. Fixed Costs for Engines Used in 

Vehicles Over 14,000 Pounds 

We have estimated fixed costs for 

research and development (R&D), 

certification, and production evaluation 

testing. The R&D costs include the costs 

to develop the computer algorithms 

required to diagnose engine and 

emission control systems, and the costs 

for applying the developed algorithms 

to each engine family and to each 

variant within each engine family. R&D 

costs also include the testing time and 

effort needed to develop and apply the 

OBD algorithms. The certification costs 

include the costs associated with testing 

of durability engines (i.e., the OBD 

parent engines), the costs associated 

with generating the ‘‘limit’’ parts that 

are required to demonstrate OBD 

detection at or near the applicable 

emissions thresholds, and the costs 

associated with generating the necessary 

certification documentation. Production 

evaluation testing costs included the 

costs associated with the three types of 

production testing: Standardization 

features, monitor function, and 

performance ratios. 

Table V.B–1 summarizes the R&D, 

certification, and production evaluation 

testing costs that we have estimated. 

The R&D costs we have estimated were 

totaled and then spread over the four 

year period prior to implementation of 

the requirements for which the R&D is 

conducted. By 2013, all of the R&D work 

would be completed in advance of 100 

percent compliance in 2013; hence, R&D 

costs are zero by 2013. Certification 

costs are higher in 2013 than in 2010 

because 2010 requires one engine family 

to comply while 2013 requires all 

engine families to comply. The 30 year 

net present value of the annual fixed 

costs would be $475 million and $352 

million at a three percent and a seven 

percent discount rate, respectively. 

TABLE VI.B–1—OBD FIXED COSTS FOR ENGINES USED IN VEHICLES OVER 14,000 POUNDS

[All costs in $millions; 2007 dollars] 

Diesel Gasoline 

Total 

R&D Certification & PE 

testing Subtotal R&D Certification & PE testing Subtotal 

Annual OBD Fixed Costs in given years 

2010 .. $56 $0 .2 $56 $1 .0 <$0.1 $1.0 $57 

2013 .. 0 0 .4 0 .4 0 <0.1 <0.1 0 .4 

2030 .. 0 35 35 0 <0.1 <0.1 35 

30 year NPV at the given discount rate 

3% ..... 287 176 463 11 .1 0.4 11.4 475 

7% ..... 243 99 .6 342 9 .7 0.2 9.9 352 

C. Total Costs for Engines Used in 

Vehicles Over 14,000 Pounds 

The total OBD costs for engines used 

in vehicles over 14,000 pounds are 

summarized in Table V.C–1. As shown 

in the table, the 30 year net present 

value cost is estimated at $1.2 billion 

and $743 million at a three percent and 

a seven percent discount rate, 

respectively. These costs are much 

lower than the 30 year net present value 

costs estimated for gasoline and diesel 

engines meeting the 2007HD highway 

emissions standards which were $30 

billion and $18 billion at a three percent 

and a seven percent discount rate, 

respectively (in 2007 dollars). Including 

the cost for the diesel fuel changes 

resulted in 30 year net present value 

costs for that rule of $88 billion and $53 

billion at a three percent and a seven 

percent discount rate, respectively (in 

2007 dollars). See section VI for more 

details regarding the cost estimates from 

the 2007HD highway final rule. 

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8344 Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 

73Final Technical Support Document, HDOBD 

final rule, EPA420–R–08–019, Docket ID# EPA– 

HQ–OAR–2005–0047–0056. 

74http://www.bls.gov/cpi; U.S. city average, all 

items, not seasonally adjusted. 

TABLE V.C–1—OBD TOTAL COSTS FOR ENGINES USED IN VEHICLES OVER 14,000 POUNDS

[All costs in $millions; 2007 dollars] 

Diesel Gasoline Total 

Annual OBD Total Costs in given years 

2010 ......................................................................................................................................................... $71 $2 $67 

2013 ......................................................................................................................................................... 44 3 47 

2030 ......................................................................................................................................................... 89 4 93 

30 year NPV at the given discount rate 

3% ............................................................................................................................................................ 1,150 63 1,212 

7% ............................................................................................................................................................ 706 37 743 

D. Costs for Diesel Heavy-Duty Vehicles 

and Engines Used in Heavy-Duty 

Vehicles Under 14,000 Pounds 

The total OBD costs for 8,500 to 

14,000 pound diesel applications are 

summarized in Table V.D–1. As shown 

in the table, the 30 year net present 

value cost is estimated at $16 million 

and $12 million at a three percent and 

a seven percent discount rate, 

respectively. These costs represent the 

incremental costs of the additional OBD 

requirements, as compared to our 

current OBD requirements, for 8,500 to 

14,000 pound diesel applications and 

do not represent the total costs for 8,500 

to 14,000 pound diesel OBD. We are 

making no changes to the 8,500 to 

14,000 pound gasoline requirements so, 

therefore, have estimated no costs for 

gasoline vehicles. Details behind these 

estimated costs can be found in the final 

technical support document contained 

in the docket for this rule.73

TABLE V.D–1—TOTAL OBD COSTS FOR 8,500 TO 14,000 POUND DIESEL APPLICATIONS

[All costs in $millions; 2007 dollars] 

Diesel Gasoline Total 

Annual OBD Total Costs in given years 

2010 ..................................................................................................................................................... $0 .1 $0 $0 .1 

2013 ..................................................................................................................................................... 0 0 0 

2030 ..................................................................................................................................................... 2 0 2 

30 year NPV at the given discount rate 

3% ........................................................................................................................................................ 16 0 16 

7% ........................................................................................................................................................ 12 0 12 

VI. What are the Updated Annual Costs 

and Costs per Ton Associated With the 

2007/2010 Heavy-Duty Highway 

Program? 

In the 2007HD highway rule, we 

estimated the costs we expected to 

occur as a result of the emissions 

standards being made final in that rule. 

As noted in section IV, we consider the 

OBD requirements contained in today’s 

rule to be an important element of the 

2007HD highway program and its 

ultimate success and not a new element 

being included as an addition to that 

program. In fact, without the OBD 

requirements we would not expect the 

emissions reductions associated with 

the 2007/2010 standards to be fully 

realized because emissions control 

systems cannot be expected to operate 

without some need for repair which, 

absent OBD, may well never be done. 

However, as noted in section V, because 

we did not include an OBD program in 

the 2007HD highway program, we did 

not estimate OBD related costs at that 

time. We have now done so and those 

costs are presented in section V. 

Here we present the OBD costs as part 

of the greater 2007HD highway program. 

To do this, we present both the costs 

developed for that program and the 

additional OBD costs presented in 

section V. We also calculate a new set 

of costs per ton associated with the 

2007/2010 standards which include the 

previously estimated costs and 

emissions reductions for the 2007/2010 

standards and the newly estimated costs 

associated with today’s HDOBD rule. 

Note that the costs estimates 

associated with the 2007HD highway 

program were done using 1999 dollars. 

We have adjusted those costs to 2007 

dollars using the Consumer Price 

Index.74

A. Updated 2007 Heavy-Duty Highway 

Rule Costs Including OBD 

Table VI.A–1 shows the 2007HD 

highway program costs along with the 

estimated OBD related costs. 

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Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 8345 

TABLE VI.A–1—UPDATED 2007HD HIGHWAY PROGRAM COSTS INCLUDING NEW OBD-RELATED COSTS NET PRESENT

VALUE OF ANNUAL COSTS FOR THE YEARS 2006–2035 

[All costs in $millions; 2007 dollars] 

Discount rate 

2007 HD highway final rule 

Final HD 

OBD 

Updated 

total program costs Diesel 

engine 

costs 

Gasoline 

engine & 

vehicle 

costs 

Diesel fuel 

costs 

Original 

total costs 

3% .................................................................................... $29,500 $1,880 $56,240 $87,600 $1,230 $88,900 

7% .................................................................................... 17,900 1,090 33,560 52,500 755 53,300 

B. Updated 2007 Heavy-Duty Highway 

Rule Costs per Ton Including OBD 

Table VI.B–1 shows the 2007HD 

highway program costs per ton of 

pollutant reduced. These numbers are 

from the 2007HD highway final rule— 

updated to 2007 dollars—which 

contains the details regarding the split 

between NOX+NMHC and PM related 

costs. 

TABLE VI.B–1—ORIGINAL 2007HD HIGHWAY PROGRAM COSTS, EMISSIONS REDUCTIONS, AND $/TON REDUCED NET

PRESENT VALUES ARE FOR ANNUAL COSTS FOR THE YEARS 2006–2035 

[Monetary values in 2007 dollars] 

Discount rate Pollutant 

30 year NPV 

cost 

($billions) 

30 year NPV 

reduction 

(million tons) 

$/ton 

3% ...................................................... NOX+NMHC .................................................................... 68.0 30.6 $2,220 

PM ................................................................................... 19.9 1.4 14,750 

7% ...................................................... NOX+NMHC .................................................................... 43.4 16.2 2,680 

PM ................................................................................... 12.8 0.8 17,090 

Table VI.B–2 shows the updated 

2007HD highway program costs per ton 

of pollutant reduced once the new OBD 

costs have been included. For the split 

between NOX+NMHC and PM related 

OBD costs, we have used a 50/50 

allocation. As shown in Table VI.B–2, 

the OBD costs associated with the final 

OBD requirements have little impact on 

the overall costs and costs per ton of 

emissions reduced within the context of 

the 2007HD highway program. 

TABLE VI.B–2—UPDATED 2007HD HIGHWAY PROGRAM COSTS, EMISSIONS REDUCTIONS, AND $/TON REDUCED

INCLUDING OBD RELATED COSTS NET PRESENT VALUES ARE FOR ANNUAL COSTS FOR THE YEARS 2006–2035 

[Monetary values in 2007 dollars] 

Discount rate Pollutant 

30 year NPV 

cost 

($billions) 

30 year NPV 

reduction 

(million tons) 

$/ton 

3% ...................................................... NOX+NMHC .................................................................... 68.6 30.6 $2,240 

PM ................................................................................... 20.5 1.4 15,210 

7% ...................................................... NOX+NMHC .................................................................... 43.8 16.2 2,700 

PM ................................................................................... 13.2 0.8 17,600 

VII. How Have the Proposed 

Requirements for Engine Manufacturers 

Changed for This Final Rule? 

A. Documentation Requirements 

The OBD system certification 

requirements require manufacturers to 

submit OBD system documentation that 

represents each engine family. The 

certification documentation must 

contain all of the information needed to 

determine if the OBD system meets the 

OBD requirements. The regulation lists 

the information that is required as part 

of the certification package. If any of the 

information in the certification package 

is the same for all of a manufacturer’s 

engine families (e.g., the OBD system 

general description), the manufacturer is 

required to submit one set of documents 

each model year for such items that 

cover all of its engine families. 

While the majority of the OBD 

requirements apply to the engine and 

are incorporated by design into the 

engine control module by the engine 

manufacturer, a portion of the OBD 

requirements would apply to the vehicle 

and not be self-contained within the 

engine. Examples include the 

requirements to have a MIL in the 

instrument cluster and a diagnostic 

connector in the cab compartment. As is 

currently done by the engine 

manufacturers, a build specification is 

provided to vehicle manufacturers 

detailing mechanical and electrical 

specifications that must be adhered to 

for proper installation and use of the 

engine (and to maintain compliance 

with emissions standards). We expect 

engine manufacturers will continue to 

follow this practice so that the vehicle 

manufacturer would be able to maintain 

compliance with the OBD regulations. 

Installation specifications would be 

expected to include instructions 

regarding the location, color, and 

display icon of the MIL (as well as 

electrical connections to ensure proper 

illumination), location and type of 

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8346 Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 

75See section 86.010–18(m)(3) which is new in 

the final regulations. Also see § 86.010–18(a)(5) 

which is new in the final regulations. Also see 

section II.A.5, above. 

diagnostic connector, and electronic 

VIN access. During the certification 

process, in addition to submitting the 

details of all of the diagnostic strategies 

and other information required, engine 

manufacturers are required to submit a 

copy of the OBD-relevant installation 

specifications provided to vehicle 

manufacturers and a description of the 

method used by the engine 

manufacturer to ensure vehicle 

manufacturers adhere to the provided 

installation specifications (e.g., required 

audit procedures or signed agreements 

to adhere to the requirements). We are 

requiring that this information be 

submitted to us to provide a reasonable 

level of verification that the OBD 

requirements will indeed be satisfied. In 

summary, engine manufacturers are 

responsible for submitting a certification 

package that includes: 

• A detailed description of all OBD 

monitors, including monitors on signals 

or messages coming from other modules 

upon which the engine control unit 

relies to perform other OBD monitors; 

and, 

• A copy of the OBD-relevant 

installation specifications provided to 

vehicle manufacturers/chassis builders 

and the method used to reasonably 

ensure compliance with those 

specifications. 

As was discussed in the context of our 

implementation schedule (see section 

II.G.1), the regulations would allow 

engine manufacturers to establish OBD 

groups consisting of more than one 

engine family with each having similar 

OBD systems. The manufacturer could 

then submit only one set of 

representative OBD information from 

each OBD group. We anticipate that the 

representative information would 

normally consist of an application from 

a single representative engine rating 

within each OBD group. In selecting the 

engine ratings to represent each OBD 

group, consideration should be given to 

the exhaust emission control 

components for all engine families and 

ratings within an OBD group. For 

example, if one engine family within an 

OBD group has additional emission 

control devices relative to another 

family in the group (e.g., the first family 

has a DPF+SCR while the second has 

only a DPF), the representative rating 

should probably come from the first 

engine family. Manufacturers seeking to 

consolidate several engine families into 

one OBD group would be required to get 

approval of the grouping prior to 

submitting the information for 

certification. 

Two of the most important parts of 

the certification package would be the 

OBD system description and summary 

table. The OBD system description 

would include a complete written 

description for each monitoring strategy 

outlining every step in the decisionmaking process of the monitor, 

including a general explanation of the 

monitoring conditions and malfunction 

criteria. This description should include 

graphs, diagrams, and/or other data that 

would help our compliance staff 

understand how each monitor works 

and interacts. The OBD summary table 

would include specific parameter 

values. This table would provide a 

summary of the OBD system 

specifications, including: the 

component/system, the DTC identifying 

each related malfunction, the 

monitoring strategy, the parameter used 

to detect a malfunction and the 

malfunction criteria limits against 

which the parameter is evaluated, any 

secondary parameter values and the 

operating conditions needed to run the 

monitor, the time required to execute 

and complete a monitoring event for 

both a pass decision and a fail decision, 

and the criteria or procedure for 

illuminating the MIL. In these tables, 

manufacturers are required to use a 

common set of engineering units to 

simplify and expedite the review 

process. 

We are also requiring that the 

manufacturer submit a logic flowchart 

for each monitor that would illustrate 

the step-by-step decision process for 

determining malfunctions. Additionally, 

we would need any data that supports 

the criteria used to determine 

malfunctions that cause emissions to 

exceed the specified malfunction 

thresholds (see Tables II.B–1 and II.C– 

1). The manufacturer would have to 

include data that demonstrates the 

probability of misfire detection by the 

misfire monitor over the full engine 

speed and load operating range (for 

gasoline engines only) or the capability 

of the misfire monitor to correctly 

identify a ‘‘one cylinder out’’ misfire for 

each cylinder (for diesel engines only), 

a description of all the parameters and 

conditions necessary to begin closedloop fuel control operation (for gasoline 

engines only), closed-loop EGR control 

(for diesel engines only), closed-loop 

fuel pressure control (for diesel engines 

only), and closed-loop boost control (for 

diesel engines only). We also need a 

listing of all electronic powertrain input 

and output signals (including those not 

monitored by the OBD system) that 

identifies which signals are monitored 

by the OBD system, and the emission 

data from the OBD demonstration 

testing (as described below). Lastly, the 

manufacturer will be expected to 

provide any other OBD-related 

information necessary to determine the 

OBD compliance status of the 

manufacturer’s product line. 

The only change to the final 

documentation requirements relative to 

the proposed requirements is a new 

provision applicable to those OBD 

systems designed to the CARB HDOBD 

requirements. Any such system must 

have detailed documentation describing 

how the system meets the full intent 

behind the requirements of § 86.010– 

18.75 It will not be sufficient for a 

manufacturer to submit OBD 

documentation and a statement that it is 

a California HDOBD system or even a 

California approved OBD system. The 

certification documentation must 

include details about how the system 

compares to the requirements of 

§ 86.010–18 to ensure that we can be 

comfortable approving that system for 

certification. 

B. Catalyst Aging Procedures 

For purposes of determining the 

catalyst malfunction criteria for diesel 

NMHC converting catalysts, SCR 

catalysts, and lean NOX catalysts, and 

for gasoline catalysts (i.e., for generating 

OBD threshold parts, or limit parts), 

where those catalysts are monitored 

individually, the manufacturer must use 

a catalyst deteriorated to the 

malfunction criteria using methods 

established by the manufacturer to 

represent real world catalyst 

deterioration under normal and 

malfunctioning engine operating 

conditions. For purposes of determining 

the catalyst malfunction criteria for 

diesel NMHC converting catalysts, SCR 

catalysts, and lean NOX catalysts, and 

for gasoline catalysts, where those 

catalysts are monitored in combination 

with other catalysts, the manufacturer 

must submit their catalyst system aging 

and monitoring plan to the 

Administrator as part of their 

certification documentation package. 

The plan must include the description, 

emission control purpose, and location 

of each component, the monitoring 

strategy for each component and/or 

combination of components, and the 

method for determining the applicable 

malfunction criteria including the 

deterioration/aging process. 

C. Demonstration Testing 

While the certification documentation 

requirements discussed above require 

manufacturers to submit technical 

details of each monitor (e.g., how each 

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Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 8347 

76For diesel engines these would include: The 

fuel system; misfire (HCCI engines); EGR, turbo 

boost control, DPF, NOX adsorber or SCR system, 

NMHC catalyst, exhaust gas sensors, VVT, and 

possible other emissions controls (see section 

II.D.5). For gasoline engines these would include: 

The fuel system, misfire, EGR, cold start strategy, 

secondary air system, catalyst, exhaust gas sensors, 

VVT, and possible other emissions controls (see 

section II.D.5). Some of these may require more 

than one emissions test while others may not 

require any due to the use of a functional monitor 

rather than an emissions threshold monitor. 

77For over 14,000 pound OBD, we have a 

different definition of a ‘‘parent’’ engine than is 

used for emissions certification. This is discussed 

at length in section II.G. 

monitor worked, when the monitor 

would run), we still need some 

assurance that the manufacturer’s OBD 

monitors are indeed calibrated correctly 

and are able to detect a malfunction 

before an emissions threshold is 

exceeded. Thus, we are requiring that 

manufacturers conduct certification 

demonstration testing of the major 

monitors to verify the malfunction 

threshold values. This testing will be 

required on one to three demonstration 

engines per year. Before receiving a 

certificate of compliance, the 

manufacturer must submit 

documentation and emissions data 

demonstrating that the major OBD 

monitors are able to detect a 

malfunction when emissions exceed the 

emissions thresholds. On each 

demonstration engine, this testing 

would consist of the following two 

elements: 

• Testing the OBD system with 

‘‘threshold’’ components (i.e., 

components that are deteriorated or 

malfunctioning right at the threshold 

required for MIL illumination); and, 

• Testing the OBD system with 

‘‘worst case’’ components. This element 

of the demonstration test must be done 

for the DPF and any NOX aftertreatment 

system only. 

By testing with both threshold 

components (i.e., the best performing 

malfunctioning components) and with 

worst case components (i.e., the worst 

performing malfunctioning 

components), we will be better able to 

verify that the OBD system should 

perform as expected regardless of the 

level of deterioration of the component. 

This could become increasingly 

important with new technology 

aftertreatment devices that could be 

subject to complete failure (such as 

DPFs) or even to tampering by vehicle 

operators looking to improve fuel 

economy or vehicle performance. We 

believe that, given the likely 

combinations of emissions control 

hardware, a diesel engine manufacturer 

would likely need to conduct 8 to 10 

emissions tests per demonstration 

engine to satisfy these requirements and 

a gasoline engine manufacturer would 

likely need to conduct five to seven 

emissions tests per demonstration 

engine.76

1. Selection of Test Engines 

To minimize the test burden on 

manufacturers, we are requiring that 

this testing be done on only one to three 

demonstration engines per year per 

manufacturer rather than requiring that 

all engines be tested. Such an approach 

should still allow us to be reasonably 

sure that manufacturers have calibrated 

their OBD systems correctly on all of 

their engines. This also spreads the test 

burden over several years and allows 

manufacturers to better utilize their test 

cell resources. This approach is 

consistent with our approach to 

demonstration testing to existing 

emissions standards where a parent 

engine is chosen to represent each 

engine family and emissions test data 

for only that parent engine are 

submitted to EPA.77

The number of demonstration engines 

manufacturers must test will be aligned 

with the phase-in of OBD in the 2010 

and 2013 model years and based on the 

year and the total number of engine 

families the manufacturer will be 

certifying for that model year. 

Specifically, for the 2010 model year 

when a manufacturer is only required to 

implement OBD on a single engine 

family, demonstration testing will be 

required on only one engine (a single 

engine rating within the one engine 

family). This will be the OBD parent 

rating as discussed in section II.G. For 

the 2013 model year, manufacturers will 

be required to conduct demonstration 

testing on one to three engines per year 

(i.e., one to three OBD parent ratings). 

The number of parent ratings would be 

chosen depending on the total number 

of engine families certified by the 

manufacturer. A manufacturer certifying 

one to five engine families in the given 

year would be required to test one 

demonstration engine. A manufacturer 

certifying six to ten engine families in 

the given year would be required to test 

two demonstration engines, and a 

manufacturer certifying more than ten 

engine families in the given year will be 

required to test three demonstration 

engines. For the 2016 and subsequent 

model years, we intend to work closely 

with CARB staff and the manufacturer 

to determine the parent ratings so that 

the same ratings are not acting as the 

parents every year. In other words, our 

definitions for the OBD parent ratings as 

discussed here apply only during the 

years 2010 through 2012 and again for 

the years 2013 through 2015. 

Given the difficulty and expense in 

removing an in-use engine from a 

vehicle for engine dynamometer testing, 

this demonstration testing will likely 

represent nearly all of the OBD emission 

testing that would ever be done on these 

engines. Requiring a manufacturer who 

is fully equipped to do such testing, and 

already has the engines on engine 

dynamometers for emission testing, to 

test one to three engines per year would 

be a minimal testing burden that 

provides invaluable and, in a practical 

sense, otherwise unobtainable proof of 

compliance with the OBD emissions 

thresholds. 

Regarding the selection of which 

engine ratings will have to be 

demonstrated, manufacturers are 

required to submit descriptions of all 

engine families and ratings planned for 

the upcoming model year. We will 

review the information and make the 

selection(s) in consultation with CARB 

staff and the manufacturer. For each 

engine family and rating, the 

information submitted by the 

manufacturer will need to identify 

engine model(s), power ratings, 

applicable emissions standards or 

family emissions limits, emissions 

controls on the engine, and projected 

engine sales volume. Factors that would 

be used in selecting the one to three 

engine ratings for demonstration testing 

include, but are not limited to, new 

versus old/carryover engines, emissions 

control system design, possible 

transition point to more stringent 

emissions standards and/or OBD 

emissions thresholds, and projected 

sales volume. 

2. Required Testing 

Regarding the actual testing, the 

manufacturer will be required to 

perform ‘‘single fault’’ testing using the 

applicable test procedure and with the 

appropriate components/systems set at 

the manufacturer defined malfunction 

criteria limits for the following 

monitors: 

• For diesel engines: Fuel system; 

misfire; EGR; turbo boost control; 

NMHC catalyst; SCR catalyst/NOX

catalyst/adsorber; DPF; exhaust gas 

sensors; VVT; and any other monitor 

that would fall within the discussion of 

section II.D.5. 

• For gasoline engines: Fuel system; 

misfire; EGR; cold start strategy; 

secondary air; catalyst; exhaust gas 

sensors; VVT; and any other monitor 

that would fall within the discussion of 

section II.D.5. 

Such ‘‘single fault’’ testing requires 

that, when performing a test for a 

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8348 Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 

specific parameter, that parameter must 

be operating at the malfunction criteria 

limit while all other parameters would 

be operating within normal 

characteristics (unless the malfunction 

prohibits some other parameter from 

operating within its normal 

characteristics). Also, the manufacturer 

will be allowed to use computer 

modifications to cause the specific 

parameter to operate at the malfunction 

limit provided the manufacturer can 

demonstrate that the computer 

modifications produce test results 

equivalent to an induced hardware 

malfunction. Lastly, for each of these 

testing requirements, wherever the 

manufacturer has established that only 

a functional check is required because 

no failure or deterioration of the specific 

tested component/system can result in 

an engine’s emissions exceeding the 

applicable emissions thresholds, the 

manufacturer will not be required to 

perform a demonstration test. In such 

cases, the manufacturer can simply 

provide the data and/or engineering 

analysis used to determine that only a 

functional test of the component/system 

is required. 

Manufacturers that are required to 

submit data from more than one engine 

rating will be granted some flexibility by 

allowing the data to be collected under 

less rigorous testing requirements than 

the official FTP or SET certification test. 

That is, for the possible second and 

third engine ratings required for 

demonstration testing, manufacturers 

will be allowed to submit data using 

internal sign-off test procedures that are 

representative of the official FTP or SET 

in lieu of running the official test. 

Commonly used procedures include the 

use of engine emissions test cells with 

less rigorous quality control procedures 

than those required for the FTP or SET 

or the use of forced cool-downs to 

minimize time between tests. 

Manufacturers will still be liable for 

meeting the OBD emissions thresholds 

on FTPs and/or SETs conducted in full 

accordance with the Code of Federal 

Regulations. Nonetheless, this latitude 

will allow them to use some short-cut 

methods that they have developed to 

assure themselves that the system is 

calibrated to the correct level without 

incurring the additional testing cost and 

burden of running the official FTP or 

SET on every demonstration engine. 

For the demonstration engine(s), a 

manufacturer will be required to use an 

engine(s) aged for a minimum of 125 

hours plus exhaust aftertreatment 

devices aged in a manner representative 

of full useful life. We are allowing for 

rapid aging using a process approved by 

the Administrator. Manufacturers would 

be expected to use, subject to approval, 

an aging process that ensures that 

deterioration of the exhaust 

aftertreatment devices is stabilized 

sufficiently such that it properly 

represents the performance of the 

devices at the applicable point in their 

useful life. Note that, should the 2010 

model year engine be carried over for 

2013 model year certification (which we 

fully expect most manufacturers to do), 

we would not require any new 

demonstration aging or testing. 

3. Testing Protocol 

We have made no changes in the final 

rule relative to the proposal as regards 

testing protocol. We are allowing the 

manufacturer to use any applicable test 

cycle for preconditioning test engines 

prior to conducting each of the 

emissions tests discussed above. 

Additional preconditioning can be done 

if the manufacturer can provide data 

and/or engineering analyses that 

demonstrate that additional 

preconditioning is necessary. 

The manufacturer will then set the 

system or component of interest at the 

criteria limit(s) prior to conducting the 

applicable preconditioning cycle(s). If 

more than one preconditioning cycle is 

being used, the manufacturer may adjust 

the system or component of interest 

prior to conducting the subsequent 

preconditioning cycle. However, the 

manufacturer may not replace, modify, 

or adjust the system or component of 

interest following the last 

preconditioning cycle. 

After preconditioning, the test engine 

will be operated over the applicable test 

cycle to allow for the initial detection of 

the tested system or component 

malfunction. This test cycle may be 

omitted from the testing protocol if it is 

unnecessary. If required by the 

designated monitoring strategy, a cold 

soak may be performed prior to 

conducting this test cycle. The test 

engine will then be operated over the 

applicable exhaust emission test. 

A manufacturer required to test more 

than one test engine may use internal 

calibration sign-off test procedures (e.g., 

forced cool downs, less frequently 

calibrated emission analyzers) instead of 

official test procedures to obtain this 

emissions test data for all but one of the 

required test engines. However, the 

manufacturer should use sound 

engineering judgment to ensure that the 

data generated using such alternative 

test/sign-off procedures are good data 

because manufacturers would still be 

responsible for meeting the malfunction 

criteria when emissions tests are 

performed in accordance with official 

test procedures. 

Manufacturers will be allowed to use 

alternative testing protocols, even 

chassis testing, for demonstration of 

MIL illumination if the engine 

dynamometer emissions test cycle does 

not allow all of a monitor’s enable 

conditions to be satisfied. A 

manufacturer wanting to do so will be 

required to demonstrate the technical 

necessity for using their alternative test 

cycle and that using it demonstrates that 

the MIL will illuminate during in-use 

operation with the malfunctioning 

component. 

4. Evaluation Protocol 

We have made no changes in the final 

rule relative to the proposal as regards 

evaluation protocol. For all 

demonstration tests on parent engines, 

we will expect the MIL to activate upon 

detecting the malfunctioning system or 

component, and that it will occur before 

the end of the first engine start portion 

of the emissions test. If the MIL 

activates prior to emissions exceeding 

the applicable malfunction criteria, no 

further demonstration will be required. 

With respect to the misfire monitor 

demonstration test, if the manufacturer 

has elected to use the minimum misfire 

malfunction criterion of one percent (as 

is allowed), then no further 

demonstration would be required 

provided the MIL illuminates during a 

test with an implanted misfire of one 

percent. 

If the MIL does not activate when the 

system or component being tested is set 

at its malfunction criteria limits, then 

the criteria limits or the OBD system 

would not be considered acceptable. 

Retesting would be required with more 

tightly controlled criteria limits (i.e., 

recalibrated limits) and/or another 

suitable system or component that 

would result in MIL activation. If the 

criteria limits are recalibrated, the 

manufacturer would be required to 

confirm that the systems and 

components that were tested prior to 

recalibration would still function 

properly and as required. 

5. Confirmatory Testing 

We have made no changes in the final 

rule relative to the proposal as regards 

confirmatory testing. We may choose to 

confirmatory test a demonstration 

engine to verify the emissions test data 

submitted by the manufacturer. Any 

such confirmatory testing would be 

limited to the engine rating represented 

by the demonstration engine(s) (i.e., the 

parent engine(s)). To do so, we, or our 

designee, would install appropriately 

deteriorated or malfunctioning 

components (or simulate a deteriorated 

or malfunctioning component) in an 

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Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 8349 

78The CARB HDOBD rulemaking has a provision 

to charge fees associated with OBD deficiencies 13 

CCR 1971.1(k)(3), Docket ID# EPA–HQ–OAR–2005– 

0047–0006. We have never had and will continue 

not to have any such fee provision. 

79See 13 CCR 1971.1(k)(6), Docket ID# EPA–HQ– 

OAR–2005–0047–0006. 

80See 40 CFR 85.1903. 

otherwise properly functioning engine 

of the same engine family and rating as 

the demonstration engine. Such 

confirmatory testing would be done on 

those OBD monitors for which 

demonstration testing had been 

conducted as described in this section. 

The manufacturer would be required to 

make available, upon Administrator 

request, a test engine and all test 

equipment—e.g., malfunction 

simulators, deteriorated components— 

necessary to duplicate the 

manufacturer’s testing. As with our 

emission certification program, any 

failure to pass confirmatory testing 

means that no certificate would be 

issued until the cause of the 

noncompliance is fixed. 

D. Deficiencies 

Our under 14,000 pound OBD 

requirements have contained a 

deficiency provision for years. The OBD 

deficiency provision was first 

introduced on March 23, 1995 (60 FR 

15242), and was revised on December 

22, 1998 (63 FR 70681). Consistent with 

that provision, we proposed and are 

finalizing a deficiency provision for 

over 14,000 pound OBD. We believe 

that, like has occurred and even still 

occurs with under 14,000 pound OBD, 

some manufacturers will encounter 

unforeseen and generally last minute 

problems with some of their OBD 

monitoring strategies despite having 

made a good faith effort to comply with 

the requirements. Therefore, we are 

providing a provision that would permit 

certification of an over 14,000 pound 

OBD system with ‘‘deficiencies’’ in 

cases where a good faith effort to fully 

comply has been demonstrated. In 

making deficiency determinations, we 

will consider the extent to which the 

OBD requirements have been satisfied 

overall based on our review of the 

certification application, the relative 

performance of the given OBD system 

compared to systems that truly are fully 

compliant with the OBD requirements, 

and a demonstrated good-faith effort on 

the part of the manufacturer to both 

meet the requirements in full and come 

into full compliance as expeditiously as 

possible. 

We believe that having the deficiency 

provision is important because it 

facilitates OBD implementation by 

allowing for certification of an engine 

despite having a relatively minor 

shortfall. Note that we do not expect to 

certify engines with OBD systems that 

have more than one deficiency, or to 

allow carryover of any deficiency to the 

following model year unless it can be 

demonstrated that correction of the 

deficiency requires hardware and/or 

software modifications that cannot be 

accomplished in the time available, as 

determined by the Administrator.78

Nonetheless, we recognize that there 

may be situations where more than one 

deficiency is necessary and appropriate, 

or where carry-over of a deficiency or 

deficiencies for more than one year is 

necessary and appropriate. In such 

situations, more than one deficiency, or 

carry-over for more than one year, may 

be approved, provided the manufacturer 

has demonstrated an acceptable level of 

effort toward full OBD compliance. 

Most importantly, the deficiency 

provisions cannot be used as a means to 

avoid compliance or delay 

implementation of any OBD monitors or 

as a means to compromise the overall 

effectiveness of the OBD program. 

There has often been some confusion 

by manufacturers regarding what CARB 

has termed ‘‘retroactive’’ deficiencies. 

The CARB rule states that, ‘‘During the 

first 6 months after commencement of 

normal production, manufacturers may 

request that the Executive Officer grant 

a deficiency and amend an engine’s 

certification to conform to the granting 

of the deficiencies for each aspect of the 

monitoring system: (a) Identified by the 

manufacturer (during testing required 

by section (l)(2) or any other testing) to 

be functioning different than the 

certified system or otherwise not 

meeting the requirements of any aspect 

of section 1971.1; and (b) reported to the 

Executive Officer.’’ 79 We have never 

had and did not propose any such 

retroactive deficiency provision. We 

have regulations in place that govern 

situations, whether they be detected by 

EPA or by the manufacturer, where inuse vehicles or engines are determined 

to be functioning differently than the 

certified system.80 We refer to these 

regulations as our defect reporting 

requirements and manufacturers are 

required to comply with these 

regulations, even for situations deemed 

by CARB to be ‘‘retroactive’’ 

deficiencies, unless the defect is 

corrected prior to the sale of engines to 

an ultimate purchaser. In other words, 

a retroactive deficiency granted by the 

Executive Officer does not preclude a 

manufacturer from complying with our 

defect reporting requirements. 

E. Production Evaluation Testing 

We have made no changes in the final 

rule relative to the proposal as regards 

production evaluation testing. The OBD 

system is a complex software and 

hardware system, so there are many 

opportunities for unintended 

interactions that can result in certain 

elements of the system not working as 

intended. We have seen many such 

mistakes in the under 14,000 pound 

arena ranging from OBD systems that 

are unable to communicate any 

information to a scan tool to monitors 

that are unable to store a DTC and 

illuminate the MIL. While over 14,000 

pound heavy-duty vehicles are very 

different from light-duty vehicles in 

terms of emission controls and OBD 

monitoring strategies, among other 

things, these types of problems do not 

depend on these differences and, as 

such, are as likely to occur with over 

14,000 pound OBD as they are with 

under 14,000 pound OBD. Additionally, 

we believe that there is great value in 

having manufacturers self-test actual 

production end products that operate on 

the road, as opposed to pre-production 

products, where errors can be found in 

individual subsystems that may work 

fine by themselves but not when 

integrated into a complete product (e.g., 

due to mistakes like improper wiring). 

Therefore, we are requiring that 

manufacturers self-test a small fraction 

of their product line to verify 

compliance with the OBD requirements. 

The test requirements are divided into 

three distinct sections with each section 

representing a test for a different portion 

of the OBD requirements. These three 

sections being: compliance with the 

applicable SAE and/or ISO 

standardization requirements; 

compliance with the monitoring 

requirements for proper DTC storage 

and MIL illumination; and, compliance 

with the in-use monitoring performance 

ratios. 

1. Verification of Standardization 

Requirements 

An essential part of the OBD system 

is the requirement for standardization. 

The standardization requirements 

include items as simple as the location 

and shape of the diagnostic connector 

(where technicians can ‘‘plug in’’ a scan 

tool to the onboard computer) to more 

complex subjects concerning the 

manner and format in which DTC 

information is accessed by technicians 

via a ‘‘generic’’ scan tool. Manufacturers 

must meet these standardization 

requirements to facilitate the success of 

the OBD program because they ensure 

consistent access by all repair 

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81 13 CCR 1968.2, August 11, 2006, Docket ID# 

EPA–HQ–OAR–2005–0047–0005. 

technicians to the stored information in 

the onboard computer. The need for 

consistency is even greater when 

considering the potential use of OBD 

system checks in inspection and 

maintenance (I/M) programs for heavyduty. Such OBD based I/M checks 

would benefit from having access to the 

diagnostic information in the onboard 

computer via a single ‘‘generic’’ scan 

tool instead of individual tools for every 

make and model of truck that might be 

inspected. For OBD based inspections to 

work effectively and efficiently, all 

engines/vehicles must be designed and 

built to meet all of the applicable 

standardization requirements. 

While we anticipate that the vast 

majority of vehicles would comply with 

all of the standardization requirements, 

some problems involving the 

communication between vehicles and 

‘‘generic’’ scan tools are likely to occur 

in the field. The cause of such problems 

could range from differing 

interpretations of the existing 

standardization requirements to 

possible oversights by design engineers 

or hardware inconsistencies or even 

last-minute production changes on the 

assembly line. 

To minimize the chance for such 

problems on future over 14,000 pound 

trucks, we are requiring that engine 

manufacturers test a sample of 

production vehicles from the assembly 

line to verify that the vehicles have 

indeed been designed and built to the 

required specifications for 

communication with a ‘‘generic’’ scan 

tool. We are requiring that 

manufacturers test complete vehicles to 

ensure that they comply with some of 

the basic ‘‘generic’’ scan tool 

standardization requirements, including 

those that are essential for proper 

inspection in an I/M setting. Ideally, 

manufacturers would test one vehicle 

for each truck and engine model 

combination that is introduced into 

commerce. However, for a large engine 

manufacturer, this can be in the 

neighborhood of 5,000 to 10,000 unique 

combinations making it unreasonable to 

require testing of every combination. 

Therefore, we are requiring that 

manufacturers test 10 such 

combinations per engine family. Given 

that a typical engine family has roughly 

five different engine ratings, this works 

out to testing only around two vehicles 

per engine rating. 

More specifically, manufacturers must 

test one vehicle per software ‘‘version’’ 

released by the manufacturer. With 

proper demonstration, manufacturers 

will be allowed to group different 

calibrations together to be demonstrated 

by a common vehicle. Prior to acquiring 

these data, the engine manufacturer 

must submit for approval a test plan 

verifying that the vehicles scheduled for 

testing will be representative of all 

vehicle configurations (e.g., each engine 

control module variant coupled with 

and without the other available vehicle 

components that could affect scan tool 

communication such as automatic 

transmission or hybrid powertrain 

control modules). The plan must 

include details on all the different 

applications and configurations that 

will be tested. 

As noted, manufacturers will be 

required to conduct this testing on 

actual production vehicles, not standalone engines. This is important since 

controllers that work properly in a stand 

alone setting (e.g., the engine before it 

is installed in a vehicle) may have 

interaction problems when installed and 

attempting to communicate with other 

vehicle controllers (e.g., the 

transmission controller). In such a case, 

separate testing of the controllers would 

be blind to the problem. Since heavyduty engine manufacturers are expected 

to sell the same engine (with the same 

calibration) to various vehicle 

manufacturers who would put them in 

different final products (e.g., with 

different transmission control modules), 

the same communication problem 

would be expected in each final 

product. 

This testing should occur soon 

enough in the production cycle to 

provide manufacturers with early 

feedback regarding the existence of any 

problems and time to resolve the 

problem prior to the entire model year’s 

products being introduced into the field. 

We are requiring that the testing be done 

and the data submitted to us within 

either three months of the start of 

normal engine production or one month 

of the start of vehicle production, 

whichever is later. 

To be sure that all manufacturers are 

testing vehicles to the same level of 

stringency, we are requiring that engine 

manufacturers submit documentation 

outlining the testing equipment and 

methods they intend to use to perform 

this testing. We anticipate that engine 

manufacturers and scan tool 

manufacturers will probably develop a 

common piece of hardware and software 

that could be used by all engine 

manufacturers at the end of the vehicle 

assembly line to meet this requirement. 

Two different projects (SAE J1699 and 

LOC3T) have developed such 

equipment in response to California 

OBD II requirements.81 The equipment 

is currently being used to test 2005 and 

2006 model year vehicles under 14,000 

pounds. We believe that similar 

equipment could be developed for 

vehicles over 14,000 pounds in time for 

the 2013 model year. Ideally, the 

equipment and the test procedure 

would verify each and every 

requirement of the communication 

specifications including the various 

physical layers, message structure, 

response times, and message content. 

Presumably, any such verification 

equipment would not replace the 

function of existing ‘‘generic’’ scan tools 

used by repair technicians or I/M 

inspectors. The equipment would likely 

be custom-designed and be used for the 

express purpose of this assembly line 

testing (i.e., it would not include all of 

the necessary diagnostic features needed 

by repair technicians). 

2. Verification of Monitoring 

Requirements 

As noted above, the OBD system is a 

complex software and hardware system, 

so there are many opportunities for 

unintended interactions that can result 

in certain elements of the system not 

working as intended. The causes of 

possible problems vary from simple 

typing errors in the software code to 

component supplier hardware changes 

late in development or just prior to start 

of production. Given the complexity of 

OBD monitors and their associated 

algorithms, there can be thousands of 

lines of software code required to meet 

the diagnostic requirements. 

Implementing that code without 

interfering with the software code 

required for normal operation is and 

will be a very difficult task with many 

opportunities for human error. We 

expect that manufacturers will conduct 

some validation testing on end products 

to ensure that there are no problems that 

would be noticed by the vehicle 

operator. We believe that manufacturers 

should include in such verification 

testing an evaluation of the OBD system 

(e.g., does the MIL illuminate as 

intended in response to a malfunction?). 

Therefore, we are requiring that 

engine manufacturers perform a 

thorough level of validation testing on at 

least one production vehicle and up to 

two more production engines per model 

year. The production vehicles/engines 

required for testing would have to be 

equipped with/be from the same engine 

families and ratings as used for the 

certification demonstration testing 

described in section VII.C. If a 

manufacturer demonstrated one, two, or 

three engines for certification, then at 

least one production vehicle and 

perhaps an additional one to two 

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Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 8351 

82 13 CCR 1971.1, Docket ID# EPA–HQ–OAR– 

2005–0047–0006. 

83Summary and Analysis of Comments 

document, HDOBD final rule, EPA420–R–08–018, 

Docket ID# EPA–HQ–OAR–2005–0047–0055. 

engines would have to be tested, 

respectively. We will work with the 

manufacturer and CARB staff to 

determine the actual vehicles and 

engines to test. 

The testing itself will consist of 

implanting or simulating malfunctions 

to verify that virtually every single 

engine-related OBD monitor on the 

vehicle correctly identifies the 

malfunction, stores an appropriate DTC, 

and illuminates the MIL. Manufacturers 

will not be required to conduct any 

emissions testing. Instead, for those 

malfunctions designed against an 

emissions threshold, the manufacturer 

would simply implant or simulate a 

malfunction and verify detection, DTC 

storage, and MIL illumination. Actual 

‘‘threshold’’ parts will not be needed for 

such testing. Implanted malfunctions 

could use severely deteriorated parts if 

desired by the manufacturer since the 

point of the testing is to verify detection, 

DTC storage, and MIL illumination. 

Upon submitting the data to the 

Administrator, the manufacturer will be 

required to also provide a description of 

the testing and the methods used to 

implant or simulate each malfunction. 

Note that testing of specific monitors 

will not be required if the manufacturer 

can show that no possible test exists 

that could be done on that monitor 

without causing physical damage to the 

production vehicle. We are requiring 

that the testing be completed and 

reported to us within six months after 

the manufacturer begins normal engine 

production. This should provide early 

feedback on the performance of every 

monitor on the vehicle prior to too 

many entering production. Upon good 

cause, we may extend the time period 

for testing. 

Note that, in their HDOBD rule,82

CARB allows, as an incentive to perform 

a thorough validation test, a 

manufacturer to request that any 

problem discovered during this self-test 

be treated as a ‘‘retroactive’’ deficiency. 

As discussed in section VII.D, we do not 

have a provision for retroactive 

deficiencies. Importantly, a retroactive 

deficiency granted by the Executive 

Officer does not preclude a 

manufacturer from complying with our 

defect reporting requirements. This 

issue was discussed in more detail in 

section VII.D. 

3. Verification of In-Use Monitoring 

Performance Ratios 

We are requiring that manufacturers 

track the performance of several of the 

most important monitors on the engine 

to determine how often they are 

monitoring during in-use operation. 

These requirements are discussed in 

more detail in section II.E. To 

summarize that discussion, monitors are 

expected to execute in the real world 

and meet a minimum acceptable 

performance level determined as the 

ratio of the number of good monitoring 

events to the number of actual trips. The 

ratio required is 10 percent, meaning 

that monitors should execute during at 

least 10 percent of the trips taken by the 

engine/vehicle. Monitors that perform 

below the minimum ratio will be subject 

to remedial action and possibly recall. 

However, the minimum ratio is not 

effective until the 2013 and later model 

years. For the 2010 through 2012 model 

year engines certified to today’s OBD 

requirements, we are requiring that the 

data be collected even though the 

minimum ratio is not yet effective. The 

data gathered on these engines will help 

to determine whether the 10 percent 

ratio is appropriate for all applications 

and, if not, we intend to propose a 

change to the requirement to reflect that 

learning. 

We are requiring that the engine 

manufacturer gather these data on 

production vehicles rather than engines. 

Since not every vehicle can be 

evaluated, we are requiring that 

manufacturers generate groups of 

engine/vehicle combinations to ensure 

adequate representation of the fleet. 

Specifically, manufacturers will be 

required to separate production vehicles 

into monitoring performance groups 

based on the following criteria and 

submit performance ratio data 

representative of each group: 

• Emission control system 

architecture type—All engines that use 

the same or similar emissions control 

system architecture and associated 

monitoring system would be in the same 

emission architecture category. By 

architecture we mean engines with EGR 

+ DPF + SCR, or EGR + DPF + NOX

Adsorber, or EGR + DPF-only, etc. 

• Application type—Within an 

emission architecture category, engines 

would be separated by vehicle 

application. The separate application 

categories would be based on three 

classifications: engines intended 

primarily for line-haul chassis 

applications, engines intended 

primarily for urban delivery chassis 

applications, and all other engines. 

We are requiring that these data be 

submitted to us within 12 months of the 

production vehicles entering the market. 

Upon submitting the collected data to 

us, the manufacturer must also provide 

a detailed description of how the data 

were gathered, how vehicles were 

grouped to represent sales of their 

engines, and the number of engines 

tested per monitoring performance 

group. Manufacturers will be required to 

submit performance ratio data from a 

sample of at least 15 vehicles per 

monitoring performance group. For 

example, a manufacturer with two 

emission control system architectures 

sold into each of the line-haul, urban 

delivery, and ‘‘other’’ groupings, will be 

required to submit data on up to 90 

vehicles (i.e., 2 × 3 × 15). We are 

requiring that these data be collected 

every year. Some manufacturers may 

find it easiest to collect data from 

vehicles that come in to its authorized 

repair facilities for routine maintenance 

or warranty work during the time period 

required, while others may find it more 

advantageous to hire a contractor to 

collect the data. Upon good cause, we 

may extend the time period for testing. 

As stated before, the data collected 

under this program are intended 

primarily to provide an early indication 

that the systems are working as 

intended in the field, to provide 

information to ‘‘fine-tune’’ the 

requirement to track the performance of 

monitors, and to provide data to be used 

to develop a more appropriate minimum 

ratio for future regulatory revisions. The 

data are not intended to substitute for 

testing that we would perform for 

enforcement reasons to determine if a 

manufacturer is complying with the 

minimum acceptable performance 

ratios. In fact, the data collected would 

not likely meet all the required elements 

for testing to make an official 

determination that the system is 

noncompliant. As such, we believe the 

testing will be of most value to 

manufacturers since monitor 

performance problems can be corrected 

prior to EPA conducting a full 

enforcement action that could result in 

a recall. 

VIII. What Are the Issues Concerning 

Inspection and Maintenance Programs? 

In the preamble to our proposal, we 

included a discussion of issues 

surrounding potential future HDOBDbased I/M programs. However, while we 

sought comment on these issues, we did 

not make any formal proposals 

regarding HDOBD-based I/M. We 

received a fair amount of comment and 

have summarized those comments in 

the Summary and Analysis document 

contained in the docket for this rule.83

We are taking no final action regarding 

HDOBD-based I/M at this time. We refer 

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8352 Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 

84Final Technical Support Document, HDOBD 

final rule, EPA420–R–08–019, Docket ID# EPA– 

HQ–OAR–2005–0047–0056. 

the reader to the proposal for our 

discussion of the issues, and our 

Summary and Analysis document for a 

summary of the comments we received. 

IX. Statutory and Executive Order 

Reviews 

A. Executive Order 12866: Regulatory 

Planning and Review 

This action is not a ‘‘significant 

regulatory action’’ under the terms of 

Executive Order (EO) 12866 (58 FR 

51735, October 4, 1993) and is, 

therefore, not subject to review under 

the EO. 

EPA prepared an analysis of the 

potential costs associated with this 

action. This analysis is contained in the 

technical support document.84 A copy 

of the analysis is available in the docket 

and was summarized in section V of this 

preamble. 

B. Paperwork Reduction Act 

The information collection 

requirements for this action have been 

submitted for approval to the Office of 

Management and Budget (OMB) under 

the Paperwork Reduction Act, 44 U.S.C. 

3501 et seq. The Information Collection 

Request (ICR) document prepared by 

EPA has been assigned EPA ICR number 

1684.13. Under Title II of the Clean Air 

Act (42 U.S.C. 7521 et seq.; CAA), EPA 

is charged with issuing certificates of 

conformity for those engines that 

comply with applicable emission 

standards. Such a certificate must be 

issued before engines may be legally 

introduced into commerce. EPA uses 

certification information to verify that 

the proper engine prototypes have been 

selected and that the necessary testing 

has been performed to assure that each 

engine complies with emission 

standards. In addition, EPA also has the 

authority under Title II of the Clean Air 

to ensure compliance by require in-use 

testing of vehicles and engines. EPA is 

requiring additional information at the 

time of certification to ensure that the 

on-board diagnostic (OBD) requirements 

are being met. EPA is also requiring that 

manufacturers conduct and report the 

results of in-use testing of the OBD 

systems to demonstrate that they are 

performing properly. Therefore, EPA is 

requiring 207 hours of annual burden 

per each of the 12 respondents to 

conduct the OBD certification, 

compliance, and in-use testing 

requirements required by this action. 

EPA estimates that the total of the of the 

2484 hours of annual cost burden will 

be $16,018 per respondent for a total 

annual industry cost burden for the 12 

respondents of $1,236,481. 

Burden means the total time, effort, or 

financial resources expended by persons 

to generate, maintain, retain, or disclose 

or provide information to or for a 

Federal agency; technology and systems 

for the purposes of collecting, 

validating, and verifying. This includes 

the time needed to review instructions; 

develop, acquire, install, and utilize 

information, processing and 

maintaining information, and disclosing 

and providing information; adjust the 

existing ways to comply with any 

previously applicable instructions and 

requirements; train personnel to be able 

to respond to a collection of 

information; search data sources; 

complete and review the collection of 

information; and transmit or otherwise 

disclose the information. 

An agency may not conduct or 

sponsor, and a person is not required to 

respond to a collection of information 

unless it displays a currently valid OMB 

control number. The OMB control 

numbers for EPA’s regulations in 40 

CFR are listed in 40 CFR part 9. 

C. Regulatory Flexibility Act (RFA), as 

Amended by the Small Business 

Regulatory Enforcement Fairness Act of 

1996 (SBREFA), 5 U.S.C. 601 et seq. 

The Regulatory Flexibility Act (RFA) 

generally requires an agency to prepare 

a regulatory flexibility analysis of any 

rule subject to notice and comment 

rulemaking requirements under the 

Administrative Procedure Act or any 

other statute unless the agency certifies 

that the rule will not have a significant 

economic impact on a substantial 

number of small entities. Small entities 

include small businesses, small 

organizations, and small governmental 

jurisdictions. 

For purposes of assessing the impacts 

of this action on small entities, small 

entity is defined as: (1) A small 

businesses defined by the Small 

Business Administration’s (SBA) 

regulations at 13 DFR 121.201; (2) a 

small governmental jurisdiction that is a 

government of a city, county, town, 

school district or special district with a 

population of less than 50,000; and (3) 

a small organization that is any not-forprofit enterprise which is independently 

owned and operated and is not 

dominant in its field. 

After considering the economic 

impacts of this action on small entities, 

I certify that this final action will not 

have a significant economic impact on 

a substantial number of small entities. 

This action will not impose any 

requirements on small entities. This 

action places new requirements on 

manufacturers of large engines meant 

for highway use. These are large 

manufacturers. This action also changes 

existing requirements on manufacturers 

of passenger car and smaller heavy-duty 

engines meant for highway use. These 

changes place no meaningful new 

requirements on those manufacturers. 

D. Unfunded Mandates Reform Act 

Title II of the Unfunded Mandates 

Reform Act of 1995 (UMRA), Public 

Law 104–4, establishes requirements for 

federal agencies to assess the effects of 

their regulatory actions on state, local, 

and tribal governments, and the private 

sector. Under section 202 of the UMRA, 

EPA generally must prepare a written 

statement, including a cost-benefit 

analysis, for proposed and final rules 

with ‘‘Federal mandates’’ that may 

result in expenditures to state, local, 

and tribal governments, in the aggregate, 

or to the private sector, of $100 million 

or more for any single year. Before 

promulgating a rule for which a written 

statement is needed, section 205 of the 

UMRA generally requires EPA to 

identify and consider a reasonable 

number of regulatory alternatives and to 

adopt the least costly, most costeffective, or least burdensome 

alternative that achieves the objectives 

of the rule. The provisions of section 

205 do not apply when they are 

inconsistent with applicable law. 

Moreover, section 205 allows EPA to 

adopt an alternative that is not the least 

costly, most cost-effective, or least 

burdensome alternative if the 

Administrator publishes with the final 

rule an explanation of why such an 

alternative was not adopted. 

Before EPA establishes any regulatory 

requirement that may significantly or 

uniquely affect small governments, 

including tribal governments, it must 

have developed under section 203 of the 

UMRA a small government agency plan. 

The plan must provide for notifying 

potentially affected small governments, 

enabling officials of affected small 

governments to have meaningful and 

timely input in the development of EPA 

regulatory proposals with significant 

Federal intergovernmental mandates, 

and informing, educating, and advising 

small governments on compliance with 

the regulatory requirements. 

This rule contains no federal 

mandates (under the regulatory 

provisions of Title II of the UMRA) for 

State, local, or tribal governments or the 

private sector. The rule imposes no 

enforceable duties on any of these 

entities. Nothing in the rule would 

significantly or uniquely affect small 

governments. We have determined that 

this rule does not contain a federal 

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Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 8353 

mandate that may result in estimated 

expenditures of more than $100 million 

to the private sector in any single year. 

Therefore, this action is not subject to 

the requirements of sections 202 or 205 

of the UMRA. Further, this action is also 

not subject to the requirements of 

section 203 of UMRA. 

E. Executive Order 13132: Federalism 

Executive Order 13132, entitled 

‘‘Federalism’’ (64 FR 43255, August 10, 

1999), requires EPA to develop an 

accountable process to ensure 

‘‘meaningful and timely input by State 

and local officials in the development of 

regulatory policies that have federalism 

implications.’’ ‘‘Policies that have 

federalism implications’’ is defined in 

the Executive Order to include 

regulations that have ‘‘substantial direct 

effects on the States, on the relationship 

between the national government and 

the States, or on the distribution of 

power and responsibilities among the 

various levels of government.’’ 

This action does not have federalism 

implications. It will not have substantial 

direct effects on the States, on the 

relationship between the national 

government and the States, or on the 

distribution of power and 

responsibilities among the various 

levels of government, as specified in 

Executive Order 13132. This action 

places new requirements on 

manufacturers of large engines meant 

for highway use and changes existing 

requirements on manufacturers of 

passenger car and smaller heavy-duty 

engines meant for highway use. These 

changes do not affect States or the 

relationship between the national 

government and the States. Thus, 

Executive Order 13132 does not apply 

to this rule. 

F. Executive Order 13175: Consultation 

and Coordination With Indian Tribal 

Governments 

Executive Order 13175, entitled 

‘‘Consultation and Coordination with 

Indian Tribal Governments’’ (65 FR 

67249, November 9, 2000), requires EPA 

to develop an accountable process to 

ensure ‘‘meaningful and timely input by 

tribal officials in the development of 

regulatory policies that have tribal 

implications.’’ This action does not have 

tribal implications, as specified in 

Executive Order 13175. This action does 

not uniquely affect the communities of 

American Indian tribal governments 

since the motor vehicle requirements for 

private businesses in this action would 

have national applicability. 

Furthermore, this action does not 

impose any direct compliance costs on 

these communities and no 

circumstances specific to such 

communities exist that would cause an 

impact on these communities beyond 

those discussed in the other sections of 

this document. Thus, Executive Order 

13175 does not apply to this action. 

G. Executive Order 13045: Protection of 

Children From Environmental Health 

and Safety Risks 

Executive Order 13045, ‘‘Protection of 

Children from Environmental Health 

Risks and Safety Risks’’ (62 FR 19885, 

April 23, 1997) applies to any rule that: 

(1) Is determined to be ‘‘economically 

significant’’ as defined under Executive 

Order 12866; and, (2) concerns an 

environmental health or safety risk that 

EPA has reason to believe may have a 

disproportionate effect on children. If 

the regulatory action meets both criteria, 

the Agency must evaluate the 

environmental health or safety effects of 

the planned rule on children, and 

explain why the planned regulation is 

preferable to other potentially effective 

and reasonably feasible alternatives 

considered by the Agency. 

This action is not subject to the 

Executive Order because it is not an 

economically significant regulatory 

action as defined by Executive Order 

12866, and because the Agency does not 

have reason to believe the 

environmental health or safety risks 

addressed by this action present a 

disproportionate risk to children. 

H. Executive Order 13211: Actions That 

Significantly Affect Energy Supply, 

Distribution, or Use 

This action is not subject to Executive 

Order 13211 (66 FR 28355 (May 22, 

2001)), because it is not a significant 

regulatory action under Executive Order 

12866. 

I. National Technology Transfer 

Advancement Act 

Section 12(d) of the National 

Technology Transfer and Advancement 

Act of 1995 (NTTAA), Section 12(d) of 

Public Law 104–113, directs EPA to use 

voluntary consensus standards in its 

regulatory activities unless to do so 

would be inconsistent with applicable 

law or otherwise impractical. Voluntary 

consensus standards are technical 

standards (e.g., materials specifications, 

test methods, sampling procedures, and 

business practices) developed or 

adopted by voluntary consensus 

standards bodies. The NTTAA directs 

EPA to provide Congress, through OMB, 

explanations when the Agency decides 

not to use available and applicable 

voluntary consensus standards. 

This final rule references technical 

standards. The technical standards are 

listed in § 86.1 of the regulatory text, 

and directions for how they may be 

obtained are provided in § 86.1. 

J. Executive Order 12898: Federal 

Actions To Address Environmental 

Justice in Minority Populations and 

Low-Income Populations 

Executive Order (EO) 12898 (59 FR 

7629 (Feb. 16, 1994)) establishes federal 

executive policy on environmental 

justice. Its main provision directs 

federal agencies, to the greatest extent 

practicable and permitted by law, to 

make environmental justice part of their 

mission by identifying and addressing, 

as appropriate, disproportionately high 

and adverse human health or 

environmental effects of their programs, 

policies, and activities on minority 

populations and low-income 

populations in the United States. 

EPA has determined that this final 

rule will not have disproportionately 

high and adverse human health or 

environmental effects on minority or 

low-income populations because it 

increases the level of environmental 

protection for all affected populations 

without having any disproportionately 

high and adverse human health or 

environmental effects on any 

population, including any minority or 

low-income population. This action 

applies to all newly produced engines 

nationwide once implemented without 

regard for where those engines are 

ultimately used. EPA believes that all 

segments of society will benefit equally 

as a result of today’s action and that no 

one will suffer adverse human health or 

environmental effects. 

K. Congressional Review Act 

The Congressional Review Act, 5 

U.S.C. 801 et seq., as added by the Small 

Business Regulatory Enforcement 

Fairness Act of 1996, generally provides 

that before a rule may take effect, the 

agency promulgating the rule must 

submit a rule report, which includes a 

copy of the rule, to each House of the 

Congress and to the Comptroller General 

of the United States. EPA will submit a 

report containing this rule and other 

required information to the U.S. Senate, 

the U.S. House of Representatives, and 

the Comptroller General of the United 

States prior to publication of the rule in 

the Federal Register. A Major rule 

cannot take effect until 60 days after it 

is published in the Federal Register. 

This action is not a ‘‘major rule’’ as 

defined by 5 U.S.C. 804(2). This rule 

will be effective April 27, 2009. 

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8354 Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 

X. Statutory Provisions and Legal 

Authority 

Statutory authority for today’s final 

rule is found in the Clean Air Act, 42 

U.S.C. 7401 et seq., in particular, 

sections 202 and 206 of the Act, 42 

U.S.C. 7521, 7525. This rule is being 

promulgated under the administrative 

and procedural provisions of Clean Air 

Act section 307(d), 42 U.S.C. 7607(d). 

List of Subjects 

40 CFR Part 86 

Environmental protection, 

Administrative practice and procedure, 

Incorporation by reference, Motor 

vehicle pollution. 

40 CFR Part 89 

Environmental protection, 

Administrative practice and procedure, 

Confidential business information, 

Imports, Labeling, Motor vehicle 

pollution, Reporting and recordkeeping 

requirements, Research, Vessels, 

Warranty. 

40 CFR Part 90 

Environmental protection, 

Administrative practice and procedure, 

Confidential business information, 

Imports, Labeling, Reporting and 

recordkeeping requirements, Research, 

Warranty. 

40 CFR Part 1027 

Environmental protection, 

Administrative practice and procedure, 

Air pollution control, Imports, 

Reporting and recordkeeping 

requirements. 

40 CFR Part 1033 

Environmental protection, 

Administrative practice and procedure, 

Confidential business information, 

Incorporation by reference, Labeling, 

Penalties, Railroads, Reporting and 

recordkeeping requirements. 

40 CFR Part 1042 

Environmental protection, 

Administrative practice and procedure, 

Air pollution control, Confidential 

business information, Imports, 

Incorporation by reference, Labeling, 

Penalties, Vessels, Reporting and 

recordkeeping requirements, 

Warranties. 

40 CFR Parts 1048, 1054, and 1060 

Environmental protection, 

Administrative practice and procedure, 

Air pollution control, Confidential 

business information, Imports, 

Incorporation by reference, Labeling, 

Penalties, Reporting and recordkeeping 

requirements, Warranties. 

40 CFR Part 1065 

Environmental protection, 

Administrative practice and procedure, 

Incorporation by reference, Reporting 

and recordkeeping requirements, 

Research. 

40 CFR Part 1068 

Environmental protection, 

Administrative practice and procedure, 

Confidential business information, 

Imports, Incorporation by reference, 

Motor vehicle pollution, Penalties, 

Reporting and recordkeeping 

requirements, Warranties. 

Dated: December 4, 2008. 

Stephen L. Johnson, 

Administrator. 

■ For the reasons set out in the 

preamble, title 40 chapter I of the Code 

of Federal Regulations is amended as 

follows: 

PART 86—CONTROL OF EMISSIONS 

FROM NEW AND IN-USE HIGHWAY 

VEHICLES AND ENGINES 

■ 1. The authority citation for part 86 

continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

■ 2. Section 86.1 is revised to read as 

follows: 

§ 86.1 Reference materials. 

(a) The documents in paragraph (b) of 

this section have been incorporated by 

reference into this part with the 

approval of the Director of the Federal 

Register under 5 U.S.C. 552(a) and 1 

CFR part 51. To enforce any edition 

other than that specified in this section, 

a notice of change must be published in 

the Federal Register and the material 

must be available to the public. All 

approved material is available for 

inspection at the National Archives and 

Records Administration (NARA). For 

information on the availability of this 

material at NARA, call 202–741–6030 or 

go to http://www.archives.gov/federal_

register/code_of_federal_regulations/ 

ibr_ locations.html. Also, the material is 

available for inspection at the Air 

Docket, EPA/DC, EPA West, Room 

B102, 1301 Constitution Ave., NW., 

Washington, DC. The Public Reading 

Room is open from 8:30 a.m. to 4:30 

p.m., Monday through Friday, excluding 

legal holidays. The telephone number 

for the Air Docket is 202–566–1742. 

Copies are also available from the 

sources listed below. 

(b) The following paragraphs set forth 

the material that has been incorporated 

by reference in this part. 

(1) ASTM material. Copies of these 

materials may be obtained from 

American Society for Testing and 

Materials, 100 Barr Harbor Drive, West 

Conshohocken, PA 19428–2959, or by 

calling 610–832–9585, or at http:// 

www.astm.org. 

(i) ASTM D 975–04c, Standard 

Specification for Diesel Fuel Oils, IBR 

approved for §§ 86.1910, 86.213–11. 

(ii) ASTM D1945–91, Standard Test 

Method for Analysis of Natural Gas by 

Gas Chromatography, IBR approved for 

§§ 86.113–94, 86.513–94, 86.1213–94, 

86.1313–94. 

(iii) ASTM D2163–91, Standard Test 

Method for Analysis of Liquefied 

Petroleum (LP) Gases and Propane 

Concentrates by Gas Chromatography, 

IBR approved for §§ 86.113–94, 

86.1213–94, 86.1313–94. 

(iv) ASTM D2986–95a, Reapproved 

1999, Standard Practice for Evaluation 

of Air Assay Media by the 

Monodisperse DOP (Dioctyl Phthalate) 

Smoke Test, IBR approved for 

§§ 86.1310–2007. 

(v) ASTM D5186–91, Standard Test 

Method for Determination of Aromatic 

Content of Diesel Fuels by Supercritical 

Fluid Chromatography, IBR approved 

for §§ 86.113–07, 86.1313–91, 86.1313– 

94, 86.1313–98, 1313–2007. 

(vi) ASTM E29–67, Reapproved 1980, 

Standard Recommended Practice for 

Indicating Which Places of Figures Are 

To Be Considered Significant in 

Specified Limiting Values, IBR 

approved for § 86.1105–87. 

(vii) ASTM E29–90, Standard Practice 

for Using Significant Digits in Test Data 

to Determine Conformance with 

Specifications, IBR approved for 

§§ 86.609–84, 86.609–96, 86.609–97, 

86.609–98, 86.1009–84, 86.1009–96, 

86.1442, 86.1708–99, 86.1709–99, 

86.1710–99, 86.1728–99. 

(viii) ASTM E29–93a, Standard 

Practice for Using Significant Digits in 

Test Data to Determine Conformance 

with Specifications, IBR approved for 

§§ 86.098–15, 86.004–15, 86.007–11, 

86.007–15, 86.1803–01, 86.1823–01, 

86.1824–01, 86.1825–01, 86.1837–01. 

(ix) ASTM F1471–93, Standard Test 

Method for Air Cleaning Performance of 

a High-Efficiency Particulate Air-Filter 

System, IBR approved § 86.1310–2007. 

(2) SAE material. Copies of these 

materials may be obtained from Society 

of Automotive Engineers International, 

400 Commonwealth Dr., Warrendale, 

PA 15096–0001, or by calling 724–776– 

4841, or at http://www.sae.org. 

(i) SAE J1151, December 1991, 

Methane Measurement Using Gas 

Chromatography, 1994 SAE 

Handbook—SAE International 

Cooperative Engineering Program, 

Volume 1: Materials, Fuels, Emissions, 

and Noise; Section 13 and page 170 

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(13.170), IBR approved for §§ 86.111–94; 

86.1311–94. 

(ii) SAE J1349, June 1990, Engine 

Power Test Code—Spark Ignition and 

Compression Ignition, IBR approved for 

§§ 86.094–8, 86.096–8. 

(iii) SAE J1850, July 1995, Class B 

Data Communication Network Interface, 

IBR approved for §§ 86.099–17, 

86.1806–01. 

(iv) SAE J1850, Revised May 2001, 

Class B Data Communication Network 

Interface, IBR approved for §§ 86.005– 

17, 86.007–17, 86.1806–04, 86.1806–05. 

(v) SAE J1877, July 1994, 

Recommended Practice for Bar-Coded 

Vehicle Identification Number Label, 

IBR approved for §§ 86.095–35, 

86.1806–01. 

(vi) SAE J1892, October 1993, 

Recommended Practice for Bar-Coded 

Vehicle Emission Configuration Label, 

IBR approved for §§ 86.095–35, 

86.1806–01. 

(vii) SAE J1930, Revised May 1998, 

Electrical/Electronic Systems Diagnostic 

Terms, Definitions, Abbreviations, and 

Acronyms, IBR approved for §§ 86.096– 

38, 86.004–38, 86.007–38, 86.010–38, 

86.1808–01, 86.1808–07. 

(viii) SAE J1930, Revised April 2002, 

Electrical/Electronic Systems Diagnostic 

Terms, Definitions, Abbreviations, and 

Acronyms—Equivalent to ISO/TR 

15031–2: April 30, 2002, IBR approved 

for §§ 86.005–17, 86.007–17, 86.010–18, 

86.1806–04, 86.1806–05. 

(ix) SAE J1937, November 1989, 

Engine Testing with Low Temperature 

Charge Air Cooler Systems in a 

Dynamometer Test Cell, IBR approved 

for §§ 86.1330–84, 86.1330–90. 

(x) SAE J1939, Revised October 2007, 

Recommended Practice for a Serial 

Control and Communications Vehicle 

Network, IBR approved for §§ 86.010– 

18. 

(xi) SAE J1939–11, December 1994, 

Physical Layer—250K bits/s, Shielded 

Twisted Pair, IBR approved for 

§§ 86.005–17, 86.1806–05. 

(xii) SAE J1939–11, Revised October 

1999, Physical Layer—250K bits/s, 

Shielded Twisted Pair, IBR approved for 

§§ 86.005–17, 86.007–17, 86.1806–04, 

86.1806–05. 

(xiii) SAE J1939–13, July 1999, OffBoard Diagnostic Connector, IBR 

approved for §§ 86.005–17, 86.007–17, 

86.1806–04, 86.1806–05. 

(xiv) SAE J1939–13, Revised March 

2004, Off-Board Diagnostic Connector, 

IBR approved for § 86.010–18. 

(xv) SAE J1939–21, July 1994, Data 

Link Layer, IBR approved for §§ 86.005– 

17, 86.1806–05. 

(xvi) SAE J1939–21, Revised April 

2001, Data Link Layer, IBR approved for 

§§ 86.005–17, 86.007–17, 86.1806–04, 

86.1806–05. 

(xvii) SAE J1939–31, Revised 

December 1997, Network Layer, IBR 

approved for §§ 86.005–17, 86.007–17, 

86.1806–04, 86.1806–05. 

(xviii) SAE J1939–71, May 1996, 

Vehicle Application Layer, IBR 

approved for §§ 86.005–17, 86.1806–05. 

(xix) SAE J1939–71, Revised August 

2002, Vehicle Application Layer— 

J1939–71 (through 1999), IBR approved 

for §§ 86.005–17, 86.007–17, 86.1806– 

04, 86.1806–05. 

(xx) SAE J1939–71, Revised January 

2008, Vehicle Application Layer 

(Through February 2007), IBR approved 

for § 86.010–38. 

(xxi) SAE J1939–73, February 1996, 

Application Layer—Diagnostics, IBR 

approved for §§ 86.005–17, 86.1806–05. 

(xxii) SAE J1939–73, Revised June 

2001, Application Layer—Diagnostics, 

IBR approved for §§ 86.005–17, 86.007– 

17, 86.1806–04, 86.1806–05. 

(xxiii) SAE J1939–73, Revised 

September 2006, Application Layer— 

Diagnostics, IBR approved for 

§§ 86.010–18, 86.010–38. 

(xxiv) SAE J1939–81, July 1997, 

Recommended Practice for Serial 

Control and Communications Vehicle 

Network Part 81—Network 

Management, IBR approved for 

§§ 86.005–17, 86.007–17, 86.1806–04, 

86.1806–05. 

(xxv) SAE J1939–81, Revised May 

2003, Network Management, IBR 

approved for § 86.010–38. 

(xxvi) SAE J1962, January 1995, 

Diagnostic Connector, IBR approved for 

§§ 86.099–17, 86.1806–01. 

(xxvii) SAE J1962, Revised April 

2002, Diagnostic Connector Equivalent 

to ISO/DIS 15031–3; December 14, 2001, 

IBR approved for §§ 86.005–17, 86.007– 

17, 86.010–18, 86.1806–04, 86.1806–05. 

(xxviii) SAE J1978, Revised April 

2002, OBD II Scan Tool—Equivalent to 

ISO/DIS 15031–4; December 14, 2001, 

IBR approved for §§ 86.005–17, 86.007– 

17, 86.010–18, 86.1806–04, 86.1806–05. 

(xxix) SAE J1979, July 1996, E/E 

Diagnostic Test Modes, IBR approved 

for §§ 86.099–17, 86.1806–01. 

(xxx) SAE J1979, Revised September 

1997, E/E Diagnostic Test Modes, IBR 

approved for §§ 86.096–38, 86.004–38, 

86.007–38, 86.010–38, 86.1808–01, 

86.1808–07. 

(xxxi) SAE J1979, Revised April 2002, 

E/E Diagnostic Test Modes—Equivalent 

to ISO/DIS 15031–5; April 30, 2002, IBR 

approved for §§ 86.099–17, 86.005–17, 

86.007–17, 86.1806–01, 86.1806–04, 

86.1806–05. 

(xxxii) SAE J1979, Revised May 2007, 

(R) E/E Diagnostic Test Modes, IBR 

approved for § 86.010–18, 86.010–38. 

(xxxiii) SAE J2012, July 1996, 

Recommended Practice for Diagnostic 

Trouble Code Definitions, IBR approved 

for §§ 86.099–17, 86.1806–01. 

(xxxiv) SAE J2012, Revised April 

2002, (R) Diagnostic Trouble Code 

Definitions Equivalent to ISO/DIS 

15031–6: April 30, 2002, IBR approved 

for §§ 86.005–17, 86.007–17, 86.010–18, 

86.1806–04, 86.1806–05. 

(xxxv) SAE J2284–3, May 2001, High 

Speed CAN (HSC) for Vehicle 

Applications at 500 KBPS, IBR 

approved for §§ 86.096–38, 86.004–38, 

86.007–38, 86.010–38, 86.1808–01, 

86.1808–07. 

(xxxvi) SAE J2403, Revised August 

2007, Medium/Heavy-Duty E/E Systems 

Diagnosis Nomenclature—Truck and 

Bus, IBR approved for §§ 86.007–17, 

86.010–18, 86.010–38, 86.1806–05. 

(xxxvii) SAE J2534, February 2002, 

Recommended Practice for Pass-Thru 

Vehicle Programming, IBR approved for 

§§ 86.096–38, 86.004–38, 86.007–38, 

86.010–38, 86.1808–01, 86.1808–07. 

(xxxviii) SAE J2534–1, Revised 

December 2004, (R) Recommended 

Practice for Pass-Thru Vehicle 

Programming, IBR approved for 

§ 86.010–38. 

(3) ANSI material. Copies of these 

materials may be obtained from the 

American National Standards Institute, 

25 W 43rd Street, 4th Floor, New York, 

NY 10036, or by calling 212–642–4900, 

or at http://www.ansi.org. 

(i) ANSI/AGA NGV1–1994, Standard 

for Compressed Natural Gas Vehicle 

(NGV) Fueling Connection Devices, IBR 

approved for §§ 86.001–9, 86.004–9, 

86.098–8, 86.099–8, 86.099–9, 86.1810– 

01. 

(ii) [Reserved] 

(4) California regulatory requirements. 

Copies of these materials may be 

obtained from U.S. EPA, see paragraph 

(a) of this section, or from the California 

Air Resources Board by calling 916– 

322–2884, or at http://www.arb.ca.gov. 

(i) California Regulatory Requirements 

Applicable to the ‘‘LEV II’’ Program, 

including: 

(A) California Exhaust Emission 

Standards and Test Procedures for 2003 

and Subsequent Model Zero-Emission 

Vehicles and 2001 and Subsequent 

Model Hybrid Electric Vehicles, in the 

Passenger Car, Light-duty Truck and 

Medium-duty Vehicle Classes, August 5, 

1999, IBR approved for §§ 86.1806–01, 

86.1811–04, 86.1844–01. 

(B) California Non-Methane Organic 

Gas Test Procedures, August 5, 1999, 

IBR approved for §§ 86.1803–01, 

86.1810–01, 86.1811–04. 

(ii) California Regulatory 

Requirements Applicable to the 

National Low Emission Vehicle 

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Program, October 1996, IBR approved 

for §§ 86.113–04, 86.612–97, 86.1012– 

97, 86.1702–99, 86.1708–99, 86.1709– 

99, 86.1717–99, 86.1735–99, 86.1771– 

99, 86.1775–99, 86.1776–99, 86.1777– 

99, Appendix XVI, Appendix XVII. 

(iii) California Regulatory 

Requirements known as On-board 

Diagnostics II (OBD–II), Approved on 

April 21, 2003, Title 13, California Code 

Regulations, Section 1968.2, 

Malfunction and Diagnostic System 

Requirements for 2004 and Subsequent 

Model-Year Passenger Cars, Light-Duty 

Trucks, and Medium-Duty Vehicles and 

Engines (OBD–II), IBR approved for 

§ 86.1806–05. 

(iv) California Regulatory 

Requirements known as On-board 

Diagnostics II (OBD–II), Approved on 

November 9, 2007, Title 13, California 

Code Regulations, Section 1968.2, 

Malfunction and Diagnostic System 

Requirements for 2004 and Subsequent 

Model-Year Passenger Cars, Light-Duty 

Trucks, and Medium-Duty Vehicles and 

Engines (OBD–II), IBR approved for 

§§ 86.007–17, 86.1806–05. 

(5) ISO material. Copies of these 

materials may be obtained from the 

International Organization for 

Standardization, Case Postale 56, CH– 

1211 Geneva 20, Switzerland, or by 

calling 41–22–749–01–11, or at http:// 

www.iso.org. 

(i) ISO 9141–2, February 1, 1994, 

Road vehicles—Diagnostic systems— 

Part 2: CARB requirements for 

interchange of digital information, IBR 

approved for §§ 86.099–17, 86.005–17, 

86.007–17, 86.1806–01, 86.1806–04, 

86.1806–05. 

(ii) ISO 14230–4:2000(E), June 1, 

2000, Road vehicles—Diagnostic 

systems—KWP 2000 requirements for 

Emission-related systems, IBR approved 

for §§ 86.099–17, 86.005–17, 86.007–17, 

86.1806–01, 86.1806–04, 86.1806–05. 

(iii) ISO 15765–4.3:2001, December 

14, 2001, Road Vehicles—Diagnostics 

on Controller Area Networks (CAN)— 

Part 4: Requirements for emissionsrelated systems, IBR approved for 

§§ 86.005–17, 86.007–17, 86.1806–04, 

86.1806–05. 

(iv) ISO 15765–4:2005(E), January 15, 

2005, Road Vehicles—Diagnostics on 

Controller Area Networks (CAN)—Part 

4: Requirements for emissions-related 

systems, IBR approved for §§ 86.007–17, 

86.010–18, 86.1806–05. 

(6) NIST material. NIST publications 

are sold by the Government Printing 

Office (GPO) and by the National 

Technical Information Service (NTIS). 

To purchase a NIST publication you 

must have the order number. Order 

numbers are available from the NIST 

Public Inquiries Unit at (301) 975–NIST. 

Mailing address: NIST Public Inquiries, 

NIST, 100 Bureau Drive, Stop 3460, 

Gaithersburg, Md., 20899–3460. If you 

have a GPO stock number, you can 

purchase printed copies of NIST 

publications from GPO. Orders should 

be sent to the Superintendent of 

Documents, U.S. Government Printing 

Office, Washington, DC 20402–9325. 

For more information, or to place an 

order, call (202) 512–1800, fax: (202) 

512–2250. More information can also be 

found at http://www.nist.gov. 

(i) NIST Special Publication 811, 1995 

Edition, Guide for the Use of the 

International System of Units (SI), IBR 

approved for § 86.1901. 

(ii) [Reserved] 

(7) Truck and Maintenance Council 

material. Copies of these materials may 

be obtained from the Truck and 

Maintenance Council, 950 North Glebe 

Road, Suite 210, Arlington, VA 22203– 

4181, or by calling 703–838–1754. 

(i) TMC RP 1210B, Revised June 2007, 

WINDOWSTM COMMUNICATION API, 

IBR approved for § 86.010–38. 

(ii) [Reserved] 

■ 3. Section 86.007–17 is added to 

Subpart A to read as follows: 

§ 86.007–17 On-board Diagnostics for 

engines used in applications less than or 

equal to 14,000 pounds GVWR. 

(a) General. 

(1) All heavy-duty engines intended 

for use in a heavy-duty vehicle weighing 

14,000 pounds GVWR or less must be 

equipped with an on-board diagnostic 

(OBD) system capable of monitoring all 

emission-related engine systems or 

components during the applicable 

useful life. Heavy-duty engines intended 

for use in a heavy-duty vehicle weighing 

14,000 pounds GVWR or less must meet 

the OBD requirements of this section 

according to the phase-in schedule in 

paragraph (k) of this section. All 

monitored systems and components 

must be evaluated periodically, but no 

less frequently than once per applicable 

certification test cycle as defined in 

Appendix I, paragraph (f), of this part, 

or similar trip as approved by the 

Administrator. 

(2) An OBD system demonstrated to 

fully meet the requirements in 

§ 86.1806–05 may be used to meet the 

requirements of this section, provided 

that the Administrator finds that a 

manufacturer’s decision to use the 

flexibility in this paragraph (a)(2) is 

based on good engineering judgment. 

(b) Malfunction descriptions. The 

OBD system must detect and identify 

malfunctions in all monitored emissionrelated engine systems or components 

according to the following malfunction 

definitions as measured and calculated 

in accordance with test procedures set 

forth in subpart N of this part (enginebased test procedures) excluding the test 

procedure referred to as the 

‘‘Supplemental emission test; test cycle 

and procedures’’ contained in § 86.1360, 

and excluding the test procedure 

referred to as the ‘‘Not-To-Exceed Test 

Procedure’’ contained in § 86.1370, and 

excluding the test procedure referred to 

as the ‘‘Load Response Test’’ contained 

in § 86.1380. 

(1) Catalysts and particulate filters. 

(i) Otto-cycle. Catalyst deterioration or 

malfunction before it results in an 

increase in NMHC (or NOX+NMHC, as 

applicable) emissions 1.5 times the 

NMHC (or NOX+NMHC, as applicable) 

standard or family emission limit (FEL), 

as compared to the NMHC (or 

NOX+NMHC, as applicable) emission 

level measured using a representative 

4000 mile catalyst system. 

(ii) Diesel. 

(A) If equipped, reduction catalyst 

deterioration or malfunction before it 

results in exhaust NOX emissions 

exceeding, for model years 2007 through 

2012, either 1.75 times the applicable 

NOX standard for engines certified to a 

NOX family emission limit (FEL) greater 

than 0.50 g/bhp-hr, or the applicable 

NOX FEL+0.6 g/bhp-hr for engines 

certified to a NOX FEL less than or equal 

to 0.50 g/bhp-hr and, for model years 

2013 and later, the applicable NOX

FEL+0.3 g/bhp-hr. If equipped, diesel 

oxidation catalyst (DOC) deterioration 

or malfunction before it results in 

exhaust NMHC emissions exceeding, for 

model years 2010 through 2012, 2.5 

times the applicable NMHC standard 

and, for model years 2013 and later, 2 

times the applicable NMHC standard. 

These catalyst monitoring requirements 

need not be done if the manufacturer 

can demonstrate that deterioration or 

malfunction of the system will not 

result in exceedance of the threshold. 

As an alternative, oxidation catalyst 

deterioration or malfunction before it 

results in an inability to achieve a 

temperature rise of 100 degrees C, or to 

reach the necessary diesel particulate 

filter (DPF) regeneration temperature, 

within 60 seconds of initiating an active 

DPF regeneration. Further, oxidation 

catalyst deterioration or malfunction 

when the DOC is unable to sustain the 

necessary regeneration temperature for 

the duration of the regeneration event. 

The OBD or control system must abort 

the regeneration if the regeneration 

temperature has not been reached 

within five minutes of initiating an 

active regeneration event, and if the 

regeneration temperature cannot be 

sustained for the duration of the 

regeneration event. 

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(B) If equipped with a DPF for model 

years 2007 through 2009, catastrophic 

failure of the device must be detected. 

Any DFP whose complete failure results 

in exhaust emissions exceeding 1.5 

times the applicable standard or FEL for 

NMHC (or NOX+NMHC, as applicable) 

or PM must be monitored for such 

catastrophic failure. This monitoring 

need not be done if the manufacturer 

can demonstrate that a catastrophic 

failure of the system will not result in 

exceedance of the threshold. If equipped 

with a DPF for model years 2010 and 

later, DPF deterioration or malfunction 

before it results in exhaust emissions 

exceeding the applicable PM FEL+0.04 

g/bhp-hr or 0.05 g/bhp-hr PM, 

whichever is higher. As an alternative to 

this requirement for 2010 through 2012, 

the OBD system can be designed to 

detect a malfunction based on a 

detectable decrease in the expected 

pressure drop across the DPF for a 

period of 5 seconds or more, whenever 

the engine is speed is greater than or 

equal to 50% (as defined in § 1065.610, 

Eq. 1065.610–3) and engine load, or 

torque, is greater than or equal to 50% 

of the maximum available at that speed 

under standard emission test 

conditions. For purposes of this 

paragraph, the detectable change in 

pressure drop is defined by operating 

the engine at its 50% speed and 50% 

load point under standard emission test 

conditions, observing the pressure drop 

on a clean DPF, and multiplying the 

observed pressure drop by 0.5. The 

detectable change in pressure drop shall 

be reported in units of kilopascals (kPa). 

At time of certification, manufacturers 

shall provide the detectable change in 

pressure drop value along with OBD 

engine data parameters recorded at the 

following nine engine speed/load 

operating points with a clean DPF: 50% 

speed, 50% load; 50% speed, 75% load, 

50% speed, 100% load; 75% speed, 

50% load; 75% speed, 75% load; 75% 

speed, 100% load; 100% speed, 50% 

load; 100% speed, 75% load; and 100% 

speed, 100% load. The OBD engine data 

pararmeters to be reported are described 

in § 86.010–18(k)(4)(ii) and shall 

include the following: engine speed; 

calculated load; air flow rate from mass 

air flow sensor (if so equipped); fuel 

rate; and DPF delta pressure. On all 

engines so equipped, catastrophic 

failure of the particulate trap must also 

be detected. In addition, the absence of 

the particulate trap or the trapping 

substrate must be detected. 

(2) Engine misfire. 

(i) Otto-cycle. Engine misfire resulting 

in exhaust emissions exceeding 1.5 

times the applicable standard or FEL for 

NMHC, NOX (or NOX+NMHC, as 

applicable) or CO; and any misfire 

capable of damaging the catalytic 

converter. 

(ii) Diesel. Lack of cylinder 

combustion must be detected. 

(3) Exhaust gas sensors. 

(i) Oxygen sensors and air-fuel ratio 

sensors downstream of aftertreatment 

devices. 

(A) Otto-cycle. If equipped, sensor 

deterioration or malfunction resulting in 

exhaust emissions exceeding 1.5 times 

the applicable standard or FEL for 

NMHC, NOX or CO. 

(B) Diesel. If equipped, sensor 

deterioration or malfunction resulting in 

exhaust emissions exceeding any of the 

following levels: The applicable PM 

FEL+0.04 g/bhp-hr or 0.05 g/bhp-hr PM, 

whichever is higher; or, for model years 

2007 through 2012, 1.75 times the 

applicable NOX standard for engines 

certified to a NOX FEL greater than 0.50 

g/bhp-hr, or, the applicable NOX

FEL+0.6 g/bhp-hr for engines certified 

to a NOX FEL less than or equal to 0.50 

g/bhp-hr and, for model years 2013 and 

later, the applicable NOX FEL+0.3 g/ 

bhp-hr; or, for model years 2010 through 

2012, 2.5 times the applicable NMHC 

standard and, for model years 2013 and 

later, 2 times the applicable NMHC 

standard. 

(ii) Oxygen sensors and air-fuel ratio 

sensors upstream of aftertreatment 

devices. 

(A) Otto-cycle. If equipped, sensor 

deterioration or malfunction resulting in 

exhaust emissions exceeding 1.5 times 

the applicable standard or FEL for 

NMHC, NOX or CO. 

(B) Diesel. If equipped, sensor 

deterioration or malfunction resulting in 

exhaust emissions exceeding any of the 

following levels: for model years 2007 

through 2009, the applicable PM 

FEL+0.04 g/bhp-hr or 0.05 g/bhp-hr PM, 

whichever is higher and, for model 

years 2010 and later, the applicable PM 

FEL+0.02 g/bhp-hr or 0.03 g/bhp-hr PM, 

whichever is higher; or, for model years 

2007 through 2012, 1.75 times the 

applicable NOX standard for engines 

certified to a NOX FEL greater than 0.50 

g/bhp-hr, or the applicable NOX

FEL+0.6 g/bhp-hr for engines certified 

to a NOX FEL less than or equal to 0.50 

g/bhp-hr and, for model years 2013 and 

later, the applicable NOX FEL+0.3 

g/bhp-hr ; or, for model years 2007 

through 2012, 2.5 times the applicable 

NMHC standard and, for model years 

2013 and later, 2 times the applicable 

NMHC standard; or, for 2007 through 

2012, 2.5 times the applicable CO 

standard and, for model years 2013 and 

later, 2 times the applicable CO 

standard. 

(iii) NOX sensors. 

(A) Otto-cycle. If equipped, sensor 

deterioration or malfunction resulting in 

exhaust emissions exceeding 1.5 times 

the applicable standard or FEL for 

NMHC, NOX or CO. 

(B) Diesel. If equipped, sensor 

deterioration or malfunction resulting in 

exhaust emissions exceeding any of the 

following levels: the applicable PM 

FEL+0.04 g/bhp-hr or 0.05 g/bhp-hr PM, 

whichever is higher; or, for model years 

2007 through 2012, 1.75 times the 

applicable NOX standard for engines 

certified to a NOX FEL greater than 0.50 

g/bhp-hr; or, the applicable NOX

FEL+0.6 g/bhp-hr for engines certified 

to a NOX FEL less than or equal to 0.50 

g/bhp-hr and, for model years 2013 and 

later, the applicable NOX FEL+0.3 

g/bhp-hr. 

(4) Evaporative leaks. If equipped, any 

vapor leak in the evaporative and/or 

refueling system (excluding the tubing 

and connections between the purge 

valve and the intake manifold) greater 

than or equal in magnitude to a leak 

caused by a 0.040 inch diameter orifice; 

an absence of evaporative purge air flow 

from the complete evaporative emission 

control system. Where fuel tank 

capacity is greater than 25 gallons, the 

Administrator may, following a request 

from the manufacturer, revise the size of 

the orifice to the smallest orifice 

feasible, based on test data, if the most 

reliable monitoring method available 

cannot reliably detect a system leak 

equal to a 0.040 inch diameter orifice. 

(5) Other emission control systems 

and components. 

(i) Otto-cycle. Any deterioration or 

malfunction occurring in an engine 

system or component directly intended 

to control emissions, including but not 

necessarily limited to, the exhaust gas 

recirculation (EGR) system, if equipped, 

the secondary air system, if equipped, 

and the fuel control system, singularly 

resulting in exhaust emissions 

exceeding 1.5 times the applicable 

emission standard or FEL for NMHC, 

NOX or CO. For engines equipped with 

a secondary air system, a functional 

check, as described in paragraph (b)(6) 

of this section, may satisfy the 

requirements of this paragraph (b)(5) 

provided the manufacturer can 

demonstrate that deterioration of the 

flow distribution system is unlikely. 

This demonstration is subject to 

Administrator approval and, if the 

demonstration and associated functional 

check are approved, the diagnostic 

system must indicate a malfunction 

when some degree of secondary airflow 

is not detectable in the exhaust system 

during the check. For engines equipped 

with positive crankcase ventilation 

(PCV), monitoring of the PCV system is 

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not necessary provided the 

manufacturer can demonstrate to the 

Administrator’s satisfaction that the 

PCV system is unlikely to fail. 

(ii) Diesel. Any deterioration or 

malfunction occurring in an engine 

system or component directly intended 

to control emissions, including but not 

necessarily limited to, the exhaust gas 

recirculation (EGR) system, if equipped, 

and the fuel control system, singularly 

resulting in exhaust emissions 

exceeding any of the following levels: 

for model years 2007 through 2009, the 

applicable PM FEL+0.04 g/bhp-hr or 

0.05 g/bhp-hr PM, whichever is higher 

and, for model years 2010 and later, the 

applicable PM FEL+0.02 g/bhp-hr or 

0.03 g/bhp-hr PM, whichever is higher; 

or, for model years 2007 through 2012, 

1.75 times the applicable NOX standard 

for engines certified to a NOX FEL 

greater than 0.50 g/bhp-hr or the 

applicable NOX FEL+0.6 g/bhp-hr for 

engines certified to a NOX FEL less than 

or equal to 0.50 g/bhp-hr and, for model 

years 2013 and later, the applicable NOX

FEL+0.3 g/bhp-hr; or, for model years 

2007 through 2012, 2.5 times the 

applicable NMHC standard and, for 

model years 2013 and later, 2 times the 

applicable NMHC standard; or, for 

model years 2007 through 2012, 2.5 

times the applicable CO standard and, 

for model years 2013 and later, 2 times 

the applicable CO standard. A 

functional check, as described in 

paragraph (b)(6) of this section, may 

satisfy the requirements of this 

paragraph (b)(5) provided the 

manufacturer can demonstrate that a 

malfunction would not cause emissions 

to exceed the applicable levels. This 

demonstration is subject to 

Administrator approval. For engines 

equipped with crankcase ventilation 

(CV), monitoring of the CV system is not 

necessary provided the manufacturer 

can demonstrate to the Administrator’s 

satisfaction that the CV system is 

unlikely to fail. 

(6) Other emission-related engine 

components. Any other deterioration or 

malfunction occurring in an electronic 

emission-related engine system or 

component not otherwise described 

above that either provides input to or 

receives commands from the on-board 

computer and has a measurable impact 

on emissions; monitoring of 

components required by this paragraph 

(b)(6) must be satisfied by employing 

electrical circuit continuity checks and 

rationality checks for computer input 

components (input values within 

manufacturer specified ranges based on 

other available operating parameters), 

and functionality checks for computer 

output components (proper functional 

response to computer commands) 

except that the Administrator may 

waive such a rationality or functionality 

check where the manufacturer has 

demonstrated infeasibility. 

Malfunctions are defined as a failure of 

the system or component to meet the 

electrical circuit continuity checks or 

the rationality or functionality checks. 

(7) Performance of OBD functions. 

Any sensor or other component 

deterioration or malfunction which 

renders that sensor or component 

incapable of performing its function as 

part of the OBD system must be detected 

and identified on engines so equipped. 

(c) Malfunction indicator light (MIL). 

The OBD system must incorporate a 

malfunction indicator light (MIL) 

readily visible to the vehicle operator. 

When illuminated, the MIL must 

display ‘‘Check Engine,’’ ‘‘Service 

Engine Soon,’’ a universally 

recognizable engine symbol, or a similar 

phrase or symbol approved by the 

Administrator. More than one general 

purpose malfunction indicator light for 

emission-related problems should not 

be used; separate specific purpose 

warning lights (e.g., brake system, fasten 

seat belt, oil pressure, etc.) are 

permitted. The use of red for the OBDrelated malfunction indicator light is 

prohibited. 

(d) MIL illumination. 

(1) The MIL must illuminate and 

remain illuminated when any of the 

conditions specified in paragraph (b) of 

this section are detected and verified, or 

whenever the engine control enters a 

default or secondary mode of operation 

considered abnormal for the given 

engine operating conditions. The MIL 

must blink once per second under any 

period of operation during which engine 

misfire is occurring and catalyst damage 

is imminent. If such misfire is detected 

again during the following driving cycle 

(i.e., operation consisting of, at a 

minimum, engine start-up and engine 

shut-off) or the next driving cycle in 

which similar conditions are 

encountered, the MIL must maintain a 

steady illumination when the misfire is 

not occurring and then remain 

illuminated until the MIL extinguishing 

criteria of this section are satisfied. The 

MIL must also illuminate when the 

vehicle’s ignition is in the ‘‘key-on’’ 

position before engine starting or 

cranking and extinguish after engine 

starting if no malfunction has 

previously been detected. If a fuel 

system or engine misfire malfunction 

has previously been detected, the MIL 

may be extinguished if the malfunction 

does not reoccur during three 

subsequent sequential trips during 

which similar conditions are 

encountered and no new malfunctions 

have been detected. Similar conditions 

are defined as engine speed within 375 

rpm, engine load within 20 percent, and 

engine warm-up status equivalent to 

that under which the malfunction was 

first detected. If any malfunction other 

than a fuel system or engine misfire 

malfunction has been detected, the MIL 

may be extinguished if the malfunction 

does not reoccur during three 

subsequent sequential trips during 

which the monitoring system 

responsible for illuminating the MIL 

functions without detecting the 

malfunction, and no new malfunctions 

have been detected. Upon Administrator 

approval, statistical MIL illumination 

protocols may be employed, provided 

they result in comparable timeliness in 

detecting a malfunction and evaluating 

system performance, i.e., three to six 

driving cycles would be considered 

acceptable. 

(2) Drive cycle or driving cycle, in the 

context of this § 86.007–17 and for 

model years 2010 and later, a drive 

cycle means operation that consists of 

engine startup and engine shutoff and 

includes the period of engine off time 

up to the next engine startup. For 

vehicles that employ engine shutoff 

strategies (e.g., engine shutoff at idle), 

the manufacturer may use an alternative 

definition for drive cycle (e.g., key-on 

followed by key-off). Any alternative 

definition must be based on equivalence 

to engine startup and engine shutoff 

signaling the beginning and ending of a 

single driving event for a conventional 

vehicle. For applications that span 

14,000 pounds GVWR, the manufacturer 

may use the drive cycle definition of 

§ 86.010–18 in lieu of the definition in 

this paragraph. 

(e) Storing of computer codes. The 

OBD system shall record and store in 

computer memory diagnostic trouble 

codes and diagnostic readiness codes 

indicating the status of the emission 

control system. These codes shall be 

available through the standardized data 

link connector per specifications as 

referenced in paragraph (h) of this 

section. 

(1) A diagnostic trouble code must be 

stored for any detected and verified 

malfunction causing MIL illumination. 

The stored diagnostic trouble code must 

identify the malfunctioning system or 

component as uniquely as possible. At 

the manufacturer’s discretion, a 

diagnostic trouble code may be stored 

for conditions not causing MIL 

illumination. Regardless, a separate 

code should be stored indicating the 

expected MIL illumination status (i.e., 

MIL commanded ‘‘ON,’’ MIL 

commanded ‘‘OFF’’). 

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(2) For a single misfiring cylinder, the 

diagnostic trouble code(s) must 

uniquely identify the cylinder, unless 

the manufacturer submits data and/or 

engineering evaluations which 

adequately demonstrate that the 

misfiring cylinder cannot be reliably 

identified under certain operating 

conditions. For diesel engines only, the 

specific cylinder for which combustion 

cannot be detected need not be 

identified if new hardware would be 

required to do so. The diagnostic trouble 

code must identify multiple misfiring 

cylinder conditions; under multiple 

misfire conditions, the misfiring 

cylinders need not be uniquely 

identified if a distinct multiple misfire 

diagnostic trouble code is stored. 

(3) The diagnostic system may erase a 

diagnostic trouble code if the same code 

is not re-registered in at least 40 engine 

warm-up cycles, and the malfunction 

indicator light is not illuminated for that 

code. 

(4) Separate status codes, or readiness 

codes, must be stored in computer 

memory to identify correctly 

functioning emission control systems 

and those emission control systems 

which require further engine operation 

to complete proper diagnostic 

evaluation. A readiness code need not 

be stored for those monitors that can be 

considered continuously operating 

monitors (e.g., misfire monitor, fuel 

system monitor, etc.). Readiness codes 

should never be set to ‘‘not ready’’ 

status upon key-on or key-off; 

intentional setting of readiness codes to 

‘‘not ready’’ status via service 

procedures must apply to all such 

codes, rather than applying to 

individual codes. Subject to 

Administrator approval, if monitoring is 

disabled for a multiple number of 

driving cycles (i.e., more than one) due 

to the continued presence of extreme 

operating conditions (e.g., ambient 

temperatures below 40°F, or altitudes 

above 8000 feet), readiness for the 

subject monitoring system may be set to 

‘‘ready’’ status without monitoring 

having been completed. Administrator 

approval shall be based on the 

conditions for monitoring system 

disablement, and the number of driving 

cycles specified without completion of 

monitoring before readiness is 

indicated. 

(f) Available diagnostic data. 

(1) Upon determination of the first 

malfunction of any component or 

system, ‘‘freeze frame’’ engine 

conditions present at the time must be 

stored in computer memory. Should a 

subsequent fuel system or misfire 

malfunction occur, any previously 

stored freeze frame conditions must be 

replaced by the fuel system or misfire 

conditions (whichever occurs first). 

Stored engine conditions must include, 

but are not limited to: engine speed, 

open or closed loop operation, fuel 

system commands, coolant temperature, 

calculated load value, fuel pressure, 

vehicle speed, air flow rate, and intake 

manifold pressure if the information 

needed to determine these conditions is 

available to the computer. For freeze 

frame storage, the manufacturer must 

include the most appropriate set of 

conditions to facilitate effective repairs. 

If the diagnostic trouble code causing 

the conditions to be stored is erased in 

accordance with paragraph (d) of this 

section, the stored engine conditions 

may also be erased. 

(2) The following data in addition to 

the required freeze frame information 

must be made available on demand 

through the serial port on the 

standardized data link connector, if the 

information is available to the on-board 

computer or can be determined using 

information available to the on-board 

computer: Diagnostic trouble codes, 

engine coolant temperature, fuel control 

system status (closed loop, open loop, 

other), fuel trim, ignition timing 

advance, intake air temperature, 

manifold air pressure, air flow rate, 

engine RPM, throttle position sensor 

output value, secondary air status 

(upstream, downstream, or atmosphere), 

calculated load value, vehicle speed, 

and fuel pressure. The signals must be 

provided in standard units based on 

SAE specifications as referenced in 

paragraph (h) of this section. Actual 

signals must be clearly identified 

separately from default value or limp 

home signals. 

(3) For all OBD systems for which 

specific on-board evaluation tests are 

conducted (catalyst, oxygen sensor, 

etc.), the results of the most recent test 

performed by the vehicle, and the limits 

to which the system is compared must 

be available through the standardized 

data link connector per the appropriate 

standardized specifications as 

referenced in paragraph (h) of this 

section. 

(4) Access to the data required to be 

made available under this section shall 

be unrestricted and shall not require any 

access codes or devices that are only 

available from the manufacturer. 

(g) Exceptions. The OBD system is not 

required to evaluate systems or 

components during malfunction 

conditions if such evaluation would 

result in a risk to safety or failure of 

systems or components. Additionally, 

the OBD system is not required to 

evaluate systems or components during 

operation of a power take-off unit such 

as a dump bed, snow plow blade, or 

aerial bucket, etc. 

(h) Reference materials. The following 

documents are incorporated by 

reference, see § 86.1. Anyone may 

inspect copies at the U.S. EPA or at the 

National Archives and Records 

Administration (NARA). For 

information on the availability of this 

material at U.S. EPA, NARA, or the 

standard making bodies directly, refer to 

§ 86.1. 

(1) SAE material. 

(i) SAE J1850, Revised May 2001, 

shall be used as the on-board to offboard communications protocol. All 

emission related messages sent to the 

scan tool over a J1850 data link shall use 

the Cyclic Redundancy Check and the 

three byte header, and shall not use 

inter-byte separation or check sums. 

(ii) SAE J1979, Revised April 2002. 

Basic diagnostic data (as specified in 

§ 86.007–17(e) and (f)) shall be provided 

in the format and units in this industry 

standard. 

(iii) SAE J2012, Revised April 2002. 

Diagnostic trouble codes shall be 

consistent with this industry standard. 

(iv) SAE J1962, Revised April 2002. 

The connection interface between the 

OBD system and test equipment and 

diagnostic tools shall meet the 

functional requirements of this industry 

standard. 

(v) SAE J1930, Revised April 2002; or, 

SAE J2403, Revised August 2007. All 

acronyms, definitions and abbreviations 

shall be formatted according to one or 

the other of these industry standards. 

(vi) SAE J1978, Revised April 2002. 

All equipment used to interface, extract 

and display OBD-related information 

shall meet this industry standard. 

(vii) As an alternative to the above 

standards, heavy-duty vehicles may 

conform to the specifications of these 

SAE standards: SAE J1939–11, Revised 

October 1999; SAE J1939–13, July 1999; 

SAE J1939–21, Revised April 2001; SAE 

J1939–31, Revised December 1997; SAE 

J1939–71, Revised August 2002; SAE 

J1939–73, Revised June 2001; SAE 

J1939–81, July 1997. 

(2) ISO materials. 

(i) ISO 9141–2, February 1, 1994. This 

industry standard may be used as an 

alternative to SAE J1850 (as specified in 

paragraph (h)(1)(i) of this section) as the 

on-board to off-board communications 

protocol. 

(ii) ISO 14230–4:2000(E), June 1, 

2000. This industry standard may be 

used as an alternative to SAE J1850 (as 

specified in paragraph (h)(1)(i) of this 

section) as the on-board to off-board 

communications protocol. 

(iii) ISO 15765–4.3:2001, December 

14, 2001. This industry standard may be 

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used as an alternative to SAE J1850 (as 

specified in paragraph (h)(1)(i) of this 

section) as the on-board to off-board 

communications protocol. 

(iv) ISO 15765–4:2005(E), January 15, 

2005. Beginning with the 2008 model 

year and beyond, this industry standard 

shall be the only acceptable protocol 

used for standardized on-board to offboard communications for vehicles 

below 8500 pounds. For vehicles 8500 

to 14000 pounds, either this ISO 

industry standard or the SAE standards 

listed in paragraph (h)(1)(vii) of this 

section shall be the only acceptable 

protocols used for standardized onboard to off-board communications. 

(i) Deficiencies and alternative fueled 

engines. Upon application by the 

manufacturer, the Administrator may 

accept an OBD system as compliant 

even though specific requirements are 

not fully met. Such compliances 

without meeting specific requirements, 

or deficiencies, will be granted only if 

compliance would be infeasible or 

unreasonable considering such factors 

as, but not limited to: technical 

feasibility of the given monitor and lead 

time and production cycles including 

phase-in or phase-out of engines or 

vehicle designs and programmed 

upgrades of computers. Unmet 

requirements should not be carried over 

from the previous model year except 

where unreasonable hardware or 

software modifications would be 

necessary to correct the deficiency, and 

the manufacturer has demonstrated an 

acceptable level of effort toward 

compliance as determined by the 

Administrator. Furthermore, EPA will 

not accept any deficiency requests that 

include the complete lack of a major 

diagnostic monitor (‘‘major’’ diagnostic 

monitors being those for exhaust 

aftertreatment devices, oxygen sensor, 

air-fuel ratio sensor, NOX sensor, engine 

misfire, evaporative leaks, and diesel 

EGR, if equipped), with the possible 

exception of the special provisions for 

alternative fueled engines. For 

alternative fueled heavy-duty engines 

(e.g., natural gas, liquefied petroleum 

gas, methanol, ethanol), manufacturers 

may request the Administrator to waive 

specific monitoring requirements of this 

section for which monitoring may not 

be reliable with respect to the use of the 

alternative fuel. At a minimum, 

alternative fuel engines must be 

equipped with an OBD system meeting 

OBD requirements to the extent feasible 

as approved by the Administrator. 

(j) California OBDII compliance 

option. For heavy-duty engines used in 

applications weighing 14,000 pounds 

GVWR or less, demonstration of 

compliance with California OBD II 

requirements (Title 13 California Code 

of Regulations § 1968.2 (13 CCR 

1968.2)), as modified and approved on 

November 9, 2007 (incorporated by 

reference, see § 86.1), shall satisfy the 

requirements of this section, except that 

compliance with 13 CCR 

1968.2(e)(4.2.2)(C), pertaining to 0.02 

inch evaporative leak detection, and 13 

CCR 1968.2(d)(1.4), pertaining to 

tampering protection, are not required 

to satisfy the requirements of this 

section. Also, the deficiency provisions 

of 13 CCR 1968.2(k) do not apply. The 

deficiency provisions of paragraph (i) of 

this section and the evaporative leak 

detection requirement of paragraph 

(b)(4) of this section apply to 

manufacturers selecting this paragraph 

(j) for demonstrating compliance. In 

addition, demonstration of compliance 

with 13 CCR 1968.2(e)(15.2.1)(C), to the 

extent it applies to the verification of 

proper alignment between the camshaft 

and crankshaft, applies only to vehicles 

equipped with variable valve timing. 

(k) Phase-in for heavy-duty engines. 

Manufacturers of heavy-duty engines 

intended for use in a heavy-duty vehicle 

weighing 14,000 pounds GVWR must 

comply with the OBD requirements in 

this section according to the following 

phase-in schedule, based on the 

percentage of projected engine sales 

within each category. The 2007 

requirements in the following phase-in 

schedule apply to all heavy-duty 

engines intended for use in a heavyduty vehicle weighing 14,000 pounds 

GVWR or less. For the purposes of 

calculating compliance with the phasein provisions of this paragraph (k), 

heavy-duty engines may be combined 

with heavy-duty vehicles subject to the 

phase-in requirements of paragraph 

§ 86.1806–05(l). The OBD Compliance 

phase-in table follows: 

OBD COMPLIANCE PHASE-IN FOR HEAVY-DUTY ENGINES INTENDED FOR USE IN A HEAVY-DUTY VEHICLE WEIGHING

14,000 POUNDS GVWR OR LESS

Model year Otto-cycle phase-in based on projected sales Diesel phase-in based 

on projected sales 

2007 MY ............................................................................... 80% compliance; alternative fuel waivers available ........... 100% compliance. 

2008+ MY 100% compliance ............................................... 100% compliance ............................................................... 100% compliance. 

■ 4. Section 86.007–30 is added to 

Subpart A to read as follows: 

§ 86.007–30 Certification. 

(a)(1)(i) If, after a review of the test 

reports and data submitted by the 

manufacturer, data derived from any 

inspection carried out under § 86.091– 

7(c) and any other pertinent data or 

information, the Administrator 

determines that a test vehicle(s) (or test 

engine(s)) meets the requirements of the 

Act and of this subpart, he will issue a 

certificate of conformity with respect to 

such vehicle(s) (or engine(s)) except in 

cases covered by paragraphs (a)(1)(ii) 

and (c) of this section. 

(ii) Gasoline-fueled and methanolfueled heavy-duty vehicles. If, after a 

review of the statement(s) of compliance 

submitted by the manufacturer under 

§ 86.094–23(b)(4) and any other 

pertinent data or information, the 

Administrator determines that the 

requirements of the Act and this subpart 

have been met, he will issue one 

certificate of conformity per 

manufacturer with respect to the 

evaporative emission family(ies) 

covered by paragraph (c) of this section. 

(2) Such certificate will be issued for 

such period not to exceed one model 

year as the Administrator may 

determine and upon such terms as he 

may deem necessary or appropriate to 

assure that any new motor vehicle (or 

new motor vehicle engine) covered by 

the certificate will meet the 

requirements of the Act and of this part. 

(3)(i) One such certificate will be 

issued for each engine family. For 

gasoline-fueled and methanol-fueled 

light-duty vehicles and light-duty 

trucks, and petroleum-fueled diesel 

cycle light-duty vehicles and light-duty 

trucks not certified under § 86.098– 

28(g), one such certificate will be issued 

for each engine family-evaporative/ 

refueling emission family combination. 

Each certificate will certify compliance 

with no more than one set of in-use and 

certification standards (or family 

emission limits, as appropriate). 

(ii) For gasoline-fueled and methanol 

fueled heavy-duty vehicles, one such 

certificate will be issued for each 

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manufacturer and will certify 

compliance for those vehicles 

previously identified in that 

manufacturer’s statement(s) of 

compliance as required in § 86.098– 

23(b)(4)(i) and (ii). 

(iii) For diesel light-duty vehicles and 

light-duty trucks, or diesel HDEs, 

included in the applicable particulate 

averaging program, the manufacturer 

may at any time during production elect 

to change the level of any family 

particulate emission limit by 

demonstrating compliance with the new 

limit as described in § 86.094–28(a)(6), 

§ 86.094–28(b)(5)(i), or § 86.004– 

28(c)(5)(i). New certificates issued under 

this paragraph will be applicable only 

for vehicles (or engines) produced 

subsequent to the date of issuance. 

(iv) For light-duty trucks or HDEs 

included in the applicable NOX

averaging program, the manufacturer 

may at any time during production elect 

to change the level of any family NOX

emission limit by demonstrating 

compliance with the new limit as 

described in § 86.094–28(b)(5)(ii) or 

§ 86.004–28(c)(5)(ii). New certificates 

issued under this paragraph will be 

applicable only for vehicles (or engines) 

produced subsequent to the day of 

issue. 

(4)(i) For exempt light-duty vehicles 

and light-duty trucks under the 

provisions of § 86.094–8(j) or § 86.094– 

9(j), an adjustment or modification 

performed in accordance with 

instructions provided by the 

manufacturer for the altitude where the 

vehicle is principally used will not be 

considered a violation of section 

203(a)(3) of the Clean Air Act (42 U.S.C. 

7522(a)(3)). 

(ii) A violation of section 203(a)(1) of 

the Clean Air Act (42 U.S.C. 7522(a)(1)) 

occurs when a manufacturer sells or 

delivers to an ultimate purchaser any 

light-duty vehicle or light-duty truck, 

subject to the regulations under the Act, 

under any of the conditions specified in 

paragraph (a)(4)(ii) of this section. 

(A) When a light-duty vehicle or lightduty truck is exempted from meeting 

high-altitude requirements as provided 

in § 86.090–8(h) or § 86.094–9(h): 

(1) At a designated high-altitude 

location, unless such manufacturer has 

reason to believe that such vehicle will 

not be sold to an ultimate purchaser for 

principal use at a designated highaltitude location; or 

(2) At a location other than a 

designated high-altitude location, when 

such manufacturer has reason to believe 

that such motor vehicle will be sold to 

an ultimate purchaser for principal use 

at a designated high-altitude location. 

(B) When a light-duty vehicle or lightduty truck is exempted from meeting 

low-altitude requirements as provided 

in § 86.094–8(i) or § 86.094–9(i): 

(1) At a designated low-altitude 

location, unless such manufacturer has 

reason to believe that such vehicle will 

not be sold to an ultimate purchaser for 

principal use at a designated lowaltitude location; or 

(2) At a location other than a 

designated low-altitude location, when 

such manufacturer has reason to believe 

that such motor vehicle will be sold to 

an ultimate purchaser for principal use 

at a designated low-altitude location. 

(iii) A manufacturer shall be deemed 

to have reason to believe that a lightduty vehicle that has been exempted 

from compliance with emission 

standards at high-altitude, or a lightduty truck which is not configured to 

meet high-altitude requirements, will 

not be sold to an ultimate purchaser for 

principal use at a designated highaltitude location if the manufacturer has 

informed its dealers and field 

representatives about the terms of these 

high-altitude regulations, has not caused 

the improper sale itself, and has taken 

reasonable action which shall include, 

but not be limited to, either paragraph 

(a)(4)(iii) (A) or (B), and paragraph 

(a)(4)(iii)(C) of this section: 

(A) Requiring dealers in designated 

high-altitude locations to submit written 

statements to the manufacturer signed 

by the ultimate purchaser that a vehicle 

which is not configured to meet highaltitude requirements will not be used 

principally at a designated high-altitude 

location; requiring dealers in counties 

contiguous to designated high-altitude 

locations to submit written statements 

to the manufacturer, signed by the 

ultimate purchaser who represents to 

the dealer in the normal course of 

business that he or she resides in a 

designated high-altitude location, that a 

vehicle which is not configured to meet 

high-altitude requirements will not be 

used principally at a designated highaltitude location; and for each sale or 

delivery of fleets of ten or more such 

vehicles in a high-altitude location or in 

counties contiguous to high-altitude 

locations, requiring either the selling 

dealer or the delivering dealer to submit 

written statements to the manufacturer, 

signed by the ultimate purchaser who 

represents to the dealer in the normal 

course of business that he or she resides 

in a designated high-altitude location, 

that a vehicle which is not configured 

to meet high-altitude requirements will 

not be used principally at a designated 

high-altitude location. In addition, the 

manufacturer will make available to 

EPA, upon reasonable written request 

(but not more frequently than quarterly, 

unless EPA has demonstrated that it has 

substantial reason to believe that an 

improperly configured vehicle has been 

sold), sales, warranty, or other 

information pertaining to sales of 

vehicles by the dealers described above 

maintained by the manufacturer in the 

normal course of business relating to the 

altitude configuration of vehicles and 

the locations of ultimate purchasers; or 

(B) Implementing a system which 

monitors factory orders of low-altitude 

vehicles by high-altitude dealers, or 

through other means, identifies dealers 

that may have sold or delivered a 

vehicle not configured to meet the highaltitude requirements to an ultimate 

purchaser for principal use at a 

designated high-altitude location; and 

making such information available to 

EPA upon reasonable written request 

(but not more frequently than quarterly, 

unless EPA has demonstrated that it has 

substantial reason to believe that an 

improperly configured vehicle has been 

sold); and 

(C) Within a reasonable time after 

receiving written notice from EPA or a 

State or local government agency that a 

dealer may have improperly sold or 

delivered a vehicle not configured to 

meet the high-altitude requirements to 

an ultimate purchaser residing in a 

designated high-altitude location, or 

based on information obtained pursuant 

to paragraph (a)(4)(iii) of this section 

that a dealer may have improperly sold 

or delivered a significant number of 

such vehicles to ultimate purchasers so 

residing, reminding the dealer in 

writing of the requirements of these 

regulations, and, where appropriate, 

warning the dealer that sale by the 

dealer of vehicles not configured to 

meet high-altitude requirements may be 

contrary to the terms of its franchise 

agreement with the manufacturer and 

the dealer certification requirements of 

§ 85.2108 of this chapter. 

(iv) A manufacturer shall be deemed 

to have reason to believe that a lightduty vehicle or light-duty truck which 

has been exempted from compliance 

with emission standards at low altitude, 

as provided in § 86.094–8(i) or § 86.094– 

9(i), will not be sold to an ultimate 

purchaser for principal use at a 

designated low-altitude location if the 

manufacturer has informed its dealers 

and field representatives about the 

terms of the high-altitude regulations, 

has not caused the improper sale itself, 

and has taken reasonable action which 

shall include, but not be limited to 

either § 86.094–30(a)(4)(iv)(A) or (B) and 

§ 86.094–30(a)(4)(iv)(C): 

(A) Requiring dealers in designated 

low-altitude locations to submit written 

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8362 Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 

statements to the manufacturer signed 

by the ultimate purchaser that a vehicle 

which is not configured to meet lowaltitude requirements will not be used 

principally at a designated low-altitude 

location; requiring dealers in counties 

contiguous to designated low-altitude 

locations to submit written statements 

to the manufacturer, signed by the 

ultimate purchaser who represents to 

the dealer in the normal course of 

business that he or she resides in a 

designated low-altitude location, that a 

vehicle which is not configured to meet 

low-altitude requirements will not be 

used principally at a designated lowaltitude location; and for each sale or 

delivery of fleets of ten or more such 

vehicles in a low-altitude location or in 

counties contiguous to low-altitude 

locations, requiring either the selling 

dealer or the delivering dealer to submit 

written statements to the manufacturer, 

signed by the ultimate purchaser who 

represents to the dealer in the normal 

course of business that he or she resides 

in a designated low-altitude location, 

that a vehicle which is not configured 

to meet low-altitude requirements will 

not be used principally at a designated 

high-altitude location. In addition, the 

manufacturer will make available to 

EPA, upon reasonable written request 

(but not more frequently than quarterly, 

unless EPA has demonstrated that it has 

substantial reason to believe that an 

improperly configured vehicle has been 

sold), sales, warranty, or other 

information pertaining to sales of 

vehicles by the dealers described above 

maintained by the manufacturer in the 

normal course of business relating to the 

altitude configuration of vehicles and 

the locations of ultimate purchasers; or 

(B) Implementing a system which 

monitors factory orders of high-altitude 

vehicles by low-altitude dealers, or 

through other means, identifies dealers 

that may have sold or delivered a 

vehicle not configured to meet the lowaltitude requirements to an ultimate 

purchaser for principal use at a 

designated low-altitude location; and 

making such information available to 

EPA upon reasonable written request 

(but not more frequently than quarterly, 

unless EPA has demonstrated that it has 

substantial reason to believe that an 

improperly configured vehicle has been 

sold); and 

(C) Within a reasonable time after 

receiving written notice from EPA or a 

state or local government agency that a 

dealer may have improperly sold or 

delivered a vehicle not configured to 

meet the low-altitude requirements to 

an ultimate purchaser residing in a 

designated low-altitude location, or 

based on information obtained pursuant 

to paragraph (a)(4)(iv) of this section 

that a dealer may have improperly sold 

or delivered a significant number of 

such vehicles to ultimate purchasers so 

residing, reminding the dealer in 

writing of the requirements of these 

regulations, and, where appropriate, 

warning the dealer that sale by the 

dealer of vehicles not configured to 

meet low-altitude requirements may be 

contrary to the terms of its franchise 

agreement with the manufacturer and 

the dealer certification requirements of 

§ 85.2108 of this chapter. 

(5)(i) For the purpose of paragraph (a) 

of this section, a ‘‘designated highaltitude location’’ is any county which 

has substantially all of its area located 

above 1,219 meters (4,000 feet) and: 

(A) Requested and extension past the 

attainment date of December 31, 1982, 

for compliance with either the National 

Ambient Air Quality Standards for 

carbon monoxide or ozone, as indicated 

in part 52 (Approval and Promulgation 

of Implementation Plans) of this title; or 

(B) Is in the same state as a county 

designated as a high-altitude location 

according to paragraph (a)(5)(i)(A) of 

this section. 

(ii) The designated high-altitude 

locations defined in paragraph (a)(5)(i) 

of this section are listed below: 

State of Colorado 

Adams 

Alamosa 

Arapahoe 

Archuleta 

Boulder 

Chaffee 

Cheyenne 

Clear Creek 

Conejos 

Costilla 

Crowley 

Custer 

Delta 

Denver 

Dolores 

Douglas 

Eagle 

Elbert 

El Paso 

Fremont 

Garfield 

Gilpin 

Grand 

Gunnison 

Hinsdale 

Huerfano 

Jackson 

Jefferson 

Kit Carson 

Lake 

La Plata 

Larimer 

Las Animas 

Lincoln 

Mesa 

Mineral 

Moffat 

Montezuma 

Montrose 

Morgan 

Otero 

Ouray 

Park 

Pitkin 

Pueblo 

Rio Blanco 

Rio Grande 

Routt 

Saguache 

San Juan 

San Miguel 

Summit 

Teller 

Washington 

Weld 

State of Nevada 

Carson City 

Douglas 

Elko 

Esmeralda 

Eureka 

Humboldt 

Lander 

Lincoln 

Lyon 

Mineral 

Nye 

Pershing 

Storey 

Washoe 

White Pine 

State of New Mexico 

Bernalillo 

Catron 

Colfax 

Curry 

De Baca 

Grant 

Guadalupe 

Harding 

Hidalgo 

Lincoln 

Los Alamos 

Luna 

McKinley 

Mora 

Otero 

Rio Arriba 

Roosevelt 

Sandoval 

San Juan 

San Miguel Santa Fe 

Sierra 

Socorro 

Taos 

Torrance 

Union 

Valencia 

State of Utah 

Beaver 

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Box Elder 

Cache 

Carbon 

Daggett 

Davis 

Duchesne 

Emery 

Garfield 

Grand 

Iron 

Juab 

Kane 

Millard 

Morgan 

Piute 

Rich 

Salt Lake 

San Juan 

Sanpete 

Sevier 

Summit 

Tooele 

Uintah 

Utah 

Wasatch 

Wayne 

Weber 

(iii) For the purpose of paragraph (a) 

of this section, a ‘‘designated lowaltitude location’’ is any county which 

has substantially all of its area located 

below 1,219 meters (4,000 feet). 

(iv) The designated low-altitude 

locations so defined include all counties 

in the United States which are not listed 

in either paragraph (a)(5)(ii) of this 

section or in the list below: 

State of Arizona 

Apache 

Cochise 

Coconino 

Navajo 

Yavapai 

State of Idaho 

Bannock 

Bear Lake 

Bingham 

Blaine 

Bonneville 

Butte 

Camas 

Caribou 

Cassia 

Clark 

Custer 

Franklin 

Fremont 

Jefferson 

Lemhi 

Madison 

Minidoka 

Oneida 

Power 

Treton 

Valley 

State of Montana 

Beaverhead 

Deer Lodge 

Gallatin 

Jefferson 

Judith Basin 

Madison 

Meagher 

Park 

Powell 

Silver Bow 

Wheatland 

State of Nebraska 

Banner 

Cheyenne 

Kimball 

Sioux 

State of Oregon 

Harney 

Klamath 

Lake 

State of Texas 

Jeff Davis 

Hudspeth 

Parmer 

State of Wyoming 

Albany 

Campbell 

Carbon 

Converse 

Fremont 

Goshen 

Hot Springs 

Johnson 

Laramie 

Lincoln 

Natrona 

Niobrara 

Park 

Platte 

Sublette 

Sweetwater 

Teton 

Uinta 

Washakie 

Weston 

(6) Catalyst-equipped vehicles, 

otherwise covered by a certificate, 

which are driven outside the United 

States, Canada, and Mexico will be 

presumed to have been operated on 

leaded gasoline resulting in deactivation 

of the catalysts. If these vehicles are 

imported or offered for importation 

without retrofit of the catalyst, they will 

be considered not to be within the 

coverage of the certificate unless 

included in a catalyst control program 

operated by a manufacturer or a United 

States Government agency and 

approved by the Administrator. 

(7) For incomplete light-duty trucks, a 

certificate covers only those new motor 

vehicles which, when completed by 

having the primary load-carrying device 

or container attached, conform to the 

maximum curb weight and frontal area 

limitations described in the application 

for certification as required in § 86.094– 

21(d). 

(8) For heavy-duty engines, a 

certificate covers only those new motor 

vehicle engines installed in heavy-duty 

vehicles which conform to the 

minimum gross vehicle weight rating, 

curb weight, or frontal area limitations 

for heavyduty vehicles described in 

§ 86.082–2. 

(9) For incomplete gasoline-fueled 

and methanol-fueled heavy-duty 

vehicles a certificate covers only those 

new motor vehicles which, when 

completed, conform to the nominal 

maximum fuel tank capacity limitations 

as described in the application for 

certification as required in § 86.094– 

21(e). 

(10)(i) For diesel-cycle light-duty 

vehicle and diesel-cycle light-duty truck 

families which are included in a 

particulate averaging program, the 

manufacturer’s production-weighted 

average of the particulate emission 

limits of all engine families in a 

participating class or classes shall not 

exceed the applicable diesel-cycle 

particulate standard, or the composite 

particulate standard defined in 

§ 86.090–2 as appropriate, at the end of 

the model year, as determined in 

accordance with this part. The 

certificate shall be void ab initio for 

those vehicles causing the productionweighted family emission limit (FEL) to 

exceed the particulate standard. 

(ii) For all heavy-duty diesel-cycle 

engines which are included in the 

particulate ABT programs under 

§ 86.098–15 or superseding ABT 

sections as applicable, the provisions of 

paragraphs (a)(10)(ii)(A)–(C) of this 

section apply. 

(A) All certificates issued are 

conditional upon the manufacturer 

complying with the provisions of 

§ 86.098–15 or superseding ABT 

sections as applicable and the ABT 

related provisions of other applicable 

sections, both during and after the 

model year production. 

(B) Failure to comply with all 

provisions of § 86.098–15 or 

superseding ABT sections as applicable 

will be considered to be a failure to 

satisfy the conditions upon which the 

certificate was issued, and the certificate 

may be deemed void ab initio. 

(C) The manufacturer shall bear the 

burden of establishing to the satisfaction 

of the Administrator that the conditions 

upon which the certificate was issued 

were satisfied or excused. 

(11)(i) For light-duty truck families 

which are included in a NOX averaging 

program, the manufacturer’s 

production-weighted average of the NOX

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emission limits of all such engine 

families shall not exceed the applicable 

NOX emission standard, or the 

composite NOX emission standard 

defined in § 86.088–2, as appropriate, at 

the end of the model year, as 

determined in accordance with this 

part. The certificate shall be void ab 

initio for those vehicles causing the 

production-weighted FEL to exceed the 

NOX standard. 

(ii) For all HDEs which are included 

in the NOX plus NMHC ABT programs 

contained in § 86.098–15, or 

superseding ABT sections as applicable, 

the provisions of paragraphs (a)(11)(ii) 

(A)–(C) of this section apply. 

(A) All certificates issued are 

conditional upon the manufacturer 

complying with the provisions of 

§ 86.098–15 or superseding ABT 

sections as applicable and the ABT 

related provisions of other applicable 

sections, both during and after the 

model year production. 

(B) Failure to comply with all 

provisions of § 86.098–15 or 

superseding ABT sections as applicable 

will be considered to be a failure to 

satisfy the conditions upon which the 

certificate was issued, and the certificate 

may be deemed void ab initio. 

(C) The manufacturer shall bear the 

burden of establishing to the satisfaction 

of the Administrator that the conditions 

upon which the certificate was issued 

were satisfied or excused. 

(12) For all light-duty vehicles 

certified to standards under § 86.094–8 

or to which standards under § 86.708– 

94 are applicable, the provisions of 

paragraphs (a)(12)(i) through (iii) of this 

section apply. 

(13) For all light-duty trucks certified 

to Tier 0 standards under § 86.094–9 

and to which standards under § 86.709– 

94 are applicable: 

(i) All certificates issued are 

conditional upon the manufacturer 

complying with all provisions of 

§§ 86.094–9 and 86.709–94 both during 

and after model year production. 

(ii) Failure to meet the required 

implementation schedule sales 

percentages as specified in §§ 86.094–9 

and 86.709–94 will be considered to be 

a failure to satisfy the conditions upon 

which the certificate(s) was issued and 

the individual vehicles sold in violation 

of the implementation schedule shall 

not be covered by the certificate. 

(iii) The manufacturer shall bear the 

burden of establishing to the satisfaction 

of the Administrator that the conditions 

upon which the certificate was issued 

were satisfied. 

(14) For all light-duty vehicles and 

light-duty trucks certified with an 

Alternative Service Accumulation 

Durability Program under § 86.094– 

13(e), paragraphs (a)(14)(i) through (iii) 

of this section apply. 

(i) All certificates issued are 

conditional upon the manufacturer 

performing the in-use verification 

program pursuant to the agreement 

described in § 86.094–13(e)(8). 

(ii) Failure to fully comply with all 

the terms of the in-use verification 

program pursuant to the agreement 

described in § 86.094–13(e)(8) will be 

considered a failure to satisfy the 

conditions upon which the certificate 

was issued. A vehicle or truck will be 

considered to be covered by the 

certificate only if the manufacturer 

fulfills the conditions upon which the 

certificate is issued. 

(iii) The manufacturer shall bear the 

burden of establishing to the satisfaction 

of the Administrator that the conditions 

upon which the certificate was issued 

were satisfied. 

(15) For all light-duty vehicles 

certified to evaporative test procedures 

and accompanying standards specified 

under § 86.096–8: 

(i) All certificates issued are 

conditional upon the manufacturer 

complying with all provisions of 

§ 86.096–8 both during and after model 

year production. 

(ii) Failure to meet the required 

implementation schedule sales 

percentages as specified in § 86.096–8 

will be considered to be a failure to 

satisfy the conditions upon which the 

certificate was issued and the vehicles 

sold in violation of the implementation 

schedule shall not be covered by the 

certificate. 

(iii) The manufacturer shall bear the 

burden of establishing to the satisfaction 

of the Administrator that the conditions 

upon which the certificate was issued 

were satisfied. 

(16) For all light-duty trucks certified 

to evaporative test procedures and 

accompanying standards specified 

under § 86.096–9: 

(i) All certificates issued are 

conditional upon the manufacturer 

complying with all provisions of 

§ 86.096–9 both during and after model 

year production. 

(ii) Failure to meet the required 

implementation schedule sales 

percentages as specified in § 86.096–9 

will be considered to be a failure to 

satisfy the conditions upon which the 

certificate was issued and the vehicles 

sold in violation of the implementation 

schedule shall not be covered by the 

certificate. 

(iii) The manufacturer shall bear the 

burden of establishing to the satisfaction 

of the Administrator that the conditions 

upon which the certificate was issued 

were satisfied. 

(17) For all heavy-duty vehicles 

certified to evaporative test procedures 

and accompanying standards specified 

under § 86.096–10: 

(i) All certificates issued are 

conditional upon the manufacturer 

complying with all provisions of 

§ 86.096–10 both during and after model 

year production. 

(ii) Failure to meet the required 

implementation schedule sales 

percentages as specified in § 86.096–10 

will be considered to be a failure to 

satisfy the conditions upon which the 

certificate was issued and the vehicles 

sold in violation of the implementation 

schedule shall not be covered by the 

certificate. 

(iii) The manufacturer shall bear the 

burden of establishing to the satisfaction 

of the Administrator that the conditions 

upon which the certificate was issued 

were satisfied. 

(18) For all heavy-duty vehicles 

certified to evaporative test procedures 

and accompanying standards specified 

under § 86.098–11: 

(i) All certificates issued are 

conditional upon the manufacturer 

complying with all provisions of 

§ 86.098–11 both during and after model 

year production. 

(ii) Failure to meet the required 

implementation schedule sales 

percentages as specified in § 86.098–11 

will be considered to be a failure to 

satisfy the conditions upon which the 

certificate was issued and the vehicles 

sold in violation of the implementation 

schedule shall not be covered by the 

certificate. 

(iii) The manufacturer shall bear the 

burden of establishing to the satisfaction 

of the Administrator that the conditions 

upon which the certificate was issued 

were satisfied. 

(19) For all light-duty vehicles 

certified to refueling emission standards 

under § 86.098–8, the provisions of 

paragraphs (a)(19) (i) through (iii) of this 

section apply. 

(i) All certificates issued are 

conditional upon the manufacturer 

complying with all provisions of 

§ 86.098–8, both during and after model 

year production. 

(ii) Failure to meet the required 

implementation schedule sales 

percentages as specified in § 86.094–8 

be considered to be a failure to satisfy 

the conditions upon which the 

certificate(s) was issued and the 

vehicles sold in violation of the 

implementation schedule shall not be 

covered by the certificate. 

(iii) The manufacturer shall bear the 

burden of establishing to the satisfaction 

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of the Administrator that the conditions 

upon which the certificate was issued 

were satisfied. 

(20) For all light-duty trucks certified 

to refueling emission standards under 

§ 86.001–9, the provisions of paragraphs 

(a)(20)(i)–(iii) this section apply. 

(i) All certificates issued are 

conditional upon the manufacturer 

complying with all provisions of 

§ 86.001–9 both during and after model 

year production. 

(ii) Failure to meet the required 

implementation schedule sales 

percentages as specified in § 86.001–9 

will be considered to be a failure to 

satisfy the conditions upon which the 

certificate(s) was issued and the 

individual vehicles sold in violation of 

the implementation schedule shall not 

be covered by the certificate. 

(iii) The manufacturer shall bear the 

burden of establishing to the satisfaction 

of the Administrator that the conditions 

upon which the certificate was issued 

were satisfied. 

(21) For all light-duty trucks certified 

to refueling emission standards under 

§ 86.004–9, the provisions of paragraphs 

(a)(21)(i)–(iii) of this section apply. 

(i) All certificates issued are 

conditional upon the manufacturer 

complying with all provisions of 

§ 86.004–9 both during and after model 

year production. 

(ii) Failure to meet the required 

implementation schedule sales 

percentages as specified in § 86.004–9 

will be considered to be a failure to 

satisfy the conditions upon which the 

certificate(s) was issued and the 

individual vehicles sold in violation of 

the implementation schedule shall not 

be covered by the certificate. 

(iii) The manufacturer shall bear the 

burden of establishing to the satisfaction 

of the Administrator that the conditions 

upon which the certificate was issued 

were satisfied. 

(b)(1) The Administrator will 

determine whether a vehicle (or engine) 

covered by the application complies 

with applicable standards (or family 

emission limits, as appropriate) by 

observing the following relationships: in 

paragraphs (b)(1)(i) through (iv) of this 

section: 

(i) Light-duty vehicles. 

(A) The durability data vehicle(s) 

selected under § 86.094–24(c)(1)(i) shall 

represent all vehicles of the same engine 

system combination. 

(B) The emission data vehicle(s) 

selected under § 86.094–24(b)(1) (ii) 

through (iv) shall represent all vehicles 

of the same engine-system combination 

as applicable. 

(C) The emission data vehicle(s) 

selected under § 86.094–24(b)(1)(vii)(A) 

and (B) shall represent all vehicles of 

the same evaporative control system 

within the evaporative family. 

(ii) Light-duty trucks. 

(A) The emission data vehicle(s) 

selected under § 86.094–24(b)(1)(ii), 

shall represent all vehicles of the same 

engine-system combination as 

applicable. 

(B) The emission data vehicle(s) 

selected under § 86.001–24(b)(vii)(A) 

and (B) shall represent all vehicles of 

the same evaporative/refueling control 

system within the evaporative/refueling 

family. 

(C) The emission data vehicle(s) 

selected under § 86.09424(b)(1)(v) shall 

represent all vehicles of the same engine 

system combination as applicable. 

(D) The emission-data vehicle(s) 

selected under § 86.098–24(b)(1)(viii) 

shall represent all vehicles of the same 

evaporative/refueling control system 

within the evaporative/refueling 

emission family, as applicable. 

(iii) Heavy-duty engines. 

(A) An Otto-cycle emission data test 

engine selected under § 86.094– 

24(b)(2)(iv) shall represent all engines in 

the same family of the same engine 

displacement-exhaust emission control 

system combination. 

(B) An Otto-cycle emission data test 

engine selected under § 86.094– 

24(b)(2)(iii) shall represent all engines 

in the same engine family of the same 

engine displacement-exhaust emission 

control system combination. 

(C) A diesel emission data test engine 

selected under § 86.094–24(b)(3)(ii) 

shall represent all engines in the same 

engine-system combination. 

(D) A diesel emission data test engine 

selected under § 86.094–24(b)(3)(iii) 

shall represent all engines of that 

emission control system at the rated fuel 

delivery of the test engine. 

(iv) Gasoline-fueled and methanolfueled heavy-duty vehicles. A statement 

of compliance submitted under 

§ 86.094–23(b)(4)(i) or (ii) shall 

represent all vehicles in the same 

evaporative emission family-evaporative 

emission control system combination. 

(2) The Administrator will proceed as 

in paragraph (a) of this section with 

respect to the vehicles (or engines) 

belonging to an engine family or engine 

family-evaporative/refueling emission 

family combination (as applicable), all 

of which comply with all applicable 

standards (or family emission limits, as 

appropriate). 

(3) If after a review of the test reports 

and data submitted by the manufacturer, 

data derived from any additional testing 

conducted pursuant to § 86.091–29, data 

or information derived from any 

inspection carried out under § 86.094– 

7(d) or any other pertinent data or 

information, the Administrator 

determines that one or more test 

vehicles (or test engines) of the 

certification test fleet do not meet 

applicable standards (or family emission 

limits, as appropriate), he will notify the 

manufacturer in writing, setting forth 

the basis for his determination. Within 

30 days following receipt of the 

notification, the manufacturer may 

request a hearing on the Administrator’s 

determination. The request shall be in 

writing, signed by an authorized 

representative of the manufacturer and 

shall include a statement specifying the 

manufacturer’s objections to the 

Administrator’s determination and data 

in support of such objections. If, after a 

review of the request and supporting 

data, the Administrator finds that the 

request raises a substantial factual issue, 

he shall provide the manufacturer a 

hearing in accordance with § 86.078–6 

with respect to such issue. 

(4) For light-duty vehicles and lightduty trucks the manufacturer may, at its 

option, proceed with any of the 

following alternatives with respect to an 

emission data vehicle determined not in 

compliance with all applicable 

standards (or family emission limits, as 

appropriate) for which it was tested: 

(i) Request a hearing under § 86.078– 

6; or 

(ii) Remove the vehicle configuration 

(or evaporative/refueling vehicle 

configuration, as applicable) which 

failed, from his application: 

(A) If the failed vehicle was tested for 

compliance with exhaust emission 

standards (or family emission limits, as 

appropriate) only: The Administrator 

may select, in place of the failed 

vehicle, in accordance with the 

selection criteria employed in selecting 

the failed vehicle, a new emission data 

vehicle to be tested for exhaust emission 

compliance only; or 

(B) If the failed vehicle was tested for 

compliance with one or more of the 

exhaust, evaporative and refueling 

emission standards: The Administrator 

may select, in place of the failed 

vehicle, in accordance with the 

selection criteria employed in selecting 

the failed vehicle, a new emission data 

vehicle which will be tested for 

compliance with all of the applicable 

emission standards. If one vehicle 

cannot be selected in accordance with 

the selection criteria employed in 

selecting the failed vehicle, then two or 

more vehicles may be selected (e.g., one 

vehicle to satisfy the exhaust emission 

vehicle selection criteria and one 

vehicle to satisfy the evaporative and 

refueling emission vehicle selection 

criteria). The vehicle selected to satisfy 

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the exhaust emission vehicle selection 

criteria will be tested for compliance 

with exhaust emission standards (or 

family emission limits, as appropriate) 

only. The vehicle selected to satisfy the 

evaporative and/or refueling emission 

vehicle selection criteria will be tested 

for compliance with exhaust, 

evaporative and/or refueling emission 

standards; or 

(iii) Remove the vehicle configuration 

(or evaporative/refueling vehicle 

configuration, as applicable) which 

failed from the application and add a 

vehicle configuration(s) (or evaporative/ 

refueling vehicle configuration(s), as 

applicable) not previously listed. The 

Administrator may require, if 

applicable, that the failed vehicle be 

modified to the new engine code (or 

evaporative/refueling emission code, as 

applicable) and demonstrate by testing 

that it meets applicable standards (or 

family emission limits, as appropriate) 

for which it was originally tested. In 

addition, the Administrator may select, 

in accordance with the vehicle selection 

criteria given in § 86.001–24(b), a new 

emission data vehicle or vehicles. The 

vehicles selected to satisfy the exhaust 

emission vehicle selection criteria will 

be tested for compliance with exhaust 

emission standards (or family emission 

limits, as appropriate) only. The 

vehicles selected to satisfy the 

evaporative emission vehicle selection 

criteria will be tested for compliance 

with all of the applicable emission 

standards (or family emission limits, as 

appropriate); or 

(iv) Correct a component or system 

malfunction and show that with a 

correctly functioning system or 

component the failed vehicle meets 

applicable standards (or family emission 

limits, as appropriate) for which it was 

originally tested. The Administrator 

may require a new emission data 

vehicle, of identical vehicle 

configuration (or evaporative/refueling 

vehicle configuration, as applicable) to 

the failed vehicle, to be operated and 

tested for compliance with the 

applicable standards (or family emission 

limits, as appropriate) for which the 

failed vehicle was originally tested. 

(5) For heavy-duty engines the 

manufacturer may, at his option, 

proceed with any of the following 

alternatives with respect to any engine 

family represented by a test engine(s) 

determined not in compliance with 

applicable standards (or family emission 

limit, as appropriate): 

(i) Request a hearing under § 86.078– 

6; or 

(ii) Delete from the application for 

certification the engines represented by 

the failing test engine. (Engines so 

deleted may be included in a later 

request for certification under § 86.079– 

32.) The Administrator may then select 

in place of each failing engine an 

alternate engine chosen in accordance 

with selection criteria employed in 

selecting the engine that failed; or 

(iii) Modify the test engine and 

demonstrate by testing that it meets 

applicable standards. Another engine 

which is in all material respect the same 

as the first engine, as modified, may 

then be operated and tested in 

accordance with applicable test 

procedures. 

(6) If the manufacturer does not 

request a hearing or present the required 

data under paragraphs (b)(4) or (5) of 

this section (as applicable) of this 

section, the Administrator will deny 

certification. 

(c)(1) Notwithstanding the fact that 

any certification vehicle(s) (or 

certification engine(s)) may comply with 

other provisions of this subpart, the 

Administrator may withhold or deny 

the issuance of a certificate of 

conformity (or suspend or revoke any 

such certificate which has been issued) 

with respect to any such vehicle(s) (or 

engine(s)) if: 

(i) The manufacturer submits false or 

incomplete information in his 

application for certification thereof; 

(ii) The manufacturer renders 

inaccurate any test data which he 

submits pertaining thereto or otherwise 

circumvents the intent of the Act, or of 

this part with respect to such vehicle (or 

engine); 

(iii) Any EPA Enforcement Officer is 

denied access on the terms specified in 

§ 86.091–7(d) to any facility or portion 

thereof which contains any of the 

following: 

(A) The vehicle (or engine); 

(B) Any components used or 

considered for use in its modification or 

buildup into a certification vehicle (or 

certification engine); 

(C) Any production vehicle (or 

production engine) which is or will be 

claimed by the manufacturer to be 

covered by the certificate; 

(D) Any step in the construction of a 

vehicle (or engine) described in 

paragraph (c)(iii)(C) of this section; 

(E) Any records, documents, reports, 

or histories required by this part to be 

kept concerning any of the above; or 

(iv) Any EPA Enforcement Officer is 

denied ‘‘reasonable assistance’’ (as 

defined in § 86.091–7(d) in examining 

any of the items listed in paragraph 

(c)(1)(iii) of this section. 

(2) The sanctions of withholding, 

denying, revoking, or suspending of a 

certificate may be imposed for the 

reasons in paragraphs (c)(1)(i), (ii), (iii), 

or (iv) of this section only when the 

infraction is substantial. 

(3) In any case in which a 

manufacturer knowingly submits false 

or inaccurate information or knowingly 

renders inaccurate or invalid any test 

data or commits any other fraudulent 

acts and such acts contribute 

substantially to the Administrator’s 

decision to issue a certificate of 

conformity, the Administrator may 

deem such certificate void ab initio. 

(4) In any case in which certification 

of a vehicle (or engine) is proposed to 

be withheld, denied, revoked, or 

suspended under paragraph (c)(1)(iii) or 

(iv) of this section, and in which the 

Administrator has presented to the 

manufacturer involved reasonable 

evidence that a violation of § 86.091– 

7(d) in fact occurred, the manufacturer, 

if he wishes to contend that, even 

though the violation occurred, the 

vehicle (or engine) in question was not 

involved in the violation to a degree that 

would warrant withholding, denial, 

revocation, or suspension of 

certification under either paragraph 

(c)(1)(iii) or (iv) of this section, shall 

have the burden of establishing that 

contention to the satisfaction of the 

Administrator. 

(5) Any revocation or suspension of 

certification under paragraph (c)(1) of 

this section shall: 

(i) Be made only after the 

manufacturer concerned has been 

offered an opportunity for a hearing 

conducted in accordance with § 86.078– 

6 hereof; and 

(ii) Extend no further than to forbid 

the introduction into commerce of 

vehicles (or engines) previously covered 

by the certification which are still in the 

hands of the manufacturer, except in 

cases of such fraud or other misconduct 

as makes the certification invalid ab 

initio. 

(6) The manufacturer may request in 

the form and manner specified in 

paragraph (b)(3) of this section that any 

determination made by the 

Administrator under paragraph (c)(1) of 

this section to withhold or deny 

certification be reviewed in a hearing 

conducted in accordance with § 86.078– 

6. If the Administrator finds, after a 

review of the request and supporting 

data, that the request raises a substantial 

factual issue, he will grant the request 

with respect to such issue. 

(d)(1) For light-duty vehicles. 

Notwithstanding the fact that any 

vehicle configuration or engine family 

may be covered by a valid outstanding 

certificate of conformity, the 

Administrator may suspend such 

outstanding certificate of conformity in 

whole or in part with respect to such 

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vehicle configuration or engine family 

if: 

(i) The manufacturer refuses to 

comply with the provisions of a test 

order issued by the Administrator 

pursuant to § 86.603; or 

(ii) The manufacturer refuses to 

comply with any of the requirements of 

§ 86.603; or 

(iii) The manufacturer submits false or 

incomplete information in any report or 

information provided pursuant to the 

requirements of § 86.609; or 

(iv) The manufacturer renders 

inaccurate any test data which he 

submits pursuant to § 86.609; or 

(v) Any EPA Enforcement Officer is 

denied the opportunity to conduct 

activities related to entry and access as 

authorized in § 86.606 of this part and 

in a warrant or court order presented to 

the manufacturer or the party in charge 

of a facility in question; or 

(vi) EPA Enforcement Officers are 

unable to conduct activities related to 

entry and access or to obtain 

‘‘reasonable assistance’’ as authorized in 

§ 86.606 of this part because a 

manufacturer has located its facility in 

a foreign jurisdiction where local law 

prohibits those activities; or 

(vii) The manufacturer refuses to or in 

fact does not comply with § 86.604(a), 

§ 86.605, § 86.607, § 86.608, or § 86.610. 

(2) The sanction of suspending a 

certificate may not be imposed for the 

reasons in paragraph (d)(1)(i), (ii), or 

(vii) of this section where the refusal is 

caused by conditions and circumstances 

outside the control of the manufacturer 

which render it impossible to comply 

with those requirements. 

(3) The sanction of suspending a 

certificate may be imposed for the 

reasons in paragraph (d)(1)(iii), (iv), or 

(v) of this section only when the 

infraction is substantial. 

(4) In any case in which a 

manufacturer knowingly submitted false 

or inaccurate information or knowingly 

rendered inaccurate any test data or 

committed any other fraudulent acts, 

and such acts contributed substantially 

to the Administrator’s original decision 

not to suspend or revoke a certificate of 

conformity in whole or in part, the 

Administrator may deem such 

certificate void from the date of such 

fraudulent act. 

(5) In any case in which certification 

of a vehicle is proposed to be suspended 

under paragraph (d)(1)(v) of this section 

and in which the Administrator has 

presented to the manufacturer involved 

reasonable evidence that a violation of 

§ 86.606 in fact occurred, if the 

manufacturer wishes to contend that, 

although the violation occurred, the 

vehicle configuration or engine family 

in question was not involved in the 

violation to a degree that would warrant 

suspension of certification under 

paragraph (d)(1)(v) of this section, the 

manufacturer shall have the burden of 

establishing the contention to the 

satisfaction of the Administrator. 

(6) Any suspension of certification 

under paragraph (d)(1) of this section 

shall: 

(i) Be made only after the 

manufacturer concerned has been 

offered an opportunity for a hearing 

conducted in accordance with § 86.614; 

and 

(ii) Not apply to vehicles no longer in 

the hands of the manufacturer. 

(7) Any voiding of a certificate of 

conformity under paragraph (d)(4) of 

this section will be made only after the 

manufacturer concerned has been 

offered an opportunity for a hearing 

conducted in accordance with § 86.614. 

(8) Any voiding of the certificate 

under § 86.091–30(a)(10) will be made 

only after the manufacturer concerned 

has been offered an opportunity for a 

hearing conducted in accordance with 

§ 86.614. 

(e) For light-duty trucks and heavyduty engines. 

(1) Notwithstanding the fact that any 

vehicle configuration or engine family 

may be covered by a valid outstanding 

certificate of conformity, the 

Administrator may suspend such 

outstanding certificate of conformity in 

whole or in part with respect to such 

vehicle or engine configuration or 

engine family if: 

(i) The manufacturer refuses to 

comply with the provisions of a test 

order issued by the Administrator 

pursuant to § 86.1003; or 

(ii) The manufacturer refuses to 

comply with any of the requirements of 

§ 86.1003; or 

(iii) The manufacturer submits false or 

incomplete information in any report or 

information provided pursuant to the 

requirements of § 86.1009; or 

(iv) The manufacturer renders 

inaccurate any test data submitted 

pursuant to § 86.1009; or 

(v) Any EPA Enforcement Officer is 

denied the opportunity to conduct 

activities related to entry and access as 

authorized in § 86.1006 of this part and 

in a warrant or court order presented to 

the manufacturer or the party in charge 

of a facility in question; or 

(vi) EPA Enforcement Officers are 

unable to conduct activities related to 

entry and access as authorized in 

§ 86.1006 of this part because a 

manufacturer has located a facility in a 

foreign jurisdiction where local law 

prohibits those activities; or 

(vii) The manufacturer refuses to or in 

fact does not comply with the 

requirements of §§ 86.1004(a), 86.1005, 

86.1007, 86.1008, 86.1010, 86.1011, or 

86.1013. 

(2) The sanction of suspending a 

certificate may not be imposed for the 

reasons in paragraph (e)(1) (i), (ii), or 

(vii) of this section where such refusal 

or denial is caused by conditions and 

circumstances outside the control of the 

manufacturer which renders it 

impossible to comply with those 

requirements. Such conditions and 

circumstances shall include, but are not 

limited to, any uncontrollable factors 

which result in the temporary 

unavailability of equipment and 

personnel needed to conduct the 

required tests, such as equipment 

breakdown or failure or illness of 

personnel, but shall not include failure 

of the manufacturers to adequately plan 

for and provide the equipment and 

personnel needed to conduct the tests. 

The manufacturer will bear the burden 

of establishing the presence of the 

conditions and circumstances required 

by this paragraph. 

(3) The sanction of suspending a 

certificate may be imposed for the 

reasons outlined in paragraph (e)(1)(iii), 

(iv), or (v) of this section only when the 

infraction is substantial. 

(4) In any case in which a 

manufacturer knowingly submitted false 

or inaccurate information or knowingly 

rendered inaccurate any test data or 

committed any other fraudulent acts, 

and such acts contributed substantially 

to the Administrator’s original decision 

not to suspend or revoke a certificate of 

conformity in whole or in part, the 

Administrator may deem such 

certificate void from the date of such 

fraudulent act. 

(5) In any case in which certification 

of a light-duty truck or heavy-duty 

engine is proposed to be suspended 

under paragraph (e)(1)(v) of this section 

and in which the Administrator has 

presented to the manufacturer involved 

reasonable evidence that a violation of 

§ 86.1006 in fact occurred, if the 

manufacturer wishes to contend that, 

although the violation occurred, the 

vehicle or engine configuration or 

engine family in question was not 

involved in the violation to a degree that 

would warrant suspension of 

certification under paragraph (e)(1)(v) of 

this section, he shall have the burden of 

establishing that contention to the 

satisfaction of the Administrator. 

(6) Any suspension of certification 

under paragraph (e)(1) of this section 

shall: 

(i) Be made only after the 

manufacturer concerned has been 

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offered an opportunity for a hearing 

conducted in accordance with 

§ 86.1014; and 

(ii) Not apply to vehicles or engines 

no longer in the hands of the 

manufacturer. 

(7) Any voiding of a certificate of 

conformity under paragraph (e)(4) of 

this section shall be made only after the 

manufacturer concerned has been 

offered an opportunity for a hearing 

conducted in accordance with 

§ 86.1014. 

(8) Any voiding of the certificate 

under paragraph (a) (10) or (11) of this 

section will be made only after the 

manufacturer concerned has been 

offered an opportunity for a hearing 

conducted in accordance with 

§ 86.1014. 

(f) For engine families required to 

have an OBD system and meant for 

applications less than or equal to 14,000 

pounds, certification will not be granted 

if, for any test vehicle approved by the 

Administrator in consultation with the 

manufacturer, the malfunction indicator 

light does not illuminate under any of 

the following circumstances, unless the 

manufacturer can demonstrate that any 

identified OBD problems discovered 

during the Administrator’s evaluation 

will be corrected on production 

vehicles. 

(1)(i) Otto-cycle. A catalyst is replaced 

with a deteriorated or defective catalyst, 

or an electronic simulation of such, 

resulting in an increase of 1.5 times the 

NMHC+NOX standard or FEL above the 

NMHC+NOX emission level measured 

using a representative 4000 mile catalyst 

system. 

(ii) Diesel. 

(A) If monitored for emissions 

performance—a reduction catalyst is 

replaced with a deteriorated or defective 

catalyst, or an electronic simulation of 

such, resulting in exhaust emissions 

exceeding, for model years 2007 through 

2012, 1.75 times the applicable NOX

standard for engines certified to a NOX

FEL greater than 0.50 g/bhp-hr, or the 

applicable NOX FEL+0.6 g/bhp-hr for 

engines certified to a NOX FEL less than 

or equal to 0.50 g/bhp-hr and, for model 

years 2013 and later, the applicable NOX

FEL+0.3 g/bhp-hr. Also if monitored for 

emissions performance—an oxidation 

catalyst is replaced with a deteriorated 

or defective catalyst, or an electronic 

simulation of such, resulting in exhaust 

NMHC emissions exceeding, for model 

years 2007 through 2012, 2.5 times the 

applicable NMHC standard and, for 

model years 2013 and later, 2 times the 

applicable NMHC standard. If 

monitored for exotherm performance, an 

oxidation catalsyt is replaced with a 

deteriorated or defective catalyst, or an 

electronic simulation of such, resulting 

in an inability to achieve a 100 degree 

C temperature rise, or the necessary 

regeneration temperature, within 60 

seconds of initiating a DPF regeneration. 

(B) If monitored for performance—a 

diesel particulate filter (DPF) is replaced 

with a DPF that has catastrophically 

failed, or an electronic simulation of 

such; or, for model years 2010 and later, 

a DPF is replaced with a deteriorated or 

defective DPF, or an electronic 

simulation of such, resulting in either 

exhaust PM emissions exceeding the 

applicable FEL+0.04 g/bhp-hr or 0.05 g/ 

bhp-hr PM, whichever is higher. If 

monitored for a decrease in the expected 

pressure drop according to the 

alternative monitoring provision of 

§ 86.007–17(b)(1)(ii)(B), the OBD system 

fails to detect any of the pressure drop 

values across the DPF provided by the 

manufacturer at each of the nine engine 

speed/load operating points regardless 

of how those pressure drops are 

generated. 

(2)(i) Otto-cycle. An engine misfire 

condition is induced resulting in 

exhaust emissions exceeding 1.5 times 

the applicable standards or FEL for 

NMHC+NOX or CO. 

(ii) Diesel. An engine misfire 

condition is induced and is not 

detected. 

(3) Exhaust gas sensors. 

(i) Oxygen sensors and air-fuel ratio 

sensors downstream of aftertreatment 

devices. 

(A) Otto-cycle. If so equipped, any 

oxygen sensor or air-fuel ratio sensor 

located downstream of aftertreatment 

devices is replaced with a deteriorated 

or defective sensor, or an electronic 

simulation of such, resulting in exhaust 

emissions exceeding 1.5 times the 

applicable standard or FEL for NMHC, 

NOX or CO. 

(B) Diesel. If so equipped, any oxygen 

sensor or air-fuel ratio sensor located 

downstream of aftertreatment devices is 

replaced with a deteriorated or defective 

sensor, or an electronic simulation of 

such, resulting in exhaust emissions 

exceeding any of the following levels: 

The applicable PM FEL+0.04 g/bhp-hr 

or 0.05 g/bhp-hr PM, whichever is 

higher; or, for model years 2007 through 

2012, 1.75 times the applicable NOX

standard for engines certified to a NOX

FEL greater than 0.50 g/bhp-hr, or the 

applicable NOX FEL+0.6 g/bhp-hr for 

engines certified to a NOX FEL less than 

or equal to 0.50 g/bhp-hr and, for model 

years 2013 and later, the applicable NOX

FEL+0.3 g/bhp-hr; or, for model years 

2007 through 2012, 2.5 times the 

applicable NMHC standard and, for 

model years 2013 and later, 2 times the 

applicable NMHC standard. 

(ii) Oxygen sensors and air-fuel ratio 

sensors upstream of aftertreatment 

devices. 

(A) Otto-cycle. If so equipped, any 

oxygen sensor or air-fuel ratio sensor 

located upstream of aftertreatment 

devices is replaced with a deteriorated 

or defective sensor, or an electronic 

simulation of such, resulting in exhaust 

emissions exceeding 1.5 times the 

applicable standard or FEL for NMHC, 

NOX or CO. 

(B) Diesel. If so equipped, any oxygen 

sensor or air-fuel ratio sensor located 

upstream of aftertreatment devices is 

replaced with a deteriorated or defective 

sensor, or an electronic simulation of 

such, resulting in exhaust emissions 

exceeding any of the following levels: 

For model years 2007 through 2012, the 

applicable PM FEL+0.04 g/bhp-hr or 

0.05 g/bhp-hr PM, whichever is higher 

and, for model years 2013 and later, the 

applicable PM FEL+0.02 g/bhp-hr or 

0.03 g/bhp-hr PM, whichever is higher; 

or, for model years 2007 through 2012, 

1.75 times the applicable NOX standard 

for engines certified to a NOX FEL 

greater than 0.50 g/bhp-hr, or the 

applicable NOX FEL+0.6 g/bhp-hr for 

engines certified to a NOX FEL less than 

or equal to 0.50 g/bhp-hr and, for model 

years 2013 and later, the applicable NOX

FEL+0.3 g/bhp-hr; or, for model years 

2007 through 2012, 2.5 times the 

applicable NMHC standard and, for 

model years 2013 and later, 2 times the 

applicable NMHC standard; or, for 

model years 2007 through 2012, 2.5 

times the applicable CO standard and, 

for model years 2013 and later, 2 times 

the applicable CO standard. 

(iii) NOX sensors. 

(A) Otto-cycle. If so equipped, any 

NOX sensor is replaced with a 

deteriorated or defective sensor, or an 

electronic simulation of such, resulting 

in exhaust emissions exceeding 1.5 

times the applicable standard or FEL for 

NMHC, NOX or CO. 

(B) Diesel. If so equipped, any NOX

sensor is replaced with a deteriorated or 

defective sensor, or an electronic 

simulation of such, resulting in exhaust 

emissions exceeding any of the 

following levels: The applicable PM 

FEL+0.04 g/bhp-hr or 0.05 g/bhp-hr PM, 

whichever is higher; or, for model years 

2007 through 2012, 1.75 times the 

applicable NOX standard for engines 

certified to a NOX FEL greater than 0.50 

g/bhp-hr, or the applicable NOX

FEL+0.6 g/bhp-hr for engines certified 

to a NOX FEL less than or equal to 0.50 

g/bhp-hr and, for model years 2013 and 

later, the applicable NOX FEL+0.3 g/ 

bhp-hr. 

(4) If so equipped and for Otto-cycle 

engines, a vapor leak is introduced in 

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the evaporative and/or refueling system 

(excluding the tubing and connections 

between the purge valve and the intake 

manifold) greater than or equal in 

magnitude to a leak caused by a 0.040 

inch diameter orifice, or the evaporative 

purge air flow is blocked or otherwise 

eliminated from the complete 

evaporative emission control system. 

(5)(i) Otto-cycle. A malfunction 

condition is induced in any emissionrelated engine system or component, 

including but not necessarily limited to, 

the exhaust gas recirculation (EGR) 

system, if equipped, the secondary air 

system, if equipped, and the fuel control 

system, singularly resulting in exhaust 

emissions exceeding 1.5 times the 

applicable emission standard or FEL for 

NMHC, NOX, or CO. 

(ii) Diesel. A malfunction condition is 

induced in any emission-related engine 

system or component, including but not 

necessarily limited to, the exhaust gas 

recirculation (EGR) system, if equipped, 

and the fuel control system, singularly 

resulting in exhaust emissions 

exceeding any of the following levels: 

The applicable PM FEL+0.04 g/bhp-hr 

or 0.05 g/bhp-hr PM, whichever is 

higher; or, for model years 2007 through 

2012, 1.75 times the applicable NOX

standard for engines certified to a NOX

FEL greater than 0.50 g/bhp-hr, or the 

applicable NOX FEL+0.6 g/bhp-hr for 

engines certified to a NOX FEL less than 

or equal to 0.50 g/bhp-hr and, for model 

years 2013 and later, the applicable NOX

FEL+0.3 g/bhp-hr; or, for model years 

2007 through 2012, 2.5 times the 

applicable NMHC standard and, for 

model years 2013 and later, 2 times the 

applicable NMHC standard; or, for 

model years 2007 through 2012, 2.5 

times the applicable CO standard and, 

for model years 2013 and later, 2 times 

the applicable CO standard. 

(6) A malfunction condition is 

induced in an electronic emissionrelated engine system or component not 

otherwise described above that either 

provides input to or receives commands 

from the on-board computer resulting in 

a measurable impact on emissions. 

■ 5. Section 86.010–2 is added to 

Subpart A to read as follows: 

§ 86.010–2 Definitions. 

The definitions of § 86.004–2 

continue to apply to 2004 and later 

model year vehicles. The definitions 

listed in this section apply beginning 

with the 2010 model year. 

DTC means diagnostic trouble code. 

Engine or engine system as used in 

§§ 86.007–17, 86.007–30, 86.010–18, 

and 86.010–38 means the engine, fuel 

system, induction system, aftertreatment 

system, and everything that makes up 

the system for which an engine 

manufacturer has received a certificate 

of conformity. 

Engine start as used in § 86.010–18 

means the point when the engine 

reaches a speed 150 rpm below the 

normal, warmed-up idle speed (as 

determined in the drive position for 

vehicles equipped with an automatic 

transmission). For hybrid vehicles or for 

engines employing alternative engine 

start hardware or strategies (e.g., 

integrated starter and generators.), the 

manufacturer may use an alternative 

definition for engine start (e.g., key-on) 

provided the alternative definition is 

based on equivalence to an engine start 

for a conventional vehicle. 

Functional check, in the context of 

onboard diagnostics, means verifying 

that a component and/or system that 

receives information from a control 

computer responds properly to a 

command from the control computer. 

Ignition cycle as used in § 86.010–18 

means a cycle that begins with engine 

start, meets the engine start definition 

for at least two seconds plus or minus 

one second, and ends with engine 

shutoff. 

Limp-home operation as used in 

§ 86.010–18 means an operating mode 

that an engine is designed to enter upon 

determining that normal operation 

cannot be maintained. In general, limphome operation implies that a 

component or system is not operating 

properly or is believed to be not 

operating properly. 

Malfunction means the conditions 

have been met that require the 

activation of an OBD malfunction 

indicator light and storage of a DTC. 

MIL-on DTC means the diagnostic 

trouble code stored when an OBD 

system has detected and confirmed that 

a malfunction exists (e.g., typically on 

the second drive cycle during which a 

given OBD monitor has evaluated a 

system or component). Industry 

standards may refer to this as a 

confirmed or an active DTC. 

Onboard Diagnostics (OBD) group 

means a combination of engines, engine 

families, or engine ratings that use the 

same OBD strategies and similar 

calibrations. 

Pending DTC means the diagnostic 

trouble code stored upon the detection 

of a potential malfunction. 

Permanent DTC means a DTC that 

corresponds to a MIL-on DTC and is 

stored in non-volatile random access 

memory (NVRAM). A permanent DTC 

can only be erased by the OBD system 

itself and cannot be erased through 

human interaction with the OBD system 

or any onboard computer. 

Potential malfunction means that 

conditions have been detected that meet 

the OBD malfunction criteria but for 

which more drive cycles are allowed to 

provide further evaluation prior to 

confirming that a malfunction exists. 

Previous-MIL-on DTC means a DTC 

that corresponds to a MIL-on DTC but 

is distinguished by representing a 

malfunction that the OBD system has 

determined no longer exists but for 

which insufficient operation has 

occurred to satisfy the DTC erasure 

provisions. 

Rationality check, in the context of 

onboard diagnostics, means verifying 

that a component that provides input to 

a control computer provides an accurate 

input to the control computer while in 

the range of normal operation and when 

compared to all other available 

information. 

Similar conditions, in the context of 

onboard diagnostics, means engine 

conditions having an engine speed 

within 375 rpm, load conditions within 

20 percent, and the same warm up 

status (i.e., cold or hot). The 

manufacturer may use other definitions 

of similar conditions based on 

comparable timeliness and reliability in 

detecting similar engine operation. 

■ 6. Section 86.010–18 is added to 

Subpart A to read as follows: 

§ 86.010–18 On-board Diagnostics for 

engines used in applications greater than 

14,000 pounds GVWR. 

(a) General. According to the 

implementation schedule shown in 

paragraph (o) of this section, heavy-duty 

engines intended for use in a heavyduty vehicle weighing more than 14,000 

pounds GVWR must be equipped with 

an on-board diagnostic (OBD) system 

capable of monitoring all emissionrelated engine systems or components 

during the life of the engine. The OBD 

system is required to detect all 

malfunctions specified in paragraphs 

(g), (h), and (i) of this § 86.010–18 

although the OBD system is not required 

to use a unique monitor to detect each 

of those malfunctions. 

(1) When the OBD system detects a 

malfunction, it must store a pending, a 

MIL-on, or a previous-MIL-on diagnostic 

trouble code (DTC) in the onboard 

computer’s memory. A malfunction 

indicator light (MIL) must also be 

activated as specified in paragraph (b) of 

this section. 

(2) Data link connector. 

(i) For model years 2010 through 

2012, the OBD system must be equipped 

with a data link connector to provide 

access to the stored DTCs as specified in 

paragraph (k)(2) of this section. 

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(ii) For model years 2013 and later, 

the OBD system must be equipped with 

a standardized data link connector to 

provide access to the stored DTCs as 

specified in paragraph (k)(2) of this 

section. 

(3) The OBD system cannot be 

programmed or otherwise designed to 

deactivate based on age and/or mileage. 

This requirement does not alter existing 

law and enforcement practice regarding 

a manufacturer’s liability for an engine 

beyond its regulatory useful life, except 

where an engine has been programmed 

or otherwise designed so that an OBD 

system deactivates based on age and/or 

mileage of the engine. 

(4) Drive cycle or driving cycle, in the 

context of this § 86.010–18, means 

operation that meets any of the 

conditions of paragraphs (a)(4)(i) 

through (a)(4)(iv) of this section. 

Further, for OBD monitors that run 

during engine-off conditions, the period 

of engine-off time following engine 

shutoff and up to the next engine start 

may be considered part of the drive 

cycle for the conditions of paragraphs 

(a)(4)(i) and (a)(4)(iv) of this section. For 

engines/vehicles that employ engine 

shutoff OBD monitoring strategies that 

do not require the vehicle operator to 

restart the engine to continue vehicle 

operation (e.g., a hybrid bus with engine 

shutoff at idle), the manufacturer may 

use an alternative definition for drive 

cycle (e.g., key-on followed by key-off). 

Any alternative definition must be 

based on equivalence to engine startup 

and engine shutoff signaling the 

beginning and ending of a single driving 

event for a conventional vehicle. For 

engines that are not likely to be 

routinely operated for long continuous 

periods of time, a manufacturer may 

also request approval to use an 

alternative definition for drive cycle 

(e.g., solely based on engine start and 

engine shutoff without regard to four 

hours of continuous engine-on time). 

Administrator approval of the 

alternative definition will be based on 

manufacturer-submitted data and/or 

information demonstrating the typical 

usage, operating habits, and/or driving 

patterns of these vehicles. 

(i) Begins with engine start and ends 

with engine shutoff; 

(ii) Begins with engine start and ends 

after four hours of continuous engine-on 

operation; 

(iii) Begins at the end of the previous 

four hours of continuous engine-on 

operation and ends after four hours of 

continuous engine-on operation; or 

(iv) Begins at the end of the previous 

four hours of continuous engine-on 

operation and ends with engine shutoff. 

(5) As an alternative to demonstrating 

compliance with the provisions of 

paragraphs (b) through (l) of this 

§ 86.010–18, a manufacturer may 

demonstrate how the OBD system they 

have designed to comply with California 

OBD requirements for engines used in 

applications greater than 14,000 pounds 

also complies with the intent of the 

provisions of paragraphs (b) through (l) 

of this section. To make use of this 

alternative, the manufacturer must 

demonstrate to the Administrator how 

the OBD system they intend to certify 

meets the intent behind all of the 

requirements of this section, where 

applicable (e.g., paragraph (h) of this 

section would not apply for a diesel 

fueled/CI engine). Furthermore, if 

making use of this alternative, the 

manufacturer must comply with the 

specific certification documentation 

requirements of paragraph (m)(3) of this 

section. 

(6) Temporary provisions to address 

hardship due to unusual circumstances. 

(i) After considering the unusual 

circumstances, the Administrator may 

permit the manufacturer to introduce 

into U.S. commerce engines that do not 

comply with this § 86.010–18 for a 

limited time if all the following 

conditions apply: 

(A) Unusual circumstances that are 

clearly outside the manufacturer’s 

control prevent compliance with the 

requirements of this § 86.010–18. 

(B) The manufacturer exercised 

prudent planning and was not able to 

avoid the violation and has taken all 

reasonable steps to minimize the extent 

of the nonconformity. 

(C) No other allowances are available 

under the regulations in this chapter to 

avoid the impending violation. 

(ii) To apply for an exemption, the 

manufacturer must send to the 

Administrator a written request as soon 

as possible before being in violation. In 

the request, the manufacturer must 

show that all the conditions and 

requirements of paragraph (a)(6)(i) of 

this section are met. 

(iii) The request must also include a 

plan showing how all the applicable 

requirements will be met as quickly as 

possible. 

(iv) The manufacturer shall give the 

Administrator other relevant 

information upon request. 

(v) The Administrator may include 

additional conditions on an approval 

granted under the provisions of this 

paragraph (a)(6), including provisions 

that may require field repair at the 

manufacturer’s expense to correct the 

noncompliance. 

(vi) Engines sold as non-compliant 

under this temporary hardship 

provision must display ‘‘non-OBD’’ in 

the data stream as required under 

paragraph (k)(4)(ii) of this section. Upon 

correcting the noncompliance, the data 

stream value must be updated 

accordingly. 

(b) Malfunction indicator light (MIL) 

and Diagnostic Trouble Codes (DTC). 

The OBD system must incorporate a 

malfunction indicator light (MIL) or 

equivalent and must store specific types 

of diagnostic trouble codes (DTC). 

Unless otherwise specified, all 

provisions of this paragraph (b) apply 

for 2010 and later model years. 

(1) MIL specifications. 

(i) For model years 2013 and later, the 

MIL must be located on the primary 

driver’s side instrument panel and be of 

sufficient illumination and location to 

be readily visible under all lighting 

conditions. The MIL must be amber 

(yellow) in color; the use of red for the 

OBD-related MIL is prohibited. More 

than one general purpose malfunction 

indicator light for emission-related 

problems shall not be used; separate 

specific purpose warning lights (e.g., 

brake system, fasten seat belt, oil 

pressure, etc.) are permitted. When 

activated, the MIL shall display the 

International Standards Organization 

(ISO) engine symbol. 

(ii) The OBD system must activate the 

MIL when the ignition is in the key-on/ 

engine-off position before engine 

cranking to indicate that the MIL is 

functional. The MIL shall be activated 

continuously during this functional 

check for a minimum of 5 seconds. 

During this MIL key-on functional 

check, the data stream value (see 

paragraph (k)(4)(ii) of this section) for 

MIL status must indicate ‘‘commanded 

off’’ unless the OBD system has detected 

a malfunction and has stored a MIL-on 

DTC. This MIL key-on functional check 

is not required during vehicle operation 

in the key-on/engine-off position 

subsequent to the initial engine 

cranking of an ignition cycle (e.g., due 

to an engine stall or other noncommanded engine shutoff). 

(iii) As an option, the MIL may be 

used to indicate readiness status (see 

paragraph (k)(4)(i) of this section) in a 

standardized format in the key-on/ 

engine-off position. 

(iv) A manufacturer may also use the 

MIL to indicate which, if any, DTCs are 

currently stored (e.g., to ‘‘blink’’ the 

stored DTCs). Such use must not 

activate unintentionally during routine 

driver operation. 

(v) For model years 2013 and later, 

the MIL required by this paragraph (b) 

must not be used in any other way than 

is specified in this section. 

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(2) MIL activation and DTC storage 

protocol. 

(i) Within 10 seconds of detecting a 

potential malfunction, the OBD system 

must store a pending DTC that identifies 

the potential malfunction. 

(ii) If the potential malfunction is 

again detected before the end of the next 

drive cycle during which monitoring 

occurs (i.e., the potential malfunction 

has been confirmed as a malfunction), 

then within 10 seconds of such 

detection the OBD system must activate 

the MIL continuously and store a MILon DTC (systems using the SAE J1939 

standard protocol specified in paragraph 

(k)(1) of this section may either erase or 

retain the pending DTC in conjunction 

with storing the MIL-on DTC). If the 

potential malfunction is not detected 

before the end of the next drive cycle 

during which monitoring occurs (i.e., 

there is no indication of the malfunction 

at any time during the drive cycle), the 

corresponding pending DTC should be 

erased at the end of the drive cycle. 

Similarly, if a malfunction is detected 

for the first time and confirmed on a 

given drive cycle without need for 

further evaluation, then within 10 

seconds of such detection the OBD 

system must activate the MIL 

continuously and store a MIL-on DTC 

(again, systems using the SAE J1939 

standard protocol specified in paragraph 

(k)(1) of this section may optionally 

store a pending DTC in conjunction 

with storing the MIL-on DTC). 

(iii) A manufacturer may request 

Administrator approval to employ 

alternative statistical MIL activation and 

DTC storage protocols to those specified 

in paragraphs (b)(2)(i) and (b)(2)(ii) of 

this section. Approval will depend upon 

the manufacturer providing data and/or 

engineering evaluations that 

demonstrate that the alternative 

protocols can evaluate system 

performance and detect malfunctions in 

a manner that is equally effective and 

timely. Strategies requiring on average 

more than six drive cycles for MIL 

activation will not be accepted. 

(iv) The OBD system must store a 

‘‘freeze frame’’ of the operating 

conditions (as defined in paragraph 

(k)(4)(iii) of this section) present upon 

detecting a malfunction or a potential 

malfunction. In the event that a pending 

DTC has matured to a MIL-on DTC, the 

manufacturer shall either retain the 

currently stored freeze frame conditions 

or replace the stored freeze frame with 

freeze frame conditions regarding the 

MIL-on DTC. Any freeze frame stored in 

conjunction with any pending DTC or 

MIL-on DTC should be erased upon 

erasure of the corresponding DTC. 

(v) If the engine enters a limp-home 

mode of operation that can affect 

emissions or the performance of the 

OBD system, or in the event of a 

malfunction of an onboard computer(s) 

itself that can affect the performance of 

the OBD system, the OBD system must 

activate the MIL and store a MIL-on 

DTC within 10 seconds to inform the 

vehicle operator. If the limp-home mode 

of operation is recoverable (i.e., 

operation automatically returns to 

normal at the beginning of the following 

ignition cycle), the OBD system may 

wait to activate the MIL and store the 

MIL-on DTC if the limp-home mode of 

operation is again entered before the 

end of the next ignition cycle rather 

than activating the MIL within 10 

seconds on the first drive cycle during 

which the limp-home mode of operation 

is entered. 

(vi) Before the end of an ignition 

cycle, the OBD system must store a 

permanent DTC(s) that corresponds to 

any stored MIL-on DTC(s). 

(3) MIL deactivation and DTC erasure 

protocol. 

(i) Deactivating the MIL. Except as 

otherwise provided for in paragraphs 

(g)(2)(iv)(E) and (g)(6)(iv)(B) of this 

section for diesel misfire malfunctions 

and empty reductant tanks, and 

paragraphs (h)(1)(iv)(F), (h)(2)(viii), and 

(h)(7)(iv)(B) of this section for gasoline 

fuel system, misfire, and evaporative 

system malfunctions, once the MIL has 

been activated, it may be deactivated 

after three subsequent sequential drive 

cycles during which the monitoring 

system responsible for activating the 

MIL functions and the previously 

detected malfunction is no longer 

present and provided no other 

malfunction has been detected that 

would independently activate the MIL 

according to the requirements outlined 

in paragraph (b)(2) of this section. 

(ii) Erasing a MIL-on DTC. The OBD 

system may erase a MIL-on DTC if the 

identified malfunction has not again 

been detected in at least 40 engine warm 

up cycles and the MIL is presently not 

activated for that malfunction. The OBD 

system may also erase a MIL-on DTC 

upon deactivating the MIL according to 

paragraph (b)(3)(i) of this section 

provided a previous-MIL-on DTC is 

stored upon erasure of the MIL-on DTC. 

The OBD system may erase a previousMIL-on DTC if the identified 

malfunction has not again been detected 

in at least 40 engine warm up cycles and 

the MIL is presently not activated for 

that malfunction. 

(iii) Erasing a permanent DTC. The 

OBD system can erase a permanent DTC 

only if: 

(A) The OBD system itself determines 

that the malfunction that caused the 

corresponding permanent DTC to be 

stored is no longer present and is not 

commanding activation of the MIL, 

concurrent with the requirements of 

paragraph (b)(3)(i) of this section which, 

for purposes of this paragraph (b)(3)(iii), 

shall apply to all monitors. 

(B) All externally erasable DTC 

information stored in the onboard 

computer has been erased (i.e., through 

the use of a scan tool or battery 

disconnect) and the monitor of the 

malfunction that caused the permanent 

DTC to be stored is subject to the 

minimum ratio requirements of 

paragraph (d) of this section, the OBD 

system shall erase the permanent DTC at 

the end of a drive cycle if the monitor 

has run and made one or more 

determinations during a drive cycle that 

the malfunction of the component or the 

system is not present and has not made 

any determinations within the same 

drive cycle that the malfunction is 

present. 

(C) (1) All externally erasable DTC 

information stored in the onboard 

computer has been erased (i.e., through 

the use of a scan tool or battery 

disconnect) and the monitor of the 

malfunction that caused the permanent 

DTC to be stored is not subject to the 

minimum ratio requirements of 

paragraph (d) of this section, the OBD 

system shall erase the permanent DTC at 

the end of a drive cycle provided the 

following two criteria have 

independently been satisfied: 

(i) The monitor has run and made one 

or more determinations during a drive 

cycle that the malfunction is no longer 

present and has not made any 

determinations within the same drive 

cycle that the malfunction is present; 

and, 

(ii) The monitor does not detect a 

malfunction on a drive cycle and the 

criteria of paragraph (d)(4)(ii) of this 

section has been met. 

(2) These two separate criteria may be 

met on the same or different drive 

cycles provided the monitor never 

detects a malfunction during either 

drive cycle, and if criteria 

(b)(3)(iii)(C)(1)(i) happens first then no 

malfunction may be detected before 

criteria (b)(3)(iii)(C)(1)(ii) occurs. If a 

malfunction occurs after criteria 

(b)(3)(iii)(C)(1)(i) then criteria 

(b)(3)(iii)(C)(1)(i) must be satisfied again. 

For the second criterion, the 

manufacturer must exclude any 

temperature and/or elevation provisions 

of paragraph (d)(4)(ii) of this section. 

For this paragraph (b)(3)(iii)(C), 

monitors required to use ‘‘similar 

conditions’’ as defined in § 86.010–2 to 

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store and erase pending and MIL-on 

DTCs cannot require that the similar 

conditions be met prior to erasure of the 

permanent DTC. 

(D) The Administrator shall allow 

monitors subject to paragraph 

(b)(3)(iii)(B) of this section to use the 

criteria of paragraph (b)(3)(iii)(C) of this 

section in lieu of paragraph (b)(3)(iii)(B). 

Further, manufacturers may request 

Administrator approval to use 

alternative criteria to erase the 

permanent DTC. The Administrator 

shall approve alternate criteria that will 

not likely require driving conditions 

that are longer and more difficult to 

meet than those required under 

paragraph (b)(3)(iii)(C) of this section 

and do not require access to enhanced 

scan tools to determine conditions 

necessary to erase the permanent DTC. 

(4) Exceptions to MIL and DTC 

requirements. 

(i) If a limp-home mode of operation 

causes a overt indication (e.g., activation 

of a red engine shut-down warning 

light) such that the driver is certain to 

respond and have the problem 

corrected, a manufacturer may choose 

not to activate the MIL as required by 

paragraph (b)(2)(v) of this section. 

Additionally, if an auxiliary emission 

control device has been properly 

activated as approved by the 

Administrator, a manufacturer may 

choose not to activate the MIL. 

(ii) For gasoline engines, a 

manufacturer may choose to meet the 

MIL and DTC requirements in § 86.007– 

17 in lieu of meeting the requirements 

of paragraph (b) of this § 86.010–18. 

(c) Monitoring conditions. The OBD 

system must monitor and detect the 

malfunctions specified in paragraphs 

(g), (h), and (i) of this section under the 

following general monitoring 

conditions. The more specific 

monitoring conditions of paragraph (d) 

of this section are sometimes required 

according to the provisions of 

paragraphs (g), (h), and (i) of this 

section. 

(1) As specifically provided for in 

paragraphs (g), (h), and (i) of this 

section, the monitoring conditions for 

detecting malfunctions must be 

technically necessary to ensure robust 

detection of malfunctions (e.g., avoid 

false passes and false indications of 

malfunctions); designed to ensure 

monitoring will occur under conditions 

that may reasonably be expected to be 

encountered in normal vehicle 

operation and normal vehicle use; and, 

designed to ensure monitoring will 

occur during the FTP transient test cycle 

contained in Appendix I paragraph (f), 

of this part, or similar drive cycle as 

approved by the Administrator. 

(2) Monitoring must occur at least 

once per drive cycle in which the 

monitoring conditions are met. 

(3) Manufacturers may define 

monitoring conditions that are not 

encountered during the FTP cycle as 

required in paragraph (c)(1) of this 

section. In doing so, the manufacturer 

would be expected to consider the 

degree to which the requirement to run 

during the FTP transient cycle restricts 

monitoring during in-use operation, the 

technical necessity for defining 

monitoring conditions that are not 

encountered during the FTP cycle, 

whether monitoring is otherwise not 

feasible during the FTP cycle, and/or 

the ability to demonstrate that the 

monitoring conditions satisfy the 

minimum acceptable in-use monitor 

performance ratio requirement as 

defined in paragraph (d) of this section. 

(d) In-use performance tracking. As 

specifically required in paragraphs (g), 

(h), and (i) of this section, the OBD 

system must monitor and detect the 

malfunctions specified in paragraphs 

(g), (h), and (i) of this section according 

to the criteria of this paragraph (d). The 

OBD system is not required to track and 

report in-use performance for monitors 

other than those specifically identified 

in paragraph (d)(1) of this section, but 

all monitors on applicable model year 

engines are still required to meet the inuse performance ratio as specified in 

paragraph (d)(1)(ii) of this section. 

(1) The manufacturer must implement 

software algorithms in the OBD system 

to individually track and report the inuse performance of the following 

monitors, if equipped, in the 

standardized format specified in 

paragraph (e) of this section: NMHC 

converting catalyst (paragraph (g)(5) of 

this section); NOX converting catalyst 

(paragraph (g)(6) of this section); 

gasoline catalyst (paragraph (h)(6) of 

this section); exhaust gas sensor 

(paragraph (g)(9) of this section) or 

paragraph(h)(8) of this section); 

evaporative system (paragraph (h)(7) of 

this section); EGR system (paragraph 

(g)(3) of this section or (h)(3) of this 

section); VVT system (paragraph (g)(10) 

of this section or (h)(9) of this section); 

secondary air system (paragraph (h)(5) 

of this section); DPF system (paragraph 

(g)(8) of this section); boost pressure 

control system (paragraph (g)(4) of this 

section); and, NOX adsorber system 

(paragraph (g)(7) of this section). 

(i) The manufacturer shall not use the 

calculated ratio specified in paragraph 

(d)(2) of this section or any other 

indication of monitor frequency as a 

monitoring condition for a monitor (e.g., 

using a low ratio to enable more 

frequent monitoring through diagnostic 

executive priority or modification of 

other monitoring conditions, or using a 

high ratio to enable less frequent 

monitoring). 

(ii) For model years 2013 and later, 

manufacturers must define monitoring 

conditions that, in addition to meeting 

the criteria in paragraphs (c)(1) and 

(d)(1) of this section, ensure that the 

monitor yields an in-use performance 

ratio (as defined in paragraph (d)(2) of 

this section) that meets or exceeds the 

minimum acceptable in-use monitor 

performance ratio of 0.100 for all 

monitors specifically required in 

paragraphs (g), (h), and (i) of this section 

to meet the monitoring condition 

requirements of this paragraph (d). 

(iii) If the most reliable monitoring 

method developed requires a lower ratio 

for a specific monitor than that specified 

in paragraph (d)(1)(ii) of this section, the 

Administrator may lower the minimum 

acceptable in-use monitoring 

performance ratio. 

(2) In-use performance ratio 

definition. For monitors required to 

meet the requirements of paragraph (d) 

of this section, the performance ratio 

must be calculated in accordance with 

the specifications of this paragraph 

(d)(2). 

(i) The numerator of the performance 

ratio is defined as the number of times 

a vehicle has been operated such that all 

monitoring conditions have been 

encountered that are necessary for the 

specific monitor to detect a malfunction. 

(ii) The denominator is defined as the 

number of times a vehicle has been 

operated in accordance with the 

provisions of paragraph (d)(4) of this 

section. 

(iii) The performance ratio is defined 

as the numerator divided by the 

denominator. 

(3) Specifications for incrementing the 

numerator. 

(i) Except as provided for in 

paragraph (d)(3)(v) of this section, the 

numerator, when incremented, must be 

incremented by an integer of one. The 

numerator shall not be incremented 

more than once per drive cycle. 

(ii) The numerator for a specific 

monitor must be incremented within 10 

seconds if and only if the following 

criteria are satisfied on a single drive 

cycle: 

(A) Every monitoring condition has 

been satisfied that is necessary for the 

specific monitor to detect a malfunction 

and store a pending DTC, including 

applicable enable criteria, presence or 

absence of related DTCs, sufficient 

length of monitoring time, and 

diagnostic executive priority 

assignments (e.g., diagnostic ‘‘A’’ must 

execute prior to diagnostic ‘‘B’’). For the 

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purpose of incrementing the numerator, 

satisfying all the monitoring conditions 

necessary for a monitor to determine 

that the monitor is not malfunctioning 

shall not, by itself, be sufficient to meet 

this criteria. 

(B) For monitors that require multiple 

stages or events in a single drive cycle 

to detect a malfunction, every 

monitoring condition necessary for all 

events to complete must be satisfied. 

(C) For monitors that require intrusive 

operation of components to detect a 

malfunction, a manufacturer must 

request approval of the strategy used to 

determine that, had a malfunction been 

present, the monitor would have 

detected the malfunction. Administrator 

approval of the request will be based on 

the equivalence of the strategy to actual 

intrusive operation and the ability of the 

strategy to determine accurately if every 

monitoring condition was satisfied that 

was necessary for the intrusive event to 

occur. 

(D) For the secondary air system 

monitor, the criteria in paragraphs 

(d)(3)(ii)(A) through (d)(3)(ii)(C) of this 

section are satisfied during normal 

operation of the secondary air system. 

Monitoring during intrusive operation 

of the secondary air system later in the 

same drive cycle for the sole purpose of 

monitoring shall not, by itself, be 

sufficient to meet these criteria. 

(iii) For monitors that can generate 

results in a ‘‘gray zone’’ or ‘‘nondetection zone’’ (i.e., monitor results 

that indicate neither a properly 

operating system nor a malfunctioning 

system) or in a ‘‘non-decision zone’’ 

(e.g., monitors that increment and 

decrement counters until a pass or fail 

threshold is reached), the numerator, in 

general, shall not be incremented when 

the monitor indicates a result in the 

‘‘non-detection zone’’ or prior to the 

monitor reaching a complete decision. 

When necessary, the Administrator will 

consider data and/or engineering 

analyses submitted by the manufacturer 

demonstrating the expected frequency 

of results in the ‘‘non-detection zone’’ 

and the ability of the monitor to 

determine accurately, had an actual 

malfunction been present, whether or 

not the monitor would have detected a 

malfunction instead of a result in the 

‘‘non-detection zone.’’ 

(iv) For monitors that run or complete 

their evaluation with the engine off, the 

numerator must be incremented either 

within 10 seconds of the monitor 

completing its evaluation in the engine 

off state, or during the first 10 seconds 

of engine start on the subsequent drive 

cycle. 

(v) Manufacturers that use alternative 

statistical MIL activation protocols as 

allowed in paragraph (b)(2)(iii) of this 

section for any of the monitors requiring 

a numerator, are required to increment 

the numerator(s) appropriately. The 

manufacturer may be required to 

provide supporting data and/or 

engineering analyses demonstrating 

both the equivalence of their 

incrementing approach to the 

incrementing specified in this paragraph 

(d)(3) for monitors using the standard 

MIL activation protocol, and the overall 

equivalence of the incrementing 

approach in determining that the 

minimum acceptable in-use 

performance ratio of paragraph (d)(1)(ii) 

of this section, if applicable, has been 

satisfied. 

(4) Specifications for incrementing the 

denominator. 

(i) The denominator, when 

incremented, must be incremented by 

an integer of one. The denominator shall 

not be incremented more than once per 

drive cycle. 

(ii) The denominator for each monitor 

must be incremented within 10 seconds 

if and only if the following criteria are 

satisfied on a single drive cycle: 

(A) Cumulative time since the start of 

the drive cycle is greater than or equal 

to 600 seconds while at an elevation of 

less than 8,000 feet (2,400 meters) above 

sea level and at an ambient temperature 

of greater than or equal to 20 degrees 

Fahrenheit (¥7 C); 

(B) Cumulative gasoline engine 

operation at or above 25 miles per hour 

or diesel engine operation at or above 

1,150 rotations per minute (diesel 

engines may use the gasoline criterion 

for 2010 through 2012 model years), 

either of which occurs for greater than 

or equal to 300 seconds while at an 

elevation of less than 8,000 feet (2,400 

meters) above sea level and at an 

ambient temperature of greater than or 

equal to 20 degrees Fahrenheit (¥7 C); 

and, 

(C) Continuous engine operation at 

idle (e.g., accelerator pedal released by 

driver and engine speed less than or 

equal to 200 rpm above normal warmedup idle (as determined in the drive 

position for vehicles equipped with an 

automatic transmission) or vehicle 

speed less than or equal to one mile per 

hour) for greater than or equal to 30 

seconds while at an elevation of less 

than 8,000 feet (2,400 meters) above sea 

level and at an ambient temperature of 

greater than or equal to 20 degrees 

Fahrenheit (¥7 C). 

(iii) In addition to the requirements of 

paragraph (d)(4)(ii) of this section, the 

evaporative system monitor 

denominator(s) may be incremented if 

and only if: 

(A) Cumulative time since the start of 

the drive cycle is greater than or equal 

to 600 seconds while at an ambient 

temperature of greater than or equal to 

40 degrees Fahrenheit (4 C) but less than 

or equal to 95 degrees Fahrenheit (35 C); 

and, 

(B) Engine cold start occurs with the 

engine coolant temperature greater than 

or equal to 40 degrees Fahrenheit (4 C) 

but less than or equal to 95 degrees 

Fahrenheit (35 C) and less than or equal 

to 12 degrees Fahrenheit (7 C) higher 

than the ambient temperature. 

(iv) In addition to the requirements of 

paragraph (d)(4)(ii) of this section, the 

denominator(s) for the following 

monitors may be incremented if and 

only if the component or strategy is 

commanded ‘‘on’’ for a cumulative time 

greater than or equal to 10 seconds. For 

purposes of determining this 

commanded ‘‘on’’ time, the OBD system 

shall not include time during intrusive 

operation of any of the components or 

strategies that occurs later in the same 

drive cycle for the sole purpose of 

monitoring. 

(A) Secondary air system (paragraph 

(h)(5) of this section). 

(B) Cold start emission reduction 

strategy (paragraph (h)(4) of this 

section). 

(C) Components or systems that 

operate only at engine start-up (e.g., 

glow plugs, intake air heaters) and are 

subject to monitoring under ‘‘other 

emission control systems’’ (paragraph 

(i)(4) of this section) or comprehensive 

component output components 

(paragraph (i)(3)(iii) of this section). 

(v) In addition to the requirements of 

paragraph (d)(4)(ii) of this section, the 

denominator(s) for the following 

monitors of output components (except 

those operated only at engine start-up 

and subject to the requirements of 

paragraph (d)(4)(iv) of this section, may 

be incremented if and only if the 

component is commanded to function 

(e.g., commanded ‘‘on’’, ‘‘opened’’, 

‘‘closed’’, ‘‘locked’’) on two or more 

occasions during the drive cycle or for 

a cumulative time greater than or equal 

to 10 seconds, whichever occurs first: 

(A) Variable valve timing and/or 

control system (paragraph (g)(10) of this 

section or (h)(9) of this section). 

(B) ‘‘Other emission control systems’’ 

(paragraph (i)(4) of this section). 

(C) Comprehensive component output 

component (paragraph (i)(3) of this 

section) (e.g., turbocharger waste-gates, 

variable length manifold runners). 

(vi) For monitors of the following 

components, the manufacturer may use 

alternative or additional criteria for 

incrementing the denominator to that 

set forth in paragraph (d)(4)(ii) of this 

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section. To do so, the alternative criteria 

must be based on equivalence to the 

criteria of paragraph (d)(4)(ii) of this 

section in measuring the frequency of 

monitor operation relative to the 

amount of engine operation: 

(A) Engine cooling system input 

components (paragraph (i)(1) of this 

section). 

(B) ‘‘Other emission control systems’’ 

(paragraph (i)(4) of this section). 

(C) Comprehensive component input 

components that require extended 

monitoring evaluation (paragraph (i)(3) 

of this section) (e.g., stuck fuel level 

sensor rationality). 

(D) Comprehensive component input 

component temperature sensor 

rationality monitors (paragraph (i)(3) of 

this section) (e.g., intake air temperature 

sensor, ambient temperature sensor, fuel 

temperature sensor). 

(E) Diesel particulate filter (DPF) 

frequent regeneration (paragraph 

(g)(8)(ii)(B) of this section). 

(vii) For monitors of the following 

components or other emission controls 

that experience infrequent regeneration 

events, the manufacturer may use 

alternative or additional criteria for 

incrementing the denominator to that 

set forth in paragraph (d)(4)(ii) of this 

section. To do so, the alternative criteria 

must be based on equivalence to the 

criteria of paragraph (d)(4)(ii) of this 

section in measuring the frequency of 

monitor operation relative to the 

amount of engine operation: 

(A) NMHC converting catalyst 

(paragraph (g)(5) of this section). 

(B) Diesel particulate filter (DPF) 

(paragraphs (g)(8)(ii)(A) and (g)(8)(ii)(D) 

of this section). 

(viii) In addition to the requirements 

of paragraph (d)(4)(ii) of this section, the 

denominator(s) for the following 

monitors shall be incremented if and 

only if a regeneration event is 

commanded for a time greater than or 

equal to 10 seconds: 

(A) DPF incomplete regeneration 

(paragraph (g)(8)(ii)(C) of this section). 

(B) DPF active/intrusive injection 

(paragraph (g)(8)(ii)(E) of this section). 

(ix) For hybrids that employ 

alternative engine start hardware or 

strategies (e.g., integrated starter and 

generators), or alternative fuel vehicles 

(e.g., dedicated, bi-fuel, or dual-fuel 

applications), the manufacturer may use 

alternative criteria for incrementing the 

denominator to that set forth in 

paragraph (d)(4)(ii) of this section. In 

general, the Administrator will not 

approve alternative criteria for those 

hybrids that employ engine shut off 

only at or near idle and/or vehicle stop 

conditions. To use alternative criteria, 

the alternative criteria must be based on 

the equivalence to the criteria of 

paragraph (d)(4)(ii) of this section in 

measuring the amount of vehicle 

operation relative to the measure of 

conventional vehicle operation. 

(5) Disablement of numerators and 

denominators. 

(i) Within 10 seconds of detecting a 

malfunction (i.e., a pending or a MIL-on 

DTC has been stored) that disables a 

monitor for which the monitoring 

conditions in paragraph (d) of this 

section must be met, the OBD system 

must stop incrementing the numerator 

and denominator for any monitor that 

may be disabled as a consequence of the 

detected malfunction. Within 10 

seconds of the time at which the 

malfunction is no longer being detected 

(e.g., the pending DTC is erased through 

OBD system self-clearing or through a 

scan tool command), incrementing of all 

applicable numerators and 

denominators must resume. 

(ii) Within 10 seconds of the start of 

a power take-off unit (e.g., dump bed, 

snow plow blade, or aerial bucket, etc.) 

that disables a monitor for which the 

monitoring conditions in paragraph (d) 

of this section must be met, the OBD 

system must stop incrementing the 

numerator and denominator for any 

monitor that may be disabled as a 

consequence of power take-off 

operation. Within 10 seconds of the 

time at which the power take-off 

operation ends, incrementing of all 

applicable numerators and 

denominators must resume. 

(iii) Within 10 seconds of detecting a 

malfunction (i.e., a pending or a MIL-on 

DTC has been stored) of any component 

used to determine if the criteria of 

paragraphs (d)(4)(ii) and (d)(4)(iii) of 

this section are satisfied, the OBD 

system must stop incrementing all 

applicable numerators and 

denominators. Within 10 seconds of the 

time at which the malfunction is no 

longer being detected (e.g., the pending 

DTC is erased through OBD system selfclearing or through a scan tool 

command), incrementing of all 

applicable numerators and 

denominators must resume. 

(e) Standardized tracking and 

reporting of in-use monitor 

performance. 

(1) General. For monitors required to 

track and report in-use monitor 

performance according to paragraph (d) 

of this section, the performance data 

must be tracked and reported in 

accordance with the specifications in 

paragraphs (d)(2), (e), and (k)(5) of this 

section. The OBD system must 

separately report an in-use monitor 

performance numerator and 

denominator for each of the following 

components: 

(i) For diesel engines, NMHC catalyst 

bank 1, NMHC catalyst bank 2, NOX

catalyst bank 1, NOX catalyst bank 2, 

exhaust gas sensor bank 1, exhaust gas 

sensor bank 2, EGR/VVT system, DPF, 

boost pressure control system, and NOX

adsorber. The OBD system must also 

report a general denominator and an 

ignition cycle counter in the 

standardized format specified in 

paragraphs (e)(5), (e)(6), and (k)(5) of 

this section. 

(ii) For gasoline engines, catalyst bank 

1, catalyst bank 2, exhaust gas sensor 

bank 1, exhaust gas sensor bank 2, 

evaporative leak detection system, EGR/ 

VVT system, and secondary air system. 

The OBD system must also report a 

general denominator and an ignition 

cycle counter in the standardized format 

specified in paragraphs (e)(5), (e)(6), and 

(k)(5) of this section. 

(iii) For specific components or 

systems that have multiple monitors 

that are required to be reported under 

paragraphs (g) and (h) of this section 

(e.g., exhaust gas sensor bank 1 may 

have multiple monitors for sensor 

response or other sensor characteristics), 

the OBD system must separately track 

numerators and denominators for each 

of the specific monitors and report only 

the corresponding numerator and 

denominator for the specific monitor 

that has the lowest numerical ratio. If 

two or more specific monitors have 

identical ratios, the corresponding 

numerator and denominator for the 

specific monitor that has the highest 

denominator must be reported for the 

specific component. 

(2) Numerator. 

(i) The OBD system must report a 

separate numerator for each of the 

applicable components listed in 

paragraph (e)(1) of this section. 

(ii) The numerator(s) must be reported 

in accordance with the specifications in 

paragraph (k)(5)(ii) of this section. 

(3) Denominator. 

(i) The OBD system must report a 

separate denominator for each of the 

applicable components listed in 

paragraph (e)(1) of this section. 

(ii) The denominator(s) must be 

reported in accordance with the 

specifications in paragraph (k)(5)(ii) of 

this section. 

(4) Monitor performance ratio. For 

purposes of determining which 

corresponding numerator and 

denominator to report as required in 

paragraph (e)(1)(iii) of this section, the 

ratio must be calculated in accordance 

with the specifications in paragraph 

(k)(5)(iii) of this section. 

(5) Ignition cycle counter. 

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(i) The ignition cycle counter is 

defined as a counter that indicates the 

number of ignition cycles a vehicle has 

experienced according to the 

specifications of paragraph (e)(5)(ii)(B) 

of this section. The ignition cycle 

counter must be reported in accordance 

with the specifications in paragraph 

(k)(5)(ii) of this section. 

(ii) The ignition cycle counter must be 

incremented as follows: 

(A) The ignition cycle counter, when 

incremented, must be incremented by 

an integer of one. The ignition cycle 

counter shall not be incremented more 

than once per ignition cycle. 

(B) The ignition cycle counter must be 

incremented within 10 seconds if and 

only if the engine exceeds an engine 

speed of 50 to 150 rpm below the 

normal, warmed-up idle speed (as 

determined in the drive position for 

engines paired with an automatic 

transmission) for at least two seconds 

plus or minus one second. 

(iii) Within 10 seconds of detecting a 

malfunction (i.e., a pending or a MIL-on 

DTC has been stored) of any component 

used to determine if the criteria in 

paragraph (e)(5)(ii)(B) of this section are 

satisfied (i.e., engine speed or time of 

operation), the OBD system must stop 

incrementing the ignition cycle counter. 

Incrementing of the ignition cycle 

counter shall not be stopped for any 

other condition. Within 10 seconds of 

the time at which the malfunction is no 

longer being detected (e.g., the pending 

DTC is erased through OBD system selfclearing or through a scan tool 

command), incrementing of the ignition 

cycle counter must resume. 

(6) General denominator. 

(i) The general denominator is defined 

as a measure of the number of times an 

engine has been operated according to 

the specifications of paragraph 

(e)(6)(ii)(B) of this section. The general 

denominator must be reported in 

accordance with the specifications in 

paragraph (k)(5)(ii) of this section. 

(ii) The general denominator must be 

incremented as follows: 

(A) The general denominator, when 

incremented, must be incremented by 

an integer of one. The general 

denominator shall not be incremented 

more than once per drive cycle. 

(B) The general denominator must be 

incremented within 10 seconds if and 

only if the criteria identified in 

paragraph (d)(4)(ii) of this section are 

satisfied on a single drive cycle. 

(C) Within 10 seconds of detecting a 

malfunction (i.e., a pending or a MIL-on 

DTC has been stored) of any component 

used to determine if the criteria in 

paragraph (d)(4)(ii) of this section are 

satisfied (i.e., vehicle speed/load, 

ambient temperature, elevation, idle 

operation, or time of operation), the 

OBD system must stop incrementing the 

general denominator. Incrementing of 

the general denominator shall not be 

stopped for any other condition (e.g., 

the disablement criteria in paragraphs 

(d)(5)(i) and (d)(5)(ii) of this section 

shall not disable the general 

denominator). Within 10 seconds of the 

time at which the malfunction is no 

longer being detected (e.g., the pending 

DTC is erased through OBD system selfclearing or through a scan tool 

command), incrementing of the general 

denominator must resume. 

(f) Malfunction criteria determination. 

(1) In determining the malfunction 

criteria for the diesel engine monitors 

required under paragraphs (g) and (i) of 

this section that are required to indicate 

a malfunction before emissions exceed 

an emission threshold based on any 

applicable standard, the manufacturer 

must: 

(i) Use the emission test cycle and 

standard (i.e., the transient FTP or the 

supplemental emissions test (SET)) 

determined by the manufacturer to 

provide the most effective monitoring 

conditions and robust monitor provided 

all other applicable requirements of this 

section are met. 

(ii) Identify in the certification 

documentation required under 

paragraph (m) of this section, the test 

cycle and standard determined by the 

manufacturer to be the most stringent 

for each applicable monitor and the 

most effective and robust for each 

applicable monitor. 

(iii) If the Administrator reasonably 

believes that a manufacturer has 

determined incorrectly the test cycle 

and standard that is most stringent or 

effective, the manufacturer must be able 

to provide emission data and/or 

engineering analysis supporting their 

choice of test cycle and standard. 

(2) On engines equipped with 

emission controls that experience 

infrequent regeneration events, a 

manufacturer need not adjust the 

emission test results that are used to 

determine the malfunction criteria for 

monitors that are required to indicate a 

malfunction before emissions exceed a 

certain emission threshold. For each 

such monitor, should the manufacturer 

choose to adjust the emission test 

results, the manufacturer must adjust 

the emission result as done in 

accordance with the provisions of 

§ 86.004–28(i) with the component for 

which the malfunction criteria are being 

established having been deteriorated to 

the malfunction threshold. The adjusted 

emission value must be used for 

purposes of determining whether or not 

the applicable emission threshold is 

exceeded. 

(i) For purposes of this paragraph 

(f)(2), regeneration means an event, by 

design, during which emissions levels 

change while the emission control 

performance is being restored. 

(ii) For purposes of this paragraph 

(f)(2), infrequent means having an 

expected frequency of less than once per 

transient FTP cycle. 

(3) For gasoline engines, rather than 

meeting the malfunction criteria 

specified under paragraphs (h) and (i) of 

this section, the manufacturer may 

request approval to use an OBD system 

certified to the requirements of 

§ 86.007–17. To do so, the manufacturer 

must demonstrate use of good 

engineering judgment in determining 

equivalent malfunction detection 

criteria to those required in this section. 

(g) OBD monitoring requirements for 

diesel-fueled/compression-ignition 

engines. The following table shows the 

thresholds at which point certain 

components or systems, as specified in 

this paragraph (g), are considered 

malfunctioning. 

TABLE 1—OBD EMISSIONS THRESHOLDS FOR DIESEL-FUELED/COMPRESSION-IGNITION ENGINES MEANT FOR PLACEMENT

IN APPLICATIONS GREATER THAN 14,000 POUNDS GVWR (G/BHP-HR) 

Component § 86.010–18 

reference NMHC CO NOX PM 

Model years 2010–2012: 

NOX aftertreatment system .............................................................. (g)(6) 

(g)(7) 

.................... .................... +0.6 

Diesel particulate filter (DPF) system ............................................... (g)(8) 2.5x .................... .................... 0.05/+0.04 

Air-fuel ratio sensors upstream of aftertreat 

ment devices ................................................................................. (g)(9) 2.5x 2.5x +0.3 0.03/+0.02 

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TABLE 1—OBD EMISSIONS THRESHOLDS FOR DIESEL-FUELED/COMPRESSION-IGNITION ENGINES MEANT FOR PLACEMENT

IN APPLICATIONS GREATER THAN 14,000 POUNDS GVWR (G/BHP-HR)—Continued 

Component § 86.010–18 

reference NMHC CO NOX PM 

Air-fuel ratio sensors downstream of aftertreatment devices ........... (g)(9) 2.5x .................... +0.3 0.05/+0.04 

NOX sensors ..................................................................................... (g)(9) .................... .................... +0.6 0.05/+0.04 

‘‘Other monitors’’ with emissions thresholds .................................... (g)(1) 

(g)(3) 

(g)(4) 

(g)(10) 

2.5x 2.5x +0.3 0.03/+0.02 

Model years 2013 and later: 

NOX aftertreatment system .............................................................. (g)(6) 

(g)(7) 

.................... .................... +0.3 

Diesel particulate filter (DPF) system ............................................... (g)(8) 2x .................... .................... 0.05/+0.04 

Air-fuel ratio sensors upstream of aftertreatment devices ............... (g)(9) 2x 2x +0.3 0.03/+0.02 

Air-fuel ratio sensors downstream of aftertreatment devices ........... (g)(9) 2x .................... +0.3 0.05/+0.04 

NOX sensors ..................................................................................... (g)(9) .................... .................... +0.3 0.05/+0.04 

‘‘Other monitors’’ with emissions thresholds .................................... (g)(1) 

(g)(2) 

(g)(3) 

(g)(4) 

(g)(10) 

2x 2x +0.3 0.03/+0.02 

Notes: FEL = Family Emissions Limit; 2.5x std means a multiple of 2.5 times the applicable emissions standard; +0.3 means the standard or 

FEL plus 0.3; 0.05/+0.04 means an absolute level of 0.05 or an additive level of the standard or FEL plus 0.04, whichever level is higher; these 

emissions thresholds apply to the monitoring requirements of paragraph (g) of this § 86.010–18. 

(1) Fuel system monitoring. 

(i) General. The OBD system must 

monitor the fuel delivery system to 

verify that it is functioning properly. 

The individual electronic components 

(e.g., actuators, valves, sensors, pumps) 

that are used in the fuel system and are 

not specifically addressed in this 

paragraph (g)(1) must be monitored in 

accordance with the requirements of 

paragraph (i)(3) of this section. 

(ii) Fuel system malfunction criteria. 

(A) Fuel system pressure control. The 

OBD system must monitor the fuel 

system’s ability to control to the desired 

fuel pressure. This monitoring must be 

done continuously unless new hardware 

has to be added, in which case the 

monitoring must be done at least once 

per drive cycle. The OBD system must 

detect a malfunction of the fuel system’s 

pressure control system when the 

pressure control system is unable to 

maintain an engine’s emissions at or 

below the emissions thresholds for 

‘‘other monitors’’ as shown in Table 1 of 

this paragraph (g). For engines in which 

no failure or deterioration of the fuel 

system pressure control could result in 

an engine’s emissions exceeding the 

applicable emissions thresholds, the 

OBD system must detect a malfunction 

when the system has reached its control 

limits such that the commanded fuel 

system pressure cannot be delivered. 

For model year 2010 to 2012 engines 

with a unit injector fuel system, this 

requirement may be met by conducting 

a functional check of the fuel system 

pressure control in lieu of monitoring 

for conditions that could cause an 

engine’s emissions to exceed the 

applicable emissions thresholds. 

(B) Fuel system injection quantity. 

The OBD system must detect a 

malfunction of the fuel injection system 

when the system is unable to deliver the 

commanded quantity of fuel necessary 

to maintain an engine’s emissions at or 

below the emissions thresholds for 

‘‘other monitors’’ as shown in Table 1 of 

this paragraph (g). For engines in which 

no failure or deterioration of the fuel 

injection quantity could result in an 

engine’s emissions exceeding the 

applicable emissions thresholds, the 

OBD system must detect a malfunction 

when the system has reached its control 

limits such that the commanded fuel 

quantity cannot be delivered. For model 

year 2010 to 2012 engines with a unit 

injector fuel system, this requirement 

may be met by conducting a functional 

check of the fuel system injection 

quantity in lieu of monitoring for 

conditions that could cause an engine’s 

emissions to exceed the applicable 

emissions thresholds. 

(C) Fuel system injection timing. The 

OBD system must detect a malfunction 

of the fuel injection system when the 

system is unable to deliver fuel at the 

proper crank angle/timing (e.g., 

injection timing too advanced or too 

retarded) necessary to maintain an 

engine’s emissions at or below the 

emissions thresholds for ‘‘other 

monitors’’ as shown in Table 1 of this 

paragraph (g). For engines in which no 

failure or deterioration of the fuel 

injection timing could result in an 

engine’s emissions exceeding the 

applicable emissions thresholds, the 

OBD system must detect a malfunction 

when the system has reached its control 

limits such that the commanded fuel 

injection timing cannot be achieved. For 

model year 2010 to 2012 engines with 

a unit injector fuel system, this 

requirement may be met by conducting 

a functional check of the fuel system 

injection timing in lieu of monitoring 

for conditions that could cause an 

engine’s emissions to exceed the 

applicable emissions thresholds. 

(D) Combined Monitoring. For engines 

with a unit injector fuel system, the 

manufacturer may request 

Administrator approval to combine the 

malfunction criteria of paragraphs 

(g)(1)(ii)(A) through (g)(1)(ii)(C) of this 

section into one malfunction provided 

the manufacturer can demonstrate that 

the combined malfunction will satisfy 

the intent of each separate malfunction 

criteria. For engines with a common rail 

fuel system, the manufacturer may 

request Administrator approval to 

combine the malfunction criteria of 

paragraphs (g)(1)(ii)(B) through 

(g)(1)(ii)(C) of this section into one 

malfunction provided the manufacturer 

can demonstrate that the combined 

malfunction will satisfy the intent of 

each separate malfunction criteria. 

(E) Fuel system feedback control. See 

paragraph (i)(6) of this section. 

(iii) Fuel system monitoring 

conditions. 

(A) With the exceptions noted in this 

paragraph for unit injector systems, the 

OBD system must monitor continuously 

for malfunctions identified in 

paragraphs (g)(1)(ii)(A) and (g)(1)(ii)(E) 

of this section. For 2010 through 2012 

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unit injector systems, where functional 

monitoring is done in lieu of emission 

threshold monitoring for malfunctions 

identified in paragraph (g)(1)(ii)(A) of 

this section, the manufacturer must 

define the monitoring conditions in 

accordance with paragraphs (c) and (d) 

of this section. For 2013 and later unit 

injector systems, the manufacturer must 

define the monitoring conditions for 

malfunctions identified in paragraph 

(g)(1)(ii)(A) of this section in accordance 

with paragraphs (c) and (d) of this 

section, with the exception that 

monitoring must occur every time the 

monitoring conditions are met during 

the drive cycle rather than once per 

drive cycle as required in paragraph 

(c)(2) of this section. 

(B) For 2010 through 2012, the 

manufacturer must define the 

monitoring conditions for malfunctions 

identified in paragraphs (g)(1)(ii)(B), 

(g)(1)(ii)(C), and (g)(1)(ii)(D) of this 

section in accordance with paragraphs 

(c) and (d) of this section. For 2013 and 

later, the manufacturer must define the 

monitoring conditions in accordance 

with paragraphs (c) and (d) of this 

section, with the exception that 

monitoring must occur every time the 

monitoring conditions are met during 

the drive cycle rather than once per 

drive cycle as required in paragraph 

(c)(2) of this section. 

(iv) Fuel system MIL activation and 

DTC storage. The MIL must activate and 

DTCs must be stored according to the 

provisions of paragraph (b) of this 

section. 

(2) Engine misfire monitoring. 

(i) General. The OBD system must 

monitor the engine for misfire causing 

excess emissions. 

(ii) Engine misfire malfunction 

criteria. 

(A) The OBD system must be capable 

of detecting misfire occurring in one or 

more cylinders. To the extent possible 

without adding hardware for this 

specific purpose, the OBD system must 

also identify the specific misfiring 

cylinder. If more than one cylinder is 

misfiring continuously, or if more than 

one but less than half of the cylinders 

are misfiring continuously (if the 

manufacturer can demonstrate the 

robustness of their monitor to the 

approval of the Administrator), a 

separate DTC must be stored indicating 

that multiple cylinders are misfiring. 

When identifying multiple cylinder 

misfire, the OBD system is not required 

to identify individually through 

separate DTCs each of the continuously 

misfiring cylinders. 

(B) For model years 2013 and later, on 

engines equipped with sensors that can 

detect combustion or combustion 

quality (e.g., for use in engines with 

homogeneous charge compression 

ignition (HCCI) control systems), the 

OBD system must detect a misfire 

malfunction causing emissions to 

exceed the applicable thresholds for 

‘‘other monitors’’ shown in Table 1 of 

this paragraph (g). To determine what 

level of misfire would cause emissions 

to exceed the applicable emissions 

thresholds, the manufacturer must 

determine the percentage of misfire 

evaluated in 1,000 revolution 

increments that would cause emissions 

from an emission durability 

demonstration engine to exceed the 

emissions thresholds if the percentage 

of misfire were present from the 

beginning of the test. To establish this 

percentage of misfire, the manufacturer 

must use misfire events occurring at 

equally spaced, complete engine cycle 

intervals, across randomly selected 

cylinders throughout each 1,000- 

revolution increment. If this percentage 

of misfire is determined to be lower 

than one percent, the manufacturer may 

set the malfunction criteria at one 

percent. Any misfire malfunction must 

be detected if the percentage of misfire 

established via this testing is exceeded 

regardless of the pattern of misfire 

events (e.g., random, equally spaced, 

continuous). The manufacturer may 

employ other revolution increments 

besides the 1,000 revolution increment. 

To do so, the manufacturer must 

demonstrate that the strategy is equally 

effective and timely in detecting misfire. 

(iii) Engine misfire monitoring 

conditions. 

(A) The OBD system must monitor for 

engine misfire during engine idle 

conditions at least once per drive cycle 

in which the monitoring conditions for 

misfire are met. The manufacturer must 

be able to demonstrate via engineering 

analysis and/or data that the selfdefined monitoring conditions: are 

technically necessary to ensure robust 

detection of malfunctions (e.g., avoid 

false passes and false detection of 

malfunctions); require no more than 

1000 cumulative engine revolutions; 

and, do not require any single 

continuous idle operation of more than 

15 seconds to make a determination that 

a malfunction is present (e.g., a decision 

can be made with data gathered during 

several idle operations of 15 seconds or 

less); or, satisfy the requirements of 

paragraph (c) of this section with 

alternative engine operating conditions. 

(B) Manufacturers may employ 

alternative monitoring conditions (e.g., 

off-idle) provided the manufacturer is 

able to demonstrate that the alternative 

monitoring ensure equivalent robust 

detection of malfunctions and 

equivalent timeliness in detection of 

malfunctions. 

(C) For model years 2013 and later, on 

engines equipped with sensors that can 

detect combustion or combustion 

quality the OBD system must monitor 

continuously for engine misfire under 

all positive torque engine speed and 

load conditions. If a monitoring system 

cannot detect all misfire patterns under 

all required engine speed and load 

conditions, the manufacturer may 

request that the Administrator approve 

the monitoring system nonetheless. In 

evaluating the manufacturer’s request, 

the Administrator will consider the 

following factors: the magnitude of the 

region(s) in which misfire detection is 

limited; the degree to which misfire 

detection is limited in the region(s) (i.e., 

the probability of detection of misfire 

events); the frequency with which said 

region(s) are expected to be encountered 

in-use; the type of misfire patterns for 

which misfire detection is troublesome; 

and demonstration that the monitoring 

technology employed is not inherently 

incapable of detecting misfire under 

required conditions (i.e., compliance 

can be achieved on other engines). The 

evaluation will be based on the 

following misfire patterns: equally 

spaced misfire occurring on randomly 

selected cylinders; single cylinder 

continuous misfire; and, paired cylinder 

(cylinders firing at the same crank 

angle) continuous misfire. 

(iv) Engine misfire MIL activation and 

DTC storage. 

(A) General requirements for MIL 

activation and DTC storage are set forth 

in paragraph (b) of this section. 

(B) For model years 2013 and later, on 

engines equipped with sensors that can 

detect combustion or combustion 

quality, upon detection of the 

percentage of misfire specified in 

paragraph (g)(2)(ii)(B) of this section, the 

following criteria shall apply for MIL 

activation and DTC storage: A pending 

DTC must be stored no later than after 

the fourth exceedance of the percentage 

of misfire specified in paragraph 

(g)(2)(ii) of this section during a single 

drive cycle; if a pending fault code has 

been stored, the OBD system must 

activate the MIL and store a MIL-on 

DTC within 10 seconds if the percentage 

of misfire specified in paragraph 

(g)(2)(ii) of this section is again 

exceeded four times during the drive 

cycle immediately following storage of 

the pending DTC, regardless of the 

conditions encountered during the drive 

cycle, or on the next drive cycle in 

which similar conditions are 

encountered to those that were 

occurring when the pending DTC was 

stored. Similar conditions means an 

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engine speed within 375 rpm, engine 

load within 20 percent, and the same 

warm up status (i.e., cold or hot). The 

Administrator may approve other 

definitions of similar conditions based 

on comparable timeliness and reliability 

in detecting similar engine operation. 

The pending DTC may be erased at the 

end of the next drive cycle in which 

similar conditions are encountered to 

those that were occurring when the 

pending DTC was stored provided the 

specified percentage of misfire was not 

again exceeded. The pending DTC may 

also be erased if similar conditions are 

not encountered during the 80 drive 

cycles immediately following initial 

detection of the malfunction. 

(C) For model years 2013 and later, on 

engines equipped with sensors that can 

detect combustion or combustion 

quality, the OBD system must store and 

erase freeze frame conditions either in 

conjunction with storing and erasing a 

pending DTC or in conjunction with 

storing and erasing a MIL-on DTC. If 

freeze frame conditions are stored for a 

malfunction other than a misfire 

malfunction when a DTC is stored as 

specified in paragraph (g)(2)(iv)(B) of 

this section, the stored freeze frame 

information must be replaced with the 

freeze frame information regarding the 

misfire malfunction. 

(D) For model years 2013 and later, on 

engines equipped with sensors that can 

detect combustion or combustion 

quality, upon detection of misfire 

according to paragraph (g)(2)(iv)(B) of 

this section, the OBD system must also 

store the following engine conditions: 

engine speed, load, and warm up status 

of the first misfire event that resulted in 

the storage of the pending DTC. 

(E) For model years 2013 and later, on 

engines equipped with sensors that can 

detect combustion or combustion 

quality, the MIL may be deactivated 

after three sequential drive cycles in 

which similar conditions have been 

encountered without an exceedance of 

the specified percentage of misfire. 

(3) EGR system monitoring. 

(i) General. The OBD system must 

monitor the EGR system on engines so 

equipped for low flow rate, high flow 

rate, and slow response malfunctions. 

For engines equipped with EGR coolers 

(e.g., heat exchangers), the OBD system 

must monitor the cooler for insufficient 

cooling malfunctions. The individual 

electronic components (e.g., actuators, 

valves, sensors) that are used in the EGR 

system must be monitored in 

accordance with the comprehensive 

component requirements in paragraph 

(i)(3) of this section. 

(ii) EGR system malfunction criteria. 

(A) EGR low flow. The OBD system 

must detect a malfunction of the EGR 

system prior to a decrease from the 

manufacturer’s specified EGR flow rate 

that would cause an engine’s emissions 

to exceed the emissions thresholds for 

‘‘other monitors’’ as shown in Table 1 of 

this paragraph (g). For engines in which 

no failure or deterioration of the EGR 

system that causes a decrease in flow 

could result in an engine’s emissions 

exceeding the applicable emissions 

thresholds, the OBD system must detect 

a malfunction when the system has 

reached its control limits such that it 

cannot increase EGR flow to achieve the 

commanded flow rate. 

(B) EGR high flow. The OBD system 

must detect a malfunction of the EGR 

system, including a leaking EGR valve 

(i.e., exhaust gas flowing through the 

valve when the valve is commanded 

closed) prior to an increase from the 

manufacturer’s specified EGR flow rate 

that would cause an engine’s emissions 

to exceed the emissions thresholds for 

‘‘other monitors’’ as shown in Table 1 of 

this paragraph (g). For engines in which 

no failure or deterioration of the EGR 

system that causes an increase in flow 

could result in an engine’s emissions 

exceeding the applicable emissions 

thresholds, the OBD system must detect 

a malfunction when the system has 

reached its control limits such that it 

cannot reduce EGR flow to achieve the 

commanded flow rate. 

(C) EGR slow response. The OBD 

system must detect a malfunction of the 

EGR system prior to any failure or 

deterioration in the capability of the 

EGR system to achieve the commanded 

flow rate within a manufacturerspecified time that would cause an 

engine’s emissions to exceed the 

emissions thresholds for ‘‘other 

monitors’’ as shown in Table 1 of this 

paragraph (g). The OBD system must 

monitor both the capability of the EGR 

system to respond to a commanded 

increase in flow and the capability of 

the EGR system to respond to a 

commanded decrease in flow. 

(D) EGR system feedback control. See 

paragraph (i)(6) of this section. 

(E) EGR cooler performance. The OBD 

system must detect a malfunction of the 

EGR cooler prior to a reduction from the 

manufacturer’s specified cooling 

performance that would cause an 

engine’s emissions to exceed the 

emissions thresholds for ‘‘other 

monitors’’ as shown in Table 1 of this 

paragraph (g). For engines in which no 

failure or deterioration of the EGR 

cooler could result in an engine’s 

emissions exceeding the applicable 

emissions thresholds, the OBD system 

must detect a malfunction when the 

system has no detectable amount of EGR 

cooling. 

(iii) EGR system monitoring 

conditions. 

(A) The OBD system must monitor 

continuously for malfunctions 

identified in paragraphs (g)(3)(ii)(A), 

(g)(3)(ii)(B), and (g)(3)(ii)(D) of this 

section. 

(B) The manufacturer must define the 

monitoring conditions for malfunctions 

identified in paragraph (g)(3)(ii)(C) of 

this section in accordance with 

paragraphs (c) and (d) of this section, 

with the exception that monitoring must 

occur every time the monitoring 

conditions are met during the drive 

cycle rather than once per drive cycle as 

required in paragraph (c)(2) of this 

section. For purposes of tracking and 

reporting as required in paragraph (d)(1) 

of this section, all monitors used to 

detect malfunctions identified in 

paragraph (g)(3)(ii)(C) of this section 

must be tracked separately but reported 

as a single set of values as specified in 

paragraph (e)(1)(iii) of this section. 

(C) The manufacturer must define the 

monitoring conditions for malfunctions 

identified in paragraph (g)(3)(ii)(E) of 

this section in accordance with 

paragraphs (c) and (d) of this section. 

For purposes of tracking and reporting 

as required in paragraph (d)(1) of this 

section, all monitors used to detect 

malfunctions identified in paragraph 

(g)(3)(ii)(E) of this section must be 

tracked separately but reported as a 

single set of values as specified in 

paragraph (e)(1)(iii) of this section. 

(D) The manufacturer may request 

Administrator approval to disable 

temporarily the EGR system monitor(s) 

under specific ambient conditions (e.g., 

when freezing may affect performance 

of the system) or during specific 

operating conditions (e.g., transients, 

extreme low or high flow conditions). 

The manufacturer must be able to 

demonstrate via data or engineering 

analysis that a reliable system monitor 

cannot be run when these conditions 

exist because it cannot robustly 

distinguish between a malfunctioning 

system and a properly operating system. 

The manufacturer is still required to 

maintain comprehensive component 

monitoring as required in paragraph 

(i)(3) of this section. 

(iv) EGR system MIL activation and 

DTC storage. The MIL must activate and 

DTCs must be stored according to the 

provisions of paragraph (b) of this 

section. 

(4) Turbo boost control system 

monitoring. 

(i) General. The OBD system must 

monitor the boost pressure control 

system (e.g., turbocharger) on engines so 

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equipped for under and over boost 

malfunctions. For engines equipped 

with variable geometry turbochargers 

(VGT), the OBD system must monitor 

the VGT system for slow response 

malfunctions. For engines equipped 

with charge air cooler systems, the OBD 

system must monitor the charge air 

cooler system for cooling system 

performance malfunctions. The 

individual electronic components (e.g., 

actuators, valves, sensors) that are used 

in the boost pressure control system 

must be monitored in accordance with 

the comprehensive component 

requirements in paragraph (i)(3) of this 

section. 

(ii) Turbo boost control system 

malfunction criteria. 

(A) Turbo underboost. The OBD 

system must detect a malfunction of the 

boost pressure control system prior to a 

decrease from the manufacturer’s 

commanded boost pressure, or expected 

boost pressure on engines not equipped 

with a boost pressure control system, 

that would cause an engine’s emissions 

to exceed the emissions thresholds for 

‘‘other monitors’’ as shown in Table 1 of 

this paragraph (g). For engines in which 

no failure or deterioration of the boost 

pressure control system that causes a 

decrease in boost could result in an 

engine’s emissions exceeding the 

applicable emissions thresholds, the 

OBD system must detect a malfunction 

when the system has reached its control 

limits such that it cannot increase boost 

to achieve the commanded boost 

pressure. 

(B) Turbo overboost. The OBD system 

must detect a malfunction of the boost 

pressure control system on engines so 

equipped prior to an increase from the 

manufacturer’s commanded boost 

pressure that would cause an engine’s 

emissions to exceed the emissions 

thresholds for ‘‘other monitors’’ as 

shown in Table 1 of this paragraph (g). 

For engines in which no failure or 

deterioration of the boost pressure 

control system that causes an increase 

in boost could result in an engine’s 

emissions exceeding the applicable 

emissions thresholds, the OBD system 

must detect a malfunction when the 

system has reached its control limits 

such that it cannot decrease boost to 

achieve the commanded boost pressure. 

(C) VGT slow response. The OBD 

system must detect a malfunction prior 

to any failure or deterioration in the 

capability of the VGT system on engines 

so equipped to achieve the commanded 

turbocharger geometry within a 

manufacturer-specified time that would 

cause an engine’s emissions to exceed 

the emissions thresholds for ‘‘other 

monitors’’ as shown in Table 1 of this 

paragraph (g). For engines in which no 

failure or deterioration of the VGT 

system response could result in an 

engine’s emissions exceeding the 

applicable emissions thresholds, the 

OBD system must detect a malfunction 

of the VGT system when proper 

functional response of the system to 

computer commands does not occur. 

(D) Turbo boost feedback control. See 

paragraph (i)(6)of this section. 

(E) Charge air undercooling. The OBD 

system must detect a malfunction of the 

charge air cooling system prior to a 

decrease from the manufacturer’s 

specified cooling rate that would cause 

an engine’s emissions to exceed the 

emissions thresholds for ‘‘other 

monitors’’ as shown in Table 1 of this 

paragraph (g). For engines in which no 

failure or deterioration of the charge air 

cooling system that causes a decrease in 

cooling performance could result in an 

engine’s emissions exceeding the 

applicable emissions thresholds, the 

OBD system must detect a malfunction 

when the system has no detectable 

amount of charge air cooling. 

(iii) Turbo boost monitoring 

conditions. 

(A) The OBD system must monitor 

continuously for malfunctions 

identified in paragraphs (g)(4)(ii)(A), 

(g)(4)(ii)(B), and (g)(4)(ii)(D) of this 

section. 

(B) The manufacturer must define the 

monitoring conditions for malfunctions 

identified in paragraph (g)(4)(ii)(C) of 

this section in accordance with 

paragraphs (c) and (d) of this section, 

with the exception that monitoring must 

occur every time the monitoring 

conditions are met during the drive 

cycle rather than once per drive cycle as 

required in paragraph (c)(2) of this 

section. For purposes of tracking and 

reporting as required in paragraph (d)(1) 

of this section, all monitors used to 

detect malfunctions identified in 

paragraph (g)(4)(ii)(C) of this section 

must be tracked separately but reported 

as a single set of values as specified in 

paragraph (e)(1)(iii) of this section. 

(C) The manufacturer must define the 

monitoring conditions for malfunctions 

identified in paragraph (g)(4)(ii)(E) of 

this section in accordance with 

paragraphs (c) and (d) of this section. 

For purposes of tracking and reporting 

as required in paragraph (d)(1) of this 

section, all monitors used to detect 

malfunctions identified in paragraph 

(g)(4)(ii)(E) of this section must be 

tracked separately but reported as a 

single set of values as specified in 

paragraph (e)(1)(iii) of this section. 

(D) The manufacturer may request 

Administrator approval to disable 

temporarily the turbo boost system 

monitor(s) during specific operating 

conditions (e.g., transients, extreme low 

or high flow conditions). The 

manufacturer must be able to 

demonstrate via data or engineering 

analysis that a reliable system monitor 

cannot be run when these conditions 

exist because it cannot robustly 

distinguish between a malfunctioning 

system and a properly operating system. 

The manufacturer is still required to 

maintain comprehensive component 

monitoring as required in paragraph 

(i)(3) of this section. 

(iv) Turbo boost system MIL activation 

and DTC storage. The MIL must activate 

and DTCs must be stored according to 

the provisions of paragraph (b) of this 

section. 

(5) NMHC converting catalyst 

monitoring. 

(i) General. The OBD system must 

monitor the NMHC converting 

catalyst(s) for proper NMHC conversion 

capability. For purposes of this 

paragraph (g)(5), each catalyst that 

converts NMHC must be monitored 

either individually or in combination 

with others. For purposes of this 

paragraph (g)(5), NMHC conversion that 

may occur over the DPF or other 

aftertreatment devices is not included. 

(ii) NMHC converting catalyst 

malfunction criteria. 

(A) NMHC converting catalyst 

conversion efficiency. The OBD system 

must detect a malfunction when the 

catalyst has no detectable amount of 

NMHC conversion capability. 

(B) NMHC converting catalyst 

aftertreatment assistance functions. For 

catalysts used to generate an exotherm 

to assist DPF regeneration, the OBD 

system must detect a malfunction when 

the catalyst is unable to generate a 

sufficient exotherm to achieve DPF 

regeneration. In meeting this 

requirement, the OBD system must 

detect a malfunction when the DOC is 

unable to generate a temperature rise of 

100 degrees C, or to reach the necessary 

DPF regeneration temperature, within 

60 seconds of initiating an active DPF 

regeneration. Further, the OBD system 

must detect a malfunction when the 

DOC is unable to sustain the necessary 

regeneration temperature for the 

duration of the regeneration event. The 

OBD or control system must abort the 

regeneration if the regeneration 

temperature has not been reached 

within five minutes of initiating an 

active regeneration event, or if the 

regeneration temperature cannot be 

sustained for the duration of the 

regeneration event. As an alternative to 

these specific malfunction criteria, the 

manufacturer may employ different 

criteria. To do so, the manufacturer 

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must submit a description with 

supporting data, subject to 

Administrator approval, of their DPF 

regeneration monitoring strategy. The 

Administrator will consider the 

strategy’s equivalence to the specific 

criteria stated in this paragraph when 

considering the request. Also as an 

alternative to these specific malfunction 

criteria, the manufacturer may employ 

an OBD monitor that detects a catalyst 

malfunction when the catalyst 

conversion capability decreases to the 

point that NMHC emissions exceed 2.5 

times the applicable NMHC emission 

standard but must adjust emission test 

results pursuant to paragraph (f)(2) of 

this section. For catalysts located 

downstream of a DPF and used to 

convert NMHC emissions during DPF 

regeneration, the OBD system must 

detect a malfunction when the catalyst 

has no detectable amount of NMHC 

conversion capability unless the 

manufacturer can demonstrate that 

deterioration or malfunction of the 

catalyst will not result in emissions that 

exceed the applicable NMHC standard. 

(iii) NMHC converting catalyst 

monitoring conditions. The 

manufacturer must define the 

monitoring conditions for malfunctions 

identified in paragraphs (g)(5)(ii)(A) and 

(g)(5)(ii)(B) of this section in accordance 

with paragraphs (c) and (d) of this 

section. For purposes of tracking and 

reporting as required in paragraph (d)(1) 

of this section, all monitors used to 

detect malfunctions identified in 

paragraphs (g)(5)(ii)(A) and (g)(5)(ii)(B) 

of this section must be tracked 

separately but reported as a single set of 

values as specified in paragraph 

(e)(1)(iii) of this section. 

(iv) NMHC converting catalyst MIL 

activation and DTC storage. The MIL 

must activate and DTCs must be stored 

according to the provisions of paragraph 

(b) of this section. The monitoring 

method for the NMHC converting 

catalyst(s) must be capable of detecting 

all instances, except diagnostic selfclearing, when a catalyst DTC has been 

erased but the catalyst has not been 

replaced (e.g., catalyst over-temperature 

histogram approaches are not 

acceptable). 

(6) Selective catalytic reduction (SCR) 

and lean NOX catalyst monitoring. 

(i) General. The OBD system must 

monitor the SCR and/or the lean NOX

converting catalyst(s) for proper 

conversion capability. For engines 

equipped with SCR systems or other 

catalyst systems that use an active/ 

intrusive reductant injection (e.g., active 

lean NOX catalysts that use diesel fuel 

post-injection or in-exhaust injection), 

the OBD system must monitor the 

active/intrusive reductant injection 

system for proper performance. The 

individual electronic components (e.g., 

actuators, valves, sensors, heaters, 

pumps) in the active/intrusive reductant 

injection system must be monitored in 

accordance with the comprehensive 

component requirements in paragraph 

(i)(3) of this section. For purposes of this 

paragraph (g)(6), each catalyst that 

converts NOX must be monitored either 

individually or in combination with 

others. 

(ii) SCR and lean NOX catalyst 

malfunction criteria. 

(A) SCR and lean NOX catalyst 

conversion efficiency. The OBD system 

must detect a catalyst malfunction when 

the catalyst conversion capability 

decreases to the point that would cause 

an engine’s emissions to exceed the 

emissions thresholds for NOX

aftertreatment systems as shown in 

Table 1 of this paragraph (g). If no 

failure or deterioration of the catalyst 

NOX conversion capability could result 

in an engine’s emissions exceeding any 

of the applicable emissions thresholds, 

the OBD system must detect a 

malfunction when the catalyst has no 

detectable amount of NOX conversion 

capability. 

(B) SCR and lean NOX catalyst active/ 

intrusive reductant delivery 

performance. The OBD system must 

detect a malfunction prior to any failure 

or deterioration of the system to 

properly regulate reductant delivery 

(e.g., urea injection, separate injector 

fuel injection, post injection of fuel, air 

assisted injection/mixing) that would 

cause an engine’s emissions to exceed 

any of the applicable emissions 

thresholds for NOX aftertreatment 

systems as shown in Table 1 of this 

paragraph (g). If no failure or 

deterioration of the reductant delivery 

system could result in an engine’s 

emissions exceeding any of the 

applicable thresholds, the OBD system 

must detect a malfunction when the 

system has reached its control limits 

such that it is no longer able to deliver 

the desired quantity of reductant. 

(C) SCR and lean NOX catalyst active/ 

intrusive reductant quantity. If the SCR 

or lean NOX catalyst system uses a 

reductant other than the fuel used for 

the engine, or uses a reservoir/tank for 

the reductant that is separate from the 

fuel tank used for the engine, the OBD 

system must detect a malfunction when 

there is no longer sufficient reductant 

available (e.g., the reductant tank is 

empty). 

(D) SCR and lean NOX catalyst active/ 

intrusive reductant quality. If the SCR or 

lean NOX catalyst system uses a 

reservoir/tank for the reductant that is 

separate from the fuel tank used for the 

engine, the OBD system must detect a 

malfunction when an improper 

reductant is used in the reductant 

reservoir/tank (e.g., the reductant tank is 

filled with something other than the 

reductant). 

(E) SCR and lean NOX catalyst active/ 

intrusive reductant feedback control. 

See paragraph (i)(6) of this section. 

(iii) SCR and lean NOX catalyst 

monitoring conditions. 

(A) The manufacturers must define 

the monitoring conditions for 

malfunctions identified in paragraphs 

(g)(6)(ii)(A) and (g)(6)(ii)(D) of this 

section in accordance with paragraphs 

(c) and (d) of this section. For purposes 

of tracking and reporting as required in 

paragraph (d)(1) of this section, all 

monitors used to detect malfunctions 

identified in paragraph (g)(6)(ii)(A) of 

this section must be tracked separately 

but reported as a single set of values as 

specified in paragraph (e)(1)(iii) of this 

section. 

(B) The OBD system must monitor 

continuously for malfunctions 

identified in paragraphs (g)(6)(ii)(B), 

(g)(6)(ii)(C), and (g)(6)(ii)(E) of this 

section. 

(iv) SCR and lean NOX catalyst MIL 

activation and DTC storage. 

(A) For malfunctions identified in 

paragraph (g)(6)(ii)(A) of this section, 

the MIL must activate and DTCs must be 

stored according to the provisions of 

paragraph (b) of this section. 

(B) For malfunctions identified in 

paragraphs (g)(6)(ii)(B), (g)(6)(ii)(C), and 

(g)(6)(ii)(D) of this section, the 

manufacturer may delay activating the 

MIL if the vehicle is equipped with an 

alternative indicator for notifying the 

vehicle operator of the malfunction. The 

alternative indicator must be of 

sufficient illumination and be located 

such that it is readily visible to the 

vehicle operator under all lighting 

conditions. If the vehicle is not 

equipped with such an alternative 

indicator and the OBD MIL activates, 

the MIL may be immediately 

deactivated and the corresponding 

DTC(s) erased once the OBD system has 

verified that the reductant tank has been 

refilled properly and the MIL has not 

been activated for any other 

malfunction. The Administrator may 

approve other strategies that provide 

equivalent assurance that a vehicle 

operator would be promptly notified 

and that corrective action would be 

taken. 

(C) The monitoring method for the 

SCR and lean NOX catalyst(s) must be 

capable of detecting all instances, 

except diagnostic self-clearing, when a 

catalyst DTC(s) has been erased but the 

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catalyst has not been replaced (e.g., 

catalyst over-temperature histogram 

approaches are not acceptable). 

(7) NOX adsorber system monitoring. 

(i) General. The OBD system must 

monitor the NOX adsorber on engines 

so-equipped for proper performance. 

For engines equipped with active/ 

intrusive injection (e.g., in-exhaust fuel 

and/or air injection) to achieve 

desorption of the NOX adsorber, the 

OBD system must monitor the active/ 

intrusive injection system for proper 

performance. The individual electronic 

components (e.g., injectors, valves, 

sensors) that are used in the active/ 

intrusive injection system must be 

monitored in accordance with the 

comprehensive component 

requirements in paragraph (i)(3) of this 

section. 

(ii) NOX adsorber system malfunction 

criteria. 

(A) NOX adsorber system capability. 

The OBD system must detect a NOX

adsorber malfunction when its 

capability (i.e., its combined adsorption 

and conversion capability) decreases to 

the point that would cause an engine’s 

NOX emissions to exceed the emissions 

thresholds for NOX aftertreatment 

systems as shown in Table 1 of this 

paragraph (g). If no failure or 

deterioration of the NOX adsorber 

capability could result in an engine’s 

NOX emissions exceeding the applicable 

emissions thresholds, the OBD system 

must detect a malfunction when the 

system has no detectable amount of 

NOX adsorber capability. 

(B) NOX adsorber system active/ 

intrusive reductant delivery 

performance. For NOX adsorber systems 

that use active/intrusive injection (e.g., 

in-cylinder post fuel injection, inexhaust air-assisted fuel injection) to 

achieve desorption of the NOX adsorber, 

the OBD system must detect a 

malfunction if any failure or 

deterioration of the injection system’s 

ability to properly regulate injection 

causes the system to be unable to 

achieve desorption of the NOX adsorber. 

(C) NOX adsorber system feedback 

control. Malfunction criteria for the 

NOX adsorber and the NOX adsorber 

active/instrusive reductant delivery 

system are contained in paragraph (i)(6) 

of this section. 

(iii) NOX adsorber system monitoring 

conditions. 

(A) The manufacturer must define the 

monitoring conditions for malfunctions 

identified in paragraph (g)(7)(ii)(A) of 

this section in accordance with 

paragraphs (c) and (d) of this section. 

For purposes of tracking and reporting 

as required in paragraph (d)(1) of this 

section, all monitors used to detect 

malfunctions identified in paragraph 

(g)(7)(ii)(A) of this section must be 

tracked separately but reported as a 

single set of values as specified in 

paragraph (e)(1)(iii) of this section. 

(B) The OBD system must monitor 

continuously for malfunctions 

identified in paragraphs (g)(7)(ii)(B) and 

(g)(7)(ii)(C) of this section. 

(iv) NOX adsorber system MIL 

activation and DTC storage. The MIL 

must activate and DTCs must be stored 

according to the provisions of paragraph 

(b) of this section. 

(8) Diesel particulate filter (DPF) 

system monitoring. 

(i) General. The OBD system must 

monitor the DPF on engines soequipped for proper performance. For 

engines equipped with active 

regeneration systems that use an active/ 

intrusive injection (e.g., in-exhaust fuel 

injection, in-exhaust fuel/air burner), 

the OBD system must monitor the 

active/intrusive injection system for 

proper performance. The individual 

electronic components (e.g., injectors, 

valves, sensors) that are used in the 

active/intrusive injection system must 

be monitored in accordance with the 

comprehensive component 

requirements in paragraph (i)(3) of this 

section. 

(ii) DPF system malfunction criteria. 

(A) DPF filtering performance. The 

OBD system must detect a malfunction 

prior to a decrease in the PM filtering 

capability of the DPF (e.g., cracking, 

melting, etc.) that would cause an 

engine’s PM emissions to exceed the 

emissions thresholds for DPF systems as 

shown in Table 1 of this paragraph (g). 

If no failure or deterioration of the PM 

filtering performance could result in an 

engine’s PM emissions exceeding the 

applicable emissions thresholds, the 

OBD system must detect a malfunction 

when no detectable amount of PM 

filtering occurs. As an alternative to a 

threshold monitor, the OBD system, on 

model year 2010 through 2012 engines 

only, can be designed to detect a 

malfunction based on a detectable 

decrease in the expected pressure drop 

across the DPF for a period of 5 seconds 

or more. The monitoring area for this 

alternative is determined using engine 

speed and load points defined in test 

cycles and procedures for the 

supplemental emissions test (SET) 

under § 86.1360–2007. The monitoring 

area shall include all engine speed and 

load points greater than a region 

bounded by a line connecting mode 

numbers 2, 6, 3, and 13 (i.e. A100, A75, 

B50, and C50). At engine speeds greater 

than ‘‘speed C’’, the monitor shall run 

whenever engine load is greater than 

50%. For purposes of this paragraph, 

the detectable change in pressure drop 

is determined by operating the engine at 

the B50 engine speed and load point (as 

described in the SET test procedures), 

observing the pressure drop on a clean, 

nominal DPF, and multiplying the 

observed pressure drop by 0.5 or other 

factor supported by data and approved 

by the Administrator. The detectable 

change in pressure drop shall be 

reported in units of kilopascals (kPa). At 

time of certification, manufacturers 

shall provide the detectable change in 

pressure drop value along with OBD 

data stream parameters recorded with a 

clean DPF under the following nine 

engine speed/load operating points of 

the SET: A50, A75, A100, B50, B75, 

B100, C50, C75, and C100. The OBD 

data stream pararmeters to be reported 

are described in (k)(4)(ii) of this section 

and shall include the following: Engine 

speed; calculated load; air flow rate 

from mass air flow sensor (if so 

equipped); fuel rate; and DPF delta 

pressure. 

(B) DPF regeneration frequency. The 

OBD system must detect a malfunction 

when the DPF regeneration frequency 

increases from (i.e., occurs more often 

than) the manufacturer’s specified 

regeneration frequency to a level such 

that it would cause an engine’s NMHC 

emissions to exceed the emissions 

threshold for DPF systems as shown in 

Table 1 of this paragraph (g). If no such 

regeneration frequency exists that could 

cause NMHC emissions to exceed the 

applicable emission threshold, the OBD 

system must detect a malfunction when 

the DPF regeneration frequency exceeds 

the manufacturer’s specified design 

limits for allowable regeneration 

frequency. 

(C) DPF incomplete regeneration. The 

OBD system must detect a regeneration 

malfunction when the DPF does not 

properly regenerate under 

manufacturer-defined conditions where 

regeneration is designed to occur. 

(D) DPF missing substrate. The OBD 

system must detect a malfunction if 

either the DPF substrate is completely 

destroyed, removed, or missing, or if the 

DPF assembly has been replaced with a 

muffler or straight pipe. 

(E) DPF system active/intrusive 

injection. For DPF systems that use 

active/intrusive injection (e.g., incylinder post fuel injection, in-exhaust 

air-assisted fuel injection) to achieve 

regeneration of the DPF, the OBD 

system must detect a malfunction if any 

failure or deterioration of the injection 

system’s ability to properly regulate 

injection causes the system to be unable 

to achieve regeneration of the DPF. 

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(F) DPF regeneration feedback 

control. See paragraph (i)(6) of this 

section. 

(iii) DPF monitoring conditions. The 

manufacturer must define the 

monitoring conditions for malfunctions 

identified in paragraph (g)(8)(ii) of this 

section in accordance with paragraphs 

(c) and (d) of this section, with the 

exception that monitoring must occur 

every time the monitoring conditions 

are met during the drive cycle rather 

than once per drive cycle as required in 

paragraph (c)(2) of this section. For OBD 

systems designed to the alternative 

malfunction criteria of paragraph 

(g)(8)(ii)(A) of this section, the 

alternative DPF monitor shall run 

continuously whenever engine speed 

and load conditions are within the 

monitoring area described in paragraph 

(g)(8)(ii)(A). The OBD system may make 

a malfunction or potential malfunction 

determination during any successful 

monitoring event but shall include in 

the enable criteria of any subsequent 

monitoring events a confirmed 

successful and complete DPF 

regeneration. The subsequent 

monitoring events must be conducted 

within an operating period that ensures 

that the detected malfunction has not 

‘‘healed’’ due to trapped particulates in 

the compromised portion of the DPF 

substrate. For purposes of tracking and 

reporting as required in paragraph (d)(1) 

of this section, all monitors used to 

detect malfunctions identified in 

paragraph (g)(8)(ii) of this section must 

be tracked separately but reported as a 

single set of values as specified in 

paragraph (e)(1)(iii) of this section. 

(iv)DPF system MIL activation and 

DTC storage. The MIL must activate and 

DTCs must be stored according to the 

provisions of paragraph (b) of this 

section. 

(9) Exhaust gas sensor and sensor 

heater monitoring. 

(i) General. The OBD system must 

monitor for proper output signal, 

activity, response rate, and any other 

parameter that can affect emissions, all 

exhaust gas sensors (e.g., oxygen, airfuel ratio, NOX) used for emission 

control system feedback (e.g., EGR 

control/feedback, SCR control/feedback, 

NOX adsorber control/feedback) and/or 

as a monitoring device. For engines 

equipped with heated exhaust gas 

sensors, the OBD system must monitor 

the heater for proper performance. 

(ii) Malfunction criteria for air-fuel 

ratio sensors located upstream of 

aftertreatment devices. 

(A)Sensor performance. The OBD 

system must detect a malfunction prior 

to any failure or deterioration of the 

sensor voltage, resistance, impedance, 

current, response rate, amplitude, offset, 

or other characteristic(s) that would 

cause an engine’s emissions to exceed 

the emissions thresholds for ‘‘other 

monitors’’ as shown in Table 1 of this 

paragraph (g). 

(B) Circuit integrity. The OBD system 

must detect malfunctions of the sensor 

related to a lack of circuit continuity or 

signal out-of-range values. 

(C) Feedback function. The OBD 

system must detect a malfunction of the 

sensor if the emission control system 

(e.g., EGR, SCR, or NOX adsorber) is 

unable to use that sensor as a feedback 

input (e.g., causes limp-home or openloop operation). 

(D) Monitoring function. To the extent 

feasible, the OBD system must detect a 

malfunction of the sensor when the 

sensor output voltage, resistance, 

impedance, current, amplitude, activity, 

offset, or other characteristics are no 

longer sufficient for use as an OBD 

system monitoring device (e.g., for 

catalyst, EGR, SCR, or NOX adsorber 

monitoring). 

(iii) Malfunction criteria for air-fuel 

ratio sensors located downstream of 

aftertreatment devices. 

(A) Sensor performance. The OBD 

system must detect a malfunction prior 

to any failure or deterioration of the 

sensor voltage, resistance, impedance, 

current, response rate, amplitude, offset, 

or other characteristic(s) that would 

cause an engine’s emissions to exceed 

the emissions thresholds for air-fuel 

ratio sensors downstream of 

aftertreatment devices as shown in 

Table 1 of this paragraph (g). 

(B) Circuit integrity. The OBD system 

must detect malfunctions of the sensor 

related to a lack of circuit continuity or 

signal out-of-range values. 

(C) Feedback function. The OBD 

system must detect a malfunction of the 

sensor if the emission control system 

(e.g., EGR, SCR, or NOX absorber) is 

unable to use that sensor as a feedback 

input (e.g., causes limp-home or openloop operation). 

(D) Monitoring function. To the extent 

feasible, the OBD system must detect a 

malfunction of the sensor when the 

sensor output voltage, resistance, 

impedance, current, amplitude, activity, 

offset, or other characteristics are no 

longer sufficient for use as an OBD 

system monitoring device (e.g., for 

catalyst, EGR, SCR, or NOX absorber 

monitoring). 

(iv) Malfunction criteria for NOX

sensors. 

(A) Sensor performance. The OBD 

system must detect a malfunction prior 

to any failure or deterioration of the 

sensor voltage, resistance, impedance, 

current, response rate, amplitude, offset, 

or other characteristic(s) that would 

cause an engine’s emissions to exceed 

the emissions thresholds for NOX

sensors as shown in Table 1 of this 

paragraph (g). 

(B) Circuit integrity. The OBD system 

must detect malfunctions of the sensor 

related to a lack of circuit continuity or 

signal out-of-range values. 

(C) Feedback function. The OBD 

system must detect a malfunction of the 

sensor if the emission control system 

(e.g., EGR, SCR, or NOX adsorber) is 

unable to use that sensor as a feedback 

input (e.g., causes limp-home or openloop operation). 

(D) Monitoring function. To the extent 

feasible, the OBD system must detect a 

malfunction of the sensor when the 

sensor output voltage, resistance, 

impedance, current, amplitude, activity, 

offset, or other characteristics are no 

longer sufficient for use as an OBD 

system monitoring device (e.g., for 

catalyst, EGR, SCR, or NOX adsorber 

monitoring). 

(v) Malfunction criteria for other 

exhaust gas sensors. For other exhaust 

gas sensors, the manufacturer must 

submit a monitoring plan to the 

Administrator for approval. The plan 

must include data and/or engineering 

evaluations that demonstrate that the 

monitoring plan is as reliable and 

effective as the monitoring required in 

paragraphs (g)(9)(ii), (g)(9)(iii), (g)(9)(iv) 

of this section. 

(vi) Malfunction criteria for exhaust 

gas sensor heaters. 

(A) The OBD system must detect a 

malfunction of the heater performance 

when the current or voltage drop in the 

heater circuit is no longer within the 

manufacturer’s specified limits for 

normal operation (i.e., within the 

criteria required to be met by the 

component vendor for heater circuit 

performance at high mileage). The 

manufacturer may use other 

malfunction criteria for heater 

performance malfunctions. To do so, the 

manufacturer must be able to 

demonstrate via data and/or an 

engineering evaluation that the monitor 

is reliable and robust. 

(B) The OBD system must detect 

malfunctions of the heater circuit 

including open or short circuits that 

conflict with the commanded state of 

the heater (e.g., shorted to 12 Volts 

when commanded to 0 Volts (ground)). 

(vii) Monitoring conditions for 

exhaust gas sensors. 

(A) The manufacturer must define the 

monitoring conditions for malfunctions 

identified in paragraphs (g)(9)(ii)(A), 

(g)(9)(iii)(A), and (g)(9)(iv)(A) of this 

section (i.e., sensor performance) in 

accordance with paragraphs (c) and (d) 

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Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 8383 

of this section. For purposes of tracking 

and reporting as required in paragraph 

(d)(1) of this section, all monitors used 

to detect malfunctions identified in 

paragraphs (g)(9)(ii)(A), (g)(9)(iii)(A), 

and (g)(9)(iv)(A) of this section must be 

tracked separately but reported as a 

single set of values as specified in 

paragraph (e)(1)(iii) of this section. 

(B) The manufacturer must define the 

monitoring conditions for malfunctions 

identified in paragraphs (g)(9)(ii)(D), 

(g)(9)(iii)(D), and (g)(9)(iv)(D) of this 

section (i.e., monitoring function) in 

accordance with paragraphs (c) and (d) 

of this section with the exception that 

monitoring must occur every time the 

monitoring conditions are met during 

the drive cycle rather than once per 

drive cycle as required in paragraph 

(c)(2) of this section. 

(C) Except as provided for in 

paragraph (g)(9)(vii)(D) of this section, 

the OBD system must monitor 

continuously for malfunctions 

identified in paragraphs (g)(9)(ii)(B), 

(g)(9)(ii)(C), (g)(9)(iii)(B), (g)(9)(iii)(C), 

(g)(9)(iv)(B), (g)(9)(iv)(C) of this section 

(i.e., circuit integrity and feedback 

function). 

(D) A manufacturer may request 

approval to disable continuous exhaust 

gas sensor monitoring when an exhaust 

gas sensor malfunction cannot be 

distinguished from other effects (e.g., 

disable monitoring for out-of-range on 

the low side during fuel cut conditions). 

To do so, the manufacturer must 

demonstrate via data and/or engineering 

analyses that a properly functioning 

sensor cannot be distinguished from a 

malfunctioning sensor and that the 

disablement interval is limited only to 

that necessary for avoiding false 

malfunction detection. 

(viii) Monitoring conditions for 

exhaust gas sensor heaters. 

(A) The manufacturer must define 

monitoring conditions for malfunctions 

identified in paragraph (g)(9)(vi)(A) of 

this section (i.e., sensor heater 

performance) in accordance with 

paragraphs (c) and (d) of this section. 

(B) The OBD system must monitor 

continuously for malfunctions 

identified in paragraph (g)(9)(vi)(B) of 

this section (i.e., circuit malfunctions). 

(ix) Exhaust gas sensor and sensor 

heater MIL activation and DTC storage. 

The MIL must activate and DTCs must 

be stored according to the provisions of 

paragraph (b) of this section. 

(10) Variable Valve Timing (VVT) 

system monitoring. 

(i) General. The OBD system must 

monitor the VVT system on engines so 

equipped for target error and slow 

response malfunctions. The individual 

electronic components (e.g., actuators, 

valves, sensors) that are used in the VVT 

system must be monitored in 

accordance with the comprehensive 

components requirements in paragraph 

(i)(3) of this section. 

(ii) VVT system malfunction criteria. 

(A) VVT system target error. The OBD 

system must detect a malfunction prior 

to any failure or deterioration in the 

capability of the VVT system to achieve 

the commanded valve timing and/or 

control within a crank angle and/or lift 

tolerance that would cause an engine’s 

emissions to exceed the emission 

thresholds for ‘‘other monitors’’ as 

shown in Table 1 of this paragraph (g). 

(B) VVT slow response. The OBD 

system must detect a malfunction prior 

to any failure or deterioration in the 

capability of the VVT system to achieve 

the commanded valve timing and/or 

control within a manufacturer-specified 

time that would cause an engine’s 

emissions to exceed the emission 

thresholds for ‘‘other monitors’’ as 

shown in Table 1 of this paragraph (g). 

(C) For engines in which no failure or 

deterioration of the VVT system could 

result in an engine’s emissions 

exceeding the applicable emissions 

thresholds of paragraphs (g)(10)(ii)(A) 

and (g)(10)(ii)(B) of this section, the 

OBD system must detect a malfunction 

of the VVT system when proper 

functional response of the system to 

computer commands does not occur. 

(iii) VVT system monitoring 

conditions. Manufacturers must define 

the monitoring conditions for VVT 

system malfunctions identified in 

paragraph (g)(10)(ii) of this section in 

accordance with paragraphs (c) and (d) 

of this section, with the exception that 

monitoring must occur every time the 

monitoring conditions are met during 

the drive cycle rather than once per 

drive cycle as required in paragraph 

(c)(2) of this section. For purposes of 

tracking and reporting as required in 

paragraph (d)(1) of this section, all 

monitors used to detect malfunctions 

identified in paragraph (g)(10)(ii) of this 

section must be tracked separately but 

reported as a single set of values as 

specified in paragraph (e)(1)(iii) of this 

section. 

(iv) VVT MIL activation and DTC 

storage. The MIL must activate and 

DTCs must be stored according to the 

provisions of paragraph (b) of this 

section. 

(h) OBD monitoring requirements for 

gasoline-fueled/spark-ignition engines. 

The following table shows the 

thresholds at which point certain 

components or systems, as specified in 

this paragraph (h), are considered 

malfunctioning. 

TABLE 2—OBD EMISSIONS THRESHOLDS FOR GASOLINE-FUELED/SPARK-IGNITION ENGINES MEANT FOR PLACEMENT IN

APPLICATIONS GREATER THAN 14,000 POUNDS GVWR (G/BHP-HR) 

Component NOX NMHC CO § 86.010–18 reference 

Catalyst system ................................. 1.75x std ....................... 1.75x std ....................... ....................................... (h)(6) 

Evaporative emissions control system........................................ 0.150 inch leak ............. ....................................... (h)(7) 

‘‘Other monitors’’ with emissions 

thresholds.

1.5x std ......................... 1.5x std ......................... 1.5x std ......................... (h)(1), (h)(2), (h)(3), 

(h)(4), (h)(5), (h)(8), 

(h)(9) 

Notes: 1.75x std means a multiple of 1.75 times the applicable emissions standard; these emissions thresholds apply to the monitoring requirements of paragraph (h) of this section; The evaporative emissions control system threshold is not, technically, an emissions threshold but rather 

a leak size that must be detected; nonetheless, for ease we refer to this as the threshold. 

(1) Fuel system monitoring. 

(i) General. The OBD system must 

monitor the fuel delivery system to 

determine its ability to provide 

compliance with emission standards. 

(ii) Fuel system malfunction criteria. 

(A) The OBD system must detect a 

malfunction of the fuel delivery system 

(including feedback control based on a 

secondary oxygen sensor) when the fuel 

delivery system is unable to maintain an 

engine’s emissions at or below the 

emissions thresholds for ‘‘other 

monitors’’ as shown in Table 2 of this 

paragraph (h). 

(B) Except as provided for in 

paragraph (h)(1)(ii)(C) of this section, if 

the engine is equipped with adaptive 

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feedback control, the OBD system must 

detect a malfunction when the adaptive 

feedback control has used up all of the 

adjustment allowed by the 

manufacturer. 

(C) If the engine is equipped with 

feedback control that is based on a 

secondary oxygen (or equivalent) 

sensor, the OBD system is not required 

to detect a malfunction of the fuel 

system solely when the feedback control 

based on a secondary oxygen sensor has 

used up all of the adjustment allowed 

by the manufacturer. However, if a 

failure or deterioration results in engine 

emissions that exceed the emissions 

thresholds for ‘‘other monitors’’ as 

shown in Table 2 of this paragraph (h), 

the OBD system is required to detect a 

malfunction. 

(D) The OBD system must detect a 

malfunction whenever the fuel control 

system fails to enter closed loop 

operation following engine start within 

a manufacturer specified time interval. 

The specified time interval must be 

supported by data and/or engineering 

analyses submitted by the manufacturer. 

(E) The manufacturer may adjust the 

malfunction criteria and/or monitoring 

conditions to compensate for changes in 

altitude, for temporary introduction of 

large amounts of purge vapor, or for 

other similar identifiable operating 

conditions when such conditions occur. 

(iii) Fuel system monitoring 

conditions. The fuel system must be 

monitored continuously for the 

presence of a malfunction. 

(iv) Fuel system MIL activation and 

DTC storage. 

(A) A pending DTC must be stored 

immediately upon the fuel system 

exceeding the malfunction criteria 

established in paragraph (h)(1)(ii) of this 

section. 

(B) Except as provided for in 

paragraph (h)(1)(iv)(C) of this section, if 

a pending DTC is stored, the OBD 

system must activate the MIL 

immediately and store a MIL-on DTC if 

a malfunction is again detected during 

either the drive cycle immediately 

following storage of the pending DTC 

regardless of the conditions encountered 

during that drive cycle, or on the next 

drive cycle in which similar conditions 

are encountered to those that occurred 

when the pending DTC was stored. 

Similar conditions means engine 

conditions having an engine speed 

within 375 rpm, load conditions within 

20 percent, and the same warm-up 

status (i.e., cold or hot) as the engine 

conditions stored pursuant to paragraph 

(h)(1)(iv)(E) of this section. Other 

definitions of similar conditions may be 

used but must result in comparable 

timeliness and reliability in detecting 

similar engine operation. 

(C) The pending DTC may be erased 

at the end of the next drive cycle in 

which similar conditions have been 

encountered without having again 

exceeded the specified fuel system 

malfunction criteria. The pending DTC 

may also be erased if similar conditions 

are not encountered during the 80 drive 

cycles immediately following detection 

of the potential malfunction for which 

the pending DTC was stored. 

(D) Storage of freeze frame conditions. 

The OBD system must store and erase 

freeze frame conditions either in 

conjunction with storing and erasing a 

pending DTC or in conjunction with 

storing and erasing a MIL-on DTC. 

Freeze frame information associated 

with a fuel system malfunction shall be 

stored in preference to freeze frame 

information required elsewhere in 

paragraphs (h) or (i) of this section. 

(E) Storage of fuel system conditions 

for determining similar conditions of 

operation. The OBD must store the 

engine speed, load, and warm-up status 

present at the time it first detects a 

potential malfunction meeting the 

criteria of paragraph (h)(1)(ii) of this 

section and stores a pending DTC. 

(F) Deactivating the MIL. The MIL 

may be extinguished after three 

sequential driving cycles in which 

similar conditions have been 

encountered without detecting a 

malfunction of the fuel system. 

(2) Engine misfire monitoring. 

(i) General. 

(A) The OBD system must monitor the 

engine for misfire causing catalyst 

damage and misfire causing excess 

emissions. 

(B) The OBD system must identify the 

specific cylinder that is misfiring. The 

manufacturer may store a general 

misfire DTC instead of a cylinder 

specific DTC under certain operating 

conditions. To do so, the manufacturer 

must submit data and/or engineering 

analyses that demonstrate that the 

misfiring cylinder cannot be identified 

reliably when the conditions occur. 

(C) If more than one cylinder is 

misfiring, a separate DTC must be stored 

to indicate that multiple cylinders are 

misfiring unless otherwise allowed by 

this paragraph (h)(2). When identifying 

multiple cylinder misfire, the OBD 

system is not required to also identify 

using separate DTCs each of the 

misfiring cylinders individually. If more 

than 90 percent of the detected misfires 

occur in a single cylinder, an 

appropriate DTC may be stored that 

indicates the specific misfiring cylinder 

rather than storing the multiple cylinder 

misfire DTC. If two or more cylinders 

individually have more than 10 percent 

of the total number of detected misfires, 

a multiple cylinder DTC must be stored. 

(ii) Engine misfire malfunction 

criteria. 

(A) Misfire causing catalyst damage. 

The manufacturer must determine the 

percentage of misfire evaluated in 200 

revolution increments for each engine 

speed and load condition that would 

result in a temperature that causes 

catalyst damage. If this percentage of 

misfire is exceeded, it shall be 

considered a malfunction that must be 

detected. For every engine speed and 

load condition for which this percentage 

of misfire is determined to be lower 

than five percent, the manufacturer may 

set the malfunction criteria at five 

percent. The manufacturer may use a 

longer interval than 200 revolutions but 

only for determining, on a given drive 

cycle, the first misfire exceedance as 

provided in paragraph (h)(2)(iv)(A) of 

this section. To do so, the manufacturer 

must demonstrate that the interval is not 

so long that catalyst damage would 

occur prior to the interval being elapsed. 

(B) Misfire causing emissions to 

exceed the applicable thresholds. The 

manufacturer must determine the 

percentage of misfire evaluated in 1000 

revolution increments that would cause 

emissions from an emissions durability 

demonstration engine to exceed the 

emissions thresholds for ‘‘other 

monitors’’ as shown in Table 2 of this 

paragraph (h) if that percentage of 

misfire were present from the beginning 

of the test. If this percentage of misfire 

is exceeded, regardless of the pattern of 

misfire events (e.g., random, equally 

spaced, continuous), it shall be 

considered a malfunction that must be 

detected. To establish this percentage of 

misfire, the manufacturer must use 

misfire events occurring at equally 

spaced, complete engine cycle intervals, 

across randomly selected cylinders 

throughout each 1000-revolution 

increment. If this percentage of misfire 

is determined to be lower than one 

percent, the manufacturer may set the 

malfunction criteria at one percent. The 

manufacturer may use a longer interval 

than 1000 revolutions. To do so, the 

manufacturer must demonstrate that the 

strategy would be equally effective and 

timely at detecting misfire. 

(iii) Engine misfire monitoring 

conditions. 

(A) The OBD system must monitor 

continuously for misfire under the 

following conditions: from no later than 

the end of the second crankshaft 

revolution after engine start; during the 

rise time and settling time for engine 

speed to reach the desired idle engine 

speed at engine start-up (i.e., ‘‘flare-up’’ 

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and ‘‘flare-down’’); and, under all 

positive torque engine speeds and load 

conditions except within the engine 

operating region bound by the positive 

torque line (i.e., engine load with the 

transmission in neutral), and the points 

represented by an engine speed of 3000 

rpm with the engine load at the positive 

torque line and the redline engine speed 

with the engine’s manifold vacuum at 

four inches of mercury lower than that 

at the positive torque line. For this 

purpose, redline engine speed is defined 

as either the recommended maximum 

engine speed as displayed on the 

instrument panel tachometer, or the 

engine speed at which fuel shutoff 

occurs. 

(B) If an OBD monitor cannot detect 

all misfire patterns under all required 

engine speed and load conditions as 

required by paragraph (h)(2)(iii)(A) of 

this section, the OBD system may still 

be acceptable. The Administrator will 

evaluate the following factors in making 

a determination: The magnitude of the 

region(s) in which misfire detection is 

limited; the degree to which misfire 

detection is limited in the region(s) (i.e., 

the probability of detection of misfire 

events); the frequency with which said 

region(s) are expected to be encountered 

in-use; the type of misfire patterns for 

which misfire detection is troublesome; 

and demonstration that the monitoring 

technology employed is not inherently 

incapable of detecting misfire under the 

required conditions (i.e., compliance 

can be achieved on other engines). The 

evaluation will be based on the 

following misfire patterns: equally 

spaced misfire occurring on randomly 

selected cylinders; single cylinder 

continuous misfire; and paired cylinder 

(cylinders firing at the same crank 

angle) continuous misfire. 

(C) The manufacturer may use 

monitoring system that has reduced 

misfire detection capability during the 

portion of the first 1000 revolutions 

after engine start that a cold start 

emission reduction strategy is active 

that reduces engine torque (e.g., spark 

retard strategies). To do so, the 

manufacturer must demonstrate that the 

probability of detection is greater than 

or equal to 75 percent during the worst 

case condition (i.e., lowest generated 

torque) for a vehicle operated 

continuously at idle (park/neutral idle) 

on a cold start between 50 and 86 

degrees Fahrenheit and that the 

technology cannot reliably detect a 

higher percentage of the misfire events 

during the conditions. 

(D) The manufacturer may disable 

misfire monitoring or use an alternative 

malfunction criterion when misfire 

cannot be distinguished from other 

effects. To do so, the manufacturer must 

demonstrate that the disablement 

interval or the period of use of an 

alternative malfunction criterion is 

limited only to that necessary for 

avoiding false detection and for one or 

more of the following operating 

conditions: Rough road; fuel cut; gear 

changes for manual transmission 

vehicles; traction control or other 

vehicle stability control activation such 

as anti-lock braking or other engine 

torque modifications to enhance vehicle 

stability; off-board control or intrusive 

activation of vehicle components or 

monitors during service or assembly 

plant testing; portions of intrusive 

evaporative system or EGR monitors 

that can significantly affect engine 

stability (i.e., while the purge valve is 

open during the vacuum pull-down of 

an evaporative system leak check but 

not while the purge valve is closed and 

the evaporative system is sealed or 

while an EGR monitor causes the EGR 

valve to be cycled intrusively on and off 

during positive torque conditions); or, 

engine speed, load, or torque transients 

due to throttle movements more rapid 

than those that occur over the FTP cycle 

for the worst case engine within each 

engine family. In general, the 

Administrator will not approve 

disablement for conditions involving 

normal air conditioning compressor 

cycling from on-to-off or off-to-on, 

automatic transmission gear shifts 

(except for shifts occurring during wide 

open throttle operation), transitions 

from idle to off-idle, normal engine 

speed or load changes that occur during 

the engine speed rise time and settling 

time (i.e., ‘‘flare-up’’ and ‘‘flare-down’’) 

immediately after engine starting 

without any vehicle operator-induced 

actions (e.g., throttle stabs), or excess 

acceleration (except for acceleration 

rates that exceed the maximum 

acceleration rate obtainable at wide 

open throttle while the vehicle is in gear 

due to abnormal conditions such as 

slipping of a clutch). The Administrator 

may approve misfire monitoring 

disablement or use of an alternate 

malfunction criterion for any other 

condition on a case by case basis upon 

determining that the manufacturer has 

demonstrated that the request is based 

on an unusual or unforeseen 

circumstance and that it is applying the 

best available computer and monitoring 

technology. 

(E) For engines with more than eight 

cylinders that cannot meet the 

requirements of paragraph (h)(2)(iii)(A) 

of this section, a manufacturer may use 

alternative misfire monitoring 

conditions. Such use must be based on 

data and/or an engineering evaluation 

submitted by the manufacturer that 

demonstrate that misfire detection 

throughout the required operating 

region cannot be achieved when 

employing proven monitoring 

technology (i.e., a technology that 

provides for compliance with these 

requirements on other engines) and 

provided misfire is detected to the 

fullest extent permitted by the 

technology. However, the misfire 

detection system must still monitor 

during all positive torque operating 

conditions encountered during an FTP 

cycle. 

(iv) MIL activation and DTC storage 

for engine misfire causing catalyst 

damage. 

(A) Pending DTCs. A pending DTC 

must be stored immediately if, during a 

single drive cycle, the specified misfire 

percentage described in paragraph 

(h)(2)(ii)(A) of this section is exceeded 

three times when operating in the 

positive torque region encountered 

during a FTP cycle or is exceeded on a 

single occasion when operating at any 

other engine speed and load condition 

in the positive torque region defined in 

paragraph (h)(2)(iii)(A) of this section. 

Immediately after a pending DTC is 

stored pursuant to this paragraph, the 

MIL must blink once per second at all 

times during the drive cycle that engine 

misfire is occurring. The MIL may be 

deactivated during those times that 

misfire is not occurring. If, at the time 

that a catalyst damaging misfire 

malfunction occurs, the MIL is already 

activated for a malfunction other than 

misfire, the MIL must still blink once 

per second at all times during the drive 

cycle that engine misfire is occurring. If 

misfire ceases, the MIL must stop 

blinking but remain activated as 

appropriate in accordance with the 

other malfunction. 

(B) MIL-on DTCs. If a pending DTC is 

stored in accordance with paragraph 

(h)(2)(iv)(A) of this section, the OBD 

system must immediately store a MILon DTC if the percentage of misfire 

described in paragraph (h)(2)(ii)(A) of 

this section is again exceeded one or 

more times during either the drive cycle 

immediately following storage of the 

pending DTC, regardless of the 

conditions encountered during that 

drive cycle, or on the next drive cycle 

in which similar conditions are 

encountered to those that occurred 

when the pending DTC was stored. If, 

during a previous drive cycle, a pending 

DTC is stored in accordance with 

paragraph (h)(2)(iv)(A) of this section, a 

MIL-on DTC must be stored 

immediately upon exceeding the 

percentage misfire described in 

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paragraph (h)(2)(ii)(A) of this section 

regardless of the conditions 

encountered. Upon storage of a MIL-on 

DTC, the MIL must blink once per 

second at all times during the drive 

cycle that engine misfire is occurring. If 

misfire ceases, the MIL must stop 

blinking but remain activated until the 

conditions are met for extinguishing the 

MIL. 

(C) Erasure of pending DTCs. Pending 

DTCs stored in accordance with 

paragraph (h)(2)(iv)(A) of this section 

must be erased at the end of the next 

drive cycle in which similar conditions 

are encountered to those that occurred 

when the pending DTC was stored 

provided no exceedances have been 

detected of the misfire percentage 

described in paragraph (h)(2)(ii)(A) of 

this section. The pending DTC may also 

be erased if similar conditions are not 

encountered during the next 80 drive 

cycles immediately following storage of 

the pending DTC. 

(D) Exemptions for engines with fuel 

shutoff and default fuel control. In 

engines that provide for fuel shutoff and 

default fuel control to prevent over 

fueling during catalyst damaging misfire 

conditions, the MIL need not blink as 

required by paragraphs (h)(2)(iv)(A) and 

(h)(2)(iv)(B) of this section. Instead, the 

MIL may be activated continuously 

upon misfire detection provided that the 

fuel shutoff and default fuel control are 

activated immediately upon misfire 

detection. Fuel shutoff and default fuel 

control may be deactivated only when 

the engine is outside of the misfire range 

except that the manufacturer may 

periodically, but not more than once 

every 30 seconds, deactivate fuel shutoff 

and default fuel control to determine if 

the catalyst damaging misfire is still 

occurring. Normal fueling and fuel 

control may be resumed if the catalyst 

damaging misfire is no longer occurring. 

(E) The manufacturer may use a 

strategy that activates the MIL 

continuously rather than blinking the 

MIL during extreme catalyst damage 

misfire conditions (i.e., catalyst damage 

misfire occurring at all engine speeds 

and loads). Use of such a strategy must 

be limited to catalyst damage misfire 

levels that cannot be avoided during 

reasonable driving conditions. To use 

such a strategy, the manufacturer must 

be able to demonstrate that the strategy 

will encourage operation of the vehicle 

in conditions that will minimize 

catalyst damage (e.g., at low engine 

speeds and loads). 

(v) MIL activation and DTC storage for 

engine misfire causing emissions to 

exceed applicable emissions thresholds. 

(A) Immediately upon detection, 

during the first 1000 revolutions after 

engine start of the misfire percentage 

described in paragraph (h)(2)(ii)(B) of 

this section, a pending DTC must be 

stored. If such a pending DTC is stored 

already and another such exceedance of 

the misfire percentage is detected 

within the first 1000 revolutions after 

engine start on any subsequent drive 

cycle, the MIL must activate and a MILon DTC must be stored. The pending 

DTC may be erased if, at the end of the 

next drive cycle in which similar 

conditions are encountered to those that 

occurred when the pending DTC was 

stored, there has been no exceedance of 

the misfire percentage described in 

paragraph (h)(2)(ii)(B) of this section. 

The pending DTC may also be erased if 

similar conditions are not encountered 

during the next 80 drive cycles 

immediately following storage of the 

pending DTC. 

(B) No later than the fourth detection 

during a single drive cycle, following 

the first 1000 revolutions after engine 

start of the misfire percentage described 

in paragraph (h)(2)(ii)(B) of this section, 

a pending DTC must be stored. If such 

a pending DTC is stored already, then 

the MIL must activate and a MIL-on 

DTC must be stored within 10 seconds 

of the fourth detection of the misfire 

percentage described in paragraph 

(h)(2)(ii)(B) of this section during either 

the drive cycle immediately following 

storage of the pending DTC, regardless 

of the conditions encountered during 

that drive cycle excepting those 

conditions within the first 1000 

revolutions after engine start, or on the 

next drive cycle in which similar 

conditions are encountered to those that 

occurred when the pending DTC was 

stored excepting those conditions 

within the first 1000 revolutions after 

engine start. The pending DTC may be 

erased if, at the end of the next drive 

cycle in which similar conditions are 

encountered to those that occurred 

when the pending DTC was stored, 

there has been no exceedance of the 

misfire percentage described in 

paragraph (h)(2)(ii)(B) of this section. 

The pending DTC may also be erased if 

similar conditions are not encountered 

during the next 80 drive cycles 

immediately following storage of the 

pending DTC. 

(vi) Storage of freeze frame conditions 

for engine misfire. 

(A) The OBD system must store and 

erase freeze frame conditions (as 

defined in paragraph (k)(4)(iii) of this 

section) either in conjunction with 

storing and erasing a pending DTC or in 

conjunction with storing and erasing a 

MIL-on DTC. 

(B) If, upon storage of a DTC as 

required by paragraphs (h)(2)(iv) and 

(h)(2)(v) of this section, there already 

exist stored freeze frame conditions for 

a malfunction other than a misfire or 

fuel system malfunction (see paragraph 

(h)(1) of this section) then the stored 

freeze frame information shall be 

replaced with freeze frame information 

associated with the misfire malfunction. 

(vii) Storage of engine conditions in 

association with engine misfire. Upon 

detection of the misfire percentages 

described in paragraphs (h)(2)(ii)(A) and 

(h)(2)(ii)(B) of this section, the following 

engine conditions must be stored for use 

in determining similar conditions: 

Engine speed, load, and warm up status 

of the first misfire event that resulted in 

pending DTC storage. 

(viii) MIL deactivation in association 

with engine misfire. The MIL may be 

deactivated after three sequential drive 

cycles in which similar conditions have 

been encountered without an 

exceedance of the misfire percentages 

described in paragraphs (h)(2)(ii)(A) and 

(h)(2)(ii)(B) of this section. 

(3) Exhaust gas recirculation system 

monitoring. 

(i) General. The OBD system must 

monitor the EGR system on engines so 

equipped for low and high flow rate 

malfunctions. The individual electronic 

components (e.g., actuators, valves, 

sensors) that are used in the EGR system 

must be monitored in accordance with 

the comprehensive component 

requirements in paragraph (i)(3) of this 

section. 

(ii) EGR system malfunction criteria. 

(A) The OBD system must detect a 

malfunction of the EGR system prior to 

a decrease from the manufacturer’s 

specified EGR flow rate that would 

cause an engine’s emissions to exceed 

the emissions thresholds for ‘‘other 

monitors’’ as shown in Table 2 of this 

paragraph (h). For engines in which no 

failure or deterioration of the EGR 

system that causes a decrease in flow 

could result in an engine’s emissions 

exceeding the applicable emissions 

thresholds, the OBD system must detect 

a malfunction when the system has no 

detectable amount of EGR flow. 

(B) The OBD system must detect a 

malfunction of the EGR system prior to 

an increase from the manufacturer’s 

specified EGR flow rate that would 

cause an engine’s emissions to exceed 

the emissions thresholds for ‘‘other 

monitors’’ as shown in Table 2 of this 

paragraph (h). For engines in which no 

failure or deterioration of the EGR 

system that causes an increase in flow 

could result in an engine’s emissions 

exceeding the applicable emissions 

thresholds, the OBD system must detect 

a malfunction when the system has 

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reached its control limits such that it 

cannot reduce EGR flow. 

(iii) EGR system monitoring 

conditions. 

(A) The manufacturer must define the 

monitoring conditions for malfunctions 

identified in paragraph (h)(3)(ii) of this 

section in accordance with paragraphs 

(c) and (d) of this section. For purposes 

of tracking and reporting as required by 

paragraph (d)(1) of this section, all 

monitors used to detect malfunctions 

identified in paragraph (h)(3)(ii) of this 

section must be tracked separately but 

reported as a single set of values as 

specified in paragraph (e)(1)(iii) of this 

section. 

(B) The manufacturer may disable 

temporarily the EGR monitor under 

conditions when monitoring may not be 

reliable (e.g., when freezing may affect 

performance of the system). To do so, 

the manufacturer must be able to 

demonstrate that the monitor is 

unreliable when such conditions exist. 

(iv) EGR system MIL activation and 

DTC storage. The MIL must activate and 

DTCs must be stored according to the 

provisions of paragraph (b) of this 

section. 

(4) Cold start emission reduction 

strategy monitoring. 

(i) General. If an engine incorporates 

a specific engine control strategy to 

reduce cold start emissions, the OBD 

system must monitor the key 

components (e.g., idle air control valve), 

other than secondary air, while the 

control strategy is active to ensure 

proper operation of the control strategy. 

(ii) Cold start strategy malfunction 

criteria. 

(A) The OBD system must detect a 

malfunction prior to any failure or 

deterioration of the individual 

components associated with the cold 

start emission reduction control strategy 

that would cause an engine’s emissions 

to exceed the emissions thresholds for 

‘‘other monitors’’ as shown in Table 2 of 

this paragraph (h). The manufacturer 

must establish the malfunction criteria 

based on data from one or more 

representative engine(s) and provide an 

engineering evaluation for establishing 

the malfunction criteria for the 

remainder of the manufacturer’s product 

line. 

(B) Where no failure or deterioration 

of a component used for the cold start 

emission reduction strategy could result 

in an engine’s emissions exceeding the 

applicable emissions thresholds, the 

individual component must be 

monitored for proper functional 

response while the control strategy is 

active in accordance with the 

malfunction criteria in paragraphs 

(i)(3)(ii) and (i)(3)(iii) of this section. 

(iii) Cold start strategy monitoring 

conditions. The manufacturer must 

define monitoring conditions for 

malfunctions identified in paragraph 

(h)(4)(ii) of this section in accordance 

with paragraphs (c) and (d) of this 

section. 

(iv) Cold start strategy MIL activation 

and DTC storage. The MIL must activate 

and DTCs must be stored according to 

the provisions of paragraph (b) of this 

section. 

(5) Secondary air system monitoring. 

(i) General. The OBD system on 

engines equipped with any form of 

secondary air delivery system must 

monitor the proper functioning of the 

secondary air delivery system including 

all air switching valve(s). The 

individual electronic components (e.g., 

actuators, valves, sensors) that are used 

in the secondary air system must be 

monitored in accordance with the 

comprehensive component 

requirements in paragraph (i)(3) of this 

section. For purposes of this paragraph 

(h)(5), ‘‘air flow’’ is defined as the air 

flow delivered by the secondary air 

system to the exhaust system. For 

engines using secondary air systems 

with multiple air flow paths/ 

distribution points, the air flow to each 

bank (i.e., a group of cylinders that 

share a common exhaust manifold, 

catalyst, and control sensor) must be 

monitored in accordance with the 

malfunction criteria in paragraph 

(h)(5)(ii) of this section. Also for 

purposes of this paragraph (h)(5), 

‘‘normal operation’’ is defined as the 

condition when the secondary air 

system is activated during catalyst and/ 

or engine warm-up following engine 

start. ‘‘Normal operation’’ does not 

include the condition when the 

secondary air system is turned on 

intrusively for the sole purpose of 

monitoring. 

(ii) Secondary air system malfunction 

criteria. 

(A) Except as provided in paragraph 

(h)(5)(ii)(C) of this section, the OBD 

system must detect a secondary air 

system malfunction prior to a decrease 

from the manufacturer’s specified air 

flow during normal operation that 

would cause an engine’s emissions to 

exceed the emissions thresholds for 

‘‘other monitors’’ as shown in Table 2 of 

this paragraph (h). 

(B) Except as provided in paragraph 

(h)(5)(ii)(C) of this section, the OBD 

system must detect a secondary air 

system malfunction prior to an increase 

from the manufacturer’s specified air 

flow during normal operation that 

would cause an engine’s emissions to 

exceed the emissions thresholds for 

‘‘other monitors’’ as shown in Table 2 of 

this paragraph (h). 

(C) For engines in which no 

deterioration or failure of the secondary 

air system would result in an engine’s 

emissions exceeding the applicable 

emissions thresholds, the OBD system 

must detect a malfunction when no 

detectable amount of air flow is 

delivered by the secondary air system 

during normal operation. 

(iii) Secondary air system monitoring 

conditions. The manufacturer must 

define monitoring conditions for 

malfunctions identified in paragraph 

(h)(5)(ii) of this section in accordance 

with paragraphs (c) and (d) of this 

section. For purposes of tracking and 

reporting as required by paragraph (d)(1) 

of this section, all monitors used to 

detect malfunctions identified in 

paragraph (h)(5)(ii) of this section must 

be tracked separately but reported as a 

single set of values as specified in 

paragraph (e)(1)(iii) of this section. 

(iv) Secondary air system MIL 

activation and DTC storage. The MIL 

must activate and DTCs must be stored 

according to the provisions of paragraph 

(b) of this section. 

(6) Catalyst system monitoring. 

(i) General. The OBD system must 

monitor the catalyst system for proper 

conversion capability. 

(ii) Catalyst system malfunction 

criteria. The OBD system must detect a 

catalyst system malfunction when the 

catalyst system’s conversion capability 

decreases to the point that emissions 

exceed the emissions thresholds for the 

catalyst system as shown in Table 2 of 

this paragraph (h). 

(iii) Catalyst system monitoring 

conditions. The manufacturer must 

define monitoring conditions for 

malfunctions identified in paragraph 

(h)(6)(ii) of this section in accordance 

with paragraphs (c) and (d) of this 

section. For purposes of tracking and 

reporting as required by paragraph (d)(1) 

of this section, all monitors used to 

detect malfunctions identified in 

paragraph (h)(6)(ii) of this section must 

be tracked separately but reported as a 

single set of values as specified in 

paragraph (e)(1)(iii) of this section. 

(iv) Catalyst system MIL activation 

and DTC storage. 

(A) The MIL must activate and DTCs 

must be stored according to the 

provisions of paragraph (b) of this 

section. 

(B) The monitoring method for the 

catalyst system must be capable of 

detecting when a catalyst DTC has been 

erased (except OBD system self erasure), 

but the catalyst has not been replaced 

(e.g., catalyst overtemperature histogram 

approaches are not acceptable). 

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(7) Evaporative system monitoring. 

(i) General. The OBD system must 

verify purge flow from the evaporative 

system and monitor the complete 

evaporative system, excluding the 

tubing and connections between the 

purge valve and the intake manifold, for 

vapor leaks to the atmosphere. 

Individual components of the 

evaporative system (e.g. valves, sensors) 

must be monitored in accordance with 

the comprehensive components 

requirements in paragraph (i)(3) of this 

section. 

(ii) Evaporative system malfunction 

criteria. 

(A) Purge monitor. The OBD system 

must detect an evaporative system 

malfunction when no purge flow from 

the evaporative system to the engine can 

be detected by the OBD system. 

(B) Leak monitor. The OBD system 

must detect an evaporative system 

malfunction when the complete 

evaporative system contains a leak or 

leaks that cumulatively are greater than 

or equal to a leak caused by a 0.150 inch 

diameter hole. 

(C) The manufacturer may 

demonstrate that detection of a larger 

hole is more appropriate than that 

specified in paragraph (h)(7)(ii)(B) of 

this section. To do so, the manufacturer 

must demonstrate through data and/or 

engineering analyses that holes smaller 

than the proposed detection size would 

not result in evaporative or running loss 

emissions that exceed 1.5 times the 

applicable evaporative emissions 

standards. Upon such a demonstration, 

the proposed detection size could be 

substituted for the requirement of 

paragraph (h)(7)(ii)(B) of this section. 

(iii) Evaporative system monitoring 

conditions. 

(A) The manufacturer must define 

monitoring conditions for malfunctions 

identified in paragraph (h)(7)(ii)(A) of 

this section in accordance with 

paragraphs (c) and (d) of this section. 

(B) The manufacturer must define 

monitoring conditions for malfunctions 

identified in paragraph (h)(7)(ii)(B) of 

this section in accordance with 

paragraphs (c) and (d) of this section. 

For purposes of tracking and reporting 

as required by paragraph (d)(1) of this 

section, all monitors used to detect 

malfunctions identified in paragraph 

(h)(7)(ii)(B) of this section must be 

tracked separately but reported as a 

single set of values as specified in 

paragraph (e)(1)(iii) of this section. 

(C) The manufacturer may disable or 

abort an evaporative system monitor 

when the fuel tank level is over 85 

percent of nominal tank capacity or 

during a refueling event. 

(D) The manufacturer may request 

Administrator approval to run the 

evaporative system monitor during only 

those drive cycles characterized as cold 

starts provided such a condition is 

needed to ensure reliable monitoring. In 

making the request, the manufacturer 

must demonstrate through data and/or 

engineering analyses that a reliable 

monitor can only be run on drive cycles 

that begin with a specific set of cold 

start criteria. A set of cold start criteria 

based solely on ambient temperature 

exceeding engine coolant temperature 

will not be acceptable. 

(E) The OBD system may disable 

temporarily the evaporative purge 

system to run an evaporative system 

leak monitor. 

(iv) Evaporative system MIL activation 

and DTC storage. 

(A) Except as provided for in 

paragraph (h)(7)(iv)(B) of this section, 

the MIL must activate and DTCs must be 

stored according to the provisions of 

paragraph (b) of this section. 

(B) If the OBD system is capable of 

discerning that a system leak is being 

caused by a missing or improperly 

secured gas cap, the OBD system need 

not activate the MIL or store a DTC 

provided the vehicle is equipped with 

an alternative indicator for notifying the 

operator of the gas cap problem. The 

alternative indicator must be of 

sufficient illumination and location to 

be readily visible under all lighting 

conditions. If the vehicle is not 

equipped with such an alternative 

indicator, the MIL must activate and a 

DTC be stored as required in paragraph 

(h)(7)(iv)(A) of this section; however, 

these may be deactivated and erased, 

respectively, if the OBD system 

determines that the gas cap problem has 

been corrected and the MIL has not been 

activated for any other malfunction. The 

Administrator may approve other 

strategies that provide equivalent 

assurance that a vehicle operator will be 

notified promptly of a missing or 

improperly secured gas cap and that 

corrective action will be undertaken. 

(8) Exhaust gas sensor monitoring. 

(i) General. 

(A) The OBD system must monitor for 

malfunctions the output signal, 

response rate, and any other parameter 

that can affect emissions of all primary 

(i.e., fuel control) exhaust gas sensors 

(e.g., oxygen, wide-range air/fuel). Both 

the lean-to-rich and rich-to-lean 

response rates must be monitored. 

(B) The OBD system must also 

monitor all secondary exhaust gas 

sensors (those used for secondary fuel 

trim control or as a monitoring device) 

for proper output signal, activity, and 

response rate. 

(C) For engines equipped with heated 

exhaust gas sensor, the OBD system 

must monitor the heater for proper 

performance. 

(ii) Primary exhaust gas sensor 

malfunction criteria. 

(A) The OBD system must detect a 

malfunction prior to any failure or 

deterioration of the exhaust gas sensor 

output voltage, resistance, impedance, 

current, response rate, amplitude, offset, 

or other characteristic(s) (including drift 

or bias corrected for by secondary 

sensors) that would cause an engine’s 

emissions to exceed the emissions 

thresholds for ‘‘other monitors’’ as 

shown in Table 2 of this paragraph (h). 

(B) The OBD system must detect 

malfunctions of the exhaust gas sensor 

caused by either a lack of circuit 

continuity or out-of-range values. 

(C) The OBD system must detect a 

malfunction of the exhaust gas sensor 

when a sensor failure or deterioration 

causes the fuel system to stop using that 

sensor as a feedback input (e.g., causes 

default or open-loop operation). 

(D) The OBD system must detect a 

malfunction of the exhaust gas sensor 

when the sensor output voltage, 

resistance, impedance, current, 

amplitude, activity, or other 

characteristics are no longer sufficient 

for use as an OBD system monitoring 

device (e.g., for catalyst monitoring). 

(iii) Secondary exhaust gas sensor 

malfunction criteria. 

(A) The OBD system must detect a 

malfunction prior to any failure or 

deterioration of the exhaust gas sensor 

voltage, resistance, impedance, current, 

response rate, amplitude, offset, or other 

characteristic(s) that would cause an 

engine’s emissions to exceed the 

emissions thresholds for ‘‘other 

monitors’’ as shown in Table 2 of this 

paragraph (h). 

(B) The OBD system must detect 

malfunctions of the exhaust gas sensor 

caused by a lack of circuit continuity. 

(C) To the extent feasible, the OBD 

system must detect a malfunction of the 

exhaust gas sensor when the sensor 

output voltage, resistance, impedance, 

current, amplitude, activity, offset, or 

other characteristics are no longer 

sufficient for use as an OBD system 

monitoring device (e.g., for catalyst 

monitoring). 

(D) The OBD system must detect 

malfunctions of the exhaust gas sensor 

caused by out-of-range values. 

(E) The OBD system must detect a 

malfunction of the exhaust gas sensor 

when a sensor failure or deterioration 

causes the fuel system (e.g., fuel control) 

to stop using that sensor as a feedback 

input (e.g., causes default or open-loop 

operation). 

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(iv) Exhaust gas sensor heater 

malfunction criteria. 

(A) The OBD system must detect a 

malfunction of the heater performance 

when the current or voltage drop in the 

heater circuit is no longer within the 

manufacturer’s specified limits for 

normal operation (i.e., within the 

criteria required to be met by the 

component vendor for heater circuit 

performance at high mileage). Other 

malfunction criteria for heater 

performance malfunctions may be used 

upon demonstrating via data or 

engineering analyses that the 

monitoring reliability and timeliness is 

equivalent to the stated criteria in this 

paragraph (h)(8)(iv)(A). 

(B) The OBD system must detect 

malfunctions of the heater circuit 

including open or short circuits that 

conflict with the commanded state of 

the heater (e.g., shorted to 12 Volts 

when commanded to 0 Volts (ground)). 

(v) Primary exhaust gas sensor 

monitoring conditions. 

(A) The manufacturer must define 

monitoring conditions for malfunctions 

identified in paragraphs (h)(8)(ii)(A) and 

(h)(8)(ii)(D) of this section in accordance 

with paragraphs (c) and (d) of this 

section. For purposes of tracking and 

reporting as required by paragraph (d)(1) 

of this section, all monitors used to 

detect malfunctions identified in 

paragraphs (h)(8)(ii)(A) and (h)(8)(ii)(D) 

of this section must be tracked 

separately but reported as a single set of 

values as specified in paragraph 

(e)(1)(iii) of this section. 

(B) Except as provided for in 

paragraph (h)(8)(v)(C) of this section, 

monitoring for malfunctions identified 

in paragraphs (h)(8)(ii)(B) and 

(h)(8)(ii)(C) of this section must be 

conducted continuously. 

(C) The manufacturer may disable 

continuous primary exhaust gas sensor 

monitoring when a primary exhaust gas 

sensor malfunction cannot be 

distinguished from other effects (e.g., 

disable out-of-range low monitoring 

during fuel cut conditions). To do so, 

the manufacturer must demonstrate via 

data or engineering analyses that a 

properly functioning sensor cannot be 

distinguished from a malfunctioning 

sensor and that the disablement interval 

is limited only to that necessary for 

avoiding false detection. 

(vi) Secondary exhaust gas sensor 

monitoring conditions. 

(A) The manufacturer must define 

monitoring conditions for malfunctions 

identified in paragraphs (h)(8)(iii)(A) 

through (h)(8)(iii)(C) of this section in 

accordance with paragraphs (c) and (d) 

of this section. 

(B) Except as provided for in 

paragraph (h)(8)(vi)(C) of this section, 

monitoring for malfunctions identified 

in paragraphs (h)(8)(iii)(D) and 

(h)(8)(iii)(E) of this section must be 

conducted continuously. 

(C) The manufacturer may disable 

continuous secondary exhaust gas 

sensor monitoring when a secondary 

exhaust gas sensor malfunction cannot 

be distinguished from other effects (e.g., 

disable out-of-range low monitoring 

during fuel cut conditions). To do so, 

the manufacturer must demonstrate via 

data or engineering analyses that a 

properly functioning sensor cannot be 

distinguished from a malfunctioning 

sensor and that the disablement interval 

is limited only to that necessary for 

avoiding false detection. 

(vii) Exhaust gas sensor heater 

monitoring conditions. 

(A) The manufacturer must define 

monitoring conditions for malfunctions 

identified in paragraph (h)(8)(iv)(A) of 

this section in accordance with 

paragraphs (c) and (d) of this section. 

(B) Monitoring for malfunctions 

identified in paragraph (h)(8)(iv)(B) of 

this section must be conducted 

continuously. 

(viii) Exhaust gas sensor MIL 

activation and DTC storage. The MIL 

must activate and DTCs must be stored 

according to the provisions of paragraph 

(b) of this section. 

(9) Variable valve timing (VVT) 

system monitoring. 

(i) General. The OBD system must 

monitor the VVT system on engines so 

equipped for target error and slow 

response malfunctions. The individual 

electronic components (e.g., actuators, 

valves, sensors) that are used in the VVT 

system must be monitored in 

accordance with the comprehensive 

components requirements in paragraph 

(i)(3). 

(ii) VVT system malfunction criteria. 

(A) VVT system target error. The OBD 

system must detect a malfunction prior 

to any failure or deterioration in the 

capability of the VVT system to achieve 

the commanded valve timing and/or 

control within a crank angle and/or lift 

tolerance that would cause an engine’s 

emissions to exceed the emission 

thresholds for ‘‘other monitors’’ as 

shown in Table 2 of this paragraph (h). 

(B) VVT slow response. The OBD 

system must detect a malfunction prior 

to any failure or deterioration in the 

capability of the VVT system to achieve 

the commanded valve timing and/or 

control within a manufacturer-specified 

time that would cause an engine’s 

emissions to exceed the emission 

thresholds for ‘‘other monitors’’ as 

shown in Table 2 of this paragraph (h). 

(C) For engines in which no failure or 

deterioration of the VVT system could 

result in an engine’s emissions 

exceeding the applicable emissions 

thresholds of paragraphs (h)(9)(ii)(A) 

and (h)(9)(ii)(B) of this section, the OBD 

system must detect a malfunction of the 

VVT system when proper functional 

response of the system to computer 

commands does not occur. 

(iii) VVT system monitoring 

conditions. Manufacturers must define 

the monitoring conditions for VVT 

system malfunctions identified in 

paragraph (h)(9)(ii) in accordance with 

paragraphs (c) and (d) of this section, 

with the exception that monitoring must 

occur every time the monitoring 

conditions are met during the drive 

cycle rather than once per drive cycle as 

required in paragraph (c)(2) of this 

section. For purposes of tracking and 

reporting as required in paragraph (d)(1) 

of this section, all monitors used to 

detect malfunctions identified in 

paragraph (h)(9)(ii) must be tracked 

separately but reported as a single set of 

values as specified in paragraph 

(e)(1)(iii) of this section. 

(iv) VVT MIL activation and DTC 

storage. The MIL must activate and 

DTCs must be stored according to the 

provisions of paragraph (b) of this 

section. 

(i) OBD monitoring requirements for 

all engines. 

(1) Engine cooling system monitoring. 

(i) General. 

(A) The OBD system must monitor the 

thermostat on engines so equipped for 

proper operation. 

(B) The OBD system must monitor the 

engine coolant temperature (ECT) sensor 

for electrical circuit continuity, out-ofrange values, and rationality 

malfunctions. 

(C) For engines that use a system 

other than the cooling system and ECT 

sensor (e.g., oil temperature, cylinder 

head temperature) to determine engine 

operating temperature for emission 

control purposes (e.g., to modify spark 

or fuel injection timing or quantity), the 

manufacturer may forego cooling system 

monitoring and instead monitor the 

components or systems used in their 

approach. To do so, the manufacturer 

must to submit data and/or engineering 

analyses that demonstrate that their 

monitoring plan is as reliable and 

effective as the monitoring required in 

this paragraph (i)(1). 

(ii) Malfunction criteria for the 

thermostat. 

(A) The OBD system must detect a 

thermostat malfunction if, within the 

manufacturer specified time interval 

following engine start, any of the 

following conditions occur: The coolant 

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temperature does not reach the highest 

temperature required by the OBD 

system to enable other diagnostics; and, 

the coolant temperature does not reach 

a warmed-up temperature within 20 

degrees Fahrenheit of the 

manufacturer’s nominal thermostat 

regulating temperature. For the second 

of these two conditions, the 

manufacturer may use a lower 

temperature for this criterion if either 

the manufacturer can demonstrate that 

the fuel, spark timing, and/or other 

coolant temperature-based modification 

to the engine control strategies would 

not cause an emissions increase greater 

than or equal to 50 percent of any of the 

applicable emissions standards; or, 

ambient air temperature is between 20 

degrees Fahrenheit and 50 degrees 

Fahrenheit in which case, upon 

Administrator approval, the minimum 

coolant temperature required to be 

reached may be decreased based on the 

ambient air temperature. 

(B) With Administrator approval, the 

manufacturer may use alternative 

malfunction criteria to those of 

paragraph (i)(1)(ii)(A) of this section 

and/or alternative monitoring 

conditions to those of paragraph 

(i)(1)(iv) of this section that are a 

function of temperature at engine start 

on engines that do not reach the 

temperatures specified in the 

malfunction criteria when the 

thermostat is functioning properly. To 

do so, the manufacturer is required to 

submit data and/or engineering analyses 

that demonstrate that a properly 

operating system does not reach the 

specified temperatures and that the 

possibility is minimized for cooling 

system malfunctions to go undetected 

thus disabling other OBD monitors. 

(C) The manufacturer may request 

Administrator approval to forego 

monitoring of the thermostat if the 

manufacturer can demonstrate that a 

malfunctioning thermostat cannot cause 

a measurable increase in emissions 

during any reasonable driving condition 

nor cause any disablement of other OBD 

monitors. 

(iii) Malfunction criteria for the ECT 

sensor. 

(A) Circuit integrity. The OBD system 

must detect malfunctions of the ECT 

sensor related to a lack of circuit 

continuity or out-of-range values. 

(B) Time to reach closed-loop/ 

feedback enable temperature. The OBD 

system must detect if, within the 

manufacturer specified time interval 

following engine start, the ECT sensor 

does not achieve the highest stabilized 

minimum temperature that is needed to 

initiate closed-loop/feedback control of 

all affected emission control systems 

(e.g., fuel system, EGR system). The 

manufacturer specified time interval 

must be a function of the engine coolant 

temperature and/or intake air 

temperature at startup. The 

manufacturer time interval must be 

supported by data and/or engineering 

analyses demonstrating that it provides 

robust monitoring and minimizes the 

likelihood of other OBD monitors being 

disabled. The manufacturer may forego 

the requirements of this paragraph 

(i)(1)(iii)(B) provided the manufacturer 

does not use engine coolant temperature 

or the ECT sensor to enable closed-loop/ 

feedback control of any emission control 

systems. 

(C) Stuck in range below the highest 

minimum enable temperature. To the 

extent feasible when using all available 

information, the OBD system must 

detect a malfunction if the ECT sensor 

inappropriately indicates a temperature 

below the highest minimum enable 

temperature required by the OBD 

system to enable other monitors (e.g., an 

OBD system that requires ECT to be 

greater than 140 degrees Fahrenheit to 

enable a diagnostic must detect 

malfunctions that cause the ECT sensor 

to inappropriately indicate a 

temperature below 140 degrees 

Fahrenheit). The manufacturer may 

forego this requirement for temperature 

regions in which the monitors required 

under paragraphs (i)(1)(ii) or (i)(1)(iii)(B) 

of this section will detect ECT sensor 

malfunctions as defined in this 

paragraph (i)(1)(iii)(C). 

(D) Stuck in range above the lowest 

maximum enable temperature. The 

OBD system must detect a malfunction 

if the ECT sensor inappropriately 

indicates a temperature above the 

lowest maximum enable temperature 

required by the OBD system to enable 

other monitors (e.g., an OBD system that 

requires an engine coolant temperature 

less than 90 degrees Fahrenheit at 

startup prior to enabling an OBD 

monitor must detect malfunctions that 

cause the ECT sensor to indicate 

inappropriately a temperature above 90 

degrees Fahrenheit). The manufacturer 

may forego this requirement within 

temperature regions in which the 

monitors required under paragraphs 

(i)(1)(ii), (i)(1)(iii)(B), (i)(1)(iii)(C) of this 

section will detect ECT sensor 

malfunctions as defined in this 

paragraph (i)(1)(iii)(D) or in which the 

MIL will be activated according to the 

provisions of paragraph (b)(2)(v) of this 

section. The manufacturer may also 

forego this monitoring within 

temperature regions where a 

temperature gauge on the instrument 

panel indicates a temperature in the 

‘‘red zone’’ (engine overheating zone) 

and displays the same temperature 

information as used by the OBD system. 

(iv) Monitoring conditions for the 

thermostat. 

(A) The manufacturer must define the 

monitoring conditions for malfunctions 

identified in paragraph (i)(1)(ii)(A) of 

this section in accordance with 

paragraph (c) of this section. 

Additionally, except as provided for in 

paragraphs (i)(1)(iv)(B) and (i)(1)(iv)(C) 

of this section, monitoring for 

malfunctions identified in paragraph 

(i)(1)(ii)(A) of this section must be 

conducted once per drive cycle on every 

drive cycle in which the ECT sensor 

indicates, at engine start, a temperature 

lower than the temperature established 

as the malfunction criteria in paragraph 

(i)(1)(ii)(A) of this section. 

(B) The manufacturer may disable 

thermostat monitoring at ambient 

engine start temperatures below 20 

degrees Fahrenheit. 

(C) The manufacturers may request 

Administrator approval to suspend or 

disable thermostat monitoring if the 

engine is subjected to conditions that 

could lead to false diagnosis. To do so, 

the manufacturer must submit data and/ 

or engineering analyses that 

demonstrate that the suspension or 

disablement is necessary. In general, the 

manufacturer will not be allowed to 

suspend or disable the thermostat 

monitor on engine starts where the 

engine coolant temperature at engine 

start is more than 35 degrees Fahrenheit 

lower than the thermostat malfunction 

threshold temperature determined 

under paragraph (i)(1)(ii)(A) of this 

section. 

(v) Monitoring conditions for the ECT 

sensor. 

(A) Except as provided for in 

paragraph (i)(1)(v)(D) of this section, the 

OBD system must monitor continuously 

for malfunctions identified in paragraph 

monitoring for malfunctions identified 

in paragraph (i)(1)(iii)(A) of this section 

(i.e., circuit integrity and out-of-range). 

(B) The manufacturer must define the 

monitoring conditions for malfunctions 

identified in paragraph (i)(1)(iii)(B) of 

this section in accordance with 

paragraph (c) of this section. 

Additionally, except as provided for in 

paragraph (i)(1)(v)(D) of this section, 

monitoring for malfunctions identified 

in paragraph (i)(1)(iii)(B) of this section 

must be conducted once per drive cycle 

on every drive cycle in which the ECT 

sensor indicates a temperature lower 

than the closed-loop enable temperature 

at engine start (i.e., all engine start 

temperatures greater than the ECT 

sensor out-of-range low temperature and 

less than the closed-loop enable 

temperature). 

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(C) The manufacturer must define the 

monitoring conditions for malfunctions 

identified in paragraphs (i)(1)(iii)(C) and 

(i)(1)(iii)(D) of this section in accordance 

with paragraphs (c) and (d) of this 

section. 

(D) The manufacturer may suspend or 

delay the monitor for the time to reach 

closed-loop enable temperature if the 

engine is subjected to conditions that 

could lead to false diagnosis (e.g., 

vehicle operation at idle for more than 

50 to 75 percent of the warm-up time). 

(E) The manufacturer may request 

Administrator approval to disable 

continuous ECT sensor monitoring 

when an ECT sensor malfunction cannot 

be distinguished from other effects. To 

do so, the manufacturer must submit 

data and/or engineering analyses that 

demonstrate a properly functioning 

sensor cannot be distinguished from a 

malfunctioning sensor and that the 

disablement interval is limited only to 

that necessary for avoiding false 

detection. 

(vi) Engine cooling system MIL 

activation and DTC storage. The MIL 

must activate and DTCs must be stored 

according to the provisions of paragraph 

(b) of this section. 

(2) Crankcase ventilation (CV) system 

monitoring. 

(i) General. The OBD system must 

monitor the CV system on engines so 

equipped for system integrity. Engines 

not required to be equipped with CV 

systems are exempt from monitoring the 

CV system. For diesel engines, the 

manufacturer must submit a plan for 

Administrator approval prior to OBD 

certification. That plan must include 

descriptions of the monitoring strategy, 

malfunction criteria, and monitoring 

conditions for CV system monitoring. 

The plan must demonstrate that the CV 

system monitor is of equivalent 

effectiveness, to the extent feasible, to 

the malfunction criteria and the 

monitoring conditions of this paragraph 

(i)(2). 

(ii) Crankcase ventilation system 

malfunction criteria. 

(A) For the purposes of this paragraph 

(i)(2), ‘‘CV system’’ is defined as any 

form of crankcase ventilation system, 

regardless of whether it utilizes positive 

pressure. ‘‘CV valve’’ is defined as any 

form of valve or orifice used to restrict 

or control crankcase vapor flow. 

Further, any additional external CV 

system tubing or hoses used to equalize 

crankcase pressure or to provide a 

ventilation path between various areas 

of the engine (e.g., crankcase and valve 

cover) are considered part of the CV 

system ‘‘between the crankcase and the 

CV valve’’ and subject to the 

malfunction criteria in paragraph 

(i)(2)(ii)(B) of this section. 

(B) Except as provided for in 

paragraphs (i)(2)(ii)(C) through 

(i)(2)(ii)(E) of this section, the OBD 

system must detect a malfunction of the 

CV system when a disconnection of the 

system occurs between either the 

crankcase and the CV valve, or between 

the CV valve and the intake manifold. 

(C) The manufacturer may forego 

monitoring for a disconnection between 

the crankcase and the CV valve 

provided the CV system is designed 

such that the CV valve is fastened 

directly to the crankcase such that it is 

significantly more difficult to remove 

the CV valve from the crankcase than to 

disconnect the line between the CV 

valve and the intake manifold (taking 

aging effects into consideration). To do 

so, the manufacturer must be able to 

provide data and/or an engineering 

evaluation demonstrating that the CV 

system is so designed. 

(D) The manufacturer may forego 

monitoring for a disconnection between 

the crankcase and the CV valve 

provided the CV system is designed 

such that it uses tubing connections 

between the CV valve and the crankcase 

that are: resistant to deterioration or 

accidental disconnection; significantly 

more difficult to disconnect than is the 

line between the CV valve and the 

intake manifold; and, not subject to 

disconnection per the manufacturer’s 

repair procedures for any non-CV 

system repair. To do so, the 

manufacturer must be able to provide 

data and/or engineering evaluation 

demonstrating that the CV system is so 

designed. 

(E) The manufacturer may forego 

monitoring for a disconnection between 

the CV valve and the intake manifold 

provided the CV system is designed 

such that any disconnection either 

causes the engine to stall immediately 

during idle operation, or is unlikely to 

occur due to a CV system design that is 

integral to the induction system (e.g., 

machined passages rather than tubing or 

hoses). To do so, the manufacturer must 

be able to provide data and/or an 

engineering evaluation demonstrating 

that the CV system is so designed. 

(iii) Crankcase ventilation system 

monitoring conditions. The 

manufacturer must define the 

monitoring conditions for malfunctions 

identified in paragraph (i)(2) of this 

section in accordance with paragraphs 

(c) and (d) of this section. 

(iv) Crankcase ventilation system MIL 

activation and DTC storage. The MIL 

must activate and DTCs must be stored 

according to the provisions of paragraph 

(b) of this section. The stored DTC need 

not identify specifically the CV system 

(e.g., a DTC for idle speed control or fuel 

system monitoring can be stored) if the 

manufacturer can demonstrate that 

additional monitoring hardware is 

necessary to make such an identification 

and provided the manufacturer’s 

diagnostic and repair procedures for the 

detected malfunction include directions 

to check the integrity of the CV system. 

(3) Comprehensive component 

monitoring. 

(i) General. Except as provided for in 

paragraph (i)(4) of this section, the OBD 

system must detect a malfunction of any 

electronic engine component or system 

not otherwise described in paragraphs 

(g), (h), (i)(1), and (i)(2) of this section 

that either provides input to (directly or 

indirectly, such components may 

include the crank angle sensor, knock 

sensor, throttle position sensor, cam 

position sensor, intake air temperature 

sensor, boost pressure sensor, manifold 

pressure sensor, mass air flow sensor, 

exhaust temperature sensor, exhaust 

pressure sensor, fuel pressure sensor, 

fuel composition sensor of a flexible 

fuel vehicle, etc.) or receives commands 

from (such components or systems may 

include the idle speed control system, 

glow plug system, variable length intake 

manifold runner systems, supercharger 

or turbocharger electronic components, 

heated fuel preparation systems, the 

wait-to-start lamp on diesel 

applications, the MIL, etc.) the onboard 

computer(s) and meets either of the 

criteria described in paragraphs 

(i)(3)(i)(A) and/or (i)(3)(i)(B) of this 

section. Note that, for the purposes of 

this paragraph (i)(3), ‘‘electronic engine 

component or system’’ does not include 

components that are driven by the 

engine and are not related to the control 

of the fueling, air handling, or emissions 

of the engine (e.g., PTO components, air 

conditioning system components, and 

power steering components). 

(A) It can cause emissions to exceed 

applicable emission standards. To 

preclude monitoring, the manufacturer 

must be able to provide emission data 

showing that the component or system, 

when malfunctioning and installed on a 

suitable test engine, does not cause 

emissions to exceed the emission 

standards. 

(B) It is used as part of the monitoring 

strategy for any other monitored system 

or component. 

(ii) Comprehensive component 

malfunction criteria for input 

components. 

(A) The OBD system must detect 

malfunctions of input components 

caused by a lack of circuit continuity 

and out-of-range values. In addition, 

where feasible, rationality checks must 

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also be done and shall verify that a 

sensor output is neither inappropriately 

high nor inappropriately low (i.e., ‘‘twosided’’ monitoring). 

(B) To the extent feasible, the OBD 

system must separately detect and store 

different DTCs that distinguish 

rationality malfunctions from lack of 

circuit continuity and out-of-range 

malfunctions. For lack of circuit 

continuity and out-of-range 

malfunctions, the OBD system must, to 

the extent feasible, separately detect and 

store different DTCs for each distinct 

malfunction (e.g., out-of-range low, outof-range high, open circuit). The OBD 

system is not required to store separate 

DTCs for lack of circuit continuity 

malfunctions that cannot be 

distinguished from other out-of-range 

circuit malfunctions. 

(C) For input components that are 

used to activate alternative strategies 

that can affect emissions (e.g., AECDs, 

engine shutdown systems), the OBD 

system must conduct rationality checks 

to detect malfunctions that cause the 

system to activate erroneously or 

deactivate the alternative strategy. To 

the extent feasible when using all 

available information, the rationality 

check must detect a malfunction if the 

input component inappropriately 

indicates a value that activates or 

deactivates the alternative strategy. For 

example, for an alternative strategy that 

activates when the intake air 

temperature is greater than 120 degrees 

Fahrenheit, the OBD system must detect 

malfunctions that cause the intake air 

temperature sensor to indicate 

inappropriately a temperature above 120 

degrees Fahrenheit. 

(D) For engines that require precise 

alignment between the camshaft and the 

crankshaft, the OBD system must 

monitor the crankshaft position 

sensor(s) and camshaft position 

sensor(s) to verify proper alignment 

between the camshaft and crankshaft in 

addition to monitoring the sensors for 

circuit continuity and proper 

rationality. Proper alignment monitoring 

between a camshaft and a crankshaft is 

required only in cases where both are 

equipped with position sensors. For 

engines equipped with VVT systems 

and a timing belt or chain, the OBD 

system must detect a malfunction if the 

alignment between the camshaft and 

crankshaft is off by one or more cam/ 

crank sprocket cogs (e.g., the timing 

belt/chain has slipped by one or more 

teeth/cogs). If a manufacturer 

demonstrates that a single tooth/cog 

misalignment cannot cause a 

measurable increase in emissions during 

any reasonable driving condition, the 

OBD system must detect a malfunction 

when the minimum number of teeth/ 

cogs misalignment has occurred that 

does cause a measurable emission 

increase. 

(iii) Comprehensive component 

malfunction criteria for output 

components/systems. 

(A) The OBD system must detect a 

malfunction of an output component/ 

system when proper functional response 

does not occur in response to computer 

commands. If such a functional check is 

not feasible, the OBD system must 

detect malfunctions of output 

components/systems caused by a lack of 

circuit continuity or circuit malfunction 

(e.g., short to ground or high voltage). 

For output component lack of circuit 

continuity malfunctions and circuit 

malfunctions, the OBD system is not 

required to store different DTCs for each 

distinct malfunction (e.g., open circuit, 

shorted low). Manufacturers are not 

required to activate an output 

component/system when it would not 

normally be active for the sole purpose 

of performing a functional check of it as 

required in this paragraph (i)(3). 

(B) For gasoline engines, the idle 

control system must be monitored for 

proper functional response to computer 

commands. For gasoline engines using 

monitoring strategies based on deviation 

from target idle speed, a malfunction 

must be detected when either of the 

following conditions occurs: The idle 

speed control system cannot achieve the 

target idle speed within 200 revolutions 

per minute (rpm) above the target speed 

or 100 rpm below the target speed; or, 

the idle speed control system cannot 

achieve the target idle speed within the 

smallest engine speed tolerance range 

required by the OBD system to enable 

any other monitors. Regarding the 

former of these conditions, the 

manufacturer may use larger engine 

speed tolerances. To do so, the 

manufacturer must be able to provide 

data and/or engineering analyses that 

demonstrate that the tolerances can be 

exceeded without a malfunction being 

present. 

(C) For diesel engines, the idle control 

system must be monitored for proper 

functional response to computer 

commands. For diesel engines, a 

malfunction must be detected when 

either of the following conditions 

occurs: the idle fuel control system 

cannot achieve the target idle speed or 

fuel injection quantity within +/¥50 

percent of the manufacturer-specified 

fuel quantity and engine speed 

tolerances; or, the idle fuel control 

system cannot achieve the target idle 

speed or fueling quantity within the 

smallest engine speed or fueling 

quantity tolerance range required by the 

OBD system to enable any other 

monitors. 

(D) For model years 2010 through 

2012, glow plugs must be monitored for 

circuit continuity malfunctions. For 

model years 2010 and later, intake air 

heater systems and, for model years 

2013 and later, glow plugs must be 

monitored for proper functional 

response to computer commands and 

for circuit continuity malfunctions. The 

glow plug/intake air heater circuit(s) 

must be monitored for proper current 

and voltage drop. The manufacturer 

may use other monitoring strategies but 

must be able to provide data and/or 

engineering analyses that demonstrate 

reliable and timely detection of 

malfunctions. The OBD system must 

also detect a malfunction when a single 

glow plug no longer operates within the 

manufacturer’s specified limits for 

normal operation. If a manufacturer can 

demonstrate that a single glow plug 

malfunction cannot cause a measurable 

increase in emissions during any 

reasonable driving condition, the OBD 

system must instead detect a 

malfunction when the number of glow 

plugs needed to cause an emission 

increase is malfunctioning. To the 

extent feasible, the stored DTC must 

identify the specific malfunctioning 

glow plug(s). 

(E) The wait-to-start lamp circuit and 

the MIL circuit must be monitored for 

malfunctions that cause either lamp to 

fail to activate when commanded to do 

so (e.g., burned out bulb). This 

monitoring of the wait-to-start lamp 

circuit and the MIL circuit is not 

required for wait-to-start lamps and 

MILs using light-emitting diodes (LEDs). 

(iv) Monitoring conditions for input 

components. 

(A) The OBD system must monitor 

input components continuously for outof-range values and circuit continuity. 

The manufacturer may disable 

continuous monitoring for circuit 

continuity and out-of-range values when 

a malfunction cannot be distinguished 

from other effects. To do so, the 

manufacturer must be able to provide 

data and/or engineering analyses that 

demonstrate that a properly functioning 

input component cannot be 

distinguished from a malfunctioning 

input component and that the 

disablement interval is limited only to 

that necessary for avoiding false 

malfunction detection. 

(B) For input component rationality 

checks (where applicable), the 

manufacturer must define the 

monitoring conditions for detecting 

malfunctions in accordance with 

paragraphs (c) and (d) of this section, 

with the exception that rationality 

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checks must occur every time the 

monitoring conditions are met during 

the drive cycle rather than once per 

drive cycle as required in paragraph 

(c)(2) of this section. 

(v) Monitoring conditions for output 

components/systems. 

(A) The OBD system must monitor 

output components/systems 

continuously for circuit continuity and 

circuit malfunctions. The manufacturer 

may disable continuous monitoring for 

circuit continuity and circuit 

malfunctions when a malfunction 

cannot be distinguished from other 

effects. To do so, the manufacturer must 

be able to provide data and/or 

engineering analyses that demonstrate 

that a properly functioning output 

component/system cannot be 

distinguished from a malfunctioning 

one and that the disablement interval is 

limited only to that necessary for 

avoiding false malfunction detection. 

(B) For output component/system 

functional checks, the manufacturer 

must define the monitoring conditions 

for detecting malfunctions in 

accordance with paragraphs (c) and (d) 

of this section. Specifically for the idle 

control system, the manufacturer must 

define the monitoring conditions for 

detecting malfunctions in accordance 

with paragraphs (c) and (d) of this 

section, with the exception that 

functional checks must occur every time 

the monitoring conditions are met 

during the drive cycle rather than once 

per drive cycle as required in paragraph 

(c)(2) of this section. 

(vi) Comprehensive component MIL 

activation and DTC storage. 

(A) Except as provided for in 

paragraphs (i)(3)(vi)(B) and (i)(3)(vi)(C) 

of this section, the MIL must activate 

and DTCs must be stored according to 

the provisions of paragraph (b) of this 

section. 

(B) The MIL need not be activated in 

conjunction with storing a MIL-on DTC 

for any comprehensive component if: 

the component or system, when 

malfunctioning, could not cause engine 

emissions to increase by 15 percent or 

more of the applicable FTP standard 

during any reasonable driving 

condition; or, the component or system 

is not used as part of the monitoring 

strategy for any other system or 

component that is required to be 

monitored. 

(C) The MIL need not be activated if 

a malfunction has been detected in the 

MIL circuit that prevents the MIL from 

activating (e.g., burned out bulb or lightemitting diode, LED). Nonetheless, the 

electronic MIL status (see paragraph 

(k)(4)(ii) of this section) must be 

reported as MIL commanded-on and a 

MIL-on DTC must be stored. 

(4) Other emission control system 

monitoring. 

(i) General. For other emission control 

systems that are either not addressed in 

paragraphs (g) through (i)(3) of this 

section (e.g., hydrocarbon traps, 

homogeneous charge compression 

ignition control systems), or addressed 

in paragraph (i)(3) of this section but not 

corrected or compensated for by an 

adaptive control system (e.g., swirl 

control valves), the manufacturer must 

submit a plan for Administrator 

approval of the monitoring strategy, 

malfunction criteria, and monitoring 

conditions prior to introduction on a 

production engine. The plan must 

demonstrate the effectiveness of the 

monitoring strategy, the malfunction 

criteria used, the monitoring conditions 

required by the monitor, and, if 

applicable, the determination that the 

requirements of paragraph (i)(4)(ii) of 

this section are satisfied. 

(ii) For engines that use emission 

control systems that alter intake air flow 

or cylinder charge characteristics by 

actuating valve(s), flap(s), etc., in the 

intake air delivery system (e.g., swirl 

control valve systems), the 

manufacturer, in addition to meeting the 

requirements of paragraph (i)(4)(i) of 

this section, may elect to have the OBD 

system monitor the shaft to which all 

valves in one intake bank are physically 

attached rather than performing a 

functional check of the intake air flow, 

cylinder charge, or individual valve(s)/ 

flap(s). For non-metal shafts or 

segmented shafts, the monitor must 

verify all shaft segments for proper 

functional response (e.g., by verifying 

that the segment or portion of the shaft 

farthest from the actuator functions 

properly). For systems that have more 

than one shaft to operate valves in 

multiple intake banks, the manufacturer 

is not required to add more than one set 

of detection hardware (e.g., sensor, 

switch) per intake bank to meet this 

requirement. 

(5) Exceptions to OBD monitoring 

requirements. 

(i) The Administrator may revise the 

PM filtering performance malfunction 

criteria for DPFs to exclude detection of 

specific failure modes such as partially 

melted substrates, if the most reliable 

monitoring method developed requires 

it. 

(ii) The manufacturer may disable an 

OBD system monitor at ambient engine 

start temperatures below 20 degrees 

Fahrenheit (low ambient temperature 

conditions may be determined based on 

intake air or engine coolant temperature 

at engine start) or at elevations higher 

than 8,000 feet above sea level. To do 

so, the manufacturer must submit data 

and/or engineering analyses that 

demonstrate that monitoring is 

unreliable during the disable 

conditions. A manufacturer may request 

that an OBD system monitor be disabled 

at other ambient engine start 

temperatures by submitting data and/or 

engineering analyses demonstrating that 

misdiagnosis would occur at the given 

ambient temperatures due to their effect 

on the component itself (e.g., 

component freezing). 

(iii) The manufacturer may disable an 

OBD system monitor when the fuel level 

is 15 percent or less of the nominal fuel 

tank capacity for those monitors that 

can be affected by low fuel level or 

running out of fuel (e.g., misfire 

detection). To do so, the manufacturer 

must submit data and/or engineering 

analyses that demonstrate that 

monitoring at the given fuel levels is 

unreliable, and that the OBD system is 

still able to detect a malfunction if the 

component(s) used to determine fuel 

level indicates erroneously a fuel level 

that causes the disablement. 

(iv) The manufacturer may disable 

OBD monitors that can be affected by 

engine battery or system voltage levels. 

(A) For an OBD monitor affected by 

low vehicle battery or system voltages, 

manufacturers may disable monitoring 

when the battery or system voltage is 

below 11.0 Volts. The manufacturer may 

use a voltage threshold higher than 11.0 

Volts to disable monitors but must 

submit data and/or engineering analyses 

that demonstrate that monitoring at 

those voltages is unreliable and that 

either operation of a vehicle below the 

disablement criteria for extended 

periods of time is unlikely or the OBD 

system monitors the battery or system 

voltage and will detect a malfunction at 

the voltage used to disable other 

monitors. 

(B) For an OBD monitor affected by 

high engine battery or system voltages, 

the manufacturer may disable 

monitoring when the battery or system 

voltage exceeds a manufacturer-defined 

voltage. To do so, the manufacturer 

must submit data and/or engineering 

analyses that demonstrate that 

monitoring above the manufacturerdefined voltage is unreliable and that 

either the electrical charging system/ 

alternator warning light will be 

activated (or voltage gauge would be in 

the ‘‘red zone’’) or the OBD system 

monitors the battery or system voltage 

and will detect a malfunction at the 

voltage used to disable other monitors. 

(v) The manufacturer may also disable 

affected OBD monitors in systems 

designed to accommodate the 

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installation of power take off (PTO) 

units provided monitors are disabled 

only while the PTO unit is active and 

the OBD readiness status (see paragraph 

(k)(4)(i) of this section) is cleared by the 

onboard computer (i.e., all monitors set 

to indicate ‘‘not complete’’ or ‘‘not 

ready’’) while the PTO unit is activated. 

If monitors are so disabled and when 

the disablement ends, the readiness 

status may be restored to its state prior 

to PTO activation. 

(6) Feedback control system 

monitoring. If the engine is equipped 

with feedback control of any of the 

systems covered in paragraphs (g), (h) 

and (i) of this section, then the OBD 

system must detect as malfunctions the 

conditions specified in this paragraph 

(i)(6) for each of the individual feedback 

controls. 

(i) The OBD system must detect when 

the system fails to begin feedback 

control within a manufacturer specified 

time interval. 

(ii) When any malfunction or 

deterioration causes open loop or limphome operation. 

(iii) When feedback control has used 

up all of the adjustment allowed by the 

manufacturer. 

(iv) A manufacturer may temporarily 

disable monitoring for malfunctions 

specified in paragraph (i)(6)(iii) of this 

section during conditions that the 

specific monitor cannot distinguish 

robustly between a malfunctioning 

system and a properly operating system. 

To do so, the manufacturer is required 

to submit data and/or engineering 

analyses demonstrating that the 

individual feedback control system, 

when operating as designed on an 

engine with all emission controls 

working properly, routinely operates 

during these conditions while having 

used up all of the adjustment allowed 

by the manufacturer. In lieu of 

detecting, with a system specific 

monitor, the malfunctions specified in 

paragraphs (i)(6)(i) and (i)(6)(ii) of this 

section the OBD system may monitor 

the individual parameters or 

components that are used as inputs for 

individual feedback control systems 

provided that the monitors detect all 

malfunctions that meet the criteria of 

paragraphs (i)(6)(i) and (i)(6)(ii) of this 

section. 

(j) Production evaluation testing. 

(1) Verification of Standardization 

Requirements. 

(i) For model years 2013 and later, the 

manufacturer must perform testing to 

verify that production vehicles meet the 

requirements of paragraphs (k)(3) and 

(k)(4) of this section relevant to the 

proper communication of required 

emissions-related messages to a SAE 

J1978 or SAE J1939 (both as specified in 

paragraph (k)(1) of this section) scan 

tool. 

(ii) Selection of Test Vehicles. 

(A) The manufacturer must perform 

this testing every model year on ten 

unique production vehicles (i.e., engine 

rating and chassis application 

combination) per engine family. If there 

are less than ten unique production 

vehicles for a certain engine family, the 

manufacturer must test each unique 

production vehicle in that engine 

family. The manufacturer must perform 

this testing within either three months 

of the start of engine production or one 

month of the start of vehicle production, 

whichever is later. The manufacturer 

may request approval to group multiple 

production vehicles together and test 

one representative vehicle per group. To 

do so, the software and hardware 

designed to comply with the 

standardization requirements of 

paragraph (k)(1) of this section (e.g., 

communication protocol message 

timing, number of supported data 

stream parameters, engine and vehicle 

communication network architecture) in 

the representative vehicle must be 

identical to all others in the group and 

any differences in the production 

vehicles cannot be relevant with respect 

to meeting the criteria of paragraph 

(j)(1)(iv) of this section. 

(B) For 2016 and subsequent model 

years, the required number of vehicles 

to be tested shall be reduced to five per 

engine family provided zero vehicles 

fail the testing required by paragraph 

(j)(1) of this section for two consecutive 

years. 

(C) For 2019 and subsequent model 

years, the required number of vehicles 

to be tested shall be reduced to three per 

engine family provided zero vehicles 

fail the testing required by paragraph 

(j)(1) of this section for three 

consecutive years. 

(D) The requirement for submittal of 

data from one or more of the production 

vehicles shall be waived if data have 

been submitted previously for all of the 

production vehicles. The manufacturer 

may request approval to carry over data 

collected in previous model years. To 

do so, the software and hardware 

designed to comply with the 

standardization requirements of 

paragraph (k)(1) of this section must be 

identical to the previous model year and 

there must not have been other 

hardware or software changes that affect 

compliance with the standardization 

requirements. 

(iii) Test equipment. For the testing 

required by paragraph (j)(1) of this 

section, the manufacturer shall use an 

off-board device to conduct the testing. 

The manufacturer must be able to show 

that the off-board device is able to verify 

that the vehicles tested using the device 

are able to perform all of the required 

functions in paragraph (j)(1)(iv) of this 

section with any other off-board device 

designed and built in accordance with 

the SAE J1978 or SAE J1939 (both as 

specified in paragraph (k)(1) of this 

section) generic scan tool specifications. 

(iv) Required testing. The testing must 

verify that communication can be 

established properly between all 

emission-related on-board computers 

and a SAE J1978 or SAE J1939 (both as 

specified in paragraph (k)(1) of this 

section) scan tool designed to adhere 

strictly to the communication protocols 

allowed in paragraph (k)(3) of this 

section. The testing must also verify that 

all emission-related information is 

communicated properly between all 

emission-related on-board computers 

and a SAE J1978 or SAE J1939 (both as 

specified in paragraph (k)(1) of this 

section) scan tool in accordance with 

the requirements of paragraph (k)(1) of 

this section and the applicable ISO and 

SAE specifications including 

specifications for physical layer, 

network layer, message structure, and 

message content. The testing must also 

verify that the onboard computer(s) can 

properly respond to a SAE J1978 or SAE 

J1939 (both as specified in paragraph 

(k)(1) of this section) scan tool request 

to clear emissions-related DTCs and 

reset the ready status in accordance 

with paragraph (k)(4)(ix) of this section. 

The testing must further verify that the 

following information can be properly 

communicated to a SAE J1978 or SAE 

J1939 (both as specified in paragraph 

(k)(1) of this section) scan tool: 

(A) The current ready status from all 

onboard computers required to support 

ready status in accordance with SAE 

J1978 or SAE J1939–73 (both as 

specified in paragraph (k)(1) of this 

section) and paragraph (k)(4)(i) of this 

section in the key-on, engine-off 

position and while the engine is 

running. 

(B) The MIL command status while a 

deactivated MIL is commanded and 

while an activated MIL is commanded 

in accordance with SAE J1979 or SAE 

J1939 (both as specified in paragraph 

(k)(1) of this section) and paragraph 

(k)(4)(ii) of this section in the key-on, 

engine-off position and while the engine 

is running, and in accordance with SAE 

J1979 or SAE J1939 (both as specified in 

paragraph (k)(1) of this section) and 

paragraphs (b)(1)(ii) of this section 

during the MIL functional check, if 

applicable, and, if applicable, (k)(4)(i)(C) 

of this section during the MIL ready 

status check while the engine is off. 

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(C) All data stream parameters 

required in paragraph (k)(4)(ii) of this 

section in accordance with SAE J1979 or 

SAE J1939 (both as specified in 

paragraph (k)(1) of this section) 

including, if applicable, the proper 

identification of each data stream 

parameter as supported in SAE J1979 

(e.g., Mode/Service $01, PID $00). 

(D) The CAL ID, CVN, and VIN as 

required by paragraphs (k)(4)(vi), 

(k)(4)(vii), and (k)(4)(viii) of this section 

and in accordance with SAE J1979 or 

SAE J1939 (both as specified in 

paragraph (k)(1) of this section). 

(E) An emissions-related DTC 

(permanent, pending, MIL-on, previousMIL-on) in accordance with SAE J1979 

or SAE J1939–73 (both as specified in 

paragraph (k)(1) of this section) 

including the correct indication of the 

number of stored DTCs (e.g., Mode/ 

Service $01, PID $01, Data A for SAE 

J1979 (as specified in paragraph (k)(1) of 

this section)) and paragraph (k)(4)(iv) of 

this section. 

(v) Reporting of results. The 

manufacturer must submit to the 

Administrator the following, based on 

the results of the testing required by 

paragraph (j)(1)(iv) of this section: 

(A) If a variant meets all the 

requirements of paragraph (j)(1)(iv) of 

this section, a statement specifying that 

the variant passed all the tests. Upon 

request from the Administrator, the 

detailed results of any such testing may 

have to be submitted. 

(B) If any variant does not meet the 

requirements paragraph (j)(1)(iv) of this 

section, a written report detailing the 

problem(s) identified and the 

manufacturer’s proposed corrective 

action (if any) to remedy the problem(s). 

This report must be submitted within 

one month of testing the specific 

variant. The Administrator will consider 

the proposed remedy and, if in 

disagreement, will work with the 

manufacturer to propose an alternative 

remedy. Factors to be considered by the 

Administrator in considering the 

proposed remedy will include the 

severity of the problem(s), the ability of 

service technicians to access the 

required diagnostic information, the 

impact on equipment and tool 

manufacturers, and the amount of time 

prior to implementation of the proposed 

corrective action. 

(vi) Alternative testing protocols. 

Manufacturers may request approval to 

use other testing protocols. To do so, the 

manufacturer must demonstrate that the 

alternative testing methods and 

equipment will provide an equivalent 

level of verification of compliance with 

the standardization requirements as is 

required by paragraph (j)(1) of this 

section. 

(2) Verification of monitoring 

requirements. 

(i) Within either the first six months 

of the start of engine production or the 

first three months of the start of vehicle 

production, whichever is later, the 

manufacturer must conduct a complete 

evaluation of the OBD system of one or 

more production vehicles (test vehicles) 

and submit the results of the evaluation 

to the Administrator. 

(ii) Selection of test vehicles. 

(A) For each engine selected for 

monitoring system demonstration in 

paragraph (l) of this section, the 

manufacturer must evaluate one 

production vehicle equipped with an 

engine from the same engine family and 

rating as the demonstration engine. The 

vehicle selection must be approved by 

the Administrator. 

(B) If the manufacturer is required to 

test more than one test vehicle, the 

manufacturer may test an engine in lieu 

of a vehicle for all but one of the 

required test vehicles. 

(C) The requirement for submittal of 

data from one or more of the test 

vehicles may be waived if data have 

been submitted previously for all of the 

engine ratings and variants. 

(iii) Evaluation requirements. 

(A) The evaluation must demonstrate 

the ability of the OBD system on the 

selected test vehicle to detect a 

malfunction, activate the MIL, and, 

where applicable, store an appropriate 

DTC readable by a scan tool when a 

malfunction is present and the 

monitoring conditions have been 

satisfied for each individual monitor 

required by this section. For model 

years 2013 and later, the evaluation 

must demonstrate the ability of the OBD 

system on the selected test vehicle to 

detect a malfunction, activate the MIL, 

and, where applicable, store an 

appropriate DTC readable by a SAE 

J1978 or SAE J1939 (both as specified in 

paragraph (k)(1) of this section) scan 

tool when a malfunction is present and 

the monitoring conditions have been 

satisfied for each individual monitor 

required by this section. 

(B) The evaluation must verify that 

the malfunction of any component used 

to enable another OBD monitor but that 

does not itself result in MIL activation 

(e.g., fuel level sensor) will not inhibit 

the ability of other OBD monitors to 

detect malfunctions properly. 

(C) The evaluation must verify that 

the software used to track the numerator 

and denominator for the purpose of 

determining in-use monitoring 

frequency increments as required by 

paragraph (d)(2) of this section. 

(D) Malfunctions may be implanted 

mechanically or simulated 

electronically, but internal onboard 

computer hardware or software changes 

shall not be used to simulate 

malfunctions. For monitors that are 

required to indicate a malfunction 

before emissions exceed an emission 

threshold, manufacturers are not 

required to use malfunctioning 

components/systems set exactly at their 

malfunction criteria limits. Emission 

testing is not required to confirm that 

the malfunction is detected before the 

appropriate emission thresholds are 

exceeded. 

(E) The manufacturer must submit a 

proposed test plan for approval prior to 

performing evaluation testing. The test 

plan must identify the method used to 

induce a malfunction for each monitor. 

(F) If the demonstration of a specific 

monitor cannot be reasonably performed 

without causing physical damage to the 

test vehicle (e.g., onboard computer 

internal circuit malfunctions), the 

manufacturer may omit the specific 

demonstration. 

(G) For evaluation of test vehicles 

selected in accordance with paragraph 

(j)(2)(ii) of this section, the manufacturer 

is not required to demonstrate monitors 

that were demonstrated prior to 

certification as required in paragraph (l) 

of this section. 

(iv) The manufacturer must submit a 

report of the results of all testing 

conducted as required by paragraph 

(j)(2) of this section. The report must 

identify the method used to induce a 

malfunction in each monitor, the MIL 

activation status, and the DTC(s) stored. 

(3) Verification of in-use monitoring 

performance ratios. 

(i) The manufacturer must collect and 

report in-use monitoring performance 

data representative of production 

vehicles (i.e., engine rating and chassis 

application combination). The 

manufacturer must collect and report 

the data to the Administrator within 12 

months after the first production vehicle 

was first introduced into commerce. 

(ii) The manufacturer must separate 

production vehicles into the monitoring 

performance groups and submit data 

that represents each of these groups. 

The groups shall be based on the 

following criteria: 

(A) Emission control system 

architecture. All engines that use the 

same or similar emissions control 

system architecture (e.g., EGR with DPF 

and SCR; EGR with DPF and NOX

adsorber; EGR with DPF-only) and 

associated monitoring system would be 

in the same emission architecture 

category. 

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(B) Vehicle application type. Within 

an emission architecture category, 

engines shall be separated into one of 

three vehicle application types: Engines 

intended primarily for line-haul chassis 

applications, engines intended 

primarily for urban delivery chassis 

applications, and all other engines. 

(iii) The manufacturer may use an 

alternative grouping method to collect 

representative data. To do so, the 

manufacturer must show that the 

alternative groups include production 

vehicles using similar emission 

controls, OBD strategies, monitoring 

condition calibrations, and vehicle 

application driving/usage patterns such 

that they are expected to have similar 

in-use monitoring performance. The 

manufacturer will still be required to 

submit one set of data for each of the 

alternative groups. 

(iv) For each monitoring performance 

group, the data must include all of the 

in-use performance tracking data (i.e., 

all numerators, denominators, the 

general denominator, and the ignition 

cycle counter), the date the data were 

collected, the odometer reading, the 

VIN, and the calibration ID. For model 

years 2013 and later, for each 

monitoring performance group, the data 

must include all of the in-use 

performance tracking data reported 

through SAE J1979 or SAE J1939 (both 

as specified in paragraph (k)(1) of this 

section; i.e., all numerators, 

denominators, the general denominator, 

and the ignition cycle counter), the date 

the data were collected, the odometer 

reading, the VIN, and the calibration ID. 

(v) The manufacturer must submit a 

plan to the Administrator that details 

the types of production vehicles in each 

monitoring performance group, the 

number of vehicles per group to be 

sampled, the sampling method, the 

timeline to collect the data, and the 

reporting format. The plan must provide 

for effective collection of data from, at 

least, 15 vehicles per monitoring 

performance group and provide for data 

that represent a broad range of 

temperature conditions. The plan shall 

not, by design, exclude or include 

specific vehicles in an attempt to collect 

data only from vehicles expected to 

have the highest in-use performance 

ratios. 

(vi) The 12 month deadline for 

reporting may be extended to 18 months 

if the manufacturer can show that the 

delay is justified. In such a case, an 

interim report of progress to date must 

be submitted within the 12 month 

deadline. 

(k) Standardization requirements. 

(1) Reference materials. The following 

documents are incorporated by 

reference, see § 86.1. Anyone may 

inspect copies at the U.S. EPA or at the 

National Archives and Records 

Administration (NARA). For 

information on the availability of this 

material at U.S. EPA, NARA, or the 

standard making bodies directly, refer to 

§ 86.1. 

(i) SAE J1930, Revised April 2002. 

(ii) SAE J1939, Revised October 2007. 

(iii) SAE J1939–13, Revised March 

2004, for model years 2013 and later. 

(iv) SAE J1939–73, Revised September 

2006. 

(v) SAE J1962, Revised April 2002, for 

model years 2013 and later. 

(vi) SAE J1978, Revised April 2002. 

(vii) SAE J1979, Revised May 2007. 

(viii) SAE J2012, Revised April 2002. 

(ix) SAE J2403, Revised August 2007. 

(x) ISO 15765–4:2005(E), January 15, 

2005. 

(2) Diagnostic connector. For model 

years 2010 through 2012, the 

manufacturer defined data link 

connector must be accessible to a 

trained service technician. For model 

years 2013 and later, a standard data 

link connector conforming to SAE J1962 

(as specified in paragraph (k)(1) of this 

section) or SAE J1939–13 (as specified 

in paragraph (k)(1) of this section) 

specifications (except as provided for in 

paragraph (k)(2)(iii) if this section) must 

be included in each vehicle. 

(i) For model years 2013 and later, the 

connector must be located in the 

driver’s side foot-well region of the 

vehicle interior in the area bound by the 

driver’s side of the vehicle and the 

driver’s side edge of the center console 

(or the vehicle centerline if the vehicle 

does not have a center console) and at 

a location no higher than the bottom of 

the steering wheel when in the lowest 

adjustable position. The connector shall 

not be located on or in the center 

console (i.e., neither on the horizontal 

faces near the floor-mounted gear 

selector, parking brake lever, or cupholders nor on the vertical faces near 

the car stereo, climate system, or 

navigation system controls). The 

location of the connector shall be 

capable of being easily identified and 

accessed (e.g., to connect an off-board 

tool). For vehicles equipped with a 

driver’s side door, the connector must 

be identified and accessed easily by 

someone standing (or ‘‘crouched’’) on 

the ground outside the driver’s side of 

the vehicle with the driver’s side door 

open. The Administrator may approve 

an alternative location upon request 

from the manufacturer. In all cases, the 

installation position of the connector 

must be both identified and accessed 

easily by someone standing outside the 

vehicle and protected from accidental 

damage during normal vehicle use. 

(ii) For model years 2013 and later, if 

the connector is covered, the cover must 

be removable by hand without the use 

of any tools and be labeled ‘‘OBD’’ to 

aid technicians in identifying the 

location of the connector. Access to the 

diagnostic connector shall not require 

opening or the removal of any storage 

accessory (e.g., ashtray, coinbox). The 

label must clearly identify that the 

connector is located behind the cover 

and is consistent with language and/or 

symbols commonly used in the 

automobile and/or heavy truck industry. 

(iii) For model years 2013 and later, 

if the ISO 15765–4:2005(E) (as specified 

in paragraph (k)(1) of this section) 

communication protocol is used for the 

required OBD standardized functions, 

the connector must meet the ‘‘Type A’’ 

specifications of SAE J1962 (as specified 

in paragraph (k)(1) of this section). Any 

pins in the connector that provide 

electrical power must be properly fused 

to protect the integrity and usefulness of 

the connector for diagnostic purposes 

and shall not exceed 20.0 Volts DC 

regardless of the nominal vehicle system 

or battery voltage (e.g., 12V, 24V, 42V). 

(iv) For model years 2013 and later, if 

the SAE J1939 (as specified in paragraph 

(k)(1) of this section) protocol is used for 

the required OBD standardized 

functions, the connector must meet the 

specifications of SAE J1939–13 (as 

specified in paragraph (k)(1) of this 

section). Any pins in the connector that 

provide electrical power must be 

properly fused to protect the integrity 

and usefulness of the connector for 

diagnostic purposes. 

(v) For model years 2013 and later, 

the manufacturer may equip engines/ 

vehicles with additional diagnostic 

connectors for manufacturer-specific 

purposes (i.e., purposes other than the 

required OBD functions). However, if 

the additional connector conforms to 

the ‘‘Type A’’ specifications of SAE 

J1962 (as specified in paragraph (k)(1) of 

this section) or the specifications of SAE 

J1939–13 (as specified in paragraph 

(k)(1) of this section) and is located in 

the vehicle interior near the required 

connector as described in this paragraph 

(k)(2), the connector(s) must be labeled 

clearly to identify which connector is 

used to access the standardized OBD 

information required by paragraph (k) of 

this section. 

(3) Communications to a scan tool. 

For model years 2013 and later, all OBD 

control modules (e.g., engine, auxiliary 

emission control module) on a single 

vehicle must use the same protocol for 

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board network communications to a 

scan tool meeting SAE J1978 (as 

specified in paragraph (k)(1) of this 

section) specifications or designed to 

communicate with an SAE J1939 (as 

specified in paragraph (k)(1) of this 

section) network. Engine manufacturers 

shall not alter normal operation of the 

engine emission control system due to 

the presence of off-board test equipment 

accessing information required by this 

paragraph (k). The OBD system must 

use one of the following standardized 

protocols: 

(i) ISO 15765–4:2005(E) (as specified 

in paragraph (k)(1) of this section). All 

required emission-related messages 

using this protocol must use a 500 kbps 

baud rate. 

(ii) SAE J1939 (as specified in 

paragraph (k)(1) of this section). This 

protocol may only be used on vehicles 

with diesel engines. 

(4) Required emission related 

functions. The following functions must 

be implemented and must be accessible 

by, at a minimum, a manufacturer scan 

tool. For model years 2013 and later, the 

following standardized functions must 

be implemented in accordance with the 

specifications in SAE J1979 (as specified 

in paragraph (k)(1) of this section) or 

SAE J1939 (as specified in paragraph 

(k)(1) of this section) to allow for access 

to the required information by a scan 

tool meeting SAE J1978 (as specified in 

paragraph (k)(1) of this section) 

specifications or designed to 

communicate with an SAE J1939 (as 

specified in paragraph (k)(1) of this 

section) network: 

(i) Ready status. The OBD system 

must indicate, in accordance with SAE 

J1979 or SAE J1939–73 (both as 

specified in paragraph (k)(1) of this 

section) specifications for model years 

2013 and later, ‘‘complete’’ or ‘‘not 

complete’’ for each of the installed 

monitored components and systems 

identified in paragraphs (g), (h) with the 

exception of (h)(4), and (i)(3) of this 

section. All components or systems 

identified in paragraphs (h)(1), (h)(2), or 

(i)(3) of this section that are monitored 

continuously must always indicate 

‘‘complete.’’ Components or systems 

that are not subject to being monitored 

continuously must immediately indicate 

‘‘complete’’ upon the respective 

monitor(s) being executed fully and 

determining that the component or 

system is not malfunctioning. A 

component or system must also indicate 

‘‘complete’’ if, after the requisite 

number of decisions necessary for 

determining MIL status has been 

executed fully, the monitor indicates a 

malfunction of the component or 

system. The status for each of the 

monitored components or systems must 

indicate ‘‘not complete’’ whenever 

diagnostic memory has been cleared or 

erased by a means other than that 

allowed in paragraph (b) of this section. 

Normal vehicle shut down (i.e., key-off/ 

engine-off) shall not cause the status to 

indicate ‘‘not complete.’’ 

(A) The manufacturer may request 

that the ready status for a monitor be set 

to indicate ‘‘complete’’ without the 

monitor having completed if monitoring 

is disabled for a multiple number of 

drive cycles due to the continued 

presence of extreme operating 

conditions (e.g., cold ambient 

temperatures, high altitudes). Any such 

request must specify the conditions for 

monitoring system disablement and the 

number of drive cycles that would pass 

without monitor completion before 

ready status would be indicated as 

‘‘complete.’’ 

(B) For the evaporative system 

monitor, the ready status must be set in 

accordance with this paragraph (k)(4)(i) 

when both the functional check of the 

purge valve and, if applicable, the leak 

detection monitor of the hole size 

specified in paragraph (h)(7)(ii)(B) of 

this section indicate that they are 

complete. 

(C) If the manufacturer elects to 

indicate ready status through the MIL in 

the key-on/engine-off position as 

provided for in paragraph (b)(1)(iii) of 

this section, the ready status must be 

indicated in the following manner: If the 

ready status for all monitored 

components or systems is ‘‘complete,’’ 

the MIL shall remain continuously 

activated in the key-on/engine-off 

position for at least 10–20 seconds. If 

the ready status for one or more of the 

monitored components or systems is 

‘‘not complete,’’ after at least 5 seconds 

of operation in the key-on/engine-off 

position with the MIL activated 

continuously, the MIL shall blink once 

per second for 5–10 seconds. The data 

stream value for MIL status as required 

in paragraph (k)(4)(ii) of this section 

must indicate ‘‘commanded off’’ during 

this sequence unless the MIL has also 

been ‘‘commanded on’’ for a detected 

malfunction. 

(ii) Data stream. For model years 2010 

through 2012, the following signals 

must be made available on demand 

through the data link connector. For 

model years 2013 and later, the 

following signals must be made 

available on demand through the 

standardized data link connector in 

accordance with SAE J1979 or SAE 

J1939 (both as specified in paragraph 

(k)(1) of this section) specifications. The 

actual signal value must always be used 

instead of a limp home value. Data link 

signals may report an error state or other 

predefined status indicator if they are 

defined for those signals in the SAE 

J1979 or SAE J1939 (both as specified in 

paragraph (k)(1) of this section) 

specifications. 

(A) For gasoline engines. 

(1) Calculated load value, engine 

coolant temperature, engine speed, 

vehicle speed, and time elapsed since 

engine start. 

(2) Absolute load, fuel level (if used 

to enable or disable any other monitors), 

barometric pressure (directly measured 

or estimated), engine control module 

system voltage, and commanded 

equivalence ratio. 

(3) Number of stored MIL-on DTCs, 

catalyst temperature (if directly 

measured or estimated for purposes of 

enabling the catalyst monitor(s)), 

monitor status (i.e., disabled for the rest 

of this drive cycle, complete this drive 

cycle, or not complete this drive cycle) 

since last engine shut-off for each 

monitor used for ready status, distance 

traveled (or engine run time for engines 

not using vehicle speed information) 

while MIL activated, distance traveled 

(or engine run time for engines not 

using vehicle speed information) since 

DTC memory last erased, and number of 

warm-up cycles since DTC memory last 

erased, OBD requirements to which the 

engine is certified (e.g., California OBD, 

EPA OBD, European OBD, non-OBD) 

and MIL status (i.e., commanded-on or 

commanded-off). 

(B) For diesel engines. 

(1) Calculated load (engine torque as 

a percentage of maximum torque 

available at the current engine speed), 

driver’s demand engine torque (as a 

percentage of maximum engine torque), 

actual engine torque (as a percentage of 

maximum engine torque), reference 

engine maximum torque, reference 

maximum engine torque as a function of 

engine speed (suspect parameter 

numbers (SPN) 539 through 543 defined 

by SAE J1939 (as specified in paragraph 

(k)(1) of this section) within parameter 

group number (PGN) 65251 for engine 

configuration), engine coolant 

temperature, engine oil temperature (if 

used for emission control or any OBD 

monitors), engine speed, and time 

elapsed since engine start. 

(2) Fuel level (if used to enable or 

disable any other monitors), vehicle 

speed (if used for emission control or 

any OBD monitors), barometric pressure 

(directly measured or estimated), and 

engine control module system voltage. 

(3) Number of stored MIL-on DTCs, 

monitor status (i.e., disabled for the rest 

of this drive cycle, complete this drive 

cycle, or not complete this drive cycle) 

since last engine shut-off for each 

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8398 Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 

monitor used for ready status, distance 

traveled (or engine run time for engines 

not using vehicle speed information) 

while MIL activated, distance traveled 

(or engine run time for engines not 

using vehicle speed information) since 

DTC memory last erased, number of 

warm-up cycles since DTC memory last 

erased, OBD requirements to which the 

engine is certified (e.g., California OBD, 

EPA OBD, European OBD, non-OBD), 

and MIL status (i.e., commanded-on or 

commanded-off). 

(4) NOX NTE control area status (i.e., 

inside control area, outside control area, 

inside manufacturer-specific NOX NTE 

carve-out area, or deficiency active area) 

and PM NTE control area status (i.e., 

inside control area, outside control area, 

inside manufacturer-specific PM NTE 

carve-out area, or deficiency active 

area). 

(5) For purposes of the calculated load 

and torque parameters in paragraph 

(k)(4)(ii)(B)(1) of this section, 

manufacturers must report the most 

accurate values that are calculated 

within the applicable electronic control 

unit (e.g., the engine control module). 

Most accurate, in this context, must be 

of sufficient accuracy, resolution, and 

filtering to be used for the purposes of 

in-use emission testing with the engine 

still in a vehicle (e.g., using portable 

emission measurement equipment). 

(C) For all engines so equipped. 

(1) Absolute throttle position, relative 

throttle position, fuel control system 

status (e.g., open loop, closed loop), fuel 

trim, fuel pressure, ignition timing 

advance, fuel injection timing, intake 

air/manifold temperature, engine 

intercooler temperature, manifold 

absolute pressure, air flow rate from 

mass air flow sensor, secondary air 

status (upstream, downstream, or 

atmosphere), ambient air temperature, 

commanded purge valve duty cycle/ 

position, commanded EGR valve duty 

cycle/position, actual EGR valve duty 

cycle/position, EGR error between 

actual and commanded, PTO status 

(active or not active), redundant 

absolute throttle position (for electronic 

throttle or other systems that utilize two 

or more sensors), absolute pedal 

position, redundant absolute pedal 

position, commanded throttle motor 

position, fuel rate, boost pressure, 

commanded/target boost pressure, turbo 

inlet air temperature, fuel rail pressure, 

commanded fuel rail pressure, DPF inlet 

pressure, DPF inlet temperature, DPF 

outlet pressure, DPF outlet temperature, 

DPF delta pressure, exhaust pressure 

sensor output, exhaust gas temperature 

sensor output, injection control 

pressure, commanded injection control 

pressure, turbocharger/turbine speed, 

variable geometry turbo position, 

commanded variable geometry turbo 

position, turbocharger compressor inlet 

temperature, turbocharger compressor 

inlet pressure, turbocharger turbine inlet 

temperature, turbocharger turbine outlet 

temperature, waste gate valve position, 

and glow plug lamp status. 

(2) Oxygen sensor output, air/fuel 

ratio sensor output, NOX sensor output, 

and evaporative system vapor pressure. 

(iii) Freeze frame. 

(A) For model years 2010 through 

2012, ‘‘Freeze frame’’ information 

required to be stored pursuant to 

paragraphs (b)(2)(iv), (h)(1)(iv)(D), and 

(h)(2)(vi) of this section must be made 

available on demand through the data 

link connector. For model years 2013 

and later, ‘‘Freeze frame’’ information 

required to be stored pursuant to 

paragraphs (b)(2)(iv), (h)(1)(iv)(D), and 

(h)(2)(vi) of this section must be made 

available on demand through the 

standardized data link connector in 

accordance with SAE J1979 or SAE 

J1939–73 (both as specified in paragraph 

(k)(1) of this section) specifications. 

(B) ‘‘Freeze frame’’ conditions must 

include the DTC that caused the data to 

be stored along with all of the signals 

required in paragraphs (k)(4)(ii)(A)(1) 

and (k)(4)(ii)(B)(1) of this section. Freeze 

frame conditions must also include all 

of the signals required on the engine in 

paragraphs (k)(4)(ii)(A)(2) and 

(k)(4)(ii)(B)(2) of this section, and 

paragraph (k)(4)(ii)(C)(1) of this section 

that are used for diagnostic or control 

purposes in the specific monitor or 

emission-critical powertrain control 

unit that stored the DTC. 

(C) Only one frame of data is required 

to be recorded. For model years 2010 

through 2012, the manufacturer may 

choose to store additional frames 

provided that at least the required frame 

can be read by, at a minimum, a 

manufacturer scan tool. For model years 

2013 and later, the manufacturer may 

choose to store additional frames 

provided that at least the required frame 

can be read by a scan tool meeting SAE 

J1978 (as specified in paragraph (k)(1) of 

this section) specifications or designed 

to communicate with an SAE J1939 (as 

specified in paragraph (k)(1) of this 

section) network. 

(iv) Diagnostic trouble codes. 

(A) For model years 2010 through 

2012, For all monitored components 

and systems, any stored pending, MILon, and previous-MIL-on DTCs must be 

made available through the diagnostic 

connector. For model years 2013 and 

later, all monitored components and 

systems, any stored pending, MIL-on, 

and previous-MIL-on DTCs must be 

made available through the diagnostic 

connector in a standardized format in 

accordance with SAE J1939 (as specified 

in paragraph (k)(1) of this section) or 

ISO 15765–4:2005(E) (as specified in 

paragraph (k)(1) of this section) 

specifications; standardized DTCs 

conforming to the applicable 

standardized specifications must be 

employed. 

(B) The stored DTC must, to the extent 

possible, pinpoint the probable cause of 

the malfunction or potential 

malfunction. To the extent feasible, the 

manufacturer must use separate DTCs 

for every monitor where the monitor 

and repair procedure or probable cause 

of the malfunction is different. In 

general, rationality and functional 

checks must use different DTCs than the 

respective circuit integrity checks. 

Additionally, to the extent possible, 

input component circuit integrity 

checks must use different DTCs for 

distinct malfunctions (e.g., out-of-range 

low, out-of-range high, open circuit). 

(C) The manufacturer must use 

appropriate standard-defined DTCs 

whenever possible. With Administrator 

approval, the manufacturer may use 

manufacturer-defined DTCs in 

accordance with the applicable 

standard’s specifications. To do so, the 

manufacturer must be able to show a 

lack of available standard-defined DTCs, 

uniqueness of the monitor or monitored 

component, expected future usage of the 

monitor or component, and estimated 

usefulness in providing additional 

diagnostic and repair information to 

service technicians. Manufacturerdefined DTCs must be used in a 

consistent manner (i.e., the same DTC 

shall not be used to represent two 

different failure modes) across a 

manufacturer’s entire product line. 

(D) For model years 2010 through 

2012, a pending or MIL-on DTC (as 

required in paragraphs (g) through (i) of 

this section) must be stored and 

available to, at a minimum, a 

manufacturer scan tool within 10 

seconds after a monitor has determined 

that a malfunction or potential 

malfunction has occurred. A permanent 

DTC must be stored and available to, at 

a minimum, a manufacturer scan tool no 

later than the end of an ignition cycle 

in which the corresponding MIL-on 

DTC that caused MIL activation has 

been stored. For model years 2013 and 

later, a pending or MIL-on DTC (as 

required in paragraphs (g) through (i) of 

this section) must be stored and 

available to an SAE J1978 (as specified 

in paragraph (k)(1) of this section) or 

SAE J1939 (as specified in paragraph 

(k)(1) of this section) scan tool within 10 

seconds after a monitor has determined 

that a malfunction or potential 

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malfunction has occurred. A permanent 

DTC must be stored and available to an 

SAE J1978 (as specified in paragraph 

(k)(1) of this section) or SAE J1939 (as 

specified in paragraph (k)(1) of this 

section) scan tool no later than the end 

of an ignition cycle in which the 

corresponding MIL-on DTC that caused 

MIL activation has been stored. 

(E) For model years 2010 through 

2012, pending DTCs for all components 

and systems (including those monitored 

continuously and non-continuously) 

must be made available through the 

diagnostic connector. For model years 

2013 and later, pending DTCs for all 

components and systems (including 

those monitored continuously and noncontinuously) must be made available 

through the diagnostic connector in 

accordance with the applicable 

standard’s specifications. For all model 

years, a manufacturer using alternative 

statistical protocols for MIL activation 

as allowed in paragraph (b)(2)(iii) of this 

section must submit the details of their 

protocol for setting pending DTCs. The 

protocol must be, overall, equivalent to 

the requirements of this paragraph 

(k)(4)(iv)(E) and provide service 

technicians with a quick and accurate 

indication of a potential malfunction. 

(F) For model years 2010 through 

2012, permanent DTC for all 

components and systems must be made 

available through the diagnostic 

connector in a format that distinguishes 

permanent DTCs from pending DTCs, 

MIL-on DTCs, and previous-MIL-on 

DTCs. A MIL-on DTC must be stored as 

a permanent DTC no later than the end 

of the ignition cycle and subsequently at 

all times that the MIL-on DTC is 

commanding the MIL on. For model 

years 2013 and later, permanent DTC for 

all components and systems must be 

made available through the diagnostic 

connector in a standardized format that 

distinguishes permanent DTCs from 

pending DTCs, MIL-on DTCs, and 

previous-MIL-on DTCs. A MIL-on DTC 

must be stored as a permanent DTC no 

later than the end of the ignition cycle 

and subsequently at all times that the 

MIL-on DTC is commanding the MIL on. 

For all model years, permanent DTCs 

must be stored in non-volatile random 

access memory (NVRAM) and shall not 

be erasable by any scan tool command 

or by disconnecting power to the onboard computer. Permanent DTCs must 

be erasable if the engine control module 

is reprogrammed and the ready status 

described in paragraph (k)(4)(i) of this 

section for all monitored components 

and systems are set to ‘‘not complete.’’ 

The OBD system must have the ability 

to store a minimum of four current MILon DTCs as permanent DTCs in 

NVRAM. If the number of MIL-on DTCs 

currently commanding activation of the 

MIL exceeds the maximum number of 

permanent DTCs that can be stored, the 

OBD system must store the earliest 

detected MIL-on DTC as permanent 

DTC. If additional MIL-on DTCs are 

stored when the maximum number of 

permanent DTCs is already stored in 

NVRAM, the OBD system shall not 

replace any existing permanent DTC 

with the additional MIL-on DTCs. 

(v) Test results. 

(A) For model years 2010 through 

2012 and except as provided for in 

paragraph (k)(4)(v)(G) of this section, for 

all monitored components and systems 

identified in paragraphs (g) and (h) of 

this section, results of the most recent 

monitoring of the components and 

systems and the test limits established 

for monitoring the respective 

components and systems must be stored 

and available through the data link. For 

model years 2013 and later and except 

as provided for in paragraph (k)(4)(v)(G) 

of this section, for all monitored 

components and systems identified in 

paragraphs (g) and (h) of this section, 

results of the most recent monitoring of 

the components and systems and the 

test limits established for monitoring the 

respective components and systems 

must be stored and available through 

the data link in accordance with the 

standardized format specified in SAE 

J1979 (as specified in paragraph (k)(1) of 

this section) for engines using the ISO 

15765–4:2005(E) (as specified in 

paragraph (k)(1) of this section) protocol 

or SAE J1939 (as specified in paragraph 

(k)(1) of this section). 

(B) The test results must be reported 

such that properly functioning 

components and systems (e.g., 

‘‘passing’’ systems) do not store test 

values outside of the established test 

limits. Test limits must include both 

minimum and maximum acceptable 

values and must be defined so that a test 

result equal to either test limit is a 

‘‘passing’’ value, not a ‘‘failing’’ value. 

(C) For model years 2013 and later, 

the test results must be standardized 

such that the name of the monitored 

component (e.g., catalyst bank 1) can be 

identified by a generic scan tool and the 

test results and limits can be scaled and 

reported by a generic scan tool with the 

appropriate engineering units. 

(D) The test results must be stored 

until updated by a more recent valid test 

result or the DTC memory of the OBD 

system computer is cleared. Upon DTC 

memory being cleared, test results 

reported for monitors that have not yet 

completed with valid test results since 

the last time the fault memory was 

cleared must report values of zero for 

the test result and test limits. 

(E) All test results and test limits must 

always be reported and the test results 

must be stored until updated by a more 

recent valid test result or the DTC 

memory of the OBD system computer is 

cleared. 

(F) The OBD system must store and 

report unique test results for each 

separate monitor. 

(G) The requirements of this 

paragraph (k)(4)(v) do not apply to 

continuous fuel system monitoring, cold 

start emission reduction strategy 

monitoring, and continuous circuit 

monitoring. 

(vi) Software calibration identification 

(CAL ID). On all engines, a single 

software calibration identification 

number (CAL ID) for each monitor or 

emission critical control unit(s) must be 

made available through, for model years 

2010 through 2012, the data link 

connector or, for model years 2013 and 

later, the standardized data link 

connector in accordance with the SAE 

J1979 or SAE J1939 (both as specified in 

paragraph (k)(1) of this section) 

specifications. A unique CAL ID must 

be used for every emission-related 

calibration and/or software set having at 

least one bit of different data from any 

other emission-related calibration and/ 

or software set. Control units coded 

with multiple emission or diagnostic 

calibrations and/or software sets must 

indicate a unique CAL ID for each 

variant in a manner that enables an offboard device to determine which variant 

is being used by the engine. Control 

units that use a strategy that will result 

in MIL activation if the incorrect variant 

is used (e.g., control units that contain 

variants for manual and automatic 

transmissions but will activate the MIL 

if the selected variant does not match 

the type of transmission mated to the 

engine) are not required to use unique 

CAL IDs. Manufacturers may request 

Administrator approval to respond with 

more than one CAL ID per diagnostic or 

emission critical control unit. 

Administrator approval of the request 

shall be based on the method used by 

the manufacturer to ensure each control 

unit will respond to a scan tool with the 

CAL IDs in order of highest to lowest 

priority with regards to areas of the 

software most critical to emission and 

OBD system performance. 

(vii) Software calibration verification 

number (CVN). 

(A) All engines must use an algorithm 

to calculate a single calibration 

verification number (CVN) that verifies 

the on-board computer software 

integrity for each monitor or emission 

critical control unit that is electronically 

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reprogrammable. The CVN must be 

made available through, for model years 

2010 through 2012, the data link 

connector or, for model years 2013 and 

later, the standardized data link 

connector in accordance with the SAE 

J1979 or SAE J1939 (both as specified in 

paragraph (k)(1) of this section) 

specifications. The CVN must indicate 

whether the emission-related software 

and/or calibration data are valid and 

applicable for the given vehicle and 

CAL ID. For systems having more than 

one CAL ID as allowed under paragraph 

(k)(4)(vi) of this section, one CVN must 

be made available for each CAL ID and 

must be output to a scan tool in the 

same order as the corresponding CAL 

IDs. For 2010 through 2012, 

manufacturers may use a default value 

for the CVN if their emissions critical 

powertrain control modules are not 

programmable in the field. For all years, 

manufacturers may use a default value 

for the CVN if their emissions critical 

powertrain control modules are onetime programmable or masked read-only 

memory. Any default CVN shall be 

00000000 for systems designed in 

accordance with the SAE J1979 (as 

specified in paragraph (k)(1) of this 

section) specifications, and FFFFFFFFh 

for systems designed in accordance with 

the SAE J1939 (as specified in paragraph 

(k)(1) of this section) specifications. 

(B) The CVN algorithm used to 

calculate the CVN must be of sufficient 

complexity that the same CVN is 

difficult to achieve with modified 

calibration values. 

(C) The CVN must be calculated at 

least once per ignition cycle and stored 

until the CVN is subsequently updated. 

Except for immediately after a 

reprogramming event or a non-volatile 

memory clear or for the first 30 seconds 

of engine operation after a volatile 

memory clear or battery disconnect, the 

stored value must be made available 

through, for model years 2010 through 

2012, the data link connector to, at a 

minimum, a manufacturer scan tool or, 

for model years 2013 and later, the data 

link connector to a generic scan tool in 

accordance with SAE J1979 or SAE 

J1939 (both as specified in paragraph 

(k)(1) of this section) specifications. For 

model years 2010 through 2012, the 

stored CVN value shall not be erased 

when DTC memory is erased or during 

normal vehicle shut down (i.e., key-off/ 

engine-off). For model years 2013 and 

later, the stored CVN value shall not be 

erased when DTC memory is erased by 

a generic scan tool in accordance with 

SAE J1979 or SAE J1939 (both as 

specified in paragraph (k)(1) of this 

section) specifications or during normal 

vehicle shut down (i.e., key-off/engineoff). 

(D) For model years 2013 and later, 

the CVN and CAL ID combination 

information must be available for all 

engines/vehicles in a standardized 

electronic format that allows for offboard verification that the CVN is valid 

and appropriate for a specific vehicle 

and CAL ID. 

(viii) Vehicle identification number 

(VIN). 

(A) For model years 2010 through 

2012, all vehicles must have the vehicle 

identification number (VIN) available 

through the data link connector to, at a 

minimum, a manufacturer scan tool 

Only one electronic control unit per 

vehicle may report the VIN to a scan 

tool. For model years 2013 and later, all 

vehicles must have the vehicle 

identification number (VIN) available in 

a standardized format through the 

standardized data link connector in 

accordance with SAE J1979 or SAE 

J1939 (both as specified in paragraph 

(k)(1) of this section) specifications. 

Only one electronic control unit per 

vehicle may report the VIN to an SAE 

J1978 or SAE J1939 (both as specified in 

paragraph (k)(1) of this section) scan 

tool. 

(B) If the VIN is reprogrammable, all 

emission-related diagnostic information 

identified in paragraph (k)(4)(ix)(A) of 

this section must be erased in 

conjunction with reprogramming of the 

VIN. 

(ix) Erasure of diagnostic information. 

(A) For purposes of this paragraph 

(k)(4)(ix), ‘‘emission-related diagnostic 

information’’ includes all of the 

following: ready status as required by 

paragraph (k)(4)(i) of this section; data 

stream information as required by 

paragraph (k)(4)(ii) of this section 

including the number of stored MIL-on 

DTCs, distance traveled while MIL 

activated, number of warm-up cycles 

since DTC memory last erased, and 

distance traveled since DTC memory 

last erased; freeze frame information as 

required by paragraph (k)(4)(iii) of this 

section; pending, MIL-on, and previousMIL-on DTCs as required by paragraph 

(k)(4)(iv) of this section; and, test results 

as required by paragraph (k)(4)(v) of this 

section. 

(B) For all engines, the emissionrelated diagnostic information must be 

erased if commanded by any scan tool 

and may be erased if the power to the 

on-board computer is disconnected. If 

any of the emission-related diagnostic 

information is commanded to be erased 

by any scan tool, all emission-related 

diagnostic information must be erased 

from all diagnostic or emission critical 

control units. The OBD system shall not 

allow a scan tool to erase a subset of the 

emission-related diagnostic information 

(e.g., the OBD system shall not allow a 

scan tool to erase only one of three 

stored DTCs or only information from 

one control unit without erasing 

information from the other control 

unit(s)). 

(5) In-use performance ratio tracking 

requirements. 

(i) For each monitor required in 

paragraphs (g) through (i) of this section 

to separately report an in-use 

performance ratio, manufacturers must 

implement software algorithms to, for 

model years 2010 through 2012, report 

a numerator and denominator or, for 

model years 2013 and later, report a 

numerator and denominator in the 

standardized format specified in this 

paragraph (k)(5) in accordance with the 

SAE J1979 or SAE J1939 (both as 

specified in paragraph (k)(1) of this 

section) specifications. 

(ii) For the numerator, denominator, 

general denominator, and ignition cycle 

counters required by paragraph (e) of 

this section, the following numerical 

value specifications apply: 

(A) Each number shall have a 

minimum value of zero and a maximum 

value of 65,535 with a resolution of one. 

(B) Each number shall be reset to zero 

only when a non-volatile random access 

memory (NVRAM) reset occurs (e.g., 

reprogramming event) or, if the numbers 

are stored in keep-alive memory (KAM), 

when KAM is lost due to an 

interruption in electrical power to the 

control unit (e.g., battery disconnect). 

Numbers shall not be reset to zero under 

any other circumstances including 

when a scan tool command to clear 

DTCs or reset KAM is received. 

(C) To avoid overflow problems, if 

either the numerator or denominator for 

a specific component reaches the 

maximum value of 65,535 ±2, both 

numbers shall be divided by two before 

either is incremented again. 

(D) To avoid overflow problems, if the 

ignition cycle counter reaches the 

maximum value of 65,535 ±2, the 

ignition cycle counter shall rollover and 

increment to zero on the next ignition 

cycle. 

(E) To avoid overflow problems, if the 

general denominator reaches the 

maximum value of 65,535 ±2, the 

general denominator shall rollover and 

increment to zero on the next drive 

cycle that meets the general 

denominator definition. 

(F) If a vehicle is not equipped with 

a component (e.g., oxygen sensor bank 

2, secondary air system), the 

corresponding numerator and 

denominator for that specific 

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component shall always be reported as 

zero. 

(iii) For the ratio required by 

paragraph (e) of this section, the 

following numerical value 

specifications apply: 

(A) The ratio shall have a minimum 

value of zero and a maximum value of 

7.99527 with a resolution of 0.000122. 

(B) The ratio for a specific component 

shall be considered to be zero whenever 

the corresponding numerator is equal to 

zero and the corresponding 

denominator is not zero. 

(C) The ratio for a specific component 

shall be considered to be the maximum 

value of 7.99527 if the corresponding 

denominator is zero or if the actual 

value of the numerator divided by the 

denominator exceeds the maximum 

value of 7.99527. 

(6) Engine run time tracking 

requirements. 

(i) For all gasoline and diesel engines, 

the manufacturer must implement 

software algorithms to, for model years 

2010 through 2012, track and report 

individually or, for model years 2013 

and later, track and report individually 

in a standardized format the amount of 

time the engine has been operated in the 

following conditions: 

(A) Total engine run time. 

(B) Total idle run time (with ‘‘idle’’ 

defined as accelerator pedal released by 

the driver, engine speed less than or 

equal to 200 rpm above normal warmedup idle (as determined in the drive 

position for vehicles equipped with an 

automatic transmission) or vehicle 

speed less than or equal to one mile per 

hour, and power take-off not active). 

(C) Total run time with power take off 

active. 

(ii) For each counter specified in 

paragraph (k)(6)(i) of this section, the 

following numerical value 

specifications apply: 

(A) Each number shall be a four-byte 

value with a minimum value of zero, a 

resolution of one second per bit, and an 

accuracy of +/¥ ten seconds per drive 

cycle. 

(B) Each number shall be reset to zero 

only when a non-volatile memory reset 

occurs (e.g., reprogramming event). 

Numbers shall not be reset to zero under 

any other circumstances including 

when a scan tool (generic or enhanced) 

command to clear fault codes or reset 

KAM is received. 

(C) To avoid overflow problems, if 

any of the individual counters reach the 

maximum value, all counters shall be 

divided by two before any are 

incremented again. 

(D) For model years 2010 through 

2012, the counters shall be made 

available to, at a minimum, a 

manufacturer scan tool and may be 

rescaled when transmitted from a 

resolution of one second per bit to no 

more than three minutes per bit. For 

model years 2013 and later, the counters 

shall be made available to a generic scan 

tool in accordance with the SAE J1979 

or SAE J1939 (both as specified in 

paragraph (k)(1) of this section) 

specifications and may be rescaled 

when transmitted, if required by the 

SAE specifications, from a resolution of 

one second per bit to no more than three 

minutes per bit. 

(7) For 2019 and subsequent model 

year alternative-fueled engines derived 

from a diesel-cycle engine, a 

manufacturer may meet the 

standardization requirements of 

paragraph (k) of this section that are 

applicable to diesel engines rather than 

the requirements applicable to gasoline 

engines. 

(l) Monitoring system demonstration 

requirements for certification. 

(1) General. 

(i) The manufacturer must submit 

emissions test data from one or more 

durability demonstration test engines 

(test engines). 

(ii) The Administrator may approve 

other demonstration protocols if the 

manufacturer can provide comparable 

assurance that the malfunction criteria 

are chosen based on meeting the 

malfunction criteria requirements and 

that the timeliness of malfunction 

detection is within the constraints of the 

applicable monitoring requirements. 

(iii) For flexible fuel engines capable 

of operating on more than one fuel or 

fuel combinations, the manufacturer 

must submit a plan for providing 

emission test data. The plan must 

demonstrate that testing will represent 

properly the expected in-use fuel or fuel 

combinations. 

(2) Selection of test engines. 

(i) Prior to submitting any 

applications for certification for a model 

year, the manufacturer must notify the 

Administrator regarding the planned 

engine families and engine ratings 

within each family for that model year. 

The Administrator will select the engine 

family(ies) and the specific engine 

rating within the engine family(ies) that 

the manufacturer shall use as 

demonstration test engines. The 

selection of test vehicles for production 

evaluation testing as specified in 

paragraph (j)(2) of this section may take 

place during this selection process. 

(ii) For model years 2010 through 

2012. The manufacturer must provide 

emissions test data from the OBD parent 

rating as defined in paragraph (o)(1) of 

this section. 

(iii) For model years 2013 and later. 

(A) A manufacturer certifying one to 

five engine families in a given model 

year must provide emissions test data 

for a single test engine from one engine 

rating. A manufacturer certifying six to 

ten engine families in a given model 

year must provide emissions test data 

for a single test engine from two 

different engine ratings. A manufacturer 

certifying eleven or more engine 

families in a given model year must 

provide emissions test data for a single 

test engine from three different engine 

ratings. A manufacturer may forego 

submittal of test data for one or more of 

these test engines if data have been 

submitted previously for all of the 

engine ratings and/or if all requirements 

for certification carry-over from one 

model year to the next are satisfied. 

(B) For a given model year, a 

manufacturer may elect to provide 

emissions data for test engines from 

more engine ratings than required by 

paragraph (l)(2)(iii)(A) of this section. 

For each additional engine rating tested 

in that given model year, the number of 

engine ratings required for testing in one 

future model year will be reduced by 

one. 

(iv) For the test engine, the 

manufacturer must use an engine 

(excluding aftertreatment devices) aged 

for a minimum of 125 hours fitted with 

exhaust aftertreatment emission controls 

aged to be representative of useful life 

aging. In the event that an accelerated 

aging procedure is used, the 

manufacturer is required to submit a 

description of the accelerated aging 

process and/or supporting data or use 

the accelerated aging procedure used for 

emission certification deterioration 

factor generation. The process and/or 

data must demonstrate that 

deterioration of the exhaust 

aftertreatment emission controls is 

stabilized sufficiently such that it 

represents emission control 

performance at the end of the useful life. 

(3) Required testing. Except as 

otherwise described in this paragraph 

(l)(3), the manufacturer must perform 

single malfunction testing based on the 

applicable test with the components/ 

systems set at their malfunction criteria 

limits as determined by the 

manufacturer for meeting the emissions 

thresholds required in paragraphs (g), 

(h), and (i) of this section. 

(i) Required testing for diesel-fueled/ 

compression ignition engines. 

(A) Fuel system. The manufacturer 

must perform a separate test for each 

malfunction limit established by the 

manufacturer for the fuel system 

parameters (e.g., fuel pressure, injection 

timing) specified in paragraphs 

(g)(1)(ii)(A) through (g)(1)(ii)(C) and/or 

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(g)(1)(ii)(D) of this section, if applicable, 

of this section. When performing a test 

for a specific parameter, the fuel system 

must be operating at the malfunction 

criteria limit for the applicable 

parameter only. All other parameters 

must be operating with normal 

characteristics. In conducting the fuel 

system demonstration tests, the 

manufacturer may use computer 

modifications to cause the fuel system 

to operate at the malfunction limit if the 

manufacturer can demonstrate that the 

computer modifications produce test 

results equivalent to an induced 

hardware malfunction. 

(B) Engine misfire. For model years 

2013 and later, the manufacturer must 

perform a test at the malfunction limit 

established by the manufacturer for the 

monitoring required by paragraph 

(g)(2)(ii)(B) of this section. 

(C) EGR system. The manufacturer 

must perform a separate test for each 

malfunction limit established by the 

manufacturer for the EGR system 

parameters (e.g., low flow, high flow, 

slow response) specified in paragraphs 

(g)(3)(ii)(A) through (g)(3)(ii)(C) and in 

(g)(3)(ii)(E) of this section. In conducting 

the EGR system slow response 

demonstration tests, the manufacturer 

may use computer modifications to 

cause the EGR system to operate at the 

malfunction limit if the manufacturer 

can demonstrate that the computer 

modifications produce test results 

equivalent to an induced hardware 

malfunction. 

(D) Turbo boost control system. The 

manufacturer must perform a separate 

test for each malfunction limit 

established by the manufacturer for the 

turbo boost control system parameters 

(e.g., underboost, overboost, response) 

specified in paragraphs (g)(4)(ii)(A) 

through (g)(4)(ii)(C) and in (g)(4)(ii)(E) of 

this section. 

(E) NMHC catalyst. The manufacturer 

must perform a separate test for each 

monitored NMHC catalyst(s). The 

catalyst(s) being evaluated must be 

deteriorated to the applicable 

malfunction limit established by the 

manufacturer for the monitoring 

required by paragraph (g)(5)(ii)(A) of 

this section and using methods 

established by the manufacturer in 

accordance with paragraph (l)(7) of this 

section. For each monitored NMHC 

catalyst(s), the manufacturer must also 

demonstrate that the OBD system will 

detect a catalyst malfunction with the 

catalyst at its maximum level of 

deterioration (i.e., the substrate(s) 

completely removed from the catalyst 

container or ‘‘empty’’ can). Emissions 

data are not required for the empty can 

demonstration. 

(F) NOX catalyst. The manufacturer 

must perform a separate test for each 

monitored NOX catalyst(s) (e.g., SCR 

catalyst). The catalyst(s) being evaluated 

must be deteriorated to the applicable 

malfunction criteria established by the 

manufacturer for the monitoring 

required by paragraphs (g)(6)(ii)(A) and 

(g)(6)(ii)(B) of this section and using 

methods established by the 

manufacturer in accordance with 

paragraph (l)(7) of this section. For each 

monitored NOX catalyst(s), the 

manufacturer must also demonstrate 

that the OBD system will detect a 

catalyst malfunction with the catalyst at 

its maximum level of deterioration (i.e., 

the substrate(s) completely removed 

from the catalyst container or ‘‘empty’’ 

can). Emissions data are not required for 

the empty can demonstration. 

(G) NOX adsorber. The manufacturer 

must perform a test using a NOX

adsorber(s) deteriorated to the 

applicable malfunction limit established 

by the manufacturer for the monitoring 

required by paragraph (g)(7)(ii)(A) of 

this section. The manufacturer must 

also demonstrate that the OBD system 

will detect a NOX adsorber malfunction 

with the NOX adsorber at its maximum 

level of deterioration (i.e., the 

substrate(s) completely removed from 

the container or ‘‘empty’’ can). 

Emissions data are not required for the 

empty can demonstration. 

(H) Diesel particulate filter. The 

manufacturer must perform a separate 

test using a DPF deteriorated to the 

applicable malfunction limits 

established by the manufacturer for the 

monitoring required by paragraph 

(g)(8)(ii)(A) and (g)(8)(ii)(B) of this 

section. For systems using the optional 

DPF monitoring provision of paragraph 

(g)(8)(ii)(A) of this section, the 

manufacturer must perform a separate 

test using a DPF modified in a manner 

approved by the Administrator (e.g., 

drilling of wallflow channel end plugs, 

drilling of through holes, etc.) and 

testing at each of the nine test points 

specified in paragraph (g)(8)(ii)(A) of 

this section. The manufacturer must 

also demonstrate that the OBD system 

will detect a DPF malfunction with the 

DPF at its maximum level of 

deterioration (i.e., the filter(s) 

completely removed from the filter 

container or ‘‘empty’’ can). Emissions 

data are not required for the empty can 

demonstration. 

(I) Exhaust gas sensor. The 

manufacturer must perform a separate 

test for each malfunction limit 

established by the manufacturer for the 

monitoring required in paragraphs 

(g)(9)(ii)(A), (g)(9)(iii)(A), and 

(g)(9)(iv)(A) of this section. When 

performing a test, all exhaust gas 

sensors used for the same purpose (e.g., 

for the same feedback control loop, for 

the same control feature on parallel 

exhaust banks) must be operating at the 

malfunction criteria limit for the 

applicable parameter only. All other 

exhaust gas sensor parameters must be 

operating with normal characteristics. 

(J) VVT system. The manufacturer 

must perform a separate test for each 

malfunction limit established by the 

manufacturer for the monitoring 

required in paragraphs (g)(10)(ii)(A) and 

(g)(10)(ii)(B) of this section. In 

conducting the VVT system 

demonstration tests, the manufacturer 

may use computer modifications to 

cause the VVT system to operate at the 

malfunction limit if the manufacturer 

can demonstrate that the computer 

modifications produce test results 

equivalent to an induced hardware 

malfunction. 

(K) For each of the testing 

requirements of this paragraph (l)(3)(i) 

of this section, if the manufacturer has 

established that only a functional check 

is required because no failure or 

deterioration of the specific tested 

system could result in an engine’s 

emissions exceeding the applicable 

emissions thresholds, the manufacturer 

is not required to perform a 

demonstration test; however, the 

manufacturer is required to provide the 

data and/or engineering analysis used to 

determine that only a functional test of 

the system(s) is required. 

(ii) Required testing for gasolinefueled/spark-ignition engines. 

(A) Fuel system. For engines with 

adaptive feedback based on the primary 

fuel control sensor(s), the manufacturer 

must perform a test with the adaptive 

feedback based on the primary fuel 

control sensor(s) at the rich limit(s) and 

a test at the lean limit(s) established by 

the manufacturer as required by 

paragraph (h)(1)(ii)(A) of this section to 

detect a malfunction before emissions 

exceed applicable emissions thresholds. 

For engines with feedback based on a 

secondary fuel control sensor(s) and 

subject to the malfunction criteria in 

paragraph (h)(1)(ii)(A) of this section, 

the manufacturer must perform a test 

with the feedback based on the 

secondary fuel control sensor(s) at the 

rich limit(s) and a test at the lean 

limit(s) established by the manufacturer 

as required by paragraph (h)(1)(ii)(A) of 

this section to detect a malfunction 

before emissions exceed the applicable 

emissions thresholds. For other fuel 

metering or control systems, the 

manufacturer must perform a test at the 

criteria limit(s). For purposes of fuel 

system testing as required by this 

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paragraph (l)(3)(ii)(A), the 

malfunction(s) induced may result in a 

uniform distribution of fuel and air 

among the cylinders. Non uniform 

distribution of fuel and air used to 

induce a malfunction shall not cause 

misfire. In conducting the fuel system 

demonstration tests, the manufacturer 

may use computer modifications to 

cause the fuel system to operate at the 

malfunction limit. To do so, the 

manufacturer must be able to 

demonstrate that the computer 

modifications produce test results 

equivalent to an induced hardware 

malfunction. 

(B) Misfire. The manufacturer must 

perform a test at the malfunction criteria 

limit specified in paragraph (h)(2)(ii)(B) 

of this section. 

(C) EGR system. The manufacturer 

must perform a test at each flow limit 

calibrated to the malfunction criteria 

specified in paragraphs (h)(3)(ii)(A) and 

(h)(3)(ii)(B) of this section. 

(D) Cold start emission reduction 

strategy. The manufacturer must 

perform a test at the malfunction criteria 

for each component monitored 

according to paragraph (h)(4)(ii)(A) of 

this section. 

(E) Secondary air system. The 

manufacturer must perform a test at 

each flow limit calibrated to the 

malfunction criteria specified in 

paragraphs (h)(5)(ii)(A) and (h)(5)(ii)(B) 

of this section. 

(F) Catalyst. The manufacturer must 

perform a test using a catalyst system 

deteriorated to the malfunction criteria 

specified in paragraph (h)(6)(ii) of this 

section using methods established by 

the manufacturer in accordance with 

paragraph (l)(7)(ii) of this section. The 

manufacturer must also demonstrate 

that the OBD system will detect a 

catalyst system malfunction with the 

catalyst system at its maximum level of 

deterioration (i.e., the substrate(s) 

completely removed from the catalyst 

container or ‘‘empty’’ can). Emission 

data are not required for the empty can 

demonstration. 

(G) Exhaust gas sensor. The 

manufacturer must perform a test with 

all primary exhaust gas sensors used for 

fuel control simultaneously possessing a 

response rate deteriorated to the 

malfunction criteria limit specified in 

paragraph (h)(8)(ii)(A) of this section. 

The manufacturer must also perform a 

test for any other primary or secondary 

exhaust gas sensor parameter under 

parargraphs (h)(8)(ii)(A) and 

(h)(8)(iii)(A) of this section that can 

cause engine emissions to exceed the 

applicable emissions thresholds (e.g., 

shift in air/fuel ratio at which oxygen 

sensor switches, decreased amplitude). 

When performing additional test(s), all 

primary and secondary (if applicable) 

exhaust gas sensors used for emission 

control must be operating at the 

malfunction criteria limit for the 

applicable parameter only. All other 

primary and secondary exhaust gas 

sensor parameters must be operating 

with normal characteristics. 

(H) VVT system. The manufacturer 

must perform a test at each target error 

limit and slow response limit calibrated 

to the malfunction criteria specified in 

paragraphs (h)(9)(ii)(A) and (h)(9)(ii)(B) 

of this section. In conducting the VVT 

system demonstration tests, the 

manufacturer may use computer 

modifications to cause the VVT system 

to operate at the malfunction limit. To 

do so, the manufacturer must be able to 

demonstrate that the computer 

modifications produce test results 

equivalent to an induced hardware 

malfunction. 

(I) For each of the testing 

requirements of this paragraph (l)(3)(ii), 

if the manufacturer has established that 

only a functional check is required 

because no failure or deterioration of the 

specific tested system could cause an 

engine’s emissions to exceed the 

applicable emissions thresholds, the 

manufacturer is not required to perform 

a demonstration test; however the 

manufacturer is required to provide the 

data and/or engineering analyses used 

to determine that only a functional test 

of the system(s) is required. 

(iii) Required testing for all engines. 

(A) Other emission control systems. 

The manufacturer must conduct 

demonstration tests for all other 

emission control components (e.g., 

hydrocarbon traps, adsorbers) designed 

and calibrated to a malfunction limit 

based on an emissions threshold based 

on the requirements of paragraph (i)(4) 

of this section. 

(B) For each of the testing 

requirements of paragraph (l)(3)(iii)(A) 

of this section, if the manufacturer has 

established that only a functional check 

is required because no failure or 

deterioration of the specific tested 

system could result in an engine’s 

emissions exceeding the applicable 

emissions thresholds, the manufacturer 

is not required to perform a 

demonstration test; however, the 

manufacturer is required to provide the 

data and/or engineering analysis used to 

determine that only a functional test of 

the system(s) is required. 

(iv) The manufacturer may 

electronically simulate deteriorated 

components but shall not make any 

engine control unit modifications when 

performing demonstration tests unless 

approved by the Administrator. All 

equipment necessary to duplicate the 

demonstration test must be made 

available to the Administrator upon 

request. 

(4) Testing protocol. 

(i) Preconditioning. The manufacturer 

must use an applicable cycle for 

preconditioning test engines prior to 

conducting each of the emission tests 

required by paragraph (l)(3) of this 

section. The manufacturer may perform 

a single additional preconditioning 

cycle, identical to the initial one, after 

a 20-minute hot soak but must 

demonstrate that such an additional 

cycle is necessary to stabilize the 

emissions control system. A practice of 

requiring a cold soak prior to 

conducting preconditioning cycles is 

not permitted. 

(ii) Test sequence. 

(A) The manufacturer must set 

individually each system or component 

on the test engine at the malfunction 

criteria limit prior to conducting the 

applicable preconditioning cycle(s). If a 

second preconditioning cycle is 

permitted in accordance with paragraph 

(l)(4)(i) of this section, the manufacturer 

may adjust the system or component to 

be tested before conducting the second 

preconditioning cycle. The 

manufacturer shall not replace, modify, 

or adjust the system or component after 

the last preconditioning cycle has been 

completed. 

(B) After preconditioning, the test 

engine must be operated over the 

applicable cycle to allow for the initial 

detection of the tested system or 

component malfunction. This test cycle 

may be omitted from the testing 

protocol if it is unnecessary. If required 

by the monitoring strategy being tested, 

a cold soak may be performed prior to 

conducting this test cycle. 

(C) The test engine must then be 

operated over the applicable exhaust 

emissions test. 

(iii) A manufacturer required to test 

more than one test engine according to 

paragraph (l)(2)(iii) of this section may 

use internal calibration sign-off test 

procedures (e.g., forced cool downs, less 

frequently calibrated emission 

analyzers) instead of official test 

procedures to obtain the emission test 

data required by this paragraph (l) of 

this section for all but one of the 

required test engines. The manufacturer 

may elect this option if the data from 

the alternative test procedure are 

representative of official emissions test 

results. A manufacturer using this 

option is still responsible for meeting 

the malfunction criteria specified in 

paragraphs (g) through (i) of this section 

if and when emissions tests are 

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performed in accordance with official 

test procedures. 

(iv) The manufacturer may request 

approval to use an alternative testing 

protocol for demonstration of MIL 

activation if the engine dynamometer 

emission test cycle does not allow all of 

a given monitor’s enable conditions to 

be satisfied. The manufacturer may 

request the use of an alternative engine 

dynamometer test cycle or the use of 

chassis testing to demonstrate proper 

MIL activation. To do so, the 

manufacturer must demonstrate the 

technical necessity for using an 

alternative test cycle and the degree to 

which the alternative test cycle 

demonstrates that in-use operation with 

the malfunctioning component will 

result in proper MIL activation. 

(5) Evaluation protocol. Full OBD 

engine ratings, as defined by paragraph 

(o)(1) of this section, shall be evaluated 

according to the following protocol: 

(i) For all tests conducted as required 

by paragraph (l) of this section, the MIL 

must activate before the end of the first 

engine start portion of the applicable 

test. 

(ii) If the MIL activates prior to 

emissions exceeding the applicable 

malfunction criteria limits specified in 

paragraphs (g) through (i), no further 

demonstration is required. With respect 

to the misfire monitor demonstration 

test, if the manufacturer has elected to 

use the minimum misfire malfunction 

criteria of one percent as allowed in 

paragraphs (g)(2)(ii)(B), if applicable, 

and (h)(2)(ii)(B) of this section, no 

further demonstration is required 

provided the MIL activates with engine 

misfire occurring at the malfunction 

criteria limit. 

(iii) If the MIL does not activate when 

the system or component is set at its 

malfunction criteria limit(s), the criteria 

limit(s) or the OBD system is not 

acceptable. 

(A) Except for testing of the catalyst 

or DPF system, if the MIL first activates 

after emissions exceed the applicable 

malfunction criteria specified in 

paragraphs (g) through (i) of this section, 

the test engine shall be retested with the 

tested system or component adjusted so 

that the MIL will activate before 

emissions exceed the applicable 

malfunction criteria specified in 

paragraphs (g) through (i) of this section. 

If the component cannot be so adjusted 

because an alternative fuel or emission 

control strategy is used when a 

malfunction is detected (e.g., open loop 

fuel control used after an oxygen sensor 

malfunction is detected), the test engine 

shall be retested with the component 

adjusted to the worst acceptable limit 

(i.e., the applicable OBD monitor 

indicates that the component is 

performing at or slightly better than the 

malfunction criteria limit). When tested 

with the component so adjusted, the 

MIL must not activate during the test 

and the engine emissions must be below 

the applicable malfunction criteria 

specified in paragraphs (g) through (i) of 

this section. 

(B) In testing the catalyst or DPF 

system, if the MIL first activates after 

emissions exceed the applicable 

emissions threshold(s) specified in 

paragraphs (g) and (h), the tested engine 

shall be retested with a less deteriorated 

catalyst or DPF system (i.e., more of the 

applicable engine out pollutants are 

converted or trapped). For the OBD 

system to be approved, testing shall be 

continued until the MIL activates with 

emissions below the applicable 

thresholds of paragraphs (g) and (h) of 

this section, or the MIL activates with 

emissions within a range no more than 

20 percent below the applicable 

emissions thresholds and 10 percent or 

less above those emissions thresholds. 

(iv) If an OBD system is determined 

to be unacceptable by the criteria of this 

paragraph (l)(5) of this section, the 

manufacturer may recalibrate and retest 

the system on the same test engine. In 

such a case, the manufacturer must 

confirm, by retesting, that all systems 

and components that were tested prior 

to the recalibration and are affected by 

it still function properly with the 

recalibrated OBD system. 

(6) Confirmatory testing. 

(i) The Administrator may perform 

confirmatory testing to verify the 

emission test data submitted by the 

manufacturer as required by this 

paragraph (l) of this section comply 

with its requirements and the 

malfunction criteria set forth in 

paragraphs (g) through (i) of this section. 

Such confirmatory testing is limited to 

the test engine(s) required by paragraph 

(l)(2) of this section. 

(ii) To conduct this confirmatory 

testing, the Administrator may install 

appropriately deteriorated or 

malfunctioning components (or 

simulate them) in an otherwise properly 

functioning test engine of an engine 

rating represented by the demonstration 

test engine in order to test any of the 

components or systems required to be 

tested by paragraph (l) of this section. 

The manufacturer shall make available, 

if requested, an engine and all test 

equipment (e.g., malfunction simulators, 

deteriorated components) necessary to 

duplicate the manufacturer’s testing. 

Such a request from the Administrator 

shall occur within six months of 

reviewing and approving the 

demonstration test engine data 

submitted by the manufacturer for the 

specific engine rating. 

(7) Catalyst aging. 

(i) Diesel catalysts. For purposes of 

determining the catalyst malfunction 

limits for the monitoring required by 

paragraphs (g)(5)(ii)(A), (g)(5)(ii)(B), and 

(g)(6)(ii)(A) of this section, where those 

catalysts are monitored individually, the 

manufacturer must use a catalyst 

deteriorated to the malfunction criteria 

using methods established by the 

manufacturer to represent real world 

catalyst deterioration under normal and 

malfunctioning engine operating 

conditions. For purposes of determining 

the catalyst malfunction limits for the 

monitoring required by paragraphs 

(g)(5)(ii)(A), (g)(5)(ii)(B), and (g)(6)(ii)(A) 

of this section, where those catalysts are 

monitored in combination with other 

catalysts, the manufacturer must submit 

their catalyst system aging and 

monitoring plan to the Administrator as 

part of their certification documentation 

package. The plan must include the 

description, emission control purpose, 

and location of each component, the 

monitoring strategy for each component 

and/or combination of components, and 

the method for determining the 

applicable malfunction criteria 

including the deterioration/aging 

process. 

(ii) Gasoline catalysts. For the 

purposes of determining the catalyst 

system malfunction criteria in 

paragraph (h)(6)(ii) of this section, the 

manufacturer must use a catalyst system 

deteriorated to the malfunction criteria 

using methods established by the 

manufacturer to represent real world 

catalyst deterioration under normal and 

malfunctioning operating conditions. 

The malfunction criteria must be 

established by using a catalyst system 

with all monitored and unmonitored 

(downstream of the sensor utilized for 

catalyst monitoring) catalysts 

simultaneously deteriorated to the 

malfunction criteria except for those 

engines that use fuel shutoff to prevent 

over-fueling during engine misfire 

conditions. For such engines, the 

malfunction criteria must be established 

by using a catalyst system with all 

monitored catalysts simultaneously 

deteriorated to the malfunction criteria 

while unmonitored catalysts shall be 

deteriorated to the end of the engine’s 

useful life. 

(m) Certification documentation 

requirements. 

(1) When submitting an application 

for certification of an engine, the 

manufacturer must submit the following 

documentation. If any of the items listed 

here are standardized for all of the 

manufacturer’s engines, the 

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manufacturer may, for each model year, 

submit one set of documents covering 

the standardized items for all of its 

engines. 

(i) For the required documentation 

that is not standardized across all 

engines, the manufacturer may be 

allowed to submit documentation for 

certification from one engine that is 

representative of other engines. All such 

engines shall be considered to be part of 

an OBD certification documentation 

group. To represent the OBD group, the 

chosen engine must be certified to the 

most stringent emissions standards and 

OBD monitoring requirements and cover 

all of the emissions control devices for 

the engines in the group and covered by 

the submitted documentation. Such 

OBD groups must be approved in 

advance of certification. 

(ii) Upon approval, one or more of the 

documentation requirements of this 

paragraph (m) of this section may be 

waived or modified if the information 

required is redundant or unnecessarily 

burdensome to generate. 

(iii) To the extent possible, the 

certification documentation must use 

SAE J1930 (as specified in paragraph 

(k)(1) of this section) or SAE J2403 (as 

specified in paragraph (k)(1) of this 

section) terms, abbreviations, and 

acronyms as specified in paragraph 

(k)(1) of this section. 

(2) Unless otherwise specified, the 

following information must be 

submitted as part of the certification 

application and prior to receiving a 

certificate. 

(i) A description of the functional 

operation of the OBD system including 

a complete written description for each 

monitoring strategy that outlines every 

step in the decision-making process of 

the monitor. Algorithms, diagrams, 

samples of data, and/or other graphical 

representations of the monitoring 

strategy shall be included where 

necessary to adequately describe the 

information. 

(ii) A table including the following 

information for each monitored 

component or system (either computersensed or computer-controlled) of the 

emissions control system: 

(A) Corresponding diagnostic trouble 

code. 

(B) Monitoring method or procedure 

for malfunction detection. 

(C) Primary malfunction detection 

parameter and its type of output signal. 

(D) Malfunction criteria limits used to 

evaluate output signal of primary 

parameter. 

(E) Other monitored secondary 

parameters and conditions (in 

engineering units) necessary for 

malfunction detection. 

(F) Monitoring time length and 

frequency of monitoring events. 

(G) Criteria for storing a diagnostic 

trouble code. 

(H) Criteria for activating a 

malfunction indicator light. 

(I) Criteria used for determining outof-range values and input component 

rationality checks. 

(iii) Whenever possible, the table 

required by paragraph (m)(2)(ii) of this 

section shall use the following 

engineering units: 

(A) Degrees Celsius for all 

temperature criteria. 

(B) KiloPascals (KPa) for all pressure 

criteria related to manifold or 

atmospheric pressure. 

(C) Grams (g) for all intake air mass 

criteria. 

(D) Pascals (Pa) for all pressure 

criteria related to evaporative system 

vapor pressure. 

(E) Miles per hour (mph) for all 

vehicle speed criteria. 

(F) Relative percent (%) for all relative 

throttle position criteria (as defined in 

SAE J1979 or SAE J1939 (both as 

specified in paragraph (k)(1) of this 

section)). 

(G) Voltage (V) for all absolute throttle 

position criteria (as defined in SAE 

J1979 or SAE J1939 (both as specified in 

paragraph (k)(1) of this section)). 

(H) Per crankshaft revolution (/rev) for 

all changes per ignition event based 

criteria (e.g., g/rev instead of g/stroke or 

g/firing). 

(I) Per second (/sec) for all changes 

per time based criteria (e.g., g/sec). 

(J) Percent of nominal tank volume 

(%) for all fuel tank level criteria. 

(iv) A logic flowchart describing the 

step-by-step evaluation of the enable 

criteria and malfunction criteria for each 

monitored emission related component 

or system. 

(v) Emissions test data, a description 

of the testing sequence (e.g., the number 

and types of preconditioning cycles), 

approximate time (in seconds) of MIL 

activation during the test, diagnostic 

trouble code(s) and freeze frame 

information stored at the time of 

detection, corresponding test results 

(e.g. SAE J1979 (as specified in 

paragraph (k)(1) of this section) Mode/ 

Service $06, SAE J1939 (as specified in 

paragraph (k)(1) of this section) 

Diagnostic Message 8 (DM8)) stored 

during the test, and a description of the 

modified or deteriorated components 

used for malfunction simulation with 

respect to the demonstration tests 

specified in paragraph (l) of this section. 

The freeze frame data are not required 

for engines termed ‘‘Extrapolated OBD’’ 

engines. 

(vi) For gasoline engines, data 

supporting the misfire monitor, 

including: 

(A) The established percentage of 

misfire that can be tolerated without 

damaging the catalyst over the full range 

of engine speed and load conditions. 

(B) Data demonstrating the probability 

of detection of misfire events by the 

misfire monitoring system over the full 

engine speed and load operating range 

for the following misfire patterns: 

random cylinders misfiring at the 

malfunction criteria established in 

paragraph (h)(2)(ii)(B) of this section, 

one cylinder continuously misfiring, 

and paired cylinders continuously 

misfiring. 

(C) Data identifying all disablement of 

misfire monitoring that occurs during 

the FTP. For every disablement that 

occurs during the cycles, the data shall 

identify: when the disablement occurred 

relative to the driver’s trace, the number 

of engine revolutions during which each 

disablement was present, and which 

disable condition documented in the 

certification application caused the 

disablement. 

(D) Manufacturers are not required to 

use the durability demonstration engine 

to collect the misfire data required by 

paragraph (m)(2)(vi) of this section. 

(vii) Data supporting the limit for the 

time between engine starting and 

attaining the designated heating 

temperature for after-start heated 

catalyst systems. 

(viii) Data supporting the criteria used 

to detect a malfunction of the fuel 

system, EGR system, boost pressure 

control system, catalyst, NOX adsorber, 

DPF, cold start emission reduction 

strategy, secondary air, evaporative 

system, VVT system, exhaust gas 

sensors, and other emission controls 

that causes emissions to exceed the 

applicable malfunction criteria specified 

in paragraphs (g) through (i) of this 

section. For diesel engine monitors 

required by paragraphs (g) and (i) of this 

section that are required to indicate a 

malfunction before emissions exceed an 

emission threshold based on any 

applicable standard (e.g., 2.5 times any 

of the applicable standards), the test 

cycle and standard determined by the 

manufacturer to be the most stringent 

for each applicable monitor in 

accordance with paragraph (f)(1) of this 

section. 

(ix) A list of all electronic powertrain 

input and output signals (including 

those not monitored by the OBD system) 

that identifies which signals are 

monitored by the OBD system. For input 

and output signals that are monitored as 

comprehensive components, the listing 

shall also identify the specific 

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8406 Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 

diagnostic trouble code for each 

malfunction criteria (e.g., out-of-range 

low, out-of-range high, open circuit, 

rationality low, rationality high). 

(x) A written description of all 

parameters and conditions necessary to 

begin closed-loop/feedback control of 

emission control systems (e.g., fuel 

system, boost pressure, EGR flow, SCR 

reductant delivery, DPF regeneration, 

fuel system pressure). 

(xi) A written identification of the 

communication protocol utilized by 

each engine for communication with a 

scan tool (model years 2010 through 

2012) or an SAE J1978 or SAE J1939 

(both as specified in paragraph (k)(1) of 

this section) scan tool (model years 2013 

and later). 

(xii) For model years 2013 and later, 

a pictorial representation or written 

description of the diagnostic connector 

location including any covers or labels. 

(xiii) A written description of the 

method used by the manufacturer to 

meet the requirements of paragraph 

(i)(2) of this section (crankcase 

ventilation system monitoring) 

including diagrams or pictures of valve 

and/or hose connections. 

(xiv) Build specifications provided to 

engine purchasers or chassis 

manufacturers detailing all 

specifications or limitations imposed on 

the engine purchaser relevant to OBD 

requirements or emissions compliance 

(e.g., cooling system heat rejection rates, 

allowable MIL locations, connector 

location specifications). A description of 

the method or copies of agreements 

used to ensure engine purchasers or 

chassis manufacturers will comply with 

the OBD and emissions relevant build 

specifications (e.g., signed agreements, 

required audit/evaluation procedures). 

(xv) Any other information 

determined by the Administrator to be 

necessary to demonstrate compliance 

with the requirements of this section. 

(3) In addition to the documentation 

required by paragraphs (m)(1) and 

(m)(2) of this section, a manufacturer 

making use of paragraph (a)(5) of this 

section must submit the following 

information with their application for 

certification. 

(i) A detailed description of how the 

OBD system meets the intent of 

§ 86.010–18. 

(ii) A detailed description of why the 

manufacturer has chosen not to design 

the OBD system to meet the 

requirements of § 86.010–18 and has 

instead designed the OBD system to 

meet the applicable California OBD 

requirements. 

(iii) A detailed description of any 

deficiencies granted by the California 

staff and any concerns raised by 

California staff. A copy of a California 

Executive Order alone will not be 

considered acceptable toward meeting 

this requirement. This description shall 

also include, to the extent feasible, a 

plan with timelines for resolving 

deficiencies and/or concerns. 

(n) Deficiencies. 

(1) Upon application by the 

manufacturer, the Administrator may 

accept an OBD system as compliant 

even though specific requirements are 

not fully met. Such compliances 

without meeting specific requirements, 

or deficiencies, will be granted only if 

compliance is infeasible or 

unreasonable considering such factors 

as, but not limited to: Technical 

feasibility of the given monitor and lead 

time and production cycles including 

phase-in or phase-out of engines or 

vehicle designs and programmed 

upgrades of computers. Unmet 

requirements shall not be carried over 

from the previous model year except 

where unreasonable hardware or 

software modifications are necessary to 

correct the deficiency, and the 

manufacturer has demonstrated an 

acceptable level of effort toward 

compliance as determined by the 

Administrator. Furthermore, EPA will 

not accept any deficiency requests that 

include the complete lack of a major 

diagnostic monitor (‘‘major’’ diagnostic 

monitors being those for exhaust 

aftertreatment devices, oxygen sensor, 

air-fuel ratio sensor, NOX sensor, engine 

misfire, evaporative leaks, and diesel 

EGR, if equipped), with the possible 

exception of the special provisions for 

alternative fueled engines. For 

alternative fueled heavy-duty engines 

(e.g., natural gas, liquefied petroleum 

gas, methanol, ethanol), manufacturers 

may request the Administrator to waive 

specific monitoring requirements of this 

section for which monitoring may not 

be reliable with respect to the use of the 

alternative fuel. At a minimum, 

alternative fuel engines must be 

equipped with an OBD system meeting 

OBD requirements to the extent feasible 

as approved by the Administrator. 

(2) In the event the manufacturer 

seeks to carry-over a deficiency from a 

past model year to the current model 

year, the manufacturer must re-apply for 

approval to do so. In considering the 

request to carry-over a deficiency, the 

Administrator shall consider the 

manufacturer’s progress towards 

correcting the deficiency. The 

Administrator may not allow 

manufacturers to carry over monitoring 

system deficiencies for more than two 

model years unless it can be 

demonstrated that substantial engine 

hardware modifications and additional 

lead time beyond two years are 

necessary to correct the deficiency. 

(3) A deficiency shall not be granted 

retroactively (i.e., after the engine has 

been certified). 

(o) Implementation schedule. Except 

as specifically provided for in this 

paragraph (o) for small volume 

manufacturers and alternative fueled 

engines, the requirements of this section 

must be met according to the following 

provisions: 

(1) For model years 2010 through 

2012. 

(i) Full OBD. The manufacturer must 

implement an OBD system meeting the 

applicable requirements of § 86.010–18 

on one engine rating within one engine 

family of the manufacturer’s product 

line. This ‘‘Full OBD’’ rating will be 

known as the ‘‘OBD parent’’ rating. The 

OBD parent rating must be chosen, 

unless otherwise approved by the 

Administrator, as the rating having the 

highest weighted projected U.S. sales 

within the engine family having the 

highest weighted projected U.S. sales, 

with U.S. sales being weighted by the 

useful life of the engine rating. 

(ii) Extrapolated OBD. For all other 

engine ratings within the engine family 

from which the OBD parent rating has 

been selected, the manufacturer must 

implement an OBD system meeting the 

applicable requirements of § 86.010–18 

except that the OBD system is not 

required to detect a malfunction prior to 

exceeding the emission thresholds 

shown in Table 1 of paragraph (g) and 

Table 2 of paragraph (h) of this section. 

These ‘‘Extrapolated OBD’’ engines will 

be know as the ‘‘OBD child’’ ratings. On 

these OBD child ratings, rather than 

detecting a malfunction prior to 

exceeding the emission thresholds, the 

manufacturer must submit a plan for 

Administrator review and approval that 

details the engineering evaluation the 

manufacturer will use to establish the 

malfunction criteria for the OBD child 

ratings. The plan must demonstrate both 

the use of good engineering judgment in 

establishing the malfunction criteria, 

and robust detection of malfunctions, 

including consideration of differences of 

base engine, calibration, emission 

control components, and emission 

control strategies. 

(iii) Engine families other than those 

from which the parent and child ratings 

have been selected, are not subject to 

the requirements of this section. 

(iv) Small volume manufacturers, as 

defined in § 86.094–14(b)(1) and (2) and 

as determined using 2010 model year 

sales, are exempt from the requirements 

of this § 86.010–18, unless model year 

2011 or model year 2012 sales exceed 

20,000 units. 

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(v) Engines certified as alternative 

fueled engines are exempt from the 

requirements of this § 86.010–18. 

(2) For model years 2013 through 

2015. 

(i) OBD groups. The manufacturer 

shall define one or more OBD groups to 

cover all engine ratings in all engine 

families. The manufacturer must submit 

a grouping plan for Administrator 

review and approval detailing the OBD 

groups and the engine families and 

engine ratings within each group for a 

given model year. 

(ii) Full OBD. 

(A) For all model year 2010 through 

2012 ‘‘Full OBD’’ and ‘‘Extrapolated 

OBD’’ engine ratings, the manufacturer 

must implement an OBD system 

meeting the applicable requirements of 

this section. 

(B) On one engine rating within each 

of the manufacturer’s OBD groups, the 

manufacturer must implement an OBD 

system meeting the applicable 

requirements of this section. These 

‘‘Full OBD’’ ratings will be known as the 

‘‘OBD parent’’ ratings. The OBD parent 

rating for each OBD group shall be 

chosen, unless otherwise approved by 

the Administrator, as the rating having 

the highest weighted projected U.S. 

sales within the OBD group, with U.S. 

sales being weighted by the useful life 

of the engine rating. 

(iii) Extrapolated OBD. For all other 

engine ratings within each OBD group, 

the manufacturer must implement an 

OBD system meeting the requirements 

of this section except that the OBD 

system is not required to detect a 

malfunction prior to exceeding the 

emission thresholds shown in Table 1 of 

paragraph (g) and Table 2 of paragraph 

(h) of this section. These extrapolated 

OBD engines will be know as the ‘‘OBD 

child’’ ratings. On these OBD child 

ratings, rather than detecting a 

malfunction prior to exceeding the 

emission thresholds, the manufacturer 

must submit a plan for Administrator 

review and approval that details the 

engineering evaluation the manufacturer 

will use to establish the malfunction 

criteria for the OBD child ratings. The 

plan must demonstrate both the use of 

good engineering judgment in 

establishing the malfunction criteria, 

and robust detection of malfunctions, 

including consideration of differences of 

base engine, calibration, emission 

control components, and emission 

control strategies. 

(iv) Engines certified as alternative 

fueled engines shall meet, to the extent 

feasible, the requirements specified in 

paragraph (i)(3) of this § 86.010–18. 

Additionally, such engines shall 

monitor the NOX aftertreatment system 

on engines so equipped and detect a 

malfunction if: 

(A) The NOX aftertreatment system 

has no detectable amount of NOX

aftertreatement capability (i.e., NOX

catalyst conversion or NOX adsorption). 

(B) The NOX aftertreatment substrate 

is completely destroyed, removed, or 

missing. 

(C) The NOX aftertreatment assembly 

is replaced with a straight pipe. 

(3) For model years 2016 through 

2018. 

(i) OBD groups. The manufacturer 

shall define one or more OBD groups to 

cover all engine ratings in all engine 

families. The manufacturer must submit 

a grouping plan for Administrator 

review and approval detailing the OBD 

groups and the engine families and 

engine ratings within each group for a 

given model year. 

(ii) Full OBD. The manufacturer must 

implement an OBD system meeting the 

applicable requirements of this section 

on all engine ratings in all engine 

families. 

(iii) Engines certified as alternative 

fueled engines shall meet, to the extent 

feasible, the requirements specified in 

paragraph (i)(3) of this § 86.010–18. 

Additionally, such engines shall 

monitor the NOX aftertreatment system 

on engines so equipped and detect a 

malfunction if: 

(A) The NOX aftertreatment system 

has no detectable amount of NOX

aftertreatement capability (i.e., NOX

catalyst conversion or NOX adsorption). 

(B) The NOX aftertreatment substrate 

is completely destroyed, removed, or 

missing. 

(C) The NOX aftertreatment assembly 

is replaced with a straight pipe. 

(4) For model years 2019 and later. 

(i) The manufacturer must implement 

an OBD system meeting the applicable 

requirements of § 86.010–18 on all 

engines. 

(p) In-use compliance standards. For 

monitors required to indicate a 

malfunction before emissions exceed a 

certain emission threshold (e.g., 2.5 

times any of the applicable standards): 

(1) For model years 2010 through 

2012. 

(i) On the full OBD rating (i.e., the 

parent rating) as defined in paragraph 

(o)(1) of this section, separate in-use 

emissions thresholds shall apply. These 

thresholds are determined by doubling 

the applicable thresholds as shown in 

Table 1 of paragraph (g) and Table 2 of 

paragraph (h) of this section. The 

resultant thresholds apply only in-use 

and do not apply for certification or 

selective enforcement auditing. 

(ii) The extrapolated OBD ratings (i.e., 

the child ratings) as defined in 

paragraph (o)(1) of this section shall not 

be evaluated against emissions levels for 

purposes of OBD compliance in-use. 

(iii) Only the test cycle and standard 

determined and identified by the 

manufacturer at the time of certification 

in accordance with paragraph (f) of this 

section as the most stringent shall be 

used for the purpose of determining 

OBD system noncompliance in-use. 

(iv) An OBD system shall not be 

considered noncompliant solely due to 

a failure or deterioration mode of a 

monitored component or system that 

could not have been reasonably foreseen 

to occur by the manufacturer. 

(2) For model years 2013 through 

2015. 

(i) On the full OBD ratings as defined 

in paragraph (o)(2) of this section, 

separate in-use emissions thresholds 

shall apply. These thresholds are 

determined by doubling the applicable 

thresholds as shown in Table 1 of 

paragraph (g) and Table 2 of paragraph 

(h) of this section. The resultant 

thresholds apply only in-use and do not 

apply for certification or selective 

enforcement auditing. 

(ii) The extrapolated OBD ratings as 

defined in paragraph (o)(2) of this 

section shall not be evaluated against 

emissions levels for purposes of OBD 

compliance in-use. 

(iii) Only the test cycle and standard 

determined and identified by the 

manufacturer at the time of certification 

in accordance with paragraph (f) of this 

section as the most stringent shall be 

used for the purpose of determining 

OBD system noncompliance in-use. 

(iv) For monitors subject to meeting 

the minimum in-use monitor 

performance ratio of 0.100 in paragraph 

(d)(1)(ii), the OBD system shall not be 

considered noncompliant unless a 

representative sample indicates the inuse ratio is below 0.050. 

(v) An OBD system shall not be 

considered noncompliant solely due to 

a failure or deterioration mode of a 

monitored component or system that 

could not have been reasonably foreseen 

to occur by the manufacturer. 

(3) For model years 2016 through 

2018. 

(i) On the engine ratings tested 

according to (l)(2)(iii) of this section, the 

certification emissions thresholds shall 

apply in-use. 

(ii) On the manufacturer’s remaining 

engine ratings, separate in-use 

emissions thresholds shall apply. These 

thresholds are determined by doubling 

the applicable thresholds as shown in 

Table 1 of paragraph (g) and Table 2 of 

paragraph (h) of this section. The 

resultant thresholds apply only in-use 

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8408 Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 

and do not apply for certification or 

selective enforcement auditing. 

(iii) An OBD system shall not be 

considered noncompliant solely due to 

a failure or deterioration mode of a 

monitored component or system that 

could not have been reasonably foreseen 

to occur by the manufacturer. 

(4) For model years 2019 and later. 

(i) On all engine ratings, the 

certification emissions thresholds shall 

apply in-use. 

(ii) An OBD system shall not be 

considered noncompliant solely due to 

a failure or deterioration mode of a 

monitored component or system that 

could not have been reasonably foreseen 

to occur by the manufacturer. 

■ 7. Section 86.010–38 is added to 

subpart A to read as follows: 

§ 86.010–38 Maintenance instructions. 

(a) The manufacturer shall furnish or 

cause to be furnished to the purchaser 

of each new motor vehicle (or motor 

vehicle engine) subject to the standards 

prescribed in § 86.099–8, § 86.004–9, 

§ 86.004–10, or § 86.004–11, as 

applicable, written instructions for the 

proper maintenance and use of the 

vehicle (or engine), by the purchaser 

consistent with the provisions of 

§ 86.004–25, which establishes what 

scheduled maintenance the 

Administrator approves as being 

reasonable and necessary. 

(1) The maintenance instructions 

required by this section shall be in clear, 

and to the extent practicable, 

nontechnical language. 

(2) The maintenance instructions 

required by this section shall contain a 

general description of the 

documentation which the manufacturer 

will require from the ultimate purchaser 

or any subsequent purchaser as 

evidence of compliance with the 

instructions. 

(b) Instructions provided to 

purchasers under paragraph (a) of this 

section shall specify the performance of 

all scheduled maintenance performed 

by the manufacturer on certification 

durability vehicles and, in cases where 

the manufacturer performs less 

maintenance on certification durability 

vehicles than the allowed limit, may 

specify the performance of any 

scheduled maintenance allowed under 

§ 86.004–25. 

(c) Scheduled emission-related 

maintenance in addition to that 

performed under § 86.004–25(b) may 

only be recommended to offset the 

effects of abnormal in-use operating 

conditions, except as provided in 

paragraph (d) of this section. The 

manufacturer shall be required to 

demonstrate, subject to the approval of 

the Administrator, that such 

maintenance is reasonable and 

technologically necessary to assure the 

proper functioning of the emission 

control system. Such additional 

recommended maintenance shall be 

clearly differentiated, in a form 

approved by the Administrator, from 

that approved under § 86.004–25(b). 

(d) Inspections of emission-related 

parts or systems with instructions to 

replace, repair, clean, or adjust the parts 

or systems if necessary, are not 

considered to be items of scheduled 

maintenance which insure the proper 

functioning of the emission control 

system. Such inspections, and any 

recommended maintenance beyond that 

approved by the Administrator as 

reasonable and necessary under 

paragraphs (a), (b), and (c) of this 

section, may be included in the written 

instructions furnished to vehicle owners 

under paragraph (a) of this section: 

Provided, That such instructions clearly 

state, in a form approved by the 

Administrator, that the owner need not 

perform such inspections or 

recommended maintenance in order to 

maintain the emissions defect and 

emissions performance warranty or 

manufacturer recall liability. 

(e) The manufacturer may choose to 

include in such instructions an 

explanation of any distinction between 

the useful life specified on the label, 

and the emissions defect and emissions 

performance warranty period. The 

explanation must clearly state that the 

useful life period specified on the label 

represents the average period of use up 

to retirement or rebuild for the engine 

family represented by the engine used 

in the vehicle. An explanation of how 

the actual useful lives of engines used 

in various applications are expected to 

differ from the average useful life may 

be included. The explanation(s) shall be 

in clear, non-technical language that is 

understandable to the ultimate 

purchaser. 

(f) If approved by the Administrator, 

the instructions provided to purchasers 

under paragraph (a) of this section shall 

indicate what adjustments or 

modifications, if any, are necessary to 

allow the vehicle to meet applicable 

emission standards at elevations above 

4,000 feet, or at elevations of 4,000 feet 

or less. 

(g) Emission control diagnostic 

service information: 

(1) Manufacturers are subject to the 

provisions of this paragraph (g) 

beginning in the 1996 model year for 

manufacturers of light-duty vehicles and 

light-duty trucks, and beginning in the 

2005 model year for manufacturers of 

heavy-duty vehicles and heavy-duty 

engines weighing 14,000 pounds gross 

vehicle weight (GVW) and less that are 

subject to the OBD requirements of this 

part. 

(2) General requirements. 

(i) Manufacturers shall furnish or 

cause to be furnished to any person 

engaged in the repairing or servicing of 

motor vehicles or motor vehicle engines, 

or the Administrator upon request, any 

and all information needed to make use 

of the on-board diagnostic system and 

such other information, including 

instructions for making emission-related 

diagnoses and repairs, including but not 

limited to service manuals, technical 

service bulletins, recall service 

information, bi-directional control 

information, and training information, 

unless such information is protected by 

section 208(c) of the Act as a trade 

secret. No such information may be 

withheld under section 208(c) of the Act 

if that information is provided (directly 

or indirectly) by the manufacturer to 

franchised dealers or other persons 

engaged in the repair, diagnosing, or 

servicing of motor vehicles or motor 

vehicle engines. 

(ii) Definitions. The following 

definitions apply for this paragraph (g): 

(A) Aftermarket service provider 

means any individual or business 

engaged in the diagnosis, service, and 

repair of a motor vehicle or engine, who 

is not directly affiliated with a 

manufacturer or manufacturerfranchised dealership. 

(B) Bi-directional control means the 

capability of a diagnostic tool to send 

messages on the data bus that 

temporarily overrides the module’s 

control over a sensor or actuator and 

gives control to the diagnostic tool 

operator. Bi-directional controls do not 

create permanent changes to engine or 

component calibrations. 

(C) Data stream information means 

information (i.e., messages and 

parameters) originated within the 

vehicle by a module or intelligent 

sensors (i.e., a sensor that contains and 

is controlled by its own module) and 

transmitted between a network of 

modules and/or intelligent sensors 

connected in parallel with either one or 

more communication wires. The 

information is broadcast over the 

communication wires for use by the 

OBD system to gather information on 

emissions-related components or 

systems and from other vehicle modules 

that may impact emissions, including 

but not limited to systems such as 

chassis or transmission. For the 

purposes of this section, data stream 

information does not include engine 

calibration-related information, or any 

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data stream information from systems or 

modules that do not impact emissions. 

(D) Emissions-related information 

means any information related to the 

diagnosis, service, and repair of 

emissions-related components. 

Emissions-related information includes, 

but is not limited to, information 

regarding any system, component or 

part of a vehicle that controls emissions 

and any system, component and/or part 

associated with the powertrain system, 

including, but not limited to: 

(1) The engine, the fuel system and 

ignition system, 

(2) Information for any system, 

component or part that is likely to 

impact emissions, such as transmission 

systems, and any other information 

specified by the Administrator to be 

relevant to the diagnosis and repair of 

an emissions-related problem; and 

(3) Any other information specified by 

the Administrator to be relevant for the 

diagnosis and repair of an emissionsrelated failure found through the 

inspection and maintenance program 

after such finding has been 

communicated to the affected 

manufacturer(s). 

(E) Emissions-related training 

information means any informationrelated training or instruction for the 

purpose of the diagnosis, service, and 

repair of emissions-related components. 

(F) Enhanced service and repair 

information means information which is 

specific for an original equipment 

manufacturer’s brand of tools and 

equipment. This includes computer or 

anti-theft system initialization 

information necessary for the 

completion of any emissions-related 

repair on motor vehicles that employ 

integral vehicle security systems. 

(G) Equipment and tool company 

means a registered automotive 

equipment or software company either 

public or private that is engaged in, or 

plans to engage in, the manufacture of 

automotive scan tool reprogramming 

equipment or software. 

(H) Generic service and repair 

information means information which is 

not specific for an original equipment 

manufacturer’s brand of tools and 

equipment. 

(I) Indirect information means any 

information that is not specifically 

contained in the service literature, but is 

contained in items such as tools or 

equipment provided to franchised 

dealers (or others). This includes 

computer or anti-theft system 

initialization information necessary for 

the completion of any emissions-related 

repair on motor vehicles that employ 

integral vehicle security systems. 

(J) Intermediary means any individual 

or entity, other than an original 

equipment manufacturer, which 

provides service or equipment to 

aftermarket service providers. 

(K) Manufacturer-franchised 

dealership means any service provider 

with which a manufacturer has a direct 

business relationship. 

(L) Third-party information provider 

means any individual or entity, other 

than an original equipment 

manufacturer, who consolidates 

manufacturer service information and 

makes this information available to 

aftermarket service providers. 

(M) Third-party training provider 

means any individual or entity, other 

than an original equipment 

manufacturer who develops and/or 

delivers instructional and educational 

material for automotive training courses. 

(3) Information dissemination. By 

December 24, 2003, each manufacturer 

was required to provide or cause to be 

provided to the persons specified in 

paragraph (g)(2)(i) of this section and to 

any other interested parties a 

manufacturer-specific World Wide Web 

site containing the information specified 

in paragraph (g)(2)(i) of this section for 

1996 and later model year vehicles 

which have been offered for sale; this 

requirement does not apply to indirect 

information, including the information 

specified in paragraphs (g)(12) through 

(g)(16) of this section. Upon request and 

approval of the Administrator, 

manufacturers who can demonstrate 

significant hardship in complying with 

this provision by December 26, 2003, 

may request an additional six months 

lead time to meet this requirement. Each 

manufacturer Web site shall: 

(i) Provide access in full-text to all of 

the information specified in paragraph 

(g)(5) of this section. 

(ii) Be updated at the same time as 

manufacturer-franchised dealership 

World Wide Web sites; 

(iii) Provide users with a description 

of the minimum computer hardware 

and software needed by the user to 

access that manufacturer’s information 

(e.g., computer processor speed and 

operating system software). This 

description shall appear when users 

first log-on to the home page of the 

manufacturer Web site. 

(iv) Provide Short-Term (24 to 72 

hours), Mid-Term (30 day period), and 

Long-Term (365 day period) Web site 

subscription options to any person 

specified in paragraph (g)(2)(i) of this 

section whereby the user will be able to 

access the site, search for the 

information, and purchase, view and 

print the information at a fair and 

reasonable cost as specified in 

paragraph (g)(7) of this section for each 

of the subscription options. In addition, 

for each of the subscription options, 

manufacturers are required to make 

their entire site accessible for the 

respective period of time and price. In 

other words, a manufacturer may not 

limit any or all of the subscription 

options to just one make or one model. 

(v) Allow the user to search the 

manufacturer Web site by various topics 

including but not limited to model, 

model year, key words or phrases, etc., 

while allowing ready identification of 

the latest vehicle calibration. 

Manufacturers who do not use model 

year to classify their vehicles in their 

service information may use an alternate 

vehicle delineation such as body series. 

Any manufacturer utilizing this 

flexibility shall create a cross-reference 

to the corresponding model year and 

provide this cross-reference on the 

manufacturer Web site home page. 

(vi) Provide accessibility using 

common, readily available software and 

shall not require the use of software, 

hardware, viewers, or browsers that are 

not readily available to the general 

public. Manufacturers shall also provide 

hyperlinks to any plug-ins, viewers or 

browsers (e.g., Adobe Acrobat or 

Netscape) needed to access the 

manufacturer Web site. 

(vii) Allow simple hyper-linking to 

the manufacturer Web site from 

government Web sites and automotiverelated Web sites. 

(viii) Allow access to the 

manufacturer Web site with no limits on 

the modem speed by which aftermarket 

service providers or other interested 

parties can connect to the manufacturer 

Web site. 

(ix) Possess sufficient server capacity 

to allow ready access by all users and 

have sufficient capacity to assure that 

all users may obtain needed information 

without undue delay. 

(x) Correct or delete broken Web links 

on a weekly basis. 

(xi) Allow for Web site navigation that 

does not require a user to return to the 

manufacturer home page or a search 

engine in order to access a different 

portion of the site. 

(xii) Allow users to print out any and 

all of the materials required to be made 

available on the manufacturer Web site 

including the ability to print it at the 

user’s location. 

(4) Small volume provisions for 

information dissemination. 

(i) Manufacturers with annual sales of 

less than 5,000 vehicles had until June 

28, 2004 to launch their individual Web 

sites as required by paragraph (g)(3) of 

this section. 

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(ii) Manufacturers with annual sales 

of less than 1,000 vehicles may, in lieu 

of meeting the requirement of paragraph 

(g)(3) of this section, request the 

Administrator to approve an alternative 

method by which the required 

emissions-related information can be 

obtained by the persons specified in 

paragraph (g)(2)(i) of this section. 

(5) Required information. All 

information relevant to the diagnosis 

and completion of emissions-related 

repairs shall be posted on manufacturer 

Web sites. This excludes indirect 

information specified in paragraphs 

(g)(6) and (g)(12) through (g)(16) of this 

section. To the extent that this 

information does not already exist in 

some form for their manufacturer 

franchised dealerships, manufacturers 

are required to develop and make 

available the information required by 

this section to both their manufacturer 

franchised dealerships and the 

aftermarket. The required information 

includes, but is not limited to: 

(i) Manuals, including subsystem and 

component manuals developed by a 

manufacturer’s third party supplier that 

are made available to manufacturer 

franchised dealerships, technical service 

bulletins (TSBs), recall service 

information, diagrams, charts, and 

training materials. Manuals and other 

such service information from third 

party suppliers are not required to be 

made available in full-text on 

manufacturer Web sites as described in 

paragraph (g)(3) of this section. Rather, 

manufacturers must make available on 

the manufacturer Web site as required 

by paragraph (g)(3) of this section an 

index of the relevant information and 

instructions on how to order such third 

party information. In the alternative, a 

manufacturer can create a link from its 

Web site to the Web site(s) of the third 

party supplier. 

(ii) OBD system information which 

includes, but is not limited to, the 

following: 

(A) A general description of the 

operation of each monitor, including a 

description of the parameter that is 

being monitored; 

(B) A listing of all typical OBD 

diagnostic trouble codes associated with 

each monitor; 

(C) A description of the typical 

enabling conditions (either generic or 

monitor-specific) for each monitor (if 

equipped) to execute during vehicle 

operation, including, but not limited to, 

minimum and maximum intake air and 

engine coolant temperature, vehicle 

speed range, and time after engine 

startup. In addition, manufacturers shall 

list all monitor-specific OBD drive cycle 

information for all major OBD monitors 

as equipped including, but not limited 

to, catalyst, catalyst heater, oxygen 

sensor, oxygen sensor heater, 

evaporative system, exhaust gas recirculation (EGR), secondary air, and air 

conditioning system. Additionally, for 

diesel vehicles under 14,000 pounds. 

GVWR which also perform misfire, fuel 

system and comprehensive component 

monitoring under specific driving 

conditions (i.e., non-continuous 

monitoring; as opposed to spark ignition 

engines that monitor these systems 

under all conditions or continuous 

monitoring), the manufacturer shall 

make available monitor-specific drive 

cycles. Any manufacturer who develops 

generic drive cycles, either in addition 

to, or instead of, monitor-specific drive 

cycles shall also make these available in 

full-text on manufacturer Web sites; 

(D) A listing of each monitor 

sequence, execution frequency and 

typical duration; 

(E) A listing of typical malfunction 

thresholds for each monitor; 

(F) For OBD parameters for specific 

vehicles that deviate from the typical 

parameters, the OBD description shall 

indicate the deviation and provide a 

separate listing of the typical values for 

those vehicles; 

(G) Identification and scaling 

information necessary to interpret and 

understand data available to a generic 

scan tool through ‘‘mode 6,’’ pursuant to 

SAE J1979 (as specified in paragraph 

(g)(17) of this section). 

(H) Algorithms, look-up tables, or any 

values associated with look-up tables 

are not required to be made available. 

(iii) Any information regarding any 

system, component, or part of a vehicle 

monitored by the OBD system that 

could in a failure mode cause the OBD 

system to illuminate the malfunction 

indicator light (MIL); 

(iv) Any information on other systems 

that can effect the emission system 

within a multiplexed system (including 

how information is sent between 

emission-related system modules and 

other modules on a multiplexed bus); 

(v) Manufacturer-specific emissionsrelated diagnostic trouble codes (DTCs) 

and any related service bulletins, 

trouble shooting guides, and/or repair 

procedures associated with these 

manufacturer-specific DTCs; and 

(vi) Information regarding how to 

obtain the information needed to 

perform reinitialization of any vehicle 

computer or anti-theft system following 

an emissions-related repair. 

(6) Anti-theft system initialization 

information. Computer or anti-theft 

system initialization information and/or 

related tools necessary for the proper 

installation of on-board computers or 

necessary for the completion of any 

emissions-related repair on motor 

vehicles that employ integral vehicle 

security systems or the repair or 

replacement of any other emissionrelated part shall be made available at 

a fair and reasonable cost to the persons 

specified in paragraph (g)(2)(i) of this 

section. 

(i) Except as provided under 

paragraph (g)(6)(ii) of this section, 

manufacturers must make this 

information available to persons 

specified in paragraph (g)(2)(i) of this 

section, such that such persons will not 

need any special tools or manufacturerspecific scan tools to perform the 

initialization. Manufacturers may make 

such information available through, for 

example, generic aftermarket tools, a 

pass-through device, or inexpensive 

manufacturer-specific cables. 

(ii) A manufacturer may request 

Administrator approval for an 

alternative means to re-initialize 

vehicles for some or all model year 

vehicles through the 2007 model year by 

September 26, 2003. The Administrator 

shall approve the request only after the 

following conditions have been met: 

(A) The manufacturer must 

demonstrate that the availability of such 

information to aftermarket service 

providers would significantly increase 

the risk of vehicle theft. 

(B) The manufacturer must make 

available a reasonable alternative means 

to install or repair computers, or to 

otherwise repair or replace an emissionrelated part. 

(C) Any alternative means proposed 

by a manufacturer cannot require 

aftermarket technicians to use a 

manufacturer franchised dealership to 

obtain information or special tools to reinitialize the anti-theft system. All 

information must come directly from 

the manufacturer or a single 

manufacturer-specified designee. 

(D) Any alternative means proposed 

by a manufacturer must be available to 

aftermarket technicians at a fair and 

reasonable price. 

(E) Any alternative must be available 

to aftermarket technicians within 

twenty-four hours of the initial request. 

(F) Any alternative must not require 

the purchase of a special tool or tools, 

including manufacturer-specific tools, 

to complete this repair. Alternatives 

may include lease of such tools, but 

only for appropriately minimal cost. 

(G) In lieu of leasing their 

manufacturer-specific tool to meet this 

requirement, a manufacturer may also 

release the necessary information to 

equipment and tool manufacturers for 

incorporation into aftermarket scan 

tools. Any manufacturer choosing this 

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option must release the information to 

equipment and tool manufacturers 

within 60 days of Administrator 

approval. Manufacturers may also 

comply with this requirement using 

SAE J2534 (as specified in paragraph 

(g)(17) of this section) for some or all 

model years through model year 2007. 

(7) Cost of required information. 

(i) All information required to be 

made available by this section shall be 

made available at a fair and reasonable 

price. In determining whether a price is 

fair and reasonable, consideration may 

be given to relevant factors, including, 

but not limited to, the following: 

(A) The net cost to the manufacturerfranchised dealerships for similar 

information obtained from 

manufacturers, less any discounts, 

rebates, or other incentive programs. 

(B) The cost to the manufacturer for 

preparing and distributing the 

information, excluding any research and 

development costs incurred in 

designing and implementing, upgrading 

or altering the onboard computer and its 

software or any other vehicle part or 

component. Amortized capital costs for 

the preparation and distribution of the 

information may be included. 

(C) The price charged by other 

manufacturers for similar information. 

(D) The price charged by 

manufacturers for similar information 

prior to the launch of manufacturer Web 

sites. 

(E) The ability of aftermarket 

technicians or shops to afford the 

information. 

(F) The means by which the 

information is distributed; 

(G) The extent to which the 

information is used, which includes the 

number of users, and frequency, 

duration, and volume of use. 

(H) Inflation. 

(ii) By August 25, 2003, each 

manufacturer was required to submit to 

the Administrator a request for approval 

of their pricing structure for their Web 

sites and amounts to be charged for the 

information required to be made 

available under paragraphs (g)(3) and 

(g)(5) of this section. Subsequent to the 

approval of the manufacturer Web site 

pricing structure, manufacturers shall 

notify the Administrator upon the 

increase in price of any one or all of the 

subscription options of 20 percent or 

more above the previously-approved 

price, taking inflation into account. 

(A) The manufacturer shall submit a 

request to the Administrator that sets 

forth a detailed description of the 

pricing structure and amounts, and 

support for the position that the pricing 

structure and amounts are fair and 

reasonable by addressing, at a 

minimum, each of the factors specified 

in paragraph (g)(7)(i) of this section. 

(B) The Administrator will act upon 

the request within 180 days following 

receipt of a complete request or 

following receipt of any additional 

information requested by the 

Administrator. 

(C) The Administrator may decide not 

to approve, or to withdraw approval for 

a manufacturer’s pricing structure and 

amounts based on a conclusion that this 

pricing structure and/or amounts are 

not, or are no longer, fair and 

reasonable, by sending written notice to 

the manufacturer explaining the basis 

for this decision. 

(D) In the case of a decision by the 

Administrator not to approve or to 

withdraw approval, the manufacturer 

shall within three months following 

notice of this decision, obtain 

Administrator approval for a revised 

pricing structure and amounts by 

following the approval process 

described in this paragraph (g)(7)(ii). 

(8) Unavailable information. Any 

information which is not provided at a 

fair and reasonable price shall be 

considered unavailable, in violation of 

these regulations and section 202(m)(5) 

of the Clean Air Act. 

(9) Third-party information providers. 

By December 24, 2003, manufacturers 

shall, for model year 2004 and later 

vehicles and engines, make available to 

third-party information providers as 

defined in paragraph (g)(2)(ii) of this 

section with whom they engage in 

licensing or business arrangements; 

(i) The required emissions-related 

information as specified in paragraph 

(g)(5) of this section either: 

(A) Directly in electronic format such 

as diskette or CD–ROM using nonproprietary software, in English; or 

(B) Indirectly via a Web site other 

than that required by paragraph (g)(3) of 

this section; 

(ii) For any manufacturer who utilizes 

an automated process in their 

manufacturer-specific scan tool for 

diagnostic fault trees, the data schema, 

detail specifications, including category 

types/codes and vehicle codes, and data 

format/content structure of the 

diagnostic trouble trees. 

(iii) Manufacturers can satisfy the 

requirement of paragraph (g)(9)(ii) of 

this section by making available 

diagnostic trouble trees on their 

manufacturer Web sites in full-text. 

(iv) Manufacturers are not responsible 

for the accuracy of the information 

distributed by third parties. However, 

where manufacturers charge 

information intermediaries for 

information, whether through licensing 

agreements or other arrangements, 

manufacturers are responsible for 

inaccuracies contained in the 

information they provide to third-party 

information providers. 

(10) Required emissions-related 

training information. By December 24, 

2003, for emissions-related training 

information, manufacturers were 

required to: 

(i) Video tape or otherwise duplicate 

and make available for sale on 

manufacturer Web sites within 30 days 

after transmission any emissions-related 

training courses provided to 

manufacturer franchised dealerships via 

the Internet or satellite transmission; 

(ii) Provide on the manufacturer Web 

site an index of all emissions-related 

training information available for 

purchase by aftermarket service 

providers for 1994 and newer vehicles. 

For model years subsequent to 2003, the 

required information must be made 

available for purchase within 3 months 

of model introduction and then must be 

made available at the same time it is 

made available to manufacturer 

franchised dealerships, whichever is 

earlier. The index shall describe the title 

of the course or instructional session, 

the cost of the video tape or duplicate, 

and information on how to order the 

item(s) from the manufacturer Web site. 

All of the items available must be 

shipped within 24 hours of the order 

being placed and are to be made 

available at a fair and reasonable price 

as described in paragraph (g)(7) of this 

section. Manufacturers unable to meet 

the 24 hour shipping requirement under 

circumstances where orders exceed 

supply and additional time is needed by 

the distributor to reproduce the item 

being ordered, may exceed the 24 hour 

shipping requirement, but in no 

instance can take longer than 14 days to 

ship the item. 

(iii) Provide access to third-party 

training providers as defined in 

paragraph (g)(2)(ii) of this section all 

emission-related training courses 

transmitted via satellite or Internet 

offered to their manufacturer franchised 

dealerships. Manufacturers may not 

charge unreasonable up-front fees to 

third-party training providers for this 

access, but may require a royalty, 

percentage, or other arranged fee based 

on per-use enrollment/subscription 

basis. Manufacturers may take 

reasonable steps to protect any 

copyrighted information and are not 

required to provide this information to 

parties that do not agree to such steps. 

(11) Timeliness and maintenance of 

information dissemination. 

(i) General Requirements. Subsequent 

to the initial launch of the 

manufacturer’s Web site, manufacturers 

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8412 Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 

must make the information required 

under paragraph (g)(5) of this section 

available on their Web site within six 

months of model introduction, or at the 

same time it is made available to 

manufacturer franchised dealerships, 

whichever is earlier. After this sixmonth period, the information must be 

available and updated on the 

manufacturer Web site at the same time 

that the updated information is made 

available to manufacturer franchised 

dealerships, except as otherwise 

specified in this section. 

(ii) Archived information. Beginning 

with the 1996 model year, 

manufacturers must maintain the 

required information on their Web sites 

in full-text as defined in paragraph (g)(5) 

of this section for a minimum of 15 

years after model introduction. 

Subsequent to this fifteen year period, 

manufacturers may archive the 

information in the manufacturer’s 

format of choice and provide an index 

of the archived information on the 

manufacturer Web site and how it can 

be obtained by interested parties. 

Manufacturers shall index their 

available information with a title that 

adequately describes the contents of the 

document to which it refers. 

Manufacturers may allow for the 

ordering of information directly from 

their Web site, or from a Web site 

hyperlinked to the manufacturer Web 

site. In the alternative, manufacturers 

shall list a phone number and address 

where aftermarket service providers can 

call or write to obtain the desired 

information. Manufacturers must also 

provide the price of each item listed, as 

well as the price of items ordered on a 

subscription basis. To the extent that 

any additional information is added or 

changed for these model years, 

manufacturers shall update the index as 

appropriate. Manufacturers will be 

responsible for ensuring that all 

information, including information that 

is distributed through information 

distributors, is provided within one 

regular business day of receiving the 

order. Items that are less than 20 pages 

(e.g. technical service bulletins) shall be 

faxed, if requested, to the requestor and 

manufacturers are required to deliver 

the information overnight if requested 

and paid for by the ordering party. 

Archived information must be made 

available on demand and at a fair and 

reasonable price. 

(12) Reprogramming information. 

(i) For model years 1996 and later, 

manufacturers shall make available to 

the persons specified in paragraph 

(g)(2)(i) of this section all emissionsrelated recalibration or reprogramming 

events (including driveability 

reprogramming events that may affect 

emissions) in the format of its choice at 

the same time they are made available 

to manufacturer franchised dealerships. 

This requirement takes effect on 

September 25, 2003, and within 3 

months of model introduction for all 

new model years. 

(ii) For model years 1996 and later 

manufacturers shall provide persons 

specified in paragraph (g)(2)(i) of this 

section with an efficient and costeffective method for identifying whether 

the calibrations on vehicles are the 

latest to be issued. This requirement 

takes effect on September 25, 2003, and 

within 3 months of model introduction 

for all new model years. 

(iii) For all 2004 and later OBD 

vehicles equipped with reprogramming 

capability, manufacturers shall comply 

with SAE J2534 (as specified in 

paragraph (g)(17) of this section). Any 

manufacturer who cannot comply with 

SAE J2534 in model year 2004 may 

request one year additional lead time 

from the Administrator. 

(iv) For model years 2004 and later, 

manufacturers shall make available to 

aftermarket service providers the 

necessary manufacturer-specific 

software applications and calibrations 

needed to initiate pass-through 

reprogramming. This software shall be 

able to run on a standard personal 

computer that utilizes standard 

operating systems as specified in SAE 

J2534 (as specified in paragraph (g)(17) 

of this section). 

(v) For model years prior to 2004, 

manufacturers may use SAE J2534 (as 

specified in paragraph (g)(17) of this 

section) as described above, provided 

they make available to the aftermarket 

any additional required hardware (i.e. 

cables). Manufacturers may not require 

the purchase or use of a manufacturerspecific scan tool to receive or use this 

additional hardware. Manufacturers 

must also make available the necessary 

manufacturer-specific software 

applications and calibrations needed to 

initiate pass-through reprogramming. 

Manufacturers must also make available 

to equipment and tool companies any 

information needed to develop 

aftermarket equivalents of the 

manufacturer-specific hardware. 

(vi) Manufacturers may take any 

reasonable business precautions 

necessary to protect proprietary 

business information and are not 

required to provide this information to 

any party that does not agree to these 

reasonable business precautions. The 

requirement to make hardware available 

and to release the information to 

equipment and tool companies takes 

effect on September 25, 2003, and 

within 3 months of model introduction 

for all new model years. 

(vii) Manufacturers who cannot 

comply with paragraphs (g)(12)(v) and 

(g)(12)(vi) of this section shall make 

available to equipment and tool 

companies by September 25, 2003 the 

following information necessary for 

reprogramming the Electronic Control 

Unit (ECU): 

(A) The physical hardware 

requirements for reprogramming events 

or tools (e.g. system voltage 

requirements, cable terminals/pins, 

connections such as RS232 or USB, 

wires, etc.). 

(B) ECU data communication (e.g. 

serial data protocols, transmission speed 

or baud rate, bit timing requirements, 

etc.). 

(C) Information on the application 

physical interface (API) or layers 

(descriptions for procedures such as 

connection, initialization, performing 

and verifying programming/download, 

and termination). 

(D) Vehicle application information or 

any other related service information 

such as special pins and voltages for 

reprogramming events or additional 

vehicle connectors that require 

enablement and specifications for the 

enablement. 

(E) Information that describes what 

interfaces or combinations of interfaces 

are used to deliver calibrations from 

database media (e.g. PC using CDROM 

to the reprogramming device e.g. scan 

tool or black box). 

(viii) A manufacturer can propose an 

alternative to the requirements of 

paragraph (g)(12)(vii) of this section for 

how aftermarket service providers can 

reprogram an ECU. The Administrator 

will approve this alternative if the 

manufacturer demonstrates all of the 

following: 

(A) That it cannot comply with 

paragraph (g)(12)(v) of this section for 

the vehicles subject to the alternative 

plan; 

(B) That a very small percentage of its 

vehicles in model years prior to 2004 

cannot be reprogrammed with the 

provisions described in paragraph 

(g)(12)(v) of this section, or that 

releasing the information to tool 

companies would likely not result in 

this information being incorporated into 

aftermarket tools; and 

(C) That aftermarket service providers 

will be able to reprogram promptly at a 

reasonable cost. 

(ix) In meeting the requirements of 

paragraphs (g)(12)(v) through (g)(12)(vii) 

of this section, manufacturers may take 

any reasonable business precautions 

necessary to protect proprietary 

business information and are not 

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Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 8413 

required to provide this information to 

any party that does not agree to these 

reasonable business precautions. 

(13) Generic and enhanced 

information for scan tools. By 

September 25, 2003, manufacturers 

shall make available to equipment and 

tool companies all generic and 

enhanced service information including 

bi-directional control and data stream 

information as defined in paragraph 

(g)(2)(ii) of this section. This 

requirement applies for 1996 and later 

model year vehicles. 

(i) The information required by 

paragraph (g)(13) of this section shall be 

provided electronically using common 

document formats to equipment and 

tool companies with whom they have 

appropriate licensing, contractual, and/ 

or confidentiality arrangements. To the 

extent that a central repository for this 

information (e.g. the TEK–NET library 

developed by the Equipment and Tool 

Institute) is used to warehouse this 

information, the Administrator shall 

have free unrestricted access. In 

addition, information required in 

paragraph (g)(13) of this section shall be 

made available to equipment and tool 

companies who are not otherwise 

members of any central repository and 

shall have access if the non-members 

have arranged for the appropriate 

licensing, contractual and/or 

confidentiality arrangements with the 

manufacturer and/or a central 

repository. 

(ii) In addition to the generic and 

enhanced information defined in 

paragraph (g)(2)(ii) of this section, 

manufacturers shall also make available 

the following information necessary for 

developing generic diagnostic scan 

tools: 

(A) The physical hardware 

requirements for data communication 

(e.g. system voltage requirements, cable 

terminals/pins, connections such as 

RS232 or USB, wires, etc.), 

(B) ECU data communication (e.g. 

serial data protocols, transmission speed 

or baud rate, bit timing requirements, 

etc.), 

(C) Information on the application 

physical interface (API) or layers. (i.e., 

processing algorithms or software 

design descriptions for procedures such 

as connection, initialization, and 

termination), 

(D) Vehicle application information or 

any other related service information 

such as special pins and voltages or 

additional vehicle connectors that 

require enablement and specifications 

for the enablement. 

(iii) Any manufacturer who utilizes an 

automated process in its manufacturerspecific scan tool for diagnostic fault 

trees shall make available to equipment 

and tool companies the data schema, 

detail specifications, including category 

types/codes and vehicle codes, and data 

format/content structure of the 

diagnostic trouble trees. 

(iv) Manufacturers can satisfy the 

requirement of paragraph (g)(13)(iii) of 

this section by making available 

diagnostic trouble trees on their 

manufacturer Web sites in full-text. 

(14) Availability of manufacturerspecific scan tools. Manufacturers shall 

make available for sale to the persons 

specified in paragraph (g)(2)(i) of this 

section their own manufacturer-specific 

diagnostic tools at a fair and reasonable 

cost. These tools shall also be made 

available in a timely fashion either 

through the manufacturer Web site or 

through a manufacturer-designated 

intermediary. Manufacturers who 

develop different versions of one or 

more of their diagnostic tools that are 

used in whole or in part for emissionrelated diagnosis and repair shall insure 

that all emission-related diagnosis and 

repair information is available for sale to 

the aftermarket at a fair and reasonable 

cost. Manufacturers shall provide 

technical support to aftermarket service 

providers for the tools described in this 

section, either themselves or through a 

third party of its choice. Factors for 

determining fair and reasonable cost 

include, but are not limited to: 

(i) The net cost to the manufacturer’s 

franchised dealerships for similar tools 

obtained from manufacturers, less any 

discounts, rebates, or other incentive 

programs; 

(ii) The cost to the manufacturer for 

preparing and distributing the tools, 

excluding any research and 

development costs; 

(iii) The price charged by other 

manufacturers of similar sizes for 

similar tools; 

(iv) The capabilities and functionality 

of the manufacturer tool; 

(v) The means by which the tools are 

distributed; 

(vi) Inflation. 

(vii) The ability of aftermarket 

technicians and shops to afford the 

tools. 

(15) Changing content of 

manufacturer-specific scan tools. 

Manufacturers who opt to remove nonemissions related content from their 

manufacturer-specific scan tools and 

sell them to the persons specified in 

paragraph (g)(2)(i) of this section shall 

adjust the cost of the tool accordingly 

lower to reflect the decreased value of 

the scan tool. All emissions-related 

content that remains in the 

manufacturer-specific tool shall be 

identical to the information that is 

contained in the complete version of the 

manufacturer-specific tool. Any 

manufacturer who wishes to implement 

this option must request approval from 

the Administrator prior to the 

introduction of the tool into commerce. 

(16) Special tools. 

(i) Manufacturers who have 

developed special tools to extinguish 

the malfunction indicator light (MIL) for 

Model Years 1994 through 2003 shall 

make available the necessary 

information to equipment and tool 

companies to design a comparable 

generic tool. This information was 

required to be made available to 

equipment and tool companies no later 

than September 25, 2003. 

(ii) Manufacturers are prohibited from 

requiring special tools to extinguish the 

malfunction indicator light (MIL) 

beginning with Model Year 2004. 

(17) Reference materials. 

Manufacturers shall conform with the 

following Society of Automotive 

Engineers (SAE) standards. These 

documents are incorporated by 

reference, see § 86.1. Anyone may 

inspect copies at the U.S. EPA or at the 

National Archives and Records 

Administration (NARA). For 

information on the availability of this 

material at U.S. EPA, NARA, or the 

standard making body directly, refer to 

§ 86.1. 

(i) SAE J1930, Revised May 1998. For 

Web-based delivery of service 

information, manufacturers shall 

comply with this industry standard. 

This recommended practice 

standardizes various terms, 

abbreviations, and acronyms associated 

with on-board diagnostics. 

Manufacturers shall comply with SAE 

J1930 beginning with Model Year 2004. 

(ii) SAE J1979, Revised September 

1997. For identification and scaling 

information necessary to interpret and 

understand data available to a generic 

scan tool through ‘‘mode 6,’’ 

manufacturers shall comply with this 

industry standard. This recommended 

practice describes the implementation 

of the diagnostic test modes for 

emissions-related test data. 

Manufacturers shall comply with this 

industry standard beginning with Model 

Year 2004. 

(iii) SAE J2284–3, May 2001. For 

allowing ECU and equipment and tool 

manufacturers to satisfy the needs of 

multiple end users with minimum 

modification to a basic ECU design, 

manufacturers shall comply with this 

industry standard which establishes 

standard ECU physical layer, data link 

layer, and media design criteria. 

Manufacturers may comply with SAE 

J2284–3 beginning with model year 

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8414 Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 

2003 and shall comply with SAE J2284– 

3 beginning with model year 2008. 

(iv) SAE J2534, February 2002. For 

pass-through reprogramming 

capabilities, manufacturers shall comply 

with this industry standard which 

provides technical specifications and 

information that manufacturers must 

supply to equipment and tool 

companies to develop aftermarket passthrough reprogramming tools. 

Manufacturers shall comply with SAE 

J2534 beginning with model year 2004. 

(18) Reporting requirements. 

Manufacturers shall provide to the 

Administrator reports on an annual 

basis within 30 days of the end of the 

calendar year and upon request of the 

Administrator, that describe the 

performance of their individual Web 

sites. These annual reports shall be 

submitted to the Administrator 

electronically utilizing non-proprietary 

software in the format as agreed to by 

the Administrator and the 

manufacturers. Manufacturers may 

request Administrator approval to report 

on parameters other than those 

described below if the manufacturer can 

demonstrate that those alternate 

parameters will provide sufficient and 

similar information for the 

Administrator to effectively evaluate the 

manufacturer Web site. These annual 

reports shall include, at a minimum, 

monthly measurements of the following 

parameters: 

(i) Total successful requests 

(measured in number of files including 

graphic interchange formats (GIFs) and 

joint photographic expert group (JPEG) 

images, i.e., electronic images such as 

wiring or other diagrams or pictures). 

This is defined as the total successful 

request counts of all the files which 

have been requested, including pages, 

graphics, etc. 

(ii) Total failed requests (measured in 

number of files). This is defined as the 

total failed request counts of all the files 

which were requested but failed because 

they could not be found or were readprotected. This includes pages, 

graphics, etc. 

(iii) Average data transferred per day 

(measured by bytes). This is defined as 

average amount of data transferred per 

day from one place to another. 

(iv) Daily Summary (measured in 

number of files/pages by day of week). 

This is defined as the total number of 

requests each day of the week, over the 

time period given at the beginning of the 

report. 

(v) Daily report (measured in number 

of files/pages by the day of the month). 

This is defined as how many requests 

there were in each day of a specific 

month. 

(vi) Browser Summary (measured in 

number of files/pages by browser type, 

i.e., Netscape, Internet Explorer). This is 

defined as the versions of a browser by 

vendor. 

(vii) Any other information deemed 

necessary by the Administrator to 

determine the adequacy of a 

manufacturer Web site. 

(19) Prohibited acts, liability and 

remedies. 

(i) It is a prohibited act for any person 

to fail to promptly provide or cause a 

failure to promptly provide information 

as required by this paragraph (g), or to 

otherwise fail to comply or cause a 

failure to comply with any provision of 

this paragraph (g). 

(ii) Any person who fails or causes the 

failure to comply with any provision of 

this paragraph (g) is liable for a violation 

of that provision. A corporation is 

presumed liable for any violations of 

this subpart that are committed by any 

of its subsidiaries, affiliates or parents 

that are substantially owned by it or 

substantially under its control. 

(iii) Any person who violates a 

provision of this paragraph (g) shall be 

subject to a civil penalty of not more 

than $32,500 per day for each violation. 

This maximum penalty is shown for 

calendar year 2004. Maximum penalty 

limits for later years may be set higher 

based on the Consumer Price Index, as 

specified in 40 CFR part 19. In addition, 

such person shall be liable for all other 

remedies set forth in Title II of the Clean 

Air Act, remedies pertaining to 

provisions of Title II of the Clean Air 

Act, or other applicable provisions of 

law. 

(h) The manufacturer shall furnish or 

cause to be furnished to the purchaser 

of each new motor engine subject to the 

standards prescribed in § 86.004–10 or 

§ 86.004–11, as applicable, the 

following: 

(1) Instructions for all maintenance 

needed after the end of the useful life of 

the engine for critical emissions-related 

components as provided in § 86.004– 

25(b), including recommended practices 

for diagnosis, cleaning, adjustment, 

repair, and replacement of the 

component (or a statement that such 

component is maintenance free for the 

life of the engine) and instructions for 

accessing and responding to any 

emissions-related diagnostic codes that 

may be stored in on-board monitoring 

systems; 

(2) A copy of the engine rebuild 

provisions contained in § 86.004–40. 

(i) For each new diesel-fueled engine 

subject to the standards prescribed in 

§ 86.007–11, as applicable, the 

manufacturer shall furnish or cause to 

be furnished to the ultimate purchaser 

a statement that ‘‘This engine must be 

operated only with ultra low-sulfur 

diesel fuel (meeting EPA specifications 

for highway diesel fuel, including a 15 

ppm sulfur cap).’’ 

(j) Emission control diagnostic service 

information for heavy-duty engines used 

in vehicles over 14,000 pounds gross 

vehicle weight (GVW) 

(1) Manufacturers of heavy-duty 

engines used in applications weighing 

more than 14,000 pounds gross vehicle 

weight (GVW) that are subject to the 

applicable OBD requirements of this 

subpart A are subject to the provisions 

of this paragraph (j) beginning in the 

2010 model year. The provisions of this 

paragraph (j) apply only to those heavyduty engines subject to the applicable 

OBD requirements. 

(2) Upon Administrator approval, 

manufacturers of vehicles may 

alternatively comply with all service 

information and tool provisions found 

in § 86.1808–01 that are applicable to 

2001 and subsequent model year 

vehicles weighing less than 14,000 

pounds gross vehicle weight (GVW). 

Upon Administrator approval, 

manufacturers that produce engines for 

use in vehicles between 8,500 and 

14,000 pounds may, for those engines, 

alternatively comply with all service 

information and tool provisions in 

§ 86.010–38(j) that are applicable to 

2010 and subsequent model year 

vehicles over 14,000 pounds. 

Implementation dates must comply with 

the service information provision dates 

applicable to engines in vehicles 

between 8,500 and 14,000 pounds. 

(3) General Requirements 

(i) Manufacturers shall furnish or 

cause to be furnished to any person 

engaged in the repairing or servicing of 

heavy-duty engines, or the 

Administrator upon request, any and all 

information needed to make use of the 

on-board diagnostic system and such 

other information, including 

instructions for making emission-related 

diagnosis and repairs, including but not 

limited to service manuals, technical 

service bulletins, recall service 

information, bi-directional control 

information, and training information, 

unless such information is protected by 

section 208(c) as a trade secret. 

Manufacturers may take steps to restrict 

warranty and customer assurance plan 

information used only for the purpose of 

providing such manufacturer covered 

repairs to only those repair locations 

authorized by the manufacturer. No 

such information may be withheld 

under section 208(c) of the Act if that 

information is provided (directly or 

indirectly) by the manufacturer to 

franchised dealers, authorized service 

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Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 8415 

networks, or other persons engaged in 

the repair, diagnosing, or servicing of 

heavy-duty engines. 

(ii) Definitions. The following 

definitions apply for this paragraph (j): 

(A) Aftermarket service provider 

means any individual or business 

engaged in the diagnosis, service, and 

repair of a heavy-duty engine, who is 

not directly affiliated with a 

manufacturer or manufacturer 

franchised dealership, or authorized 

service network. 

(B) Authorized service network means 

a group of independent service and 

repair facilities that are recognized by 

engine manufacturers as being capable 

of performing repairs to factory 

specification, including warranty repair 

work. 

(C) Bi-directional control means the 

capability of a diagnostic tool to send 

messages on the data bus that 

temporarily overrides the module’s 

control over a sensor or actuator and 

gives control to the diagnostic tool 

operator. Bi-directional controls do not 

create permanent changes to engine or 

component calibrations. 

(D) Data stream information means 

information (i.e., messages and 

parameters) originated within the 

engine by a module or intelligent 

sensors (i.e., a sensor that contains and 

is controlled by its own module) and 

transmitted between a network of 

modules and/or intelligent sensors 

connected in parallel with either one or 

more communication wires. The 

information is broadcast over the 

communication wires for use by the 

OBD system to gather information on 

emissions-related components or 

systems and from other engine modules 

that may impact emissions. For the 

purposes of this section, data stream 

information does not include engine 

calibration related information, or any 

data stream information from systems or 

modules that do not impact emissions. 

(E) Emissions-related information 

means any information related to the 

diagnosis, service, and repair of 

emissions-related components. 

Emissions-related information includes, 

but is not limited to, information 

regarding any system, component or 

part of an engine that controls emissions 

and that is part of the diagnostic strategy 

for an OBD monitor, but not limited to: 

The engine, the fuel system and ignition 

system; information for any system, 

component or part that is likely to 

impact emissions, and any other 

information specified by the 

Administrator to be relevant to the 

diagnosis and repair of an emissionsrelated problem; any other information 

specified by the Administrator to be 

relevant for the diagnosis and repair of 

an emissions-related failure found 

through an evaluation of vehicles in-use 

and after such finding has been 

communicated to the affected 

manufacturer(s). 

(F) Emissions-related training 

information means any information 

related training or instruction for the 

purpose of the diagnosis, service, and 

repair of emissions-related components. 

(G) Enhanced service and repair 

information means information which is 

specific for an original equipment 

manufacturer’s brand of tools and 

equipment. This includes computer or 

anti-theft system initialization 

information necessary for the 

completion of any emissions-related 

repair on engines that employ integral 

security systems. 

(H) Equipment and Tool Company 

means a registered equipment or 

software company either public or 

private that is engaged in, or plans to 

engage in, the manufacture of scan tool 

reprogramming equipment or software. 

(I) Generic service and repair 

information means information which is 

not specific for an original equipment 

manufacturer’s brand of tools and 

equipment. 

(J) Indirect information means any 

information that is not specifically 

contained in the service literature, but is 

contained in items such as tools or 

equipment provided to franchised 

dealers or authorized service networks 

(or others). This includes computer or 

anti-theft system initialization 

information necessary for the 

completion of any emissions-related 

repair on engines that employ integral 

security systems. 

(K) Intermediary means any 

individual or entity, other than an 

original equipment manufacturer, which 

provides service or equipment to 

aftermarket service providers. 

(L) Manufacturer franchised 

dealership means any service provider 

with which a manufacturer has a direct 

business relationship. 

(M) Recalibration means the process 

of downloading to an engine’s on-board 

computer emissions-related revisions of 

on-board computer application software 

and calibration parameters with default 

configurations. Recalibration is not 

dependent on the use of the vehicle 

identification number (VIN) in 

determining vehicle configuration. 

(N) Reconfiguration means the 

process of enabling or adjusting engine 

features or engine parameters associated 

with such features to adapt a heavy-duty 

engine to a particular vehicle and/or 

application. 

(O) Third party information provider 

means any individual or entity, other 

than an original equipment 

manufacturer, who consolidates 

manufacturer service information and 

makes this information available to 

aftermarket service providers. 

(P) Third party training provider 

means any individual or entity, other 

than an original equipment 

manufacturer who develops and/or 

delivers instructional and educational 

material for training courses. 

(4) Information dissemination. By July 

1, 2010 each manufacturer shall provide 

or cause to be provided to the persons 

specified in paragraph (j)(3)(i) of this 

section and to any other interested 

parties a manufacturer-specific World 

Wide Web site containing the 

information specified in paragraph 

(j)(3)(i) of this section for 2010 and later 

model year engines which have been 

certified to the OBD requirements 

specified in § 86.010–18 and are offered 

for sale; this requirement does not apply 

to indirect information, including the 

information specified in paragraphs 

(j)(13) through (j)(17) of this section. 

Upon request and approval of the 

Administrator, manufacturers who can 

demonstrate significant hardship in 

complying with this provision by 

August 27, 2009, may request an 

additional six months lead time to meet 

this requirement. Each manufacturer 

Web site shall: 

(i) Provide access in full-text to all of 

the information specified in paragraph 

(j)(6) of this section. 

(ii) Be updated at the same time as 

manufacturer franchised dealership or 

authorized service network World Wide 

Web sites. 

(iii) Provide users with a description 

of the minimum computer hardware 

and software needed by the user to 

access that manufacturer’s information 

(e.g., computer processor speed and 

operating system software). This 

description shall appear when users 

first log-on to the home page of the 

manufacturer’s Web site. 

(iv) Upon Administrator approval, 

implement a range of time periods for 

online access to any person specified in 

paragraph (j)(3)(i) of this section 

whereby the user will be able to access 

the site, search for the information, and 

purchase, view and print the 

information at a fair and reasonable cost 

as specified in paragraph (j)(8) of this 

section for each of the options. In 

addition, for each of the range of time 

periods, manufacturers are required to 

make their entire site accessible for the 

respective period of time and price. In 

other words, a manufacturer may not 

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8416 Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 

limit Web site access to just one make 

or one model. 

(v) Allow the user to search the 

manufacturer Web site by various topics 

including but not limited to model, 

model year, key words or phrases, etc., 

while allowing ready identification of 

the latest calibration. Manufacturers 

who do not use model year to classify 

their engines in their service 

information may use an alternate 

delineation such as body series. Any 

manufacturer utilizing this flexibility 

shall create a cross-reference to the 

corresponding model year and provide 

this cross-reference on the manufacturer 

Web site home page. 

(vi) Provide accessibility using 

common, readily available software and 

shall not require the use of software, 

hardware, viewers, or browsers that are 

not readily available to the general 

public. Manufacturers shall also provide 

hyperlinks to any plug-ins, viewers or 

browsers (e.g. Adobe Acrobat or 

Netscape) needed to access the 

manufacturer Web site. 

(vii) Allow simple hyper-linking to 

the manufacturer Web site from 

Government Web sites and automotiverelated Web sites. 

(viii) Possess sufficient server 

capacity to allow ready access by all 

users and has sufficient capacity to 

assure that all users may obtain needed 

information without undue delay. 

(ix) Correct or delete any reported 

broken Web links on a weekly basis. 

(x) Allow for Web site navigation that 

does not require a user to return to the 

manufacturer home page or a search 

engine in order to access a different 

portion of the site. 

(xi) Allow users to print out any and 

all of the materials required to be made 

available on the manufacturers Web site 

that can be reasonably printed on a 

standard printer, including the ability to 

print it at the user’s location. 

(5) Small volume provisions for 

information dissemination. 

(i) Manufacturers with total annual 

sales of less than 5,000 engines shall 

have until July 1, 2011 to launch their 

individual Web sites as required by 

paragraph (j)(4) of this section. 

(ii) Manufacturers with total annual 

sales of less than 1,000 engines may, in 

lieu of meeting the requirement of 

paragraph (j)(4) of this section, request 

the Administrator to approve an 

alternative method by which the 

required emissions-related information 

can be obtained by the persons specified 

in paragraph (j)(3)(i) of this section. 

(6) Required information. All 

information relevant to the diagnosis 

and completion of emissions-related 

repairs shall be posted on manufacturer 

Web sites. This excludes indirect 

information specified in paragraphs 

(j)(7) and (j)(13) through (j)(17) of this 

section. To the extent that this 

information does not already exist in 

some form for their manufacturer 

franchised dealerships or authorized 

service networks, manufacturers are 

required to develop and make available 

the information required by this section 

to both their manufacturer franchised 

dealerships or authorized service 

networks and the aftermarket. The 

required information includes, but is 

not limited to: 

(i) Manuals, including subsystem and 

component manuals developed by a 

manufacturer’s third party supplier that 

are made available to manufacturer 

franchised dealerships or authorized 

service networks, technical service 

bulletins (TSBs), recall service 

information, diagrams, charts, and 

training materials. Informal recall 

service information such as engineering 

notes and/or sketches are not required 

to be made available as long as this 

information is not made available to 

manufacturer franchised dealerships or 

authorized service networks in the form 

of manuals. Manuals and other such 

service information from third party 

suppliers are not required to be made 

available in full-text on manufacturer 

Web sites as described in paragraph 

(j)(4) of this section. Rather, 

manufacturers must make available on 

the manufacturer Web site as required 

by paragraph (j)(4) of this section an 

index of the relevant information and 

instructions on how to order such 

information. In the alternate, a 

manufacturer can create a link from its 

Web site to the Web site(s) of the third 

party supplier. 

(ii) OBD system information which 

includes, but is not limited to, the 

following: 

(A) A general description of the 

operation of each monitor, including a 

description of the parameter that is 

being monitored; 

(B) A listing of all typical OBD 

diagnostic trouble codes associated with 

each monitor; 

(C) A description of the typical 

enabling conditions (either generic or 

monitor-specific) for each monitor (if 

equipped) to execute during engine 

operation, including, but not limited to, 

minimum and maximum intake air and 

engine coolant temperature, speed 

range, and time after engine startup. In 

addition, manufacturers shall list all 

monitor-specific OBD drive cycle 

information for all major OBD monitors 

as equipped including, but not limited 

to, catalyst, catalyst heater, oxygen 

sensor, oxygen sensor heater, 

evaporative system, exhaust gas recirculation (EGR), secondary air, and air 

conditioning system. Additionally, for 

diesel engines which also perform 

misfire, fuel system and comprehensive 

component monitoring under specific 

driving conditions (i.e., non-continuous 

monitoring; as opposed to spark ignition 

engines that monitor these systems 

under all conditions or continuous 

monitoring), the manufacturer shall 

make available monitor-specific drive 

cycles for these monitors. Any 

manufacturer who develops generic 

drive cycles, either in addition to, or 

instead of, monitor-specific drive cycles 

shall also make these available in fulltext on manufacturer Web sites; 

(D) A listing of each monitor 

sequence, execution frequency and 

typical duration; 

(E) A listing of typical malfunction 

thresholds for each monitor; 

(F) For OBD parameters for specific 

engines that deviate from the typical 

parameters, the OBD description shall 

indicate the deviation and provide a 

separate listing of the typical values for 

those engines; 

(G) Identification and scaling 

information necessary to interpret and 

understand data available through 

Diagnostic Message 8 pursuant to SAE 

J1939–73 (as specified in paragraph 

(j)(17) of this section), or through 

Service/Mode $06 pursuant to SAE 

J1979 (as specified in paragraph (j)(17) 

of this section). 

(H) Algorithms, look-up tables, or any 

values associated with look-up tables 

are not required to be made available. 

(iii) Any information regarding any 

system, component, or part of a engine 

monitored by the OBD system that 

could in a failure mode cause the OBD 

system to illuminate the malfunction 

indicator light (MIL); 

(iv) Manufacturer-specific emissionsrelated diagnostic trouble codes (DTCs) 

and any related service bulletins, 

troubleshooting guides, and/or repair 

procedures associated with these 

manufacturer-specific DTCs; and 

(v) Information regarding how to 

obtain the information needed to 

perform reinitialization of any computer 

or anti-theft system following an 

emissions-related repair. 

(7) Anti-theft System Initialization 

Information. Computer or anti-theft 

system initialization information and/or 

related tools necessary for the proper 

installation of on-board computers or 

necessary for the completion of any 

emissions-related repair on engines that 

employ integral security systems or the 

repair or replacement of any other 

emission-related part shall be made 

available at a fair and reasonable cost to 

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the persons specified in paragraph 

(j)(3)(i) of this section. 

(i) Except as provided under 

paragraph (j)(7)(ii) of this section, 

manufacturers must make this 

information available to persons 

specified in paragraph (j)(3)(i) of this 

section, such that such persons will not 

need any special tools or manufacturerspecific scan tools to perform the 

initialization. Manufacturers may make 

such information available through, for 

example, generic aftermarket tools, a 

pass-through device, or inexpensive 

manufacturer specific cables. 

(ii) A manufacturer may request 

Administrator approval for an 

alternative means to re-initialize engines 

for some or all model years through the 

2013 model year by July 27, 2009. The 

Administrator shall approve the request 

only after the following conditions have 

been met: 

(A) The manufacturer must 

demonstrate that the availability of such 

information to aftermarket service 

providers would significantly increase 

the risk of theft. 

(B) The manufacturer must make 

available a reasonable alternative means 

to install or repair computers, or to 

otherwise repair or replace an emissionrelated part. 

(C) Any alternative means proposed 

by a manufacturer cannot require 

aftermarket technicians to use a 

manufacturer franchised dealership or 

authorized service networks to obtain 

information or special tools to reinitialize the anti-theft system. All 

information must come directly from 

the manufacturer or a single 

manufacturer-specified designee. 

(D) Any alternative means proposed 

by a manufacturer must be available to 

aftermarket technicians at a fair and 

reasonable price. 

(E) Any alternative must be available 

to aftermarket technicians within 

twenty-four hours of the initial request. 

(F) Any alternative must not require 

the purchase of a special tool or tools, 

including manufacturer-specific tools, 

to complete this repair. Alternatives 

may include lease of such tools, but 

only for appropriately minimal cost. 

(G) In lieu of leasing their 

manufacturer-specific tool to meet this 

requirement, a manufacturer may also 

choose to release the necessary 

information to equipment and tool 

manufacturers for incorporation into 

aftermarket scan tools. Any 

manufacturer choosing this option must 

release the information to equipment 

and tool manufacturers within 60 days 

of Administrator approval. 

(8) Cost of required information. 

(i) All information required to be 

made available by this section, shall be 

made available at a fair and reasonable 

price. In determining whether a price is 

fair and reasonable, consideration may 

be given to relevant factors, including, 

but not limited to, the following: 

(A) The net cost to the manufacturer 

franchised dealerships or authorized 

service networks for similar information 

obtained from manufacturers, less any 

discounts, rebates, or other incentive 

programs; 

(B) The cost to the manufacturer for 

preparing and distributing the 

information, excluding any research and 

development costs incurred in 

designing and implementing, upgrading 

or altering the onboard computer and its 

software or any other engine part or 

component. Amortized capital costs for 

the preparation and distribution of the 

information may be included; 

(C) The price charged by other 

manufacturers for similar information; 

(D) The price charged by 

manufacturers for similar information 

prior to the launch of manufacturer Web 

sites; 

(E) The ability of the average 

aftermarket technician or shop to afford 

the information; 

(F) The means by which the 

information is distributed; 

(G) The extent to which the 

information is used, which includes the 

number of users, and frequency, 

duration, and volume of use; and 

(H) Inflation. 

(ii) Manufacturers must submit to 

EPA a request for approval of their 

pricing structure for their Web sites and 

amounts to be charged for the 

information required to be made 

available under paragraphs (j)(4) and 

(j)(6) of this section at least 180 days in 

advance of the launch of the web site. 

Subsequent to the approval of the 

manufacturer Web site pricing structure, 

manufacturers shall notify EPA upon 

the increase in price of any one or all 

of the subscription options of 20 percent 

or more above the previously approved 

price, taking inflation into account. 

(A) The manufacturer shall submit a 

request to EPA that sets forth a detailed 

description of the pricing structure and 

amounts, and support for the position 

that the pricing structure and amounts 

are fair and reasonable by addressing, at 

a minimum, each of the factors specified 

in paragraph (j)(8)(i) of this section. 

(B) EPA will act upon on the request 

within180 days following receipt of a 

complete request or following receipt of 

any additional information requested by 

EPA. 

(C) EPA may decide not to approve, 

or to withdraw approval for a 

manufacturer’s pricing structure and 

amounts based on a conclusion that this 

pricing structure and/or amounts are 

not, or are no longer, fair and 

reasonable, by sending written notice to 

the manufacturer explaining the basis 

for this decision. 

(D) In the case of a decision by EPA 

not to approve or to withdraw approval, 

the manufacturer shall within three 

months following notice of this 

decision, obtain EPA approval for a 

revised pricing structure and amounts 

by following the approval process 

described in this paragraph. 

(9) Unavailable information. Any 

information which is not provided at a 

fair and reasonable price shall be 

considered unavailable, in violation of 

these regulations and section 202(m)(5) 

of the Clean Air Act. 

(10) Third party information 

providers. (i) By January 1, 2011 

manufacturers shall, for model year 

2010 and later engines, make available 

to third-party information providers as 

defined in paragraph (j)(3)(ii) of this 

section with whom they may wish to 

engage in licensing or business 

arrangements, the required emissionsrelated information as specified in 

paragraph (j)(6) of this section either: 

(A) Directly in electronic format such 

as diskette or CD-ROM using nonproprietary software, in English; or 

(B) Indirectly via a Web site other 

than that required by paragraph (j)(4) of 

this section 

(ii) Manufacturers are not responsible 

for the accuracy of the information 

distributed by third parties. However, 

where manufacturers charge 

information intermediaries for 

information, whether through licensing 

agreements or other arrangements, 

manufacturers are responsible for 

inaccuracies contained in the 

information they provide to third party 

information providers. 

(11) Required emissions-related 

training information. By January 1, 

2011, for emissions-related training 

information, manufacturers shall: 

(i) Video tape or otherwise duplicate 

and make available for sale on 

manufacturer Web sites within 30 days 

after transmission any emissions-related 

training courses provided to 

manufacturer franchised dealerships or 

authorized service networks via the 

Internet or satellite transmission. 

Manufacturers shall not be required to 

duplicate transmitted emissions-related 

training courses if anyone engaged in 

the repairing or servicing of heavy-duty 

engines has the opportunity to receive 

the Internet or satellite transmission, 

even if there is a cost associated with 

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8418 Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 

the equipment required to receive the 

transmission; 

(ii) Provide on the manufacturer Web 

site an index of all emissions-related 

training information available for 

purchase by aftermarket service 

providers for 2010 and newer engines. 

The required information must be made 

available for purchase within 3 months 

of model introduction and then must be 

made available at the same time it is 

made available to manufacturer 

franchised dealerships or authorized 

service networks, whichever is earlier. 

The index shall describe the title of the 

course or instructional session, the cost 

of the video tape or duplicate, and 

information on how to order the item(s) 

from the manufacturer Web site. All of 

the items available must be shipped 

within 3 business day of the order being 

placed and are to made available at a 

fair and reasonable price as described in 

paragraph (j)(8) of this section. 

Manufacturers unable to meet the 3 

business day shipping requirement 

under circumstances where orders 

exceed supply and additional time is 

needed by the distributor to reproduce 

the item being ordered, may exceed the 

3 business day shipping requirement, 

but in no instance can take longer than 

14 days to ship the item. 

(12) Timeliness and maintenance of 

information dissemination. 

(i) Subsequent to the initial launch of 

the manufacturer’s Web site, 

manufacturers must make the 

information required under paragraph 

(j)(6) of this section available on their 

Web site within six months of model 

introduction, or at the same time it is 

made available to manufacturer 

franchised dealerships or authorized 

service networks, whichever is earlier. 

After this six month period, the 

information must be available and 

updated on the manufacturer Web site 

at the same time that the updated 

information is made available to 

manufacturer franchised dealerships or 

authorized service networks, except as 

otherwise specified in this section. 

(ii) Archived information. 

Manufacturers must maintain the 

required information on their Web sites 

in full-text as defined in paragraph (j)(6) 

of this section for a minimum of 15 

years after model introduction. 

Subsequent to this fifteen year period, 

manufacturers may archive the 

information in the manufacturer’s 

format of choice and provide an index 

of the archived information on the 

manufacturer Web site and how it can 

be obtained by interested parties. 

Manufacturers shall index their 

available information with a title that 

adequately describes the contents of the 

document to which it refers. 

Manufacturers may allow for the 

ordering of information directly from 

their Web site, or from a Web site 

hyperlinked to the manufacturer Web 

site. In the alternate, manufacturers 

shall list a phone number and address 

where aftermarket service providers can 

call or write to obtain the desired 

information. Manufacturers must also 

provide the price of each item listed, as 

well as the price of items ordered on a 

subscription basis. To the extent that 

any additional information is added or 

changed for these model years, 

manufacturers shall update the index as 

appropriate. Manufacturers will be 

responsible for ensuring that their 

information distributors do so within 

one regular business day of receiving 

the order. Items that are less than 20 

pages (e.g. technical service bulletins) 

shall be faxed to the requestor and 

distributors are required to deliver the 

information overnight if requested and 

paid for by the ordering party. Archived 

information must be made available on 

demand and at a fair and reasonable 

price. 

(13) Recalibration Information. 

(i) Manufacturers shall make available 

to the persons specified in paragraph 

(j)(3)(i) of this section all emissionsrelated recalibration or reprogramming 

events (including driveability 

reprogramming events that may affect 

emissions) in the format of their choice 

at the same time they are made available 

to manufacturer franchised dealerships 

or authorized service networks. This 

requirement applies on July 1, 2013. 

(ii) Manufacturers shall provide 

persons specified in paragraph (j)(3)(i) 

of this section with an efficient and 

cost-effective method for identifying 

whether the calibrations on engines are 

the latest to be issued. This requirement 

applies on July 1, 2013. 

(iii) For all 2013 and later OBD 

engines equipped with reprogramming 

capability, manufacturers shall comply 

with either SAE J2534–1 (as specified in 

paragraph (j)(17) of this section), or the 

Technology and Maintenance Council’s 

(TMC) Recommended Practice TMC RP 

1210B (as specified in paragraph (j)(17) 

of this section). 

(iv) For model years 2013 and later, 

manufacturers shall make available to 

aftermarket service providers the 

necessary manufacturer-specific 

software applications and calibrations 

needed to initiate pass-through 

reprogramming. This software shall be 

able to run on a standard personal 

computer that utilizes standard 

operating systems as specified in either 

SAE J2534–1 (as specified in paragraph 

(j)(17) of this section) or TMC RP 1210B 

(as specified in paragraph (j)(17) of this 

section). 

(v) Manufacturers may take any 

reasonable business precautions 

necessary to protect proprietary 

business information and are not 

required to provide this information to 

any party that does not agree to these 

reasonable business precautions. The 

requirements to make hardware 

available and to release the information 

to equipment and tool companies apply 

on July 1, 2013, and within 3 months of 

model introduction for all new model 

years. 

(14) Generic and enhanced 

information for scan tools. By July 1, 

2013, manufacturers shall make 

available to equipment and tool 

companies all generic and enhanced 

service information including bidirectional control and data stream 

information as defined in paragraph 

(j)(3(ii) of this section. This requirement 

applies for 2013 and later model year 

engines. 

(i) The information required by this 

paragraph (j)(14) shall be provided 

electronically using common document 

formats to equipment and tool 

companies with whom they have 

appropriate licensing, contractual, and/ 

or confidentiality arrangements. To the 

extent that a central repository for this 

information (e.g. the TEK–NET library 

developed by the Equipment and Tool 

Institute) is used to warehouse this 

information, the Administrator shall 

have free unrestricted access. In 

addition, information required by this 

paragraph (j)(14) shall be made available 

to equipment and tool companies who 

are not otherwise members of any 

central repository and shall have access 

if the non-members have arranged for 

the appropriate licensing, contractual 

and/or confidentiality arrangements 

with the manufacturer and/or a central 

repository. 

(ii) In addition to the generic and 

enhanced information defined in 

paragraph (j)(3)(ii) of this section, 

manufacturers shall also make available 

the following information necessary for 

developing generic diagnostic scan 

tools: 

(A) The physical hardware 

requirements for data communication 

(e.g., system voltage requirements, cable 

terminals/pins, connections such as 

RS232 or USB, wires, etc.), 

(B) Electronic Control Unit (ECU) data 

communication (e.g., serial data 

protocols, transmission speed or baud 

rate, bit timing requirements, etc.), 

(C) Information on the application 

physical interface (API) or layers. (i.e., 

processing algorithms or software 

design descriptions for procedures such 

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Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 8419 

as connection, initialization, and 

termination), 

(D) Engine application information or 

any other related service information 

such as special pins and voltages or 

additional connectors that require 

enablement and specifications for the 

enablement. 

(iii) Any manufacturer who utilizes an 

automated process in their 

manufacturer-specific scan tool for 

diagnostic fault trees shall make 

available to equipment and tool 

companies the data schema, detail 

specifications, including category types/ 

codes and codes, and data format/ 

content structure of the diagnostic 

trouble trees. 

(iv) Manufacturers can satisfy the 

requirement of paragraph (j)(14)(iii) of 

this section by making available 

diagnostic trouble trees on their 

manufacturer Web sites in full-text. 

(v) Manufacturers shall make all 

required information available to the 

requesting equipment and tool company 

within 14 days after the request to 

purchase has been made unless the 

manufacturer requests Administrator 

approval to refuse to disclose such 

information to the requesting company 

or requests Administrator approval for 

additional time to comply. After receipt 

of a request and consultation with the 

affected parties, the Administrator shall 

either grant or refuse the petition based 

on the evidence submitted during the 

consultation process: 

(A) If the evidence demonstrates that 

the engine manufacturer has a 

reasonably based belief that the 

requesting equipment and tool company 

could not produce safe and functionally 

accurate tools that would not cause 

damage to the engine, the petition for 

non-disclosure will be granted. Engine 

manufacturers are not required to 

provide data stream and bi-directional 

control information that would permit 

an equipment and tool company’s 

products to modify an EPA-certified 

engine or transmission configuration. 

(B) If the evidence does not 

demonstrate that the engine 

manufacturer has a reasonably-based 

belief that the requesting equipment and 

tool company could not produce safe 

and functionally accurate tools that 

would not cause damage to the engine, 

the petition for non-disclosure will be 

denied and the engine manufacturer, as 

applicable, shall make the requested 

information available to the requesting 

equipment and tool company within 2 

days of the denial. 

(vi) If the manufacturer submits a 

request for Administrator approval for 

additional time, and satisfactorily 

demonstrates to the Administrator that 

the engine manufacturer is able to 

comply but requires additional time 

within which to do so, the 

Administrator shall grant the request 

and provide additional time to fully and 

expeditiously comply. 

(vii) Manufacturers may require that 

tools using information covered under 

paragraph (j)(14) of this section comply 

with the Component Identifier message 

specified in SAE J1939–71 (as specified 

in paragraph (j)(17) of this section) as 

Parameter Group Number (PGN) 65249 

(including the message parameter’s 

make, model, and serial number) and 

the SAE J1939–81 (as specified in 

paragraph (j)(17) of this section) 

Address Claim PGN. 

(viii) Manufacturers are not required 

to make available to equipment and tool 

companies any information related to 

reconfiguration capabilities or any other 

information that would make permanent 

changes to existing engine 

configurations. 

(15) Availability of manufacturerspecific scan tools. (i) Manufacturers 

shall make available for sale to the 

persons specified in paragraph (j)(3)(i) 

of this section their own manufacturerspecific diagnostic tools at a fair and 

reasonable cost. These tools shall also 

be made available in a timely fashion 

either through the manufacturer Web 

site or through a manufacturerdesignated intermediary. Upon 

Administrator approval, manufacturers 

will not be required to make available 

manufacturer-specific tools with 

reconfiguration capabilities if they can 

demonstrate to the satisfaction of the 

Administrator that these tools are not 

essential to the completion of an 

emissions-related repair, such as 

recalibration. As a condition of 

purchase, manufacturers may request 

that the purchaser take all necessary 

training offered by the engine 

manufacturer. Any required training 

materials and classes must comply with 

the following: 

(A) Similar training must be required 

by the engine manufacturer for the use 

of the same tool by its franchised 

dealerships or authorized service 

networks; 

(B) The training must be substantially 

similar to such training in terms of 

material covered and the length of 

training; 

(C) The training must be made 

available within six months after a tool 

request has been made; 

(D) The training must be made 

available at a fair and reasonable price. 

(ii) Manufacturers shall ship 

purchased tools in a timely manner after 

a request and training, if any, has been 

completed. Any required training 

materials and classes must be made 

available at a fair and reasonable price. 

Manufacturers who develop different 

versions of one or more of their 

diagnostic tools that are used in whole 

or in part for emission-related diagnosis 

and repair shall also insure that all 

emission-related diagnosis and repair 

information is available for sale to the 

aftermarket at a fair and reasonable cost. 

Factors for determining fair and 

reasonable cost include, but are not 

limited to: 

(A) The net cost to the manufacturer’s 

franchised dealerships or authorized 

service network for similar tools 

obtained from manufacturers, less any 

discounts, rebates, or other incentive 

programs; 

(B) The cost to the manufacturer for 

preparing and distributing the tools, 

excluding any research and 

development costs; 

(C) The price charged by other 

manufacturers of similar sizes for 

similar tools; 

(D) The capabilities and functionality 

of the manufacturer tool; 

(E) The means by which the tools are 

distributed; 

(F) Inflation; 

(G) The ability of aftermarket 

technicians and shops to afford the 

tools. 

Manufacturers shall provide technical 

support to aftermarket service providers 

for the tools described in this section, 

either themselves or through a thirdparty of their choice. 

(16) Changing content of 

manufacturer-specific scan tools. 

Manufacturers who opt to remove nonemissions related content from their 

manufacturer-specific scan tools and 

sell them to the persons specified in 

paragraph (j)(3)(i) of this section shall 

adjust the cost of the tool accordingly 

lower to reflect the decreased value of 

the scan tool. All emissions-related 

content that remains in the 

manufacturer-specific tool shall be 

identical to the information that is 

contained in the complete version of the 

manufacturer-specific tool. Any 

manufacturer who wishes to implement 

this option must request approval from 

the Administrator prior to the 

introduction of the tool into commerce. 

(17) Reference Materials. 

Manufacturers shall conform with the 

following industry standards. These 

documents are incorporated by 

reference in § 86.1. Anyone may inspect 

copies at the U.S. EPA or at the National 

Archives and Records Administration 

(NARA). For information on the 

availability of this material at U.S. EPA, 

NARA, or the standard making bodies 

directly, refer to § 86.1. 

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8420 Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 

(i) SAE J1939–71, Revised January 

2008. For providing a means for the 

application processes to access the OSI 

environment, manufacturers shall 

comply with this industry standard. 

(ii) SAE J1939–73, Revised September 

2006. For identification and scaling 

information necessary to interpret and 

understand data available through 

Diagnostic Message 8, manufacturers 

shall comply with this industry 

standard. In the alternate, manufacturers 

may comply with Service/Mode $06 

pursuant to SAE J1979, Revised May 

2007. These recommended practices 

describe the implementation of 

diagnostic test modes for emissions 

related test data. Manufacturers shall 

comply with either SAE J1939–73 or 

SAE J1979 beginning with Model Year 

2013. 

(iii) SAE J1939–81, Revised May 2003. 

For management of source addresses 

and the association of those address 

with an actual function and with the 

detection and reporting of network 

realized errors, manufacturers shall 

comply with this industry standard. 

(iv) SAE J2403, Revised August 2007. 

For Web-based delivery of service 

information, manufacturers shall 

comply with this industry standard 

which standardizes various terms, 

abbreviations, and acronyms associated 

with on-board diagnostics. 

Manufacturers shall comply with SAE 

J2403 beginning with the Model Year 

2013. 

(v) TMC RP 1210B, Revised June 

2007. For pass-thru reprogramming 

capabilities, manufacturers shall comply 

with Technology and Maintenance 

Council’s (TMC) Recommended Practice 

TMC RP 1210B. In the alternate, 

manufacturers may comply with SAE 

J2534–1, Revised December 2004. These 

recommended practices provide 

technical specifications and information 

that manufacturers must supply to 

equipment and tool companies to 

develop aftermarket pass-thru 

reprogramming tools. Manufacturers 

shall comply with either TMC RP 1210B 

or SAE J2534–1 beginning with Model 

Year 2013. 

(18) Reporting Requirements. 

Performance reports that adequately 

demonstrate that each manufacturers 

website meets the information 

requirements outlined in paragraphs 

(j)(6)(i) through (j)(6)(vi) of this section 

shall be submitted to the Administrator 

annually or upon request by the 

Administrator. These reports shall 

indicate the performance and 

effectiveness of the websites by using 

commonly used Internet statistics (e.g., 

successful requests, frequency of use, 

number of subscriptions purchased, 

etc.). Manufacturers shall provide to the 

Administrator reports on an annual 

basis within 30 days of the end of the 

calendar year. These annual reports 

shall be submitted to the Administrator 

electronically utilizing non-proprietary 

software in the format as agreed to by 

the Administrator and the 

manufacturers. 

(19) Prohibited Acts, Liability and 

Remedies. 

(i) It is a prohibited act for any person 

to fail to promptly provide or cause a 

failure to promptly provide information 

as required by this paragraph (j), or to 

otherwise fail to comply or cause a 

failure to comply with any provision of 

this subsection. 

(ii) Any person who fails or causes the 

failure to comply with any provision of 

this paragraph (j) is liable for a violation 

of that provision. A corporation is 

presumed liable for any violations of 

this subpart that are committed by any 

of its subsidiaries, affiliates or parents 

that are substantially owned by it or 

substantially under its control. 

(iii) Any person who violates a 

provision of this paragraph (j) shall be 

subject to a civil penalty of not more 

than $ 31,500 per day for each violation. 

This maximum penalty is shown for 

calendar year 2002. Maximum penalty 

limits for later years may be set higher 

based on the Consumer Price Index, as 

specified in 40 CFR part 19. In addition, 

such person shall be liable for all other 

remedies set forth in Title II of the Clean 

Air Act, remedies pertaining to 

provisions of Title II of the Clean Air 

Act, or other applicable provisions of 

law. 

(iv) Manufacturers will not have any 

emissions warranty, in-use compliance, 

defect reporting or recall liability for 

service on a heavy-duty engine that is 

not undertaken by the manufacturer, for 

any damage caused by their own tools 

in the hands of independent service 

providers, or for the use and misuse of 

third party tools. 

■ 8. Section 86.1806–05 is amended by 

revising the section heading, paragraphs 

(a)(3), (h) introductory text, (h)(1)(v), 

(h)(1)(vii), (i), and (j) and adding new 

paragraphs (h)(2)(iv), (n) and (o) to read 

as follows: 

§ 86.1806–05 On-board diagnostics for 

vehicles less than or equal to 14,000 

pounds GVWR. 

(a) * * * 

(3) An OBD system demonstrated to 

fully meet the requirements in, through 

model year 2006, § 86.004–17 and, for 

model years 2007 and later, § 86.007–17 

may be used to meet the requirements 

of this section, provided that such an 

OBD system also incorporates 

appropriate transmission diagnostics as 

may be required under this section, and 

provided that the Administrator finds 

that a manufacturer’s decision to use the 

flexibility in this paragraph (a)(3) is 

based on good engineering judgement. 

* * * * * 

(h) The following documents are 

incorporated by reference, see § 86.1. 

Anyone may inspect copies at the U.S. 

EPA or at the National Archives and 

Records Administration (NARA). For 

information on the availability of this 

material at U.S. EPA, NARA, or the 

standard making bodies directly, refer to 

§ 86.1. 

(1) * * * 

(v) SAE J1930, Revised April 2002. 

All acronyms, definitions and 

abbreviations shall be formatted 

according to this industry standard. 

Alternatively, manufacturers may use 

SAE J2403, Revised August 2007. 

* * * * * 

(vii) As an alternative to the above 

standards, heavy-duty vehicles may 

conform to the specifications of these 

SAE standards: SAE J1939–11, Revised 

October 1999; SAE J1939–13, July 1999; 

SAE J1939–21, Revised April 2001; SAE 

J1939–31, Revised December 1997; SAE 

J1939–71, Revised August 2002; SAE 

J1939–73, Revised June 2001; SAE 

J1939–81, July 1997. 

(2) * * * 

(iv) ISO 15765–4:2005(E), January 15, 

2005. Beginning with the 2008 model 

year and beyond, this industry standard 

shall be the only acceptable protocol 

used for standardized on-board to offboard communications for vehicles 

below 8500 pounds. For vehicles 8500 

to 14000 pounds, either this ISO 

industry standard or the SAE standards 

listed in paragraph (h)(1)(vii) of this 

section shall be the only acceptable 

protocols used for standardized onboard to off-board communications. 

(i) Deficiencies and alternative fueled 

vehicles. Upon application by the 

manufacturer, the Administrator may 

accept an OBD system as compliant 

even though specific requirements are 

not fully met. Such compliances 

without meeting specific requirements, 

or deficiencies, will be granted only if 

compliance would be infeasible or 

unreasonable considering such factors 

as, but not limited to: Technical 

feasibility of the given monitor and lead 

time and production cycles including 

phase-in or phase-out of vehicle designs 

and programmed upgrades of 

computers. Unmet requirements should 

not be carried over from the previous 

model year except where unreasonable 

hardware or software modifications 

would be necessary to correct the 

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Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 8421 

deficiency, and the manufacturer has 

demonstrated an acceptable level of 

effort toward compliance as determined 

by the Administrator. Furthermore, EPA 

will not accept any deficiency requests 

that include the complete lack of a 

major diagnostic monitor (‘‘major’’ 

diagnostic monitors being those for 

exhaust aftertreatment devices, oxygen 

sensor, air-fuel ratio sensor, NOX sensor, 

engine misfire, evaporative leaks, and 

diesel EGR, if equipped), with the 

possible exception of the special 

provisions for alternative fueled 

engines. For alternative fueled vehicles 

(e.g., natural gas, liquefied petroleum 

gas, methanol, ethanol), manufacturers 

may request the Administrator to waive 

specific monitoring requirements of this 

section for which monitoring may not 

be reliable with respect to the use of the 

alternative fuel. At a minimum, 

alternative fuel engines must be 

equipped with an OBD system meeting 

OBD requirements to the extent feasible 

as approved by the Administrator. 

(j) California OBDII compliance 

option. Through the 2006 model year, 

for light-duty vehicles, light-duty trucks, 

and heavy-duty vehicles weighing 

14,000 pounds GVWR or less, 

demonstration of compliance with 

California OBDII requirements (Title 13 

California Code of Regulations § 1968.2 

(13 CCR 1968.2)), as modified, approved 

and filed on April 21, 2003 

(incorporated by reference, see § 86.1), 

shall satisfy the requirements of this 

section, except that compliance with 13 

CCR 1968.2(e)(4.2.2)(C), pertaining to 

0.02 inch evaporative leak detection, 

and 13 CCR 1968.2(d)(1.4), pertaining to 

tampering protection, are not required 

to satisfy the requirements of this 

section. Also, the deficiency provisions 

of 13 CCR 1968.2(i) do not apply. In 

addition, demonstration of compliance 

with 13 CCR 1968.2(e)(16.2.1)(C), to the 

extent it applies to the verification of 

proper alignment between the camshaft 

and crankshaft, applies only to vehicles 

equipped with variable valve timing. 

Beginning with the 2007 model year, for 

light-duty vehicles, light-duty trucks, 

and heavy-duty vehicles weighing 

14,000 pounds GVWR or less, 

demonstration of compliance with 

California OBD II requirements (Title 13 

California Code of Regulations § 1968.2 

(13 CCR 1968.2)), approved on 

November 9, 2007 (incorporated by 

reference, see § 86.1), shall satisfy the 

requirements of this section, except that 

compliance with 13 CCR 

1968.2(e)(4.2.2)(C), pertaining to 0.02 

inch evaporative leak detection, and 13 

CCR 1968.2(d)(1.4), pertaining to 

tampering protection, are not required 

to satisfy the requirements of this 

section. Also, the deficiency provisions 

of 13 CCR 1968.2(k) do not apply. In 

addition, demonstration of compliance 

with 13 CCR 1968.2(e)(15.2.1)(C), to the 

extent it applies to the verification of 

proper alignment between the camshaft 

and crankshaft, applies only to vehicles 

equipped with variable valve timing. 

For all model years, the deficiency 

provisions of paragraph (i) of this 

section and the evaporative leak 

detection requirement of paragraph 

(b)(4) of this section, if applicable, apply 

to manufacturers selecting this 

paragraph for demonstrating 

compliance. 

* * * * * 

(n) For 2007 and later model year 

diesel complete heavy-duty vehicles, in 

lieu of the malfunction descriptions of 

paragraph (b) of this section, the 

malfunction descriptions of this 

paragraph (n) shall apply. The OBD 

system must detect and identify 

malfunctions in all monitored emissionrelated powertrain systems or 

components according to the following 

malfunction definitions as measured 

and calculated in accordance with test 

procedures set forth in subpart B of this 

part (chassis-based test procedures), 

excluding those test procedures defined 

as ‘‘Supplemental’’ test procedures in 

§ 86.004–2 and codified in §§ 86.158, 

86.159, and 86.160. 

(1) Catalysts and diesel particulate 

filters (DPF). 

(i) If equipped, reduction catalyst 

deterioration or malfunction before it 

results in exhaust emissions exceeding, 

for model years 2007 through 2009, 4 

times the applicable NOX standard and, 

for model years 2010 through 2012, the 

applicable NOX standard+0.6 g/mi and, 

for model years 2013 and later, the 

applicable NOX standard+0.3 g/mi. 

Further, if equipped, oxidation catalyst 

(not to include the DPF), deterioration 

or malfunction before it results in 

exhaust NMHC emissions exceeding, for 

2010 through 2012 model years, 2.5 

times the applicable NMHC standard 

and, for 2013 and later model years, 2 

times the applicable NMHC standard. 

Monitoring of oxidation catalysts is not 

required through the 2009 model year. 

These catalyst monitoring need not be 

done if the manufacturer can 

demonstrate that deterioration or 

malfunction of the system will not 

result in exceedance of the threshold. 

As an alternative to the oxidation 

catalyst monitoring requirement, the 

monitor can be designed to detect 

oxidation catalyst deterioration or 

malfunction before it results in an 

inability to achieve a temperature rise of 

100 degrees C, or to reach the necessary 

DPF regeneration temperature, within 

60 seconds of initiating an active DPF 

regeneration. Further, oxidation catalyst 

deterioration or malfunction when the 

DOC is unable to sustain the necessary 

regeneration temperature for the 

duration of the regeneration event. The 

OBD or control system must abort the 

regeneration if the regeneration 

temperature has not been reached 

within five minutes of initiating an 

active regeneration event, and if the 

regeneration temperature cannot be 

sustained for the duration of the 

regeneration event. 

(ii) If equipped with a DPF, for all 

model years, catastrophic failure of the 

device must be detected. Any DPF 

whose complete failure results in 

exhaust emissions exceeding 1.5 times 

the applicable PM standard or family 

emissions limit (FEL) must be 

monitored for such catastrophic failure. 

This monitoring need not be done if the 

manufacturer can demonstrate that a 

catastrophic failure of the system will 

not result in exceedance of the 

threshold. Further, if equipped with a 

DPF, the OBD system shall detect DPF 

deterioration or malfunction before it 

results in exhaust emissions exceeding, 

for 2010 through 2012 model years, 4 

times the applicable PM standard and, 

for 2013 and later model years, the 

applicable PM standard +0.04 g/mi. 

(2) Engine misfire. Lack of cylinder 

combustion must be detected. 

(3) Exhaust gas sensors. 

(i) Oxygen sensors and air-fuel ratio 

sensors downstream of aftertreatment 

devices. If equipped, sensor 

deterioration or malfunction resulting in 

exhaust emissions exceeding any of the 

following levels: for 2007 through 2009 

model years, 4 times the applicable PM 

standard, or 3 times the applicable NOX

standard, or 2.5 times the applicable 

NMHC standard and, for 2010 through 

2012 model years, 4 times the 

applicable PM standard, or the 

applicable NOX standard+0.3 g/mi, or 

2.5 times the applicable NMHC standard 

and, for 2013 and later model years, the 

applicable PM standard+0.04 g/mi, or 

the applicable NOX standard+0.3 g/mi, 

or 2 times the applicable NMHC 

standard. 

(ii) Oxygen sensors and air-fuel ratio 

sensors upstream of aftertreatment 

devices. If equipped, sensor 

deterioration or malfunction resulting in 

exhaust emissions exceeding any of the 

following levels: for 2007 through 2009 

model years, 4 times the applicable PM 

standard, or 3 times the applicable NOX

standard, or 2.5 times the applicable 

NMHC standard, or 2.5 times the 

applicable CO standard and, for 2010 

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8422 Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 

through 2012 model years, the 

applicable PM standard+0.02 g/mi, or 

the applicable NOX standard+0.3 g/mi, 

or 2.5 times the applicable NMHC 

standard, or 2.5 times the applicable CO 

standard and, for 2013 and later model 

years, the applicable PM standard+0.02 

g/mi, or the applicable NOX

standard+0.3 g/mi, or 2 times the 

applicable NMHC standard, or 2 times 

the applicable CO standard. 

(iii) NOX sensors. If equipped, sensor 

deterioration or malfunction resulting in 

exhaust emissions exceeding any of the 

following levels: for 2007 through 2009 

model years, 5 times the applicable PM 

standard, or 4 times the applicable NOX

standard and, for 2010 through 2012 

model years, 4 times the applicable PM 

standard, or the applicable NOX

standard+0.6 g/mi and, for 2013 and 

later model years, the applicable PM 

standard+0.04 g/mi, or the applicable 

NOX standard+0.3 g/mi. 

(4) [Reserved.] 

(5) Other emission control systems 

and components. Any deterioration or 

malfunction occurring in an engine 

system or component directly intended 

to control emissions, including but not 

necessarily limited to, the exhaust gas 

recirculation (EGR) system, if equipped, 

and the fuel control system, singularly 

resulting in exhaust emissions 

exceeding any of the following levels: 

For 2007 through 2009 model years, 4 

times the applicable PM standard, or 3 

times the applicable NOX standard, or 

2.5 times the applicable NMHC 

standard, or 2.5 times the applicable CO 

standard and, for 2010 through 2012 

model years, 4 times the applicable PM 

standard, or the applicable NOX

standard+0.3 g/mi, or 2.5 times the 

applicable NMHC standard, or 2.5 times 

the applicable CO standard and, for 

2013 and later model years, the 

applicable PM standard+0.02 g/mi, or 

the applicable NOX standard+0.3 g/mi, 

or 2 times the applicable NMHC 

standard, or 2 times the applicable CO 

standard. A functional check, as 

described in paragraph (n)(6) of this 

section, may satisfy the requirements of 

this paragraph (n)(5) provided the 

manufacturer can demonstrate that a 

malfunction would not cause emissions 

to exceed the applicable levels. This 

demonstration is subject to 

Administrator approval. For engines 

equipped with crankcase ventilation 

(CV), monitoring of the CV system is not 

necessary provided the manufacturer 

can demonstrate to the Administrator’s 

satisfaction that the CV system is 

unlikely to fail. 

(6) Other emission-related powertrain 

components. Any other deterioration or 

malfunction occurring in an electronic 

emission-related powertrain system or 

component not otherwise described in 

paragraphs (n)(1) through (n)(5) of this 

section that either provides input to or 

receives commands from the on-board 

computer and has a measurable impact 

on emissions; monitoring of 

components required by this paragraph 

(n)(6) must be satisfied by employing 

electrical circuit continuity checks and 

rationality checks for computer input 

components (input values within 

manufacturer specified ranges based on 

other available operating parameters), 

and functionality checks for computer 

output components (proper functional 

response to computer commands) 

except that the Administrator may 

waive such a rationality or functionality 

check where the manufacturer has 

demonstrated infeasibility. 

Malfunctions are defined as a failure of 

the system or component to meet the 

electrical circuit continuity checks or 

the rationality or functionality checks. 

(7) Performance of OBD functions. 

Any sensor or other component 

deterioration or malfunction which 

renders that sensor or component 

incapable of performing its function as 

part of the OBD system must be detected 

and identified on engines so equipped. 

(o) For 2007 and later model year 

diesel complete heavy-duty vehicles, in 

lieu of the certification provisions of 

paragraph (k) of this section, the 

certification provisions of this 

paragraph (o) shall apply. For test 

groups required to have an OBD system, 

certification will not be granted if, for 

any test vehicle approved by the 

Administrator in consultation with the 

manufacturer, the malfunction indicator 

light does not illuminate under any of 

the following circumstances, unless the 

manufacturer can demonstrate that any 

identified OBD problems discovered 

during the Administrator’s evaluation 

will be corrected on production 

vehicles. 

(1)(i) If monitored for emissions 

performance—a reduction catalyst is 

replaced with a deteriorated or defective 

catalyst, or an electronic simulation of 

such, resulting in exhaust emissions 

exceeding, for 2007 through 2009 model 

years, 4 times the applicable NOX

standard and, for 2010 through 2012 

model years, the applicable NOX

standard+0.6 g/mi and, for 2013 and 

later model years, the applicable NOX

standard+0.3 g/mi. Also if monitored for 

emissions performance-an oxidation 

catalyst (not to include the DPF) is 

replaced with a deteriorated or defective 

catalyst, or an electronic simulation of 

such, resulting in exhaust NMHC 

emissions exceeding, for 2010 through 

2012 model years, 2.5 times the 

applicable NMHC standard and, for 

2013 and later model years, 2 times the 

applicable NMHC standard. If 

monitored for exotherm performance for 

2010 and later model years, an 

oxidation catalsyt is replaced with a 

deteriorated or defective catalyst, or an 

electronic simulation of such, resulting 

in an inability to achieve a 100 degree 

C temperature rise, or the necessary 

regeneration temperature, within 60 

seconds of initiating a DPF regeneration. 

(ii) If monitored for performance—a 

DPF is replaced with a DPF that has 

catastrophically failed, or an electronic 

simulation of such. Further, a DPF is 

replaced with a deteriorated or defective 

DPF, or an electronic simulation of 

such, resulting in exhaust PM emissions 

exceeding, for 2010 through 2012 model 

years, 4 times the applicable PM 

standard and, for 2013 and later model 

years, the applicable PM standard+0.04 

g/mi. 

(2) An engine misfire condition is 

induced and is not detected. 

(3)(i) If so equipped, any oxygen 

sensor or air-fuel ratio sensor located 

downstream of aftertreatment devices is 

replaced with a deteriorated or defective 

sensor, or an electronic simulation of 

such, resulting in exhaust emissions 

exceeding any of the following levels: 

for 2007 through 2009 model years, 4 

times the applicable PM standard, or 3 

times the applicable NOX standard, or 

2.5 times the applicable NMHC standard 

and, for 2010 through 2012 model years, 

4 times the applicable PM standard, or 

the applicable NOX standard+0.3 g/mi, 

or 2.5 times the applicable NMHC 

standard and, for 2013 and later model 

years, the applicable PM standard+0.04 

g/mi, or the applicable NOX

standard+0.3 g/mi, or 2 times the 

applicable NMHC standard. 

(ii) If so equipped, any oxygen sensor 

or air-fuel ratio sensor located upstream 

of aftertreatment devices is replaced 

with a deteriorated or defective sensor, 

or an electronic simulation of such, 

resulting in exhaust emissions 

exceeding any of the following levels: 

for 2007 through 2009 model years, 4 

times the applicable PM standard, or 3 

times the applicable NOX standard, or 

2.5 times the applicable NMHC 

standard, or 2.5 times the applicable CO 

standard and, for 2010 through 2012 

model years, the applicable PM 

standard+0.02 g/mi, or the applicable 

NOX standard+0.3 g/mi, or 2.5 times the 

applicable NMHC standard, or 2.5 times 

the applicable CO standard and, for 

2013 and later model years, the 

applicable PM standard+0.02 g/mi, or 

the applicable NOX standard+0.3 g/mi, 

or 2 times the applicable NMHC 

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Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 8423 

standard, or 2 times the applicable CO 

standard. 

(iii) If so equipped, any NOX sensor is 

replaced with a deteriorated or defective 

sensor, or an electronic simulation of 

such, resulting in exhaust emissions 

exceeding any of the following levels: 

for 2007 through 2009 model years, 5 

times the applicable PM standard, or 4 

times the applicable NOX standard and, 

for 2010 through 2012 model years, 4 

times the applicable PM standard, or the 

applicable NOX standard+0.6 g/mi and, 

for 2013 and later model years, the 

applicable PM standard+0.04 g/mi, or 

the applicable NOX standard+0.3 g/mi. 

(4) [Reserved.] 

(5) A malfunction condition is 

induced in any emission-related engine 

system or component, including but not 

necessarily limited to, the exhaust gas 

recirculation (EGR) system, if equipped, 

and the fuel control system, singularly 

resulting in exhaust emissions 

exceeding any of the following levels: 

for 2007 through 2009 model years, 4 

times the applicable PM standard or 3 

times the applicable NOX standard, or 

2.5 times the applicable NMHC 

standard, or 2.5 times the applicable CO 

standard and, for 2010 through 2012 

model years, 4 times the applicable PM 

standard, or the applicable NOX

standard+0.3 g/mi, or 2.5 times the 

applicable NMHC standard, or 2.5 times 

the applicable CO standard and, for 

2013 and later model years, the 

applicable PM standard+0.02 g/mi, or 

the applicable NOX standard+0.3 g/mi, 

or 2 times the applicable NMHC 

standard, or 2 times the applicable CO 

standard. 

(6) A malfunction condition is 

induced in an electronic emissionrelated powertrain system or component 

not otherwise described in this 

paragraph (o) that either provides input 

to or receives commands from the onboard computer resulting in a 

measurable impact on emissions. 

■ 9. Section 86.1863–07 is amended by 

revising paragraphs (b) and (c) to read 

as follows. 

§ 86.1863–07 Optional chassis certification 

for diesel vehicles. 

* * * * * 

(b) For OBD, diesel vehicles 

optionally certified under this section 

are subject to the OBD requirements of 

§ 86.1806–05 and superseding sections. 

(c) Diesel vehicles optionally certified 

under this section may be tested using 

the test fuels, sampling systems, or 

analytical systems specified for diesel 

engines in Subpart N of this part or in 

40 CFR part 1065. 

* * * * * 

PART 89—CONTROL OF EMISSIONS 

FROM NEW AND IN-USE NONROAD 

COMPRESSION-IGNITION ENGINES 

■ 10. The authority citation for part 89 

continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart A—[Amended] 

■ 11. Section 89.1 is amended by 

revising paragraph (b)(5) to read as 

follows: 

§ 89.1 Applicability. 

* * * * * 

(b) * * * 

(5) Hobby engines. This part does not 

apply for engines installed in reducedscale models of vehicles that are not 

capable of transporting a person. 

* * * * * 

PART 90—CONTROL OF EMISSIONS 

FROM NONROAD SPARK-IGNITION 

ENGINES AT OR BELOW 19 

KILOWATTS 

■ 12. The authority citation for part 90 

continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart G—[Amended] 

■ 13. Section 90.611 is revised to read 

as follows: 

§ 90.611 Importation for purposes other 

than resale. 

The provisions of 40 CFR 1054.630 

apply for importation of nonconforming 

engines for personal use. 

PART 1027—FEES FOR ENGINE, 

VEHICLE, AND EQUIPMENT 

COMPLIANCE PROGRAMS 

■ 14. The authority citation for part 

1027 continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

■ 15. Section 1027.105 is amended by 

revising the equation in paragraph 

(c)(1)(i) and the equation in paragraph 

(c)(1)(ii) to read as follows. 

§ 1027.105 How much are the fees? 

* * * * * 

(c) * * * 

(1) * * * 

(i) * * * 

* * * * * (ii) * * * 

* * * * * 

PART 1033—CONTROL OF EMISSIONS 

FROM LOCOMOTIVES 

■ 16. The authority citation for part 

1033 continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart B—[Amended] 

■ 17. Section 1033.150 is amended by 

revising Table 1 in paragraph (f) to read 

as follows. 

§ 1033.150 Interim provisions. 

* * * * * 

(f) * * * 


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8424 Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 

TABLE 1 TO § 1033.150—IN-USE ADJUSTMENTS FOR TIER 4 LOCOMOTIVES

Fraction of useful life already used 

In-use adjustments (g/bhp-hr) 

For model 

year 2017 and 

earlier Tier 4 

NOX

standards 

For model 

year 2017 and 

earlier Tier 4 

PM standards 

0 < MW-hrs ≤ 50% of UL ........................................................................................................................................ 0.7 0.01 

50 < MW-hrs ≤ 75% of UL ...................................................................................................................................... 1.0 0.01 

MW-hrs > 75% of UL ............................................................................................................................................... 1.3 0.01 

* * * * * 

Subpart F—[Amended] 

■ 18. Section 1033.515 is amended by 

revising paragraph (c)(5) to read as 

follows. 

§ 1033.515 Discrete-mode steady-state 

emission tests of locomotives and 

locomotive engines. 

* * * * * 

(c) * * * 

(5) Begin proportional sampling of PM 

emissions at the beginning of each 

sampling period and terminate sampling 

within ± 5 seconds of the specified time 

in each test mode. If the PM sample is 

not sufficiently large, take one of the 

following actions consistent with good 

engineering judgment: 

(i) Extend the sampling period up to 

a maximum of 15 minutes. 

(ii) Group the modes in the same 

manner as the phases of the ramped 

modal cycle and use three different 

dilution settings for the groups. Use one 

setting for both idle modes, one for 

dynamic brake through notch 5, and one 

for notches 6 through 8. For each group, 

ensure that the mode with the highest 

exhaust flow (typically normal idle, 

notch 5, and notch 8) meets the criteria 

for minimum dilution ratio in 40 CFR 

part 1065. 

* * * * * 

■ 19. Section 1033.520 is amended by 

removing Tables 1 and 2 in paragraph 

(e)(7), and adding a new paragraph (g) 

to read as follows: 

§ 1033.520 Alternative ramped modal 

cycles. 

* * * * * 

(g) The following tables define 

applicable ramped modal cycles for 

line-haul and switch locomotives: 

TABLE 1 TO § 1033.520—LINE-HAUL LOCOMOTIVE RAMPED MODAL CYCLE

RMC test phase 

Weighting 

factor 

RMC 

mode 

Time in 

mode 

(seconds) Notch setting 

Pre-test idle NA NA 600 to 900 Lowest idle setting 1

Phase 1 A 600 Low Idle.2

(Idle test) .................................................................... 0.380 B 600 Normal Idle. 

Phase Transition 

C 1000 Dynamic Brake.3

1 520 Notch 1. 

Phase 2 ...................................................................... 0.389 2 520 Notch 2. 

3 416 Notch 3. 

4 352 Notch 4. 

5 304 Notch 5. 

Phase Transition 

6 144 Notch 6. 

Phase 3 ...................................................................... 0.231 7 111 Notch 7. 

8 600 Notch 8. 

1See paragraph (d) of this section for alternate pre-test provisions. 

2Operate at normal idle for modes A and B if not equipped with multiple idle settings. 

3Operate at normal idle if not equipped with a dynamic brake. 

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Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 8425 

TABLE 2 TO § 1033.520—SWITCH LOCOMOTIVE RAMPED MODAL CYCLE

RMC test phase 

Weighting 

factor 

RMC 

mode 

Time in 

mode 

(seconds) Notch setting 

Pre-test idle NA NA 600 to 900 Lowest idle setting 1

Phase 1 A 600 Low Idle.2

(Idle test) .................................................................... 0.598 B 600 Normal Idle. 

Phase Transition 

1 868 Notch 1. 

2 861 Notch 2. 

Phase 2 ...................................................................... 0.377 3 406 Notch 3. 

4 252 Notch 4. 

5 252 Notch 5. 

Phase Transition 

6 1080 Notch 6. 

Phase 3 ...................................................................... 0.025 7 144 Notch 7. 

8 576 Notch 8. 

1See paragraph (d) of this section for alternate pre-test provisions. 

2Operate at normal idle for modes A and B if not equipped with multiple idle settings. 

Subpart G—[Amended] 

■ 20. Section 1033.640 is amended by 

revising paragraph (a)(2) to read as 

follows. 

§ 1033.640 Provisions for repowered and 

refurbished locomotives. 

(a) * * * 

(2) Refurbished locomotives are 

locomotives that contain more unused 

parts than previously used parts. As 

described in this section, a locomotive 

containing more unused parts than 

previously used parts may be deemed to 

be either remanufactured or freshly 

manufactured, depending on the total 

amount of unused parts on the 

locomotive. Note that § 1033.901 defines 

refurbishment of a pre-1973 locomotive 

to be an upgrade of the locomotive. 

* * * * * 

■ 21. Section 1033.645 is amended by 

revising paragraph (a) to read as follows. 

§ 1033.645 Non-OEM component 

certification program. 

* * * * * 

(a) Applicability. This section applies 

only for components that are commonly 

replaced during remanufacturing. It 

does not apply for other types of 

components that are replaced during a 

locomotive’s useful life, but not 

typically replaced during 

remanufacture. Certified components 

may be used for remanufacturing or 

other maintenance. 

(1) The following components are 

eligible for approval under this section: 

(i) Cylinder liners. 

(ii) Pistons. 

(iii) Piston rings. 

(iv) Heads 

(v) Fuel injectors. 

(vi) Turbochargers 

(vii) Aftercoolers and intercoolers. 

(2) Catalysts and electronic controls 

are not eligible for approval under this 

section. 

(3) We may determine that other types 

of components can be certified under 

this section, consistent with good 

engineering judgment. 

* * * * * 

PART 1042—CONTROL OF EMISSIONS 

FROM NEW AND IN-USE MARINE 

COMPRESSION-IGNITION ENGINES 

AND VESSELS 

■ 22. The authority citation for part 

1042 continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart B—[Amended] 

■ 23. Section 1042.101 is amended by 

revising Table 1 in paragraph (a)(3) to 

read as follows: 

§ 1042.101 Exhaust emission standards. 

(a) * * * 

(3) * * * 

TABLE 1 TO § 1042.101—TIER 3 STANDARDS FOR CATEGORY 1 ENGINES BELOW 3700 KW A

Power density and application Displacement (L/cyl) Maximum 

engine power Model year PM (g/kW-hr) 

NOX + HC 

(g/kW-hr) b

All ............................................... disp. < 0.9 ................................. kW < 19 .................................... 2009+ 0.40 7.5 

19 ≤ kW < 75 ............................ 2009–2013 0.30 7.5 

2014+ 0.30 4.7 

Commercial engines with kW/L 

≤ 35 b.

disp. < 0.9 ................................. kW ≥ 75 .................................... 2012+ 0.14 5.4 

0.9 ≤ disp. < 1.2 ....................... all .............................................. 2013+ 0.12 5.4 

1.2 ≤ disp. < 2.5 ....................... kW < 600 .................................. 2014–2017 0.11 5.6 

2018+ 0.10 5.6 

kW ≥ 600 .................................. 2014+ 0.11 5.6 

2.5 ≤ disp. < 3.5 ....................... kW < 600 .................................. 2013–2017 0.11 5.6 

2018+ 0.10 5.6 

kW ≥ 600 .................................. 2013+ 0.11 5.6 

3.5 ≤ disp. < 7.0 ....................... kW < 600 .................................. 2012–2017 0.11 5.8 

2018+ 0.10 5.8 

kW ≥ 600 .................................. 2012+ 0.11 5.8 

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8426 Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 

TABLE 1 TO § 1042.101—TIER 3 STANDARDS FOR CATEGORY 1 ENGINES BELOW 3700 KW A—Continued 

Power density and application Displacement (L/cyl) Maximum 

engine power Model year PM (g/kW-hr) 

NOX + HC 

(g/kW-hr) b

Commercial engines with kW/L 

> 35 and all recreational engines b.

disp. < 0.9 ................................. kW ≥ 75 .................................... 2012+ 0.15 5.8 

0.9 ≤ disp. < 1.2 ....................... all .............................................. 2013+ 0.14 5.8 

1.2 ≤ disp. < 2.5 ....................... ................................................... 2014+ 0.12 5.8 

2.5 ≤ disp. < 3.5 ....................... ................................................... 2013+ 0.12 5.8 

3.5 ≤ disp. < 7.0 ....................... ................................................... 2012+ 0.11 5.8 

a No Tier 3 standards apply for commercial Category 1 engines at or above 3700 kW. See § 1042.1(c) and paragraph (a)(6) of this section for 

the standards that apply for these engines. bThe applicable NOX + HC standards specified for Tier 2 engines in Appendix I of this part continue to apply instead of the values noted in the 

table for commercial engines at or above 2000 kW. FELs for these engines may not be higher than the Tier 1 NOX standard specified in Appendix I of this part. 

* * * * * 

Subpart G—[Amended] 

■ 24. Section 1042.635 is amended by 

revising paragraphs (a) and (b) and 

removing and reserving paragraph (c) to 

read as follows: 

§ 1042.635 National security exemption. 

* * * * * 

(a) An engine is exempt without a 

request if it will be used or owned by 

an agency of the federal government 

responsible for national defense, where 

the vessel in which it is installed has 

armor, permanently attached weaponry, 

specialized electronic warfare systems, 

unique stealth performance 

requirements, and/or unique combat 

maneuverability requirements. This 

applies to both remanufactured and 

freshly manufactured marine engines. 

(b) Manufacturers may request a 

national security exemption for engines 

not meeting the conditions of paragraph 

(a) of this section, as long as the request 

is endorsed by an agency of the federal 

government responsible for national 

defense. Agencies of the federal 

government responsible for national 

defense may request exemptions for 

remanufactured engines. In your 

request, explain why you need the 

exemption. 

(c) [Reserved]. 

* * * * * 

Subpart I—[Amended] 

■ 25. Section 1042.850 is amended by 

adding paragraph (d) to read as follows: 

§ 1042.850 Exemptions and hardship 

relief. 

* * * * * 

(d) Other exemptions specified in 

subpart G of this part and 40 CFR part 

1068, subparts C and D also apply to 

remanufactured engines. For example, 

the national security exemption applies 

to remanufactured engines as described 

in § 1042.635. 

PART 1048—CONTROL OF EMISSIONS 

FROM NEW, LARGE NONROAD 

SPARK-IGNITION ENGINES 

■ 26. The authority citation for part 

1048 continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart A—[Amended] 

■ 27. Section 1048.15 is amended by 

revising paragraph (a) to read as follows: 

§ 1048.15 Do any other regulation parts 

apply to me? 

(a) Part 1060 of this chapter describes 

standards and procedures for 

controlling evaporative emissions from 

engines fueled by gasoline or other 

volatile liquid fuels and the associated 

fuel systems. These requirements apply 

to engine manufacturers as specified in 

this part 1048. Part 1060 applies 

optionally for equipment manufacturers 

and fuel-system component 

manufacturers for certifying their 

products. 

* * * * * 

Subpart I—[Amended] 

■ 28. Section 1048.801 is amended by 

revising the definition for ‘‘Constantspeed engine’’ to read as follows: 

§ 1048.801 What definitions apply to this 

part? 

* * * * * 

Constant-speed engine means an 

engine that is certified only for constantspeed operation. This may include 

engines that allow the operator to adjust 

the set point for fixing the appropriate 

governed speed. See subparts B and C 

of this part for specific provisions 

related to certifying engines only for 

constant-speed operation. Engines 

whose constant-speed governor function 

is removed or disabled are no longer 

constant-speed engines. 

* * * * * 

PART 1054—CONTROL OF EMISSIONS 

FROM NEW, SMALL NONROAD 

SPARK-IGNITION ENGINES AND 

EQUIPMENT 

■ 29. The authority citation for part 

1054 continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart G—[Amended] 

■ 30. Section 1054.690 is amended by 

revising paragraph (a) to read as follows: 

§ 1054.690 What bond requirements apply 

for certified engines? 

(a) Before introducing certified 

engines into U.S. commerce, you must 

post a bond to cover any potential 

compliance or enforcement actions 

under the Clean Air Act unless you 

demonstrate to us in your application 

for certification that you are able to meet 

any potential compliance- or 

enforcement-related obligations, as 

described in this section. See paragraph 

(j) of this section for the requirements 

related to importing engines that have 

been certified by someone else. Note 

that you might also post bond under this 

section to meet your obligations under 

§ 1054.120. 

* * * * * 

PART 1060—CONTROL OF 

EVAPORATIVE EMISSIONS FROM 

NEW AND IN-USE NONROAD AND 

STATIONARY EQUIPMENT 

■ 31. The authority citation for part 

1060 continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart B—[Amended] 

■ 32. Section 1060.102 is amended by 

revising paragraph (d)(1) to read as 

follows: 

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Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 8427 

§ 1060.102 What permeation emission 

control requirements apply for fuel lines? 

* * * * * 

(d) * * * 

(1) EPA Low-Emission Fuel Lines 

must have permeation emissions at or 

below 10 g/m2/day when measured 

according to the test procedure 

described in § 1060.510. Fuel lines that 

comply with this emission standard are 

deemed to comply with all the emission 

standards specified in this section. 

* * * * * 

■ 33. Section 1060.103 is amended by 

revising paragraph (d) to read as 

follows: 

§ 1060.103 What permeation emission 

control requirements apply for fuel tanks? 

* * * * * 

(d) For purposes of this part, fuel 

tanks do not include fuel lines that are 

subject to § 1060.102, petcocks designed 

for draining fuel, grommets used with 

fuel lines, or grommets used with other 

hose or tubing excluded from the 

definition of ‘‘fuel line.’’ Fuel tanks 

include other fittings (such as fuel caps, 

gaskets, and O-rings) that are directly 

mounted to the fuel tank. 

* * * * * 

■ 34. Section 1060.105 is amended by 

revising paragraph (c)(2) to read as 

follows: 

§ 1060.105 What diurnal requirements 

apply for equipment? 

* * * * * 

(c) * * * 

(2) They must remain sealed up to a 

positive pressure of 24.5 kPa (3.5 psig); 

however, they may contain air inlets 

that open when there is a vacuum 

pressure inside the tank. Such fuel tanks 

may not contain air outlets that vent to 

the atmosphere at pressures below 34.5 

kPa (5.0 psig). 

* * * * * 

Subpart F—[Amended] 

■ 35. Section 1060.501 is amended by 

revising paragraph (e) to read as follows: 

§ 1060.501 General testing provisions. 

* * * * * 

(e) Accuracy and precision of mass 

balances must be sufficient to ensure 

accuracy and precision of two percent 

or better for emission measurements for 

products at the maximum level allowed 

by the standard. The readability of the 

display may not be coarser than half of 

the required accuracy and precision. 

Examples are shown in the following 

table for a digital readout: 

Example #1 Example #2 Example #3 

Applicable standard .......................................... 1.5 g/m2/day ........................... 1.5 g/m2/day ........................... 15 g/m2/day. 

Internal surface area ......................................... 1.15 m2 ................................... 0.47 m2 ................................... 0.015 m2. 

Length of test .................................................... 14.0 days ................................ 14.0 days ................................ 14.1 days. 

Maximum allowable mass change ................... 24.15 g ................................... 9.87 g ..................................... 3.173 g. 

Required accuracy and precision ..................... ±0.483 g or better ................... ±0.197 g or better ................... ±0.0635 g or better. 

Required readability .......................................... 0.1 g or better ......................... 0.1 g or better ......................... 0.01 g or better. 

■ 36. Section 1060.510 is revised to read 

as follows: 

§ 1060.510 How do I test EPA LowEmission Fuel Lines for permeation 

emissions? 

For EPA Low-Emission Fuel Lines, 

measure emissions according to SAE 

J2260, which is incorporated by 

reference in § 1060.810. 

■ 37. Section 1060.515 is amended by 

revising paragraphs (a)(1) and (c) to read 

as follows: 

§ 1060.515 How do I test EPA Nonroad 

Fuel Lines and EPA Cold-Weather Fuel 

Lines for permeation emissions? 

* * * * * 

(a) * * * 

(1) For EPA Nonroad Fuel Lines, use 

Fuel CE10, which is Fuel C as specified 

in ASTM D471 (incorporated by 

reference in § 1060.810) blended with 

ethanol such that the blended fuel has 

10.0 ± 1.0 percent ethanol by volume. 

* * * * * 

(c) Measure fuel line permeation 

emissions using the equipment and 

procedures for weight-loss testing 

specified in SAE J30 or SAE J1527 

(incorporated by reference in 

§ 1060.810). Start the measurement 

procedure within 8 hours after draining 

and refilling the fuel line. Perform the 

emission test over a sampling period of 

14 days. 

* * * * * 

PART 1065—ENGINE-TESTING 

PROCEDURES 

■ 38. The authority citation for part 

1065 continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart G—[Amended] 

■ 39. Section 1065.672 is amended by 

revising paragraph (d)(2) to read as 

follows: 

§ 1065.672 Drift correction. 

* * * * * 

(d) * * * 

(2) Correct for drift using the 

following equation: 

Where: 

xidriftcorrected = concentration corrected for 

drift. 

xrefzero = reference concentration of the zero 

gas, which is usually zero unless known 

to be otherwise. 

xrefspan = reference concentration of the span 

gas. 

xprespan = pre-test interval gas analyzer 

response to the span gas concentration. 

xpostspan = post-test interval gas analyzer 

response to the span gas concentration. 

xi or x ̄ = concentration recorded during test, 

before drift correction. 

xprezero = pre-test interval gas analyzer 

response to the zero gas concentration. 

xpostzero = post-test interval gas analyzer 

response to the zero gas concentration. 

Example: 

xrefzero = 0 μmol/mol 

xrefspan = 1800.0 μmol/mol 

xprespan = 1800.5 μmol/mol 

xpostspan = 1695.8 μmol/mol 

xi or x ̄ = 435.5 μmol/mol 

xprezero = 0.6 μmol/mol 


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8428 Federal Register / Vol. 74, No. 35 / Tuesday, February 24, 2009 / Rules and Regulations 

xpostzero = ¥5.2 μmol/mol 

xidriftcorrected =+ − ⋅

⋅ − +−

+

0 1800 0 0 2 435 5 0 6 5 2

1800 5 (.) . ( . ( . ))( . 1695 8 0 6 5 2 . ) ( . ( . )) − +−

xidriftcorrected = 450.2 μmol/mol 

* * * * * 

Subpart K—[Amended] 

■ 40. Section 1065.1001 is amended by 

revising the definition for ‘‘Constantspeed operation’’ to read as follows: 

§ 1065.1001 Definitions. 

* * * * * 

Constant-speed operation means 

engine operation with a governor that 

automatically controls the operator 

demand to maintain engine speed, even 

under changing load. Governors do not 

always maintain speed exactly constant. 

Typically speed can decrease (0.1 to 10) 

% below the speed at zero load, such 

that the minimum speed occurs near the 

engine’s point of maximum power. 

(Note: An engine with an adjustable 

governor setting may be considered to 

operate at constant speed, subject to our 

approval. For such engines, the 

governor setting is considered an 

adjustable parameter.) 

* * * * * 

PART 1068—GENERAL COMPLIANCE 

PROVISIONS FOR NONROAD 

PROGRAMS 

■ 41. The authority citation for part 

1068 continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart C—[Amended] 

■ 42. Section 1068.201 is amended by 

revising paragraph (h) to read as 

follows: 

§ 1068.201 Does EPA exempt or exclude 

any engines/equipment from the prohibited 

acts? 

* * * * * 

(h) You may ask us to modify the 

administrative requirements for the 

exemptions described in this subpart or 

in subpart D of this part. We may 

approve your request if we determine 

that such approval is consistent with the 

intent of this part. For example, 

waivable administrative requirements 

might include some reporting 

requirements, but would not include 

any eligibility requirements or use 

restrictions. 

* * * * * 

■ 43. Section 1068.225 is amended by 

revising paragraphs (a) and (b) and 

removing and reserving paragraph (c) to 

read as follows: 

§ 1068.225 What are the provisions for 

exempting engines/equipment for national 

security? 

(a) An engine/equipment is exempt 

without a request if it will be used or 

owned by an agency of the federal 

government responsible for national 

defense, where the equipment in which 

it is installed has armor, permanently 

attached weaponry, or other substantial 

features typical of military combat. 

(b) Manufacturers may request a 

national security exemption for engines/ 

equipment not meeting the conditions 

of paragraph (b) of this section as long 

as the request is endorsed by an agency 

of the federal government responsible 

for national defense. In your request, 

explain why you need the exemption. 

(c) [Reserved]. 

* * * * * 

Subpart D—[Amended] 

■ 44. Section 1068.325 is amended as 

follows: 

■ a. By revising paragraph (g). 

■ b. By redesignating paragraph (i) as 

paragraph (j). 

■ c. By adding and reserving paragraph 

(i). 

§ 1068.325 What are the temporary 

exemptions for imported engines/ 

equipment? 

* * * * * 

(g) You may import an engine if 

another company already has a 

certificate of conformity and will be 

modifying the engine to be in its final, 

certified configuration under the 

provisions of § 1068.262. You may also 

import a partially complete engine by 

shipping it from one of your facilities to 

another under the provisions of 

§ 1068.260(c). If you are importing a 

used engine that becomes new as a 

result of importation, you must meet all 

the requirements that apply to original 

engine manufacturers under § 1068.262. 

* * * * * 

(i) [Reserved] 

* * * * * 

[FR Doc. E9–2405 Filed 2–23–09; 8:45 am] 

BILLING CODE 6560–50–P 


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