Environmental Protection Agency 

time, a continuous program of component replacement. 

Subpart AAA—Standards of Performance for New Residential 

Wood Heaters 

SOURCE: 53 FR 5873, Feb. 26, 1988, unless 

otherwise noted. 

§ 60.530 Applicability and designation 

of affected facility. 

(a) The affected facility to which the 

provisions of this subpart apply is each 

wood heater manufactured on or after 

July 1, 1988, or sold at retail on or after 

July 1, 1990. The provisions of this subpart do not apply to wood heaters constructed prior to July 1, 1988, that are 

or have been owned by a noncommercial owner for his personal use. 

(b) Each affected facility shall comply with the applicable emission limits 

in § 60.532 unless exempted under paragraph (c), (d), (e), (f), (g) or (h) of this 

section. 

(c)–(d) [Reserved] 

(e) Affected facilities manufactured 

in the U.S. for export are exempt from 

the applicable emission limits of 

§ 60.532 and the requirements of § 60.533. 

(f) A wood heater used for research 

and development purposes that is never 

offered for sale or sold is exempt from 

the applicable emission limits of 

§ 60.532 and the requirements of § 60.533. 

No more than 50 wood heaters manufactured per model line may be exempted for this purpose. 

(g) A coal-only heater is exempt from 

the applicable emission limits of 

§ 60.532 and the requirements of § 60.533. 

(h) The following are not affected facilities and are not subject to this subpart: 

(1) Open masonry fireplaces constructed on site, 

(2) Boilers, 

(3) Furnaces, and 

(4) Cookstoves. 

(i) Modification or reconstruction, as 

defined in §§ 60.14 and 60.15 of subpart A, 

shall not, by itself, make a wood heater 

an affected facility under this subpart. 

[53 FR 5873, Feb. 26, 1988, as amended at 60 

FR 33925, June 29, 1995] 

§ 60.531 

§ 60.531 Definitions. 

As used in this subpart, all terms not 

defined herein shall have the meaning 

given them in the Act and subpart A of 

this part. 

At retail means the sale by a commercial owner of a wood heater to the ultimate purchaser. 

Boiler means a solid fuel burning appliance used primarily for heating 

spaces, other than the space where the 

appliance is located, by the distribution through pipes of a gas or fluid 

heated in the appliance. The appliance 

must be tested and listed as a boiler 

under accepted American or Canadian 

safety testing codes. A manufacturer 

may request an exemption in writing 

from the Administrator by stating why 

the testing and listing requirement is 

not practicable and by demonstrating 

that his appliance is otherwise a boiler. 

Coal-only heater means an enclosed, 

coal-burning appliance capable of space 

heating, or domestic water heating, 

which has all of the following characteristics: 

(1) An opening for emptying ash that 

is located near the bottom or the side 

of the appliance, 

(2) A system that admits air primarily up and through the fuel bed, 

(3) A grate or other similar device for 

shaking or disturbing the fuel bed or 

power-driven mechanical stoker, 

(4) Installation instructions that 

state that the use of wood in the stove, 

except for coal ignition purposes, is 

prohibited by law, and 

(5) The model is listed by a nationally recognized safety-testing laboratory for use of coal only, except for 

coal ignition purposes. 

Commercial owner means any person 

who owns or controls a wood heater in 

the course of the manufacture, importation, distribution, or sale of the wood 

heater. 

Cookstove means a wood-fired appliance that is designed primarily for 

cooking food and that has the following characteristics: 

(1) An oven, with a volume of 0.028 

cubic meters (1 cubic foot) or greater, 

and an oven rack, 

(2) A device for measuring oven temperatures, 

(3) A flame path that is routed 

around the oven, 

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§ 60.532 

(4) A shaker grate, 

(5) An ash pan, 

(6) An ash clean-out door below the 

oven, and 

(7) The absence of a fan or heat channels to dissipate heat from the appliance. 

Furnace means a solid fuel burning 

appliance that is designed to be located 

outside of ordinary living areas and 

that warms spaces other than the space 

where the appliance is located, by the 

distribution of air heated in the appliance through ducts. The appliance 

must be tested and listed as a furnace 

under accepted American or Canadian 

safety testing codes unless exempted 

from this provision by the Administrator. A manufacturer may request an 

exemption in writing from the Administrator by stating why the testing and 

listing requirement is not practicable 

and by demonstrating that his appliance is otherwise a furnace. 

Manufactured means completed and 

ready for shipment (whether or not 

packaged). 

Manufacturer means any person who 

constructs or imports a wood heater. 

Model line means all wood heaters offered for sale by a single manufacturer 

that are similar in all material respects. 

Representative affected facility means 

an individual wood heater that is similar in all material respects to other 

wood heaters within the model line it 

represents. 

Sale means the transfer of ownership 

or control, except that transfer of control shall not constitute a sale for purposes of § 60.530(f). 

Similar in all material respects means 

that the construction materials, exhaust and inlet air system, and other 

design features are within the allowed 

tolerances for components identified in 

§ 60.533(k). 

Wood heater means an enclosed, wood 

burning appliance capable of and intended for space heating or domestic 

water heating that meets all of the following criteria: 

(1) An air-to-fuel ratio in the combustion chamber averaging less than 35-to1 as determined by the test procedure 

prescribed in § 60.534 performed at an 

accredited laboratory; 

40 CFR Ch. I (7–1–02 Edition) 

(2) A usable firebox volume of less 

than 0.57 cubic meters (20 cubic feet); 

(3) A minimum burn rate of less than 

5 kg/hr (11 lb/hr) as determined by the 

test procedure prescribed in § 60.534 performed at an accredited laboratory; 

and 

(4) A maximum weight of 800 kg (1,760 

lb). In determining the weight of an appliance for these purposes, fixtures and 

devices that are normally sold separately, such as flue pipe, chimney, and 

masonry components that are not an 

integral part of the appliance or heat 

distribution ducting, shall not be included. 

[53 FR 5873, Feb. 26, 1988, as amended at 64 

FR 7466, Feb. 12, 1999; 65 FR 61763, Oct. 17, 

2000] 

§ 60.532 Standards for particulate 

matter. 

Unless exempted under § 60.530, each 

affected facility: 

(a) [Reserved] 

(b) Manufactured on or after July 1, 

1990, or sold at retail on or after July 1, 

1992, shall comply with the following 

particulate matter emission limits as 

determined by the test methods and 

procedures in § 60.534: 

(1) An affected facility equipped with 

a catalytic combustor shall not discharge into the atmosphere any gases 

which contain particulate matter in 

excess of a weighted average of 4.1 g/hr 

(0.009 lb/hr). Particulate emissions during any test run at any burn rate that 

is required to be used in the weighted 

average shall not exceed the value calculated for ‘‘C’’ (rounded to 2 significant figures) calculated using the following equation: 

(i) At burn rates less than or equal to 

2.82 kg/hr (6.2 lb/hr), 

C = K1BR + K2 

Where: 

BR = Burn rate in kg/hr (lb/hr) 

K1 = 3.55 g/kg (0.00355 lb/lb) 

K2 = 4.98 g/hr (0.0.011 lb/hr) 

(ii) At burn rates greater than 2.82 

kg/hr (6.2 lb/hr), C = 15 g/hr (0.033 lb/hr). 

(2) An affected facility not equipped 

with a catalytic combustor shall not 

discharge into the atmosphere any 

gases which contain particulate matter 

in excess of a weighted average of 7.5 g/ 

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Environmental Protection Agency 

hr (0.017 lb/hr). Particulate emissions 

shall not exceed 15 g/hr (0.033 lb/hr) during any test run at a burn rate less 

than or equal to 1.5 kg/hr (3.3 lb/hr) 

that is required to be used in the 

weighted average and particulate emissions shall not exceed 18 g/hr (0.040 lb/ 

hr) during any test run at a burn rate 

greater than 1.5 kg/hr (3.3 lb/hr) that is 

required to be used in the weighted average. 

[53 FR 5873, Feb. 26, 1988, as amended at 60 

FR 33925, June 29, 1995; 65 FR 61764, Oct. 17, 

2000] 

§ 60.533 Compliance and certification. 

(a) For each model line, compliance 

with applicable emission limits may be 

determined based on testing of representative affected facilities within 

the model line. 

(b) Any manufacturer of an affected 

facility may apply to the Administrator for a certificate of compliance 

for a model line. The application shall 

be in writing to: Stationary Source 

Compliance Division (EN–341), U.S. 

EPA, 1200 Pennsylvania Ave., NW., 

Washington, DC 20460, Attention: Wood 

Heater Program. The manufacturer 

must submit two complete copies of 

the application and attachments. The 

application must be signed by the manufacturer, or an authorized representative, and shall contain the following: 

(1) The model name and/or design 

number, 

(2) Two color photographs of the tested unit (or, for models being certified 

under § 60.530(c), photographs of a representative unit), one showing a front 

view and the other, a side view, 

(3)(i) Engineering drawings and specifications of components that may affect emissions (including specifications 

for each component listed in paragraph 

(k) of this section). Manufacturers may 

use complete assembly or design drawings that have been prepared for other 

purposes, but should designate on the 

drawings the dimensions of each component listed in paragraph (k) of this 

section. Manufacturers shall identify 

tolerances of components of the tested 

unit listed in paragraph (k)(2) of this 

section that are different from those 

specified in that paragraph, and show 

that such tolerances may not reasonably be anticipated to cause wood heat-

§ 60.533 

ers in the model line to exceed the applicable emission limits. 

(ii) A statement whether the firebox 

or any firebox component (other than 

one listed in paragraph (k)(3) of this 

section) will be composed of different 

material from the material used for 

the firebox or firebox component in the 

wood heater on which certification 

testing was performed and a description of any such differences. 

(iii) For applications to certify a 

model line of catalytic wood heaters to 

meet the emission limits in § 60.532(b), 

a statement describing the manufacturer’s program to ensure consistency 

in the size of any gap in the catalyst 

bypass mechanism. The statement 

shall describe, in narrative form, the 

components of the system that affect 

the size of the gap, any specifications 

for critical dimensions of any such 

components, and the procedure the 

manufacturer will use to ensure consistency in the size of the catalyst bypass gap. 

(4) All documentation pertaining to a 

valid certification test, including the 

complete test report and, for all test 

runs: Raw data sheets, laboratory technician notes, calculations, and test results. Documentation shall include the 

items specified in the applicable test 

methods. Recommended formats and 

guidance materials are available from 

the Administrator. 

(5) For catalytic wood heaters, a copy 

of the catalytic combustor warranty, 

(6) A statement that the manufacturer will conduct a quality assurance 

program for the model line which satisfies the requirements of paragraph (o) 

of this section, 

(7) A statement describing how the 

tested unit was sealed by the laboratory after the completion of certification testing, and 

(8) A statement that the manufacturer will notify the accredited laboratory if the application for certification 

is granted, within thirty days of receipt of notification from EPA. 

(9) Statements that the wood heaters 

manufactured under this certificate 

will be— 

(i) Similar in all material respects to 

the wood heater submitted for certification testing, and 

401

§ 60.533 

(ii) Will be labeled as prescribed in 

§ 60.536, 

(10) For catalytic wood heaters, a 

statement that the warranty, access 

and inspection, and temperature monitoring provisions in paragraphs (c), (d), 

and (m) of this section will be met, 

(11) A statement that the manufacturer will comply with the recordkeeping and reporting requirements in 

§ 60.537, 

(12) A written estimate of the number 

of wood heaters that the manufacturer 

anticipates that he will produce annually for the first two production years. 

Compliance with this provision may be 

obtained by designating one of the following ranges: 

(i) Less than 2,500, 

(ii) 2,500 to 4,999, 

(iii) 5,000 to 9,999, 

(iv) 10,000 to 49,999, and 

(v) 50,000 or greater; and 

(13) At the beginning of each test run 

in a certification test series, two photographs of the fuel load: One before 

and one after it is placed in the wood 

heater. One of the photographs shall 

show the front view of the wood load 

and the other shall show the side view. 

(14) For manufacturers seeking certification of model lines under 

§ 60.533(e) to meet the emission limits 

in § 60.532(b), a statement that the manufacturer has entered into a contract 

with an accredited laboratory which 

satisfies the requirements of paragraph 

(g) of this section. 

(c) If the affected facility is a catalytic wood heater, the warranty for the 

catalytic combustor shall include the 

replacement of the combustor and any 

prior replacement combustor without 

charge to the consumer for: 

(1) 2 years from the date the consumer purchased the heater for any defects in workmanship or materials that 

prevent the combustor from functioning when installed and operated 

properly in the wood heater, and 

(2) 3 years from the date the consumer purchased the heater for thermal crumbling or disintegration of the 

substrate material for heaters manufactured after July 1, 1990. 

(d) The manufacturer of an affected 

facility equipped with a catalytic combustor shall provide for a means to 

allow the owner to gain access readily 

40 CFR Ch. I (7–1–02 Edition) 

to the catalyst for inspection or replacement purposes and shall document in his application for certification how the catalyst is replaced. 

(e)(1) The Administrator shall issue a 

certificate of compliance for a model 

line if he determines, based on all information submitted by the applicant 

and any other relevant information 

available to him, that: 

(i) A valid certification test has demonstrated that the wood heater representative of the model line complies 

with the applicable particulate emission limits in § 60.532, 

(ii) Any tolerances or materials for 

components listed in paragraph (k) (2) 

or (3) of this section that are different 

from those specified in those paragraphs may not reasonably be anticipated to cause wood heaters in the 

model line to exceed the applicable 

emission limits, and 

(iii) The requirements of paragraphs 

(b), (c), (d), and (m) of this section have 

been met. The program described under 

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

shall be deemed a tolerance specified in 

the certified design. 

(2) [Reserved] 

(3) Upon denying certification under 

this paragraph, the Administrator 

shall give written notice to the manufacturer setting forth the basis for his 

determination. 

(f) To be valid, a certification test 

must be: 

(1) Announced to the Administrator 

in accordance with § 60.534(e), 

(2) Conducted by a testing laboratory 

accredited by the Administrator pursuant to § 60.535, 

(3) Conducted on a wood heater similar in all material respects to other 

wood heaters of the model line that is 

to be certified, and 

(4) Conducted in accordance with the 

test methods and procedures specified 

in § 60.534. 

(g) To have a wood heater model certified under § 60.533(e) to meet the emission limits in § 60.532(b), a manufacturer must enter into a contract with 

the accredited laboratory that performed the certification test, under 

which the laboratory will: 

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Environmental Protection Agency 

(1) Conduct the random compliance 

audit test at no cost to the manufacturer if EPA selects that laboratory to 

conduct the test, or 

(2) Pay the manufacturer the reasonable cost of a random compliance audit 

test (as determined by EPA) if EPA selects any other laboratory to conduct 

the test. 

(h) [Reserved] 

(i) An applicant for certification may 

apply for a waiver of the requirement 

to submit the results of a certification 

test pursuant to paragraph (b)(4) of 

this section, if the wood heaters of the 

model line are similar in all material 

respects to another model line that has 

already been issued a certificate of 

compliance. A manufacturer that seeks 

a waiver of certification testing must 

identify the model line that has been 

certified, and must submit a copy of an 

agreement with the owner of the design 

permitting the applicant to produce 

wood heaters of that design. 

(j)(1) Unless revoked sooner by the 

Administrator, a certificate of compliance shall be valid: 

(i) [Reserved] 

(ii) For five years from the date of 

issuance, for a model line certified as 

meeting emission limits in § 60.532(b). 

(2) Upon application for renewal of 

certification by the manufacturer, the 

Administrator may waive the requirement for certification testing upon determining that the model line continues to meet the requirements for 

certification in paragraph (e) of this 

section, or that a waiver of certification is otherwise appropriate. 

(3) Upon waiving certification testing 

under paragraph (j)(2) of this section, 

the Administrator shall give written 

notice to the manufacturer setting 

forth the basis for his determination. 

(k)(1) A model line must be recertified whenever any change is made in 

the design submitted pursuant to 

§ 60.533(b)(3) that is presumed to affect 

the particulate emission rate for that 

model line. The Administrator may 

waive this requirement upon written 

request by the manufacturer, if he determines that the change may not reasonably be anticipated to cause wood 

heaters in the model line to exceed the 

applicable emission limits. The granting of such a waiver does not relieve 

§ 60.533 

the manufacturer of any compliance 

obligations under this subpart. 

(2) Any change in the indicated tolerances of any of the following components (where such components are applicable) is presumed to affect particulate emissions if that change exceeds 

±0.64 cm (±1⁄4 inch) for any linear dimension and ±5 percent for any crosssectional area relating to air introduction systems and catalyst bypass gaps 

unless other dimensions and cross-sectional areas are previously approved by 

the Administrator under paragraph 

(e)(1)(ii) of this section: 

(i) Firebox: Dimensions, 

(ii) Air introduction systems: Crosssectional area of restrictive air inlets, 

outlets, and location, and method of 

control, 

(iii) Baffles: Dimensions and locations, 

(iv) Refractory/insulation: Dimensions and location, 

(v) Catalyst: Dimensions and location, 

(vi) Catalyst bypass mechanism and, 

for model lines certified to meet the 

emissions limits in § 60.532(b), catalyst 

bypass gap tolerances (when bypass 

mechanism is in closed position): Dimensions, cross-sectional area, and location, 

(vii) Flue gas exit: Dimensions and 

location, 

(viii) Door and catalyst bypass gaskets: Dimensions and fit, 

(ix) Outer shielding and coverings: 

Dimensions and location, 

(x) Fuel feed system: For wood heaters that are designed primarily to burn 

wood pellets and other wood heaters 

equipped with a fuel feed system, the 

fuel feed rate, auger motor design and 

power rating, and the angle of the 

auger to the firebox, and 

(xi) Forced air combustion system: 

For wood heaters so equipped, the location and horsepower of blower motors 

and the fan blade size. 

(3) Any change in the materials used 

for the following components is presumed to affect emissions: 

(i) Refractory/insulation or 

(ii) Door and catalyst bypass gaskets. 

(4) A change in the make, model, or 

composition of a catalyst is presumed 

to affect emissions, unless the change 

has been approved in advance by the 

403

§ 60.533 

Administrator, based on test data that 

demonstrate that the replacement catalyst is equivalent to or better than 

the original catalyst in terms of particulate emission reduction. 

(l)(1) The Administrator may revoke 

certification if he determines that the 

wood heaters being produced in that 

model line do not comply with the requirements of this section or § 60.532. 

Such a determination shall be based on 

all available evidence, including: 

(i) Test data from a retesting of the 

original unit on which the certification 

test was conducted, 

(ii) A finding that the certification 

test was not valid. The finding must be 

based on problems or irregularities 

with the certification test or its documentation, but may be supplemented 

by other information. 

(iii) A finding that the labeling of the 

wood heater does not comply with the 

requirements of § 60.536, 

(iv) Failure by the manufacturer to 

comply with reporting and recordkeeping requirements under § 60.537, 

(v) Physical examination showing 

that a significant percentage of production units inspected are not similar in 

all material respects to the representative affected facility submitted for 

testing, or 

(vi) Failure of the manufacturer to 

conduct a quality assurance program 

in conformity with paragraph (o) of 

this section. 

(2) Revocation of certification under 

this paragraph shall not take effect 

until the manufacturer concerned has 

been given written notice by the Administrator setting forth the basis for 

the proposed determination and an opportunity to request a hearing under 

§ 60.539. 

(3) Determination to revoke certification based upon audit testing shall 

be made only in accordance with paragraph (p) of this section. 

(m) A catalytic wood heater shall be 

equipped with a permanent provision 

to accommodate a commercially available temperature sensor which can 

monitor combustor gas stream temperatures within or immediately downstream [within 2.54 centimeters (1 

inch)] of the combustor surface. 

(n) Any manufacturer of an affected 

facility subject under § 60.530(b) to the 

40 CFR Ch. I (7–1–02 Edition) 

applicable emission limits of this subpart that does not belong to a model 

line certified under this section shall 

cause that facility to be tested in an 

accredited laboratory in accordance 

with paragraphs (f) (1), (2), and (4) of 

this section before it leaves the manufacturer’s possession and shall report 

the results to the Administrator. 

(o)(1) For each certified model line, 

the manufacturer shall conduct a quality assurance program which satisfies 

the following requirements: 

(2) Except as provided in paragraph 

(o)(5) of this section, the manufacturer 

or his authorized representative shall 

inspect at least one from every 150 

units produced within a model line to 

determine that the wood heater is 

within applicable tolerances for all 

components that affect emissions as 

listed in paragraph (k)(2) of this section. 

(3)(i) Except as provided in paragraph 

(o)(3)(iii) or (o)(5) of this section, the 

manufacturer or his authorized representative shall conduct an emission 

test on a randomly selected affected facility produced within a model line certified under § 60.533 (e) or (h), on the 

following schedule: 

If weighted average certification 

test results were— 

If yearly production per model is— 

<2500 >2500 

70% or less of std When directed by 

EPA, not to exceed once every 

10,000 stoves. 

Every 10,000 

stoves or triennially (whichever is more frequent). 

Within 30% of std Every 5,000 stoves Every 5,000 stoves 

or annually 

(whichever is 

more frequent). 

(ii) Emission tests shall be conducted 

in conformity with § 60.534(a), using either approved method for measuring 

particulate matter (as provided in 

§ 60.534). The manufacturer shall notify 

EPA by U.S. mail that an emissions 

test required pursuant to this paragraph will be conducted within one 

week of the mailing of the notification. 

(iii) If the manufacturer stated pursuant to paragraph (b)(3) of this section 

that the firebox or any firebox component would be composed of a different 

material than the material used in the 

wood heater on which certification 

testing was performed, the first test 

shall be performed before 1,000 wood 

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Environmental Protection Agency 

heaters are produced. The manufacturer shall submit a report of the results of this emission test to the Administrator within 45 days of the completion of testing. 

(4) The manufacturer shall take remedial measures, as appropriate, when 

inspection or testing pursuant to paragraph (o) of this section indicates that 

affected facilities within the model line 

are not within applicable tolerances or 

do not comply with the applicable 

emission limit. Manufacturers shall 

record the problem identified, the extent of the problem, the remedial 

measures taken, and the effect of such 

remedial measures as projected by the 

manufacturer or determined by any additional testing. 

(5)(i) If two consecutive passing tests 

are conducted under either paragraph 

(o) (2) or (3) of this section, the required frequency of testing under the 

applicable paragraph shall be modified 

as follows: Skip every other required 

test. 

(ii) If five consecutive passing tests 

are conducted under the modified 

schedule provided for in Paragraph 

(o)(5)(i) of this section, the required 

frequency of testing under the applicable paragraph shall be further modified 

as follows: Skip three consecutive required tests after each required test 

that is conducted. 

(iii) Testing shall resume on the frequency specified in the paragraph (o) 

(2) or (3), as applicable, if a test failure 

results during any test conducted 

under a modified schedule. 

(6) If emissions tests under paragraph 

(o) of this section are conducted at an 

altitude different from the altitude at 

which certification tests were conducted, and are not conducted under 

pressurized conditions, the results 

shall be adjusted for altitude in accordance with paragraph (h)(3)(iii) of this 

section. 

(p)(1)(i) The Administrator shall 

after July 1, 1990, select for random 

compliance audit testing certified 

wood heater model lines that have not 

already been subject to a random compliance audit under this paragraph. 

The Administrator shall not select 

more than one model line under this 

program for every five model lines for 

which certification is granted under 

§ 60.533 

§ 60.533(e) to meet the emission limits 

in § 60.532(b). No accredited laboratory 

shall test or bear the expense of testing, as provided in the contract described in paragraph (g) of this section, 

more than one model line from every 

five model lines tested by the laboratory for which certification was granted. The Administrator shall use a procedure that ensures that the selection 

process is random. 

(ii) The Administrator may, by 

means of a neutral selection scheme, 

select model lines certified under 

§ 60.533(e) or § 60.533(h) for selective enforcement audit testing under this 

paragraph. Prior to July 1, 1990, the 

Administrator shall only select a 

model line for a selective enforcement 

audit on the basis of information indicating that affected facilities within 

the model line may exceed the applicable emission limit in § 60.532. 

(2) The Administrator shall randomly 

select for audit testing five production 

wood heaters from each model line selected under paragraph (p)(1) of this 

section. These wood heaters shall be selected from completed units ready for 

shipment from the manufacturer’s facility (whether or not the units are in 

a package or container). The wood 

heaters shall be sealed upon selection 

and remain sealed until they are tested 

or until the audit is completed. The 

wood heaters shall be numbered in the 

order that they were selected. 

(3)(i) The Administrator shall test, or 

direct the manufacturer to test, the 

first of the five wood heaters selected 

under paragraph (p)(2) of this section in 

a laboratory accredited under § 60.535 

that is selected pursuant to paragraph 

(p)(4) of this section. 

(ii) The expense of the random compliance audit test shall be the responsibility of the wood heater manufacturer. A manufacturer may require the 

laboratory that performed the certification test to bear the expense of a 

random compliance audit test by 

means of the contract required under 

paragraph (g) of this section. If the laboratory with which the manufacturer 

had a contract has ceased business due 

to bankruptcy or is otherwise legally 

unable to honor the contract, the Administrator will not select any of that 

manufacturer’s model lines for which 

405

§ 60.533 

certification testing has been conducted by that laboratory for a random 

compliance audit test. 

(iii) The test shall be conducted using 

the same test method and procedure 

used to obtain certification. If the certification test consisted of more than 

one particulate sampling test method, 

the Adminstrator may use either one 

of these methods for the purpose of 

audit testing. If the test is performed 

in a pressure vessel, air pressure in the 

pressure vessel shall be maintained 

within 1 percent of the average of the 

barometric pressures recorded for each 

individual test run used to calculate 

the weighted average emission rate for 

the certification test. The Administrator shall notify the manufacturer at 

least one week prior to any test under 

this paragraph, and allow the manufacturer and/or his authorized representatives to observe the test. 

(4)(i) Except as provided in this paragraph, the Administrator may select 

any accredited laboratory for audit 

testing. 

(ii)(A) The Administrator shall select 

the accredited laboratory that performed the test used to obtain certification for audit testing, until the Administrator has amended this subpart, 

based upon a determination pursuant 

to paragraph (p)(4)(ii)(B) of this section, to allow testing at another laboratory. If another laboratory is selected pursuant to this paragraph, and 

the overall precision of the test method 

and procedure is greater than ±1 gram 

per hour (±0.0022 lb per hour) of the 

weighted average at laboratories below 

304 meters (1,000 feet) elevation (or 

equivalent), the interlaboratory component of the precision shall be added 

to the applicable emissions standard 

for the purposes of this paragraph. 

(B) [Reserved] 

(iii) The Administrator shall not select an accredited laboratory that is located at an elevation more than 152 

meters (500 feet) higher than the elevation of the laboratory which performed the test used to obtain certification, unless the audit test is performed in a pressure vessel. 

(5)(i) If emissions from a wood heater 

tested under paragraph (p)(3) of this 

section exceed the applicable weighted 

average emission limit by more than 50 

40 CFR Ch. I (7–1–02 Edition) 

percent, the Administrator shall so notify the manufacturer that certification for that model line is suspended 

effective 72 hours from the receipt of 

the notice, unless the suspension notice is withdrawn by the Administrator. The suspension shall remain in 

effect until withdrawn by the Administrator, or 30 days from its effective 

date (if a revocation notice under paragraph (p)(5)(ii) of this section is not 

issued within that period), or the date 

of final agency action on revocation, 

whichever occurs earlier. 

(ii)(A) If emissions from a wood heater tested under paragraph (p)(3) of this 

section exceed the applicable weighted 

average emission limit, the Administrator shall notify the manufacturer 

that certification is revoked for that 

model line. 

(B) A revocation notice under paragraph (p)(5)(ii)(A) shall become final 

and effective 60 days after receipt by 

the manufacturer, unless it is withdrawn, a hearing is requested under 

§ 60.539, or the deadline for requesting a 

hearing is extended. 

(C) The Administrator may extend 

the deadline for requesting a hearing 

for up to 60 days for good cause. 

(D) A manufacturer may extend the 

deadline for requesting a hearing for up 

to six months, by agreeing to a voluntary suspension of certification. 

(iii) Any notification under paragraph (p)(5)(i) or (p)(5)(ii) of this section shall include a copy of a preliminary test report from the accredited 

laboratory. The accredited laboratory 

shall provide a preliminary test report 

to the Administrator within 10 days of 

the completion of testing, if a wood 

heater exceeds the applicable emission 

limit in § 60.532. The laboratory shall 

provide the Administrator and the 

manufacturer, within 30 days of the 

completion of testing, all documentation pertaining to the test, including 

the complete test report and raw data 

sheets, laboratory technician notes, 

and test results for all test runs. 

(iv) Upon receiving notification of a 

test failure under paragraph (p)(5)(ii) of 

this section, the manufacturer may 

submit some or all of the remaining 

four wood heaters selected under paragraph (p)(2) of this section for testing 

at his own expense, in the order they 

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Environmental Protection Agency 

were selected by the Administrator, at 

the laboratory that performed the 

emissions test for the Administrator. 

(v) Whether or not the manufacturer 

proceeds under paragraph (p)(5)(iv) of 

this section, the manufacturer may 

submit any relevant information to the 

Administrator, including any other 

test data generated pursuant to this 

subpart. The manufacturer shall pay 

the expense of any testing performed 

for him. 

(vi) The Administrator shall withdraw any notice issued under paragraph (p)(5)(ii) of this section if tests 

under paragraph (p)(5)(iv) of this section show either— 

(A) That all four wood heaters tested 

for the manufacturer met the applicable weighted average emission limits, 

or 

(B) That the second and third wood 

heaters selected met the applicable 

weighted average emission limits and 

the average of all three weighted averages (including the original audit test) 

was below the applicable weighted average emission limits. 

(vii) The Administrator may withdraw any proposed revocation, if the 

Administrator finds that an audit test 

failure has been rebutted by information submitted by the manufacturer 

under paragraph (p)(5)(iv) of this section and/or (p)(5)(v) of this section or 

by any other relevant information 

available to him. 

(viii) Any withdrawal of a proposed 

revocation shall be accompanied by a 

document setting forth its basis. 

[53 FR 5874, Feb. 26, 1988; 53 FR 14889, Apr. 26, 

1988, as amended at 60 FR 33925, June 29, 1995; 

63 FR 64874, Nov. 24, 1998; 65 FR 61764, Oct. 17, 

2000] 

§ 60.534 Test methods and procedures. 

Test methods and procedures in appendix A of this part, except as provided under § 60.8(b), shall be used to 

determine compliance with the standards and requirements for certification 

under §§ 60.532 and 60.533 as follows: 

(a) Method 28 shall be used to establish the certification test conditions 

and the particulate matter weighted 

emission values. 

(b) Emission concentrations may be 

measured with either: 

§ 60.534 

(1) Method 5G, if a dilution tunnel 

sampling location is used, or 

(2) Method 5H, if a stack location is 

used. 

(c) Method 28A shall be used to determine that a wood combustion unit 

qualifies under the definition of wood 

heater in § 60.531(a). If such a determination is necessary, this test shall 

be conducted by an accredited laboratory. 

(d) Appendix J is used as an optional 

procedure in establishing the overall 

thermal efficiency of wood heaters. (To 

be proposed separately.) 

(e)(1) The manufacturer of an affected facility shall notify the Administrator of the date that certification 

testing is scheduled to begin. (A notice 

from the testing lab containing the information required in § 60.533(f)(1) may 

be used to satisfy this requirement.) 

This notice shall be at least 30 days before the start of testing. The notification of testing shall be in writing, and 

include the manufacturer’s name and 

address, the testing laboratory’s name, 

the model name and number (or, if unavailable, some other way to distinguish between models), and the dates of 

testing. 

(2) Any emission testing conducted 

on the wood heater for which notice 

was delivered shall be presumed to be 

certification testing if such testing occurs on or after the scheduled date of 

testing and before a test report is submitted to the Administrator. If certification testing is interrupted for more 

than 24 hours, the laboratory shall notify the Administrator by telephone, as 

soon as practicable, and also by letter, 

stating why the testing was interrupted and when it is expected to be resumed. 

(3) A manufacturer or laboratory 

may change the date that testing is 

scheduled to begin by notifying the Administrator at least 14 days before the 

start of testing. Notification of schedule change shall be made at least two 

working days prior to the originally 

scheduled test date. This notice of rescheduling shall be made by telephone 

or other expeditious means and shall be 

documented in writing and sent concurrently. 

(4) A model line may be withdrawn 

from testing before the certification 

407

§ 60.535 

test is complete, provided the wood 

heater is sealed in accordance with 

§ 60.535(g). The manufacturer shall notify the Administrator 30 days before 

the resumption of testing. 

(5) The manufacturer or laboratory 

shall notify the Administrator if a test 

is not completed within the time allotted as set forth in the notice of testing. 

The notification shall be made by the 

end of the allotted testing period by 

telephone or other expeditious means, 

and documented in writing sent concurrently, and shall contain the dates 

when the test will be resumed. Unless 

otherwise approved by the Administrator, failure to conduct a certification test as scheduled without notifying the Administrator of any schedule change 14 days prior to the schedule or revised test dates will result in 

voiding the notification. In the case of 

a voided notification, the manufacturer shall provide the Administrator 

with a second notification at least 30 

days prior to the new test dates. The 

Administrator may waive the requirement for advance notice for test resumptions. 

(f) The testing laboratory shall allow 

the manufacturer to observe certification testing. However, manufacturers shall not involve themselves in the 

conduct of the test after the pretest 

burn (as defined by EPA Method 28) has 

begun. Communications between the 

manufacturer and laboratory personnel 

regarding operation of the wood heater 

shall be limited to written communications transmitted prior to the first pretest burn of the certification series. 

Written communications between the 

manufacturer and laboratory personnel 

may be exchanged during the certification test only if deviations from the 

test procedures are observed that constitute improper conduct of the test. 

All communications shall be included 

in the test documentation required to 

be submitted under § 60.533(b)(4) and 

shall be consistent with instructions 

provided in the owner’s manual required under § 60.536(k), except to the 

extent that they address details of the 

certification tests that would not be 

relevant to owners. 

40 CFR Ch. I (7–1–02 Edition) 

§ 60.535 Laboratory accreditation. 

(a)(1) A laboratory may apply for accreditation by the Administrator to 

conduct wood heater certification tests 

pursuant to § 60.533. The application 

shall be in writing to: Emission Measurement Branch (MD–13), U.S. EPA, 

Research Triangle Park, NC 27711, 

Attn: Wood Heater Laboratory Accreditation. 

(2) [Reserved] 

(3) If accreditation is denied under 

this section, the Administrator shall 

give written notice to the laboratory 

setting forth the basis for his determination. 

(b) In order for a test laboratory to 

qualify for accreditation the laboratory must: 

(1) Submit its written application 

providing the information related to 

laboratory equipment and management 

and technical experience of laboratory 

personnel. Applications from laboratories shall establish that: 

(i) Laboratory personnel have a total 

of one year of relevant experience in 

particulate measurement, including at 

least three months experience in measuring particulate emissions from wood 

heaters, 

(ii) The laboratory has the equipment 

necessary to perform testing in accordance with either § 60.534(b) (1) or (2), 

and 

(iii) Laboratory personnel have experience in test management or laboratory management. 

(2) Have no conflict of interest and 

receive no financial benefit from the 

outcome of certification testing conducted pursuant to § 60.533, 

(3) Agree to enter into a contract as 

described in § 60.533(g) with each wood 

heater manufacturer for whom a certification test has been performed. 

(4) [Reserved] 

(5) Demonstrate proficiency to 

achieve reproducible results with at 

least one test method and procedure in 

§ 60.534(b), by: 

(i) Performing a test consisting of at 

least eight test runs (two in each of the 

four burn rate categories) on a wood 

heater identified by the Administrator, 

(ii) Providing the Administrator at 

least 30 days prior notice of the test to 

afford the Administrator the opportunity to have an observer present, and 

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Environmental Protection Agency 

(iii) Submitting to the Administrator 

all documentation pertaining to the 

test, including a complete test report 

and raw data sheets, laboratory technical notes, and test results for all test 

runs, 

(6) Be located in the continental 

United States, 

(7) Agree to participate annually in a 

proficiency testing program conducted 

by the Administrator, 

(8) Agree to allow the Administrator 

access to observe certification testing, 

(9) Agree to comply with reporting 

and recordkeeping requirements that 

affect testing laboratories, and 

(10) Agree to accept the reasonable 

cost of an RCA test (as determined by 

the Administrator) if it is selected to 

conduct the RCA test of a model line 

originally tested for certification at 

another laboratory. 

(c)–(d) [Reserved] 

(e)(1) The Administrator may revoke 

EPA laboratory accreditation if he determines that the laboratory: 

(i) No longer satisfies the requirements for accreditation in paragraph 

(b) or (c), 

(ii) Does not follow required procedures or practices, 

(iii) Had falsified data or otherwise 

misrepresented emission data, 

(iv) [Reserved] 

(v) Failed to participate in a proficiency testing program, in accordance with its commitment under paragraph (b)(5) of this section, or 

(vi) Failed to seal the wood heater in 

accordance with paragraph (g) of this 

section. 

(2) Revocation of accreditation under 

this paragraph shall not take effect 

until the laboratory concerned has 

been given written notice by the Administrator setting forth the basis for 

the proposed determination and an opportunity for a hearing under § 60.539. 

However, if revocation is ultimately 

upheld, all tests conducted by the laboratory after written notice was given 

may, at the discretion of the Administrator, be declared invalid. 

(f) Unless revoked sooner, a certificate of accreditation granted by the 

Administrator shall be valid: 

(1) For five years from the date of 

issuance, for certificates issued under 

paragraph (b) of this section, or 

§ 60.536 

(2) Until July 1, 1990, for certificates 

issued under paragraph (c) of this section. 

(g) A laboratory accredited by the 

Administrator shall seal any wood 

heater on which it performed certification tests, immediately upon completion or suspension of certification 

testing, by using a laboratory-specific 

seal. 

[53 FR 5873, Feb. 26, 1988, as amended at 60 

FR 33925, June 29, 1995; 65 FR 61764, Oct. 17, 

2000] 

§ 60.536 Permanent label, temporary 

label, and owner’s manual. 

(a)(1) Each affected facility manufactured on or after July 1, 1988, or offered 

for sale at retail on or after July 1, 

1990, shall have a permanent label affixed to it that meets the requirements 

of this section. 

(2) Except for wood heaters subject to 

§ 60.530 (e), (f), or (g), the permanent 

label shall contain the following information: 

(i) Month and year of manufacture, 

(ii) Model name or number, and 

(iii) Serial number. 

(3) The permanent label shall: 

(i) Be affixed in a readily visible or 

accessible location, 

(ii) Be at least 8.9 cm long and 5.1 cm 

wide (31⁄2 inches long and 2 inches 

wide). 

(iii) Be made of a material expected 

to last the lifetime of the wood heater, 

(iv) Present required information in a 

manner so that it is likely to remain 

legible for the lifetime of the wood 

heater, and 

(v) Be affixed in such a manner that 

it cannot be removed from the appliance without damage to the label. 

(4) The permanent label may be combined with any other label, as long as 

the required information is displayed, 

and the integrity of the permanent 

label is not compromised. 

(b) If the wood heater belongs to a 

model line certified under § 60.533, and 

has not been found to exceed the applicable emission limits or tolerances 

through quality assurance testing, one 

of the following statements, as appropriate, shall appear on the permanent 

label: 

409

§ 60.536 

U.S. ENVIRONMENTAL PROTECTION 

AGENCY 

Certified to comply with July, 1988, particulate emission standards. 

Not approved for sale after June 30, 1992. 

or 

U.S. ENVIRONMENTAL PROTECTION 

AGENCY 

Certified to comply with July, 1990, particulate emission standards. 

(c)(1) If compliance is demonstrated 

under § 60.530(c), the following statement shall appear on the permanent 

label: 

U.S. ENVIRONMENTAL PROTECTION 

AGENCY 

Certified under 40 CFR 60.530(c). Not approved for sale after June 30, 1992. 

(2) If compliance is demonstrated 

under § 60.533(h), one of the following 

statements, as appropriate, shall appear on the permanent label: 

U.S. ENVIRONMENTAL PROTECTION 

AGENCY 

Certified under 40 CFR 60.533(h) to comply 

with July, 1988 particulate emissions standards. Not approved for sale after June 30, 

1992. 

or 

U.S. ENVIRONMENTAL PROTECTION 

AGENCY 

Certified under 40 CFR 60.533(h), to comply 

with July, 1990 particulate emissions standards. 

(d) Any label statement under paragraph (b) or (c) of this section constitutes a representation by the manufacturer as to any wood heater that 

bears it: 

(1) That certification was in effect at 

the time the wood heater left the possession of the manufacturer, 

(2) That the manufacturer was, at the 

time the label was affixed, conducting 

a quality assurance program in conformity with § 60.533(o), 

(3) That as to any wood heater individually tested for emissions by the 

manufacturer under § 60.533(o)(3), that 

it met the applicable emissions limits, 

and 

(4) That as to any wood heater individually inspected for tolerances under 

§ 60.533(o)(2), that the wood heater is 

within applicable tolerances. 

40 CFR Ch. I (7–1–02 Edition) 

(e) If an affected facility is exempt 

from the emission limits in § 60.532 

under the provisions of § 60.530(d), the 

following statement shall appear on 

the permanent label: 

U.S. ENVIRONMENTAL PROTECTION 

AGENCY 

Not certified. Approved for sale until June 

30, 1991. 

(f)(1) If an affected facility is manufactured in the U.S. for export, the following statement shall appear on the 

permanent label: 

U.S. ENVIRONMENTAL PROTECTION 

AGENCY 

Export stove. May not be operated within 

the United States. 

(2) If an affected facility is manufactured for use for research and development purposes as provided in § 60.530(f), 

the following statement shall appear 

on the permanent label: 

U.S. ENVIRONMENTAL PROTECTION 

AGENCY 

Not certified. Research Stove. Not approved for sale. 

(3) If an appliance is a coal-only heater as defined in § 60.530, the following 

statement shall appear on the permanent label: 

U.S. ENVIRONMENTAL PROTECTION 

AGENCY 

This heater is only for burning coal. Use of 

any other solid fuel except for coal ignition 

purposes is a violation of Federal law. 

(g) Any affected facility that does 

not qualify for labeling under any of 

paragraphs (b) through (f) of this section shall bear one of the following labels: 

(1) If the test conducted under 

§ 60.533(n) indicates that the facility 

does not meet applicable emissions 

limits: 

U.S. ENVIRONMENTAL PROTECTION 

AGENCY 

Not certified. Does not meet EPA particulate emission standards. IT IS AGAINST 

THE LAW TO OPERATE THIS WOOD HEATER. 

(2) If the test conducted under 

§ 60.533(n) indicates that the facility 

does meet applicable emissions limits: 

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Environmental Protection Agency 

U.S. ENVIRONMENTAL PROTECTION 

AGENCY 

Not certified. Meets EPA particulate emission standards. 

(3) If the facility has not been tested 

as required by § 60.533(e): 

U.S. ENVIRONMENTAL PROTECTION 

AGENCY 

Not certified. Not tested. Not approved for 

sale. IT IS AGAINST THE LAW TO OPERATE THIS WOOD HEATER. 

(h) For affected facilities equipped 

with catalytic combustors, the following statement shall appear on the 

permanent label: 

This wood heater contains a catalytic combustor, which needs periodic inspection and 

replacement for proper operation. Consult 

owner’s manual for further information. It is 

against the law to operate this wood heater 

in a manner inconsistent with operating instructions in the owner’s manual, or if the 

catalytic element is deactivated or removed. 

(i) An affected facility permanently 

labeled under paragraph (b) or (c) of 

this section shall have attached to it a 

temporary label that shall contain 

only the following: 

(1) A statement indicating the compliance status of the model. The statement shall be one of the statements 

provided in appendix I, section 2.2.1. Instructions on the statement to select 

are provided in appendix I. 

(2) A graphic presentation of the 

composite particulate matter emission 

rate as determined in the certification 

test, or as determined by the Administrator if the wood heater is certified 

under § 60.530(c). The method for presenting this information is provided in 

appendix I, section 2.2.2. 

(3) A graphic presentation of the 

overall thermal efficiency of the 

model. The method for presenting this 

information is provided in appendix I, 

section 2.2.3. At the discretion of the 

manufacturer, either the actual measured efficiency of the model or its estimated efficiency may be used for purposes of this paragraph. The actual efficiency is the efficiency measured in 

tests conducted pursuant to § 60.534(d). 

The estimated efficiency shall be 72 

percent if the model is catalystequipped and 63 percent if the model is 

not catalyst equipped, and 78 percent if 

the model is designed to burn wood pel-

§ 60.536 

lets for fuel. Wood heaters certified 

under § 60.530(c) shall use these estimated efficiencies. 

(4) A numerical expression of the 

heat output range of the unit, in British thermal units per hour (Btu/hr) 

rounded to the nearest 100 Btu/hr. 

(i) If the manufacturer elects to report the overall efficiency of the model 

based on test results pursuant to paragraph (i)(3) of this section, he shall report the heat output range measured 

during the efficiency test. If an accessory device is used in the certification 

test to achieve any low burn rate criterion specified in this subpart, and if 

this accessory device is not sold as a 

part of the wood heater, the heat output range shall be determined using 

the formula in paragraph (i)(4)(ii) of 

this section based upon the lowest sustainable burn rate achieved without 

the accessory device. 

(ii) If the manufacturer elects to use 

the estimated efficiency as provided in 

paragraph (i)(3) of this section, he shall 

estimate the heat output of the model 

as follows: 

HOE = Hv × (Estimated overall efficiency/100) 

× BR 

Where: 

HOE = Estimated heat output in Btu/hr 

Hv = Heating value of fuel, 19,140 Btu/kg 

(8,700 Btu/lb) 

BR = Burn rate of dry test fuel per hour, 

kg (lb) 

(5) Statements regarding the importance of operation and maintenance. 

(Instructions regarding which statements must be used are provided in appendix I, section 2.), and 

(6) The manufacturer and the identification of the model. 

(j)(1) An affected facility permanently labeled under paragraph (e), 

(f)(3), or (g) of this section have attached to it a temporary label that 

shall contain only the information provided for in appendix I, section 2.3, 2.4, 

or 2.5, as applicable. 

(2) The temporary label of an affected 

facility permently labeled under paragraph (b), (c), (e), (f)(3), or (g) of this 

section shall: 

(i) Be affixed to a location on the 

wood heater that is readily seen and 

accessible when the wood heater is offered for sale to consumers by any 

commercial owner; 

411

§ 60.537 

(ii) Not be combined with any other 

label or information; 

(iii) Be attached to the wood heater 

in such a way that it can be easily removed by the consumer upon purchase, 

except that the label on wood heaters 

displayed by a commercial owner may 

have an adhesive backing or other 

means to preserve the label to prevent 

its removal or destruction; 

(iv) Be printed on 90 pound bond 

paper in black ink with a white background except that those for models 

that are not otherwise exempted which 

do not meet the applicable emission 

limits, or have not been tested pursuant to this subpart, shall be on a red 

background as described in appendix I, 

section 2.5; 

(v) Have dimensions of 12.7 centimeters by 17.8 centimeters (5 inches by 

7 inches) as described in appendix I, 

section 2.1; 

(vi) Have wording, presentation of 

the graphic data, and typography as 

presented in appendix I. 

(k)(1) Each affected facility offered 

for sale by a commercial owner must 

be accompanied by an owner’s manual 

that shall contain the information listed in paragraph (k)(2) of this section 

(pertaining to installation), and paragraph (k)(3) of this section (pertaining 

to operation and maintenance) of this 

section. Such information shall be adequate to enable consumers to achieve 

optimal emissions performance. Such 

information shall be consistent with 

the operating instructions provided by 

the manufacturer to the laboratory for 

operating the wood heater during certification testing, except for details of 

the certification test that would not be 

relevant to the ultimate purchaser. 

(2) Installation information: Requirements for achieving proper draft. 

(3) Operation and maintenance information: 

(i) Wood loading procedures, recommendations on wood selection, and 

warnings on what fuels not to use, such 

as treated wood, colored paper, cardboard, solvents, trash and garbage, 

(ii) Fire starting procedures, 

(iii) Proper use of air controls, 

(iv) Ash removal procedures, 

(v) Instructions on gasket replacement, 

40 CFR Ch. I (7–1–02 Edition) 

(vi) For catalytic models, information on the following pertaining to the 

catalytic combustor: Procedures for 

achieving and maintaining catalyst activity, maintenance procedures, procedures for determining deterioration or 

failure, procedures for replacement, 

and information on how to exercise 

warranty rights, and 

(vii) For catalytic models, the following statement— 

This wood heater contains a catalytic combustor, which needs periodic inspection and 

replacement for proper operation. It is 

against the law to operate this wood heater 

in a manner inconsistent with operating instructions in this manual, or if the catalytic 

element is deactivated or removed. 

(4) Any manufacturer using EPA 

model language contained in appendix 

I to satisfy any requirement of this 

paragraph shall be in compliance with 

that requirement, provided that the 

particular model language is printed in 

full, with only such changes as are necessary to ensure accuracy for the particular model line. 

(l) Wood heaters that are affected by 

this subpart, but that have been owned 

and operated by a noncommercial 

owner, are not subject to paragraphs (j) 

and (k) of this section when offered for 

resale. 

[53 FR 5873, Feb. 26, 1988, as amended at 53 

FR 12009, Apr. 12, 1988; 64 FR 7466, Feb. 12, 

1999; 65 FR 61764, Oct. 17, 2000] 

§ 60.537 Reporting and recordkeeping. 

(a)(1) Each manufacturer who holds a 

certificate of compliance under 

§ 60.533(e) or (h) for a model line shall 

maintain records containing the information required by this paragraph with 

respect to that model line. Each manufacturer of a model line certified under 

§ 60.530(c) shall maintain the information required by paragraphs (a)(3) and 

(a)(5) of this section for that model 

line. 

(2)(i) All documentation pertaining 

to the certification test used to obtain 

certification, including the full test report and raw data sheets, laboratory 

technician notes, calculations, and the 

test results for all test runs. 

(ii) Where a model line is certified 

under § 60.533(h) and later certified 

under § 60.533(e), all documentation pertaining to the certification test used to 

412

Environmental Protection Agency 

obtain certification in each instance 

shall be retained. 

(3) For parameter inspections conducted pursuant to § 60.533(o)(2), information indicating the extent to which 

tolerances for components that affect 

emissions as listed in § 60.533(k)(2) were 

inspected, and at what frequency, the 

results of such inspections, remedial 

actions taken, if any, and any followup actions such as additional inspections, 

(4) For emissions tests conducted 

pursuant to § 60.533(o)(3), all test reports, data sheets, laboratory technician notes, calculations, and test results for all test runs, the remedial actions taken, if any, and any follow-up 

actions such as additional testing, 

(5) The number of affected facilities 

that are sold each year, by certified 

model line, 

(b)(1) Each accredited laboratory 

shall maintain records consisting of all 

documentation pertaining to each certification test, including the full test 

report and raw data sheets, technician 

notes, calculations, and the test results 

for all test runs. 

(2) [Reserved] 

(3) Each accredited laboratory shall 

report to the Administrator within 24 

hours whenever a manufacturer which 

has notified the laboratory that it intends to apply for alternative certification for a model line fails to submit 

on schedule a representative unit of 

that model line for certification testing. 

(c) Any wood heater upon which certification tests were performed based 

upon which certification was granted 

under § 60.533(e) shall be retained 

(sealed and unaltered) at the manufacturer’s facility for as long as the model 

line in question is manufactured. Any 

such wood heater shall be made available upon request to the Administrator 

for inspection and testing. 

(d)–(e) [Reserved] 

(f) Each manufacturer of an affected 

facility certified under § 60.533 shall 

submit a report to the Administrator 

every 2 years following issuance of a 

certificate of compliance for each 

model line. This report shall certify 

that no changes in the design or manufacture of this model line have been 

§ 60.538 

made that require recertification under 

§ 60.533(k). 

(g) Each manufacturer shall maintain records of the model and number 

of wood heaters exempted under 

§ 60.530(f). 

(h) Each commercial owner of a wood 

heater previously owned by a noncommercial owner for his personal use 

shall maintain records of the name and 

address of the previous owner. 

(i)(1) Unless otherwise specified, all 

records required under this section 

shall be maintained by the manufacturer or commercial owner of the affected facility for a period of no less 

than 5 years. 

(2) Unless otherwise specified, all reports to the Administrator required 

under this subpart shall be made to: 

Stationary Source Compliance Division (EN–341), U.S. EPA, 1200 Pennsylvania Ave., NW., Washington, DC 20460 

Attention: Wood Heater Program. 

(3) A report to the Administrator required under this subpart shall be 

deemed to have been made when it is 

properly addressed and mailed, or 

placed in the possession of a commercial courier service. 

[53 FR 5873, Feb. 26, 1988, as amended at 60 

FR 33925, June 29, 1995] 

§ 60.538 Prohibitions. 

(a) No person shall operate an affected facility that does not have affixed to it a permanent label pursuant 

to § 60.536 (b), (c), (e), (f)(2), (f)(3), or 

(g)(2). 

(b) No manufacturer shall advertise 

for sale, offer for sale, or sell an affected facility that— 

(1) Does not have affixed to it a permanent label pursuant to § 60.536, and 

(2) Has not been tested when required 

by § 60.533(n). 

(c) On or after July 1, 1990, no commercial owner shall advertise for sale, 

offer for sale, or sell an affected facility that does not have affixed to it a 

permanent label pursuant to § 60.536 (b), 

(c), (e), (f)(1), (f)(3), (g)(1) or (g)(2). No 

person shall advertise for sale, offer for 

sale, or sell an affected facility labeled 

under § 60.536(f)(1) except for export. 

(d)(1) No commercial owner shall advertise for sale, offer for sale or sell an 

affected facility permanently labeled 

under § 60.536 (b) or (c) unless: 

413

§ 60.539 

(i) The affected facility has affixed to 

it a removable label pursuant to § 60.536 

of this subpart, 

(ii) He provides any purchaser or 

transferee with an owner’s manual pursuant to § 60.536(k) of this subpart, and 

(iii) He provides any purchaser or 

transferee with a copy of the catalytic 

combustor warranty (for affected facilities with catalytic combustors). 

(2) No commercial owner shall advertise for sale, offer for sale, or sell an affected facility permanently labeled 

under § 60.536 (e), (f)(3), or (g), unless 

the affected facility has affixed to it a 

removable label pursuant to § 60.536 of 

this subpart. This prohibition does not 

apply to wood heaters affected by this 

subpart that have been previously 

owned and operated by a noncommercial owner. 

(3) A commercial owner other than a 

manufacturer complies with the requirements of paragraph (d) of this section if he— 

(i) Receives the required documentation from the manufacturer or a previous commercial owner and 

(ii) Provides that documentation 

unaltered to any person to whom the 

wood heater that it covers is sold or 

transferred. 

(e)(1) In any case in which the Administrator revokes a certificate of 

compliance either for the knowing submission of false or inaccurate information or other fraudulent acts, or based 

on a finding under § 60.533(l)(1)(ii) that 

the certification test was not valid, he 

may give notice of that revocation and 

the grounds for it to all commercial 

owners. 

(2) From and after the date of receipt 

of the notice given under paragraph 

(e)(1) of this section, no commercial 

owner may sell any wood heater covered by the revoked certificate (other 

than to the manufacturer) unless 

(i) The wood heater has been tested 

as required by § 60.533(n) and labeled as 

required by § 60.536(g) or 

(ii) The model line has been recertified in accordance with this subpart. 

(f) No person shall install or operate 

an affected facility except in a manner 

consistent with the instructions on its 

permanent label and in the owner’s 

manual pursuant to § 60.536(l) of this 

subpart. 

40 CFR Ch. I (7–1–02 Edition) 

(g) No person shall operate an affected facility which was originally 

equipped with a catalytic combustor if 

the catalytic element is deactivated or 

removed. 

(h) No person shall operate an affected facility that has been physically 

altered to exceed the tolerance limits 

of its certificate of compliance. 

(i) No person shall alter, deface, or 

remove any permanent label required 

to be affixed pursuant to § 60.536 of this 

subpart. 

[53 FR 5873, Feb. 26, 1988; 53 FR 14889, Apr. 26, 

1988, as amended at 63 FR 64874, Nov. 24, 1998] 

§ 60.539 Hearing and appeal procedures. 

(a)(1) In any case where the Administrator— 

(i) Denies an application under 

§ 60.530(c) or § 60.533(e), 

(ii) Issues a notice of revocation of 

certification under § 60.533(l), 

(iii) Denies an application for laboratory accreditation under § 60.535, or 

(iv) Issues a notice of revocation of 

laboratory accreditation under 

§ 60.535(e), the manufacturer or laboratory affected may request a hearing 

under this section within 30 days following receipt of the required notification of the action in question. 

(2) In any case where the Administrator issues a notice of revocation 

under § 60.533(p), the manufacturer may 

request a hearing under this section 

with the time limits set out in 

§ 60.533(p)(5). 

(b) Any hearing request shall be in 

writing, shall be signed by an authorized representative of the petitioning 

manufacturer or laboratory, and shall 

include a statement setting forth with 

particularity the petitioner’s objection 

to the Administrator’s determination 

or proposed determination. 

(c)(1) Upon receipt of a request for a 

hearing under paragraph (a) of this section, the Administrator shall request 

the Chief Administrative Law Judge to 

designate an Administrative Law 

Judge as Presiding Officer for the hearing. If the Chief Administrative Law 

Judge replies that no Administrative 

Law Judge is available to perform this 

function, the Administrator shall designate a Presiding Officer who has not 

had any prior responsibility for the 

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Environmental Protection Agency 

matter under review, and who is not 

subject to the direct control or supervision of someone who has had such responsibility. 

(2) The hearing shall commence as 

soon as practicable at a time and place 

fixed by the Presiding Officer. 

(3)(i) A motion for leave to intervene 

in any proceeding conducted under this 

section must set forth the grounds for 

the proposed intervention, the position 

and interest of the movant and the 

likely impact that intervention will 

have on the expeditious progress of the 

proceeding. Any person already a party 

to the proceeding may file an answer to 

a motion to intervene, making specific 

reference to the factors set forth in the 

foregoing sentence and paragraph 

(c)(3)(iii) of this section within ten (10) 

days after service of the motion for 

leave to intervene. 

(ii) A motion for leave to intervene in 

a proceeding must ordinarily be filed 

before the first prehearing conference 

or, in the absence of a prehearing conference, prior to the setting of a time 

and place for a hearing. Any motion 

filed after that time must include, in 

addition to the information set forth in 

paragraph (c)(3)(i) of this section, a 

statement of good cause for the failure 

to file in a timely manner. The intervenor shall be bound by any agreements, arrangements and other matters previously made in the proceeding. 

(iii) A motion for leave to intervene 

may be granted only if the movant 

demonstrates that his presence in the 

proceeding would not unduly prolong 

or otherwise prejudice the adjudication 

of the rights of the original parties, 

and that movant may be adversely affected by a final order. The intervenor 

shall become a full party to the proceeding upon the granting of leave to 

intervene. 

(iv) Persons not parties to the proceeding may move for leave to file amicus curiae briefs. The movant shall 

state his interest and the reasons why 

the proposed amicus brief is desirable. 

If the motion is granted, the Presiding 

Officer or Administrator shall issue an 

order setting the time for filing such 

brief. An amicus curia may participate 

in any briefing after his motion is 

granted, and shall be served with all 

§ 60.539 

briefs, reply briefs, motions, and orders 

relating to issues to be briefed. 

(4) In computing any period of time 

prescribed or allowed in this subpart, 

the day of the event from which the 

designated period begins to run shall 

not be included. Saturdays, Sundays, 

and Federal legal holidays shall be included. When a stated time expires on 

a Saturday, Sunday or legal holiday, 

the stated time period shall be extended to include the next business 

day. 

(d)(1) Upon his appointment the Presiding Officer shall establish a hearing 

file. The file shall consist of the notice 

issued by the Administrator under 

§ 60.530(c), § 60.533(e), § 60.533(l), 

§ 60.533(p), § 60.535(a), or § 60.535(e), together with any accompanying material, the request for a hearing and the 

supporting data submitted therewith, 

and all documents relating to the request for certification or accreditation, 

or the proposed revocation of either. 

(2) The hearing file shall be available 

for inspection by any party, to the extent authorized by law, at the office of 

the Presiding Officer, or other place 

designated by him. 

(e) Any party may appear in person, 

or may be represented by counsel or by 

any other duly authorized representative. 

(f)(1) The Presiding Officer upon the 

request of any party, or at his discretion, may order a prehearing conference at a time and place specified by 

him to consider the following: 

(i) Simplification of the issues, 

(ii) Stipulations, admissions of fact, 

and the introduction of documents, 

(iii) Limitation of the number of expert witnesses, 

(iv) Possibility of agreement disposing of all or any of the issues in dispute, 

(v) Such other matters as may aid in 

the disposition of the hearing, including such additional tests as may be 

agreed upon by the parties. 

(2) The results of the conference shall 

be reduced to writing by the Presiding 

Officer and made part of the record. 

(g)(1) Hearings shall be conducted by 

the Presiding Officer in an informal 

but orderly and expeditious manner. 

The parties may offer oral or written 

evidence, subject to the exclusion by 

415

§ 60.539a 

the Presiding Officer of irrelevant, immaterial and repetitious evidence. 

(2) Witnesses will not be required to 

testify under oath. However, the Presiding Officer shall call to the attention of witnesses that their statements 

may be subject to penalties under title 

18, U.S.C. 1001 for knowingly making 

false statements or representations or 

using false documents in any matter 

within the jurisdiction of any department or agency of the United States. 

(3) Any witness may be examined or 

cross-examined by the Presiding Officer, the parties, or their representatives. 

(4) Hearings shall be recorded verbatim. Copies of transcripts of proceedings may be purchased by the applicant from the reporter. 

(5) All written statements, charts, 

tabulations, and similar data offered in 

evidence at the hearings shall, upon a 

showing satisfactory to the Presiding 

Officer of their authenticity, relevancy, and materiality, be received in 

evidence and shall constitute a part of 

the record. 

(h)(1) The Presiding Officer shall 

make an initial decision which shall 

include written findings and conclusions and the reasons or basis therefor 

on all the material issues of fact, law, 

or discretion presented on the record. 

The findings, conclusions, and written 

decision shall be provided to the parties and made a part of the record. The 

initial decision shall become the decision of the Environmental Appeals 

Board without further proceedings unless there is an appeal to the Environmental Appeals Board or motion for review by the Environmental Appeals 

Board. Except as provided in paragraph 

(h)(3) of this section, any such appeal 

shall be taken within 20 days of the 

date the initial decision was filed. 

(2) The Administrator delegates authority to the Environmental Appeals 

Board to issue final decisions in appeals filed under this section. An appeal directed to the Administrator, 

rather than to the Environmental Appeals Board, will not be considered. 

This delegation of authority to the Environmental Appeals Board does not 

preclude the Environmental Appeals 

Board from referring an appeal or a 

motion filed under this part to the Ad40 CFR Ch. I (7–1–02 Edition) 

ministrator for decision when the Environmental Appeals Board, in its discretion, deems it appropriate to do so. 

When an appeal or motion is referred 

to the Administrator, all parties shall 

be so notified and the rules in this section referring to the Environmental 

Appeals Board shall be interpreted as 

referring to the Administrator. On appeal from or review of the initial decision, the Environmental Appeals Board 

shall have all the powers that it would 

have in making the initial decision including the discretion to require or 

allow briefs, oral argument, the taking 

of additional evidence or the remanding to the Presiding Officer for additional proceedings. The decision by the 

Environmental Appeals Board shall include written findings and conclusions 

and the reasons or basis therefor on all 

the material issues of fact, law, or discretion presented on the appeal or considered in the review. 

(3) In any hearing requested under 

paragraph (a)(2) of this section the Presiding Officer shall render his initial 

decision within 60 days of that request. 

Any appeal to the Environmental Appeals Board shall be taken within 10 

days of the initial decision, and the Environmental Appeals Board shall 

render its decision in the appeal within 

30 days of the filing of the appeal. 

[53 FR 5873, Feb. 26, 1988, as amended at 57 

FR 5328, Feb. 13, 1992] 

§ 60.539a Delegation of authority. 

(a) In delegating implementation and 

enforcement authority to a State 

under section 111(c) of the Act, the authorities contained in paragraph (b) of 

this section shall be retained by the 

Administrator and not transferred to a 

State. 

(b) Authorities that shall not be delegated to states: 

(1) [Reserved] 

(2) Section 60.531, Definitions, 

(3) Section 60.533, Compliance and 

certification, 

(4) Section 60.534, Test methods and 

procedures, 

(5) Section 60.535, Laboratory accreditation, 

(6) Section 60.536(i)(2), determination 

of emission rates for purposes of labeling wood heaters certified under 

§ 60.530(c), 

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Environmental Protection Agency 

(7) Section 60.537, Reporting and recordkeeping, 

(8) Section 60.538(e), revocation of 

certification, and 

(9) Section 60.539, Hearings and appeals procedures. 

[53 FR 5873, Feb. 26, 1988, as amended at 60 

FR 33925, June 29, 1995] 

§ 60.539b General provisions exclusions. 

The following provisions of subpart A 

of part 60 do not apply to this subpart: 

(a) Section 60.7, 

(b) Section 60.8(a), (c), (d), (e), and (f), 

and 

(c) Section 60.15(d). 

Subpart BBB—Standards of Performance for the Rubber Tire 

Manufacturing Industry 

SOURCE: 52 FR 34874, Sept. 15, 1987, unless 

otherwise noted. 

§ 60.540 Applicability and designation

of affected facilities. 

(a) The provisions of this subpart, except as provided in paragraph (b) of 

this section, apply to each of the following affected facilities in rubber tire 

manufacturing plants that commence 

construction, modification, or reconstruction after January 20, 1983: each 

undertread cementing operation, each 

sidewall cementing operation, each 

tread end cementing operation, each 

bead cementing operation, each green 

tire spraying operation, each MichelinA operation, each Michelin-B operation, and each Michelin-C automatic 

operation. 

(b) The owner or operator of each 

undertread cementing operation and 

each sidewall cementing operation in 

rubber tire manufacturing plants that 

commenced construction, modification, or reconstruction after January 

20, 1983, and before September 15, 1987, 

shall have the option of complying 

with the alternate provisions in 

§ 60.542a. This election shall be irreversible. The alternate provisions in 

§ 60.542a do not apply to any undertread 

cementing operation or sidewall cementing operation that is modified or 

reconstructed after September 15, 1987. 

The affected facilities in this para-

§ 60.541 

graph are subject to all applicable provisions of this subpart. 

(c) Although the affected facilities 

listed under § 60.540(a) are defined in 

reference to the production of components of a ‘‘tire,’’ as defined under 

§ 60.541(a), the percent emission reduction requirements and VOC use cutoffs 

specified under § 60.542(a)(1), (2), (6), 

(7)(iii), (7)(iv), (8), (9), and (10) refer to 

the total amount of VOC used (the 

amount allocated to the affected facility), including the VOC used in cements and organic solvent-based green 

tire spray materials for tire types not 

listed in the § 60.541(a) definition of 

‘‘tire.’’ 

[52 FR 34874, Sept. 15, 1987, as amended at 54 

FR 38635, Sept. 19, 1989] 

§ 60.541 Definitions. 

(a) All terms that are used in this 

subpart and are not defined below are 

given the same meaning as in the Act 

and in subpart A of this part. 

Bead means rubber-covered strands of 

wire, wound into a circular form, which 

ensure a seal between a tire and the 

rim of the wheel onto which the tire is 

mounted. 

Bead cementing operation means the 

system that is used to apply cement to 

the bead rubber before or after it is 

wound into its final circular form. A 

bead cementing operation consists of a 

cement application station, such as a 

dip tank, spray booth and nozzles, cement trough and roller or swab applicator, and all other equipment necessary to apply cement to wound beads 

or bead rubber and to allow evaporation of solvent from cemented beads. 

Component means a piece of tread, 

combined tread/sidewall, or separate 

sidewall rubber, or other rubber strip 

that is combined into the sidewall of a 

finished tire. 

Drying area means the area where 

VOC from applied cement or green tire 

sprays is allowed to evaporate. 

Enclosure means a structure that surrounds a VOC (cement, solvent, or 

spray) application area and drying 

area, and that captures and contains 

evaporated VOC and vents it to a control device. Enclosures may have permanent and temporary openings. 

Green tire means an assembled, 

uncured tire. 

417