  July 1, 2020

      Title 40
      Protection of Environment
      Parts 82 to 86
      Revised as of July 1, 2020
      Containing a codification of documents of general applicability and future effect
      As of July 1, 2020

        Published by the Office of the Federal Register National Archives and Records Administration as a Special Edition of the Federal Register

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      Table of Contents
      Page

        Explanation
        v

        Title 40:

          Chapter I—Environmental Protection Agency (Continued)
          3

        Finding Aids:
        Table of CFR Titles and Chapters
        1207
        Alphabetical List of Agencies Appearing in the CFR
        1227
        List of CFR Sections Affected
        1237

      Cite this Code: CFR

      To cite the regulations in this volume use title, part and section number. Thus, 40 CFR 82.1 refers to title 40, part 82, section 1.

      Explanation
      The Code of Federal Regulations is a codification of the general and permanent rules published in the Federal Register by the Executive departments and agencies of the Federal Government. The Code is divided into 50 titles which represent broad areas subject to Federal regulation. Each title is divided into chapters which usually bear the name of the issuing agency. Each chapter is further subdivided into parts covering specific regulatory areas.
      Each volume of the Code is revised at least once each calendar year and issued on a quarterly basis approximately as follows:

        Title 1 through Title 16
        as of January 1
        Title 17 through Title 27
        as of April 1
        Title 28 through Title 41
        as of July 1
        Title 42 through Title 50
        as of October 1

      The appropriate revision date is printed on the cover of each volume.

        LEGAL STATUS
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        EFFECTIVE AND EXPIRATION DATES
        Each volume of the Code contains amendments published in the Federal Register since the last revision of that volume of the Code. Source citations for the regulations are referred to by volume number and page number of the Federal Register and date of publication. Publication dates and effective dates are usually not the same and care must be exercised by the user in determining the actual effective date. In instances where the effective date is beyond the cut-off date for the Code a note has been inserted to reflect the future effective date. In those instances where a regulation published in the Federal Register states a date certain for expiration, an appropriate note will be inserted following the text.

        OMB CONTROL NUMBERS

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        “[RESERVED]” TERMINOLOGY
        The term “[Reserved]” is used as a place holder within the Code of Federal Regulations. An agency may add regulatory information at a “[Reserved]” location at any time. Occasionally “[Reserved]” is used editorially to indicate that a portion of the CFR was left vacant and not dropped in error.

        INCORPORATION BY REFERENCE

          What is incorporation by reference? Incorporation by reference was established by statute and allows Federal agencies to meet the requirement to publish regulations in the Federal Register by referring to materials already published elsewhere. For an incorporation to be valid, the Director of the Federal Register must approve it. The legal effect of incorporation by reference is that the material is treated as if it were published in full in the Federal Register (5 U.S.C. 552(a)). This material, like any other properly issued regulation, has the force of law.

          What is a proper incorporation by reference? The Director of the Federal Register will approve an incorporation by reference only when the requirements of 1 CFR part 51 are met. Some of the elements on which approval is based are:
        (a) The incorporation will substantially reduce the volume of material published in the Federal Register.
        (b) The matter incorporated is in fact available to the extent necessary to afford fairness and uniformity in the administrative process.
        (c) The incorporating document is drafted and submitted for publication in accordance with 1 CFR part 51.

          What if the material incorporated by reference cannot be found? If you have any problem locating or obtaining a copy of material listed as an approved incorporation by reference, please contact the agency that issued the regulation containing that incorporation. If, after contacting the agency, you find the material is not available, please notify the Director of the Federal Register, National Archives and Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001, or call 202-741-6010.

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        REPUBLICATION OF MATERIAL
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        INQUIRIES
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        ELECTRONIC SERVICES

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        The Office of the Federal Register also offers a free service on the National Archives and Records Administration's (NARA) website for public law numbers, Federal Register finding aids, and related information. Connect to NARA's website at www.archives.gov/federal-register.

        The e-CFR is a regularly updated, unofficial editorial compilation of CFR material and Federal Register amendments, produced by the Office of the Federal Register and the Government Publishing Office. It is available at www.ecfr.gov.

          Oliver A. Potts,

          Director,

          Office of the Federal Register

          July 1, 2020

      THIS TITLE
      Title 40—Protection of Environment is composed of thirty-seven volumes. The parts in these volumes are arranged in the following order: Parts 1-49, parts 50-51, part 52 (52.01-52.1018), part 52 (52.1019-52.2019), part 52 (52.2020-end of part 52), parts 53-59, part 60 (60.1-60.499), part 60 (60.500-end of part 60, sections), part 60 (Appendices), parts 61-62, part 63 (63.1-63.599), part 63 (63.600-63.1199), part 63 (63.1200-63.1439), part 63 (63.1440-63.6175), part 63 (63.6580-63.8830), part 63 (63.8980-end of part 63), parts 64-71, parts 72-79, part 80, part 81, parts 82-86, parts 87-95, parts 96-99, parts 100-135, parts 136-149, parts 150-189, parts 190-259, parts 260-265, parts 266-299, parts 300-399, parts 400-424, parts 425-699, parts 700-722, parts 723-789, parts 790-999, parts 1000-1059, and part 1060 to end. The contents of these volumes represent all current regulations codified under this title of the CFR as of July 1, 2020.
      Chapter I—Environmental Protection Agency appears in all thirty-seven volumes. OMB control numbers for title 40 appear in § 9.1 of this chapter.
      Chapters IV-VIII—Regulations issued by the Environmental Protection Agency and Department of Justice, Council on Environmental Quality, Chemical Safety and Hazard Investigation Board, Environmental Protection Agency and Department of Defense; Uniform National Discharge Standards for Vessels of the Armed Forces, and the Gulf Coast Ecosystem Restoration Council appear in volume thirty seven.
      For this volume, Robert J. Sheehan, III was Chief Editor. The Code of Federal Regulations publication program is under the direction of John Hyrum Martinez, assisted by Stephen J. Frattini.

    40 CFR Ch. I (7-1-20 Edition)
    Environmental Protection Agency

        Title 40—Protection of Environment
        (This book contains parts 82 to 86)

        Part

            chapter i—Environmental Protection Agency (Continued)
          82

          CHAPTER I—ENVIRONMENTAL PROTECTION AGENCY (CONTINUED)

          Editorial Note:
          Nomenclature changes to chapter I appear at 65 FR 47324, 47325, Aug. 2, 2000; 66 FR 34375, 34376, June 28, 2001.

          SUBCHAPTER C—AIR PROGRAMS (CONTINUED)

        Part
        Page

          82
          Protection of stratospheric ozone
          5
          83-84
          [Reserved]
          85
          Control of air pollution from mobile sources
          309
          86
          Control of emissions from new and in-use highway vehicles and engines
          428

        SUBCHAPTER C—AIR PROGRAMS (CONTINUED)

          Pt. 82
          PART 82—PROTECTION OF STRATOSPHERIC OZONE

              Subpart A—Production and Consumption Controls
              Sec.
              82.1
              Purpose and scope.
              82.2
              [Reserved]
              82.3
              Definitions for class I and class II controlled substances.
              82.4
              Prohibitions for class I controlled substances.
              82.5
              Apportionment of baseline production allowances for class I controlled substances.
              82.6
              Apportionment of baseline consumption allowances for class I controlled substances.
              82.7
              Grant and phase reduction of baseline production and consumption allowances for class I controlled substances.
              82.8
              Grant of essential use allowances and critical use allowances.
              82.9
              Availability of production allowances in addition to baseline production allowances for class I controlled substances.
              82.10
              [Reserved]
              82.11
              Exports of class I controlled substances to Article 5 Parties.
              82.12
              Transfers of allowances for class I controlled substances.
              82.13
              Recordkeeping and reporting requirements for class I controlled substances.
              82.14
              Process for electronic reporting.
              82.15
              Prohibitions for class II controlled substances.
              82.16
              Phaseout schedule of class II controlled substances.
              82.17
              Apportionment of baseline production allowances for class II controlled substances.
              82.18
              Availability of production in addition to baseline production allowances for class II controlled substances.
              82.19
              Apportionment of baseline consumption allowances for class II controlled substances.
              82.20
              Availability of consumption allowances in addition to baseline consumption allowances for class II controlled substances.
              82.21-82.22
              [Reserved]
              82.23
              Transfers of allowances of class II controlled substances.
              82.24
              Recordkeeping and reporting requirements for class II controlled substances.
              Appendix A to Subpart A of Part 82—Class I Controlled Substances
              Appendix B to Subpart A of Part 82—Class II Controlled Substances
              Appendix C to Subpart A of Part 82 [Reserved]
              Appendix D to Subpart A of Part 82—Harmonized Tariff Schedule Description of Products That May Contain Controlled Substances in Appendix A, Class I, Groups I and II
              Appendix E to Subpart A of Part 82—Article 5 Parties
              Appendix F to Subpart A of Part 82—Listing of Ozone-Depleting Chemicals
              Appendix G to Subpart A of Part 82—UNEP Recommendations for Conditions Applied to Exemption for Essential Laboratory and Analytical Uses
              Appendix H to Subpart A of Part 82—Clean Air Act Amendments of 1990 Phaseout Schedule for Production of Ozone-Depleting Substances

              Appendix I to Subpart A of Part 82—Global Warming Potentials (Mass Basis), Referenced to the Absolute GWP for the Adopted Carbon Cycle Model CO2 Decay Response and Future CO2 Atmospheric Concentrations Held Constant at Current Levels. (Only Direct Effects Are Considered.)
              Appendix J to Subpart A of Part 82—Parties to the Montreal Protocol Classified Under Article 5(1) That Have Banned the Import of Controlled Products That Rely on Class I Controlled Substances for Their Continuing Functioning [Reserved]
              Appendix K to Subpart A of Part 82—Commodity Codes From the Harmonized Tariff Schedule for Controlled Substances and Used Controlled Substances
              Appendix L to Subpart A of Part 82—Approved Critical Uses and Limiting Critical Conditions for Those Uses

              Subpart B—Servicing of Motor Vehicle Air Conditioners
              82.30
              Purpose and scope.
              82.32
              Definitions.
              82.34
              Prohibitions and required practices.
              82.36
              Approved refrigerant handling equipment.
              82.38
              Approved independent standards testing organizations.
              82.40
              Technician training and certification.
              82.42
              Certification, recordkeeping and public notification requirements.
              Appendix A to Subpart B of Part 82—Standard for Recycle/Recover Equipment
              Appendix B to Subpart B of Part 82—Standard for Recover Equipment

              Appendix C to Subpart B of Part 82—SAE J2788 Standard for Recovery/Recycle and Recovery/Recycle/Recharging Equipment for HFC-134a Refrigerant

              Appendix D to Subpart B of Part 82—SAE J2810 Standard for Recovery Only Equipment for HFC-134a Refrigerant

              Appendix E to Subpart B of Part 82—The Standard for Automotive Refrigerant Recycling Equipment Intended for Use With Both CFC-12 and HFC-134a

              Appendix F to Subpart B of Part 82—Standard for Recover-Only Equipment That Extracts a Single, Specific Refrigerant Other Than CFC-12 or HFC-134a

              Subpart C—Ban on Nonessential Products Containing Class I Substances and Ban on Nonessential Products Containing or Manufactured With Class II Substances
              82.60
              Purpose.
              82.62
              Definitions.
              82.64
              Prohibitions.
              82.65
              Temporary exemptions.
              82.66
              Nonessential Class I products and exceptions.
              82.68
              Verification and public notice requirements.
              82.70
              Nonessential Class II products and exceptions.

              Subpart D—Federal Procurement
              82.80
              Purpose and scope.
              82.82
              Definitions.
              82.84
              Requirements.
              82.86
              Reporting requirements.

              Subpart E—The Labeling of Products Using Ozone-Depleting Substances
              82.100
              Purpose.
              82.102
              Applicability.
              82.104
              Definitions.
              82.106
              Warning statement requirements.
              82.108
              Placement of warning statement.
              82.110
              Form of label bearing warning statement.
              82.112
              Removal of label bearing warning statement.
              82.114
              Compliance by manufacturers and importers with requirements for labeling of containers of controlled substances, or products containing controlled substances.
              82.116
              Compliance by manufacturers or importers incorporating products manufactured with controlled substances.
              82.118
              Compliance by wholesalers, distributors and retailers.
              82.120
              Petitions.
              82.122
              Certification, recordkeeping, and notice requirements.
              82.124
              Prohibitions.

              Subpart F—Recycling and Emissions Reduction
              82.150
              Purpose and scope.
              82.152
              Definitions.
              82.154
              Prohibitions.
              82.155
              Safe disposal of appliances.
              82.156
              Proper evacuation of refrigerant from appliances.
              82.157
              Appliance maintenance and leak repair.
              82.158
              Standards for recovery and/or recycling equipment.
              82.160
              Approved equipment testing organizations.
              82.161
              Technician certification.
              82.162
              [Reserved]
              82.164
              Reclaimer certification.
              82.166
              Reporting and recordkeeping requirements for leak repair.
              82.168
              Incorporation by reference.
              82.169
              Suspension and revocation procedures.
              Appendix A to Subpart F of Part 82—Specifications for Refrigerants
              Appendix A1 to Subpart F of Part 82—Generic Maximum Contaminant Levels
              Appendix B1 to Subpart F of Part 82—Performance of Refrigerant Recovery, Recycling and/or Reclaim Equipment
              Appendix B2 to Subpart F of Part 82—Performance of Refrigerant Recovery, Recycling, and/or Reclaim Equipment
              Appendix B3 to Subpart F of Part 82—Performance of Refrigerant Recovery, Recycling, and/or Reclaim Equipment
              Appendix B4 to Subpart F of Part 82—Performance and Safety of Flammable Refrigerant Recovery and/or Recycling Equipment
              Appendix C to Subpart F of Part 82—Method for Testing Recovery Devices for Use With Small Appliances
              Appendix D to Subpart F of Part 82—Standards for Becoming a Certifying Program for Technicians
              Appendix E to Subpart F of Part 82—Test Procedure for Leaks From Containers Holding Two Pounds or Less of Refrigerant for Use in an MVAC

              Subpart G—Significant New Alternatives Policy Program
              82.170
              Purpose and scope.
              82.172
              Definitions.
              82.174
              Prohibitions.
              82.176
              Applicability.
              82.178
              Information required to be submitted.
              82.180
              Agency review of SNAP submissions.
              82.182
              Confidentiality of data.
              82.184
              Petitions.

              Appendix A to Subpart G of Part 82—Substitutes Subject to Use Restrictions and Unacceptable Substitutes

              Appendix B to Subpart G of Part 82—Substitutes Subject to Use Restrictions and Unacceptable Substitutes
              Appendix C to Subpart G of Part 82—Substitutes Subject to Use Restrictions and Unacceptable Substitutes Listed in the May 22, 1996 Final Rule, Effective June 21, 1996
              Appendix D to Subpart G of Part 82—Substitutes Subject to Use Restrictions and Unacceptable Substitutes
              Appendix E to Subpart G of Part 82—Unacceptable Substitutes Listed in the January 26, 1999 Final Rule, Effective January 26, 1999
              Appendix F to Subpart G of Part 82—Unacceptable Substitutes Listed in the January 26, 1999 Final Rule, Effective January 26, 1999
              Appendix G to Subpart G of Part 82—Substitutes Subject to Use Restrictions and Unacceptable Substitutes Listed in the March 3, 1999, Final Rule, Effective April 2, 1999
              Appendix H to Subpart G of Part 82—Substitutes Subject to Use Restrictions and Unacceptable Substitutes, Effective May 28, 1999
              Appendix I to Subpart G of Part 82—Substitutes Subject to Use Restrictions, Listed in the April 26, 2000, Final Rule, Effective May 26, 2000
              Appendix J to Subpart G of Part 82—Substitutes listed in the January 29, 2002 Final Rule, effective April 1, 2002
              Appendix K to Subpart G of Part 82—Substitutes Subject to Use Restrictions and Unacceptable Substitutes Listed in the July 22, 2002, Final Rule, Effective August 21, 2002
              Appendix L to Subpart G of Part 82—Substitutes Listed in the January 27, 2003, Final Rule, Effective March 28, 2003
              Appendix M to Subpart G of Part 82—Unacceptable Substitutes Listed in the September 30, 2004 Final Rule, Effective November 29, 2004
              Appendix N to Subpart G of Part 82 [Reserved]
              Appendix O to Subpart G of Part 82—Substitutes Listed in the September 27, 2006 Final Rule, Effective November 27, 2006
              Appendix P to Subpart G of Part 82—Substitutes Listed in the September 27, 2006 Final Rule, Effective November 27, 2006
              Appendix Q to Subpart G of Part 82—Unacceptable Substitutes Listed in the March 28, 2007 Final Rule, Effective May 29, 2007
              Appendix R to Subpart G of Part 82—Substitutes Subject to Use Restrictions Listed in the December 20, 2011 Final Rule, Effective February 21, 2012
              Appendix S to Subpart G of Part 82—Substitutes Listed in the September 19, 2012 Final Rule, Effective December 18, 2012.
              Appendix T to Subpart G of Part 82—Substitutes listed in the April 29, 2013 Final Rule, effective May 29, 2013.
              Appendix U to Subpart G of Part 82—Unacceptable Substitutes and Substitutes Subject to Use Restrictions Listed in the July 20, 2015 Final Rule, Effective August 19, 2015
              Appendix V to Subpart G of Part 82—Substitutes Subject to Use Restrictions and Unacceptable Substitutes Listed in the December 1, 2016 Final Rule

              Subpart H—Halon Emissions Reduction
              82.250
              Purpose and scope.
              82.260
              Definitions.
              82.270
              Prohibitions.

              Subpart I—Ban on Refrigeration and Air-Conditioning Appliances Containing HCFCs
              82.300
              Purpose.
              82.302
              Definitions.
              82.304
              Prohibitions.
              82.306
              Prohibited products.

            Authority:
            42 U.S.C. 7414, 7601, 7671-7671q.

            Source:
            57 FR 33787, July 30, 1992, unless otherwise noted.

            Subpart A—Production and Consumption Controls

              Source:
              60 FR 24986, May 10, 1995, unless otherwise noted.

              § 82.1
              Purpose and scope.
              (a) The purpose of the regulations in this subpart is to implement the Montreal Protocol on Substances that Deplete the Ozone Layer and sections 602, 603, 604, 605, 606, 607, 614 and 616 of the Clean Air Act Amendments of 1990, Public Law 101-549. The Protocol and section 604 impose limits on the production and consumption (defined as production plus imports minus exports, excluding transhipments and used controlled substances) of certain ozone-depleting substances, according to specified schedules. The Protocol also requires each nation that becomes a Party to the agreement to impose certain restrictions on trade in ozone-depleting substances with non-Parties.

              (b) This subpart applies to any person that produces, transforms, destroys, imports or exports a controlled substance or imports or exports a controlled product.
              [63 FR 41642, Aug. 4, 1998]

              § 82.2
              [Reserved]

              § 82.3
              Definitions for class I and class II controlled substances.
              As used in this subpart, the term:

                Administrator means the Administrator of the United States Environmental Protection Agency or his or her authorized representative. Starting May 18, 2020, reports and petitions that are available to be submitted through the Central Data Exchange, as well as any related supporting documents, must be submitted through that tool. Any other reports and communications shall be submitted to Stratospheric Protection Manager, 1200 Pennsylvania Ave. NW, Mail Code: 6205T, Washington, DC 20460.

                Aircraft halon bottle means a vessel used as a component of an aircraft fire suppression system containing halon-1301 or halon-1211 approved under FAA rules for installation in a certificated aircraft.

                Appliance means any device which contains and uses a refrigerant and which is used for household or commercial purposes, including any air conditioner, refrigerator, chiller, or freezer.

                Applicator means the person who applies methyl bromide.

                Approved critical use(s) means those uses of methyl bromide listed in Column A of appendix L to this subpart as further clarified in Columns B and C of that appendix.

                Approved critical user(s) means a person who:

              (1) For the applicable control period, applied to EPA for a critical use exemption or is a member of a consortium that applied to EPA for a critical use exemption for a use and location of use that was included in the U.S. nomination, authorized by a Decision of the Parties to the Montreal Protocol, and then finally determined by EPA in a notice-and-comment rulemaking to be an approved critical use; and
              (2) Has an area in the applicable location of use that requires methyl bromide fumigation because the person reasonably expects that the area will be subject to a limiting critical condition during the applicable control period.

                Article 5 allowances means the allowances apportioned under §§ 82.9(a), 82.11(a)(2), and 82.18(a).

                Baseline consumption allowances means the consumption allowances apportioned under §§ 82.6 and 82.19.

                Baseline production allowances means the production allowances apportioned under §§ 82.5 and 82.17.

                Beijing Amendments means the Montreal Protocol, as amended at the Eleventh Meeting of the Parties to the Montreal Protocol in Beijing in 1999.

                Calculated level means the weighted amount of a controlled substance determined by multiplying the amount (in kilograms) of the controlled substance by that substance's ozone depletion potential (ODP) weight listed in appendix A or appendix B to this subpart.

                Central Data Exchange means EPA's centralized electronic document receiving system, or its successors.

                Class I refers to the controlled substances listed in appendix A to this subpart.

                Class II refers to the controlled substances listed in appendix B to this subpart.

                Commodity Owner, Shipper or their Agent means the person requesting that an applicator use methyl bromide for quarantine or preshipment applications.

                Completely destroy means to cause the expiration of a controlled substance at a destruction efficiency of 98 percent or greater, using one of the destruction technologies approved by the Parties.

                Confer means to shift the essential-use allowances obtained under § 82.8 from the holder of the unexpended essential-use allowances to a person for the production of a specified controlled substance.

                Consortium means an organization representing a group of methyl bromide users that has collectively submitted an application for a critical use exemption on behalf of all members of the group. The members of a consortium shall be determined on the basis of the rules established by the organization. Members may either be required to formally join the consortium (e.g., by submitting an application or paying dues) or may automatically become members upon meeting particular criteria (e.g., a grower of a specific crop in a particular region).

                Consumption means the production plus imports minus exports of a controlled substance (other than transhipments, or used controlled substances).

                Consumption allowances means the privileges granted by this subpart to produce and import controlled substances; however, consumption allowances may be used to produce controlled substances only in conjunction with production allowances. A person's consumption allowances for class I substances are the total of the allowances obtained under §§ 82.6 and 82.7 as may be modified under § 82.12 (transfer of allowances). A person's consumption allowances for class II controlled substances are the total of the allowances obtained under §§ 82.19 and 82.20, as may be modified under § 82.23.

                Control period means the period from January 1, 1992 through December 31, 1992, and each twelve-month period from January 1 through December 31, thereafter.

                Controlled product means a product that contains a controlled substance listed as a Class I, Group I or II substance in appendix A to this subpart. Controlled products include, but are not limited to, those products listed in appendix D to this subpart.
              Controlled products belong to one or more of the following six categories of products:
              (1) Automobile and truck air conditioning units (whether incorporated in vehicles or not);
              (2) Domestic and commercial refrigeration and air-conditioning/heat pump equipment (whether containing controlled substances as a refrigerant and/or in insulating material of the product), e.g. Refrigerators, Freezers, Dehumidifiers, Water coolers, Ice machines, Air-conditioning and heat pump units;
              (3) Aerosol products, except medical aerosols;
              (4) Portable fire extinguishers;
              (5) Insulation boards, panels and pipe covers;
              (6) Pre-polymers.

                Controlled substance means any substance listed in appendix A or appendix B to this subpart, whether existing alone or in a mixture, but excluding any such substance or mixture that is in a manufactured product other than a container used for the transportation or storage of the substance or mixture. Thus, any amount of a listed substance in appendix A or appendix B to this subpart that is not part of a use system containing the substance is a controlled substance. If a listed substance or mixture must first be transferred from a bulk container to another container, vessel, or piece of equipment in order to realize its intended use, the listed substance or mixture is a “controlled substance.” The inadvertent or coincidental creation of insignificant quantities of a listed substance in appendix A or appendix B to this subpart; during a chemical manufacturing process, resulting from unreacted feedstock, from the listed substance's use as a process agent present as a trace quantity in the chemical substance being manufactured, or as an unintended byproduct of research and development applications, is not deemed a controlled substance. Controlled substances are divided into two classes, Class I in appendix A to this subpart, and Class II listed in appendix B to this subpart. Class I substances are further divided into eight groups, Group I, Group II, Group III, Group IV, Group V, Group VI, Group VII, and Group VIII, as set forth in appendix A to this subpart.

                Copenhagen Amendments means the Montreal Protocol on Substances That Deplete the Ozone Layer, as amended at the Fourth Meeting of the Parties to the Montreal Protocol in Copenhagen in 1992.

                Critical use means a circumstance in which the following two conditions are satisfied:
              (1) There are no technically and economically feasible alternatives or substitutes for methyl bromide available that are acceptable from the standpoint of environment and health and are suitable to the crops and circumstances involved, and

              (2) The lack of availability of methyl bromide for a particular use would result in significant market disruption.

                Critical use allowance (CUA) means the privilege granted by this subpart to produce or import one (1) kilogram of methyl bromide for an approved critical use during the specified control period. A person's critical use allowances are the total of the allowances obtained under § 82.8(c) as may be modified under § 82.12 (transfer of allowances).

                Critical use allowance for pre-plant uses means the privilege granted by this subpart to produce or import one (1) kilogram of methyl bromide solely for an approved critical use in pre-plant categories specified in Appendix L to this subpart during the specified control period. A person's critical use allowances for pre-plant uses are the total of the allowances obtained under § 82.8(c) as may be modified under § 82.12 (transfer of allowances).

                Critical use allowance for post-harvest uses means the privilege granted by this subpart to produce or import one (1) kilogram of methyl bromide solely for an approved critical use in post-harvest categories specified in appendix L to this subpart during the specified control period. A person's critical use allowances for post-harvest uses are the total of the allowances obtained under § 82.8(c) as may be modified under § 82.12 (transfer of allowances).

                Critical use allowance (CUA) holder means an entity to which EPA allocates a quantity of critical use allowances as reflected in § 82.8(c) or who receives a quantity of critical use allowances through a transfer under § 82.12.

                Critical use methyl bromide means the class I, Group VI controlled substance produced or imported through expending a critical use allowance or that portion of inventory produced or imported prior to the January 1, 2005 phaseout date that is sold only for approved critical uses.

                Destruction means the expiration of a controlled substance to the destruction and removal efficiency actually achieved, unless considered completely destroyed as defined in this section. Such destruction might result in a commercially useful end product, but such usefulness would be secondary to the act of destruction. Destruction must be achieved using one of the following controlled processes approved by the Parties to the Protocol:
              (1) Liquid injection incineration;
              (2) Reactor cracking;
              (3) Gaseous/fume oxidation;
              (4) Rotary kiln incineration;
              (5) Cement kiln;
              (6) Radio frequency plasma;
              (7) Municipal waste incinerators (only for the destruction of foams);
              (8) Nitrogen plasma arc;
              (9) Portable plasma arc;
              (10) Argon plasma arc;
              (11) Chemical reaction with hydrogen and carbon dioxide;
              (12) Inductively coupled radio frequency plasma;
              (13) Microwave plasma;
              (14) Porous thermal reactor;
              (15) Gas phase catalytic de-halogenation;
              (16) Superheated steam reactor; or
              (17) Thermal reaction with methane.

                Distributor of methyl bromide means the person directly selling a class I, Group VI controlled substance to an applicator.

                Essential Metered Dose Inhaler (Essential MDI) means metered dose inhalers for the treatment of asthma and chronic obstructive pulmonary disease, approved by the Food and Drug Administration or by another Party's analogous health authority before December 31, 2000, and considered to be essential by the Party where the MDI product will eventually be sold. In addition, if the MDI product is to be sold in the U.S., the active moiety contained in the MDI must be listed as essential at 21 CFR 2.125(e).

                Essential-Use Allowances means the privileges granted by § 82.4(n) to produce class I substances, as determined by allocation decisions made by the Parties to the Montreal Protocol and in accordance with the restrictions delineated in the Clean Air Act Amendments of 1990.

                Essential-Use Chlorofluorocarbons (Essential-use CFCs) are the CFCs (CFC-11, CFC-12, or CFC-114) produced under the authority of essential-use allowances and not the allowances themselves. Essential-use CFCs include CFCs imported or produced by U.S. entities under the authority of essential-use allowances for use in essential metered dose inhalers, as well as CFCs imported or produced by non-U.S. entities under the authority of privileges granted by the Parties and the national authority of another country for use in essential metered dose inhalers.

                Essential-Uses means those uses of controlled substances designated by the Parties to the Protocol to be necessary for the health and safety of, or critical for the functioning of, society; and for which there are no available technically and economically feasible alternatives or substitutes that are acceptable from the standpoint of environment and health. Beginning January 1, 2000 (January 1, 2002 for methyl chloroform) the essential use designations for class I substances must be made in accordance with the provisions of the Clean Air Act Amendments of 1990.

                Export means the transport of virgin or used controlled substances from inside the United States or its territories to persons outside the United States or its territories, excluding United States military bases and ships for on-board use.

                Export production allowances means the privileges granted by § 82.18(b) to produce HCFC-141b for export following the phaseout of HCFC-141b on January 1, 2003.

                Exporter means the person who contracts to sell controlled substances for export or transfers controlled substances to his affiliate in another country.

                Facility means any process equipment (e.g., reactor, distillation column) used to convert raw materials or feedstock chemicals into controlled substances or consume controlled substances in the production of other chemicals.

                Foreign state means an entity which is recognized as a sovereign nation or country other than the United States of America. 1

                  1 Taiwan is not considered a foreign state.

                Foreign state complying with, when referring to a foreign state not Party to the 1987 Montreal Protocol, the London Amendment, the Copenhagen Amendment, or the Beijing Amendment, means any foreign state that has been determined to be complying with the 1987 Montreal Protocol or the specified amendments by a Meeting of the Parties.

                Foreign state not Party to or Non-Party means a foreign state that has not deposited instruments of ratification, acceptance, or other form of approval with the Directorate of the United Nations Secretariat, evidencing the foreign state's ratification of the provisions of the 1987 Montreal Protocol, the London Amendment, the Copenhagen Amendment, or the Beijing Amendment, as specified.

                Halon bank means a facility run by a national government or privately run and authorized by a national government that collects and stores previously-recovered halon for reuse at a later date.granted to a HCFC-141b formulator; an agency, department, or instrumentality of the U.S.; or a non-governmental space vehicle entity by this subpart to order production of or to import HCFC-141b, as determined in accordance with § 82.16(h).

                Heel means the amount of a controlled substance that remains in a container after it is discharged or off-loaded (that is no more than ten percent of the volume of the container).

                Hydrostatic testing means checking a gas pressure vessel for leaks or flaws. The vessel is filled with a nearly incompressible liquid—usually water or oil—and examined for leaks or permanent changes in shape.

                Import means to land on, bring into, or introduce into, or attempt to land on, bring into, or introduce into any place subject to the jurisdiction of the United States whether or not such landing, bringing, or introduction constitutes an importation within the meaning of the customs laws of the United States, with the following exemptions:
              (1) Off-loading used or excess controlled substances or controlled products from a ship during servicing,
              (2) Bringing controlled substances into the U.S. from Mexico where the controlled substance had been admitted into Mexico in bond and was of U.S. origin, and

              (3) Bringing a controlled product into the U.S. when transported in a consignment of personal or household effects or in a similar non-commercial situation normally exempted from U.S. Customs attention.

                Importer means any person who imports a controlled substance or a controlled product into the United States. “Importer” includes the person primarily liable for the payment of any duties on the merchandise or an authorized agent acting on his or her behalf. The term also includes, as appropriate:
              (1) The consignee;
              (2) The importer of record;
              (3) The actual owner; or
              (4) The transferee, if the right to draw merchandise in a bonded warehouse has been transferred.

                Individual shipment means the kilograms of a controlled substance for which a person may make one (1) U.S. Customs entry, as identified in the non-objection letter from the Administrator under §§ 82.13(g) and 82.24(c).

                Interstate commerce means the distribution or transportation of any controlled substance between one state, territory, possession or the District of Columbia, and another state, territory, possession or the District of Columbia, or the sale, use or manufacture of any controlled substance in more than one state, territory, possession or District of Columbia. The entry points for which a controlled substance is introduced into interstate commerce are the release of a controlled substance from the facility in which the controlled substance was manufactured, the entry into a warehouse from which the domestic manufacturer releases the controlled substance for sale or distribution, and at the site of United States customs clearance.

                Limiting critical condition means the regulatory, technical, and economic circumstances listed in Column C of Appendix L to this subpart that establish conditions of critical use for methyl bromide in a fumigation area.

                Location of use means the geographic area (such as a state, region, or the entire United States) covered by an application for a critical use exemption in which the limiting critical condition may occur.

                London Amendments means the Montreal Protocol, as amended at the Second Meeting of the Parties to the Montreal Protocol in London in 1990.

                Manufactured, for an appliance, means the date upon which the appliance's refrigerant circuit is complete, the appliance can function, the appliance holds a full refrigerant charge, and the appliance is ready for use for its intended purposes; and for a pre-charged appliance component, means the date that such component is completely produced by the original equipment manufacture, charged with refrigerant, and is ready for initial sale or distribution in interstate commerce.

                Montreal Anniversary amendments means the Montreal Protocol, as amended at the Ninth Meeting of the Parties to the Montreal Protocol in Montreal in 1997.

                Montreal Protocol means the Montreal Protocol on Substances that Deplete the Ozone Layer, a protocol to the Vienna Convention for the Protection of the Ozone Layer, including adjustments adopted by the Parties thereto and amendments that have entered into force.

                1987 Montreal Protocol means the Montreal Protocol, as originally adopted by the Parties in 1987.

                Non-Objection notice means the privilege granted by the Administrator to import a specific individual shipment of a controlled substance in accordance with §§ 82.13(g)(2), (3), and (5) and 82.24(c)(3), (4), and (6).

                Party means a foreign state that has deposited instruments of ratification, acceptance, or other form of approval with the Directorate of the United Nations Secretariat, evidencing the foreign state's ratification of the provisions of the 1987 Montreal Protocol, the London Amendment, the Copenhagen Amendment, or the Beijing Amendment, as specified. (For ratification status, see: http://ozone.unep.org/new_site/en/treaty_ratification_status.php.)

                Person means any individual or legal entity, including an individual, corporation, partnership, association, state, municipality, political subdivision of a state, Indian tribe; any agency, department, or instrumentality of the United States; and any officer, agent, or employee thereof.

                Plant means one or more facilities at the same location owned by or under common control of the same person.

                Preshipment applications, with respect to class I, Group VI controlled substances, are those non-quarantine applications applied within 21 days prior to export to meet the official requirements of the importing country or existing official requirements of the exporting country. Official requirements are those which are performed by, or authorized by, a national plant, animal, environmental, health or stored product authority.

                Production means the manufacture of a controlled substance from any raw material or feedstock chemical, but does not include:
              (1) The manufacture of a controlled substance that is subsequently transformed;
              (2) The reuse or recycling of a controlled substance;
              (3) Amounts that are destroyed by approved destruction technologies; or
              (4) Amounts that are spilled or vented unintentionally.

                Production allowances means the privileges granted by this subpart to produce controlled substances; however, production allowances may be used to produce controlled substances only in conjunction with consumption allowances. A person's production allowances for class I substances are the total of the allowances obtained under §§ 82.5, 82.7 and 82.9, and as may be modified under § 82.12 (transfer of allowances). A person's production allowances for class II controlled substances are the total of the allowances obtained under § 82.17 and as may be modified under §§ 82.18 and 82.23.

                Quarantine applications, with respect to class I, Group VI controlled substances, are treatments to prevent the introduction, establishment and/or spread of quarantine pests (including diseases), or to ensure their official control, where: (1) Official control is that performed by, or authorized by, a national (including state, tribal or local) plant, animal or environmental protection or health authority; (2) quarantine pests are pests of potential importance to the areas endangered thereby and not yet present there, or present but not widely distributed and being officially controlled. This definition excludes treatments of commodities not entering or leaving the United States or any State (or political subdivision thereof).

                Source facility means the location at which a used controlled substance was recovered from a piece of equipment, including the name of the company responsible for, or owning the piece of equipment, a contact person at the location, the mailing address for that specific location, and a phone number and a fax number for the contact person at the location.

                Space vehicle means a man-made device, either manned or unmanned, designed for operation beyond earth's atmosphere. This definition includes integral equipment such as models, mock-ups, prototypes, molds, jigs, tooling, hardware jackets, and test coupons. Also included is auxiliary equipment associated with tests, transport, and storage, which through contamination can compromise the space vehicle performance.

                Third party applicator means an applicator of critical use methyl bromide who fumigates or treats commodities, structures, crops, or land on behalf of an approved critical user.

                Transform means to use and entirely consume (except for trace quantities) a controlled substance in the manufacture of other chemicals for commercial purposes.

                Transhipment means the continuous shipment of a controlled substance, from a foreign state of origin through the United States or its territories, to a second foreign state of final destination, as long as the shipment does not enter into United States jurisdiction. A transhipment, as it moves through the United States or its territories, cannot be re-packaged, sorted or otherwise changed in condition.

                Unexpended Article 5 allowances means Article 5 allowances that have not been used. At any time in any control period a person's unexpended Article 5 allowances are the total of the level of Article 5 allowances the person has authorization under this subpart to hold at that time for that control period, minus the level of controlled substances that the person has produced in that control period until that time.

                Unexpended consumption allowances means consumption allowances that have not been used. At any time in any control period a person's unexpended consumption allowances are the total of the level of consumption allowances the person has authorization under this subpart to hold at that time for that control period, minus the level of controlled substances that the person has produced or imported (not including transhipments and used controlled substances) in that control period until that time.

                Unexpended critical use allowances (CUA) means critical use allowances against which methyl bromide has not yet been produced or imported. At any time in any control period a person's unexpended critical use allowances are the total of the level of critical use allowances the person holds at that time for that control period, minus the level of class I, Group VI controlled substances that the person has produced or has imported solely for approved critical uses in that control period.

                Unexpended destruction and transformation credits means destruction and transformation credits that have not been used. At any time in any control period a person's unexpended destruction and transformation credits are the total of the level of destruction and transformation credits the person has authorization under this subpart to hold at that time for that control period, minus the level of controlled substances that the person has produced or imported (not including transhipments and used controlled substances) in that control period until that time.

                Unexpended essential-use allowances means essential-use allowances that have not been used. At any time in any control period a person's unexpended essential-use allowances are the total of the level of essential-use allowances the person has authorization under this subpart to hold at that time for that control period, minus the level of controlled substances that the person has imported or had produced in that control period until that time.

                Unexpended export production allowances means export production allowances that have not been used. A person's unexpended export production allowances are the total of the quantity of the export production allowances the person has authorization under § 82.18(h) to hold for that control period, minus the quantity of class II controlled substances that the person has produced at that time during the same control period.

                Unexpended production allowances means production allowances that have not been used. At any time in any control period a person's unexpended production allowances are the total of the level of production allowances he has authorization under this subpart to hold at that time for that control period, minus the level of controlled substances that the person has produced in that control period until that time.

                Use of a class II controlled substance, for the purposes of § 82.15 of this subpart, includes but is not limited to, use in a manufacturing process, use in manufacturing a product, intermediate uses such as formulation or packaging for other subsequent uses, and use in maintaining, servicing, or repairing an appliance or other piece of equipment. Use of a class II controlled substance also includes use of that controlled substance when it is removed from a container used for the transportation or storage of the substance but does not include use of a manufactured product containing a controlled substance.

                Used controlled substances means controlled substances that have been recovered from their intended use systems (may include controlled substances that have been, or may be subsequently, recycled or reclaimed).
              [60 FR 24986, May 10, 1995]

                Editorial Note:
                For Federal Register citations affecting § 82.3, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.

              § 82.4
              Prohibitions for class I controlled substances.

              (a)(1) Prior to January 1, 1996, for all Groups of class I controlled substances, and prior to January 1, 2005, for class I, Group VI controlled substances, no person may produce, at any time in any control period, (except that are transformed or destroyed domestically or by a person of another Party) in excess of the amount of unexpended production allowances or unexpended Article 5 allowances for that substance held by that person under the authority of this subpart at that time for that control period. Every kilogram of excess production constitutes a separate violation of this subpart.
              (2) Effective January 1, 2003, production of class I, Group VI controlled substances is not subject to the prohibitions in paragraph (a)(1) of this section if it is solely for quarantine or preshipment applications as defined in this subpart.
              (b)(1) Effective January 1, 1996, for any Class I, Group I, Group II, Group III, Group IV, Group V or Group VII controlled substances, and effective January 1, 2005 for any Class I, Group VI controlled substances, and effective August 18, 2003, for any Class I, Group VIII controlled substance, no person may produce, at any time in any control period (except that are transformed or destroyed domestically or by a person of another Party) in excess of the amount of conferred unexpended essential use allowances or exemptions, or in excess of the amount of unexpended critical use allowances, or in excess of the amount of unexpended Article 5 allowances as allocated under § 82.9 and § 82.11, as may be modified under § 82.12 (transfer of allowances) for that substance held by that person under the authority of this subpart at that time for that control period. Every kilogram of excess production constitutes a separate violation of this subpart.
              (2) Effective January 1, 2005, production of class I, Group VI controlled substances is not subject to the prohibitions in paragraph (b)(1) of this section if it is solely for quarantine or preshipment applications as defined in this subpart, or it is solely for export to satisfy critical uses authorized by the Parties for that control period.
              (c)(1) Prior to January 1, 1996, for all Groups of class I controlled substances, and prior to January 1, 2005, for class I, Group VI controlled substances, no person may produce or (except for transhipments, heels or used controlled substances) import, at any time in any control period, (except for controlled substances that are transformed or destroyed) in excess of the amount of unexpended consumption allowances held by that person under the authority of this subpart at that time for that control period. Every kilogram of excess production or importation (other than transhipments, heels or used controlled substances) constitutes a separate violation of this subpart.
              (2) Effective January 1, 2003, production and import of class I, Group VI controlled substances is not subject to the prohibitions in paragraph (c)(1) of this section if it is solely for quarantine or preshipment applications as defined in this subpart.
              (d) Effective January 1, 1996, for any class I, Group I, Group II, Group III, Group IV, Group V, or Group VII controlled substances, and effective January 1, 2005, for any class I, Group VI controlled substance, and effective August 18, 2003, for any class I, Group VIII controlled substance, no person may import (except for transhipments or heels), at any time in any control period, (except for controlled substances that are transformed or destroyed) in excess of the amount of unexpended essential use allowances or exemptions, or in excess of unexpended critical use allowances, for that substance held by that person under the authority of this subpart at that time for that control period. Every kilogram of excess importation (other than transhipments or heels) constitutes a separate violation of this subpart. It is a violation of this subpart to obtain unused class I controlled substances under the general laboratory exemption in excess of actual need and to recycle that material for sale into other markets.

              (e) Effective January 1, 1996, no person may place an order by conferring essential-use allowances for the production of the class I controlled substance, at any time in any control period, in excess of the amount of unexpended essential-use allowances, held by that person under the authority of this subpart at that time for that control period. Effective January 1, 1996, no person may import a class I controlled substance with essential-use allowances, at any time in any control period, in excess of the amount of unexpended essential-use allowances, held by that person under the authority of this subpart at that time for that control period. No person may import or place an order for the production of a class I controlled substance with essential-use allowances, at any time in any control period, other than for the class I controlled substance(s) for which they received essential-use allowances under paragraph (u) of this section. Every kilogram of excess production ordered in excess of the unexpended essential-use allowances conferred to the producer constitutes a separate violation of this subpart. Every kilogram of excess import in excess of the unexpended essential-use allowances held at that time constitutes a separate violation of this subpart.
              (f) [Reserved]
              (g) Effective January 1, 1996, the U.S. total production and importation of a class I controlled substance (except Group VI) as allocated under this section for essential-use allowances and exemptions, and as obtained under § 82.9 for destruction and transformation credits, may not, at any time, in any control period until January 1, 2000, exceed the percent limitation of baseline production in appendix H of this subpart, as set forth in the Clean Air Act Amendments of 1990. No person shall cause or contribute to the U.S. exceedance of the national limit for that control period.
              (h) No person may sell in the U.S. any Class I controlled substance produced explicitly for export to an Article 5 country.
              (i) Effective January 1, 1995, no person may import, at any time in any control period, a heel of any class I controlled substance that is greater than 10 percent of the volume of the container in excess of the amount of unexpended consumption allowances, or unexpended destruction and transformation credits held by that person under the authority of this subpart at that time for that control period. Every kilogram of excess importation constitutes a separate violation of this subpart.
              (j)(1) Effective January 1, 1995, no person may import, at any time in any control period, a used class I controlled substance, except for Group II used controlled substances shipped in aircraft halon bottles for hydrostatic testing, without having received a non-objection notice from the Administrator in accordance with § 82.13(g)(2) and (3). A person who receives a non-objection notice for the import of an individual shipment of used controlled substances may not transfer or confer the right to import and may not import any more than the exact quantity, in kilograms, of the used controlled substance cited in the non-objection notice. Every kilogram of importation of used controlled substance in excess of the quantity cited in the non-objection notice issued by the Administrator in accordance with § 82.13(g)(2) and (3) constitutes a separate violation.
              (2) No person may import for purposes of destruction, at any time in any control period, a class I controlled substance for which EPA has apportioned baseline production and consumption allowances, without having submitted a certification of intent to import for destruction to the Administrator and received a non-objection notice in accordance with § 82.13(g)(5). A person issued a non-objection notice for the import of an individual shipment of class I controlled substances for destruction may not transfer or confer the right to import and may not import any more than the exact quantity (in kilograms) of the class I controlled substance stated in the non-objection notice. For imports intended to be destroyed in the United States, a person issued a non-objection notice must destroy the controlled substance within one year of the date stamped on the non-objection letter, may not transfer or confer the right to import, and may not import any more than the exact quantity (in kilograms) of the class I controlled substance stated in the non-objection notice. Every kilogram of import of class I controlled substance in excess of the quantity stated in the non-objection notice issued by the Administrator in accordance with § 82.13(g)(5) constitutes a separate violation of this subpart.

              (k)(1) Prior to January 1, 1996, for all Groups of class I controlled substances, and prior to January 1, 2005, for class I, Group VI controlled substances, a person may not use production allowances to produce a quantity of a class I controlled substance unless that person holds under the authority of this subpart at the same time consumption allowances sufficient to cover that quantity of class I controlled substances nor may a person use consumption allowances to produce a quantity of class I controlled substances unless the person holds under authority of this subpart at the same time production allowances sufficient to cover that quantity of class I controlled substances. However, prior to January 1, 1996, for all class I controlled substances, and prior to January 1, 2005, for class I, Group VI controlled substances, only consumption allowances are required to import, with the exception of transhipments, heels, and used controlled substances. Effective January 1, 1996, for all Groups of class I controlled substances, except Group VI, only essential use allowances or exemptions are required to import class I controlled substances, with the exception of transhipments, heels, used controlled substances, and essential use CFCs.
              (2) Notwithstanding paragraph (k)(1) of this section, effective January 1, 2003, for class I, Group VI controlled substances, consumption allowances are not required to import quantities solely for quarantine or preshipment applications as defined in this subpart.
              (l) Every kilogram of a controlled substance, and every controlled product, imported or exported in contravention of this subpart constitutes a separate violation of this subpart. No person may:

              (1) Import or export any quantity of a controlled substance listed in class I, Group I or Group II, in appendix A to this subpart from or to any foreign state not Party to the 1987 Montreal Protocol unless that foreign state is complying with the 1987 Montreal Protocol (For ratification status, see: http://ozone.unep.org/new_site/en/treaty_ratification_status.php);

              (2) Import or export any quantity of a controlled substance listed in class I, Group III, Group IV, or Group V, in appendix A to this subpart, from or to any foreign state not Party to the London Amendment, unless that foreign state is complying with the London Amendment (For ratification status, see: http://ozone.unep.org/new_site/en/treaty_ratification_status.php); or

              (3) Import a controlled product, as noted in appendix D, annex 1 to this subpart, from any foreign state not Party to the 1987 Montreal Protocol, unless that foreign state is complying with the 1987 Montreal Protocol (For ratification status, see: http://ozone.unep.org/new_site/en/treaty_ratification_status.php).

              (4) Import or export any quantity of a controlled substance listed in class I, Group VII, in appendix A to this subpart, from or to any foreign state not Party to the Copenhagen Amendment, unless that foreign state is complying with the Copenhagen Amendment (For ratification status, see: http://ozone.unep.org/new_site/en/treaty_ratification_status.php).

              (5) Import or export any quantity of a controlled substance listed in class I, Group VI, in appendix A to this subpart, from or to any foreign state not Party to the Copenhagen Amendment unless that foreign state is complying with the Copenhagen Amendment (For ratification status, see: http://ozone.unep.org/new_site/en/treaty_ratification_status.php).

              (6) Import or export any quantity of a controlled substance listed in class I, Group VIII, in appendix A to this subpart, from or to any foreign state not Party to the Beijing Amendment, unless that foreign state is complying with the Beijing Amendment (For ratification status, see: http://ozone.unep.org/new_site/en/treaty_ratification_status.php).

              (m) Effective October 5, 1998, no person may export a controlled product to a Party listed in appendix J of this subpart in any control period after the control period in which EPA publishes a notice in the Federal Register listing that Party in appendix J of this subpart. EPA will publish a notice in the Federal Register that lists a Party in appendix J if the Party formally presents to the U.S. a government document through its embassy in the United States stating that it has established a ban on the import of controlled products and a ban on the manufacture of those same controlled products.

              (n) No person may use class I controlled substances produced or imported under the essential use exemption for any purpose other than those set forth in this paragraph. Effective January 1, 1996, essential-use allowances are apportioned to a person under § 82.8(a) and (b) for the exempted production or importation of specified class I controlled substances solely for the purposes listed in paragraphs (n)(1)(i) through (iii) of this section.
              (1) Essential-uses for the production or importation of controlled substances as agreed to by the Parties to the Protocol and subject to the periodic revision of the Parties are:
              (i) Metered dose inhalers (MDIs) for the treatment of asthma and chronic obstructive pulmonary disease that were approved by the Food and Drug Administration before December 31, 2000.
              (ii) Space Shuttle—solvents.
              (iii) Essential laboratory and analytical uses (defined in appendix G of this subpart).

              (2) Any person acquiring unused class I controlled substances produced or imported under the authority of essential-use allowances or the essential-use exemption granted in § 82.8 to this subpart for use in anything other than an essential-use (i.e., for uses other than those specifically listed in paragraph (n)(1) of this section) is in violation of this subpart. Each kilogram of unused class I controlled substance produced or imported under the authority of essential-use allowances or the essential-use exemption and used for a non-essential use is a separate violation of this subpart. Any person selling unused class I controlled substances produced or imported under authority of essential-use allowances or the essential-use exemption for uses other than an essential-use is in violation of this subpart. Each kilogram of unused class I controlled substances produced or imported under authority of essential-use allowances or the essential-use exemption and sold for a use other than an essential-use is a separate violation of this subpart. It is a violation of this subpart to obtain unused class I controlled substances under the exemption for laboratory and analytical uses in excess of actual need and to recycle that material for sale into other markets.
              (o) [Reserved]
              (p) Critical Use Exemption: With respect to class I, Group VI substances (methyl bromide):
              (1) No person shall sell critical use methyl bromide without first receiving a certification from the purchaser that the quantity purchased will be sold or used solely for an approved critical use. Every kilogram of critical use methyl bromide sold without first obtaining such certification constitutes a separate violation of this subpart.
              (2) For approved critical users, each action associated with each 200 kilograms of critical use methyl bromide for the following subparagraphs constitutes a separate violation of this subpart.
              (i) No person shall take possession of quantities of critical use methyl bromide or acquire fumigation services using quantities of critical use methyl bromide without first completing the appropriate certification in accordance with the requirements in § 82.13.
              (ii) No person who purchases critical use methyl bromide may use such quantities for a use other than the specified critical use listed in column A and the specified location of use in column B of appendix L to this subpart.
              (iii) No person who purchases critical use methyl bromide produced or imported with expended critical use allowances for pre-plant uses, may use such quantities for other than the pre-plant uses as specified in column A and column B of appendix L to this subpart.
              (iv) No person who purchases critical use methyl bromide produced or imported with expended critical use allowances for post-harvest uses, may use such quantities for other than the post-harvest uses as specified in column A and column B of appendix L to this subpart.

              (v) No person who uses critical use methyl bromide on a specific field or structure may concurrently or subsequently use non-critical use methyl bromide on the same field or structure for the same use (as defined in column A and column B of appendix L) in the same control period, excepting methyl bromide used under the quarantine and pre-shipment exemption.
              (vi) No person who purchases critical use methyl bromide during the control period shall use that methyl bromide on a field or structure for which that person has used non-critical use methyl bromide for the same use (as defined in columns A and B of appendix L) in the same control period, excepting methyl bromide used under the quarantine and pre-shipment exemption, unless, subsequent to that person's use of the non-critical use methyl bromide, that person becomes subject to a prohibition on the use of methyl bromide alternatives due to the reaching of a local township limit described in appendix L of this part, or becomes an approved critical user as a result of rulemaking.
              (q) Emergency use exemption. [Reserved]
              (r) No person may sell or use methyl bromide produced or imported under the quarantine and preshipment exemption for any purpose other than for quarantine applications or preshipment applications as defined in § 82.3. Each kilogram of methyl bromide produced or imported under the authority of the quarantine and preshipment exemption and sold or used for a use other than quarantine or preshipment is a separate violation of this subpart.
              (s) No person may sell or distribute, or offer for sale or distribution, any class I substance that they know, or have reason to know, was imported in violation of this section, except for such actions needed to re-export the controlled substance. Every kilogram of a controlled substance imported in contravention of this paragraph (s) that is sold or distributed, or offered for sale or distribution, constitutes a separate violation of this subpart.
              [60 FR 24986, May 10, 1995]

                Editorial Note:
                For Federal Register citations affecting § 82.4, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.

              § 82.5
              Apportionment of baseline production allowances for class I controlled substances.
              Persons who produced controlled substances in Group I or Group II in 1986 are apportioned baseline production allowances as set forth in paragraphs (a) and (b) of this section. Persons who produced controlled substances in Group III, IV, or V in 1989 are apportioned baseline production allowances as set forth in paragraphs (c), (d), and (e) of this section. Persons who produced controlled substances in Group VI and VII in 1991 are apportioned baseline allowances as set forth in paragraphs (f) and (g) of this section.

                    Controlled substance

                    Person

                    Allowances
                    (kg)

                  (a) For Group I controlled substances:

                  CFC-11
                  Allied-Signal, Inc
                  23,082,358

                  E.I. DuPont de Nemours & Co
                  33,830,000

                  Elf Atochem, N.A
                  21,821,500

                  CFC-12
                  Laroche Chemicals
                  12,856,364

                  Allied-Signal, Inc
                  35,699,776

                  E.I. DuPont de Nemours & Co
                  64,849,000

                  Elf Atochem, N.A
                  31,089,807

                  CFC-113
                  Laroche Chemicals
                  15,330,909

                  Allied-Signal, Inc
                  21,788,896

                  CFC-114
                  E.I. DuPont de Nemours & Co
                  58,553,000

                  Allied-Signal, Inc
                  1,488,569

                  CFC-115
                  E.I. DuPont de Nemours & Co
                  4,194,000

                  E.I. DuPont de Nemours & Co
                  4,176,000

                  (b) For Group II controlled substances:

                  Halon-1211
                  Great Lakes Chemical Corp
                  826,487

                  ICI Americas, Inc
                  2,135,484

                  Halon-1301
                  E.I. DuPont de Nemours & Co
                  3,220,000

                  Great Lakes Chemical Corp
                  1,766,850

                  Halon-2402

                  (c) For Group III controlled substances:

                  CFC-13
                  Allied-Signal, Inc
                  127,125

                  E.I. DuPont de Nemours & Co
                  187,831

                  Elf Atochem, N.A
                  3,992

                  Great Lakes Chemical Corp
                  56,381

                  Laroche Chemicals
                  29,025

                  CFC-111

                  CFC-112

                  CFC-211
                  E.I. DuPont de Nemours & Co
                  11

                  CFC-212
                  E.I. DuPont de Nemours & Co
                  11

                  CFC-213
                  E.I. DuPont de Nemours & Co
                  11

                  CFC-214
                  E.I. DuPont de Nemours & Co
                  11

                  CFC-215
                  E.I. DuPont de Nemours & Co
                  511

                  Halocarbon Products Corp
                  1,270

                  CFC-216
                  E.I. DuPont de Nemours & Co
                  170,574

                  CFC-217
                  E.I. DuPont de Nemours & Co
                  511

                  (d) For Group IV controlled substances:

                  CCl4

                  Akzo Chemicals, Inc
                  7,873,615

                  Degussa Corporation
                  26,546

                  Dow Chemical Company, USA
                  18,987,747

                  E.I. DuPont de Nemours & Co
                  9,099

                  Hanlin Chemicals-WV, Inc
                  219,616

                  ICI Americas, Inc
                  853,714

                  Occidental Chemical Corp
                  1,059,358

                  Vulcan Chemicals
                  21,931,987

                  (e) For Group V controlled substances:

                  Methyl Chloroform
                  Dow Chemical Company, USA
                  168,030,117

                  E.I. DuPont de Nemours & Co
                  2

                  PPG Industries, Inc
                  57,450,719

                  Vulcan Chemicals
                  89,689,064

                  (f) For Group VI controlled substances:

                  Methyl Bromide
                  Great Lakes Chemical Corporation
                  19,945,788

                  Ethyl Corporation
                  8,233,894

                  (g) For Group VII controlled substances:

                  HBFC 22B1-1
                  Great Lakes Chemical Corporation
                  46,211

              [60 FR 24986, May 10, 1995, as amended at 68 FR 2848, Jan. 21, 2003]

              § 82.6
              Apportionment of baseline consumption allowances for class I controlled substances.
              Persons who produced, imported, or produced and imported controlled substances in Group I or Group II in 1986 are apportioned chemical-specific baseline consumption allowances as set forth in paragraphs (a) and (b) of this section. Persons who produced, imported, or produced and imported controlled substances in Group III, Group IV, or Group V in 1989 are apportioned chemical-specific baseline consumption allowances as set forth in paragraphs (c), (d) and (e) of this section. Persons who produced, imported, or produced and imported controlled substances in Group VI or VII in 1991 are apportioned chemical specific baseline consumption allowances as set forth in paragraphs (f) and (g) of this section.

                    Controlled substance

                    Person

                    Allowances
                     (kg)

                  (a) For Group I controlled substances:

                  CFC-11
                  Allied-Signal, Inc
                  22,683,833

                  E.I. DuPont de Nemours & Co
                  32,054,283

                  Elf Atochem, N.A
                  21,740,194

                  Hoechst Celanese Corporation
                  185,396

                  ICI Americas, Inc
                  1,673,436

                  Kali-Chemie Corporation
                  82,500

                  Laroche Chemicals
                  12,695,726

                  National Refrigerants, Inc
                  693,707

                  Refricentro, Inc
                  160,697

                  Sumitomo Corporation of America
                  5,800

                  CFC-12
                  Allied-Signal, Inc
                  35,236,397

                  E.I. DuPont de Nemours & Co
                  61,098,726

                  Elf Atochem, N.A
                  32,403,869

                  Hoechst Celanese Corporation
                  138,865

                  ICI Americas, Inc
                  1,264,980

                  Kali-Chemie Corporation
                  355,440

                  Laroche Chemicals
                  15,281,553

                  National Refrigerants, Inc
                  2,375,384

                  Refricentro, Inc
                  242,526

                  CFC-113
                  Allied-Signal, Inc
                  18,241,928

                  E.I. DuPont de Nemours & Co
                  49,602,858

                  Elf Atochem, N.A
                  244,908

                  Holchem
                  265,199

                  ICI Americas, Inc
                  2,399,700

                  Refricentro, Inc
                  37,385

                  Sumitomo Corp. of America
                  280,163

                  CFC-114
                  Allied-Signal, Inc
                  1,429,582

                  E.I. DuPont de Nemours & Co
                  3,686,103

                  Elf Atochem, N.A
                  22,880

                  ICI Americas, Inc
                  32,930

                  CFC-115
                  E.I. DuPont de Nemours & Co
                  2,764,109

                  Elf Atochem, N.A
                  633,007

                  Hoechst Celanese Corporation
                  8,893

                  ICI Americas, Inc
                  2,366,351

                  Laroche Chemicals
                  135,520

                  Refricentro, Inc
                  27,337

                  (b) For Group II controlled substances:

                  Halon-1211
                  Elf Atochem, N.A
                  411,292

                  Great Lakes Chemical Corp
                  772,775

                  ICI Americas, Inc
                  2,116,641

                  Kali-Chemie Corporation
                  330,000

                  Halon-1301
                  E.I. DuPont de Nemours & Co
                  2,772,917

                  Elf Atochem, N.A
                  89,255

                  Great Lakes Chemical Corp
                  1,744,132

                  Kali-Chemie Corporation
                  54,380

                  Halon-2402
                  Ausimont
                  34,400

                  Great Lakes Chemical Corp
                  15,900

                  (c) For Group III controlled substances:

                  CFC-13
                  Allied-Signal, Inc
                  127,124

                  E.I. DuPont de Nemours & Co
                  158,508

                  Elf Atochem, N.A
                  3,992

                  Great Lakes Chemical Corp
                  56,239

                  ICI Americas, Inc
                  5,855

                  Laroche Chemicals
                  29,025

                  National Refrigerants, Inc
                  16,665

                  CFC-111

                  CFC-112
                  Sumitomo Corp of America
                  5,912

                  TG (USA) Corporation
                  9,253

                  CFC-211
                  E.I. DuPont de Nemours & Co
                  11

                  CFC-212
                  E.I. DuPont de Nemours & Co
                  11

                  CFC-213
                  E.I. DuPont de Nemours & Co
                  11

                  CFC-214
                  E.I. DuPont de Nemours & Co
                  11

                  CFC-215
                  E.I. DuPont de Nemours & Co
                  511

                  Halocarbon Products Corp
                  1,270

                  CFC-216
                  E.I. DuPont de Nemours & Co
                  170,574

                  CFC-217
                  E.I. DuPont de Nemours & Co
                  511

                  (d) For Group IV controlled substances:

                  CCl4

                  Crescent Chemical Co
                  56

                  Degussa Corporation
                  12,466

                  Dow Chemical Company, USA
                  8,170,561

                  E.I. DuPont de Nemours & Co
                  26,537

                  Elf Atochem, N.A
                  41

                  Hanlin Chemicals-WV, Inc
                  103,133

                  Hoechst Celanese Corporation
                  3

                  ICC Chemical Corp
                  1,173,723

                  ICI Americas, Inc
                  855,466

                  Occidental Chemical Corp
                  497,478

                  Sumitomo Corporation of America
                  9

                  (e) For Group V controlled substances:

                  Methyl Chloroform
                  3V Chemical Corp
                  3,528

                  Actex, Inc
                  50,171

                  Atochem North America
                  74,355

                  Dow Chemical Company, USA
                  125,200,200

                  E.I. DuPont de Nemours & Co
                  2

                  IBM
                  2,026

                  ICI Americas, Inc
                  14,179,850

                  Laidlaw
                  420,207

                  PPG Industries
                  45,254,115

                  Sumitomo
                  1,954

                  TG (USA) Corporation
                  7,073

                  Unitor Ships Service, Inc
                  14,746

                  Vulcan Chemicals
                  70,765,072

                  (f) For Group VI controlled substances:

                  Methyl Bromide
                  Great Lakes Chemical Corporation
                  15,514,746

                  Ethyl Corporation
                  6,379,906

                  AmeriBrom, Inc
                  3,524,393

                  TriCal, Inc
                  109,225

                  (g) For Group VII controlled substances:

                  HBFC 22B1-1
                  Great Lakes Chemical Corporation
                  40,110

              [60 FR 24986, May 10, 1995, as amended at 68 FR 2848, Jan. 21, 2003]

              § 82.7
              Grant and phase reduction of baseline production and consumption allowances for class I controlled substances.
              For each control period specified in the following table, each person is granted the specified percentage of the baseline production and consumption allowances apportioned to him under §§ 82.5 and 82.6 of this subpart.

                  Control period
                  Class I substances in groups I and III,(In percent)

                  Class I substances in group II,(In percent)

                  Class I substances in group IV(In percent)

                  Class I substances in group V(In percent)

                  Class I substances in group VI(In percent)

                  Class I substances in group VII(In percent)

                  1994
                  25
                  0
                  50
                  50
                  100
                  100

                  1995
                  25
                  0
                  15
                  30
                  100
                  100

                  1996
                  0
                  0
                  0
                  0
                  100
                  0

                  1997
                  0
                  0
                  0
                  0
                  100
                  0

                  1998
                  0
                  0
                  0
                  0
                  100
                  0

                  1999
                  0
                  0
                  0
                  0
                  75
                  0

                  2000
                  0
                  0
                  0
                  0
                  75
                  0

                  2001

                  50

                  2002

                  50

                  2003

                  30

                  2004

                  30

                  2005

                  0

              [65 FR 70803, Nov. 28, 2000]

              § 82.8
              Grant of essential use allowances and critical use allowances.
              (a) Effective January 1, 1996, persons in the following list are allocated essential-use allowances or exemptions for quantities of a specific class I controlled substance for a specific essential-use (the Administrator reserves the right to revise the allocations based on future decisions of the Parties).

                Table I—Essential Use Allowances for Calendar Year 2010

                  (i) Metered Dose Inhalers (for oral inhalation) for Treatment of Asthma and Chronic Obstructive Pulmonary Disease
                  Company
                  Chemical
                  2010 Quantity(metric tons)

                  Armstrong
                  CFC-11 or CFC-12 or CFC-114.
                  30.0

              (b) A global exemption for class I controlled substances for essential laboratory and analytical uses shall be in effect through December 31, 2021, subject to the restrictions in appendix G of this subpart, and subject to the recordkeeping and reporting requirements at § 82.13(u) through (x). There is no amount specified for this exemption.
              (c) Effective January 1, 2005, critical use allowances are apportioned as set forth in paragraph (c)(1) of this section for the exempted production and import of class I, Group VI controlled substances specifically for those approved critical uses listed in appendix L to this subpart for the applicable control period. Every kilogram of production and import in excess of the total number and type of unexpended critical use allowances held for a particular type of use constitutes a separate violation of this subpart.
              (1) Allocated critical use allowances granted for specified control period.

                  Company
                  2016 Critical use allowances for pre-plant uses *(kilograms)

                  2016 Critical use allowances for post-harvest uses *(kilograms)

                  Great Lakes Chemical Corp. A Chemtura Company
                  84,222
                  1,179

                  Albemarle Corp.
                  34,634
                  485

                  ICL-IP America
                  19,140
                  268

                  TriCal, Inc.
                  596
                  8

                    Total

                    138,592

                    1,939

                * For production or import of Class I, Group VI controlled substance exclusively for the pre-plant or post-harvest uses specified in appendix L to this subpart.

              (2) [Reserved]
              [69 FR 77003, Dec. 23, 2004]

                Editorial Note:
                For Federal Register citations affecting § 82.8, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.

              § 82.9
              Availability of production allowances in addition to baseline production allowances for class I controlled substances.
              (a)—(b) [Reserved]

              (c) A company may increase or decrease its production allowances, including its Article 5 allowances, by trading with another Party to the Protocol according to the provision under this paragraph (c). A company may increase or decrease its essential-use allowances for CFCs for use in essential MDIs according to the provisions under this paragraph (c). A nation listed in appendix C to this subpart (Parties to the Montreal Protocol) must agree either to transfer to the person for the current control period some amount of production or import that the nation is permitted under the Montreal Protocol or to receive from the person for the current control period some amount of production or import that the person is permitted under this subpart. If the controlled substance is produced under the authority of production allowances and is to be sold in the United States or to another Party (not the Party from whom the allowances are received), the U.S. company must expend its consumption allowances allocated under §§ 82.6 and 82.7 in order to produce with the additional production allowances.
              (1) For trades from a Party, the person must obtain from the principal diplomatic representative in that nation's embassy in the United States a signed document stating that the appropriate authority within that nation has established or revised production limits or essential-use allowance limits for the nation to equal the lesser of the maximum production that the nation is allowed under the Protocol minus the amount transferred, the maximum production or essential-use allowances that are allowed under the nation's applicable domestic law minus the amount transferred, or the average of the nation's actual national production level for the three years prior to the transfer minus the production transferred. The person must submit to the Administrator a transfer request that includes a true copy of this document and that sets forth the following:
              (i) The identity and address of the person;
              (ii) The identity of the Party;
              (iii) The names and telephone numbers of contact persons for the person and for the Party;
              (iv) The chemical type, type of allowance being transferred, and the level of allowances being transferred;
              (v) The control period(s) to which the transfer applies; and
              (vi) For increased production intended for export to the Party from whom the allowances would be received, a signed statement of intent to export to the Party.
              (vii) In the case of transferring essential-use allowances, the transferor must include a signed document from the transferee identifying the CFC MDI products that will be produced using the essential-use allowances.
              (2) For trades to a Party, a person must submit a transfer request that sets forth the following:
              (i) The identity and address of the person;
              (ii) The identity of the Party;
              (iii) The names and telephone numbers of contact persons for the person and for the Party;
              (iv) The chemical type, type of allowance being transferred, and the level of allowances being transferred; and
              (v) The control period(s) to which the transfer applies.
              (3) After receiving a transfer request that meets the requirements of paragraph (c)(2) of this section, the Administrator may, at his discretion, consider the following factors in deciding whether to approve such a transfer:
              (i) Possible creation of economic hardship;
              (ii) Possible effects on trade;
              (iii) Potential environmental implications; and
              (iv) The total amount of unexpended production or essential-use allowances held by a U.S. entity.
              (v) In the case of transfer of essential-use allowances the Administrator may consider whether the CFCs will be used for production of essential MDIs.
              (4) The Administrator will issue the person a notice either granting or deducting production allowances, Article 5 allowances, or essential-use allowances, and specifying the control period to which the transfer applies, provided that the request meets the requirement of paragraph (c)(1) of this sections for trades from Parties and paragraph (c)(2) of this section for trades to Parties, unless the Administrator has decided to disapprove the trade under paragraph (c)(3) of this section. For a trade from a Party, the Administrator will issue a notice that revises the allowances held by the person to equal the unexpended production, Article 5, or essential-use allowances held by the person under this subpart plus the level of allowable production transferred from the Party. For a trade to a Party, the Administrator will issue a notice that revises the production limit for the person to equal the lesser of:
              (i) The unexpended production allowances, essential-use allowances, or Article 5 allowances held by the person under this subpart minus the amount transferred; or

              (ii) The unexpended production allowances, essential-use allowances, or Article 5 allowances held by the person under this subpart minus the amount by which the United States average annual production of the controlled substance being traded for the three years prior to the transfer is less than the total production allowable for that substance under this subpart minus the amount transferred. The change in allowances will be effective on the date that the notice is issued.
              (5) If after one person obtains approval for a trade of allowable production of a controlled substance to a Party, one or more other persons obtain approval for trades involving the same controlled substance and the same control period, the Administrator will issue notices revising the production limits for each of the other persons trading that controlled substance in that control period to equal the lesser of:
              (i) The unexpended production allowances or Article 5 allowances held by the person under this subpart minus the amount transferred; or
              (ii) The unexpended production allowances or Article 5 allowances held by the person under this subpart minus the amount by which the United States average annual production of the controlled substance being traded for the three years prior to the transfer is less than the total allowable production for that substance under this subpart multiplied by the amount transferred divided by the total amount transferred by all the other persons trading the same controlled substance in the same control period minus the amount transferred by that person.
              (iii) The Administrator will also issue a notice revising the production limit for each person who previously obtained approval of a trade of that substance in that control period to equal the unexpended production allowances or unexpended Article 5 allowances held by the person under this subpart plus the amount by which the United States average annual production of the controlled substance being traded for the three years prior to the transfer is less than the total allowable production under this subpart multiplied by the amount transferred by that person divided by the amount transferred by all of the persons who have traded that controlled substance in that control period. The change in production allowances or Article 5 allowances will be effective on the date that the notice is issued.
              (d) Effective January 1, 1996, there will be no trade in production or consumption allowances with other Parties to the Protocol for class I controlled substances, except for class I, Group VI, methyl bromide.
              (e)—(f) [Reserved]
              (g) International transfer of essential-use CFCs. (1) For trades of essential-use CFCs where the transferee or the transferor is a person in another nation (Party), the persons involved in the transfer must submit the information requested in § 82.12(d)(2) and (d)(3), along with a signed document from the principal diplomatic representative in the Party's embassy in the United States stating that the appropriate authority within that nation has approved the transfer of the essential-use CFCs.
              (2) If the transfer claim is complete, and EPA does not object to the transfer, then EPA will issue letters to the transferor and the transferee indicating that the transfer may proceed. EPA reserves the right to disallow a transfer if the transfer request is incomplete, or if it has reason to believe that the transferee plans to produce MDIs that are not essential MDIs. If EPA objects to the transfer, EPA will issue letters to the transferor and transferee stating the basis for disallowing the transfer. The burden of proof is placed on the transferee to retain sufficient records to prove that the transferred essential-use CFCs are used only for production of essential MDIs. If EPA ultimately finds that the transferee did not use the essential-use CFCs for production of essential MDIs then the transferee is in violation of this subpart.
              [60 FR 24986, May 10, 1995, as amended at 63 FR 41643, Aug. 4, 1998; 63 FR 53290, Oct. 5, 1998; 65 FR 70804, Nov. 28, 2000; 67 FR 6360, Feb. 11, 2002; 67 FR 21134, Apr. 29, 2002; 70 FR 77047, Dec. 29, 2005; 85 FR 15292, Mar. 17, 2020]

              § 82.10
              [Reserved]

              § 82.11
              Exports of class I controlled substances to Article 5 Parties.
              (a) If apportioned Article 5 allowances under § 82.9(a) or § 82.11(a)(2), a person may produce Class I controlled substances, in accordance with the prohibitions in § 82.4 and the reduction schedule in § 82.11(a)(3), to be exported (not including exports resulting in transformation or destruction, or exports of used controlled substances) to foreign states listed in appendix E to this subpart (Article 5 countries).
              (1) A person must submit a notice to the Administrator of exports to Article 5 countries (except exports resulting in transformation or destruction, or used controlled substances) at the end of the quarter that includes the following:
              (i) The identities and addresses of the exporter and the Article 5 country recipient of the exports;
              (ii) The exporter's Employee Identification Number;
              (iii) The names and telephone numbers of contact persons for the exporter and for the recipient;
              (iv) The quantity and the type of controlled substances exported, its source and date purchased;
              (v) The date on which, and the port from which, the controlled substances were exported from the United States or its territories;
              (vi) The Article 5 country to which the controlled substances were exported;
              (vii) A copy of the bill of lading and invoice indicating the net quantity shipped and documenting the sale of the controlled substances to the Article 5 purchaser;
              (viii) The commodity code of the controlled substance exported; and
              (ix) A copy of the invoice or sales agreement covering the sale of the controlled substances to the recipient Article 5 country that contains provisions forbidding the reexport of the controlled substance in bulk form and subjecting the recipient or any transferee of the recipient to liquidated damages equal to the resale price of the controlled substances if they are reexported in bulk form.
              (2) Persons who reported exports of Class I, Group I controlled substances to Article 5 countries in 2000-2003 are apportioned baseline Article 5 allowances as set forth in § 82.11(a)(2)(i). Persons who reported exports of Class I, Group VI controlled substances to Article 5 countries in 1995-1998 are apportioned baseline Article 5 allowances as set forth in § 82.11(a)(2)(ii)).
              (i) For Group I Controlled Substances

                  Controlled Substance
                  Person
                  Allowances (kg)

                  CFC-11
                  Honeywell
                  7,150

                  Sigma Aldrich
                  1

                  CFC-113
                  Fisher Scientific
                  5

                  Honeywell
                  313,686

                  Sigma Aldrich
                  48

                  CFC-114
                  Honeywell
                  24,798

                  Sigma Aldrich
                  1

              (ii) For Group VI Controlled Substances

                  Controlled Substance
                  Person
                  Allowances (kg)

                  Methyl Bromide
                  Albemarle
                  1,152,714

                  Ameribrom
                  176,903

                  Great Lakes Chemical Corporation
                  3,825,846

              (3) Phased Reduction Schedule for Article 5 Allowances allocated in § 82.11. For each control period specified in the following table, each person is granted the specified percentage of the baseline Article 5 allowances apportioned under § 82.11.

                  Control Period
                  Class I substances in group I(In
                    percent)

                  Class I substances in group VI(In
                    percent)

                  2006
                  50
                  80

                  2007
                  15
                  80

                  2008
                  15
                  80

                  2009
                  15
                  80

                  2010
                  0
                  80

                  2011
                  0
                  80

                  2012
                  0
                  80

                  2013
                  0
                  80

                  2014
                  0
                  80

                  2015
                  0
                  0

              (2) [Reserved]
              (b) [Reserved]
              [60 FR 24986, May 10, 1995, as amended at 70 FR 77047, Dec. 29, 2005]

              § 82.12
              Transfers of allowances for class I controlled substances.
              (a) Inter-company transfers. (1) After January 1, 2002, any essential-use allowance holder (including those persons that hold essential-use allowances issued by a Party other than the United States) (“transferor”) may transfer essential-use allowances for CFCs to a metered dose inhaler company solely for the manufacture of essential MDIs. After January 1, 2005, any critical use allowance holder (“transferor”) may transfer critical use allowances to any other person (“transferee”).
              (i) The transferor must submit to the Administrator a transfer claim setting forth the following:
              (A) The identities and addresses of the transferor and the transferee;
              (B) The name and telephone numbers of contact persons for the transferor and the transferee;
              (C) The type of allowances being transferred, including the names of the controlled substances for which allowances are to be transferred;
              (D) The group of controlled substances to which the allowances being transferred pertains;
              (E) The amount of allowances being transferred;
              (F) The control period(s) for which the allowances are being transferred;
              (G) The amount of unexpended allowances of the type and for the control period being transferred that the transferor holds under authority of this subpart as of the date the claim is submitted to EPA; and
              (H) The one percent offset applied to the unweighted amount traded will be deducted from the transferor's production or consumption allowance balance (except for trades from transformers and destroyers to producers or importers for the purpose of allowance reimbursement). In the case of transferring essential use allowances, the amount of one tenth of one percent of the amount traded will be deducted from the transferor's allowance balance. In the case of transferring critical use allowances, the amount of one tenth of one percent of the amount traded will be deducted from the transferor's critical use allowance balance.
              (I) The transferor must include a signed document from the transferee identifying the CFC MDI products that will be produced using the essential-use allowances.

              (ii) The Administrator will determine whether the records maintained by EPA, taking into account any previous transfers and any production, allowable imports and exports of controlled substances reported by the transferor, indicate that the transferor possesses, as of the date the transfer claim is processed, unexpended allowances sufficient to cover the transfer claim (i.e., the amount to be transferred plus, in the case of transferors of essential use allowances and critical use allowances, one tenth of one percent of the transferred amount). Within three working days of receiving a complete transfer claim, the Administrator will take action to notify the transferor and transferee as follows:
              (A) If EPA's records show that the transferor has sufficient unexpended allowances to cover the transfer claim, the Administrator will issue a notice indicating that EPA does not object to the transfer and will reduce the transferor's balance of unexpended allowances by the amount to be transferred plus, in the case of transfers of production or consumption allowances, one percent of that amount, or in the case of transfers of essential use allowances, one tenth of one percent of that amount. When EPA issues a no objection notice, the transferor and the transferee may proceed with the transfer. However, if EPA ultimately finds that the transferor did not have sufficient unexpended allowances to cover the claim, the transferor and transferee will be held liable for any violations of the regulations of this subpart that occur as a result of, or in conjunction with, the improper transfer.

              (B) If EPA's records show that the transferor has insufficient unexpended allowances to cover the transfer claim, or that the transferor has failed to respond to one or more Agency requests to supply information needed to make a determination, the Administrator will issue a notice disallowing the transfer. Within 10 working days after receipt of notification, either party may file a notice of appeal, with supporting reasons, with the Administrator. The Administrator may affirm or vacate the disallowance. If no appeal is taken by the tenth working day after notification, the disallowance shall be final on that day.

              (iii) In the event that the Administrator does not respond to a transfer claim within the three working days specified in paragraph (a)(1)(ii) of this section the transferor and transferee may proceed with the transfer. EPA will reduce the transferor's balance of unexpended allowances by the amount to be transferred plus, in the case of transfers of production or consumption allowances, one percent of that amount, and in the case of essential use allowances and critical use allowances, one tenth of one percent of that amount. However if EPA ultimately finds that the transferor did not have sufficient unexpended allowances to cover the claim, the transferor and transferee will be held liable for any violations of the regulations of this subpart that occur as a result of, or in conjunction with, the improper transfer.
              (2) [Reserved]
              (b)—(c) [Reserved]
              (d) Transfers of essential-use CFCs. (1) Effective January 1, 2002, any metered dose inhaler company (transferor) may transfer essential-use CFCs to another metered dose inhaler company (transferee) provided that the Administrator approves the transfer.
              (2) The transferee must submit a transfer claim to the Administrator for approval before the transfer can take place. The transfer claim must set forth the following:
              (i) The identities and addresses of the transferor and the transferee; and
              (ii) The name and telephone numbers of contact persons for the transferor and the transferee; and
              (iii) The amount of each controlled substance (CFC-11, CFC-12, or CFC-114) being transferred; and
              (iv) The specific metered dose inhaler products (i.e. the MDI drug product or active moiety) that the transferee plans to produce with the transferred CFCs; and
              (v) The country(ies) where the CFC metered dose inhalers produced with the transferred essential-use CFCs will be sold if other than in the United States; and
              (vi) Certification that the essential-use CFCs will be used in the production of essential MDIs. If the MDIs are to be sold in the United States, the certification must state that MDIs produced with the transferred essential-use CFCs are listed as essential at 21 CFR 2.125, and were approved by the Food and Drug Administration before December 31, 2000. If the MDIs produced with the essential-use CFCs are to be sold outside the United States, the transferee must certify that the metered dose inhalers produced with the essential-use CFCs are considered essential by the importing country.
              (3) The transferor must submit a letter stating that it concurs with the terms of the transfer as requested by the transferee.
              (4) Once the transfer claim is complete, and if EPA does not object to the transfer, then EPA will issue letters to the transferor and the transferee within 10 business days indicating that the transfer may proceed. EPA reserves the right to disallow a transfer if the transfer request is incomplete, or if it has reason to believe that the transferee plans use the essential-use CFCs in anything other than essential MDIs. If EPA objects to the transfer, within EPA will issue letters to the transferor and transferee stating the basis for disallowing the transfer. The burden of proof is placed on the transferee to retain sufficient records to prove that the transferred essential-use CFCs are used only for production of essential MDIs. If EPA ultimately finds that the transferee did not use the essential-use CFCs for production of essential MDIs then the transferee is in violation of this subpart.
              [60 FR 24986, May 10, 1995, as amended at 65 FR 70804, Nov. 28, 2000; 66 FR 1471, Jan. 8, 2001; 67 FR 6361, Feb. 11, 2002; 69 FR 77004, Dec. 23, 2004; 79 FR 44311, July 31, 2014; 85 FR 15292, Mar. 17, 2020]

              § 82.13
              Recordkeeping and reporting requirements for class I controlled substances.
              (a) Effective dates. Unless otherwise specified, the recordkeeping and reporting requirements set forth in this section take effect on January 1, 1995. For class I, Group VIII controlled substances, the recordkeeping and reporting requirements set forth in this section take effect on August 18, 2003. For critical use methyl bromide, the recordkeeping and reporting requirements set forth in this section take effect January 1, 2005.
              (b) Reports and records required by this section may be used for purposes of compliance determinations. These requirements are not intended as a limitation on the use of other evidence admissible under the Federal Rules of Evidence. Failure to provide the reports, petitions and records required by this section, and to certify the accuracy of the information in the reports, petitions and records required by this section, will be considered a violation of this subpart. False statements made in reports, petitions and records will be considered violations of Section 113 of the Clean Air Act.
              (c) Timing of reports. Unless otherwise specified, reports required by this section must be submitted to the Administrator within 45 days of the end of the applicable reporting period. Revisions of reports that are required by this section must be submitted to the Administrator within 180 days of the end of the applicable reporting period, unless otherwise specified. Starting May 18, 2020, reports that are available for submission through the Central Data Exchange must be submitted electronically through that tool.
              (d) Records and copies of reports required by this section must be retained for three years.
              (e) In reports required by this section, quantities of controlled substances must be stated in terms of kilograms.
              (f) Producers. Every person (“producer”) who produces class I controlled substances during a control period must comply with the following recordkeeping and reporting requirements:
              (1) Within 120 days of May 10, 1995, or within 120 days of the date that a producer first produces a class I controlled substance, whichever is later, and within 120 days of July 18, 2003 for class I, Group VIII controlled substances, every producer who has not already done so must submit to the Administrator a report describing:
              (i) The method by which the producer in practice measures daily quantities of controlled substances produced;
              (ii) Conversion factors by which the daily records as currently maintained can be converted into kilograms of controlled substances produced, including any constants or assumptions used in making those calculations (e.g., tank specifications, ambient temperature or pressure, density of the controlled substance);
              (iii) Internal accounting procedures for determining plant-wide production;
              (iv) The quantity of any fugitive losses accounted for in the production figures; and
              (v) The estimated percent efficiency of the production process for the controlled substance. Within 60 days of any change in the measurement procedures or the information specified in the above report, the producer must submit a report specifying the revised data or procedures to the Administrator.
              (2) Recordkeeping requirements Every producer of a class I controlled substance during a control period must maintain the following records:
              (i) Dated records of the quantity of each controlled substance produced at each facility;
              (ii) Dated records of the quantity of controlled substances produced for use in processes that result in their transformation or for use in processes that result in their destruction and quantity sold for use in processes that result in their transformation or for use in processes that result in their destruction;
              (iii) Dated records of the quantity of controlled substances produced for an essential-use and quantity sold for use in an essential-use process;
              (iv)—(v) [Reserved]
              (vi) Copies of invoices or receipts documenting sale of controlled substance for use in processes resulting in their transformation or for use in processes resulting in destruction;
              (vii) Dated records of the quantity of each controlled substance used at each facility as feedstocks or destroyed in the manufacture of a controlled substance or in the manufacture of any other substance, and any controlled substance introduced into the production process of the same controlled substance at each facility;

              (viii) Dated records identifying the quantity of each chemical not a controlled substance produced within each facility also producing one or more controlled substances;
              (ix) Dated records of the quantity of raw materials and feedstock chemicals used at each facility for the production of controlled substances;
              (x) Dated records of the shipments of each controlled substance produced at each plant;
              (xi) The quantity of controlled substances, the date received, and names and addresses of the source of used materials containing controlled substances which are recycled or reclaimed at each plant;
              (xii) Records of the date, the controlled substance, and the estimated quantity of any spill or release of a controlled substance that equals or exceeds 100 pounds;
              (xiii) Internal Revenue Service Certificates in the case of transformation, or the destruction verification in the case of destruction (as in § 82.13(k)), showing that the purchaser or recipient of a controlled substance, in the United States or in another country that is a Party, certifies the intent to either transform or destroy the controlled substance, or sell the controlled substance for transformation or destruction in cases when production and consumption allowances were not expended;
              (xiv) Written verifications that essential-use allowances were conveyed to the producer for the production of specified quantities of a specific controlled substance that will only be used for the named essential-use and not resold or used in any other manufacturing process;
              (xv) Written certifications that quantities of controlled substances, meeting the purity criteria in appendix G of this subpart, were purchased by distributors of laboratory supplies or by laboratory customers to be used only in essential laboratory and analytical uses as defined by appendix G, and not to be resold or used in manufacturing;
              (xvi) [Reserved]
              (xvii) For methyl bromide, dated records of the quantity of controlled substances produced for quarantine and preshipment applications and quantity sold for quarantine and preshipment applications;
              (xviii) Written certifications that quantities of methyl bromide produced solely for quarantine and preshipment applications were purchased by distributors or applicators to be used only for quarantine applications and preshipment applications in accordance with the definitions in this subpart; and
              (xix) Written verifications from a U.S. purchaser that methyl bromide produced solely for quarantine and preshipment applications, if exported, will be exported solely for quarantine applications and preshipment applications upon receipt of a certification in accordance with the definitions of this subpart and requirements in paragraph (h) of this section.
              (xx) For methyl bromide, dated records such as invoices and order forms, and a log of the quantity of controlled substances produced for critical use, specifying quantities dedicated for pre-plant use and quantities dedicated for post-harvest use, and the quantity sold for critical use, specifying quantities dedicated for pre-plant use and quantities dedicated for post-harvest use;
              (xxi) Written certifications that quantities of methyl bromide produced for critical use were purchased by distributors, applicators, or approved critical users to be used or sold only for critical use in accordance with the definitions and prohibitions in this subpart. Certifications must be maintained by the producer for a minimum of three years; and
              (xxii) For methyl bromide, dated records such as invoices and order forms, and a log of the quantity of controlled substances produced solely for export to satisfy critical uses authorized by the Parties for that control period, and the quantity sold solely for export to satisfy critical uses authorized by the Parties for that control period.
              (3) Reporting requirements—producers. For each quarter, except as specified below, each producer of a class I controlled substance must provide the Administrator with a report containing the following information:

              (i) The production by company in that quarter of each controlled substance, specifying the quantity of any controlled substance used in processing, resulting in its transformation by the producer;
              (ii) The amount of production for use in processes resulting in destruction of controlled substances by the producer;
              (iii) The levels of production (expended allowances and credits) for each controlled substance;
              (iv) [Reserved]
              (v) The amount of controlled substance sold or transferred during the quarter to a person other than the producer for use in processes resulting in its transformation or eventual destruction;
              (vi) A list of the quantities and names of controlled substances exported, by the producer and or by other U.S. companies, to a Party to the Protocol that will be transformed or destroyed and therefore were not produced expending production or consumption allowances;
              (vii) For transformation in the United States or by a person of another Party, one copy of an IRS certification of intent to transform the same controlled substance for a particular transformer and a list of additional quantities shipped to that same transformer for the quarter;
              (viii) For destruction in the United States or by a person of another Party, one copy of a destruction verification (as under § 82.13(k)) for a particular destroyer, destroying the same controlled substance, and a list of additional quantities shipped to that same destroyer for the quarter;
              (ix) [Reserved]
              (x) A list of the essential-use allowance holders, distributors of laboratory supplies and laboratory customers from whom orders were placed and the quantity of specific essential-use controlled substances requested and produced;
              (xi) The certifications from essential-use allowance holders stating that the controlled substances were purchased solely for specified essential uses and will not be resold or used in any other manufacturing process;
              (xii) In the case of laboratory essential-uses, certifications from distributors of laboratory supplies that controlled substances were purchased for sale to laboratory customers who certify that the substances will only be used for essential laboratory and analytical uses as defined by appendix G of this subpart, and will not be resold or used in manufacturing; or, if sales are made directly to laboratories, certification from laboratories that the controlled substances will only be used for essential laboratory and analytical uses (defined at appendix G of this subpart) and will not be resold or used in manufacturing.
              (xiii) The amount of methyl bromide sold or transferred during the quarter to a person other than the producer solely for quarantine and preshipment applications;
              (xiv) A list of the quantities of methyl bromide produced by the producer and exported by the producer and/or by other U.S. companies, to a Party to the Protocol that will be used solely for quarantine and preshipment applications and therefore were not produced expending production or consumption allowances; and
              (xv) For quarantine and preshipment applications of methyl bromide in the United States or by a person of another Party, one copy of a certification that the material will be used only for quarantine and preshipment applications in accordance with the definitions in this subpart from each recipient of the material and a list of additional quantities shipped to that same person for the quarter.
              (xvi) For critical uses of methyl bromide, producers shall report annually the amount of critical use methyl bromide owned by the reporting entity, specifying quantities dedicated for pre-plant use and quantities dedicated for post-harvest use, as well as quantities held by the reporting entity on behalf of another entity, specifying quantities dedicated for pre-plant use and quantities dedicated for post-harvest use along with the name of the entity on whose behalf the material is held; and
              (xvii) A list of the quantities of methyl bromide produced by the producer and exported by the producer and/or by other U.S. companies in that control period, solely to satisfy the critical uses authorized by the Parties for that control period; and

              (xviii) On an annual basis, the amount of methyl bromide produced or imported prior to the January 1, 2005, phaseout date owned by the reporting entity, as well as quantities held by the reporting entity on behalf of another entity, specifying the name of the entity on whose behalf the material is held.
              (4) For any person who fails to maintain the records required by this paragraph, or to submit the report required by this paragraph, the Administrator may assume that the person has produced at full capacity during the period for which records were not kept, for purposes of determining whether the person has violated the prohibitions at § 82.4.
              (g) Importers. Importers of class I controlled substances during a control period must comply with record-keeping and reporting requirements specified in this paragraph (g).
              (1) Recordkeeping—importers. Any importer of a class I controlled substance (including used, recycled and reclaimed controlled substances) must maintain the following records:
              (i) The quantity of each controlled substance imported, either alone or in mixtures, including the percentage of each mixture which consists of a controlled substance;
              (ii) The quantity of those controlled substances imported that are used (including recycled or reclaimed) and, where applicable, the information provided with the petition as under paragraph (g)(2) of this section;
              (iii) The quantity of controlled substances other than transhipments or used, recycled or reclaimed substances imported for use in processes resulting in their transformation or destruction and quantity sold for use in processes that result in their destruction or transformation;
              (iv) The date on which the controlled substances were imported;
              (v) The port of entry through which the controlled substances passed;
              (vi) The country from which the imported controlled substances were imported;
              (vii) The commodity code for the controlled substances shipped, which must be one of those listed in Appendix K to this subpart;
              (viii) The importer number for the shipment;
              (ix) A copy of the bill of lading for the import;
              (x) The invoice for the import;
              (xi) The quantity of imports of used, recycled, or reclaimed class I controlled substances;
              (xii) The U.S. Customs entry number;
              (xiii) Dated records documenting the sale or transfer of controlled substances for use in processes resulting in transformation or destruction;
              (xiv) Copies of IRS certifications that the controlled substance will be transformed or destruction verifications that it will be destroyed (as in § 82.13(k));
              (xv) Dated records of the quantity of controlled substances imported for an essential use; and
              (xvi) Copies of certifications that imported controlled substances are being purchased for essential laboratory and analytical uses (defined at appendix G of this subpart) or being purchased for eventual sale to laboratories that certify that controlled substances are for essential laboratory and analytical uses (defined at appendix G of this subpart).
              (xvii) Dated records of the quantity of methyl bromide imported for quarantine and preshipment applications and quantity sold for quarantine and preshipment applications;
              (xviii) Written certifications that quantities of methyl bromide imported solely for quarantine and preshipment applications were purchased by distributors or applicators to be used only for quarantine and preshipment applications in accordance with the definitions in this subpart; and
              (xix) Written verifications from a U.S. purchaser that methyl bromide imported solely for quarantine and preshipment applications, if exported, will be exported solely for quarantine and preshipment applications upon receipt of a certification in accordance with the definitions of this subpart and requirements in paragraph (h) of this section.

              (xx) For methyl bromide, dated records such as invoices and order forms, of the quantity of controlled substances imported for critical use, specifying quantities dedicated for pre-plant use and quantities dedicated for post-harvest use, and the quantity sold for critical use, specifying quantities dedicated for pre-plant use and quantities dedicated for post-harvest use; and
              (xxi) Written certifications that quantities of methyl bromide imported for critical use were purchased by distributors, applicators, or approved critical users to be used or sold only for critical use in accordance with the definitions and prohibitions in this subpart. Certifications must be maintained by an importer for a minimum of three years.
              (2) Petitioning—importers of used, recycled, or reclaimed controlled substances. For each individual shipment over 5 pounds of a used controlled substance as defined in § 82.3, except for Group II used controlled substances shipped in aircraft halon bottles for hydrostatic testing and imports intended for destruction, an importer must submit directly to the Administrator, at least 40 working days before the shipment is to leave the foreign port of export, the following information in a petition:
              (i) Name, commodity code, and quantity in kilograms of the used controlled substance to be imported;
              (ii) Name and address of the importer, the importer ID number, and the contact person's name, email address, and phone number;
              (iii) Name, address, contact person, email address, and phone number of all previous source facilities from which the used controlled substance was recovered or the halon bank storing the controlled substance;
              (iv) A detailed description of the previous use of the controlled substance at each source facility and a best estimate of when the specific controlled substance was put into the equipment at each source facility, and, when possible, documents indicating the date the material was put into the equipment;
              (v) A list of the name, make and model number of the equipment from which the material was recovered at each source facility;
              (vi) Name, address, contact person, email address, and phone number of the exporter and of all persons to whom the material was transferred or sold after it was recovered from the source facility;
              (vii) The U.S. port of entry for the import, the expected date of shipment and the vessel transporting the chemical. If at the time of submitting a petition the importer does not know the U.S. port of entry, the expected date of shipment and the vessel transporting the chemical, and the importer receives a non-objection notice for the individual shipment in the petition, the importer is required to notify the Administrator of this information prior to the actual U.S. Customs entry of the individual shipment;
              (viii) A description of the intended use of the used controlled substance, and, when possible, the name, address, contact person, email address, and phone number of the ultimate purchaser in the United States;
              (ix) Name, address, contact person, email address, and phone number of the U.S. reclamation facility, where applicable;
              (x) If someone at the source facility recovered the controlled substance from the equipment, the name, email address, and phone number of that person;
              (xi) If the imported controlled substance was reclaimed in a foreign Party, the name, address, contact person, email address, and phone number of any or all foreign reclamation facility(ies) responsible for reclaiming the cited shipment;
              (xii) The export license, application for an export license, or official communication acknowledging the export from the appropriate government agency in the country of export and, if recovered in another country, the export license or official communication from the appropriate government agency in that country, and quantity authorized for export in kilograms on the export license, and an English translation of these documents;
              (xiii) If the imported used controlled substance is intended to be sold as a refrigerant in the United States, the name, address, and email address of the EPA-certified U.S. reclaimer who will bring the material to the standard required under subpart F of this part if not already reclaimed to those specifications; and
              (xiv) [Reserved]

              (xv) If the used controlled substance is stored in a halon bank, in lieu of the information required in paragraphs (g)(2)(iv) through (vi) of this section, the petitioner may provide an official letter from the appropriate government agency in the country where the material is stored indicating that the halon is used and that the halon bank is authorized to collect used halon. If source information in paragraphs (g)(2)(iv) through (vi) is available, it should also be provided in addition to the letter.
              (3) Review of petition to import a used substance.  Starting on the first working day following receipt by the Administrator of a petition to import a used class I controlled substance, the Administrator will initiate a review of the information submitted under paragraph (g)(2) of this section and take action within 40 working days to issue either an objection-notice or a non-objection notice for the individual shipment to the person who submitted the petition to import the used class I controlled substance.
              (i) For the following reasons, the Administrator may issue an objection notice to a petition:
              (A) If the Administrator determines that the information is insufficient, that is, if the petition lacks or appears to lack any of the information required under paragraph (g)(2) of this section or other information that may be requested during the review of the petition necessary to verify that the controlled substance is used;
              (B) If the Administrator determines that any portion of the petition contains false or misleading information, or the Administrator has information from other U.S. or foreign government agencies indicating that the petition contains false or misleading information;
              (C) If the importer wishes to import a used class I controlled substance from a country which is, for that particular controlled substance, out of compliance regarding its phaseout obligations under the Protocol or the transaction in the petition is contrary to other provisions in the Vienna Convention or the Montreal Protocol;
              (D) If the appropriate government agency in the exporting country has not agreed to issue an export license for the cited individual shipment of used controlled substance;
              (E) If allowing the import of the used class I controlled substance would run counter to government restrictions from either the country of recovery or export regarding controlled ozone-depleting substances;
              (F) If reclamation capacity is installed or is being installed for that specific controlled substance in the country of recovery or country of export and the capacity is funded in full or in part through the Multilateral Fund.
              (ii) Within ten (10) working days after receipt of the objection notice, the importer may re-petition the Administrator, only if the Administrator indicated “insufficient information” as the basis for the objection notice. If no appeal is taken by the tenth working day after the date on the objection notice, the objection shall become final. Only one appeal of re-petition will be accepted for any petition received by EPA.
              (iii) Any information contained in the re-petition which is inconsistent with the original petition must be identified and a description of the reason for the inconsistency must accompany the re-petition.
              (iv) In cases where the Administrator does not object to the petition based on the criteria listed in paragraph (g)(3)(i) of this section, the Administrator will issue a non-objection notice.
              (v) To pass the approved used class I controlled substances through U.S. Customs, the non-objection notice issued by EPA must accompany the shipment through U.S. Customs.
              (vi) If for some reason, following EPA's issuance of a non-objection notice, new information is brought to EPA's attention which shows that the non-objection notice was issued based on false information, then EPA has the right to:
              (A) Revoke the non-objection notice;
              (B) Pursue all means to ensure that the controlled substance is not imported into the United States; and
              (C) Take appropriate enforcement actions.

              (vii) A person receiving the non-objection notice is permitted to import the individual shipment only within one year of the date stamped on the non-objection notice.
              (viii) A person receiving a non-objection notice from the Administrator for a petition to import used class I controlled substances must maintain the following records:
              (A) a copy of the petition;
              (B) the EPA non-objection notice;
              (C) the bill of lading for the import; and
              (D) The U.S. Customs entry number.
              (4) Reporting requirements—importers. For each quarter, except as specified below, every importer of a class I controlled substance (including importers of used, recycled or reclaimed controlled substances) must submit to the Administrator a report containing the following information:
              (i) Summaries of the records required in paragraphs (g)(1) (i) through (xvi) of this section for the previous quarter;
              (ii) The total quantity imported in kilograms of each controlled substance for that quarter;
              (iii) The quantity of those controlled substances imported that are used controlled substances.
              (iv) The levels of import (expended consumption allowances before January 1, 1996) of controlled substances for that quarter and totaled by chemical for the control-period-to-date;
              (vii) [Reserved]
              (viii) The amount of controlled substances imported for use in processes resulting in their transformation or destruction;
              (ix) The amount of controlled substances sold or transferred during the quarter to each person for use in processes resulting in their transformation or eventual destruction;
              (x) The amount of controlled substances sold or transferred during the quarter to each person for an essential use;
              (xi) [Reserved]
              (xii) Internal Revenue Service Certificates showing that the purchaser or recipient of imported controlled substances intends to transform those substances or destruction verifications (as in § 82.13(k)) showing that purchaser or recipient intends to destroy the controlled substances; and
              (xiii) The certifications from essential-use allowance holders stating that the controlled substances were purchased solely for specified essential-uses and will not be resold or used in manufacturing; and the certifications from distributors of laboratory supplies that the controlled substances were purchased solely for eventual sale to laboratories that certify the controlled substances are for essential laboratory and analytical uses (defined at appendix G of this subpart), or if sales are made directly to laboratories, certifications from laboratories that the controlled substances will only be used for essential laboratory and analytical uses (defined at appendix G of this subpart) and will not be resold or used in manufacturing.
              (xiv) In the case of laboratory essential uses, a certification from distributors of laboratory supplies that controlled substances were purchased for sale to laboratory customers who certify that the substances will only be used for laboratory applications and will not be resold or used in manufacturing; and
              (xv) The amount of methyl bromide sold or transferred during the quarter to a person other than the importer solely for quarantine and preshipment applications;
              (xvi) A list of the quantities of methyl bromide exported by the importer and or by other U.S. companies, to a Party to the Protocol that will be used solely for quarantine and preshipment applications and therefore were not imported expending consumption allowances; and
              (xvii) For quarantine and preshipment applications of methyl bromide in the United States or by a person of another Party, one copy of a certification that the material will be used only for quarantine and preshipment applications in accordance with the definitions in this subpart from each recipient of the material and a list of additional quantities shipped to that same person for the quarter.

              (xviii) For critical uses of methyl bromide, importers shall report annually the amount of critical use methyl bromide owned by the reporting entity, specifying quantities dedicated for pre-plant use and quantities dedicated for post-harvest use, as well as quantities held by the reporting entity on behalf of another entity, specifying quantities dedicated for pre-plant use and quantities dedicated for post-harvest use along with the name of the entity on whose behalf the material is held.
              (xix) Importers shall report annually the amount of methyl bromide produced or imported prior to the January 1, 2005, phaseout date owned by the reporting entity, as well as quantities held by the reporting entity on behalf of another entity, specifying the name of the entity on whose behalf the material is held.
              (5) Certification of intent to import for destruction. For each individual shipment of a class I controlled substance imported with the intent to destroy that substance, an importer must submit electronically to the Administrator, at least 30 working days before the shipment is to leave the foreign port of export, the following information:
              (i) Name, commodity code, and quantity in kilograms of each controlled substance to be imported;
              (ii) Name and address of the importer, the importer ID number, and the contact person's name, email address, and phone number;
              (iii) Name and address of any intermediary who will aggregate controlled substances imported for destruction, and the contact person's name, email address, and phone number;
              (iv) The U.S. port of entry for the import, the expected date of shipment and the vessel transporting the material. If at the time of submitting the certification of intent to import for destruction the importer does not know the U.S. port of entry, the expected date of shipment and the vessel transporting the material, and the importer receives a non-objection notice for the individual shipment in the petition, the importer is required to notify the Administrator of this information prior to the entry of the individual shipment into the United States;
              (v) Name, address, contact person, email address, and phone number of the responsible party at the destruction facility;
              (vi) The export license, application for an export license, or official communication acknowledging the export from the appropriate government agency in the country of export and, if recovered in another country, the export license or official communication from the appropriate government agency in that country, and quantity authorized for export in kilograms on the export license, and an English translation of these documents; and
              (vii) A certification of accuracy of the information submitted in the certification.
              (6) Destruction verification. For each individual shipment of a class I controlled substance imported with the intent to destroy that substance, an importer must submit to the Administrator a copy of the destruction verification within 30 days after destruction of the controlled substance(s).
              (7) Review of certification of intent to import for destruction. (i) Starting on the first working day following receipt by the Administrator of a certification of intent to import a class I controlled substance for destruction, the Administrator will initiate a review of the information submitted under paragraph (g)(5) of this section and take action within 30 working days to issue either an objection notice or a non-objection notice for the individual shipment to the person who submitted the certification of intent to import the class I controlled substance for destruction.
              (ii) The Administrator may issue an objection notice if the petition lacks or appears to lack any of the information required under paragraph (g)(5) of this section or for the reasons listed in paragraphs (g)(3)(i)(B) through (F) of this section.
              (iii) In cases where the Administrator does not object to the petition, the Administrator will issue a non-objection notice.
              (iv) To pass the approved class I controlled substances through U.S. Customs, the non-objection notice issued by EPA must accompany the shipment through U.S. Customs.

              (v) If for some reason, following EPA's issuance of a non-objection notice, new information is brought to EPA's attention which shows that the non-objection notice was issued based on false information, then EPA has the right to:
              (A) Revoke the non-objection notice;
              (B) Pursue all means to ensure that the class I controlled substance is not imported into the United States; and
              (C) Take appropriate enforcement actions.
              (8) Timing of import. A person receiving the non-objection notice is permitted to import the individual shipment only within one year of the date stamped on the non-objection notice.
              (9) Additional recordkeeping requirements—importers of used, recycled, or reclaimed controlled substances. A person receiving a non-objection notice from the Administrator for a certification of intent to import class I controlled substances for destruction must maintain the following records:
              (i) A copy of the certificate of intent to import for destruction;
              (ii) The EPA non-objection notice;
              (iii) A copy of the export license, export license application, or official communication from the appropriate government agency in the country of export;
              (iv) U.S. Customs entry documents for the import that must include one of the commodity codes from appendix K to this subpart;
              (v) The date, amount, and type of controlled substance sent for destruction, per shipment;
              (vi) An invoice from the destruction facility verifying the shipment was received;
              (vii) A copy of the destruction verification from the destruction facility; and
              (viii) An English translation of the document in paragraph (g)(9)(iii) of this section.
              (10) Recordkeeping requirements-aggregators. A person identified in paragraph (g)(5)(iii) of this section as aggregating a controlled substance prior to destruction must:
              (i) Maintain transactional records that include the name and address of the entity from whom they received the controlled substance imported for destruction;
              (ii) Maintain transactional records that include the name and address of the entity to whom they sent the controlled substance imported for destruction;
              (iii) Maintain records that include the date and quantity of the imported controlled substance received for destruction;
              (iv) Maintain records that include the date and quantity of the imported controlled substance sent for destruction; and
              (v) If the person is the final aggregator of such a controlled substance before the material is destroyed, maintain a copy of the destruction verification.
              (h) Reporting requirements—exporters. (1) For any exports of class I controlled substances (except methyl bromide) not reported under paragraph (f)(3) of this section (reporting for producers of controlled substances), the exporter who exported a class I controlled substance (except methyl bromide) must submit to the Administrator the following information within 45 days after the end of the control period in which the unreported exports left the United States:
              (i) The names and addresses of the exporter and the recipient of the exports;
              (ii) The exporter's Employer Identification Number;
              (iii) The type and quantity of each controlled substance exported including the quantity of controlled substance that is used, recycled, or reclaimed;
              (iv) The date on which, and the port from which, the controlled substances were exported from the United States or its territories;
              (v) The country to which the controlled substances were exported;
              (vi) The amount exported to each Article 5 country;
              (vii) The commodity code of the controlled substance shipped; and

              (viii) The invoice or sales agreement containing language similar to the Internal Revenue Service Certificate that the purchaser or recipient of imported controlled substances intends to transform those substances, or destruction verifications (as in paragraph (k) of this section) showing that the purchaser or recipient intends to destroy the controlled substances.

              (2) For any exports of methyl bromide not reported under paragraph (f)(3) of this section (reporting for producers of controlled substances), the exporter who exported methyl bromide must submit to the Administrator the following information within 45 days after the end of each quarter in which the unreported exports left the United States:
              (i) The names and addresses of the exporter and the recipient of the exports;
              (ii) The exporter's Employer Identification Number;
              (iii) The quantity of methyl bromide exported by use (transformation, destruction, critical use, or quarantine and preshipment);
              (iv) The date on which, and the port from which, the methyl bromide was exported from the United States or its territories;
              (v) The country to which the methyl bromide was exported;
              (vi) The amount exported to each Article 5 country;
              (vii) The commodity code of the controlled substance shipped; and
              (viii) The invoice or sales agreement containing language similar to the Internal Revenue Service Certificate that the purchaser or recipient of imported methyl bromide intends to transform those substances, the destruction verifications (as in paragraph (k) of this section) showing that the purchaser or recipient intends to destroy the controlled substances, or the certification that the purchaser or recipient and the eventual applicator will only use the material for quarantine and preshipment applications in accordance with the definitions in this subpart.
              (i) [Reserved]
              (j) Persons who destroy class I controlled substances shall, following promulgation of this rule, provide EPA with a one-time report stating the destruction unit's destruction efficiency and the methods used to record the volume destroyed and those used to determine destruction efficiency and the name of other relevant federal or state regulations that may apply to the destruction process. Any changes to the unit's destruction efficiency or methods used to record volume destroyed and to determine destruction efficiency must be reflected in a revision to this report to be submitted to EPA within 60 days of the change.
              (k) Persons who purchase or receive and subsequently destroy controlled class I substances that were originally produced without expending allowances shall provide the producer or importer from whom they purchased or received the controlled substances with a verification that controlled substances will be used in processes that result in their destruction.
              (1) The destruction verification shall include the following:
              (i) Identity and address of the person intending to destroy controlled substances;
              (ii) Indication of whether those controlled substances will be completely destroyed, as defined in § 82.3 of this rule, or less than completely destroyed, in which case the destruction efficiency at which such substances will be destroyed must be included;
              (iii) Period of time over which the person intends to destroy controlled substances; and
              (iv) Signature of the verifying person.
              (2) If, at any time, any aspects of this verification change, the person must submit a revised verification reflecting such changes to the producer from whom that person purchases controlled substances intended for destruction.
              (l) Persons who purchase class I controlled substances and who subsequently transform such controlled substances shall provide the producer or importer with the IRS certification that the controlled substances are to be used in processes resulting in their transformation.
              (m) Any person who transforms or destroys class I controlled substances who has submitted an IRS certificate of intent to transform or a destruction verification (as under paragraph (k) of this section) to the producer or importer of the controlled substance, must report the names and quantities of class I controlled substances transformed and destroyed for each control period within 45 days of the end of such control period.

              (n) Persons who import or export used controlled substances (including recycled or reclaimed) must label their bill of lading or invoice indicating that the controlled substance is used, recycled or reclaimed.
              (o) Persons who import heels of controlled substances must label their bill of lading or invoice indicating that the controlled substance in the container is a heel.
              (p) Every person who brings back a container with a heel to the United States, as defined in § 82.3, must report quarterly the amount brought into the United States certifying that the residual amount in each shipment is less than 10 percent of the volume of the container and will either:
              (1) Remain in the container and be included in a future shipment;
              (2) Be recovered and transformed;
              (3) Be recovered and destroyed; or
              (4) Be recovered for a non-emissive use.
              (q) Every person who brings a container with a heel into the United States must report on the final disposition of each shipment within 45 days of the end of the control period.
              (r) Every person who transships a controlled substance must maintain records that indicate that the controlled substance shipment originated in a foreign country destined for another foreign country, and does not enter interstate commerce with the United States.
              (s) Any person allocated essential-use allowances who submits an order to a producer or importer for a controlled substance must report the quarterly quantity received from each producer or importer.
              (t) Any distributor of laboratory supplies receiving controlled substances under the global laboratory essential-use exemption for sale to laboratory customers must report quarterly the quantity received of each controlled substance from each producer or importer.
              (u) Holders of Essential-Use Allowances—Reporting.
              (1) Within 30 days of the end of every quarter, any person allocated essential-use allowances must submit to the Administrator a report containing the quantity of each controlled substance, in kilograms, purchased and received from each producer and each importer during that quarter as well as from which country the controlled substance was imported.
              (2) Any person allocated essential-use allowances must submit to the Administrator a report containing the following information within 30 days of the end of the control period, and, if possible, within 20 days of the end of the control period:
              (i) The gross quantity of each controlled substance, in kilograms, that was used for the essential use during the control period; and
              (ii) The quantity of each controlled substance, in kilograms, contained in exported products during the control period; and
              (iii) The quantity of each controlled substance, in kilograms, that was destroyed or recycled during the control period; and

              (iv) The quantity of each controlled substance, in kilograms, held in inventory as of the last day of the control period, that was acquired with essential use allowances in all control periods (i.e. quantity on hand at the end of the year); and

              (v) The quantity of each controlled substance, in kilograms, in a stockpile that is owned by the company or is being held on behalf of the company under contract, and was produced or imported through the use of production allowances and consumption allowances prior to the phaseout (i.e. class I ODSs produced before their phaseout dates); and
              (vi) For essential use allowances for metered-dose inhalers only, the allowance holder must report the total number of marketable units of each specific metered-dose inhaler product manufactured in the control period.
              (v) Laboratory use exemption distributors. Any distributor of laboratory supplies who purchased controlled substances under the global essential laboratory and analytical use exemption must submit quarterly (except distributors following procedures in paragraph (x) of this section) the quantity of each controlled substance purchased by each laboratory customer or distributor whose certification was previously provided to the distributor pursuant to paragraph (w) of this section, the contact information for the source company from which material was purchased, and the laboratories to whom the material is sold.
              (w) Laboratory use exemption customers. A laboratory customer purchasing a controlled substance under the global essential laboratory and analytical use exemption must provide the producer, importer or distributor with a one-time-per-year certification for each controlled substance that the substance will only be used for essential laboratory and analytical uses (defined at appendix G of this subpart) and not be resold or used in manufacturing.
              (1) The identity and address of the laboratory customer;
              (2) The name, email address, and phone number of a contact person for the laboratory customer;
              (3) The name and quantity of each controlled substance purchased, and the estimated percent of the controlled substance that will be used for each listed type of laboratory application.
              (x) Any distributor of laboratory supplies who purchased class I controlled substances under the global essential laboratory and analytical use exemption, and who only sells the class I controlled substances as reference standards for calibrating laboratory analytical equipment, may write a letter to the Administrator requesting permission to submit the reports required under paragraph (v) of this section annually rather than quarterly. The Administrator will review the request and issue a notification of permission to file annual reports if, in the Administrator's judgment, the distributor meets the requirements of this paragraph. Upon receipt of a notification of extension from the Administrator, the distributor must submit annually the quantity of each controlled substance purchased by each laboratory customer whose certification was previously provided to the distributor pursuant to paragraph (w) of this section.
              (y) Quarantine and preshipment methyl bromide distributors. Every distributor of methyl bromide who purchases or receives a quantity produced or imported for quarantine or preshipment applications under the exemptions in this subpart must comply with the following recordkeeping and reporting requirements:
              (1) Every distributor of quarantine and preshipment methyl bromide must certify to the producer, importer, or distributor from whom they purchased or received the controlled substance that quantities purchased or received will be sold only for quarantine applications or preshipment applications in accordance with the definitions in this subpart.
              (2) Every distributor of quarantine and preshipment methyl bromide must receive from an applicator, exporter, or distributor to whom they sell or deliver the controlled substance a certification, prior to delivery, stating that the quantity will be used or sold solely for quarantine applications or preshipment applications in accordance with definitions in this subpart.
              (3) Every distributor of quarantine and preshipment methyl bromide must maintain the certifications as records for 3 years.
              (4) Every distributor of quarantine and preshipment methyl bromide must report to the Administrator within 45 days after the end of each quarter, the total quantity delivered to applicators or end users for quarantine applications and preshipment applications in accordance with definitions in this subpart.
              (z) Quarantine and preshipment methyl bromide applicators. Every applicator of methyl bromide who purchases or receives a quantity produced or imported solely for quarantine or preshipment applications under the exemptions in this subpart must comply with the following recordkeeping and reporting requirements:
              (1) Recordkeeping. Every applicator of methyl bromide produced or imported for quarantine and preshipment applications under the exemptions of this subpart must maintain, for every application, a document from the commodity owner, shipper, or their agent requesting the use of methyl bromide citing the requirement that justifies its use in accordance with definitions in this subpart. These documents shall be retained for 3 years.
              (2) Reporting. Every applicator who purchases or receives methyl bromide that was produced or imported for quarantine and preshipment applications under the exemptions in this subpart shall provide the distributor of the methyl bromide, prior to shipment, with a certification that the methyl bromide will be used only for quarantine applications or preshipment applications as defined in this subpart.
              (aa) Quarantine and preshipment methyl bromide end user certification. Every commodity owner, shipper or their agent requesting an applicator to use methyl bromide that was produced or imported solely for quarantine and preshipment applications under the exemptions of this subpart must maintain a record for 3 years, for each request, certifying knowledge of the requirements associated with the exemption for quarantine and preshipment applications in this subpart and citing the requirement that justifies its use. The record must include the following statement: “I certify knowledge of the requirements associated with the exempted quarantine and preshipment applications published in 40 CFR part 82, including the requirement that this letter cite the treatments or official controls for quarantine applications or the official requirements for preshipment requirements.”
              (bb) Every distributor of methyl bromide (class I, Group VI controlled substances) who purchases or receives a quantity of critical use methyl bromide must comply with recordkeeping and reporting requirements specified in this paragraph (bb).
              (1) Recordkeeping—Every distributor of critical use methyl bromide must certify to the producer or importer or other entity from which they are acquiring quantities of critical use methyl bromide that such quantities received will be sold or used only for approved critical use(s) in accordance with the definitions and prohibitions in this subpart.
              (i) Every distributor of a quantity of critical use methyl bromide must receive from an applicator, or any other entity to whom they sell critical use methyl bromide, a certification of the quantity of critical use methyl bromide ordered, prior to delivery of the quantity, stating that the quantity will be sold or used only for approved critical uses in accordance with definitions and prohibitions in this subpart.
              (ii) Every distributor of methyl bromide who receives a certification from an applicator or any other entity to which they sell critical use methyl bromide must maintain the certifications as records for 3 years.
              (iii) Every distributor of a quantity of critical use methyl bromide must maintain invoice and order records related to the sale of such material for 3 years.
              (2) Reporting—Every distributor of critical use methyl bromide must report to the Administrator annually, the following items:
              (i) For critical uses of class I, Group VI controlled substances, an annual list of the amount of critical use methyl bromide bought;
              (ii) For critical uses of class I, Group VI controlled substances, an annual list of the amount of critical use methyl bromide sold for each specified critical use in Appendix L of this subpart;
              (iii) For critical uses of class I, Group VI controlled substances, report the amount of critical use methyl bromide owned by the reporting entity, specifying quantities dedicated for pre-plant use and quantities dedicated for post-harvest use, as well as quantities held by the reporting entity on behalf of another entity, specifying quantities dedicated for pre-plant use and quantities dedicated for post-harvest use, along with the name of the entity on whose behalf the material is held;
              (iv) [Reserved]
              (v) The amount of methyl bromide produced or imported prior to the January 1, 2005, phaseout date owned by the reporting entity, as well as quantities held by the reporting entity on behalf of another entity, specifying the name of the entity on whose behalf the material is held.
              (cc) Every third party applicator of methyl bromide (class I, Group VI controlled substances) that purchases or receives critical use methyl bromide must comply with recordkeeping and reporting requirements specified in this paragraph (cc).

              (1) Recordkeeping—Every third party applicator of critical use methyl bromide must certify to the producer or importer or other entity from which they are acquiring quantities of critical use methyl bromide that such quantities received will be sold or used only for approved critical use(s) in accordance with the definitions and prohibitions in this subpart.
              (i) Every third party applicator of a quantity of critical use methyl bromide must receive from any entity to whom they sell critical use methyl bromide, a certification of the quantity of critical use methyl bromide ordered, prior to delivery of the quantity, stating that the quantity will be sold or used only for approved critical uses in accordance with definitions and prohibitions in this subpart.
              (ii) Every third party applicator of methyl bromide who receives a certification from an entity to which they sell critical use methyl bromide must maintain the certifications as records for 3 years.
              (iii) Every third party applicator of a quantity of critical use methyl bromide must maintain invoice and order records related to the sale of such material for 3 years.
              (2) Reporting—Every third party applicator of critical use methyl bromide must report to the Administrator annually, the following items:
              (i) For critical uses of class I, Group VI controlled substances, an annual list of the amount of critical use methyl bromide bought;
              (ii) For critical uses of class I, Group VI controlled substances, an annual list of the amount of critical use methyl bromide sold for each specified critical use in Appendix L of this subpart;
              (iii) For critical uses of class I, Group VI controlled substances, report annually the amount of critical use methyl bromide owned by the reporting entity, specifying quantities dedicated for pre-plant use and quantities dedicated for post-harvest use, as well as quantities held by the reporting entity on behalf of another entity, specifying quantities dedicated for pre-plant use and quantities dedicated for post-harvest use, along with the name of the entity on whose behalf the material is held;
              (iv) [Reserved]
              (v) The amount of methyl bromide produced or imported prior to the January 1, 2005 phaseout date owned by the reporting entity, as well as quantities held by the reporting entity on behalf of another entity, specifying the name of the entity on whose behalf the material is held.

              (dd) Every approved critical user purchasing an amount of critical use methyl bromide or purchasing fumigation services with critical use methyl bromide must, for each request, identify the use as a critical use and certify being an approved critical user. The approved critical user certification will state, in part: “I certify, under penalty of law, I am an approved critical user and I will use this quantity of methyl bromide for an approved critical use. My action conforms to the requirements associated with the critical use exemption published in 40 CFR part 82. I am aware that any agricultural commodity within a treatment chamber, facility or field I fumigate with critical use methyl bromide cannot subsequently or concurrently be fumigated with non-critical use methyl bromide during the same control period, excepting a QPS treatment or a treatment for a different use (e.g., a different crop or commodity). I will not use this quantity of methyl bromide for a treatment chamber, facility, or field that I previously fumigated with non-critical use methyl bromide during the same control period, excepting a QPS treatment or a treatment for a different use (e.g., a different crop or commodity), unless a local township limit now prevents me from using methyl bromide alternatives or I have now become an approved critical user as a result of rulemaking.” The certification will also identify the type of critical use methyl bromide purchased, the location of the treatment, the crop or commodity treated, the quantity of critical use methyl bromide purchased, and the acreage/square footage treated, and will be signed and dated by the approved critical user.
              [60 FR 24986, May 10, 1995]

                Editorial Note:
                For Federal Register citations affecting § 82.13, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.

              § 82.14
              Process for electronic reporting.
              (a) Starting May 18, 2020, reports and petitions that are available to be submitted through the Central Data Exchange, as well as any related supporting documents, must be submitted through that tool.
              (b) Entities can register and access the Central Data Exchange as follows:
              (1) Go to EPA's Central Data Exchange website at https://cdx.epa.gov and follow the links for the submission of ozone-depleting substances.
              (2) Call EPA's Central Data Exchange Help Desk at 1-888-890-1995.

              (3) Email the EPA's Central Data Exchange Help Desk at HelpDesk@epacdx.net.

              [85 FR 15296, Mar. 17, 2020]

              § 82.15
              Prohibitions for class II controlled substances.
              (a) Production. (1) Effective January 21, 2003, no person may produce class II controlled substances for which EPA has apportioned baseline production and consumption allowances, in excess of the quantity of unexpended production allowances, unexpended Article 5 allowances, unexpended export production allowances, or conferred unexpended HCFC-141b exemption allowances held by that person for that substance under the authority of this subpart at that time in that control period, unless the substances are transformed or destroyed domestically or by a person of another Party, or unless they are produced using an exemption granted in paragraph (f) of this section. Every kilogram of excess production constitutes a separate violation of this subpart.
              (2) Effective January 21, 2003, no person may use production allowances to produce a quantity of class II controlled substance unless that person holds under the authority of this subpart at the same time consumption allowances sufficient to cover that quantity of class II controlled substances. No person may use consumption allowances to produce a quantity of class II controlled substances unless the person holds under authority of this subpart at the same time production allowances sufficient to cover that quantity of class II controlled substances.
              (b) Import. (1) Effective January 21, 2003, no person may import class II controlled substances (other than transhipments, heels or used class II controlled substances) for which EPA has apportioned baseline production and consumption allowances , in excess of the quantity of unexpended consumption allowances, or conferred unexpended HCFC-141b exemption allowances held by that person under the authority of this subpart at that time in that control period, unless the substances are for use in a process resulting in their transformation or their destruction, or unless they are produced using an exemption granted in paragraph (f) of this section. Every kilogram of excess import constitutes a separate violation of this subpart.
              (2) Effective January 21, 2003, no person may import, at any time in any control period, a used class II controlled substance for which EPA has apportioned baseline production and consumption allowances, without having submitted a petition to the Administrator and received a non-objection notice in accordance with § 82.24(c)(3) and (4). A person issued a non-objection notice for the import of an individual shipment of used class II controlled substances may not transfer or confer the right to import, and may not import any more than the exact quantity (in kilograms) of the used class II controlled substance stated in the non-objection notice. Every kilogram of import of used class II controlled substance in excess of the quantity stated in the non-objection notice issued by the Administrator in accordance with § 82.24(c)(3) and (4) constitutes a separate violation of this subpart.

              (3) No person may import for purposes of destruction, at any time in any control period, a class II controlled substance for which EPA has apportioned baseline production and consumption allowances, without having submitted a certification of intent to import for destruction to the Administrator and received a non-objection notice in accordance with § 82.24(c)(6). A person issued a non-objection notice for the import of an individual shipment of class II controlled substances for destruction may not transfer or confer the right to import and may not import any more than the exact quantity (in kilograms) of the class II controlled substance stated in the non-objection notice. For imports intended to be destroyed in the United States, a person issued a non-objection notice must destroy the controlled substance within one year of the date stamped on the non-objection letter, may not transfer or confer the right to import, and may not import any more than the exact quantity (in kilograms) of the class II controlled substance stated in the non-objection notice. Every kilogram of import of class II controlled substance in excess of the quantity stated in the non-objection notice issued by the Administrator in accordance with § 82.24(c)(6) constitutes a separate violation of this subpart.
              (c) Production with Article 5 allowances. No person may introduce into U.S. interstate commerce any class II controlled substance produced with Article 5 allowances, except for export to an Article 5 Party as listed in Appendix E of this subpart. Every kilogram of a class II controlled substance produced with Article 5 allowances that is introduced into interstate commerce other than for export to an Article 5 Party constitutes a separate violation under this subpart. No person may export any class II controlled substance produced with Article 5 allowances to a non-Article 5 Party. Every kilogram of a class II controlled substance that was produced with Article 5 allowances that is exported to a non-Article 5 Party constitutes a separate violation under this subpart.
              (d) Production with export production allowances. No person may introduce into U.S. interstate commerce any class II controlled substance produced with export production allowances. Every kilogram of a class II controlled substance that was produced with export production allowances that is introduced into U.S. interstate commerce constitutes a separate violation under this subpart.
              (e) Trade with Parties. No person may import or export any quantity of a class II controlled substance listed in Appendix A to this subpart, from or to any foreign state that is not either:

              (1) A Party to the Beijing Amendment. As of March 14, 2014, the following foreign states had not ratified the Beijing Amendment: Kazakhstan, Libya, and Mauritania. For updates on ratification status, see the Ozone Secretariat's Web site at: http://ozone.unep.org/new_site/en/treaty_ratification_status.php. Or,
              (2) A foreign state not party to the Beijing Amendment that is complying with the Beijing Amendment as defined in this subpart.
              (f) Exemptions. (1) Medical Devices [Reserved]
              (g) Introduction into interstate commerce or use. (1) Effective January 1, 2010, no person may introduce into interstate commerce or use HCFC-141b (unless used, recovered, and recycled) for any purpose except for use in a process resulting in its transformation or its destruction; for export to Article 5 Parties under § 82.18(a); for HCFC-141b exemption needs; as a transhipment or heel; or for exemptions permitted in paragraph (f) of this section.
              (2)(i) Effective January 1, 2010, no person may introduce into interstate commerce or use HCFC-22 or HCFC-142b (unless used, recovered, and recycled) for any purpose other than for use in a process resulting in its transformation or its destruction; for use as a refrigerant in equipment manufactured before January 1, 2010; for export to Article 5 Parties under § 82.18(a); as a transhipment or heel; or for exemptions permitted in paragraph (f) of this section.
              (ii) Introduction into interstate commerce and use of HCFC-22 is not subject to the prohibitions in paragraph (g)(2)(i) of this section if the HCFC-22 is for use in medical equipment prior to January 1, 2015; for use in thermostatic expansion valves prior to January 1, 2015; or for use as a refrigerant in appliances manufactured before January 1, 2012, provided that the components are manufactured prior to January 1, 2010, and are specified in a building permit or a contract dated before January 1, 2010, for use on a particular project.

              (3) Effective January 1, 2015, no person may introduce into interstate commerce or use HCFC-141b (unless used, recovered, and recycled) for any purpose other than for use in a process resulting in its transformation or its destruction; for export to Article 5 Parties under § 82.18(a), as a transhipment or heel; or for exemptions permitted in paragraph (f) of this section.
              (4)(i) Effective January 1, 2015, no person may introduce into interstate commerce or use any class II controlled substance not governed by paragraphs (g)(1) through (3) of this section (unless used, recovered and recycled) for any purpose other than for use in a process resulting in its transformation or its destruction; for use as a refrigerant in equipment manufactured before January 1, 2020; for use as a fire suppression streaming agent listed as acceptable for use or acceptable subject to narrowed use limits for nonresidential applications in accordance with the regulations at subpart G of this part; for export to Article 5 Parties under § 82.18(a); as a transhipment or heel; for exemptions permitted under paragraph (f) of this section; or for exemptions permitted under paragraph (g)(4)(ii) or (iii) of this section.
              (ii) Effective January 1, 2015, use of HCFC-225ca or HCFC-225cb as a solvent (excluding use in manufacturing a product containing HCFC-225ca or HCFC-225cb) is not subject to the use prohibition in paragraph (g)(4)(i) of this section if the person using the HCFC-225ca or HCFC-225cb placed the controlled substance into inventory before January 1, 2015. This paragraph does not create an exemption to the prohibition on introduction into interstate commerce in paragraph (g)(4)(i) of this section.
              (iii) Effective January 1, 2015, use of HCFC-124 as a sterilant for the manufacture and testing of biological indicators is not subject to the use prohibition in paragraph (g)(4)(i) of this section if the person using the HCFC-124 placed the controlled substance into inventory before January 1, 2015. This paragraph does not create an exemption to the prohibition on introduction into interstate commerce in paragraph (g)(4)(i) of this section.
              (5)(i) Effective January 1, 2020, no person may introduce into interstate commerce or use HCFC-123 or HCFC-124 (unless used, recovered and recycled) for any purpose other than for use in a process resulting in its transformation or its destruction; for use as a refrigerant in equipment manufactured before January 1, 2020; for use as a fire suppression streaming agent listed as acceptable for use or acceptable subject to narrowed use limits for nonresidential applications in accordance with the regulations at subpart G of this part and only to the extent permitted under paragraph (g)(5)(ii) of this section; for export to Article 5 Parties under § 82.18(a); as a transhipment or heel; or for exemptions permitted under paragraph (f) of this section.
              (ii) HCFC-123 that was produced or imported on or after January 1, 2020 may be used as a fire suppression streaming agent only to service equipment manufactured before January 1, 2020. HCFC-123 that was produced or imported prior to January 1, 2020 (or used, recovered and recycled) may be used as a fire suppression streaming agent in equipment manufactured before, on, or after January 1, 2020.
              (iii) Notwithstanding the prohibition on use in paragraph (g)(5)(i) of this section, the use of HCFC-123 as a refrigerant in equipment manufactured on or after January 1, 2020 but before January 1, 2021 is permitted if the conditions of this paragraph (g)(5)(iii) are met. The HCFC-123 must be in the possession of an entity that will complete the manufacture of the appliance and imported prior to January 1, 2020. The appliance components must be ready for shipment to a construction location prior to July 24, 2019 and be specified in a building permit or a contract dated before July 24, 2019 for use on a particular project. All HCFC-123 used to service such appliances on or after January 1, 2021 must be used, recovered, or recycled.

              (6) Effective January 1, 2030, no person may introduce into interstate commerce or use any class II controlled substance (unless used, recovered, and recycled) for any purpose other than for use in a process resulting in its transformation or its destruction; for export to Article 5 Parties under § 82.18(a); as a transhipment or heel; or for exemptions permitted in paragraph (f) of this section.

              (7) Effective January 1, 2040, no person may introduce into interstate commerce or use any class II controlled substance (unless used, recovered, and recycled) for any purpose other than for use in a process resulting in its transformation or its destruction, as a transhipment or heel, or for exemptions permitted in paragraph (f) of this section.
              (8) No person may sell or distribute, or offer for sale or distribution, any class II substance that they know, or have reason to know, was imported in violation of this section, except for such actions needed to re-export the controlled substance. Every kilogram of a controlled substance imported in contravention of this paragraph (g)(8) that is sold or distributed, or offered for sale or distribution, constitutes a separate violation of this subpart.
              [68 FR 2848, Jan. 21, 2003, as amended at 69 FR 34031, June 17, 2004; 71 FR 41171, July 20, 2006; 74 FR 66445, Dec. 15, 2009; 79 FR 16686, Mar. 26, 2014; 79 FR 64286, Oct. 28, 2014; 85 FR 15296, Mar. 17, 2020; 85 FR 15296, Mar. 17, 2020]

              § 82.16
              Phaseout schedule of class II controlled substances.
              (a)(1) Calendar-year allowances. In each control period as indicated in the following tables, each person is granted the specified percentage of baseline production allowances and baseline consumption allowances for the specified class II controlled substances apportioned under §§ 82.17 and 82.19:

                Table 1 to Paragraph (a)—Calendar-Year HCFC Production Allowances

                  Control period
                  Percent of HCFC-141b
                  Percent of HCFC-22
                  Percent of HCFC-142b
                  Percent of HCFC-123
                  Percent of HCFC-124
                  Percent of HCFC-225ca
                  Percent of HCFC-225cb

                  2003
                  0
                  100
                  100

                  2004
                  0
                  100
                  100

                  2005
                  0
                  100
                  100

                  2006
                  0
                  100
                  100

                  2007
                  0
                  100
                  100

                  2008
                  0
                  100
                  100

                  2009
                  0
                  100
                  100

                  2010
                  0
                  41.9
                  0.47
                  0
                  125
                  125
                  125

                  2011
                  0
                  32
                  4.9
                  0
                  125
                  125
                  125

                  2012
                  0
                  17.7
                  4.9
                  0
                  125
                  125
                  125

                  2013
                  0
                  30.1
                  4.9
                  0
                  125
                  125
                  125

                  2014
                  0
                  26.1
                  4.9
                  0
                  125
                  125
                  125

                  2015
                  0
                  21.7
                  0.37
                  0
                  5
                  0
                  0

                  2016
                  0
                  21.7
                  0.32
                  0
                  5
                  0
                  0

                  2017
                  0
                  21.7
                  0.26
                  0
                  5
                  0
                  0

                  2018
                  0
                  21.7
                  0.21
                  0
                  5
                  0
                  0

                  2019
                  0
                  21.7
                  0.16
                  0
                  5
                  0
                  0

                  2020
                  0
                  0
                  0
                  0
                  5.0
                  0
                  0

                  2021
                  0
                  0
                  0
                  0
                  5.0
                  0
                  0

                  2022
                  0
                  0
                  0
                  0
                  5.0
                  0
                  0

                  2023
                  0
                  0
                  0
                  0
                  4.4
                  0
                  0

                  2024
                  0
                  0
                  0
                  0
                  3.8
                  0
                  0

                  2025
                  0
                  0
                  0
                  0
                  3.2
                  0
                  0

                  2026
                  0
                  0
                  0
                  0
                  2.5
                  0
                  0

                  2027
                  0
                  0
                  0
                  0
                  1.9
                  0
                  0

                  2028
                  0
                  0
                  0
                  0
                  1.3
                  0
                  0

                  2029
                  0
                  0
                  0
                  0
                  0.7
                  0
                  0

                  2030
                  0
                  0
                  0
                  0
                  0
                  0
                  0

                Table 2 to Paragraph (a)—Calendar-Year HCFC Consumption Allowances

                  Control period
                  Percent of HCFC-141b
                  Percent of HCFC-22
                  Percent of HCFC-142b
                  Percent of HCFC-123
                  Percent of HCFC-124
                  Percent of HCFC-225ca
                  Percent of HCFC-225cb

                  2003
                  0
                  100
                  100

                  2004
                  0
                  100
                  100

                  2005
                  0
                  100
                  100

                  2006
                  0
                  100
                  100

                  2007
                  0
                  100
                  100

                  2008
                  0
                  100
                  100

                  2009
                  0
                  100
                  100

                  2010
                  0
                  41.9
                  0.47
                  125
                  125
                  125
                  125

                  2011
                  0
                  32
                  4.9
                  125
                  125
                  125
                  125

                  2012
                  0
                  17.7
                  4.9
                  125
                  125
                  125
                  125

                  2013
                  0
                  18
                  4.9
                  125
                  125
                  125
                  125

                  2014
                  0
                  14.2
                  4.9
                  125
                  125
                  125
                  125

                  2015
                  0
                  7
                  1.7
                  100
                  8.3
                  0
                  0

                  2016
                  0
                  5.6
                  1.5
                  100
                  8.3
                  0
                  0

                  2017
                  0
                  4.2
                  1.2
                  100
                  8.3
                  0
                  0

                  2018
                  0
                  2.8
                  1
                  100
                  8.3
                  0
                  0

                  2019
                  0
                  1.4
                  0.7
                  100
                  8.3
                  0
                  0

                  2020
                  0
                  0
                  0
                  32.3
                  8.3
                  0
                  0

                  2021
                  0
                  0
                  0
                  32.3
                  8.3
                  0
                  0

                  2022
                  0
                  0
                  0
                  32.3
                  8.3
                  0
                  0

                  2023
                  0
                  0
                  0
                  28.4
                  7.3
                  0
                  0

                  2024
                  0
                  0
                  0
                  24.4
                  6.3
                  0
                  0

                  2025
                  0
                  0
                  0
                  20.4
                  5.3
                  0
                  0

                  2026
                  0
                  0
                  0
                  16.4
                  4.2
                  0
                  0

                  2027
                  0
                  0
                  0
                  12.5
                  3.2
                  0
                  0

                  2028
                  0
                  0
                  0
                  8.5
                  2.2
                  0
                  0

                  2029
                  0
                  0
                  0
                  4.5
                  1.1
                  0
                  0

                  2030
                  0
                  0
                  0
                  0
                  0
                  0
                  0

              (2) Recoupment allowances. In the control period beginning January 1, 2013 and ending December 31, 2013, and again in the control period beginning January 1, 2014 and ending December 31, 2014, certain companies are granted HCFC consumption and production allowances in addition to the percentage of baseline listed in the table at paragraph (a)(1) of this section. The following companies will receive the amounts listed below in both 2013 and 2014: 2,374,846 kg of HCFC-22 consumption allowances and 2,305,924 kg of HCFC-22 production allowances to Arkema; 1,170 kg of HCFC-142b consumption allowances to DuPont; 29,146 kg of HCFC-142b consumption allowances and 53,549 kg of HCFC-142b production allowances to Honeywell; 578,948 kg of HCFC-22 consumption allowances to Solvay Fluorides; and 144,900 kg of HCFC-142b production allowances to Solvay Solexis.
              (b) Effective January 1, 2003, no person may produce HCFC-141b except for use in a process resulting in its transformation or its destruction, for export under § 82.18(a) using unexpended Article 5 allowances, for export under § 82.18(b) using unexpended export production allowances, for HCFC-141b exemption needs using unexpended HCFC-141b exemption allowances, or for exemptions permitted in § 82.15(f). Effective January 1, 2003, no person may import HCFC-141b (other than transhipments, heels or used class II controlled substances) in excess of the quantity of unexpended HCFC-141b exemption allowances held by that person except for use in a process resulting in its transformation or its destruction, or for exemptions permitted in § 82.15(f).
              (c) Effective January 1, 2010, no person may produce HCFC-22 or HCFC-142b for any purpose other than for use in a process resulting in their transformation or their destruction, for use in equipment manufactured before January 1, 2010, for export under § 82.18(a) using unexpended Article 5 allowances, or for export under § 82.18(b) using unexpended export production allowances, or for exemptions permitted in § 82.15(f). Effective January 1, 2010, no person may import HCFC-22 or HCFC-142b (other than transhipments, heels or used class II controlled substances) for any purpose other than for use in a process resulting in their transformation or their destruction, for exemptions permitted in § 82.15(f), or for use in equipment manufactured prior to January 1, 2010.
              (d) Effective January 1, 2015, no person may produce class II controlled substances not previously controlled for any purpose other than for use in a process resulting in their transformation or their destruction, for use as a refrigerant in equipment manufactured before January 1, 2020, for use as a fire suppression streaming agent listed as acceptable for use or acceptable subject to narrowed use limits for nonresidential applications in accordance with the regulations at subpart G of this part, for export under § 82.18(a) using unexpended Article 5 allowances, for export under § 82.18(b) using unexpended export production allowances, or for exemptions permitted in § 82.15(f). Effective January 1, 2015, no person may import class II controlled substances not subject to the requirements of paragraph (b) or (c) of this section (other than transhipments, heels, or used class II controlled substances) for any purpose other than for use in a process resulting in their transformation or their destruction, for exemptions permitted in § 82.15(f), for use as a refrigerant in equipment manufactured prior to January 1, 2020, or for use as a fire suppression streaming agent listed as acceptable for use or acceptable subject to narrowed use limits for nonresidential applications in accordance with the regulations at subpart G of this part.

              (e)(1) Effective January 1, 2020, no person may produce HCFC-22 or HCFC-142b for any purpose other than for use in a process resulting in their transformation or their destruction, for export under § 82.18(a) using unexpended Article 5 allowances, or for exemptions permitted in § 82.15(f). Effective January 1, 2020, no person may import HCFC-22 or HCFC-142b for any purpose other than for use in a process resulting in their transformation or their destruction or for exemptions permitted in § 82.15(f).

              (2) Effective January 1, 2020, no person may produce HCFC-123 for any purpose other than for use in a process resulting in its transformation or its destruction, for use as a refrigerant in equipment manufactured before January 1, 2020, for export under § 82.18(a) using unexpended Article 5 allowances, or for exemptions permitted in § 82.15(f). Effective January 1, 2020, no person may import HCFC-123 for any purpose other than for use in a process resulting in its transformation or its destruction, for use as a refrigerant in equipment manufactured before January 1, 2020, for use as a fire suppression streaming agent in equipment manufactured before January 1, 2020 and listed as acceptable for use or acceptable subject to narrowed use limits for nonresidential applications, or for exemptions permitted in § 82.15(f).
              (f) Effective January 1, 2030, no person may produce class II controlled substances, for any purpose other than for use in a process resulting in their transformation or their destruction, for export under § 82.18(a) using unexpended Article 5 allowances, or for exemptions permitted in § 82.15(f). Effective January 1, 2030, no person may import class II controlled substances for any purpose other than for use in a process resulting in their transformation or their destruction, or for exemptions permitted in § 82.15(f).
              (g) Effective January 1, 2040, no person may produce class II controlled substances for any purpose other than for use in a process resulting in their transformation or their destruction, or for exemptions permitted in § 82.15(f).
              (h) [Reserved]
              [68 FR 2848, Jan. 21, 2003, as amended at 71 FR 41171, July 20, 2006; 74 FR 66446, Dec. 15, 2009; 76 FR 47467, Aug. 5, 2011; 78 FR 20027, Apr. 3, 2013; 79 FR 64286, Oct. 28, 2014; 85 FR 15296, Mar. 17, 2020]

              § 82.17
              Apportionment of baseline production allowances for class II controlled substances.
              The following persons are apportioned baseline production allowances for HCFC-22, HCFC-141b, HCFC-142b, HCFC-123, HCFC-124, HCFC-225ca, and HCFC-225cb as set forth in the following table:

                  Person
                  Controlled substance
                  Allowances(kg)

                  AGC Chemicals Americas
                  HCFC-225ca
                  266,608

                  HCFC-225cb
                  373,952

                  Arkema
                  HCFC-22
                  46,692,336

                  HCFC-141b
                  24,647,925

                  HCFC-142b
                  484,369

                  DuPont
                  HCFC-22
                  42,638,049

                  HCFC-124
                  2,269,210

                  Honeywell
                  HCFC-22
                  37,378,252

                  HCFC-141b
                  28,705,200

                  HCFC-142b
                  2,417,534

                  HCFC-124
                  1,759,681

                  MDA Manufacturing
                  HCFC-22
                  2,383,835

                  Solvay Specialty Polymers USA, LLC
                  HCFC-142b
                  6,541,764

              [79 FR 64287, Oct. 28, 2014]

              § 82.18
              Availability of production in addition to baseline production allowances for class II controlled substances.
              (a) Article 5 allowances. (1) Effective January 1, 2003, a person apportioned baseline production allowances for HCFC-141b, HCFC-22, or HCFC-142b under § 82.17 is also apportioned Article 5 allowances, equal to 15 percent of their baseline production allowances, for the specified HCFC for each control period up until December 31, 2009, to be used for the production of the specified HCFC for export only to foreign states listed in Appendix E to this subpart.

              (2) Effective January 1, 2010, a person apportioned baseline production allowances under § 82.17 for HCFC-141b, HCFC-22, or HCFC-142b is also apportioned Article 5 allowances, equal to 10 percent of their baseline production allowances, for the specified HCFC for each control period up until December 31, 2019, to be used for the production of the specified HCFC for export only to foreign states listed in Appendix E to this subpart.
              (3) Effective January 1, 2015, a person apportioned baseline production allowances under § 82.17 for HCFC-123, HCFC-124, HCFC-225ca, and HCFC-225cb is also apportioned Article 5 allowances, equal to 10 percent of their baseline production allowances, for the specified HCFC for each control period up until December 31, 2019, to be used for the production of the specified HCFC for export only to foreign states listed in Appendix E to this subpart.
              (b) Export Production Allowances. (1) Effective January 1, 2003, a person apportioned baseline production allowances for HCFC-141b under § 82.17 is also apportioned export production allowances, equal to 100 percent of their baseline production allowances, for HCFC-141b for each control period up until December 31, 2009, to be used for the production of HCFC-141b for export only, in accordance with this section.
              (2) [Reserved]
              (c) International trades of production allowances, export production allowances and Article 5 allowances. (1) A person may increase or decrease their production allowances, export production allowances, or Article 5 allowances, for a specified control period through trades with a foreign state that is Party to the Beijing Amendment or is complying with the Beijing Amendment as defined in this subpart. The foreign state must agree either to trade to the person for the current control period some quantity of production that the foreign state is permitted under the Montreal Protocol or to receive from the person for the current control period some quantity of production that the person is permitted under this subpart. The person must expend their consumption allowances allocated under § 82.19, or obtained under § 82.20 in order to produce with the additional production allowances.
              (2) Trade from a Party—Information requirements. (i) A person requesting a trade from a Party must submit to the Administrator a signed document from the principal diplomatic representative in that nation's embassy in the U.S. stating that the appropriate authority within that nation will establish or revise production limits for the nation to equal the lowest of the following three production quantities:
              (A) The maximum production that the nation is allowed under the Protocol minus the quantity (in kilograms) to be traded;
              (B) The maximum production that is allowed under the nation's applicable domestic law minus the quantity (in kilograms) to be traded; or
              (C) The average of the nation's actual national production level for the three years prior to the trade minus the production to be traded.
              (ii) A person requesting a trade from a Party must also submit to the Administrator a true copy of the document that sets forth the following:
              (A) The identity and address of the person;
              (B) The identity of the Party;
              (C) The names and telephone numbers of contact persons for the person and for the Party;
              (D) The chemical type and quantity (in kilograms) of production being traded;
              (E) Documentation that the Party possesses the necessary quantity of unexpended production rights;
              (F) The control period(s) to which the trade applies; and
              (G) For increased production intended for export to the Party from whom the allowances would be received, a signed statement of intent to export to the Party.
              (3) Trade to a Party—Information requirements. A person requesting a trade to a Party must submit a request that sets forth the following information to the Administrator:
              (i) The identity and address of the person;
              (ii) The identity of the Party;
              (iii) The names and telephone numbers of contact persons for the person and for the Party;
              (iv) The chemical type and quantity (in kilograms) of allowable production being traded; and
              (v) The control period(s) to which the trade applies.
              (4) Review of international trade request to a Party. After receiving a trade request that meets the requirements of paragraph (c)(3) of this section, the Administrator may, at his/her discretion, consider the following factors by seeking concurrence from the Department of Commerce, the United States Trade Representative, and the Department of State, where appropriate, in deciding whether to approve such a trade:
              (i) Possible creation of domestic economic hardship;
              (ii) Possible effects on trade;
              (iii) Potential environmental implications; and
              (iv) The total quantity of unexpended production allowances held by U.S. entities.
              (5) Notice of trade. If the request meets the requirement of paragraph (c)(2) of this section for trades from Parties and paragraphs (c)(3) and (4) of this section for trades to Parties, the Administrator will issue the person a notice. The notice will either grant or deduct production allowances or export production allowances or Article 5 allowances and specify the control period to which the trade applies. The Administrator may disapprove the trade request contingent on the consideration of factors listed in paragraph (c)(4) of this section for trades to Parties.
              (i) For trades from a Party, the Administrator will issue a notice revising the allowances held by the recipient of the trade to equal the unexpended production allowances, unexpended export production allowances, or unexpended Article 5 allowances held by the recipient of the trade under this subpart plus the quantity of allowable production traded from the Party.
              (ii) For trades to a Party, the Administrator will issue a notice revising the production limit for the trader to equal the lesser of:
              (A) The unexpended production allowances, unexpended export production allowances or unexpended Article 5 allowances held by the trade or minus the quantity traded; or
              (B) The unexpended production allowances held by the trader minus the amount by which the U.S. average annual production of the class II controlled substance being traded for the three years prior to the trade is less than the total allowable production of that class II controlled substance under this subpart minus the amount traded; or
              (C) The total U.S. allowable production of the class II controlled substance being traded minus the three-year average of the actual annual U.S. production of the class II controlled substance prior to the control period of the trade.
              (6) Revised notices of production limits for subsequent traders. If after one person obtains approval of a trade of allowable production of a class II controlled substance to a Party and other persons obtain approval for trades of the same class II controlled substance during the same control period, the Administrator will issue revised notices. The notices will revise the production limits for each of the other persons trading to equal the lesser of:
              (i) The unexpended production allowances, unexpended export production allowances or unexpended Article 5 allowances held by the trader under this subpart minus the quantity traded; or
              (ii) The result of the following set of calculations:
              (A) The total U.S. allowable production of the class II controlled substance minus the three-year average of the actual annual U.S. production of the class II controlled substance prior to the control period of the trade;
              (B) The quantity traded divided by the total quantity traded by all the other persons trading the same class II controlled substance in the same control period;
              (C) The result of paragraph (c)(6)(ii)(A) of this section multiplied by the result of paragraph (c)(6)(ii)(B) of this section;
              (D) The quantity derived in paragraph (c)(6)(i) of this section, minus the result of paragraph (c)(6)(ii)(C) of this section;
              (7) Production limit for previous traders. The Administrator will also issue a notice revising the production limit for each trader who previously obtained approval of a trade of the class II controlled substance to a Party in the same control period to equal the result of the following set of calculations:

              (i) The total U.S. allowable production of the class II controlled substance minus the three-year average of the actual annual U.S. production of the class II controlled substance prior to the control period of the trade;
              (ii) The quantity traded by the person divided by the quantity traded by all the persons who have traded that class II controlled substance in that control period;
              (iii) The result of paragraph (c)(7)(i) of this section multiplied by the result of paragraph (c)(7)(ii) of this section.
              (iv) The unexpended production allowances, unexpended export production allowances or unexpended Article 5 allowances held by the person plus the result of paragraph (c)(7)(iii) of this section;
              (8) Effective date of revised production limits. The change in production allowances, export production allowances or Article 5 allowances will be effective on the date that the notice is issued.
              [68 FR 2848, Jan. 21, 2003, as amended at 74 FR 66446, Dec. 15, 2009; 79 FR 16687, Mar. 26, 2014]

              § 82.19
              Apportionment of baseline consumption allowances for class II controlled substances.
              The following persons are apportioned baseline consumption allowances for HCFC-22, HCFC-142b, HCFC-123, HCFC-124, HCFC-225ca, and HCFC-225cb as set forth in the following table:

                  Person
                  Controlled substance
                  Allowances(kg)

                  ABCO Refrigeration Supply
                  HCFC-22
                  279,366

                  AGC Chemicals Americas
                  HCFC-225ca
                  285,328

                  HCFC-225cb
                  286,832

                  Altair Partners
                  HCFC-22
                  302,011

                  Arkema
                  HCFC-22
                  48,637,642

                  HCFC-141b
                  25,405,570

                  HCFC-142b
                  483,827

                  HCFC-124
                  3,719

                  Carrier
                  HCFC-22
                  54,088

                  Continental Industrial Group
                  HCFC-141b
                  20,315

                  Coolgas, Inc.
                  HCFC-141b
                  16,097,869

                  Combs Investment Property
                  HCFC-22
                  1,040,458

                  HCFC-123
                  19,980

                  HCFC-124
                  3,742

                  Discount Refrigerants
                  HCFC-141b
                  994

                  DuPont
                  HCFC-22
                  38,814,862

                  HCFC-141b
                  9,049

                  HCFC-142b
                  52,797

                  HCFC-123
                  1,877,042

                  HCFC-124
                  743,312

                  H.G. Refrigeration Supply
                  HCFC-22
                  40,068

                  Honeywell
                  HCFC-22
                  35,392,492

                  HCFC-141b
                  20,749,489

                  HCFC-142b
                  1,315,819

                  HCFC-124
                  1,284,265

                  ICC Chemical Corp.
                  HCFC-141b
                  81,225

                  ICOR
                  HCFC-124
                  81,220

                  Mexichem Fluor Inc.
                  HCFC-22
                  2,546,305

                  Kivlan & Company
                  HCFC-22
                  2,081,018

                  MDA Manufacturing
                  HCFC-22
                  2,541,545

                  Mondy Global
                  HCFC-22
                  281,824

                  National Refrigerants
                  HCFC-22
                  5,528,316

                  HCFC-123
                  72,600

                  HCFC-124
                  50,380

                  Perfect Technology Center, LP
                  HCFC-123
                  9,100

                  Refricenter of Miami
                  HCFC-22
                  381,293

                  Refricentro
                  HCFC-22
                  45,979

                  R-Lines
                  HCFC-22
                  63,172

                  Saez Distributors
                  HCFC-22
                  37,936

                  Solvay Fluorides, LLC
                  HCFC-22
                  3,781,691

                  HCFC-141b
                  3,940,115

                  Solvay Specialty Polymers USA, LLC
                  HCFC-142b
                  194,536

                  Tulstar Products
                  HCFC-141b
                  89,913

                  HCFC-123
                  34,800

                  HCFC-124
                  229,582

                  USA Refrigerants
                  HCFC-22
                  14,865

              [79 FR 64288, Oct. 28, 2014]

              § 82.20
              Availability of consumption allowances in addition to baseline consumption allowances for class II controlled substances.
              (a) A person may obtain at any time during the control period, in accordance with the provisions of this section, consumption allowances equivalent to the quantity of class II controlled substances that the person exported from the United States and its territories to a foreign state in accordance with this section, when that quantity of class II controlled substance was produced in the U.S. or imported into the United States with expended consumption allowances. Both the export of the class II controlled substance and the request for additional consumption allowances must occur during a calendar year in which consumption allowances were issued for that class II controlled substance.
              (1) The exporter must submit to the Administrator a request for consumption allowances setting forth the following:
              (i) The identities and addresses of the exporter and the recipient of the exports;
              (ii) The exporter's Employer Identification Number;
              (iii) The names and telephone numbers of contact persons for the exporter and the recipient;
              (iv) The quantity (in kilograms) and type of class II controlled substances reported;
              (v) The source of the class II controlled substances and the date purchased;
              (vi) The date on which, and the port from which, the class II controlled substances were exported from the U.S. or its territories;
              (vii) The country to which the class II controlled substances were exported;
              (viii) A copy of the bill of lading and the invoice indicating the net quantity (in kilograms) of class II controlled substances shipped and documenting the sale of the class II controlled substances to the purchaser;
              (ix) The commodity codes of the class II controlled substances reported; and
              (x) A written statement from the producer that the class II controlled substances were produced with expended allowances or a written statement from the importer that the class II controlled substances were imported with expended allowances.
              (2) The Administrator will review the information and documentation submitted under paragraph (a)(1) of this section and will issue a notice.
              (i) The Administrator will determine the quantity of class II controlled substances that the documentation verifies was exported and issue consumption allowances equivalent to the quantity of class II controlled substances that were exported.
              (A) The grant of the consumption allowances will be effective on the date the notice is issued.
              (B) The consumption allowances will be granted to the person the exporter indicates, whether it is the producer, the importer, or the exporter.
              (ii) The Administrator will issue a notice that the consumption allowances are not granted if the Administrator determines that the information and documentation do not satisfactorily substantiate the exporter's claims.
              (b) International trades of consumption allowances. (1) A person may increase its consumption allowances for a specified control period through trades with another Party to the Protocol as set forth in this paragraph (b). A person may only receive consumption from Poland or Norway, or both, and only if the nation agrees to trade to the person for the current control period some quantity of consumption that the nation is permitted under the Montreal Protocol.
              (2) Trade from a Party—Information requirements. A person must submit the following information to the Administrator:
              (i) A signed document from the principal diplomatic representative in the Polish or Norwegian embassy in the U.S. stating that the appropriate authority within that nation will establish or revise consumption limits for the nation to equal the lowest of the following three consumption quantities:

              (A) The maximum consumption that the nation is allowed under the Protocol minus the quantity (in kilograms) traded;

              (B) The maximum consumption that is allowed under the nation's applicable domestic law minus the quantity (in kilograms) traded; or
              (C) The average of the nation's actual consumption level for the three years prior to the trade minus the consumption traded.
              (ii) A person requesting a consumption trade from Poland or Norway must also submit to the Administrator a true copy of the document that sets forth the following:
              (A) The identity and address of the person;
              (B) The identity of the Party;
              (C) The names and telephone numbers of contact persons for the person and for the Party;
              (D) The chemical type and quantity (in kilograms) of consumption being traded;
              (E) Documentation that the Party possesses the necessary quantity of unexpended consumption rights;
              (F) The control period(s) to which the trade applies; and
              (3) Notice of trade. If the request meets the requirement of paragraph (b)(2) of this section for trades from Parties, the Administrator will issue the person a notice. The notice will grant consumption allowances and specify the control period to which the trade applies. The Administrator may disapprove the trade request if it does not meet the requirements of paragraph (b)(2) of this section.
              (4) Trade from a Party. The Administrator will issue a notice revising the allowances held by the recipient of the trade to equal the unexpended consumption allowances held by the recipient of the trade under this subpart plus the quantity of allowable consumption traded from the Party.
              (5) Effective date of revised consumption limits. The change in consumption allowances will be effective on the date that the notice is issued.
              [68 FR 2848, Jan. 21, 2003, as amended at 71 FR 41172, July 20, 2006; 79 FR 64288, Oct. 28, 2014]

              §§ 82.21-82.22
              [Reserved]

              § 82.23
              Transfers of allowances of class II controlled substances.
              (a) Inter-company transfers. Effective January 1, 2003, a person (“transferor”) may transfer to any other person (“transferee”) any quantity of the transferor's class II consumption allowances, production allowances, export production allowances, or Article 5 allowances for the same type of allowance as follows:
              (i) The transferor must submit to the Administrator a transfer claim setting forth the following:
              (A) The identities and addresses of the transferor and the transferee;
              (B) The name and telephone numbers of contact persons for the transferor and the transferee;
              (C) The type of allowances being transferred, including the names of the class II controlled substances for which allowances are to be transferred;
              (D) The quantity (in kilograms) of allowances being transferred;
              (E) The control period(s) for which the allowances are being transferred;
              (F) [Reserved]
              (G) For trades of consumption allowances, production allowances, export production allowances, or Article 5 allowances, the quantity of the 0.1 percent offset applied to the unweighted quantity traded that will be deducted from the transferor's allowance balance.
              (ii) The Administrator will determine whether the records maintained by EPA indicate that the transferor possesses unexpended allowances sufficient to cover the transfer claim on the date the transfer claim is processed. The transfer claim is the quantity (in kilograms) to be transferred plus 0.1 percent of that quantity. The Administrator will take into account any previous transfers, any production, and allowable imports and exports of class II controlled substances reported by the transferor. Within three working days of receiving a complete transfer claim, the Administrator will take action to notify the transferor and transferee as follows:

              (A) The Administrator will issue a notice indicating that EPA does not object to the transfer if EPA's records show that the transferor has sufficient unexpended allowances to cover the transfer claim. In the case of transfers of production or consumption allowances, EPA will reduce the transferor's balance of unexpended allowances by the quantity to be transferred plus 0.1 percent of that quantity. In the case of transfers of export production or Article 5 allowances, EPA will reduce the transferor's balance of unexpended allowances, respectively, by the quantity to be transferred plus 0.1 percent of that quantity. The transferor and the transferee may proceed with the transfer when EPA issues a no objection notice. However, if EPA ultimately finds that the transferor did not have sufficient unexpended allowances to cover the claim, the transferor and transferee, where applicable, will be held liable for any knowing violations of the regulations of this subpart that occur as a result of, or in conjunction with, the improper transfer.
              (B) The Administrator will issue a notice disallowing the transfer if EPA's records show that the transferor has insufficient unexpended allowances to cover the transfer claim, or that the transferor has failed to respond to one or more Agency requests to supply information needed to make a determination. Either party may file a notice of appeal, with supporting reasons, with the Administrator within 10 working days after receipt of notification. The Administrator may affirm or vacate the disallowance. If no appeal is taken by the tenth working day after notification, the disallowance shall be final on that day.
              (iii) The transferor and transferee may proceed with the transfer if the Administrator does not respond to a transfer claim within the three working days specified in paragraph (a)(1)(ii) of this section. In the case of transfers of production or consumption allowances, EPA will reduce the transferor's balance of unexpended allowances by the quantity to be transferred plus 0.1 percent of that quantity. In the case of transfers of export production allowances or Article 5 allowances, EPA will reduce the transferor's balance of unexpended allowances by the quantity to be transferred plus 0.1 percent of that quantity. If EPA ultimately finds that the transferor did not have sufficient unexpended allowances to cover the claim, the transferor and/or the transferee, where applicable, will be held liable for any knowing violations of the regulations of this subpart that occur as a result of, or in conjunction with, the improper transfer.
              (b) Inter-pollutant transfers. (1) Effective January 1, 2003, a person (transferor) may convert consumption allowances, production allowances or Article 5 allowances for one class II controlled substance to the same type of allowance for another class II controlled substance listed in appendix B of this subpart, following the procedures described in paragraph (b)(3) of this section.
              (i) A person (transferor) may only convert allowances for one class II controlled substance for which EPA has issued allowances under § 82.16 to another class II controlled substance for which EPA has issued allowances under § 82.16.
              (ii) [Reserved]
              (2) Inter-pollutant transfers will be permitted at any time during the control period and during the 30 days after the end of a control period.
              (3) The transferor must submit to the Administrator a transfer claim that includes the following:
              (i) The identity and address of the transferor;
              (ii) The name and telephone number of a contact person for the transferor;
              (iii) The type of allowances being converted, including the names of the class II controlled substances for which allowances are to be converted;
              (iv) The quantity (in kilograms) and type of allowances to be converted;
              (v) The quantity (in kilograms) of allowances to be subtracted from the transferor's unexpended allowances for the first class II controlled substance, to be equal to 100.1 percent of the quantity of allowances converted;

              (vi) The quantity (in kilograms) of allowances to be added to the transferee's unexpended allowances for the second class II controlled substance, to be equal to the quantity (in kilograms) of allowances for the first class II controlled substance being converted multiplied by the quotient of the ozone depletion potential of the first class II controlled substance divided by the ozone depletion potential of the second class II controlled substance, as listed in Appendix B to this subpart;
              (vii) The control period(s) for which the allowances are being converted; and
              (viii) The quantity (in kilograms) of unexpended allowances of the type and for the control period being converted that the transferor holds under authority of this subpart as of the date the claim is submitted to EPA.

              (4) The Administrator will determine whether the records maintained by EPA indicate that the convertor possesses unexpended allowances sufficient to cover the transfer claim on the date the transfer claim is processed (i.e., the quantity (in kilograms) to be converted plus 0.1 percent of that quantity (in kilograms)). EPA will take into account any previous transfers, and any production, imports (not including transshipments or used class II controlled substances), or exports (not including transhipments or used class II controlled substances) of class II controlled substances reported by the convertor. Within three working days of receiving a complete transfer claim, the Administrator will take action to notify the convertor as follows:
              (i) The Administrator will issue a notice indicating that EPA does not object to the transfer if EPA's records show that the convertor has sufficient unexpended allowances to cover the transfer claim. EPA will reduce the transferor's balance of unexpended allowances by the quantity to be converted plus 0.1 percent of that quantity (in kilograms). When EPA issues a no objection notice, the transferor may proceed with the transfer. However, if EPA ultimately finds that the transferor did not have sufficient unexpended allowances to cover the claim, the transferor will be held liable for any violations of the regulations of this subpart that occur as a result of, or in conjunction with, the improper transfer.
              (ii) The Administrator will issue a notice disallowing the transfer if EPA's records show that the transferor has insufficient unexpended allowances to cover the transfer claim, or that the transferor has failed to respond to one or more Agency requests to supply information needed to make a determination. The transferor may file a notice of appeal, with supporting reasons, with the Administrator within 10 working days after receipt of notification. The Administrator may affirm or vacate the disallowance. If no appeal is taken by the tenth working day after notification, the disallowance shall be final on that day.
              (iii) The transferor may proceed with the transfer if the Administrator does not respond to a transfer claim within the three working days specified in paragraph (b)(4) of this section. EPA will reduce the transferor's balance of unexpended allowances by the quantity (in kilograms) to be converted plus 0.1 percent of that quantity (in kilograms). The transferor will be held liable for any violations of the regulations of this subpart that occur as a result of, or in conjunction with, the improper transfer if EPA ultimately finds that the transferor did not have sufficient unexpended allowances or credits to cover the claim.
              (c) Inter-company transfers and Inter-pollutant transfers. If a person requests an inter-company transfer and an inter-pollutant transfer simultaneously, the quantity (in kilograms) subtracted from the transferor's unexpended production or consumption allowances for the first class II controlled substance will be equal to 100.1 percent of the quantity (in kilograms) of allowances that are being converted and transferred.
              (d) Permanent transfers. The procedures in paragraph (a) of this section apply to permanent inter-company transfers of baseline production allowances or baseline consumption allowances. A person receiving a permanent transfer of baseline production allowances or baseline consumption allowances (the transferee) for a specific class II controlled substance will be the person who has their baseline allowances adjusted in accordance with phaseout schedules in this subpart. No person may conduct permanent inter-pollutant transfers of baseline production allowances or baseline consumption allowances.
              [68 FR 2848, Jan. 21, 2003, as amended at 78 FR 20028, Apr. 3, 2013; 85 FR 15298, Mar. 17, 2020]

              § 82.24
              Recordkeeping and reporting requirements for class II controlled substances.
              (a) Recordkeeping and reporting. Any person who produces, imports, exports, transforms, or destroys class II controlled substances must comply with the following recordkeeping and reporting requirements:
              (1) Reports required by this section must be submitted to the Administrator within 45 days of the end of the applicable reporting period, unless otherwise specified. Starting May 18, 2020, reports that are available for submission through the Central Data Exchange must be submitted electronically through that tool.
              (2) Revisions of reports that are required by this section must be mailed to the Administrator within 180 days of the end of the applicable reporting period, unless otherwise specified.
              (3) Records and copies of reports required by this section must be retained for three years.
              (4) Quantities of class II controlled substances must be stated in terms of kilograms in reports required by this section.
              (5) Reports and records required by this section may be used for purposes of compliance determinations. These requirements are not intended as a limitation on the use of other evidence admissible under the Federal Rules of Evidence. Failure to provide the reports, petitions and records required by this section and to certify the accuracy of the information in the reports, petitions and records required by this section, will be considered a violation of this subpart. False statements made in reports, petitions and records will be considered violations of Section 113 of the Clean Air Act and under 18 U.S.C. 1001.
              (b) Producers. Persons (“producers”) who produce class II controlled substances during a control period must comply with the following recordkeeping and reporting requirements:
              (1) Reporting—Producers. For each quarter, each producer of a class II controlled substance must provide the Administrator with a report containing the following information:
              (i) The quantity (in kilograms) of production of each class II controlled substance used in processes resulting in their transformation by the producer and the quantity (in kilograms) intended for transformation by a second party;
              (ii) The quantity (in kilograms) of production of each class II controlled substance used in processes resulting in their destruction by the producer and the quantity (in kilograms) intended for destruction by a second party;
              (iii) The expended allowances for each class II controlled substance;
              (iv) [Reserved]
              (v) The quantity (in kilograms) of class II controlled substances sold or transferred during the quarter to a person other than the producer for use in processes resulting in their transformation or eventual destruction;
              (vi) A list of the quantities and names of class II controlled substances, exported by the producer to a Party to the Protocol, that will be transformed or destroyed and therefore were not produced expending production or consumption allowances;
              (vii) For transformation in the U.S. or by a person of another Party, one copy of a transformation verification from the transformer for a specific class II controlled substance and a list of additional quantities shipped to that same transformer for the quarter;
              (viii) For destruction in the U.S. or by a person of another Party, one copy of a destruction verification as required in paragraph (e) of this section for a particular destroyer, destroying the same class II controlled substance, and a list of additional quantities shipped to that same destroyer for the quarter; and
              (ix) [Reserved]

              (x) In cases where the producer produced class II controlled substances using Article 5 allowances, a list of U.S. entities that purchased those class II controlled substances and exported them to Article 5 countries.

              (2) Recordkeeping—Producers. Every producer of a class II controlled substance during a control period must maintain the following records:
              (i) Dated records of the quantity (in kilograms) of each class II controlled substance produced at each facility;
              (ii) Dated records of the quantity (in kilograms) of class II controlled substances produced for use in processes that result in their transformation or for use in processes that result in their destruction;
              (iii) Dated records of the quantity (in kilograms) of class II controlled substances sold for use in processes that result in their transformation or for use in processes that result in their destruction;
              (iv) Dated records of the quantity (in kilograms) of class II controlled substances produced with Article 5 allowances;
              (v) Copies of invoices or receipts documenting sale of class II controlled substances for use in processes that result in their transformation or for use in processes that result in their destruction;
              (vi) Dated records of the quantity (in kilograms) of each class II controlled substance used at each facility as feedstocks or destroyed in the manufacture of a class II controlled substance or in the manufacture of any other substance, and any class II controlled substance introduced into the production process of the same class II controlled substance at each facility;
              (vii) Dated records of the quantity (in kilograms) of raw materials and feedstock chemicals used at each facility for the production of class II controlled substances;
              (viii) Dated records of the shipments of each class II controlled substance produced at each plant;
              (ix) The quantity (in kilograms) of class II controlled substances, the date received, and names and addresses of the source of used materials containing class II controlled substances which are recycled or reclaimed at each plant;
              (x) Records of the date, the class II controlled substance, and the estimated quantity of any spill or release of a class II controlled substance that equals or exceeds 100 pounds;
              (xi) Transformation verification in the case of transformation, or the destruction verification in the case of destruction as required in paragraph (e) of this section showing that the purchaser or recipient of a class II controlled substance, in the U.S. or in another country that is a Party, certifies the intent to either transform or destroy the class II controlled substance, or sell the class II controlled substance for transformation or destruction in cases when allowances were not expended; and
              (xii) [Reserved]
              (xiii) Written verifications from a U.S. purchaser that the class II controlled substance was exported to an Article 5 country in cases where Article 5 allowances were expended to produce the class II controlled substance.
              (3) For any person who fails to maintain the records required by this paragraph, or to submit the report required by this paragraph, the Administrator may assume that the person has produced at full capacity during the period for which records were not kept, for purposes of determining whether the person has violated the prohibitions at § 82.15.
              (c) Importers. Persons (“importers”) who import class II controlled substances during a control period must comply with the following recordkeeping and reporting requirements:
              (1) Reporting—Importers. For each quarter, an importer of a class II controlled substance (including importers of used class II controlled substances) must submit to the Administrator a report containing the following information:
              (i) Summaries of the records required in paragraphs (c)(2)(i) through (xvi) of this section for the previous quarter;
              (ii) The total quantity (in kilograms) imported of each class II controlled substance for that quarter;
              (iii) The commodity code for the class II controlled substances imported, which must be one of those listed in Appendix K to this subpart;

              (iv) The quantity (in kilograms) of those class II controlled substances imported that are used class II controlled substances;

              (v) The quantity (in kilograms) of class II controlled substances imported for that quarter and totaled by chemical for the control period to date;
              (vi) [Reserved]
              (vii) The quantity (in kilograms) of class II controlled substances imported for use in processes resulting in their transformation or destruction;
              (viii) The quantity (in kilograms) of class II controlled substances sold or transferred during that quarter to each person for use in processes resulting in their transformation or eventual destruction; and
              (ix) Transformation verifications showing that the purchaser or recipient of imported class II controlled substances intends to transform those substances or destruction verifications showing that the purchaser or recipient intends to destroy the class II controlled substances (as provided in paragraph (e) of this section).
              (2) Recordkeeping—Importers. An importer of a class II controlled substance (including used class II controlled substances) must maintain the following records:
              (i) The quantity (in kilograms) of each class II controlled substance imported, either alone or in mixtures, including the percentage of each mixture which consists of a class II controlled substance;
              (ii) The quantity (in kilograms) of those class II controlled substances imported that are used and the information provided with the petition where a petition is required under paragraph (c)(3) of this section;
              (iii) The quantity (in kilograms) of class II controlled substances other than transhipments or used substances imported for use in processes resulting in their transformation or destruction;
              (iv) The quantity (in kilograms) of class II controlled substances other than transhipments or used substances imported and sold for use in processes that result in their destruction or transformation;
              (v) The date on which the class II controlled substances were imported;
              (vi) The port of entry through which the class II controlled substances passed;
              (vii) The country from which the imported class II controlled substances were imported;
              (viii) The commodity code for the class II controlled substances shipped, which must be one of those listed in Appendix K to this subpart;
              (ix) The importer number for the shipment;
              (x) A copy of the bill of lading for the import;
              (xi) The invoice for the import;
              (xii) The quantity (in kilograms) of imports of used class II controlled substances;
              (xiii) The U.S. Customs entry number;
              (xiv) Dated records documenting the sale or transfer of class II controlled substances for use in processes resulting in their transformation or destruction; and
              (xv) Copies of transformation verifications or destruction verifications indicating that the class II controlled substances will be transformed or destroyed (as provided in paragraph (e) of this section).
              (3) Petition to import used class II controlled substances and transhipment-Importers. For each individual shipment over 5 pounds of a used class II controlled substance as defined in § 82.3 for which EPA has apportioned baseline production and consumption allowances, an importer must submit directly to the Administrator, at least 40 working days before the shipment is to leave the foreign port of export, the following information in a petition:
              (i) The name, commodity code and quantity (in kilograms) of the used class II controlled substance to be imported;
              (ii) The name and address of the importer, the importer ID number, the contact person, email address, and phone number;
              (iii) Name, address, contact person, email address, and phone number of all previous source facilities from which the used class II controlled substance was recovered;

              (iv) A detailed description of the previous use of the class II controlled substance at each source facility and a best estimate of when the specific controlled substance was put into the equipment at each source facility, and, when possible, documents indicating the date the material was put into the equipment;
              (v) A list of the name, make and model number of the equipment from which the material was recovered at each source facility;
              (vi) Name, address, contact person, email address, and phone number of the exporter and of all persons to whom the material was transferred or sold after it was recovered from the source facility;
              (vii) The U.S. port of entry for the import, the expected date of shipment and the vessel transporting the chemical. If at the time of submitting a petition the importer does not know the U.S. port of entry, the expected date of shipment and the vessel transporting the chemical, and the importer receives a non-objection notice for the individual shipment in the petition, the importer is required to notify the Administrator of this information prior to the actual U.S. Customs entry of the individual shipment;
              (viii) A description of the intended use of the used class II controlled substance, and, when possible, the name, address, contact person, email address, and phone number of the ultimate purchaser in the United States;
              (ix) The name, address, contact person, email address, and phone number of the U.S. reclamation facility, where applicable;
              (x) If someone at the source facility recovered the class II controlled substance from the equipment, the name, email address, and phone number of that person;
              (xi) If the imported class II controlled substance was reclaimed in a foreign Party, the name, address, contact person, email address, and phone number of any or all foreign reclamation facility(ies) responsible for reclaiming the cited shipment;
              (xii) The export license, application for an export license, or official communication acknowledging the export from the appropriate government agency in the country of export and, if recovered in another country, the export license or official communication from the appropriate government agency in that country, and quantity authorized for export in kilograms on the export license, and an English translation of these documents;
              (xiii) If the imported used class II controlled substance is intended to be sold as a refrigerant in the United States, the name, address, and email address of the EPA-certified U.S. reclaimer who will bring the material to the standard required under subpart F of this part, if not already reclaimed to those specifications; and
              (xiv) A certification of accuracy of the information submitted in the petition.
              (4) Review of petition to import used class II controlled substances and transhipments—Importers. Starting on the first working day following receipt by the Administrator of a petition to import a used class II controlled substance, the Administrator will initiate a review of the information submitted under paragraph (c)(3) of this section and take action within 40 working days to issue either an objection-notice or a non-objection notice for the individual shipment to the person who submitted the petition to import the used class II controlled substance.
              (i) The Administrator may issue an objection notice to a petition for the following reasons:
              (A) If the Administrator determines that the information is insufficient, that is, if the petition lacks or appears to lack any of the information required under paragraph (c)(3) of this section or other information that may be requested during the review of the petition necessary to verify that the controlled substance is used;
              (B) If the Administrator determines that any portion of the petition contains false or misleading information, or the Administrator has information from other U.S. or foreign government agencies indicating that the petition contains false or misleading information;

              (C) If the transaction appears to be contrary to provisions of the Vienna Convention on Substances that Deplete the Ozone Layer, the Montreal Protocol and Decisions by the Parties, or the non-compliance procedures outlined and instituted by the Implementation Committee of the Montreal Protocol;

              (D) If the appropriate government agency in the exporting country has not agreed to issue an export license for the cited individual shipment of used class II controlled substance;
              (E) If reclamation capacity is installed or is being installed for that specific class II controlled substance in the country of recovery or country of export and the capacity is funded in full or in part through the Multilateral Fund.
              (ii) Within ten (10) working days after receipt of the objection notice, the importer may re-petition the Administrator, only if the Administrator indicated “insufficient information” as the basis for the objection notice. If no appeal is taken by the tenth working day after the date on the objection notice, the objection shall become final. Only one re-petition will be accepted for any original petition received by EPA.
              (iii) Any information contained in the re-petition which is inconsistent with the original petition must be identified and a description of the reason for the inconsistency must accompany the re-petition.
              (iv) In cases where the Administrator does not object to the petition based on the criteria listed in paragraph (c)(4)(i) of this section, the Administrator will issue a non-objection notice.
              (v) To pass the approved used class II controlled substances through U.S. Customs, the non-objection notice issued by EPA must accompany the shipment through U.S. Customs.
              (vi) If for some reason, following EPA's issuance of a non-objection notice, new information is brought to EPA's attention which shows that the non-objection notice was issued based on false information, then EPA has the right to:
              (A) Revoke the non-objection notice;
              (B) Pursue all means to ensure that the class II controlled substance is not imported into the U.S.; and
              (C) Take appropriate enforcement actions.
              (vii) A person receiving the non-objection notice is permitted to import the individual shipment only within one year of the date stamped on the non-objection notice.
              (viii) A person receiving a non-objection notice from the Administrator for a petition to import used class II controlled substances must maintain the following records:
              (A) A copy of the petition;
              (B) The EPA non-objection notice;
              (C) The bill of lading for the import; and
              (D) The U.S. Customs entry number.
              (5) Recordkeeping for transhipments—Importers. Any person who tranships a class II controlled substance must maintain records that indicate:
              (i) That the class II controlled substance shipment originated in a foreign country;
              (ii) That the class II controlled substance shipment is destined for another foreign country; and
              (iii) That the class II controlled substance shipment will not enter interstate commerce within the U.S.
              (6) Certification of intent to import for destruction. For each individual shipment of a class II controlled substance imported with the intent to destroy that substance, an importer must submit electronically to the Administrator, at least 30 working days before the shipment is to leave the foreign port of export, the following information:
              (i) Name, commodity code, and quantity in kilograms of each controlled substance to be imported;
              (ii) Name and address of the importer, the importer ID number, and the contact person's name, email address, and phone number;
              (iii) Name and address of any intermediary who aggregates controlled substances imported for destruction, and the contact person's name, email address, and phone number;

              (iv) The U.S. port of entry for the import, the expected date of shipment and the vessel transporting the material. If at the time of submitting the certification of intent to import for destruction the importer does not know the U.S. port of entry, the expected date of shipment and the vessel transporting the material, and the importer receives a non-objection notice for the individual shipment in the petition, the importer is required to notify the Administrator of this information prior to the entry of the individual shipment into the United States;
              (v) Name, address, contact person, email address, and phone number of the responsible party at the destruction facility;
              (vi) The export license, application for an export license, or official communication acknowledging the export from the appropriate government agency in the country of export and, if recovered in another country, the export license or official communication from the appropriate government agency in that country, and quantity authorized for export in kilograms on the export license, and an English translation of these documents; and
              (vii) A certification of accuracy of the information submitted in the certification.
              (7) Destruction verification. For each individual shipment of a class II controlled substance imported with the intent to destroy that substance, an importer must submit to the Administrator a copy of the destruction verification within 30 days after destruction of the controlled substance(s).
              (8) Review of certification of intent to import for destruction. (i) Starting on the first working day following receipt by the Administrator of a certification of intent to import a class II controlled substance for destruction, the Administrator will initiate a review of the information submitted under paragraph (c)(6) of this section and take action within 30 working days to issue either an objection notice or a non-objection notice for the individual shipment to the person who submitted the certification of intent to import the class II controlled substance for destruction.
              (ii) The Administrator may issue an objection notice if the petition lacks or appears to lack any of the information required under paragraph (c)(6) of this section or for the reasons listed in paragraphs (c)(4)(i)(B) through (E) of this section.
              (iii) In cases where the Administrator does not object to the petition, the Administrator will issue a non-objection notice.
              (iv) To pass the approved class II controlled substances through U.S. Customs, the non-objection notice issued by EPA must accompany the shipment through U.S. Customs.
              (v) If for some reason, following EPA's issuance of a non-objection notice, new information is brought to EPA's attention which shows that the non-objection notice was issued based on false information, then EPA has the right to:
              (A) Revoke the non-objection notice;
              (B) Pursue all means to ensure that the class II controlled substance is not imported into the United States; and
              (C) Take appropriate enforcement actions.
              (9) Timing of import. A person receiving the non-objection notice is permitted to import the individual shipment only within one year of the date stamped on the non-objection notice.
              (10) Additional recordkeeping requirements—importers of used, recycled, or reclaimed controlled substances. A person receiving a non-objection notice from the Administrator for a certification of intent to import class II controlled substances for destruction must maintain the following records:
              (i) A copy of the certificate of intent to import for destruction;
              (ii) The EPA non-objection notice;
              (iii) A copy of the export license, export license application, or official communication from the appropriate government agency in the country of export;
              (iv) U.S. Customs entry documents for the import that must include one of the commodity codes from appendix K to this subpart;
              (v) The date, amount, and type of controlled substance sent for destruction, per shipment;
              (vi) An invoice from the destruction facility verifying the shipment was received;
              (vii) A copy of the destruction verification from the destruction facility; and
              (viii) An English translation of the document in paragraph (c)(10)(iii) of this section.
              (11) Recordkeeping requirements-aggregators. A person identified in paragraph (c)(6)(iii) of this section as aggregating a controlled substance prior to destruction must:

              (i) Maintain transactional records that include the name and address of the entity from whom they received the controlled substance imported for destruction;
              (ii) Maintain transactional records that include the name and address of the entity to whom they sent the controlled substance imported for destruction;
              (iii) Maintain records that include the date and quantity of the imported controlled substance received for destruction;
              (iv) Maintain records that include the date and quantity of the imported controlled substance sent for destruction; and
              (v) If the person is the final aggregator of such a controlled substance before the material is destroyed, maintain a copy of the destruction verification.
              (d) Exporters. Persons (“exporters”) who export class II controlled substances during a control period must comply with the following reporting requirements:
              (1) Reporting requirements—exporters. For any exports of class II controlled substances not reported under paragraph (b)(2) of this section (reporting for producers of class II controlled substances), each exporter who exported a class II controlled substance must submit to the Administrator the following information within 30 days after the end of each quarter in which the unreported exports left the United States:
              (i) The names and addresses of the exporter and the recipient of the exports;
              (ii) The exporter's Employer Identification Number;
              (iii) The type and quantity of each class II controlled substance exported, including the quantity of controlled substance that is used, reclaimed, or recycled;
              (iv) The date on which, and the port from which, the class II controlled substances were exported from the U.S. or its territories;
              (v) The country to which the class II controlled substances were exported;
              (vi) The quantity (in kilograms) exported to each Article 5 country;
              (vii) The commodity code for the class II controlled substances shipped, which must be one of those listed in Appendix K to this subpart;
              (viii) For persons reporting transformation or destruction, the invoice or sales agreement containing language similar to the transformation verifications that the purchaser or recipient of imported class II controlled substances intends to transform those substances, or destruction verifications showing that the purchaser or recipient intends to destroy the class II controlled substances (as provided in paragraph (e) of this section).
              (2) [Reserved]
              (3) Reporting Article 5 allowances—Exporters. In addition to the information required in paragraph (d)(1) of this section, any exporter using Article 5 allowances must also provide the following to the Administrator:
              (i) The Employer Identification Number of the shipper or their agent; and
              (ii) The exporting vessel on which the class II controlled substances were shipped.
              (4) Reporting used class II controlled substances—Exporters. Any exporter of used class II controlled substances must indicate on the bill of lading or invoice that the class II controlled substance is used, as defined in § 82.3.
              (e) Transformation and destruction. Any person who transforms or destroys class II controlled substances must comply with the following recordkeeping and reporting requirements:
              (1) Recordkeeping—Transformation and destruction. Any person who transforms or destroys class II controlled substances produced or imported by another person must maintain the following:
              (i) Copies of the invoices or receipts documenting the sale or transfer of the class II controlled substances to the person;
              (ii) Records identifying the producer or importer of the class II controlled substances received by the person;
              (iii) Dated records of inventories of class II controlled substances at each plant on the first day of each quarter;
              (iv) Dated records of the quantity (in kilograms) of each class II controlled substance transformed or destroyed;

              (v) In the case where class II controlled substances were purchased or transferred for transformation purposes, a copy of the person's transformation verification as provided under paragraph (e)(3)of this section.
              (vi) Dated records of the names, commercial use, and quantities (in kilograms) of the resulting chemical(s) when the class II controlled substances are transformed; and
              (vii) Dated records of shipments to purchasers of the resulting chemical(s) when the class II controlled substances are transformed.
              (viii) In the case where class II controlled substances were purchased or transferred for destruction purposes, a copy of the person's destruction verification, as provided under paragraph (e)(5) of this section.
              (2) Reporting—Transformation and destruction. Any person who transforms or destroys class II controlled substances and who has submitted a transformation verification ((paragraph (e)(3) of this section) or a destruction verification (paragraph (e)(5) of this section) to the producer or importer of the class II controlled substances, must report the following:
              (i) The names and quantities (in kilograms) of the class II controlled substances transformed for each control period within 45 days of the end of such control period; and
              (ii) The names and quantities (in kilograms) of the class II controlled substances destroyed for each control period within 45 days of the end of such control period.
              (3) Reporting—Transformation. Any person who purchases class II controlled substances for purposes of transformation must provide the producer or importer with a transformation verification that the class II controlled substances are to be used in processes that result in their transformation.
              (i) The transformation verification shall include the following:
              (A) Identity and address of the person intending to transform the class II controlled substances;
              (B) The quantity (in kilograms) of class II controlled substances intended for transformation;
              (C) Identity of shipments by purchase order number(s), purchaser account number(s), by location(s), or other means of identification;
              (D) Period of time over which the person intends to transform the class II controlled substances; and
              (E) Signature of the verifying person.
              (ii) [Reserved]
              (4) Reporting—Destruction. Any person who destroys class II controlled substances shall provide EPA with a one-time report containing the following information:
              (i) The destruction unit's destruction efficiency;
              (ii) The methods used to record the volume destroyed;
              (iii) The methods used to determine destruction efficiency;
              (iv) The name of other relevant federal or state regulations that may apply to the destruction process;
              (v) Any changes to the information in paragraphs (e)(4)(i), (ii), and (iii) of this section must be reflected in a revision to be submitted to EPA within 60 days of the change(s).
              (5) Reporting—Destruction. Any person who purchases or receives and subsequently destroys class II controlled substances that were originally produced without expending allowances shall provide the producer or importer from whom it purchased or received the class II controlled substances with a verification that the class II controlled substances will be used in processes that result in their destruction.
              (i) The destruction verification shall include the following:
              (A) Identity and address of the person intending to destroy class II controlled substances;
              (B) Indication of whether those class II controlled substances will be completely destroyed, as defined in § 82.3, or less than completely destroyed, in which case the destruction efficiency at which such substances will be destroyed must be included;
              (C) Period of time over which the person intends to destroy class II controlled substances; and
              (D) Signature of the verifying person.
              (ii) [Reserved]
              (f) Heels-Recordkeeping and reporting. Any person who brings into the U.S. a rail car, tank truck, or ISO tank containing a heel, as defined in § 82.3, of class II controlled substances, must take the following actions:
              (1) Indicate on the bill of lading or invoice that the class II controlled substance in the container is a heel.
              (2) Report within 30 days of the end of the control period the quantity (in kilograms) brought into the U.S. and certify:
              (i) That the residual quantity (in kilograms) in each shipment is no more than 10 percent of the volume of the container;
              (ii) That the residual quantity (in kilograms) in each shipment will either:
              (A) Remain in the container and be included in a future shipment;
              (B) Be recovered and transformed;
              (C) Be recovered and destroyed; or
              (D) Be recovered for a non-emissive use.
              (3) Report on the final disposition of each shipment within 30 days of the end of the control period.
              [68 FR 2848, Jan. 21, 2003, as amended at 71 FR 41172, July 20, 2006; 81 FR 6768, Feb. 9, 2016; 85 FR 15298, Mar. 17, 2020]

              Pt. 82, Subpt. A, App. A
              Appendix A to Subpart A of Part 82—Class I Controlled Substances

                  Class 1 controlled substances
                  ODP

                  A. Group I:

                  CFCl3-Trichlorofluoromethane (CFC-ll)
                  1.0

                  CF2 Cl2-Dichlorofifluoromethane (CFC-12)
                  1.0

                  C2 F3 Cl3-Trichlorotrifluoroethane (CFC-113)
                  0.8

                  C2 F4 Cl2-Dichlorotetrafluoroethane (CFC-114)
                  1.0

                  C2 F5 Cl-Monochloropentafluoroethane (CFC-115)
                  0.6

                  All isomers of the above chemicals

                  B. Group II:

                  CF2 ClBr-Bromochlorodifluoromethane (Halon-1211)
                  3.0

                  CF3 Br-Bromotrifluoromethane (Halon-1301)
                  10.0

                  C2 F4 Br2-Dibromotetrafluoroethane (Halon-2402)
                  6.0

                  All isomers of the above chemicals

                  C. Group III:

                  CF3 Cl-Chlorotrifluoromethane (CFC-13)
                  1.0

                  C2 FCl5-(CFC-111)
                  1.0

                  C2 F2 Cl4-(CFC-112)
                  1.0

                  C3 FCl7-(CFC-211)
                  1.0

                  C3 F2 Cl6-(CFC-212)
                  1.0

                  C3 F3 Cl5-(CFC-213)
                  1.0

                  C3 F4 Cl4-(CFC-214)
                  1.0

                  C3 F5 Cl3-(CFC-215)
                  1.0

                  C3 F6 Cl2-(CFC-216)
                  1.0

                  C3 F7 Cl-(CFC-217)
                  1.0

                  All isomers of the above chemicals

                  D. Group IV: CCl4-Carbon Tetrachloride
                  1.1

                  E. Group V:

                  C2 H3 Cl3-1,1,1 Trichloroethane (Methyl chloroform)
                  0.1

                  All isomers of the above chemical except 1,1,2-trichloroethane

                  F. Group VI: CH3 Br—Bromomethane (Methyl Bromide)
                  0.7

                  G. Group VII:

                  CHFBR2

                  1.00

                  CHF2 Br (HBFC-2201)
                  0.74

                  CH2 FBr
                  0.73

                  C2 HFBr4

                  0.3-0.8

                  C2 HF2 Br3

                  0.5-1.8

                  C2 HF3 Br2

                  0.4-1.6

                  C2 HF4 Br
                  0.7-1.2

                  C2 H2 FBr3

                  0.1-1.1

                  C2 H2 F2 Br2

                  0.2-1.5

                  C2 H2 F3 Br
                  0.7-1.6

                  C2 H2 FBr2

                  0.1-1.7

                  C2 H3 F2 Br
                  0.2-1.1

                  C2 H4 FBr
                  0.07-0.1

                  C3 HFBr6

                  0.3-1.5

                  C3 HF2 Br5

                  0.2-1.9

                  C3 HF3 Br4

                  0.3-1.8

                  C3 HF4 Br3

                  0.5-2.2

                  C3 HF5 Br2

                  0.9-2.0

                  C3 HF6 Br
                  0.7-3.3

                  C3 H2 FBR5

                  0.1-1.9

                  C3 H2 F2 BR4

                  0.2-2.1

                  C3 H2 F3 Br3

                  0.2-5.6

                  C3 H2 F4 Br2

                  0.3-7.5

                  C3 H2 F5 BR
                  0.9-14

                  C3 H3 FBR4

                  0.08-1.9

                  C3 H3 F2 Br3

                  0.1-3.1

                  C3 H3 F3 Br2

                  0.1-2.5

                  C3 H3 F4 Br
                  0.3-4.4

                  C3 H4 FBr3

                  0.03-0.3

                  C3 H4 F2 Br2

                  0.1-1.0

                  C3 H4 F3 Br
                  0.07-0.8

                  C3 H5 FBr2

                  0.04-0.4

                  C3 H5 F2 Br
                  0.07-0.8

                  C3 H6 FB
                  0.02-0.7

                  H. Group VIII:

                  CH2BrCl (Chlorobromomethane  0.12

              [60 FR 24986, May 10, 1995, as amended at 68 FR 42892, July 18, 2003]

              Pt. 82, Subpt. A, App. B

              Appendix B to Subpart A of Part 82—Class II Controlled Substances
                  a b

                  Controlled substance
                  ODP

                  1. HCFC-21 (CHFCl2) Dichlorofluoromethane
                  0.04

                  2. HCFC-22 (CHF2Cl) Monochlorodifluoromethane
                  0.055

                  3. HCFC-31 (CH2FCl) Monochlorofluoromethane
                  0.02

                  4. HCFC-121 (C2HFCl4) Tetrachlorofluoroethane
                  0.01-0.04

                  5. HCFC-122 (C2HF2Cl3) Trichlorodifluoroethane
                  0.02-0.08

                  6. HCFC-123 (C2HF3Cl2) Dichlorotrifluoroethane
                  0.02

                  7. HCFC-124 (C2HF4Cl) Monochlorotetrafluoroethane
                  0.022

                  8. HCFC-131 (C2H2FCl3) Trichlorofluoroethane
                  0.007-0.05

                  9. HCFC-132 (C2H2F2Cl2) Dichlorodifluoroethane
                  0.008-0.05

                  10. HCFC-133 (C2H2F3Cl) Monochlorotrifluoroethane
                  0.02-0.06

                  11. HCFC-141 (C2H3FCl2) Dichlorofluoroethane
                  0.005-0.07

                  12. HCFC-141b (CH3CFCl2) Dichlorofluoroethane
                  0.11

                  13. HCFC-142 (C2H3F2Cl) Chlorodifluoroethane
                  0.008-0.07

                  14. HCFC-142b (CH3CF2Cl) Monochlorodifluoroethane
                  0.065

                  15. HCFC-151 (C2H4FCl) Chlorofluoroethane
                  0.003-0.005

                  16. HCFC-221 (C3HFCl6) Hexachlorofluoropropane
                  0.015-0.07

                  17. HCFC-222 (C3HF2Cl5) Pentachlorodifluoropropane
                  0.01-0.09

                  18. HCFC-223 (C3HF3Cl4) Tetrachlorotrifluoropropane
                  0.01-0.08

                  19. HCFC-224 (C3HF4Cl3) Trichlorotetrafluoropropane
                  0.01-0.09

                  20. HCFC-225 (C3HF5Cl2) Dichloropentafluoropropane
                  0.02-0.07

                  21. HCFC-225ca (CF3CF2CHCl2) Dichloropentafluoropropane
                  0.025

                  22. HCFC-225cb (CF2ClCF2CHClF) Dichloropentafluoropropane
                  0.033

                  23. HCFC-226 (C3HF6Cl) Monochlorohexafluoropropane
                  0.02-0.1

                  24. HCFC-231 (C3H2FCl5) Pentachlorofluoropropane
                  0.05-0.09

                  25. HCFC-232 (C3H2F2Cl4) Tetrachlorodifluoropropane
                  0.008-0.1

                  26. HCFC-233 (C3H2F3Cl3) Trichlorotrifluoropropane
                  0.007-0.23

                  27. HCFC-234 (C3H2F4Cl2) Dichlorotetrafluoropropane
                  0.01-0.28

                  28. HCFC-235 (C3H2F5Cl) Monochloropentafluoropropane
                  0.03-0.52

                  29. HCFC-241 (C3H3FCl4) Tetrachlorofluoropropane
                  0.004-0.09

                  30. HCFC-242 (C3H3F2Cl3) Trichlorodifluoropropane
                  0.005-0.13

                  31. HCFC-243 (C3H3F3Cl2) Dichlorotrifluoropropane
                  0.007-0.12

                  32. HCFC-244 (C3H3F4Cl) Monochlorotetrafluoropropane
                  0.009-0.14

                  33. HCFC-251 (C3H4FCl3) Monochlorotetrafluoropropane
                  0.001-0.01

                  34. HCFC-252 (C3H4F2Cl2) Dichlorodifluoropropane
                  0.005-0.04

                  35. HCFC-253 (C3H4F3Cl) Monochlorotrifluoropropane
                  0.003-0.03

                  36. HCFC-261 (C3H5FCl2) Dichlorofluoropropane
                  0.002-0.02

                  37. HCFC-262 (C3H5F2Cl) Monochlorodifluoropropane
                  0.002-0.02

                  38. HCFC-271 (C3H6FCl) Monochlorofluoropropane
                  0.001-0.03

                  a According to Annex C of the Montreal Protocol, “Where a range of ODPs is indicated, the highest value in that range shall be used for the purposes of the Protocol. The ODPs listed as single value have been determined from calculations based on laboratory measurements. Those listed as a range are based on estimates and are less certain. The range pertains to an isomeric group. The upper value is the estimate of the ODP of the isomer with the highest ODP, and the lower value is the estimate of the ODP of the isomer with the lowest ODP.

                  b This table includes all isomers of the substances above, regardless of whether the isomer is explicitly listed on its own.

              [79 FR 64288, Oct. 28, 2014]

              Appendix C to Subpart A of Part 82 [Reserved]

              Pt. 82, Subpt. A, App. D
              Appendix D to Subpart A of Part 82—Harmonized Tariff Schedule Description of Products That May Contain Controlled Substances in Appendix A, Class I, Groups I and II
              This appendix is based on information provided by the Ozone Secretariat of the United Nations Ozone Environment Programme.** The Appendix lists available U.S. harmonized tariff schedule codes identifying headings and subheadings for Annex D products that may contain controlled substances.

                ** “A Note Regarding the Harmonized System Code Numbers for the Products Listed in Annex D.” Adopted by Decision IV/15 paragraph 3, of the Fourth Meeting of the Parties in Copenhagen, 23-25 November, 1992.

              The Harmonized Tariff Schedule of the United States uses an enumeration system to identify products imported and exported to and from the U.S. This system relies on a four digit heading, a four digit subheading and additional two digit statistical suffix to characterize products. The United States uses the suffix for its own statistical records and analyses. This Appendix lists only headings and subheadings.
              While some can be readily associated with harmonized system codes, many products cannot be tied to HS classifications unless their exact composition and the presentation are known. It should be noted that the specified HS classifications represent the most likely headings and subheadings which may contain substances controlled by the Montreal Protocol. The codes given should only be used as a starting point; further verfication is needed to ascertain whether or not the products actually contain controlled substances.
              Category 1. Automobile and Truck Air Conditioning Units (whether incorporated in vehicles or not)

              There are no separate code numbers for air conditioning units specially used in automobiles and trucks. Although a code has been proposed for car air conditioners, it is not yet officially listed in the Harmonized Tariff Schedule (see category 2). The following codes apply to the vehicles potentially containing air conditioning units.

                    Heading/Subheading

                    Article Description

                  8701.(10, 20, 30, 90)***
                  Tractors.

                  8702
                  Public-transport type passenger motor vehicles.

                  8702.10
                  With compression-ignition internal-combustion piston engine (diesel or semi-diesel).

                  8702.90
                  Other.

                  8703
                  Motor cars and other motor vehicles principally designed for the transport of persons (other than those of heading 8702), including station wagons and racing cars.

                  8703.10
                  Vehicles specially designed for traveling on snow; golf carts and similar vehicles; includes subheading 10.10 and 10.50.

                  8703.(21, 22, 23, 24)
                  Other vehicles, with spark-ignition internal combustion reciprocating engines.

                  8703.(31, 32, 33, 90)
                  Other vehicles, with compression-ignition internal combustion piston engine (diesel or semi-diesel).

                  8704
                  Motor vehicles for the transport of goods.

                  8704.10.(10, 50)
                  Dumpers designed for off-highway use.

                  8704.(21, 22, 23)
                  Other, with compression-ignition internal combustion piston engine (diesel or semi-diesel).

                  8704.(31, 32, 90)
                  Other, with compression-ignition internal combustion piston engine.

                  8705
                  Special purpose motor vehicles, other than those principally designed for the transport of persons or goods (for example, wreckers, mobile cranes, fire fighting vehicles, concrete mixers, road sweepers, spraying vehicles, mobile workshops, mobile radiological units).

                  8705.10
                  Crane lorries.

                  8705.20
                  Mobile drilling derricks.

                  8705.30
                  Fire fighting vehicles.

                  8705.90
                  Other.

                ***At this time vehicle air conditioning units are considered components of vehicles or are classified under the general category for air conditioning and refrigeration equipment. Vehicles containing air conditioners are therefore considered products containing controlled substances.

              Category 2. Domestic and Commercial Refrigeration and Air Conditioning/Heat Pump Equipment
              Domestic and commercial air conditioning and refrigeration equipment fall primarily under headings 8415 and 8418.

                    Heading/Subheading

                    Article Description

                  8415
                  Air conditioning machines, comprising a motor-driven fan and elements for changing the temperature and humidity, including those machines in which the humidity cannot be separately regulated.

                  8415.20
                  Proposed code for air conditioning of a kind used for persons, in motor vehicles.

                  8415.10.00
                  A/C window or wall types, self-contained.

                  8415.81.00
                  Other, except parts, incorporating a refrigerating unit and a valve for reversal of the cooling/heat cycle.

                  8415.82.00
                  Other, incorporating a refrigerating unit—

                  Self-contained machines and remote condenser type air conditioners (not for year-round use).

                  Year-round units (for heating and cooling).

                  Air Conditioning evaporator coils.

                  Dehumidifiers.

                  Other air conditioning machines incorporating a refrigerating unit.

                  8415.83
                  Automotive air conditioners.

                  8418
                  Refrigerators, freezers and other refrigerating or freezing equipment, electric or other; heat pumps, other than air conditioning machines of heading 8415; parts thereof.

                  8418.10.00
                  Combined refrigerator-freezers, fitted with separate external doors.

                  8418.21.00
                  Refrigerators, household type, Compression type.

                  8418.22.00
                  Absorption type, electrical.

                  8418.29.00
                  Other.

                  8418.30.00
                  Freezers of the chest type.

                  8418.40
                  Freezers of the upright type.

                  8418.50.0040
                  Other refrigerating or freezing chests, cabinets, display counters, showcases and similar refrigerating or freezing furniture.

                  8418.61.00
                  Other refrigerating or freezing equipment; heat pumps.

                  8418.69
                  Other—

                  Icemaking machines.

                  Drinking water coolers, self-contained.

                  Soda fountain and beer dispensing equipment.

                  Centrifugal liquid chilling refrigerating units.

                  Absorption liquid chilling units.

                  Reciprocating liquid chilling units.

                  Other refrigerating or freezing equipment (household or other).

                  8479.89.10
                  Dehumidifiers (other than those under 8415 or 8424 classified as “machines and mechanical appliances having individual functions, not specified or included elsewhere”).

              Category 3. Aerosol Products
              An array of different products use controlled substances as aerosols and in aerosol applications. Not all aerosol applications use controlled substances, however. The codes given below represent the most likely classifications for products containing controlled substances. The product codes listed include ****:

                **** Other categories of products that may contain controlled substances are listed below. EPA is currently working to match them with appropriate codes. They include: coatings and electronic equipment (e.g., electrical motors), coatings or cleaning fluids for aircraft maintenance, mold release agents (e.g. for production of plastic or elastomeric materials), water and oil repellant (potentially under HS 3402), spray undercoats (potentially under “paints and varnishes”), spot removers, brake cleaners, safety sprays (e.g., mace cans), animal repellant, noise horns (e.g., for use on boats), weld inspection developers, freezants, gum removers, intruder alarms, tire inflators, dusters (for electronic and non-electronic applications), spray shoe polish, and suede protectors.

              • varnishes
              • perfumes
              • preparations for use on hair
              • preparations for oral and dental hygiene
              • shaving preparations
              • personal deodorants, bath preparations
              • prepared room deodorizers
              • soaps
              • lubricants
              • polishes and creams
              • explosives
              • insecticides, fungicides, herbicides, disinfectants
              • arms and ammunition
              • household products such as footwear or leather polishes
              • other miscellaneous products

                    Heading/Subheading

                    Article Description

                  3208
                  Paints and varnishes ***** (including enamels and lacquers) based on synthetic polymers of chemically modified natural polymers, dispersed or dissolved in a non-aqueous medium.

                  3208.10
                  Based on polyesters.

                  3208.20
                  Based on acrylic or vinyl polymers.

                  3208.90
                  Other.

                  3209
                  Paints and varnishes (including enamels and lacquers) based on synthetic polymers or chemically modified natural polymers, dispersed or dissolved in an aqueous medium.

                  3209.10
                  Based on acrylic or vinyl polymers.

                  3209.90
                  Other.

                  3210.00
                  Other paints and varnishes (including enamels, lacquers and distempers) and prepared water pigments of a kind used for finishing leather.

                  3212.90
                  Dyes and other coloring matter put up in forms or packings for retail sale.

                  3303.00
                  Perfumes and toilet waters.

                  3304.30
                  Manicure or pedicure preparations.

                  3305.10
                  Shampoos.

                  3305.20
                  Preparations for permanent waving or straightening.

                  3305.30
                  Hair lacquers.

                  3305.90
                  Other hair preparations.

                  3306.10
                  Dentrifices.

                  3306.90
                  Other dental (this may include breath sprays).

                  3307.10
                  Pre-shave, shaving or after-shave preparations.

                  3307.20
                  Personal deodorants and antiperspirants.

                  3307.30
                  Perfumed bath salts and other bath preparations.

                  3307.49
                  Other (this may include preparations for perfuming or deodorizing rooms, including odoriferous preparations used during religious rites, whether or not perfumed or having disinfectant properties).

                  3307.90
                  Other (this may include depilatory products and other perfumery, cosmetic or toilet preparations, not elsewhere specified or included)

                  3403
                  Lubricating preparations (including cutting-oil preparations, bolt or nut release preparations, anti-rust or anti-corrosion preparations and mould release preparations, based on lubricants), and preparations of a kind used for the oil or grease treatment of textile materials, leather, fur skins or other materials, but excluding preparations containing, as basic constituents, 70 percent or more by weight of petroleum oils or of oils obtained from bituminous minerals.

                  3402
                  Organic surface-active agents (other than soap); surface-active preparations, washing preparations and cleaning operations, whether or not containing soap, other than those of 3401.

                  3402.20
                  Preparations put up for retail sale.

                  3402.19
                  Other preparations containing petroleum oils or oils obtained from bituminous minerals.

                  3403
                  Lubricating preparations consisting of mixtures containing silicone greases or oils, as the case may be.

                  2710.00
                  Preparations not elsewhere specified or included, containing by weight 70 percent or more of petroleum oils or of oils obtained from bituminous minerals, these oils being the basic constituents of the preparations.

                  3403.11
                  Lubricants containing petroleum oils or oils obtained from bituminous minerals used for preparations from the treatment of textile materials, leather, fur skins or other materials.

                  3403.19
                  Other preparations containing petroleum oils or oils obtained from bituminous minerals.

                  3405
                  Polishes and creams, for footwear, furniture, floors, coachwork, glass or metal, scouring pastes and powders and similar preparations excluding waxes of heading 3404.

                  3405.10
                  Polishes and creams for footwear or leather.

                  3405.20
                  Polishes for wooden furniture, floors or other woodwork.

                  36
                  Explosives.

                  3808
                  Insecticides, rodenticides, fungicides, herbicides, anti-sprouting products and plant-growth regulators, disinfectants and similar products, put up in forms or packings for retail sale or as preparations or articles (for example, sulphur-treated bands, wicks and candles, and fly papers).

                  3808.10
                  Insecticides.

                  3808.20
                  Fungicides.

                  3808.30
                  Herbicides, anti-sprouting products and plant growth regulators.

                  3808.40
                  Disinfectants.

                  3808.90
                  Other insecticides, fungicides.

                  3809.10
                  Finishing agents, dye carriers to accelerate the dyeing or fixing of dye-stuffs and other products and preparations (for example, dressings and mordants) of a kind used in the textile, paper, leather or like industries, not elsewhere specified or included, with a basis of amylaceous substances.

                  3814
                  Organic composite solvents and thinners (not elsewhere specified or included) and the prepared paint or varnish removers.

                  3910
                  Silicones in primary forms.

                  9304
                  Other arms (for example, spring, air or gas guns and pistols, truncheons), excluding those of heading No. 93.07. Thus, aerosol spray cans containing tear gas may be classified under this subheading.

                  0404.90
                  Products consisting of natural milk constituents, whether or not containing added sugar or other sweetening matter, not elsewhere specified or included.

                  1517.90
                  Edible mixtures or preparations of animal or vegetable fats or oils or of fractions of different fats or oils of this chapter, other than edible fats or oils or their fractions of heading No. 15.16.

                  2106.90
                  Food preparations not elsewhere specified or included.

                ***** Although paints do not generally use contain controlled substances, some varnishes use CFC 113 and 1,1,1,trichlorethane as solvents.

              Category 4. Portable Fire Extinguishers

                    Heading/Subheading

                    Article Description

                  8424
                  Mechanical appliances (whether or not hand operated) for projecting, dispersing, or spraying liquids or powders; fire extinguishers whether or not charged, spray guns and similar appliances; steam or sand blasting machines and similar jet projecting machines.

                  8424.10
                  Fire extinguishers, whether or not charged.

              Category 5. Insulation Boards, Panels and Pipe Covers

              These goods have to be classified according to their composition and presentation. For example, if the insulation materials are made of polyurethane, polystyrene, polyolefin and phenolic plastics, then they may be classified Chapter 39, for “Plastics and articles thereof”. The exact description of the products at issue is necessary before a classification can be given. ******

                ****** This category may include insulating board for building panels and windows and doors. It also includes rigid appliance insulation for pipes, tanks, trucks, trailers, containers, train cars & ships, refrigerators, freezers, beverage vending machines, bulk beverage dispensers, water coolers and heaters and ice machines.

                    Heading/Subheading

                    Article Description

                  3917.21 to 3917.39
                  Tubes, pipes and hoses of plastics.

                  3920.10 to 3920.99
                  Plates, sheets, film, foil and strip made of plastics, non-cellular and not reinforced, laminated, supported or similarly combined with other materials.

                  3921.11 to 3921.90
                  Other plates, sheets, film, foil and strip, made of plastics.

                  3925.90
                  Builders' ware made of plastics, not elsewhere specified or included.

                  3926.90
                  Articles made of plastics, not elsewhere specified or included.

              Category 6. Pre-Polymers
              According to the Explanatory Notes to the Harmonized Commodity Description and Coding System, “prepolymers are products which are characterized by some repetition of monomer units although they may contain unreacted monomers. Prepolymers are not normally used as such but are intended to be transformed into higher molecular weight polymers by further polymerization. Therefore the term does not cover finished products, such as di-isobutylenes or mixed polyethylene glycols with very low molecular weight. Examples are epoxides based with epichlorohydrin, and polymeric isocyanates.”

                    Heading/Subheading

                    Article Description

                  3901
                  Pre-polymers based on ethylene (in primary forms).

                  3902
                  Pre-polymers based on propylene or other olefins (in primary forms).

                  3903, 3907, 3909
                  Pre-polymers based on styrene (in primary forms), epoxide and phenols.

              Pt. 82, Subpt. A, App. E
              Appendix E to Subpart A of Part 82—Article 5 Parties

              Parties operating under Article 5 of the Montreal Protocol as of March 26, 2014 are listed below. An updated list can be located at: http://ozone.unep.org/new_site/en/parties_under_article5_para1.php.

              Afghanistan, Albania, Algeria, Angola, Antigua & Barbuda, Argentina, Armenia, Bahamas, Bahrain, Bangladesh, Barbados, Belize, Benin, Bhutan, Bolivia (Plurinational State of), Bosnia and Herzegovina, Botswana, Brazil, Brunei Darussalam, Burkina Faso, Burundi, Cambodia, Cameroon, Cape Verde, Central African Republic, Chad, Chile, China, Colombia, Comoros, Congo, Congo (Democratic Republic of), Cook Islands, Cost Rica, Côte d'Ivoire, Cuba, Djibouti, Dominica, Dominican Republic, Ecuador, Egypt, El Salvador, Equatorial Guinea, Eritrea, Ethiopia, Fiji, Gabon, Gambia, Georgia, Ghana, Grenada, Guatemala, Guinea, Guinea Bissau, Guyana, Haiti, Honduras, India, Indonesia, Iran (Islamic Republic of), Iraq, Jamaica, Jordan, Kenya, Kiribati, Korea (Democratic People's Republic of), Korea (Republic of), Kuwait, Kyrgyzstan, Lao (People's Democratic Republic), Lebanon, Lesotho, Liberia, Libya, Madagascar, Malawi, Malaysia, Maldives, Mali, Marshall Islands Mauritania, Mauritius, Mexico, Micronesia (Federal States of), Moldova (Republic of), Mongolia, Montenegro, Morocco, Mozambique, Myanmar, Namibia, Nauru, Nepal, Nicaragua, Niger, Nigeria, Niue, Oman, Pakistan, Palau, Panama, Papua New Guinea, Paraguay, Peru, Philippines, Qatar, Rwanda, Saint Kitts and Nevis, Saint Lucia, Saint Vincent & the Grenadines, Samoa, Sao Tome and Principe, Saudi Arabia, Senegal, Serbia, Seychelles, Sierra Leone, Singapore, Solomon Islands, Somalia, South Africa, South Sudan*, Sri Lanka, Sudan, Suriname, Swaziland, Syrian Arab Republic, Tanzania (United Republic of), Thailand, The Former Yugoslav Republic of Macedonia, Timor-Leste, Togo, Tonga, Trinidad and Tobago, Tunisia, Turkey, Turkmenistan, Tuvalu, Uganda, United Arab Emirates, Uruguay, Vanuatu, Venezuela (Bolivarian Republic of), Viet Nam, Yemen, Zambia, Zimbabwe.
              * temporarily categorized as Article 5 pending submission of ODS consumption data
              [79 FR 16687, Mar. 26, 2014]

              Pt. 82, Subpt. A, App. F
              Appendix F to Subpart A of Part 82—Listing of Ozone-Depleting Chemicals

                  Controlled substance
                  ODP
                  AT L
                  CLP
                  BLP

                  A. Class I:

                  1. Group I:

                  CFCl3-Trichlorofluoromethane (CFC-11)
                  1.0
                  60.0
                  1.0
                  0.00

                  CF2 Cl2-Dichlorodifluoromethane (CFC-12)
                  1.0
                  120.0
                  1.5
                  0.00

                  C2 F3 Cl3-Trichlorotrifluoroethane (CFC-113)
                  0.8
                  90.0
                  1.11
                  0.00

                  C2 F4 Cl2-Dichlorotetrafluoroethane (CFC-114)
                  1.0
                  200.00
                  1.8
                  0.00

                  C2 F5 Cl-Monochloropentafluoroethane (CFC-115)
                  0.6
                  400.0
                  2.0
                  0.00

                  All isomers of the above chemicals
                  [Reserved]

                  2. Group II:

                  CF2 ClBr-Bromochlorodifluoromethane (Halon-1211)
                  3.0
                  12
                  0.06
                  0.13

                  −18
                  −.08
                  −.03

                  CF3 Br-Bromotrifluoromethane (Halon-1301)
                  10.0
                  72
                  0.00
                  1.00

                  −107

                  C2 F4 Br2-Dibromotetrafluoroethane (Halon-2402)
                  6.0
                  23
                  0.00
                  0.30

                  −28

                  −.37

                  All isomers of the above chemicals
                  [Reserved]

                  3. Group III:

                  CF3 Cl-Chlorotrifluoromethane (CFC-13)
                  1.0
                  120
                  0.88
                  0.00

                  −250
                  −1.83

                  C2 FCl5- (CFC-111)
                  1.0
                  60
                  1.04
                  0.00

                  −90
                  −1.56

                  C2 F2 Cl4- (CFC-112)
                  1.0
                  60
                  0.90
                  0.00

                  −90
                  −1.35

                  C3 FCl7- (CFC-211)
                  1.0
                  100
                  1.76
                  0.00

                  −500
                  −8.81

                  C3 F2 Cl6- (CFC-212)
                  1.0
                  100
                  1.60
                  0.00

                  −500
                  −7.98

                  C3 F3 Cl5- (CFC-213)
                  1.0
                  100
                  1.41
                  0.00

                  −500
                  −7.06

                  C3 F4 Cl4- (CFC-214)
                  1.0
                  100
                  1.20
                  0.00

                  −500
                  −6.01

                  C3 F5 Cl3 -(CFC-215)
                  1.0
                  100
                  0.96
                  0.00

                  −500
                  −4.82

                  C3 F6 Cl2- (CFC-216)
                  1.0
                  100
                  0.69
                  0.00

                  −500
                  −3.45

                  C3 F7 Cl- (CFC-217)
                  1.0
                  100
                  0.37
                  0.00

                  −500
                  −1.87

                  All isomers of the above chemicals
                  [Reserved]

                  4. Group IV:

                  CCl4 -Carbon Tetrachloride
                  1.1
                  50.0
                  1.0
                  0.00

                  5. Group V:

                  C2 H3 Cl3-1,1,1 Trichloroethane (Methyl chloroform)
                  0.1
                  6.3
                  0.11
                  0.00

                  All isomers of the above chemical except 1,1,2-trichloroethane
                  [Reserved]

                  6. Group VI:

                  CH3Br-Bromomethane (Methyl Bromide)
                  0.7

                  [Reserved]

                  7. Group VII:

                  CHFBr2-
                  1.00

                  [Reserved]

                  CHF2Br-(HBFC-22B1)
                  0.74

                  [Reserved]

                  CH2FBr
                  0.73

                  [Reserved]

                  C2HFBr4

                  0.3-0.8

                  [Reserved]

                  C2HF2Br3

                  0.5-1.8

                  [Reserved]

                  C2HF3Br2

                  0.4-16

                  [Reserved]

                  C2HF4Br
                  0.7-1.2

                  [Reserved]

                  C2H2FBr3

                  0.1-1.1

                  [Reserved]

                  C2H2F2Br2

                  0.2-1.5

                  [Reserved]

                  C2H2F3Br
                  0.7-1.6

                  [Reserved]

                  C2H3FBr2

                  0.1-1.7

                  [Reserved]

                  C2H3F2Br
                  0.2-1.1

                  [Reserved]

                  C2H4FBr
                  0.07-0.1

                  [Reserved]

                  C3HFBr6

                  0.3-1.5

                  [Reserved]

                  C3HF2Br5

                  0.2-1.9

                  [Reserved]

                  C3HF3Br4

                  0.3-1.8

                  [Reserved]

                  C3HF4Br3

                  0.5-2.2

                  [Reserved]

                  C3HF5Br2

                  0.9-2.0

                  [Reserved]

                  C3HF6Br
                  0.7-3.3

                  [Reserved]

                  C3H2FBr5

                  0.1-1.9

                  [Reserved]

                  C3H2F2Br4

                  0.2-2.1

                  [Reserved]

                  C3H2F3Br3

                  0.2-5.6

                  [Reserved]

                  C3H2F4Br2

                  0.3-7.5

                  [Reserved]

                  C3H2F5Br
                  0.9-1.4

                  [Reserved]

                  C3H3FBR4

                  0.08-1.9

                  [Reserved]

                  C3H3F2Br3

                  0.1-3.1

                  [Reserved]

                  C3H3F3Br2

                  0.1-2.5

                  [Reserved]

                  C3H3F4Br
                  0.3-4.4

                  [Reserved]

                  C3H4FBr3

                  0.03-0.3

                  [Reserved]

                  C3H4F2Br2

                  0.1-1.0

                  [Reserved]

                  C3H4F3Br
                  0.07-0.8

                  [Reserved]

                  C3H5FBr2

                  0.04-0.4

                  [Reserved]

                  C3H5F2Br
                  0.07-0.8

                  [Reserved]

                  C3H6FB
                  0.02-0.7

                  [Reserved]

                  8. Group VIII:

                  CH2BrCl (Chlorobromomethane)
                  0.12

                  [Reserved]

                  B. Class II:

                  CHFCl2-Dichlorofluoromethane (HCFC-21)
                  [Reserved]
                  2.1
                  0.03
                  0.00

                  CHF2 Cl-Chlorodifluoromethane (HCFC-22)
                  0.05
                  15.3
                  0.14
                  0.00

                  CH2 FCl-Chlorofluoromethane (HCFC-31)
                  [Reserved]
                  1.44
                  0.02
                  0.00

                  C2 HFCl4- (HCFC-121)
                  [Reserved]
                  0.6
                  0.01
                  0.00

                  C2 HF2 Cl3- (HCFC-122)
                  [Reserved]
                  1.4
                  0.02
                  0.00

                  C2 HF3 Cl2- (HCFC-123)
                  0.02
                  1.6
                  0.016
                  0.00

                  C2 HF4 Cl- (HCFC-124)
                  0.02
                  6.6
                  0.04
                  0.00

                  C2 H2 FCl3- (HCFC-131)
                  [Reserved]
                  4.0
                  0.06
                  0.00

                  C2 H2 F2 Cl2- (HCFC-132b)
                  [Reserved]
                  4.2
                  0.05
                  0.00

                  C2 H2 F3 Cl- (HCFC-133a)
                  [Reserved]
                  4.8
                  0.03
                  0.00

                  C2 H3 FCl2- (HCFC-141b)
                  0.12
                  7.8
                  0.10
                  0.00

                  C2 H3 F2 Cl- (HCFC-142b)
                  0.06
                  19.1
                  0.14
                  0.00

                  C3 HFCl6- (HCFC-221)
                  [Reserved]

                  0.00

                  C3 HF2 Cl5- (HCFC-222)
                  [Reserved]

                  0.00

                  C3 HF3 Cl4- (HCFC-223)
                  [Reserved]

                  0.00

                  C3 HF4 Cl3- (HCFC-224)
                  [Reserved]

                  0.00

                  C3 HF5 Cl2- (HCFC-225ca)
                  [Reserved]
                  1.5
                  0.01
                  0.00

                  −1.7

                  (HCFC-225cb)
                  [Reserved]
                  5.1
                  0.04
                  0.00

                  C3 HF6 Cl- (HCFC-226)
                  [Reserved]

                  0.00

                  C3 H2 FCl5- (HCFC-231)
                  [Reserved]

                  0.00

                  C3 H2 F2
                    4- (HCFC-232)
                  [Reserved]

                  0.00

                  C3 H2 F3 Cl3- (HCFC-233)
                  [Reserved]

                  0.00

                  C3 H2 F4 Cl2- (HCFC-234)
                  [Reserved]

                  0.00

                  C3 H2 F5 Cl- (HCFC-235)
                  [Reserved]

                  0.00

                  C3 H3 FCl4- (HCFC-241)
                  [Reserved]

                  0.00

                  C3 H3 F2 Cl3- (HCFC-242)
                  [Reserved]

                  0.00

                  C3 H3 F3 Cl2- (HCFC-243)
                  [Reserved]

                  0.00

                  C3 H3 F4 Cl- (HCFC-244)
                  [Reserved]

                  0.00

                  C3 H4 FCl3- (HCFC-251)
                  [Reserved]

                  0.00

                  C3 H4 F2 Cl2- (HCFC-252)
                  [Reserved]

                  0.00

                  C3 H4 F3 Cl- (HCFC-253)
                  [Reserved]

                  0.00

                  C3 H5 FCl2- (HCFC-261)
                  [Reserved]

                  0.00

                  C2 H5 F2 Cl- (HCFC-262)
                  [Reserved]

                  0.00

                  C3 H6 FCl- (HCFC-271)
                  [Reserved]

                  0.00

                  All isomers of the above chemicals
                  [Reserved]

              [60 FR 24986, May 10, 1995, as amended at 68 FR 42894, July 18, 2003]

              Pt. 82, Subpt. A, App. G
              Appendix G to Subpart A of Part 82—UNEP Recommendations for Conditions Applied to Exemption for Essential Laboratory and Analytical Uses

              1. Essential laboratory and analytical uses are identified at this time to include equipment calibration; use as extraction solvents, diluents, or carriers for chemical analysis; biochemical research; inert solvents for chemical reactions, as a carrier or laboratory chemical and other critical analytical and laboratory purposes. Pursuant to Decision XI/15 of the Parties to the Montreal Protocol, effective January 1, 2002 the following uses of class I controlled substances are not considered essential under the global laboratory exemption:
              a. Testing of oil and grease and total petroleum hydrocarbons in water;
              b. Testing of tar in road-paving materials; and
              c. Forensic finger printing.

              Production for essential laboratory and analytical purposes is authorized provided that these laboratory and analytical chemicals shall contain only controlled substances manufactured to the following purities:

              CTC (reagent grade)—99.5
              1,1,1,-trichloroethane—99.5
              CFC-11—99.5
              CFC-13—99.5
              CFC-12—99.5
              CFC-113—99.5
              CFC-114—99.5
              Other w/ Boiling P>20 degrees C—99.5
              Other w/ Boiling P<20 degrees C—99.0
              d. Testing of organic matter in coal.
              2. These pure, controlled substances can be subsequently mixed by manufacturers, agents or distributors with other chemicals controlled or not controlled by the Montreal Protocol as is customary for laboratory and analytical uses.
              3. These high purity substances and mixtures containing controlled substances shall be supplied only in re-closable containers or high pressure cylinders smaller than three litres or in 10 millilitre or smaller glass ampoules, marked clearly as substances that deplete the ozone layer, restricted to laboratory use and analytical purposes and specifying that used or surplus substances should be collected and recycled, if practical. The material should be destroyed if recycling is not practical.
              4. Parties shall annually report for each controlled substance produced: the purity; the quantity; the application, specific test standard, or procedure requiring its uses; and the status of efforts to eliminate its use in each application. Parties shall also submit copies of published instructions, standards, specifications, and regulations requiring the use of the controlled substance.
              5. Pursuant to Decision XVIII/15 of the Parties to the Montreal Protocol, methyl bromide is exempted for the following approved essential laboratory and analytical purposes listed in following items (a) through (d). Use of methyl bromide for field trials is not an approved use under the global laboratory and analytical use exemption. The provisions of Appendix G, paragraphs (1), (2), (3), and (4), regarding purity, mixing, container, and reporting requirements for other exempt ODSs, also apply to the use of methyl bromide under this exemption.
              a. Methyl bromide is exempted as an approved essential laboratory and analytical use as a reference or standard to calibrate equipment which uses methyl bromide, to monitor methyl bromide emission levels, or to determine methyl bromide residue levels in goods, plants and commodities;
              b. Methyl bromide is exempted as an approved essential laboratory and analytical when used in laboratory toxicological studies;
              c. Methyl bromide is exempted as an approved essential laboratory and analytical use to compare the efficacy of methyl bromide and its alternatives inside a laboratory; and
              d. Methyl bromide is exempted as an approved essential laboratory and analytical use as a laboratory agent which is destroyed in a chemical reaction in the manner of feedstock.
              [60 FR 24986, May 10, 1995, as amended at 67 FR 6362, Feb. 11, 2002; 72 FR 73269, Dec. 27, 2007]

              Pt. 82, Subpt. A, App. H
              Appendix H to Subpart A of Part 82—Clean Air Act Amendments of 1990 Phaseout Schedule for Production of Ozone-Depleting Substances

                  Date
                  Carbon tetrachloride (percent)
                  Methyl chloroform (percent)
                  Other class substances (percent)

                  1994
                  70
                  85
                  65

                  1995
                  15
                  70
                  50

                  1996
                  15
                  50
                  40

                  1997
                  15
                  50
                  15

                  1998
                  15
                  50
                  15

                  1999
                  15
                  50
                  15

                  2000

                  20

                  2001

                  20

              Pt. 82, Subpt. A, App. I

              Appendix I to Subpart A of Part 82—Global Warming Potentials (Mass Basis), Referenced to the Absolute GWP for the Adopted Carbon Cycle Model CO2 Decay Response and Future CO2 Atmospheric Concentrations Held Constant at Current Levels. (Only Direct Effects Are Considered.)

                  Species (chemical)
                  Chemical formula
                  Global warming potential (time horizon)
                  20 years
                  100 years
                  500 years

                  CFC-11
                  CFCl3

                  5000
                  4000
                  1400

                  CFC-12
                  CF2 Cl2

                  7900
                  8500
                  4200

                  CFC-13
                  CClF3

                  8100
                  11700
                  13600

                  CFC-113
                  C2 F3 Cl3

                  5000
                  5000
                  2300

                  CFC-114
                  C2 F4 Cl2

                  6900
                  9300
                  8300

                  CFC-115
                  C2 F5 Cl
                  6200
                  9300
                  13000

                  H-1301
                  CF3 Br
                  6200
                  5600
                  2200

                  Carbon Tet
                  CCl4

                  2000
                  1400
                  500

                  Methyl Chl
                  CH3 CCl3

                  360
                  110
                  35

                  HCFC-22
                  CF2 HCl
                  4300
                  1700
                  520

                  HCFC-141b
                  C2 FH3 Cl2

                  1800
                  630
                  200

                  HCFC-142b
                  C2 F2 H3 Cl
                  4200
                  2000
                  630

                  HCFC-123
                  C2 F3 HCl2

                  300
                  93
                  29

                  HCFC-124
                  C2 F4 HCl
                  1500
                  480
                  150

                  HCFC-225ca
                  C3 F5 HCl2

                  550
                  170
                  52

                  HCFC-225cb
                  C3 F5 HCl2

                  1700
                  530
                  170

                AUnited Nations Environment Programme (UNEP), February 1995, Scientific Assessment of Ozone Depletion: 1994, Chapter 13, “Ozone Depleting Potentials, Global Warming Potentials and Future Chlorine/Bromine Loading,” and do not reflect review of scientific documents published after that date.

              [61 FR 1285, Jan. 19, 1996]

              Appendix J to Subpart A of Part 82—Parties to the Montreal Protocol Classied Under Article 5(1) That Have Banned the Import of Controlled Products That Rely on Class I Controlled Substances for Their Continuing Functioning [Reserved]

              Pt. 82, Subpt. A, App. K
              Appendix K to Subpart A of Part 82—Commodity Codes From the Harmonized Tariff Schedule for Controlled Substances and Used Controlled Substances

                  Description of commodity or chemical
                  Commodity code from harmonized tariff schedule

                    Class II:

                  HCFC-22 (Chlorodifluoromethane)
                  2903.71.0000

                  HCFC-123 (Dichlorotrifluoroethane)
                  2903.72.0020

                  HCFC-124 (Monochlorotetrafluoroethane)
                  2903.79.1000

                  HCFC-141b (Dichlorofluoroethane)
                  2903.73.0000

                  HCFC-142b (Chlorodifluoroethane)
                  2903.74.0000

                  HCFC-225ca, HCFC-225cb (Dichloropentafluoropropanes)
                  2903.75.0000

                  HCFC-21, HCFC-31, HCFC-133, and other HCFCs
                  2903.79.9070

                  HCFC Mixtures (R-401A, R-402A, etc.)
                  3824.74.0000

                    Class I:

                  CFC-11 (Trichlorofluoromethane)
                  2903.77.0010

                  CFC-12 (Dichlorodifluoromethane)
                  2903.77.0050

                  CFC-113 (Trichlorotrifluoroethane)
                  2903.77.0020

                  CFC-114 (Dichlorotetrafluoroethane)
                  2903.77.0030

                  CFC-115 (Monochloropentafluoroethane)
                  2903.77.0040

                  CFC-13, CFC-111, CFC-112, CFC-211, CFC-212, CFC-213, CFC-214, CFC-215, CFC-216, CFC-217, and other CFCs
                  2903.77.0080

                  CFC Mixtures (R-500, R-502, etc.)
                  3824.71.0100

                  Carbon Tetrachloride
                  2903.14.0000

                  Halon 1301 (Bromotrifluoromethane)
                  2903.76.0010

                  Halon, other
                  2903.76.0050

                  Methyl Bromide
                  2903.39.1520

                  Methyl Chloroform
                  2903.19.6010

              [85 FR 15299, Mar. 17, 2020]

              Pt. 82, Subpt. A, App. L
              Appendix L to Subpart A of Part 82—Approved Critical Uses and Limiting Critical Conditions for Those Uses

                  Column A
                  Column B
                  Column C

                  Approved Critical Uses
                  Approved Critical User, Location of Use
                  Limiting Critical Conditionsthat exist, or that the approved critical user reasonably expects could arise without methyl bromide fumigation:

                  PRE-PLANT USES

                  Strawberry Fruit
                  California growers in 2015 and 2016.
                  Moderate to severe black root rot or crown rotModerate to severe yellow or purple nutsedge infestation

                  Moderate to severe nematode infestationLocal township limits prohibiting 1,3-dichloropropene

                  POST-HARVEST USES

                  Dry Cured Pork Products
                  Members of the National Country Ham Association and the American Association of Meat Processors, Nahunta Pork Center (North Carolina), and Gwaltney of Smithfield Inc.
                  Red legged ham beetle infestationCheese/ham skipper infestation
                    Dermestid beetle infestation
                    Ham mite infestation

              [80 FR 61992, Oct. 15, 2015]

            Subpart B—Servicing of Motor Vehicle Air Conditioners

              Source:
              57 FR 31261, July 14, 1992, unless otherwise noted.

              § 82.30
              Purpose and scope.
              (a) The purpose of the regulations in this subpart B is to implement section 609 of the Clean Air Act, as amended (Act) regarding the servicing of motor vehicle air conditioners (MVACs), and to implement section 608 of the Act regarding certain servicing, maintenance, repair and disposal of air conditioners in MVACs and MVAC-like appliances (as that term is defined in 40 CFR 82.152).
              (b) These regulations apply to any person performing service on a motor vehicle for consideration when this service involves the refrigerant in the motor vehicle air conditioner.
              [57 FR 31261, July 14, 1992, as amended at 62 FR 68046, Dec. 30, 1997]

              § 82.32
              Definitions.
              (a) Approved independent standards testing organization means any organization which has applied for and received approval from the Administrator pursuant to § 82.38.
              (b) Approved refrigerant recycling equipment means equipment certified by the Administrator or an organization approved under § 82.38 as meeting either one of the standards in § 82.36. Such equipment extracts and recycles refrigerant or extracts refrigerant for recycling on-site or reclamation off-site.
              (c) Motor vehicle as used in this subpart means any vehicle which is self-propelled and designed for transporting persons or property on a street or highway, including but not limited to passenger cars, light duty vehicles, and heavy duty vehicles. This definition does not include a vehicle where final assembly of the vehicle has not been completed by the original equipment manufacturer.
              (d) Motor vehicle air conditioners means mechanical vapor compression refrigeration equipment used to cool the driver's or passenger's compartment of any motor vehicle. This definition is not intended to encompass the hermetically sealed refrigeration systems used on motor vehicles for refrigerated cargo and the air conditioning systems on passenger buses using HCFC-22 refrigerant.
              (e) Properly using. (1) Properly using means using equipment in conformity with the regulations set forth in this subpart, including but not limited to the prohibitions and required practices set forth in § 82.34, and the recommended service procedures and practices for the containment of refrigerant set forth in appendices A, B, C, D, E, and F of this subpart, as applicable. In addition, this term includes operating the equipment in accordance with the manufacturer's guide to operation and maintenance and using the equipment only for the controlled substance for which the machine is designed. For equipment that extracts and recycles refrigerant, properly using also means to recycle refrigerant before it is returned to a motor vehicle air conditioner or MVAC-like appliance, including to the motor vehicle air conditioner or MVAC-like appliance from which the refrigerant was extracted. For equipment that only recovers refrigerant, properly using includes the requirement to recycle the refrigerant on-site or send the refrigerant off-site for reclamation.
              (2) Refrigerant from reclamation facilities that is used for the purpose of recharging motor vehicle air conditioners must be at or above the standard of purity developed by the Air-conditioning and Refrigeration Institute (ARI 700-93) (which is codified at 40 CFR part 82, subpart F, appendix A, and is available at 4301 North Fairfax Drive, Suite 425, Arlington, Virginia 22203). Refrigerant may be recycled off-site only if the refrigerant is extracted using recover only equipment, and is subsequently recycled off-site by equipment owned by the person that owns both the recover only equipment and owns or operates the establishment at which the refrigerant was extracted. In any event, approved equipment must be used to extract refrigerant prior to performing any service during which discharge of refrigerant from the motor vehicle air conditioner can reasonably be expected. Intentionally venting or disposing of refrigerant to the atmosphere is an improper use of equipment.
              (3) Notwithstanding any other terms of this paragraph (e), approved refrigerant recycling equipment may be transported off-site and used to perform service involving refrigerant at other locations where such servicing occurs. Any such servicing involving refrigerant must meet all of the requirements of this subpart B that would apply if the servicing occurred on-site.

              (4) Facilities that charge MVACs or MVAC-like appliances with refrigerant but do not perform any other service involving refrigerant (i.e., perform “top-offs” only) are considered to be engaged in “service involving refrigerant” and are therefore subject to any and all requirements of this subsection that apply to facilities that perform a wider range of refrigerant servicing. For facilities that charge MVACs, this includes the requirement to purchase approved refrigerant recycling equipment. For facilities that only charge MVAC-like appliances, this does not include the requirement to purchase approved refrigerant recycling equipment, but does include the requirement to be properly trained and certified by a technician certification program approved by the Administrator pursuant to either § 82.40 or § 82.161(a)(5).
              (5) All persons opening (as that term is defined in § 82.152) MVAC-like appliances must have at least one piece of approved recovery or recycling equipment available at their place of business.
              (f) Refrigerant means any class I or class II substance used in a motor vehicle air conditioner. Class I and class II substances are listed in part 82, subpart A, appendix A. Effective November 15, 1995, refrigerant shall also include any substitute substance.
              (g) Service for consideration means being paid to perform service, whether it is in cash, credit, goods, or services. This includes all service except that done for free.
              (h) Service involving refrigerant means any service during which discharge or release of refrigerant from the MVAC or MVAC-like appliance to the atmosphere can reasonably be expected to occur. Service involving refrigerant includes any service in which an MVAC or MVAC-like appliance is charged with refrigerant but no other service involving refrigerant is performed (i.e., a “top-off”).
              (i) Motor vehicle disposal facility means any commercial facility that engages in the disposal (which includes dismantling, crushing or recycling) of MVACs or MVAC-like appliances, including but not limited to automotive recycling facilities, scrap yards, landfills and salvage yards engaged in such operations. Motor vehicle repair and/or servicing facilities, including collision repair facilities, are not considered motor vehicle disposal facilities.
              [57 FR 31261, July 14, 1992, as amended at 60 FR 21687, May 2, 1995; 62 FR 68046, Dec. 30, 1997]

              § 82.34
              Prohibitions and required practices.
              (a) No person repairing or servicing MVACs for consideration, and no person repairing or servicing MVAC-like appliances, may perform any service involving the refrigerant for such MVAC or MVAC-like appliance:
              (1) Without properly using equipment approved pursuant to § 82.36;
              (2) Unless any such person repairing or servicing an MVAC has been properly trained and certified by a technician certification program approved by the Administrator pursuant to § 82.40; and
              (3) Unless any such person repairing or servicing an MVAC-like appliance has been properly trained and certified by a technician certification program approved by the Administrator pursuant to either § 82.40 or § 82.161(a)(5).
              (b) Effective November 15, 1992, no person may sell or distribute, or offer for sale or distribution, any class I or class II substance that is suitable for use as a refrigerant in motor vehicle air-conditioner and that is in a container which contains less than 20 pounds of such refrigerant to any person unless that person is properly trained and certified under § 82.40 or intended the containers for resale only, and so certifies to the seller under § 82.42(b)(3).
              (c) No technician training programs may issue certificates unless the program complies with all of the standards in § 82.40(a).
              (d) Motor vehicle disposal facilities. (1) Any refrigerant that is extracted from an MVAC or an MVAC-like appliance (as that term is defined in § 82.152) bound for disposal and located at a motor vehicle disposal facility may not be subsequently used to charge or recharge an MVAC or MVAC-like appliance, unless, prior to such charging or recharging, the refrigerant is either:
              (i) Recovered, and reclaimed in accordance with the regulations promulgated under § 82.32(e)(2) of this subpart B; or
              (ii) (A) Recovered using approved refrigerant recycling equipment dedicated for use with MVACs and MVAC-like appliances, either by a technician certified under paragraph (a)(2) of this section, or by an employee, owner, or operator of, or contractor to, the disposal facility; and
              (B) Subsequently recycled by the facility that charges or recharges the refrigerant into an MVAC or MVAC-like appliance, properly using approved refrigerant recycling equipment in accordance with any applicable recommended service procedures set forth in the appendices to this subpart B.
              (2) Any refrigerant the sale of which is restricted under subpart F that is extracted from an MVAC or an MVAC-like appliance bound for disposal and located at a motor vehicle disposal facility but not subsequently reclaimed in accordance with the regulations promulgated under subpart F, may be sold prior to its subsequent re-use only to a technician certified under paragraph (a)(2) of this section. Any technician certified under paragraph (a)(2) of this section who obtains such a refrigerant may subsequently re-use such refrigerant only in an MVAC or MVAC-like appliance, and only if it has been reclaimed or properly recycled.
              (e) Refrigerant handling equipment manufactured or imported for use during the maintenance, service or repair of MVACs for consideration cannot be introduced into interstate commerce unless meeting the requirements of § 82.36.
              [57 FR 31261, July 14, 1992, as amended at 62 FR 68047, Dec. 30, 1997; 72 FR 63494, Nov. 9, 2007]

              § 82.36
              Approved refrigerant handling equipment.
              (a)(1) Refrigerant recycling equipment must be certified by the Administrator or an independent standards testing organization approved by the Administrator under § 82.38 to meet the following standard:

              (2) Equipment that recovers and recycles CFC-12 refrigerant must meet the standards set forth in appendix A of this subpart (Recommended Service Procedure for the Containment of CFC-12, Extraction and Recycle Equipment for Mobile Automotive Air-Conditioning Systems, and Standard of Purity for Use in Mobile Air Conditioning Systems).
              (3) Equipment that recovers but does not recycle CFC-12 refrigerant must meet the standards set forth in appendix B of this subpart (Recommended Service Procedure for the Containment of CFC-12 and Extraction Equipment for Mobile Automotive Air-Conditioning Systems).
              (4) Effective January 1, 2008, equipment that recovers and recycles HFC-134a refrigerant and equipment that recovers and recycles HFC-134a refrigerant and recharges systems with HFC-134a refrigerant must meet the standards set forth in Appendix C of this subpart based upon J2788—HFC-134a (R-134a) Recovery/Recycling Equipment and Recovery/Recycling/Recharging for Mobile Air-Conditioning Systems.
              (5) Effective October 31, 2008, equipment that recovers but does not recycle HFC-134a refrigerant must meet the standards set forth in Appendix D of this subpart based upon J2810—HFC-134a (R-134a) Recovery Equipment Mobile Air-Conditioning Systems.
              (6) Equipment that recovers and recycles both CFC-12 and HFC-134a using common circuitry must meet the standards set forth in appendix E of this subpart (Automotive Refrigerant Recycling Equipment Intended for Use with both CFC-12 and HFC-134a, Recommended Service Procedure for the Containment of CFC-12, and Recommended Service Procedure for the Containment of HFC-134a).
              (7) Equipment that recovers but does not recycle refrigerants other than HFC-134a and CFC-12 must meet the standards set forth in appendix F of this subpart (Recover-Only Equipment that Extracts a Single, Specific Refrigerant Other Than CFC-12 or HFC-134a).
              (b)(1) Refrigerant recycling equipment that has not been certified under paragraph (a) of this section shall be considered approved if it is substantially identical to the applicable equipment certified under paragraph (a) of this section, and:
              (i) For equipment that recovers and recycles CFC-12 refrigerant, it was initially purchased before September 4, 1991;
              (ii) For equipment that recovers but does not recycle CFC-12 refrigerant, it was initially purchased before April 22, 1992;
              (iii) For equipment that recovers and recycles HFC-134a refrigerant, it was initially purchased before March 6, 1996;
              (iv) For equipment that recovers but does not recycle HFC-134a refrigerant, it was initially purchased before March 6, 1996;
              (v) For equipment that recovers but does not recycle any single, specific refrigerant other than CFC-12 or HFC-134a, it was initially purchased before March 6, 1996; and
              (vi) For equipment that recovers and recycles HFC-134a and CFC-12 refrigerant using common circuitry, it was initially purchased before March 6, 1996.
              (2) Equipment manufacturers or owners may request a determination by the Administrator by submitting an application and supporting documents that indicate that the equipment is substantially identical to approved equipment to: MVACs Recycling Program Manager, Stratospheric Protection Division (6205J), U.S. Environmental Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460, Attn: Substantially Identical Equipment Review. Supporting documents must include process flow sheets, lists of components and any other information that would indicate that the equipment is capable of processing the refrigerant to the standards in appendix A, B, C, D, E or F of this subpart, as applicable. Authorized representatives of the Administrator may inspect equipment for which approval is being sought and request samples of refrigerant that has been extracted and/or recycled using the equipment. Equipment that fails to meet appropriate standards will not be considered approved.

              (3) Refrigerant recycling equipment that recovers or recovers and recycles CFC-12 refrigerant and has not been certified under paragraph (a) or approved under paragraphs(b)(1) and (b)(2) of this section shall be considered approved for use with an MVAC-like appliance if it was manufactured or imported before November 15, 1993, and is capable of reducing the system pressure to 102 mm of mercury vacuum under the conditions set forth in appendix A of this subpart.
              (c) The Administrator will maintain a list of approved equipment by manufacturer and model. Persons interested in obtaining a copy of the list should send written inquiries to the address in paragraph (b) of this section.
              [57 FR 31261, July 14, 1992, as amended at 60 FR 21687, May 2, 1995; 62 FR 68047, Dec. 30, 1997; 72 FR 63494, Nov. 9, 2007; 73 FR 34647, June 18, 2008]

              § 82.38
              Approved independent standards testing organizations.
              (a) Any independent standards testing organization may apply for approval by the Administrator to certify equipment as meeting the standards in appendix A, B, C, D, E, or F of this subpart, as applicable. The application shall be sent to: MVACs Recycling Program Manager, Stratospheric Protection Division (6205J), U.S. Environmental Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460.
              (b) Applications for approval must document the following:
              (1) That the organization has the capacity to accurately test whether refrigerant recycling equipment complies with the applicable standards. In particular, applications must document:
              (i) The equipment present at the organization that will be used for equipment testing;
              (ii) The expertise in equipment testing and the technical experience of the organization's personnel;
              (iii) Thorough knowledge of the standards as they appear in the applicable appendices of this subpart; and
              (iv) The test procedures to be used to test equipment for compliance with applicable standards, and why such test procedures are appropriate for that purpose.
              (2) That the organization has no conflict of interest and will receive no financial benefit based on the outcome of certification testing; and
              (3) That the organization agrees to allow the Administrator access to verify the information contained in the application.
              (c) If approval is denied under this section, the Administrator shall give written notice to the organization setting forth the basis for his or her determination.
              (d) If at any time an approved independent standards testing organization is found to be conducting certification tests for the purposes of this subpart in a manner not consistent with the representations made in its application for approval under this section, the Administrator reserves the right to revoke approval.
              [57 FR 31261, July 14, 1992, as amended at 60 FR 21687, May 2, 1995; 62 FR 68048, Dec. 30, 1997]

              § 82.40
              Technician training and certification.
              (a) Any technician training and certification program may apply for approval, in accordance with the provisions of this paragraph, by submitting to the Administrator at the address in § 82.38(a) verification that the program meets all of the following standards:
              (1) Training. Each program must provide adequate training, through one or more of the following means: on-the-job training, training through self-study of instructional material, or on-site training involving instructors, videos or a hands-on demonstration.
              (2) Test subject material. The certification tests must adequately and sufficiently cover the following:
              (i) The standards established for the service and repair of MVACs and MVAC-like appliances as set forth in appendices A, B, C, D, E, and F of this subpart. These standards relate to the recommended service procedures for the containment of refrigerant, extraction equipment, extraction and recycle equipment, and the standard of purity for refrigerant in motor vehicle air conditioners.
              (ii) Anticipated future technological developments, such as the introduction of HFC-134a in new motor vehicle air conditioners.

              (iii) The environmental consequences of refrigerant release and the adverse effects of stratospheric ozone layer depletion.
              (iv) As of August 13, 1992, the requirements imposed by the Administrator under section 609 of the Act.
              (3) Test administration. Completed tests must be graded by an entity or individual who receives no benefit based on the outcome of testing; a fee may be charged for grading. Sufficient measures must be taken at the test site to ensure that tests are completed honestly by each technician. Each test must provide a means of verifying the identification of the individual taking the test. Programs are encouraged to make provisions for non-English speaking technicians by providing tests in other languages or allowing the use of a translator when taking the test. If a translator is used, the certificate received must indicate that translator assistance was required.
              (4) Proof of certification. Each certification program must offer individual proof of certification, such as a certificate, wallet-sized card, or display card, upon successful completion of the test. Each certification program must provide a unique number for each certified technician.
              (b) In deciding whether to approve an application, the Administrator will consider the extent to which the applicant has documented that its program meets the standards set forth in this section. The Administrator reserves the right to consider other factors deemed relevant to ensure the effectiveness of certification programs. The Administrator may approve a program which meets all of the standards in paragraph (a) of this section except test administration if the program, when viewed as a whole, is at least as effective as a program that does meet all the standards. Such approval shall be limited to training and certification conducted before August 13, 1992. If approval is denied under this section, the Administrator shall give written notice to the program setting forth the basis for his determination.
              (c) Technical revisions. Directors of approved certification programs must conduct periodic reviews of test subject material and update the material based upon the latest technological developments in motor vehicle air conditioner service and repair. A written summary of the review and any changes made must be submitted to the Administrator every two years.
              (d) Recertification. The Administrator reserves the right to specify the need for technician recertification at some future date, if necessary.
              (e) If at any time an approved program is conducted in a manner not consistent with the representations made in the application for approval of the program under this section, the Administrator reserves the right to revoke approval.
              (f) Authorized representatives of the Administrator may require technicians to demonstrate on the business entity's premises their ability to perform proper procedures for recovering and/or recycling refrigerant. Failure to demonstrate or failure to properly use the equipment may result in revocation of the technician's certificate by the Administrator. Technicians whose certification is revoked must be recertified before servicing or repairing any motor vehicle air conditioners.
              [57 FR 31261, July 14, 1992, as amended at 60 FR 21688, May 2, 1995; 62 FR 68048, Dec. 30, 1997]

              § 82.42
              Certification, recordkeeping and public notification requirements.
              (a) Certification requirements. (1) No later than January 1, 1993, any person repairing or servicing motor vehicle air conditioners for consideration shall certify to the Administrator that such person has acquired, and is properly using, approved equipment and that each individual authorized to use the equipment is properly trained and certified. Certification shall take the form of a statement signed by the owner of the equipment or another responsible officer and setting forth:
              (i) The name of the purchaser of the equipment;
              (ii) The address of the establishment where the equipment will be located; and

              (iii) The manufacturer name and equipment model number, the date of manufacture, and the serial number of the equipment. The certification must also include a statement that the equipment will be properly used in servicing motor vehicle air conditioners, that each individual authorized by the purchaser to perform service is properly trained and certified in accordance with § 82.40, and that the information given is true and correct.
              (A) Owners or lessees of recycling or recovery equipment having their places of business in Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, and Vermont must send their certifications to: CAA section 609 Enforcement Contact; EPA Region I; Mail Code 04-2; 5 Post Office Square—Suite 100, Boston, MA 02109-3912.
              (B) Owners or lessees of recycling or recovery equipment having their places of business in New York, New Jersey, Puerto Rico, Virgin Islands must send their certifications to: CAA section 609 Enforcement Contact; EPA Region II (2DECA-AC); 290 Broadway, 21st Floor; New York, NY 10007-1866.
              (C) Owners or lessees of recycling or recovery equipment having their places of business in Delaware, District of Columbia, Maryland, Pennsylvania, Virginia, West Virginia must send their certifications to: CAA section 609 Enforcement Contact; EPA Region III—Wheeling Operations Office; Mail Code 3AP12; 303 Methodist Building; 11th and Chapline Streets; Wheeling, WV 26003.
              (D) Owners or lessees of recycling or recovery equipment having their places of business in Alabama, Florida, Georgia, Kentucky, Mississippi, North Carolina, South Carolina, Tennessee must send their certifications to: CAA section 609 Enforcement Contact; EPA Region IV (APT-AE); Atlanta Federal Center; 61 Forsyth Street, SW.; Atlanta, GA 30303.
              (E) Owners or lessees of recycling or recovery equipment having their places of business in Illinois, Indiana, Michigan, Minnesota, Ohio, Wisconsin must send their certifications to: CAA section 609 Enforcement Contact, EPA Region V (AE17J); 77 West Jackson Blvd.; Chicago, IL 60604-3507.
              (F) Owners or lessees of recycling or recovery equipment having their places of business in Arkansas, Louisiana, New Mexico, Oklahoma, Texas must send their certifications to: CAA Section 609 Enforcement Contact, EPA Region 6, 1201 Elm Street, Suite 500, Mail Code 6ECDAP, Dallas, Texas 75270-2102.
              (G) Owners or lessees of recycling or recovery equipment having their places of business in Iowa, Kansas, Missouri, Nebraska must send their certifications to: CAA section 609 Enforcement Contact; EPA Region 7; Mail Code APCO/APDB/ACES; 11201 Renner Boulevard, Lenexa, Kansas 66219.
              (H) Owners or lessees of recycling or recovery equipment having their places of business in Colorado, Montana, North Dakota, South Dakota, Utah, Wyoming must send their certifications to: CAA section 609 Enforcement Contact, EPA Region VIII, Mail Code 8ENF-T, 999 18th Street, Suite 500, Denver, CO 80202-2466.
              (I) Owners or lessees of recycling or recovery equipment having their places of business in American Samoa, Arizona, California, Guam, Hawaii, Nevada must send their certifications to: CAA section 609 Enforcement Contact; EPA Region IX; Mail Code AIR-5; 75 Hawthorne Street; San Francisco, CA 94105.
              (J) Owners or lessees of recycling or recovery equipment having their places of business in Alaska, Idaho, Oregon, Washington must send their certifications to: CAA section 609 Enforcement Contact; EPA Region X (OAQ-107); 1200 Sixth Avenue; Seattle, WA 98101.
              (b) Recordkeeping requirements. (1) Any person who owns approved refrigerant recycling equipment certified under § 82.36(a)(2) must maintain records of the name and address of any facility to which refrigerant is sent.
              (2) Any person who owns approved refrigerant recycling equipment must retain records demonstrating that all persons authorized to operate the equipment are currently certified under § 82.40.

              (3) Any person who sells or distributes any class I or class II substance that is suitable for use as a refrigerant in a motor vehicle air conditioner and that is in a container of less than 20 pounds of such refrigerant must verify that the purchaser is properly trained and certified under § 82.40. The seller must have a reasonable basis for believing that the information presented by the purchaser is accurate. The only exception to these requirements is if the purchaser is purchasing the small containers for resale only. In this case, the seller must obtain a written statement from the purchaser that the containers are for resale only and indicate the purchasers name and business address. Records required under this paragraph must be retained for a period of three years.
              (4) All records required to be maintained pursuant to this section must be kept for a minimum of three years unless otherwise indicated. Entities which service motor vehicle air conditioners for consideration must keep these records on-site.
              (5) All entities which service motor vehicle air conditioners for consideration must allow an authorized representative of the Administrator entry onto their premises (upon presentation of his or her credentials) and give the authorized representative access to all records required to be maintained pursuant to this section.
              (c) Public notification. Any person who conducts any retail sales of a class I or class II substance that is suitable for use as a refrigerant in a motor vehicle air conditioner, and that is in a container of less than 20 pounds of refrigerant, must prominently display a sign where sales of such containers occur which states:

                “It is a violation of federal law to sell containers of Class I and Class II refrigerant of less than 20 pounds of such refrigerant to anyone who is not properly trained and certified to operate approved refrigerant recycling equipment.”

              [57 FR 31261, July 14, 1992, as amended at 60 FR 21688, May 2, 1995; 72 FR 63494, Nov. 9, 2007; 76 FR 49673, Aug. 11, 2011; 78 FR 37977, June 25, 2013; 84 FR 34070, July 17, 2019; 84 FR 44230, Aug. 23, 2019]

              Pt. 82, Subpt. B, App. A
              Appendix A to Subpart B of Part 82—Standard for Recycle/Recover Equipment
              Standard of Purity for Use in Mobile Air-Conditioning Systems
              Foreword
              Due to the CFC's damaging effect on the ozone layer, recycle of CFC-12 (R-12) used in mobile air-conditioning systems is required to reduce system venting during normal service operations. Establishing recycle specifications for R-12 will assure that system operation with recycled R-12 will provide the same level of performance as new refrigerant.
              Extensive field testing with the EPA and the auto industry indicate that reuse of R-12 removed from mobile air-conditioning systems can be considered, if the refrigerant is cleaned to a specific standard. The purpose of this standard is to establish the specific minimum levels of R-12 purity required for recycled R-12 removed from mobile automotive air-conditioning systems.
              1. Scope
              This information applies to refrigerant used to service automobiles, light trucks, and other vehicles with similar CFC-12 systems. Systems used on mobile vehicles for refrigerated cargo that have hermetically sealed, rigid pipe are not covered in this document.
              2. References
              SAE J1989, Recommended Service Procedure for the Containment of R-12
              SAE J1990, Extraction and Recycle Equipment for Mobile Automotive Air-Conditioning Systems
              ARI Standard 700-88
              3. Purity Specification
              The refrigerant in this document shall have been directly removed from, and intended to be returned to, a mobile air-conditioning system. The contaminants in this recycled refrigerant 12 shall be limited to moisture, refrigerant oil, and noncondensable gases, which shall not exceed the following level:
              3.1 Moisture: 15 ppm by weight.
              3.2 Refrigerant Oil: 4000 ppm by weight.
              3.3 Noncondensable Gases (air): 330 ppm by wright.
              4. Refrigeration Recycle Equipment Used in Direct Mobile Air-Conditioning Service Operations Requirement
              4.1 The equipment shall meet SAE J1990, which covers additional moisture, acid, and filter requirements.
              4.2 The equipment shall have a label indicating that it is certified to meet this document.
              5. Purity Specification of Recycled R-12 Refrigerant Supplied in Containers From Other Recycle Sources

              Purity specification of recycled R-12 refrigerant supplied in containers from other recycle sources, for service of mobile air-conditioning systems, shall meet ARI Standard 700-88 (Air Conditioning and Refrigeration Institute).

              6. Operation of the Recycle Equipment
              This shall be done in accordance with SAE J1989.
              Rationale
              Not applicable.
              Relationship of SAE Standard to ISO Standard
              Not applicable.
              Reference Section
              SAE J1989, Recommended Service Procedure for the Containment of R-12
              SAE J1990, Extraction and Recycle Equipment for Mobile Automotive Air-Conditioning Systems
              ARI Standard 700-88
              Application
              This information applies to refrigerant used to service automobiles, light trucks, and other vehicles with similar CFC-12 systems. Systems used on mobile vehicles for refrigerated cargo that have hermetically sealed, rigid pipe are not covered in this document.
              Committee Composition
              Developed by the SAE Defrost and Interior Climate Controls Standards Committee
              W.J. Atkinson, Sun Test Engineering, Paradise Valley, AZ—Chairman
              J.J. Amin, Union Lake, MI
              H.S. Andersson, Saab Scania, Sweden
              P.E. Anglin, ITT Higbie Mfg. Co., Rochester, MI
              R.W. Bishop, GMC, Lockport, NY
              D. Hawks, General Motors Corporation, Pontiac, MI
              J.J. Hernandez, NAVISTAR, Ft. Wayne, IN
              H. Kaltner, Volkswagen AG, Germany, Federal Republic
              D.F. Last, GMC, Troy, MI
              D.E. Linn, Volkswagen of America, Warren, MI
              J.H. McCorkel, Freightliner Corp., Charlotte, NC
              C.J. McLachlan, Livonia, MI
              H.L. Miner, Climate Control Inc., Decatur, IL
              R.J. Niemiec, General Motors Corp., Pontiac, MI
              N. Novak, Chrysler Corp., Detroit, MI
              S. Oulouhojian, Mobile Air Conditioning Society, Upper Darby, PA
              J. Phillips, Air International, Australia
              R.H. Proctor, Murray Corp., Cockeysville, MD
              G. Rolling, Behr America Inc., Ft. Worth, TX
              C.D. Sweet, Signet Systems Inc., Harrodsburg, KY
              J.P. Telesz, General Motors Corp., Lockport, NY
              Extraction and Recycle Equipment for Mobile Automotive Air Conditioning Systems
              SAE Recommended Practice, SAE J1990 (1991) 1

              0. Foreword

                Due to the CFC's damaging effect on the ozone layer, recycle of CFC-12 (R-12) used in mobile air-conditioning systems is required to replace system venting during normal service operations. Establishing recycle specifications for R-12 will provide the same level of performance as new refrigerant.

                  1 This standard is appropriate for equipment certified after February 1, 1992. This equipment may be marked design certified for compliance with SAE J1990 (1991). The standard for approval for equipment certified on or before February 1, 1992 is SAE J1990 (1989). This equipment may be marked design certified for compliance with SAE J1990 (1989). Both types of equipment are considered approved under the requirements of this regulation.

              Extensive field testing with the EPA and the auto industry indicates that R-12 can be reused, provided that it is cleaned to specifications in SAE J1991. The purpose of this document is to establish the specific minimum equipment specification required for recycle of R-12 that has been directly removed from mobile systems for reuse in mobile automotive air-conditioning systems.
              1. Scope
              The purpose of this document is to provide equipment specifications for CFC-12 (R-12) recycling equipment. This information applies to equipment used to service automobiles, light trucks, and other vehicles with similar CFC-12 air-conditioning systems. Systems used on mobile vehicles for refrigerated cargo that have hermetically sealed systems are not covered in this document. The equipment in this document is intended for use with refrigerant that has been directly removed from, and intended to be returned to, a mobile air-conditioning system. Should other revisions due to operational or technical requirements occur, this document may be amended.
              2. References
              2.1 Applicable Documents:

              2.1.1 SAE Publications—Available from SAE, 400 Commonwealth Drive, Warrendale, PA 15096-0001.

              SAE J1991—Standard of Purity for Use in Mobile Air-Conditioning Systems
              SAE J2196—Service Hose for Automotive Air-Conditioning

              2.1.2 CGA Publications—Available from CGA, Crystal Gateway #1, Ste. 501, 1235 Jefferson Davis Hwy., Arlington, VA 22202

              CGA Pamphlet S-1.1—Pressure Relief Device Standard Part 1—Cylinders for Compressed Gases
              3. Specification and General Description
              3.1 The equipment must be able to extract and process CFC-12 from mobile air-conditioning systems. The equipment shall process the contaminated R-12 samples as defined in 8.4 and shall clean the refrigerant to the level as defined in SAE J1991.
              3.2 The equipment shall be suitable for use in an automotive service environment and be capable of continuous operation in ambients from 10 to 49 °C.
              3.3 The equipment must be certified by Underwriters Laboratories or an equivalent certifying laboratory.
              3.4 The equipment shall have a label “Design Certified by (Company Name) to Meet SAE J1991”. The minimum letter size shall be bold type 3 mm in height.
              4. Refrigeration Recycle Equipment Requirements
              4.1 Moisture and Acid—The equipment shall incorporate a desiccant package that must be replaced before saturated with moisture and whose mineral acid capacity is at least 5% by weight of total system dry desiccant.
              4.1.1 The equipment shall be provided with a moisture detection device that will reliably indicate when moisture in the CFC-12 exceeds the allowable level and requires the filter/dryer replacement.
              4.2 Filter—The equipment shall incorporate an in-line filter that will trap particulates of 15 µm or greater.
              4.3 Noncondensable Gas.
              4.3.1 The equipment shall either automatically purge noncondensables (NCGs) if the acceptable level is exceeded or incorporate a device to alert the operator that NCG level has been exceeded. NCG removal must be part of normal operation of the equipment and instructions must be provided to enable the task to be accomplished within 30 minutes.
              4.3.2 Refrigerant loss from noncondensable gas purging during testing described in Section 8 shall not exceed five percent (5%) by weight of the total contaminated refrigerant removed from the test system.
              4.3.3 Transfer of Recycled Refrigerant—Recycled refrigerant for recharging and transfer shall be taken from the liquid phase only.
              5. Safety Requirements
              5.1 The equipment must comply with applicable federal, state and local requirements on equipment related to the handling of R-12 material. Safety precautions or notices related to the safe operation of the equipment shall be prominently displayed on the equipment and should also state “Caution—Should Be Operated By Qualified Personnel”.
              6. Operating Instructions
              6.1 The equipment manufacturer must provide operating instructions, necessary maintenance procedures, and source information for replacement parts and repair.
              6.2 The equipment must prominently display the manufacturer's name, address and any items that require maintenance or replacement that affect the proper operation of the equipment. Operation manuals must cover information for complete maintenance of the equipment to assure proper operation.
              7. Functional Description
              7.1 The equipment must be capable of ensuring recovery of the R-12 from the system being service, by reducing the system pressure below atmospheric to a minimum of 102 mm of mercury.
              7.2 To prevent overcharge, the equipment must be equipped to protect the tank used to store the recycled refrigerant with a shutoff device and a mechanical pressure relief valve.
              7.3 Portable refillable tanks or containers used in conjunction with this equipment must meet applicable Department of Transportation (DOT) or Underwriters Laboratories (UL) Standards and be adaptable to existing refrigerant service and charging equipment.
              7.4 During operation, the equipment shall provide overfill protection to assure the storage container, internal or external, liquid fill does not exceed 80% of the tank's rated volume at 21.1 °C (70 °F) per DOT standards, CFR title 49, § 173.304 and American Society of Mechanical Engineers.
              7.4.1 Additional Storage Tank Requirements.
              7.4.1.1 The cylinder valve shall comply with the standard for cylinder valves, UL 1769.
              7.4.1.2 The pressure relief device shall comply with the Pressure Relief Device Standard Part 1—Cylinders for Compressed Gases, CGA Pamphlet S-1.1.
              7.4.1.3 The tank assembly shall be marked to indicate the first retest date, which shall be 5 years after date of manufacture. The marking shall indicate that retest must be performed every subsequent 5 years. The marking shall be in letters at least 1/4 in high.
              7.5 All flexible hoses must meet SAE J2196 hose specification effective January 1, 1992.

              7.6 Service hoses must have shutoff devices located within 30 cm (12 in) of the connection point to the system being serviced to minimize introduction of noncondensable gases into the recovery equipment and the release of the refrigerant when being disconnected.
              7.7 The equipment must be able to separate the lubricant from the recovered refrigerant and accurately indicate the amount removed during the process, in 30 ml units. Refrigerant dissolves in lubricant sample. This creates the illusion that more lubricant has been recovered than actually has been. The equipment lubricant measuring system must take in account such dissolved refrigerant to prevent overcharging the vehicle system with lubricant. Note: Use only new lubricant to replace the amount removed during the recycle process. Used lubricant should be discarded per applicable federal, state, and local requirements.
              7.8 The equipment must be capable of continuous operation in ambient of 10 to 49 °C (50 to 120 °F).
              7.9 The equipment should be compatible with leak detection material that may be present in the mobile AC system.
              8. Testing
              This test procedure and the requirement are used for evaluation of the equipment for its ability to clean the contaminated R-12 refrigerant.
              8.1 The equipment shall clean the contaminated R-12 refrigerant to the minimum purity level as defined in SAE J1991, when tested in accordance with the following conditions:
              8.2 For test validation, the equipment is to be operated according to the manufacturer's instructions.
              8.3 The equipment must be preconditioned with 13.6 kg (30 lb) of the standard contaminated R-12 at an ambient of 21 °C (70 °F) before starting the test cycle. Sample amounts are not to exceed 1.13 kg (2.5 lb) with sample amounts to be repeated every 5 min. The sample method fixture, defined in Fig. 1, shall be operated at 24 °C (75 °F).
              8.4 Contaminated R-12 Samples.
              8.4.1 Standard contaminated R-12 refrigerant shall consist of liquid R-12 with 100 ppm (by weight) moisture at 21 °C (70 °F) and 45,000 ppm (by weight) mineral oil 525 suspension nominal and 770 ppm by weight of noncondensable gases (air).
              8.4.2 High moisture contaminated sample shall consist of R-12 vapor with 1,000 ppm (by weight) moisture.
              8.4.3 High oil contaminated sample shall consist of R-12 with 200,000 ppm (by weight) mineral oil 525 suspension viscosity nominal.
              8.5 Test Cycle.
              8.5.1 After preconditioning as stated in 8.3, the test cycle is started, processing the following contaminated samples through the equipment:
              8.5.1.1 3013.6 kg (30 lb) of standard contaminated R-12.
              8.5.1.2 1 kg (2.2 lb) of high oil contaminated R-12.
              8.5.1.3 4.5 kg (10 lb) of standard contaminated R-12.
              8.5.1.4 1 kg (2.2 lb) of high moisture contaminated R-12.
              8.6 Equipment Operating Ambient.
              8.6.1 The R-12 is to be cleaned to the minimum purity level, as defined in SAE J1991, with the equipment operating in a stable ambient of 10, 21, and 49 °C (50, 70, and 120 °F) and processing the samples as defined in 8.5.
              8.7 Sample Analysis.
              8.7.1 The processed contaminated sample shall be analyzed according to the following procedure.
              8.8 Quantitative Determination of Moisture.
              8.8.1 The recycled liquid phase sample of CFC-12 shall be analyzed for moisture content via Karl Fischer coulometer titration or an equivalent method. The Karl Fischer apparatus is an instrument for precise determination of small amounts of water dissolved in liquid and/or gas samples.
              8.8.2 In conducting the test, a weighed sample of 30 to 130 grams is vaporized directly into the Karl Fischer analyte. A coulometer titration is conducted and the results are calculated and displayed as parts per million moisture (weight).
              8.9 Determination of Percent Lubricant.
              8.9.1 The amount of oil in the recycled sample of CFC-12 is to be determined by gravimetric analysis.
              8.9.2 Following venting of noncondensable, in accordance with the manufacturer's operating instructions, the refrigerant container shall be shaken for 5 minutes prior to extracting samples for test.
              8.9.3 A weighted sample of 175 to 225 grams of liquid CFC-12 is allowed to evaporate at room temperature. The percent oil is to be calculated from the weight of the original sample and the residue remaining after the evaporation.
              8.10 Noncondensable Gas.
              8.10.1 The amount of noncondensable gas is to be determined by gas chromatography. A sample of vaporized refrigerant liquid shall be separated and analyzed by gas chromatography. A Porapak Q column at 130 °C and a hot wire detector may be used for analysis.
              8.10.2 This test shall be conducted on recycled refrigerant (taken from the liquid phase) within 30 minutes after the proper venting of noncondensable.

              8.10.3 Samples shall be shaken for 8 hours prior to retesting while at a temperature of 24 ±2.8 °C (75 ±5 °F). Known volumes of refrigerant vapor are to be injected for separation and analysis by means of gas chromatography. A Porapak Q column at 130 °C (266 °F) and a hot wire detector are to be used for the analysis.

              8.10.4 This test shall be conducted at 21 and 49 °C and may be performed in conjunction with the testing defined in Section 8.6. The equipment shall process at least 13.6 kg of standard contaminated refrigerant for this test.
              8.11 Sample Requirements.
              8.11.1 The sample shall be tested as defined in 8.7, 8.8, 8.9, and 8.10 at ambient temperatures of 10, 21, and 49 °C (50, 70, and 120 °F) as defined in 8.6.1.

                EC01MY92.106

              Recommended Service Procedure for the Containment of R-12
              1. Scope
              During service of mobile air-conditioning systems, containment of the refrigerant is important. This procedure provides service guidelines for technicians when repairing vehicles and operating equipment defined in SAE J1990.
              2. References
              SAE J1990, Extraction and Recycle Equipment for Mobile Automotive Air-Conditioning Systems
              3. Refrigerant Recovery Procedure
              3. 1 Connect the recovery unit service hoses, which shall have shutoff valves within 12 in (30 cm) of the service ends, to the vehicle air-conditioning system service ports.
              3.2 Operate the recovery equipment as covered by the equipment manufacturers recommended procedure.
              3.2.1 Start the recovery process and remove the refrigerant from the vehicle AC system. Operate the recovery unit until the vehicle system has been reduced from a pressure to a vacuum. With the recovery unit shut off for at least 5 min, determine that there is no refrigerant remaining in the vehicle AC system. If the vehicle system has pressure, additional recovery operation is required to remove the remaining refrigerant. Repeat the operation until the vehicle AC system vacuum level remains stable for 2 min.
              3.3 Close the valves in the service lines and then remove the service lines from the vehicle system. Proceed with the repair/service. If the recovery equipment has automatic closing valves, be sure they are properly operating.
              4. Service With Manifold Gage Set
              4.1 Service hoses must have shutoff valves in the high, low, and center service hoses within 12 in (30 cm) of the service ends. Valves must be closed prior to hose removal from the air-conditioning system. This will reduce the volume of refrigerant contained in the service hose that would otherwise be vented to atmosphere.
              4.2 During all service operations, the valves should be closed until connected to the vehicle air-conditioning system or the charging source to avoid introduction of air and to contain the refrigerant rather than vent open to atmosphere.
              4.3 When the manifold gage set is disconnected from the air-conditioning system or when the center hose is moved to another device which cannot accept refrigerant pressure, the gage set hoses should first be attached to the reclaim equipment to recover the refrigerant from the hoses.
              5. Recycled Refrigerant Checking Procedure for Stored Portable Auxiliary Container
              5.1 To determine if the recycled refrigerant container has excess noncondensable gases (air), the container must be stored at a temperature of 65 °F (18.3 °C) or above for a period of time, 12 h, protected from direct sun.
              5.2 Install a calibrated pressure gage, with 1 psig divisions (0.07 kg), to the container and determine the container pressure.
              5.3 With a calibrated thermometer, measure the air temperature within 4 in (10 cm) of the container surface.
              5.4 Compare the observed container pressure and air temperature to determine if the container exceeds the pressure limits found on Table 1, e.g., air temperature 70 °F (21 °C) pressure must not exceed 80 psig (5.62 kg/cm 2).

                Table 1

                  Temp °F
                  Psig
                  Temp °F
                  Psig
                  Temp °F
                  Psig
                  Temp °F
                  Psig
                  Temp °F
                  Psig

                  65
                  74
                  75
                  87
                  85
                  102
                  95
                  118
                  105
                  136

                  66
                  75
                  76
                  88
                  86
                  103
                  96
                  120
                  106
                  138

                  67
                  76
                  77
                  90
                  87
                  105
                  97
                  122
                  107
                  140

                  68
                  78
                  78
                  92
                  88
                  107
                  98
                  124
                  108
                  142

                  69
                  79
                  79
                  94
                  89
                  108
                  99
                  125
                  109
                  144

                  70
                  80
                  80
                  96
                  90
                  110
                  100
                  127
                  110
                  146

                  71
                  82
                  81
                  98
                  91
                  111
                  101
                  129
                  111
                  148

                  72
                  83
                  82
                  99
                  92
                  113
                  102
                  130
                  112
                  150

                  73
                  84
                  83
                  100
                  93
                  115
                  103
                  132
                  113
                  152

                  74
                  86
                  84
                  101
                  94
                  116
                  104
                  134
                  114
                  154

                Table 1 (Metric)

                  Temp °C
                  Pres
                  Temp °C
                  Pres
                  Temp °C
                  Pres
                  Temp °C
                  Pres
                  Temp °C
                  PRres

                  18.3
                  5.20
                  23.9
                  6.11
                  29.4
                  7.17
                  35.0
                  8.29
                  40.5
                  9.56

                  18.8
                  5.27
                  24.4
                  6.18
                  30.0
                  7.24
                  35.5
                  8.43
                  41.1
                  9.70

                  19.4
                  5.34
                  25.0
                  6.32
                  30.5
                  7.38
                  36.1
                  8.57
                  41.6
                  9.84

                  20.0
                  5.48
                  25.5
                  6.46
                  31.1
                  7.52
                  36.6
                  8.71
                  42.2
                  9.98

                  20.5
                  5.55
                  26.1
                  6.60
                  31.6
                  7.59
                  37.2
                  8.78
                  42.7
                  10.12

                  21.1
                  5.62
                  26.6
                  6.74
                  32.2
                  7.73
                  37.7
                  8.92
                  43.3
                  10.26

                  21.6
                  5.76
                  27.2
                  6.88
                  32.7
                  7.80
                  38.3
                  9.06
                  43.9
                  10.40

                  22.2
                  5.83
                  27.7
                  6.95
                  33.3
                  7.94
                  38.8
                  9.13
                  44.4
                  10.54

                  22.7
                  5.90
                  28.3
                  7.03
                  33.9
                  8.08
                  39.4
                  9.27
                  45.0
                  10.68

                  23.3
                  6.04
                  28.9
                  7.10
                  34.4
                  8.15
                  40.0
                  9.42
                  45.5
                  10.82

                Pres kg/sq cm.

              5.5 If the container pressure is less than the Table 1 values and has been recycled, limits of noncondensable gases (air) have not been exceeded and the refrigerant may be used.
              5.6 If the pressure is greater than the range and the container contains recycled material, slowly vent from the top of the container a small amount of vapor into the recycle equipment until the pressure is less than the pressure shown on Table 1.
              5.7 If the container still exceeds the pressure shown on Table 1, the entire contents of the container shall be recycled.
              6. Containers for Storage of Recycled Refrigerant
              6.1 Recycled refrigerant should not be salvaged or stored in disposable refrigerant containers. This is the type of container in which virgin refrigerant is sold. Use only DOT CFR title 49 or UL approved storage containers for recycled refrigerant.
              6.2 Any container of recycled refrigerant that has been stored or transferred must be checked prior to use as defined in section 5.
              7. Transfer of Recycled Refrigerant
              7.1 When external portable containers are used for transfer, the container must be evacuated at least 27 in of vacuum (75 mm Hg absolute pressure) prior to transfer of the recycled refrigerant. External portable containers must meet DOT and UL standards.
              7.2 To prevent on-site overfilling when transferring to external containers, the safe filling level must be controlled by weight and must not exceed 60% of container gross weight rating.
              8. Disposal of Empty/Near Empty Containers
              8.1 Since all the refrigerant may not be removed from disposable refrigerant containers during normal system charging procedures, empty/near empty container contents should be reclaimed prior to disposal of the container.
              8.2 Attach the container to the recovery unit and remove the remaining refrigerant. When the container has been reduced from a pressure to a vacuum, the container valve can be closed. The container should be marked empty and is ready for disposal.
              Rationale
              Not applicable.
              Relationship of SAE Standard to ISO Standard.
              Not applicable.
              Reference Section
              SAE J1990, Extraction and Recycle Equipment for Mobile Automotive Air-Conditioning Systems
              Application
              During service of mobile air-conditioning systems, containment of the refrigerant is important. This procedure provides service guidelines for technicians when repairing vehicles and operating equipment defined in SAE J1990.
              Committee Composition
              Developed by the SAE Defrost and Interior Climate Control Standards Committee
              W.J. Atkinson, Sun Test Engineering, Paradise Valley, AZ—Chairman
              J.J. Amin, Union Lake, MI
              H.S. Andersson, Saab Scania, Sweden
              P.E. Anglin, ITT Higbie Mfg. Co., Rochester, MI
              R.W. Bishop, GMC, Lockport, NY
              D.Hawks, General Motors Corporation, Pontiac, MI
              J.J. Hernandez, NAVISTAR, Ft. Wayne, IN
              H. Kaltner, Volkswagen AG, Germany, Federal Republic
              D.F. Last, GMC, Troy, MI
              D.E. Linn, Volkswagen of America, Warren, MI
              J.H. McCorkel, Freightliner Corp., Charlotte, NC
              C.J. McLachlan, Livonia, MI
              H.L. Miner, Climate Control Inc., Decatur, IL
              R.J. Niemiec, General Motors Corp., Pontiac, MI
              N. Novak, Chrysler Corp., Detroit, MI
              S. Oulouhojian, Mobile Air Conditioning Society, Upper Darby, PA
              J. Phillips, Air International, Australia
              R.H. Proctor, Murray Corp., Cockeysville, MD
              G. Rolling, Behr America Inc., Ft. Worth, TX

              C.D. Sweet, Signet Systems Inc., Harrodsburg, KY

              J.P. Telesz, General Motors Corp., Lockport, NY

              Pt. 82, Subpt. B, App. B
              Appendix B to Subpart B of Part 82—Standard for Recover Equipment
              SAE J1989, Recommended Service Procedure for the Containment of R-12, as set forth under Appendix A, also applies to this Appendix B.
              SAE J2209, issued June, 1992.
              SAE Recommended Practice: CFC-12 (R-12) Extraction Equipment for Mobile Automotive Air-Conditioning Systems
              Foreword
              CFCs deplete the stratospheric ozone layer that protects the earth against harmful ultraviolet radiation. To reduce the emissions of CFCs, the 1990 Clean Air Act requires recycle of CFC-12 (R-12) used in mobile air-conditioning systems to eliminate system venting during service operations. SAE J1990 establishes equipment specifications for on-site recovery and reuse of CFCs in mobile air-conditioning systems. Establishing extraction equipment specifications for CFC-12 will provide service facilities with equipment to assure that venting of refrigerant will not occur.
              1. Scope
              The purpose of this document is to provide equipment specifications for CFC-12 (R-12) recovery for recycling on-site or for transport off-site to a refrigerant reclamation facility that will process it to ARI (Air-Conditioning and Refrigeration Institute) standard 700-93 as a minimum. It is not acceptable that the refrigerant removed from a mobile air-conditioning system, with this equipment, be directly returned to a mobile air-conditioning system.
              This information applies to equipment used to service automobiles, light trucks, and other vehicles with similar CFC-12 systems.
              2. References
              2. Applicable Documents—The following documents form a part of this specification to the extent specified herein.

              2.1.1 SAE Publications—Available from SAE, 400 Commonwealth Drive, Warrendale, PA 15096-0001.

              SAE J639—Vehicle Service Coupling
              SAE J1990—Extraction and Recycle Equipment for Mobile Automotive Air-Conditioning Systems
              SAE J2196—Service Hose for Automotive Air-Conditioning

              2.1.2 ARI Publications—Available from Air-Conditioning and Refrigeration Institute, 1501 Wilson Boulevard, Sixth Floor, Arlington, VA 22209.

              ARI 700-93—Specifications for Fluorocarbon Refrigerants

              2.1.3 CGA Publications—Available from CGA, Crystal Gateway #1, Suite 501, 1235 Jefferson Davis Highway, Arlington, VA 22202.

              CGA S-1.1—Pressure Relief Device Standard Part 1—Cylinders for Compressed Gases

              2.1.4 DOT Specifications—Available from the Superintendent of Documents, U.S. Government Printing Office, Washington, DC 20402.

              49 CFR, Section 173.304—Shippers—General Requirements for Shipments and Packagings

              2.1.5 UL Publications—Available from Underwriters Laboratories, 333 Pfingsten Road, Northbrook, IL 60062-2096.

              UL 1769—Cylinder Valves
              3. Specifications and General Description
              3.1 The equipment must be able to extract CFC-12 from a mobile air-conditioning system.
              3.2 The equipment discharge or transfer fitting shall be unique to prevent the unintentional use of extracted CFC-12 to be used for recharging auto air conditioners.
              3.3 The equipment shall be suitable for use in an automotive service garage environment as defined in 6.8.
              3.4 Equipment Certification—The equipment must be certified by Underwriters Laboratories or an equivalent certifying laboratory to meet this standard.
              3.5 Label Requirements—The equipment shall have a label “Design Certified by (company name) to meet SAE J2209 for use with CFC-12. The refrigerant from this equipment must be processed to ARI 700-93 specifications before reuse in a mobile air-conditioning system.” The minimum letter size shall be bold type 3mm in height.
              4. Safety Requirements
              4.1 The equipment must comply with applicable federal, state and local requirements on equipment related to the handling of R-12 material. Safety precautions or notices or labels related to the safe operation of the equipment shall also be prominently displayed on the equipment and should also state “CAUTION—SHOULD BE OPERATED BY CERTIFIED PERSONNEL.” The safety identification shall be located on the front near the controls.
              4.2 The equipment must comply with applicable safety standards for electrical and mechanical requirements.
              5. Operating Instructions

              5.1 The equipment manufacturer must provide operating instructions, necessary maintenance procedures and source information for replacement parts and repair.

              5.2 The equipment must prominently display the manufacturer's name, address and any items that require maintenance or replacement that affect the proper operation of the equipment. Operation manuals must cover information for complete maintenance of the equipment to assure proper operation.
              6. Functional Description
              6.1 The equipment must be capable of ensuring recovery of the CFC-12 from the system being serviced, by reducing the system pressure to a minimum of 102 mm of mercury below atmospheric. To prevent system delayed outgassing, the unit must have a device that assures that the refrigerant has been recovered from the air-conditioning system.
              6.1.1 Testing laboratory certification of the equipment capability is required which shall process contaminated refrigerant samples at specific temperatures.
              6.2 The equipment must be preconditioned with 13.6 kg of the standard contaminated CFC-12 at an ambient of 21 °C before starting the test cycle. Sample amounts are not to exceed 1.13 kg with sample amounts to be repeated every 5 minutes. The sample method fixture defined in Figure 1 of appendix A shall be operated at 24 °C. Contaminated CFC-12 samples shall be processed at ambient temperatures of 10 and 49 °C.
              6.2.1 Contaminated CFC-12 sample.
              6.2.2 Standard contaminated CFC-12 refrigerant, 13.6 Kg sample size, shall consist of liquid CFC-12 with 100 ppm (by weight) moisture at 21 °C and 45,000 ppm (by weight) mineral oil 525 suspension nominal and 770 ppm (by weight) of noncondensable gases (air).
              6.3 Portable refillable containers used in conjunction with this equipment must meet applicable DOT standards.
              6.3.1 The container color must be gray with yellow top to identify that it contains used CFC-12 refrigerant. It must be permanently marked on the outside surface in black print at least 20 mm high “DIRTY R-12—DO NOT USE, MUST BE REPROCESSED”.
              6.3.2 The portable refillable container shall have a SAE 3/8 inch flare male thread connection as identified in SAE J639 CFC-12 High Pressure Charging Valve Figure 2.
              6.3.3 During operation the equipment shall provide overfill protection to assure that the storage container liquid fill does not exceed 80% of the tank's rated volume at 21 °C per DOT standard, CFR Title 49, section 173.304 and the American Society of Mechanical Engineers.
              6.4 Additional Storage Tank Requirements.
              6.4.1 The cylinder valve shall comply with the standard for cylinder valves, UL 1769.
              6.4.2 The pressure relief device shall comply with the pressure relief device standard part 1, CGA pamphlet S-1.1.
              6.4.3 The container assembly shall be marked to indicate the first retest date, which shall be 5 years after date of manufacture. The marking shall indicate that retest must be performed every subsequent five years. The marking shall be in letters at least 6 mm high.
              6.5 All flexible hoses must meet SAE J2196 standard for service hoses.
              6.6 Service hoses must have shutoff devices located within 30 cm of the connection point to the system being serviced to minimize introduction of noncondensable gases into the recovery equipment during connection and the release of the refrigerant during disconnection.
              6.7 The equipment must be able to separate the lubricant from the recovered refrigerant and accurately indicate the amount removed from the system during processing in 30 ml units.
              6.7.1 The purpose of indicating the amount of lubricant removed is to ensure that a proper amount is returned to the mobile air-conditioning system for compressor lubrication.
              6.7.2 Refrigerant dissolved in this lubricant must be accounted for to prevent system lubricant overcharge of the mobile air-conditioning system.
              6.7.3 Only new lubricant, as identified by the system manufacturer, should be replaced in the mobile air-conditioning system.
              6.7.4 Removed lubricant from the system and/or the equipment shall be disposed of in accordance with applicable federal, state and local procedures and regulations.
              6.8 The equipment must be capable of continuous operation in ambient temperatures of 10 °C to 49 °C and comply with 6.1.
              6.9 The equipment should be compatible with leak detection material that may be present in the mobile air-conditioning system.
              7.0 For test validation, the equipment is to be operated according to the manufacturer's instructions.
              [60 FR 21688, May 2, 1995]

              Pt. 82, Subpt. B, App. C

              Appendix C to Subpart B of Part 82—SAE J2788 Standard for Recovery/Recycle and Recovery/Recycle/Recharging Equipment for HFC-134a Refrigerant
              Foreword

              This Appendix establishes the specific minimum equipment requirements for the recovery/recycling of HFC-134a that has been directly removed from, and is intended for reuse in, mobile air-conditioning systems and recovery/recycling and system recharging of recycled, reclaimed or virgin HFC-134a. Establishing such specifications will ensure that system operation with recycled HFC-134a will provide the same level of performance and durability as new refrigerant.
              1. Scope
              The purpose of this SAE Standard is to establish the specific minimum equipment performance requirements for recovery and recycling of HFC-134a that has been directly removed from, and is intended for reuse in, mobile air-conditioning (A/C) systems. It also is intended to establish requirements for equipment used to recharge HFC-134a to an accuracy level that meets Section 9 of this document and SAE J2099. The requirements apply to the following types of service equipment and their specific applications.
              a. Recovery/Recycling Equipment,
              b. Recovery/Recycling—Refrigerant Charging,
              c. Refrigerant Recharging Equipment Only.
              1.1 Improved refrigerant recovery equipment is required to ensure adequate refrigerant recovery to reduce emissions and provide for accurate recharging of mobile air conditioning systems. Therefore, 12 months following the publication date of this standard, requirements in this standard supplements and supersedes, SAE J2210.
              2. References
              2.1 Applicable Publications
              The following publications form a part of this specification to the extent specified herein. Unless otherwise indicated, the latest issue of SAE publications shall apply.
              2.1.1 SAE Publications

              Available from SAE, 400 Commonwealth Drive, Warrendale, PA 15096-0001, Tel: 877-606-7323 (inside USA and Canada) or 724-776-4970 (outside USA), www.sae.org.

              SAE J2099 Standard of Purity for Recycled HFC-134a (R-134a) for Use in Mobile Air-Conditioning Systems
              SAE J2196 Service Hoses for Automotive Air-Conditioning
              SAE J2197 Service Hose Fittings for Automotive Air-Conditioning
              SAE J2296 Retest of Refrigerant Container
              2.1.2 CGA Publications

              Available from CGA, 4221 Walney Road, 5th Floor, Chantilly VA 20151-2923, Tel: 703-788-2700, http://www.cganet.com.

              CGA Pamphlet S-1.1 Pressure Relief Device Standard Part 1—Cylinders for Compressed Gases 2.1.3 DOT Publications
              Available from the Superintendent of Documents, U.S. Government Printing Office, Mail Stop: SSOP, Washington, DC 20402-9320.
              OT Standard, CFR Title 49, Section 173.304 Shippers—General Requirements for Shipments and Packagings
              2.1.4 UL Publications

              Available from Underwriters Laboratories Inc., 333 Pfingsten Road, Northbrook, IL 60062-2096, Tel: 847-272-8800, http://www.ul.com.

              UL 1769 Cylinder Valves
              UL 1963 Refrigerant Recovery/Recycling Equipment
              3. Specification and General Description
              3.1 The equipment must be able to remove and process HFC-134a (R-134a) from mobile A/C systems to the purity level specified in SAE J2099.
              3.2 The equipment shall be suitable for use in an automotive service garage environment and be capable of continuous operation in ambients from 10 °C to 49 °C (50 °F to 120 °F). If it is designed to recharge a system, and it uses a scale for this purpose, the scale must demonstrate the ability to maintain accuracy per the test in 10.2.
              3.3 The equipment must be certified that it meets this specification by an EPA listed certifying laboratory.
              3.4 The equipment shall have a label, which states, “Certified by (Certifying Agent) to Meet SAE J2788 superseding SAE J2210” in bold-type letters a minimum of 3 mm (1/8 in) in height.
              4. Refrigerant Recycling Equipment Requirements
              4.1 Moisture and Acid
              The equipment shall incorporate a desiccant package that must be replaced before saturation with moisture, and whose mineral acid capacity is at least 5% by weight of the dry desiccant.
              4.1.1 The equipment shall be provided with a means of indicating when the filter desiccant moisture capacity has reached the allowable limit and desiccant replacement is required. This may include a reliable means of detecting moisture level or an algorithm based on the amount refrigerant recovered. The user must be clearly alerted to replace the filter prior to the full saturation. Warnings shall be displayed on screens and (printed on printouts where applicable). The warnings must explain that the machine is approaching the end of filter life. The manufacturer must incorporate a lockout when the end of filter life is reached.

              4.1.2 The manufacturer shall use an identification system to ensure that a new filter has been installed to reset the machine for operation.

              4.2 Filter
              The equipment shall incorporate an in-line filter that will trap particulates of 15 micron spherical diameter or greater.
              4.3 Scale (if used)
              The scale must maintain accuracy when moved, as per the test in Section 10.
              4.4 Purging Noncondensable Gases
              4.4.1 The equipment shall automatically purge noncondensables (NCGs), which are primarily air, if the acceptable level is exceeded. NCG removal must be part of the normal operation of the equipment and instructions must be provided to enable the task to be accomplished within 30 min (to reach the refrigerant purity level specified in SAE J2099).
              4.4.2 Refrigerant loss from noncondensable gas purging during the testing described in Section 8 shall be minimized by a method that initiates a purge when the machine has not been in use for a period long enough for air-refrigerant separation in the tank to have occurred.
              4.5 Recharging and Transfer of Recycled Refrigerant
              Recycled refrigerant for recharging and transfer shall be taken from the liquid phase only.
              5. Safety Requirements
              5.1 The equipment must comply with applicable federal, state, and local requirements on equipment related to handling HFC-134a material. Safety precautions or notices related to safe operation of the equipment shall be prominently displayed on the equipment and should also state “CAUTION—SHOULD BE OPERATED BY QUALIFIED PERSONNEL.”
              5.2 Under NO CIRCUMSTANCES should any equipment be pressure tested or leak tested with air/HFC-134a mixtures.
              Do not use compressed air (shop air) or leak detection in systems containing HFC-134a.
              6. Operating Instructions
              6.1 The equipment manufacturer shall provide a warning in the instruction manual regarding the possibility of refrigerant contamination in the mobile A/C system being serviced.
              6.1.1 If recovery/recycle equipment has refrigerant identification equipment, the refrigerant identification equipment shall meet the requirements of SAE J1771.
              6.1.2 Recovery/recycling equipment not having refrigerant identification capability shall have instructions in the equipment manual covering possible contamination problems to the equipment and the contamination of the existing recycled refrigerant in the container in the equipment.
              6.2 The equipment manufacturer must provide operating instructions, including proper attainment of vehicle system vacuum (i.e., when to stop the extraction process), filter/desiccant replacement, and purging of noncondensable gases (air). Also to be included are any other necessary maintenance procedures, source information for replacement parts and, repair and safety precautions.
              6.2.1 The manual shall identify the proper maintaining of hose and seals to prevent the addition of excess air, due to leaks, during the recovery process, which would increase the NCG level in the recovered refrigerant.
              6.3 The equipment must prominently display the manufacturer's name, address, the type of refrigerant it is designed to recycle, a service telephone number, and the part number for the replacement filter/drier.
              7. Functional Description
              The ability of the equipment to meet the refrigerant recovery and recharge specifications of this section shall be determined by the test procedures of Section 10.
              7.1 The equipment must be capable of continuous operation in ambient temperatures of 10 °C (50 °F) to 49 °C (120 °F). Continuous is defined as completing recovery/recycle and recharge (if applicable) operations with no more than a brief reset period between vehicles, and shall not include time delays for allowing a system to outgas (which shall be part of the recovery period provided by this standard). Continuous may include time out for an air purge if necessary, although it is understood that extended equipment-off time is preferred to allow NCG and refrigerant separation in the supply tank for optimum results.
              7.1.1 The equipment shall be capable of removing a minimum of 95.0% of the refrigerant from the test system in 30 minutes or less, without external heating, or use of any device (such as shields, reflectors, special lights, etc.) which could heat components of the system. The recovery procedures shall be based on 21 to 24 °C (70 to 75 °F) ambient temperature. The test system for qualifying shall be a 1.4 kg (3.0 lbs) capacity orifice tube/accumulator system in a 2005 Chevrolet Suburban with front and rear A/C, or the test option described in 10.5, and shall be determined by accurately weighing the recovery machine with the resolution and accuracy of within 3 g (.006 lb) in the range of the machine's weight. The laboratory shall maintain records of the vehicle, including its VIN (vehicle identification number).

              7.1.2 However, the preceding shall not preclude a brief period of engine operation at fast idle (up to 15 minutes, up to 2000 rpm) to circulate refrigerant and oil, and provide some engine and warm-up of A/C refrigeration components. The laboratory shall monitor coolant temperature per the vehicle engine coolant temperature sensor, and coolant temperature shall not be allowed to exceed 105 °C (221 °F). The time required shall not be included in the total time of 30 minutes set forth in 7.1.1.
              7.1.3 The refrigerant that is recovered, following oil separation, shall be measured and the quantity displayed, accurate to within ±30 g (1.0 oz). The equipment must include a provision for checking the accuracy, per the requirements of 9.1.
              7.2 During recovery operation, the equipment shall provide overfill protection to assure that the liquid fill of the storage container (which may be integral or external) does not exceed 80% of the tank's rated volume at 21 °C per Department of Transportation (DOT) Standard, CFR Title 49, Section 173.304 and the American Society of Mechanical Engineers.
              7.3 Portable refillable tanks or containers used in conjunction with this equipment must be labeled “HFC-134a (R-134a),” meet applicable Department of Transportation (DOT) or Underwriters Laboratories (UL) Standards, and shall incorporate fittings per SAE J2197.
              7.3.1 The cylinder valve shall comply with the standard for cylinder valves, UL 1769.
              7.3.2 The pressure relief device shall comply with the Pressure Relief Device Standard Part 1—Cylinders for Compressed Gases, CGA Pamphlet S-1.1.
              7.3.3 The tank assembly shall be marked to indicate the first retest date, which shall be 5 years after the date of manufacture. The marking shall indicate that retest must be performed every subsequent 5 years. SAE J2296 provides an inspection procedure. The marking shall be in letters at least 6 mm (1/4 in) high.
              7.3.4 ASME tanks as defined in UL-1963 may be used and are exempt from the retest requirements.
              7.3.5 If the machine is designed for recharging, and the marketer permits use of a non-refillable refrigerant tank, the machine shall include a way to ensure refrigerant remaining in the tank (called the “heel”) to no more than 2% of tank rated capacity when the tank is indicated to be empty. This may be done by the machine marketer as follows:
              • Specify a non-venting procedure, to minimize the amount of unused refrigerant remaining in the tank. The machine shall include any devices required for the procedure, other than ordinary service shop tools and supplies, and include in the operator's manual, any instructions.
              • Provide an automatic or (with instructions in the operator's manual) semi-automatic non-venting procedure with the machine.
              The laboratory shall test for the 2% capability. For testing purposes it may use a refillable tank, minimum 15 lb capacity (6.8 kg) containing a minimum of 7.5 lbs (3.4 kg) refrigerant. The test is as follows:
              a. Weigh the tank at the start of the test, on a scale accurate to plus/minus 3 grams, to ensure it contains sufficient refrigerant.
              b. Operate the machine to remove refrigerant from the tank, charging into a holding container until the tank is indicated to be empty. Continue with the marketer's recommended procedure for the 2% capability.
              c. Weigh the tank, on a scale accurate to plus/minus 3 grams.
              d. Using the recovery compressor and/or a vacuum pump, draw the tank into a vacuum of 9 to 10 inches Mercury (225 to 250 mm Mercury). The tank must hold that vacuum with a decay of less than 10% in 10 minutes. If vacuum decays 10% or more, the procedure shall be repeated as necessary to ensure the tank is empty.
              e. Weigh the tank on a scale accurate to plus/minus 3 grams. The difference in weight from Steps 3 to 5 shall be within 2% of the weight of the amount of refrigerant that is the tanks rated capacity.
              f. This test may be performed at the conclusion of testing in 10.4 or 10.5. If the machine passes or has passed all other testing in this standard, the marketer may make modifications in procedure and/or machine operation and retest once at a later date, within 90 days. If the machine fails the retest, the machine must be completely retested per this standard, or may be certified per the following alternative. The marketer of the machine may specify use of a non-refillable refrigerant tank that provides for recycling and/or disposal of the residual refrigerant, in either case in a manner that does not vent. Or the marketer may exclude use of a one-way container, in the machine's operating instructions.
              7.4 All flexible hoses must comply with SAE J2196.
              7.5 Service hoses must have shutoff devices located at the connection point to the system being serviced. Any hoses or lines connected to refrigerant containers on or in the machine also shall have shutoff devices at the connection points, so that the containers may be changed without loss of refrigerant. A tank that is a permanent installation is exempt from this requirement.
              7.6 The equipment shall separate oil from the refrigerant, measure the amount accurate to 20 ml (0.7 oz.), so the technician has an accurate basis for adding oil to the system.

              7.6.1 This statement shall be predominately identified in the equipment service manual.

                Note:

                Use only new lubricant to replace the amount removed during the recycling process. Used lubricant should be discarded per applicable federal, state and local requirements.

              8. Testing
              This test procedure and its requirements are to be used to determine the ability of the recycling equipment to adequately recycle contaminated refrigerant.
              8.1 The equipment shall be able to clean the contaminated refrigerant in § 8.3 to the purity level defined in SAE J2099.
              8.2 The equipment shall be operated in accordance with the manufacturer's operating instructions.
              8.3 Contaminated HFC-134a (R-134a) Sample
              8.3.1 The standard contaminated refrigerant shall consist of liquid HFC-134a with 1300 ppm (by weight) moisture (equivalent to saturation at 38 °C, 100 °F), 45000 ppm (by weight) HFC-134a compatible lubricant, and 1000 ppm (by weight) of noncondensable gases (air).
              8.3.1.1 The HFC-134a compatible lubricant referred to in 8.3.1, shall be polyalkylene glycol (PAG), ISO 100 such as UCLN or PAG ISO 46-55, such as Idemitsu or equivalent, which shall contain no more than 1000 ppm by weight of moisture.
              8.3.1.2 Although the test lubricant is a PAG, to conform to that used in the test vehicle system, the equipment manufacturer also shall ensure that it is compatible with polyol ester lubricant, such as ND 11 as used in electrically driven compressors in some hybrid vehicles.
              8.4 Test Cycle
              8.4.1 The equipment must be preconditioned by processing 13.6 kg (30 lb) of the standard contaminated HFC-134a at an ambient of 21 to 24 °C (70 to 75 °F) before starting the test cycle. 1.13 kg (2.56 lb) samples are to be processed at 5 min intervals. The test fixture, depicted in Figure 1, shall be operated at 21 to 24 °C (70 to 75 °F).

                ER09NO07.001

              8.4.2 Following the preconditioning procedure per 8.4.1, 18.2 kg (40 lb) of standard contaminated HFC-134a are to be processed by the equipment.
              8.5 Sample Requirements

              8.5.1 Samples of the standard contaminated refrigerant from 8.3.1 shall be processed as required in 8.6 and shall be analyzed after said processing as defined in 8.7, 8.8, and 8.9. Note exception for noncondensable gas determination in 8.9.4.
              8.6 Equipment Operating Ambient
              8.6.1 The HFC-134a is to be cleaned to the purity level, as defined in SAE J2099, with the equipment operating in a stable ambient of 10, 21, and 49 °C (50, 70 and 120 °F) while processing the samples as defined in 8.4.
              8.7 Quantitative Determination of Moisture
              8.7.1 The recycled liquid phase sample of HFC-134a shall be analyzed for moisture content via Karl Fischer coulometric titration, or an equivalent method. The Karl Fischer apparatus is an instrument for precise determination of small amounts of water dissolved in liquid and/or gas samples.
              8.7.2 In conducting this test, a weighed sample of 30 to 130 g is vaporized directly into the Karl Fischer anolyte. A coulometric titration is conducted and the results are reported as parts per million moisture (weight).
              8.8 Determination of Percent Lubricant 8.8.1 The amount of lubricant in the recycled HFC-134a sample shall be determined via gravimetric analysis. The methodology must account for the hygroscopicity of the lubricant.
              8.8.2 Following venting of noncondensable gases in accordance with the manufacturer's operating instructions, the refrigerant container shall be shaken for 5 min prior to extracting samples for testing.
              8.8.3 A weighed sample of 175 to 225 g of liquid HFC-134a is allowed to evaporate at room temperature. The percent lubricant is calculated from weights of the original sample and the residue remaining after evaporation.
              8.9 Noncondensable Gases—Testing for Amount
              8.9.1 The amount of noncondensable gases shall be determined by gas chromatography. A sample of vaporized refrigerant liquid shall be separated and analyzed by gas chromatography. A Porapak Q column at 130 °C (266 °F) and a hot wire detector may be used for the analysis.
              8.9.2 This test shall be conducted on liquid phase samples of recycled refrigerant taken from a full container as defined in 7.2 within 30 min following the proper venting of noncondensable gases.
              8.9.3 The liquid phase samples in 8.9.2 shall be vaporized completely prior to gas chromatographic analysis.
              8.9.4 This test shall be conducted at 10 and 49 °C (50 and 120 °F) and may be performed in conjunction with the testing defined in 8.6. The equipment shall process at least 13.6 kg (30 lb) of standard contaminated refrigerant for this test.
              8.9.5 The equipment shall be capable of charging refrigerant into systems with various lubrication types and shall deliver less than 1% by weight residual oil during system charge if the machine permits oil charging with refrigerant (due to residual oil in the service hoses and recovery unit refrigerant circuit from prior recovery, diagnostics and oil injection. This shall be determined during SAE J2099 testing.)
              9. Recharging the System
              9.1 It is the responsibility of the equipment manufacturer to ensure that the vacuum removal performance leaves the system 98% free of NCGs before recharging, following recovery and recycle under the provisions of this document.
              The equipment must be capable of both indicating and recharging the system to within 15 g (0.50 oz) of vehicle manufacturer's specifications. The laboratory shall test for this capability by choosing a charge amount that is within the range of the vehicle manufacturer's specifications. The equipment must indicate and charge the system with that chosen amount, within ±15 g (0.5 oz).

                Example:
                If 500 g is chosen, the actual and indicated charge must be 485 to 515 g, with any difference between actual and indicated charge within the laboratory scale accuracy requirements of this standard. If a scale is used in the machine, the equipment manufacturer shall provide a method or service for the technician to check scale accuracy, and include any necessary accuracy-checking device (such as a calibration weight(s)) with the machine. If a mass flow system is used for charge determination, it must maintain accuracy equal to the 15 g (0.50 oz) specification. The equipment manufacturer shall provide a method for checking accuracy and include any necessary accuracy testing device(s) with the machine. If the accuracy testing device(s) for a scale or mass flow machine includes a consumable, the manufacturer shall include a quantity of replacement or refill devices for five years of periodic testing as recommended.

              9.2 If any other system is used for charge determination, such as a positive displacement pump, the equipment manufacturer shall provide a method and any needed device(s) to check accuracy that is/are appropriate for its method of operation, including any temperature-compensating trim if used.
              10. Equipment Test Procedure by Laboratory for Recovery/Recycling and Recovery/Recycling/Recharging Machines
              10.1 Preliminary: Ambient (in shop) temperature shall be 21 to 24 °C (70 to 75 °F). Test vehicle shall be “overnight cold” (not run for at least eight hours).

              10.2 The machine must have a self-contained provision for checking accuracy of the indicated amount of refrigerant recovered in liquid or vapor or mixture form(s) from a vehicle system and (if applicable) charged into a vehicle, and adjusting if necessary, to meet requirements of 9.1, 9.2. Therefore: If the machine uses a scale for that purpose, check the accuracy of that scale and make any adjustment if necessary. If an alternative method of measuring refrigerant is used, follow the equipment manufacturer's procedure for ensuring accuracy. Next, move the machine, such as by rolling it, along the floor, a minimum of 20 feet (6.1 meters) within 10 seconds. Follow with the test procedure in 10.3, then 10.4 or 10.5.
              10.3 Test Procedure
              If desired, this test procedure may be preceded by engine/system operation for up to 15 minutes, up to 2000 rpm.
              1. You must start with an empty system, using this method: (a) Operate machine to recover refrigerant, per equipment manufacturer's instructions. (b) Deep-vacuum system to a minimum of 710 mm (28 in) of mercury. (c) Monitor vacuum for decay, checking every 20 minutes. If decay exceeds 75 mm (3 in), deep vacuum the system again. When system holds 710 mm (28 in) 75 mm (3 in) of mercury vacuum for three hours, it is considered empty.
              2. Place machine on a platform scale with the capacity to weigh the recovery/recycle/recharge machine, and with the resolution and accuracy of within ±3 g (.006 lb) in the range of the machine's weight. Weight should include the machine's service hoses draped over the machine, and with the machine's oil reservoir removed. If necessary to add oil to vehicle system as a result of a system operation preparatory to the recovery process, inject the needed quantity through the service valve at this time.
              3. Record weight of machine in as weight A.
              4. Reconnect service hoses to the test vehicle.

              5. Follow the equipment manufacturer's specified procedure for charging the vehicle manufacturer's recommended amount of refrigerant into the system. Note: if this does not apply to the machine under test, i.e. a recovery/recycling only machine, the use of charging equipment that meets this standard and the platform scale shall be used to verify the accuracy of the charge.
              6. Disconnect the service hoses from the test vehicle and drape them on the machine. Check and record the weight of the machine. Record this weight as weight B. The difference between weight A and weight B should be equal to the recommended charge that was installed per the machine's display, within 15 g (0.5 oz). If the difference is greater than 15 g (±3 g), the machine fails the charge accuracy test, and no other tests shall be performed at that time. The manufacturer must document changes made to improve accuracy and furnish them to the laboratory prior to a new test. Exception: If the maximum deviation is no more than a total of 20 g, the calibration of the scale or other measuring system may be rechecked and readjusted once, and the entire test repeated just once.
              10.4 Recovery Test Using a Vehicle
              1. Following a successful system charge, the system and engine shall be run for 15 minutes at 2000 rpm to circulate oil and refrigerant, following which engine and system shall rest for eight hours. Then the laboratory may begin the recovery test. If the machine manufacturer specifies, operate the engine/system for up to 15 minutes, at up to 2000 rpm, then shut off engine/system.
              2. If the machine has an automatic air purge, disable it. Check the weight of the machine with the platform scale (service hoses draped over machine, oil reservoir removed). Record the number as Weight C. Reinstall oil reservoir if it had been removed in the recovery procedure.
              3. Start timer. Connect service hoses to system of test vehicle and perform recovery per the equipment manufacturer's instructions. The vehicle system service valves' cores must remain in the fittings for this procedure.
              4. When recovery is completed, including from service hoses if that is part of the recommended procedure, disconnect hoses and drape over machine. Stop timer. The elapsed time shall be 30.0 minutes or less. If it is in excess of this time, the machine fails the test and no retest is allowed. The manufacturer must document changes made to the machine to improve its performance before a new test is allowed, and furnish them to the laboratory.
              5. If the recovery is completed in no more than the 30.0 minutes, measure the oil level in the reservoir, remove the reservoir and then determine the amount of refrigerant recovered, as detailed in Nos. 6 and 7: As measured by the machine and also by noting the weight of the platform scale, which shall be recorded as Weight D.
              6. The platform scale shall indicate that a minimum of 95% of the amount charged into the system has been recovered. If the platform scale indicates a lower percentage has been recovered, the machine fails the recovery test.

              7. The machine display shall indicate that a minimum of 95.0% of the amount charged into the system has been recovered, within a tolerance of ±30 g (1 oz) when compared with the platform scale (Weight D minus Weight C). The 30 g (1 oz) tolerance may produce a machine display reading that is below the 95.0% recovery. If a greater difference between machine and platform scale occurs, the machine fails the recovery test.

              10.5 Recovery Test Fixture Test Option
              If an equipment manufacturer chooses, as an alternative to the actual vehicle, it may certify to SAE J2788 with a laboratory fixture that is composed entirely of all the original equipment parts of a single model year for the 3.0 lb capacity front/rear A/C system in the 2005-07 Chevrolet Suburban. All parts must be those OE-specified for one model year system and no parts may be eliminated or bypassed from the chosen system, or reproduced by a non-OE source. No parts may be added and/or relocated from the OE position in the 2005-07 Suburban. No parts may be modified in any way that could affect system performance for testing under this standard, except adding refrigerant line bends and/or loops to make the system more compact. Reducing the total length of the lines, however, is not permitted. The fixture system shall be powered by an electric motor, run at a speed not to exceed 2000 rpm, and for this test option, no system warm-up or equivalent procedure may be used. The certifying laboratory shall maintain records of all parts purchased, including invoices and payments. The assembly of the parts shall, as an outside-the-vehicle package, duplicate the OE system and its routing, including bends, except for permitted additions of bends and/or loops in refrigerant lines. Aside from the absence of engine operation and the limitations posed by the standard and the use of the electric motor, the test shall otherwise be the same as the test on the Suburban, including test temperature.
              [72 FR 63495, Nov. 9, 2007]

              Pt. 82, Subpt. B, App. D

              Appendix D to Subpart B of Part 82—SAE J2810 Standard for Recovery Only Equipment for HFC-134a Refrigerant
              Foreword
              This Appendix establishes the specific minimum equipment requirements for the recovery of HFC-134a that has been directly removed from, motor vehicle air-conditioning systems.
              1. Scope
              The purpose of this SAE Standard is to provide minimum performance and operating feature requirements for the recovery of HFC-134a (R-134a) refrigerant to be returned to a refrigerant reclamation facility that will process it to the appropriate ARI 700 Standard or allow for recycling of the recovered refrigerant to SAE J2788 specifications by using SAE J2788-certified equipment. It is not acceptable that the refrigerant removed from a mobile air-conditioning (A/C) system with this equipment be directly returned to a mobile A/C system.
              This information applies to equipment used to service automobiles, light trucks, and other vehicles with similar HFC-134a (R-134a) A/C systems.
              1.1 Improved refrigerant recovery equipment is required to ensure adequate refrigerant recovery to reduce emissions and provide for accurate recharging of mobile air conditioning systems. Therefore, 12 months following the publication date of this standard, it supersedes SAE J1732.
              2. References
              2.1 Applicable Publications
              The following publications form a part of the specification to the extent specified herein. Unless otherwise indicated, the latest revision of SAE publications shall apply.
              2.1.1 SAE Publications

              Available from SAE, 400 Commonwealth Drive, Warrendale, PA 15096-0001, Tel: 877-606-7323 (inside USA and Canada) or 724-776-4970 (outside USA), http://www.sae.org.

              SAE J639 Safety Standards for Motor Vehicle Refrigerant Vapor Compressions Systems.
              SAE J1739 Potential Failure Mode and Effects Analysis in Design (Design FMEA) and Potential Failure Mode and Effects Analysis in Manufacturing and Assembly Processes (Process FMEA) and Effects Analysis for Machinery (Machinery FMEA).
              SAE J1771 Criteria for Refrigerant Identification Equipment for Use with Mobile Air-Conditioning Systems.
              SAE J2196 Service Hose for Automotive Air Conditioning.
              SAE J2296 Retest of Refrigerant Container.
              SAE J2788 HFC-134a (R-134a) Recovery/Recycling Equipment and Recovery/Recycling/Recharging for Mobile Air-Conditioning Systems.
              2.1.2 ARI Publication

              Available from Air-Conditioning and Refrigeration Institute, 4100 North Fairfax Drive, Suite 200, Arlington, VA 22203, Tel: 703-524-8800, http://www.ari.org.

              ARI 700 Specifications for Fluorocarbon Refrigerants.
              2.1.3 CGA Publication

              Available from Compressed Gas Association, 4221 Walney Road, 5th Floor, Chantilly, VA 20151-2923, Tel: 703-788-2700, http://www.cganet.com.

              CGA S-1.1 Pressure Relief Device Standard Part 1—Cylinders for Compressed Gases.
              2.1.4 DOT Specification

              Available from the Superintendent of Documents, U.S. Government Printing Office, Mail Stop: SSOP, Washington, DC 20402-9320.

              CFR 49, Section 173.304 Shippers—General Requirements for Shipments and Packagings.
              2.1.5 UL Publication

              Available from Underwriters Laboratories Inc., 333 Pfingsten Road, Northbrook, IL 60062-2096, Tel: 847-272-8800, http://www.ul.com.

              UL 1769 Cylinder Valves.
              3. Specifications and General Description
              3.1 The equipment must be able to recover (extract) HFC-134a (R-134a) refrigerant from a mobile A/C system per the test procedure of sections 7 and 8.
              3.2 The equipment shall be suitable for use in an automotive service garage environment as defined in 6.8.
              3.3 Equipment Certification
              The equipment shall be certified by an EPA-listed laboratory to meet this standard. SAE J2810.
              3.4 Label Requirements
              The equipment shall have a label with bold type, minimum 3 mm high, saying “Design Certified by (certifying agent, EPA listed laboratory) to meet SAE J2810 for use only with HFC-134a (R-134a). If it is to be re-used in an A/C system, the refrigerant recovered with this equipment must be processed to the appropriate ARI 700 specifications or to specifications by using equipment certified to perform to SAE J2788.”
              3.5 SAE J1739
              Potential Failure Mode and Effects Analysis in Design (Design FMEA), Potential Failure Mode and Effects Analysis in Manufacturing and Assembly Processes (Process FMEA), and Potential Failure Mode and Effects Analysis for Machinery (Machinery FMEA) shall be applied to the design and development of service equipment.
              4. Safety Requirements
              4.1 The equipment must comply with applicable federal, state, and local requirements on equipment related to the handling of HFC-134a (R-134a) material. Safety precautions or notices, labels, related to the safe operation of the equipment shall also be prominently displayed on the equipment and should state “CAUTION—SHOULD BE OPERATED ONLY BY CERTIFIED PERSONNEL.” The safety identification shall be located on the front near the controls.
              4.2 The equipment must comply with applicable safety standards for the electrical and mechanical systems.
              5. Operating Instructions
              5.1 The equipment manufacturer must provide operating instructions that include information required by SAE J639, necessary maintenance procedures, and source information for replacement parts and repair.
              5.1.1 The instruction manual shall include the following information on the lubricant removed. Only new lubricant, as identified by the system manufacturer, should be replaced in the mobile A/C system. Removed lubricant from the system and/or the equipment shall be disposed of in accordance with the applicable federal, state, and local procedures and regulations.
              5.2 The equipment must prominently display the manufacturer's name, address, the type of refrigerant it is designed to extract (R-134a), a service telephone number, and any items that require maintenance or replacement that affect the proper operation of the equipment. Operation manuals must cover information for complete maintenance of the equipment to assure proper operation.
              5.3 The equipment manufacturer shall provide a warning in the instruction manual regarding the possibility of refrigerant contamination from hydrocarbons, leak sealants and refrigerants other than R-134a in the mobile A/C system being serviced.
              5.4 Recovery equipment having refrigerant identification equipment shall meet the requirements of SAE J1771.
              5.5 Recovery equipment not having refrigerant identification capability shall have instructions warning the technician that failure to verify that the system contains only R-134a potentially exposes him or her to danger from flammable refrigerants and health hazards from toxic refrigerants. The instructions also shall alert to possible contamination problems to the recovery equipment from sealants and refrigerants other than R-134a, and to the fact that a refrigerant other than R-134a would require special handling by someone with specific expertise and equipment.
              6. Function Description
              6.1 The equipment must be capable of continuous operation in ambient temperatures of 10 °C (50 °F) to 49 °C (120 °F). Continuous is defined as completing recovery operation with no more than a brief reset between servicing vehicles, and shall not include time delays for allowing a system to outgas (which shall be part of the recovery period provided by this standard).

              6.1.1 The equipment shall demonstrate ability to recovery a minimum of 95.0% of the refrigerant from the test vehicle in 30.0 minutes or less, without prior engine operation (for previous eight hours minimum), external heating or use of any device (such as shields, reflectors, special lights, etc.), which could heat components of the system. The recovery procedure shall be based on a test at 21 °C to 24 °C (70 °F to 75 °F) ambient temperature. The test system for qualifying shall be a 1.4 kg (3.0 lbs) capacity orifice tube/accumulator system in a 2005-07 Chevrolet Suburban with front and rear A/C or the test option described in section 9.
              6.1.2 The equipment shall demonstrate ability to recover a minimum of 85% of the refrigerant from the test vehicle or system of 6.1.1. in 30.0 minutes or less, at an ambient temperature of 10 °C to 13 °C (50 °F to 55 °F), subject to the same restrictions regarding engine operation and external heating.
              6.1.3 During recovery operation, the equipment shall provide overfill protection so that the liquid fill of the storage container does not exceed 80% of the tank's rated volume at 21 °C (70 °F). This will ensure that the container meets Department of Transportation (DOT) Standard, CFR Title 49, section 173.304 and the American Society of Mechanical Engineers.
              6.1.4 Portable refillable tanks or containers used in conjunction with this equipment must be labeled “HFC-134a (R-134a) and meet applicable Department of Transportation (DOT) or Underwriters Laboratories (UL) Standards, and incorporate fittings per SAE J2197.
              6.1.5 The cylinder valves shall comply with the standard for cylinder valves UL 1769.
              6.1.6 The pressure relief device shall comply with the Pressure Relief Device Standard Part 1—Cylinders for Compressed Gasses CGA Pamphlet S-1.1.
              6.1.7 The tank assembly shall be marked to indicate the first retest date, which shall be five years from the date of manufacture. The marking shall indicate that retest must be performed every subsequent five years. SAE J2296 provides an inspection procedure. The marking shall be in letters at least 6 mm (0.25 in) high. If ASME tanks, as defined in UL-1963, are used, they are exempt from the retest requirements.
              6.2 If the marketer permits use of a refillable refrigerant tank, a method must be provided (including any necessary fittings) for transfer to a system that ensures proper handling (recycling or other, environmentally-legal disposal).
              Restricting the equipment to use of non-refillable tanks eliminates compliance with this provision.
              6.3 Prior to testing under this standard, the equipment must be preconditioned with a minimum of 13.6 kg of the standard contaminated HFC-134a (R-134a) at an ambient of 21 °C before starting the test cycle. Sample amounts are not to exceed 1.13 kg with sample amounts to be repeated every 5 min. The test fixture shown in Figure 1 shall be operated at 21 °C. Contaminated HFC-134a (R-134a) samples shall be processed at ambient temperatures of 10 °C and 49 °C (50 °F to 120 °F), without the equipment shutting down due to any safety devices employed in this equipment.
              6.3.1 Contaminated HFC-134a (R-134a) sample shall be standard contaminated HFC-134a (R-134a) refrigerant, 13.6 kg sample size, consisting of liquid HFC-134a (R-134a) with 1300 ppm (by weight) moisture at 21 °C (70 °F) and 45 000 ppm (by weight) of oil (polyalkylene glycol oil with 46-160 cst viscosity at 40 °C) and 1000 ppm by weight of noncondensable gases (air).
              6.3.2 Portable refillable containers used in conjunction with this equipment must meet applicable DOT Standards. The color of the container must be blue with a yellow top to indicate the container holds used HFC-134a (R-134a) refrigerant. The container must be permanently marked on the outside surface in black print at least 20 mm high, “CONTAMINATED HFC-134a (R-134a)—DO NOT USE, MUST BE REPROCESSED.”
              Figure 1—Test Fixture
              6.3.3 The portable refillable container shall have a 1/2 in ACME thread.
              6.4 Additional Storage Tank Requirements.
              6.4.1 The cylinder valve shall comply with UL 1769.
              6.4.2 The pressure relief device shall comply with CGA Pamphlet S-1.1.
              6.5 All flexible hoses must meet SAE J2196 for service hoses.
              6.6 Service hoses must have shutoff devices located at the connection points to the system being serviced to minimize introduction of noncondensable gases into the recovery equipment during connection and the release of the refrigerant during disconnection.
              6.7 The equipment must be able to separate the lubricant from recovered refrigerant and accurately indicate the amount removed from the simulated automotive system during processing in 20 mL (0.7 fl oz) units.
              6.7.1 The purpose of indicating the amount of lubricant removed is to ensure that a proper amount of new lubricant is returned to the mobile A/C system for compressor lubrication, if the system is to be charged with equipment meeting SAE J2788.
              6.7.2 Refrigerant dissolved in this lubricant must be accounted for to prevent lubricant overcharge of the mobile A/C system.
              6.8 The equipment must be capable of continuous operation in ambient temperatures of 10 °C to 49 °C (50 °F to120 °F) and comply with 6.1 to 6.4 of this standard.
              6.9 For test validation, the equipment is to be operated according to the manufacturer's instructions.
              7. Test Procedure A at 21 °C to 24 °C (70 °F to 75 °F).

              The test vehicle (2005-2007 Chevrolet Suburban with rear A/C system—1.4 kg/ 3.0 lb) or laboratory fixture per section 10.5 of SAE J2788, shall be prepared as for SAE J2788, section 10.3, following Steps 1, 2, 3, 4, and then the following:
              7.1 Using a machine certified to SAE J2788 and with the machine on a platform scale with accuracy to within plus/minus 3.0 grams at the weight of the machine, charge the system to the vehicle manufacturer's recommended amount of refrigerant (1.4 kg-3.0 lb). The actual charge amount per the reading on the platform scale shall be used as the basis for the recovery efficiency of the recovery-only machine being tested to this standard. Run the engine (or operate test fixture with electric motor) for up to 15 minutes at up to 2000 rpm to circulate oil and refrigerant. The system then must rest for eight hours.
              7.2 Place the recovery machine on the platform scale and record the weight with the hoses draped over the machine. Ambient temperature shall be within the range of 21 °C to 24 °C (70 °F to 75 °F) for this test, which shall be performed without the immediately prior engine operation permitted by SAE J2788, Section 10.3, Step No.1. The only permitted engine operation is as specified in 7.1.
              7.3 Start the timer. Connect the service hoses to the system of the test vehicle and perform the recovery per the equipment manufacturer's instructions. The vehicle system's service valve cores must remain in the fittings for this procedure.
              7.4 When recovery is completed, including from the service hoses if that is part of the recommended procedure, disconnect the hoses and drape over the machine. Stop the timer. The elapsed time shall be no more than 30 minutes.
              7.5 Remove the oil reservoir, empty and reinstall. The platform scale shall indicate that a minimum of 95.0% of the refrigerant has been recovered, based on the charge amount indicated by the platform scale. If the machine has recovered the minimum of 95.0% within the 30.0 minutes, the next test shall be performed. If it fails this test, the marketer of the equipment must document changes to the equipment to upgrade performance before a retest is allowed. If it passes, the laboratory can proceed to Test Procedure B-10 °C to 13 °C (50 °F to 55 °F).
              8. Test Procedure B at 10 °C to 13 °C (50 °F to 55 °F).
              The test vehicle (2005-2007 Chevrolet Suburban front/rear A/C system (1.4 kg/3.0 lb) or test fixture per section 10.5 of SAE J2788, shall be prepared as per 7.0 and 7.1 of this standard, and then the following:
              8.1 Place the recovery machine on the platform scale and record the weight with the hoses draped over the machine.
              Ambient temperature at this time shall be no higher than 10 °C to13 °C (50 °F to 55 °F).
              8.2 Start the timer. Connect the service hoses to the system of the test vehicle and perform the recovery per the equipment manufacturer's instructions. This also shall be performed without the immediately prior engine operation permitted by SAE J2788, section 10.4, Step No. 1. The vehicle system's service valve cores must remain in the fittings for this procedure.
              8.3 When recovery is completed, including from the service hoses if that is part of the recommended procedure, disconnect the hoses and drape over the machine. Stop the timer. The elapsed time shall be no more than 30 minutes.
              8.4 Remove the oil reservoir, empty and reinstall. The platform scale shall indicate that a minimum of 85.0% of the refrigerant has been recovered, based on the charge amount indicated by the platform scale. If the machine has recovered the minimum of 85.0% within the 30 minutes, it has passed the test procedure and if it meets all other requirements of this standard, it is certified.
              9. Test Option
              As in SAE J2788, Section 10.5, as an alternative to a 2005-2007 Chevrolet Suburban with rear A/C (1.4 kg-3.0 lb) system, a laboratory test fixture may be used to certify to SAE J2810 the fixture must be composed entirely of all the original equipment parts of a single model year for the 1.4 kg (3.0 lb) capacity system. All parts must be those OE-specified for one model year system and no parts may be eliminated or bypassed from the chosen system or reproduced from a non-OE source. No parts may be added and/or relocated from the OE position in the 2005-07 Suburban. No parts may be modified in any way that could affect system performance for testing under this standard, except adding refrigerant line bends and/or loops to make the system more compact. Reducing the total length of the lines, however, is not permitted.
              The fixture systems for this standard shall not be powered by an electric motor during recovery, although a motor can be used, run at a speed not to exceed 2000 rpm, as part of the preparatory process, including installation of the charge.
              [73 FR 34647, June 18, 2008]

              Pt. 82, Subpt. B, App. E

              Appendix E to Subpart B of Part 82—The Standard for Automotive Refrigerant Recycling Equipment Intended for Use With Both CFC-12 and HFC-134a

              SAE J2211, Recommended Service Procedure for the Containment of HFC-134a, as set forth under Appendix C of this subpart, and SAE J1989, Recommended Service Procedure for the Containment of CFC-12, as set forth under Appendix A of this subpart, also apply to this Appendix E of this subpart.
              SAE J1770, issued December, 1995.

              Automotive Refrigerant Recycle Equipment Intended for Use With Both CFC-12 and HFC-134a

              Foreword
              The purpose of this standard is to establish specific minimum equipment requirements for automotive refrigerant recycling equipment intended for use with both CFC-12 and HFC-134a in a common refrigerant circuit. Establishing such specifications will assure that this equipment does not cross contaminate refrigerant above specified limits when used under normal operating conditions.
              1. Scope
              The purpose of this standard is to establish the specific minimum equipment intended for use with both CFC-12 and HFC-134a in a common refrigerant circuit that has been directly removed from, and is intended for reuse in, mobile air-conditioning (A/C) systems. This standard does not apply to equipment used for CFC-12 and HFC-134a having a common enclosure with separate circuits for each refrigerant.
              2. References
              2.1 Applicable Documents—The following publications form a part of this specification to the extent specified. The latest issue of SAE publications shall apply.
              2.1.1 SAE Publications—Available from SAE, 400 Commonwealth Drive, Warrendale, PA 15096-0001.
              SAE J2099—Standard of Purity for Recycled HFC-134a for Use in Mobile Air-Conditioning Systems
              SAE 1991—Standard of Purity for Use in Mobile Air-Conditioning Systems
              SAE J2196—Service Hoses for Automotive Air-Conditioning
              SAE J2197—Service Hose Fittings for Automotive Air-Conditioning
              SAE J2210—HFC-134a (R-134a) Recycling Equipment for Mobile A/C Systems
              SAE J1990—Extraction and Recycling Equipment for Mobile A/C Systems
              2.1.2 Compressed Gas Association (CGA) Publications—Available from CGA, 1235 Jefferson Davis Highway, Arlington, VA 22202.
              CGA Pamphlet S-1.1—Pressure Relief Device Standard
              Part 1—Cylinders for Compressed Gases
              2.1.3 DOT Publications—Available from the Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402
              2.1.4 UL Publications—Available from Underwriters Laboratories, 333 Pfingsten Road, Northbrook, IL 60062-2096.
              UL 1769—Cylinder Valves
              UL 1963—Refrigerant Recovery/Recycling Equipment
              3. Specification and General Description
              3.1 The equipment shall be suitable for use in an automotive service garage environment and be capable of continuous operation in ambients from 10 to 49 °C.
              3.2 The equipment must be certified that it meets this specification by Underwriters Laboratories Inc. (UL), or by an equivalent Nationally Recognized Testing Laboratory (NRTL).
              3.3 The equipment shall have a label which states “Design Certified by (Certifying Agent) to meet SAE J1770 for recycling CFC-12 and HFC-134a using common refrigerant circuits”, in bold-type letters a minimum of 3 mm in height.
              4. Equipment Requirements
              4.1 General
              4.1.1 The equipment shall be capable of preventing cross contamination to the level required by Section 9.2.1.G before an operation involving a different refrigerant can begin. The equipment must prevent initiation of the recovery operation if the equipment is not set up properly.
              4.1.2 If an operator action is required to clear the unit prior to reconnecting for a different refrigerant, the equipment shall be provided with a means which indicates which refrigerant was last processed.
              4.1.3 Means shall be provided to prevent recovery from both an CFC-12 and HFC-134a mobile air conditioning system concurrently.
              4.1.4 Transfer of recycled refrigerant—Recycled refrigerant for recharging and transfer shall be taken from the liquid phase only.
              4.2 Seat Leakage Test
              4.2.1 Valves, including electrically operated solenoid valves, that are used to isolate CFC-12 and HFC-134a refrigerant circuits, shall have a seat leakage rate not exceeding 15 g/yr (1/2 oz/yr) before and after 100,000 cycles of operation. This Endurance Test shall be conducted with HFC-134a at maximum operating pressure as determined by sections 8.1 and 8.2. The Seat Leakage Test shall be performed at 1.5 times this pressure at an ambient of 24 °C.
              4.3 Interlocks
              4.3.1 Electrical interlock devices used to prevent cross contamination of refrigerant shall be operated for 100,000 cycles and there shall be no failure that would permit cross contamination of refrigerant. Solid state inter lock devices shall comply with the Transient Overvoltage Test and the Fast Transient (Electric Noise) Test contained in the Standard for Tests for Safety Related Controls Employing Solid-State Devices, UL 991.
              4.4 Noncondensable Gases

              4.4.1 The equipment shall either automatically purge noncondensables (NCGs) if the acceptable level is exceeded or incorporate a device that indicates to the operator the NCG level has been exceeded. A pressure gauge used to indicate an NCG level shall be readable in 1 psig increments. NCG removal must be part of the normal operation of the equipment and instructions must be provided to enable the task to be accomplished within 30 minutes.
              4.4.2 Refrigerant loss from noncondensable gas purging, oil removal, and refrigerant clearing shall not exceed more than 5 percent by weight of the total amount of refrigerant through the equipment as detailed in Sections 8.1, 8.2, and 9.2.
              4.5 Filter
              4.5.1 A 15 micron filter, or other equivalent means, to remove particulates of 15 micrometers spherical diameter or greater shall be located before any manual electrically operated valves that may cause cross contamination.
              4.6 Moisture and Acid
              4.6.1 The equipment shall incorporate a desiccant package that must be replaced before saturated with moisture, and whose acid capacity is at least 5% by weight of the dry desiccant.
              4.6.2 The equipment shall be provided with a moisture detection means that will reliably indicate when moisture in the HFC-134a exceeds 50 ppm, or in the CFC-12 exceeds 15 ppm, and requires the filter/drier replacement.
              5. Operating Instructions

              5.1 The equipment manufacturer must provide operating instructions, including proper attainment of vehicle system vacuum (i.e., when to stop the extraction process, and also to stop the extraction process if it is noticed that the A/C system being serviced has a leak), filter/desiccant replacement, and purging of noncondensable gases (air). The instructions shall indicate that the correct sequence of operation be followed so that the equipment can properly remove contaminates to the acceptable level. Also to be included are any other necessary maintenance procedures, source information for replacement parts and repair, and safety precautions.
              5.2 The equipment must prominently display the manufacturer's name, address, the type of refrigerant (CFC-12 and HFC-134a), a service telephone number, and the part number for the replacement filter/drier. Operation manuals must cover information for complete maintenance of the equipment to assure proper operation.
              6. Safety Requirements
              6.1 The equipment must comply with applicable federal, state, and local requirements on equipment related to handling CFC-12 and HFC-134a material. Safety precautions or notices related to the safe operation of the equipment shall be prominently displayed on the equipment and should also state “CAUTION—SHOULD BE OPERATED BY QUALIFIED PERSONNEL”.
              6.2 HFC-134a has been shown to be nonflammable at ambient temperature and atmospheric pressure. The following statement shall be in the operating manual: “Caution: HFC-134a service equipment or vehicle A/C systems should not be pressure tested or leak tested with compressed air. Some mixtures of air and HFC-134a have been shown to be combustible at elevated pressures (when contained in a pipe or tank). These mixtures may be potentially dangerous, causing injury or property damage. Additional health and safety information may be obtained from refrigerant and lubricant manufacturers.”
              7. Functional Description
              7.1 General

              7.1.1 The equipment must be capable of ensuring recovery of the CFC-12 and HFC-134a from the system being serviced, by reducing the system to a minimum of 102 mm of mercury below atmospheric pressure (i.e., vacuum).
              7.1.2 The equipment must be compatible with leak detection material that may be present in the mobile A/C system.
              7.2 Shut Off Device
              7.2.1 To prevent overcharge, the equipment must be equipped to protect the tank used to store the recycled refrigerant with a shutoff device and a mechanical pressure relief valve.
              7.3 Storage Tanks
              7.3.1 Portable refillable tanks or containers shall be supplied with this equipment and must be labeled “HFC-134a” or “CFC-12” as appropriate, meet applicable Department of Transportation (DOT) or NRTL's Standards and be adaptable to existing refrigerant service and charging equipment.
              7.3.2 The cylinder valve shall comply with the Standard for Cylinder Valves, UL 1769.
              7.3.3 The pressure relief device shall comply with the Pressure Relief Device Standard Part 1—Cylinders for Compressed Gases, CGA Pamphlet S-1.1.
              7.3.4 The tank assembly shall be marked to indicate the first retest date, which shall be 5 years after the date of manufacture. The marking shall indicate that retest must be performed every subsequent 5 years. The marking shall be in letters at least 6 mm high.
              7.4 Overfill Protection

              7.4.1 During operation, the equipment must provide overfill protection to assure that during filling or transfer, the tank or storage container cannot exceed 80% of volume at 21.1 °C of its maximum rating as defined by DOT standards, 49 CFR 173.304 and American Society of Mechanical Engineers.

              7.5 Hoses and Connections
              7.5.1 Separate inlet and outlet hoses with fittings and separate connections shall be provided for each refrigerant circuit.
              7.5.2 All flexible hoses and fittings must meet SAE J2196 (for CFC-12) and SAE J2197 (for HFC-134a).
              7.5.3 Service hoses must have shutoff devices located within 30 cm of the connection point to the system being serviced.
              7.6 Lubricant Separation

              7.6.1 The equipment must be able to separate the lubricant from the removed refrigerant and accurately indicate the amount of lubricant removed during the process, in 30 mL (1 fl oz) units. Refrigerant dissolves in lubricant and, as a result, increases the volume of the recovered lubricant sample. This creates the illusion that more lubricant has been recovered that actually has been. The equipment lubricant measuring system must take into account such dissolved refrigerant removed from the A/C system being serviced to prevent overcharging the vehicle system with lubricant.

                (Note:
                Use only new lubricant to replace the amount removed the recycling process. Used lubricant should be discarded per applicable federal, state and local requirements.)

              7.6.2 The equipment must be provided with some means, such as a lockout device, which will prevent initiation of the recovery operation after switching to the other refrigerant, if the lubricant has not been drained from the oil separator.
              8. Testing
              8.0 Equipment shall be tested in sequence as noted in sections 8.1, 8.2 and 9.2. The filter/drier may be replaced only as noted by section 4.6.2.
              8.1 CFC-12 Recycling Cycle
              8.1.1 The maximum operating pressure of the equipment shall be determined when recycling CFC-12 while conducting the following tests. This pressure is needed for the Seat Leakage Test, Section 4.2.
              8.1.2 The equipment must be preconditioned with 13.6 kg of the standard contaminated CFC-12 (see section 8.1.2a) at an ambient of 21 °C before starting the test cycle. Sample amounts shall be 1.13 kg with sample amounts to be repeated every 5 minutes. The sample method fixture, defined in Figure 1 to Appendix A, shall be operated at 21 °C.
              8.1.2a Standard contaminated CFC-12 refrigerant shall consist of liquid CFC-12 with 100 ppm (by weight) moisture at 21 °C and 45,000 ppm (by weight) mineral oil 525 suspension viscosity nominal and 770 ppm by weight of noncondensable gases (air).
              8.1.3 The high moisture contaminated sample shall consist of CFC-12 vapor with 1000 ppm (by weight) moisture.
              8.1.4 The high oil contaminated sample shall consist of CFC-12 with 200,000 ppm (by weight) mineral oil 525 suspension viscosity nominal.
              8.1.5 After preconditioning as stated in section 8.1.2, the test cycle is started, processing the following contaminated samples through the equipment.
              A. 13.6 kg (1.13 kg per batch) of standard contaminated CFC-12.
              B. 1 kg of high oil contaminated CFC-12.
              C. 4.5 kg (1.13 kg per batch) of standard contaminated CFC-12.
              D. 1 kg of high moisture contaminated CFC-12.
              8.1.6 The CFC-12 is to be cleaned to the minimum purity level, as defined in SAE J1991, with the equipment operating in a stable ambient of 10, 21, and 49 °C and processing the samples as defined in section 8.1.5.
              8.2 HFC-134a Recycling Cycle
              8.2.1 The maximum operating pressure of the equipment shall be determined when recycling HFC-134a while conducting the following tests. This pressure is needed for the Seat Leakage Test, Section 4.2.
              8.2.2 The equipment must be preconditioned by processing 13.6 kg of the standard contaminated HFC-134a (see section 8.2.2a) at an ambient of 21 °C before starting the test cycle. 1.13 kg samples are to be processed at 5 minute intervals. The text fixture shown in Figure 1 to Appendix A shall be operated at 21 °C.
              8.2.2a The standard contaminated refrigerant shall consist of liquid HFC-134a with 1300 ppm (by weight) moisture (equivalent to saturation at 38°[100 °F]), 45,000 ppm (by weight) HFC-134a compatible lubricant, and 1000 ppm (by weight) of noncondensable gases (air).
              8.2.2b The HFC-134a compatible lubricant referred to in section 8.2.2a shall be a polyalkylene glycol based synthetic lubricant or equivalent, which shall contain no more than 1000 ppm by weight of moisture.
              8.2.3 Following the preconditioning procedure per section 8.2.2, 18.2 kg of standard contaminated HFC-134a are to be processed by the equipment at each stable ambient temperature of 10, 21, and 49 °C.
              8.2.4 The HFC-134a is to be cleaned to the purity level, as defined in SAE J2099.
              9. Refrigerant Cross Contamination Test
              9.1 General
              9.1.1 For test validation, the equipment is to be operated according to the manufacturer's instruction.
              9.1.2 The equipment shall clean the contaminated CFC-12 refrigerant to the minimum purity level as defined in Appendix A, when tested in accordance with the requirements in section 8.1.

              9.1.3 The equipment shall clean the contaminated HFC-134a refrigerant to the purity level defined in Appendix C, when tested in accordance with the requirements in section 8.2.
              9.2 Test Cycle
              9.2.1 The following method shall be used after the tests and requirements in Sections 8.1 and 8.2, respectively, are completed. Following the manufacturer's instructions, the equipment shall be cleared of HFC-134a, prior to beginning step A. The only refrigerant used for this is noted in steps A, C, and E of section 9.2.1. The test fixture shown in Figure 1 to Appendix A shall be used and the test shall be conducted at 10, 21, and 49 °C ambients.
              A. A 1.13 kg standard contaminated sample of CFC-12 (see section 8.1.2a) shall be processed by the equipment.
              B. Follow manufacturer's instructions to clear the equipment of CFC-12 before processing HFC-134a.
              C. Process a 1.13 kg, standard contaminated sample of HFC-134a (see section 8.2.2a) through the equipment.
              D. Follow manufacturer's instructions to clear the equipment of HFC-134a before processing CFC-12.
              E. Process a 1.13 kg standard contaminated sample of CFC-12 (see section 8.1.2a) through the equipment.
              F. Follow manufacturer's instructions to clear the equipment of CFC-12.
              G. The amount of cross contaminated refrigerant, as determined by gas chromatography, in samples processed during steps C and E of section 9.2.1., shall not exceed 0.5 percent by weight.
              10. Sample Analysis
              10.1 General
              10.1.1 The processed contaminated samples shall be analyzed according to the following procedure.
              10.2 Quantitative Determination of Moisture
              10.2.1 The recycled liquid phase sample of refrigerant shall be analyzed for moisture content via Karl Fischer coulometer titration or an equivalent method. The Karl Fischer apparatus is an instrument for precise determination of small amounts of water dissolved in liquid and/or gas samples.
              10.2.2 In conducting the test, a weighed sample of 30 to 130 g is vaporized directly into the Karl Fischer anolyte. A coulometer titration is conducted and the results are calculated and displayed as parts per million moisture (weight).
              10.3 Determination of Percent Lubricant
              10.3.1 The amount of lubricant in the recycled sample of refrigerant/lubricant is to be determined by gravimetric analysis.
              10.3.2 Following venting of noncondensable, in accordance with the manufacturer's operating instructions, the refrigerant container shall be shaken for 5 minutes prior to extracting samples for test.
              10.3.3 A weighed sample of 175 to 225 g of liquid refrigerant/lubricant is allowed to evaporate at room temperature. The percent lubricant is to be calculated from the weight of the original sample and the residue remaining after the evaporation.
              10.4 Noncondensable Gas
              10.4.1 The amount of noncondensable gas is to be determined by gas chromatography. A sample of vaporized refrigerant liquid shall be separated and analyzed by gas chromatography. A Propak Q column at 130 °C and a hot wire detector may be used for analysis.
              10.4.2 This test shall be conducted on liquid phase samples of recycled refrigerant taken from a full container as defined in 7.4 within 30 minutes following the proper venting of noncondensable gases.
              10.4.3 The samples shall be shaken for at least 15 minutes prior to testing while at a temperature of 24 °C ±2.8 °C.
              10.5 Refrigerant Cross Contamination
              10.5.1 The amount of cross contamination of CFC-12 in HFC-134a or HFC-134a in CFC-12 shall not exceed 0.5 percent by weight as determined by gas chromatography. A sample of vaporized refrigerant liquid shall be separated and analyzed by gas chromatography. A 1% SP-1000 on Carbopack B (60/80 mesh) column may be used for the analysis.
              [62 FR 68053, Dec. 30, 1997]

              Pt. 82, Subpt. B, App. F

              Appendix F to Subpart B of Part 82—Standard for Recover-Only Equipment That Extracts a Single, Specific Refrigerant Other Than CFC-12 or HFC-134a

              Foreword
              These specifications are for equipment that recover, but does not recycle, any single, specific automotive refrigerant other than CFC-12 or HFC-134a, including a blend refrigerant.
              1. Scope
              The purpose of this standard is to provide equipment specifications for the recovery of any single, specific refrigerant other than CFC-12 or HFC-134a, including a blend refrigerant, which are either (1) to be returned to a refrigerant reclamation facility that will process the refrigerant to ARI Standard 700-93 or equivalent new product specifications at a minimum, or (2) to be recycled in approved refrigerant recycling equipment, or (3) to be destroyed. This standard applies to equipment used to service automobiles, light trucks, and other vehicles with similar air conditioning systems.
              2. References

              2.1 Applicable Documents—The following publications form a part of this specification to the extent specified. The latest issue of SAE publications shall apply.
              2.1.1 SAE Publications—Available from SAE, 400 Commonwealth Drive, Warrendale, PA 15096-0001. SAE J639—Vehicle Service Coupling. SAE J2196—Service Hoses for Automotive Air-Conditioning (fittings modified)
              2.1.2 ARI Publication—Available from Air Conditioning and Refrigeration Institute, 1501 Wilson Boulevard, Sixth Floor, Arlington, VA 22209. ARI 700-93—Specifications for Fluorocarbon Refrigerants.
              2.1.3 Compressed Gas Association (CGA) Publications—Available from CGA, 1235 Jefferson Davis Highway, Arlington, VA 22202. CGA Pamphlet S-1.1—Pressure Relief Device Standard Part 1—Cylinders for Compressed Gases.
              2.1.4 DOT Publications—Available from the Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402.
              DOT Standard, 49 CFR 173.304—Shippers—General Requirements for Shipments and Packagings.
              2.1.5 UL Publications—Available from Underwriters Laboratories, 333 Pfingsten Road, Northbrook, IL 60062-2096.
              UL 1769—Cylinder Valves.
              UL 1963—Refrigerant Recovery Recycling Equipment.
              3. Specifications and General Description
              3.1 The equipment must be able to extract from a mobile air conditioning system the refrigerant other than CFC-12 or HFC-134a to which the equipment is dedicated.
              3.2 The equipment shall be suitable for use in an automotive service garage environment as defined in section 6.8.
              3.3 The equipment discharge or transfer fitting shall be unique to prevent the unintentional use of the extracted refrigerant for recharging auto air conditioners.
              3.4 Equipment Certification-The equipment shall be certified by Underwriters Laboratories or an—equivalent certifying laboratory to meet this standard.
              3.5 Label Requirements—The equipment shall have a label “Designed Certified by (Company Name) to meet EPA requirements for use only with (the applicable refrigerant). The refrigerant from this equipment must be processed to ARI 700-93 specifications or equivalent new product specifications before reuse in a mobile air-conditioning system.” The minimum letter size shall be bold type 3 mm in height.
              4. Safety Requirements
              4.1 The equipment must comply with applicable federal, state, and local requirements on equipment related to the handling of the applicable refrigerant material. Safety precautions or notices or labels related to the safe operation of the equipment shall also be prominently displayed on the equipment and should state “CAUTION—SHOULD BE OPERATED BY CERTIFIED PERSONNEL.” The safety identification shall be located on the front near the controls.
              4.2 The equipment must comply with applicable safety standards for electrical and mechanical requirements.
              5. Operating Instructions
              5.1 The equipment manufacturer must provide operating instructions that include information equivalent to that required by SAE J1629, necessary maintenance procedures, and source information for replacement parts and repair.
              5.1.1 The instruction manual shall include the following information on the lubricant removed: Only new lubricant, as identified by the system manufacturer, should be replaced in the air conditioning system. Removed lubricant from the system and/or the equipment shall be disposed on in accordance with the applicable federal, state, and local procedures and regulations.
              5.2 The equipment must prominently display the manufacturer's name, address, the type of refrigerant it is designed to extract, a service telephone number, and any items that require maintenance or replacement that affect the proper operation of the equipment. Operation manuals must cover information for complete maintenance of the equipment to assure proper operation.
              6.1 Functional Description

              6.1 The equipment must be capable of ensuring removal of refrigerant from the system being serviced by reducing the system pressure to a minimum of 102 mm (4 in) of mercury below atmospheric pressure (i.e., to a vacuum). To prevent system delayed outgassing, the unit must have a device that assures that the refrigerant has been recovered from the air-conditioning system.
              6.1.1 Testing laboratory certification of the equipment capability is required which shall process contaminated refrigerant samples at specific temperatures.
              6.2 The equipment must be preconditioned by processing 13.6 kg (30 lb) of the standard contaminated refrigerant at an ambient of 21 °C (70 °F) before starting the test cycle. Sample amounts are not to exceed 1.13 kg (2.5 lb) with sample amounts to be processed at 5 min. intervals. The test method fixture, depicted in Figure 1 to appendix A of this subpart, shall be operated at 21 °C (70 °F). Contaminated refrigerant samples shall be processed at ambient temperatures of 10 and 49 °C, without equipment shutting due to any safety devices employed in this equipment.

              6.2.1 Standard contaminated refrigerant, 13.6 kg (30 lb) sample size, shall consist of liquid refrigerant with 1000 ppm (by weight) moisture at 21 °C and 45,000 ppm (by weight) of oil (total of one-third mineral oil 525 suspension nominal, one-third PAG with 100 cSt viscosity at 40 °C or equivalent, and one-third POE with 68 cSt viscosity at 40 °C or equivalent) and 1000 ppm by weight of noncondensable gases (air). Refrigerant shall be identified prior to the recovery process to ±2% of the original manufacturer's formulation submitted to, and accepted by, EPA under its Significant New Alternatives Policy program, with the exception that any flammable components shall be identified to ±1%.
              6.3 Portable refillable containers used in conjunction with this equipment must meet applicable DOT Standards.
              6.3.1 The container color must be gray with a yellow top to identify that it contains used refrigerant. It must be permanently marked on the outside surface in black print at least 20 mm high “DIRTY [NAME OF REFRIGERANT]—DO NOT USE, MUST BE PROCESSED”.
              6.3.2 The portable refillable container shall have a unique thread connection for the specific refrigerant.
              6.3.3 During operation, the equipment shall provide overfill protection to assure that the storage container liquid fill does not exceed 80% of the tank's rated volume at 21 °C per DOT Standard, 49 CFR 173.304, and the American Society of Mechanical Engineers.
              6.4 Additional Storage Tank Requirements
              6.4.1 The cylinder valve shall comply with UL 1769.
              6.4.2 The pressure relief device shall comply with CGA Pamphlet S-1.1.
              6.4.3 The container assembly shall be marked to indicate the first retest date, which shall be 5 years after date of manufacture. The marking shall indicate that retest must be performed every subsequent 5 years. The marking shall be in letters at least 6 mm high.
              6.5 All flexible hoses must meet SAE J2196 for service hoses except that fittings shall be unique to the applicable refrigerant.
              6.6 Service hoses must have shutoff devices located within 30 cm of the connection point to the system being serviced to minimize introduction of noncondensable gases into the recovery equipment during connection and the release of the refrigerant during disconnection.
              6.7 The equipment must be able to separate the lubricant from the recovered refrigerant and accurately indicate the amount removed from the simulated automotive system during processing in 30 mL units.
              6.7.1 The purpose of indicating the amount of lubricant is to ensure that a proper amount of new lubricant is returned to the mobile air conditioning system for compressor lubrication.
              6.7.2 Refrigerant dissolved in this lubricant must be accounted for to prevent system lubricant overcharge of the mobile air-conditioning system.

              6.8 The equipment must be capable of continuous operation in temperatures of 10 to 49 °C and must comply with 6.1 and 6.2.

              7. For test validation, the equipment is to be operated according to the manufacturer's instructions.
              Application
              The purpose of this standard is to provide equipment specifications for the recovery of any refrigerant other than CFC-12 or HFC-134a for return to a refrigerant reclamation facility that will process it to ARI Standard 700-93 (or for recycling in other EPA approved recycling equipment, in the event that EPA in the future designates a standard for equipment capable of recycling refrigerants other than CFC-12 or HFC-134a).
              Reference Section
              SAE J639—Vehicle Service Coupling
              SAE J2196—Service Hoses for Automotive Air-Conditioning
              ARI 700-93—Specifications for Fluorocarbon Refrigerants
              CGA Pamphlet S-1.1—Pressure Relief Device Standard Part 1—Cylinders for Compressed Gases
              UL 1769—Cylinder Valves
              49 CFR 173.304—Shippers—General Requirements for Shipment and Packagings
              [62 FR 68055, Dec. 30, 1997]

            Subpart C—Ban on Nonessential Products Containing Class I Substances and Ban on Nonessential Products Containing or Manufactured With Class II Substances

              Source:
              58 FR 69675, Dec. 30, 1993, unless otherwise noted.

              § 82.60
              Purpose.
              The purpose of this subpart is to implement the requirements of sections 608 and 610 of the Clean Air Act as amended in 1990 on emission reductions and nonessential products.

              § 82.62
              Definitions.
              For purposes of this subpart:

                Chlorofluorocarbon means any substance listed as Class I group I or Class I group III in 40 CFR part 82, appendix A to subpart A.

                Class II Substance means any substance designated as class II in 40 CFR part 82, appendix B to subpart A.

                Commercial, when used to describe the purchaser of a product, means a person that uses the product in the purchaser's business or sells it to another person and has one of the following identification numbers:
              (1) A federal employer identification number;
              (2) A state sales tax exemption number;
              (3) A local business license number; or
              (4) A government contract number.

                Consumer, when used to describe a person taking action with regard to a product, means the ultimate purchaser, recipient or user of a product.

                Distributor, when used to describe a person taking action with regard to a product means:
              (1) The seller of a product to a consumer or another distributor; or
              (2) A person who sells or distributes that product in interstate commerce for export from the United States.

                Foam Insulation Product, when used to describe a product containing or consisting of plastic foam, means a product containing or consisting of the following types of foam:
              (1) Closed cell rigid polyurethane foam;
              (2) Closed cell rigid polystyrene boardstock foam;
              (3) Closed cell rigid phenolic foam; and
              (4) Closed cell rigid polyethylene foam when such foam is suitable in shape, thickness and design to be used as a product that provides thermal insulation around pipes used in heating, plumbing, refrigeration, or industrial process systems.

                Hydrochlorofluorocarbon means any substance listed as class II in 40 CFR part 82, appendix B to subpart A.

                Initial Inventory means that the original product has completed all of its manufacturing processes and is ready for sale by the manufacturer. Products in initial inventory may be subsequently incorporated into another product by a different manufacturer after purchase. To continue selling products after the effective date of the provisions, the manufacturer or distributor must be able to show, upon request by EPA, that the product was in fact manufactured, and thus placed into initial inventory prior to the effective date. Shipping forms, lot numbers, manufacturer date stamps or codes, invoices, or the like are normally kept records that could be maintained from the time the product was put into initial inventory and may be used to demonstrate when a product was placed in initial inventory.

                Polyurethane Foam System means an item consisting of two transfer pumps that deliver ingredients (polyisocyanate or isocyanate from one side and a mixture including the blowing agent, catalysts, flame retardants, and/or stabilizers from the other side) to a metering/mixing device which allows the components to be delivered in the appropriate proportions.

                Product means an item or category of items manufactured from raw or recycled materials which is used to perform a function or task.

                Release means to emit into the environment during the manufacture, use, storage or disposal of a product.

                Space Vehicles means a man-made device, either manned or unmanned, designed for operation beyond earth's atmosphere. This definition includes integral equipment such as models, mock-ups, prototypes, molds, jigs, tooling, hardware jackets, and test coupons. Also included is auxiliary equipment associated with test, transport, and storage, which through contamination can compromise the space vehicle performance.
              [58 FR 69675, Dec. 30, 1993, as amended at 61 FR 64427, Dec. 4, 1996; 66 FR 57522, Nov. 15, 2001; 85 FR 15300, Mar. 17, 2020]

              § 82.64
              Prohibitions.
              (a) Effective February 16, 1993, no person may sell or distribute, or offer to sell or distribute, in interstate commerce any of the products identified as being nonessential in § 82.66(a).

              (b) Effective February 16, 1993, no person may sell or distribute, or offer to sell or distribute, in interstate commerce any of the products specified in § 82.66(b) to a person who does not provide proof of being a commercial purchaser, as defined under § 82.62.

              (c) Effective January 17, 1994, no person may sell or distribute, or offer to sell or distribute, in interstate commerce any of the products identified as being nonessential in § 82.66(c) or § 82.66(d) except as permitted under § 82.65(g).
              (d) Except as permitted under § 82.65, effective January 1, 1994, no person may sell or distribute, or offer for sale or distribution, in interstate commerce any product identified as being nonessential in § 82.70(a) or § 82.70(c).
              (e) Except as permitted under § 82.65, effective January 1, 1994, no person may sell or distribute, or offer to sell or distribute, in interstate commerce any of the products specified in § 82.70(b) to a person who does not provide proof of being a commercial purchaser, as defined under § 82.62.
              (f) Except as permitted under § 82.65(d), effective January 1, 1996, no person may sell or distribute, or offer for sale or distribution, in interstate commerce any product identified as being nonessential in § 82.70(c)(ii).
              (g) It is a violation of this subpart to sell or distribute, or offer for sale or distribution, products effected by the provisions of § 82.68 if the seller knew or should have known that the purchaser was purchasing the product for a prohibited application.
              (h) No person may sell or distribute, or offer to sell or distribute, in interstate commerce any of the products identified as being nonessential in § 82.66(f).
              [58 FR 69675, Dec. 30, 1993, as amended at 85 FR 15300, Mar. 17, 2020]

              § 82.65
              Temporary exemptions.
              (a) Any person may sell or distribute, or offer to sell or distribute, in interstate commerce, at any time, any products specified as nonessential in § 82.70 which are manufactured and placed into initial inventory by December 31, 1993.
              (b) Any person may sell or distribute, or offer to sell or distribute, in interstate commerce, at any time, any products specified as nonessential in § 82.70 which are manufactured and placed into initial inventory within the date 90 days after the effective date of any federal approvals required for product reformulation, where application for the required approval was timely and properly submitted to the approving federal agency prior to January 1, 1994.
              (c)(1) Any person may sell or distribute or offer to sell or distribute, in interstate commerce, at any time, any products specified as nonessential in § 82.70 which are manufactured and placed into initial inventory within 45 days after the receipt of denial by any federal agency of an application for reformulation where initial application for the required approval was timely and properly submitted to the approving federal agency prior to January 1, 1994.
              (2) If, within 45 days of receipt of a denial of an application for reformulation, a person submits a new viable application for federal approval of a reformulation, that person may continue to sell and distribute, or offer to sell and distribute until 45 days of denial of that application.
              (d) Any person may sell or distribute, or offer to sell or distribute, in interstate commerce, at any time, any integral skin foam utilized to provide for motor vehicle safety in accordance with Federal Motor Vehicle Safety Standards, which are manufactured and placed into initial inventory prior to January 1, 1996.
              (e) Any person selling or distributing, or offering to sell or distribute, any product specified in this section after January 1, 1994, or January 1, 1996 for paragraph (d) of this section, or after January 17, 1994 for any product specified in paragraph (g) of this section, must retain proof that such product was manufactured and placed into initial inventory before the relevant date specified in this section. Such proof may take the form of shipping forms, lot numbers, manufacturer date stamps, invoices or equivalent business records.
              (f) Any person may sell or distribute, or offer to sell or distribute, in interstate commerce, any aircraft pesticide containing class I until an alternative aircraft pesticide containing class II is available in interstate commerce.

              (g) Any person may sell or distribute, or offer to sell or distribute, in interstate commerce, at any time, any replacement part that was manufactured with, or contains a class I substance or was packaged in material that was manufactured with or contains a class I substance only if:
              (1) The replacement part was manufactured for use in a single model of a product; and
              (2) The replacement part and product model are no longer manufactured; and
              (3) The replacement part was placed into initial inventory prior to April 16, 1992.
              (h) Any person may sell or distribute, or offer to sell or distribute, in interstate commerce, at any time, any air-conditioning or refrigeration products specified as nonessential in § 82.66(e) that are manufactured and placed into initial inventory by January 14, 2002.
              (i) Any person may sell or distribute, or offer to sell or distribute, in interstate commerce, at any time, any integral skin foam products manufactured with a Class I substance for use in commercial aviation and specified as nonessential in § 82.66(c) that are manufactured and placed into initial inventory by January 14, 2002.
              [58 FR 69675, Dec. 30, 1993, as amended at 66 FR 57522, Nov. 15, 2001]

              § 82.66
              Nonessential Class I products and exceptions.
              The following products which release a Class I substance (as defined in 40 CFR part 82, appendix A to subpart A) are identified as being nonessential, and subject to the prohibitions specified under § 82.64—
              (a) Any plastic party streamer or noise horn which is propelled by a chlorofluorocarbon, including but not limited to—
              (1) String confetti;
              (2) Marine safety horns;
              (3) Sporting event horns;
              (4) Personal safety horns;
              (5) Wall-mounted alarms used in factories or other work areas; and
              (6) Intruder alarms used in homes or cars.
              (b) Any cleaning fluid for electronic and photographic equipment which contains a chlorofluorocarbon:
              (1) Including but not limited to liquid packaging, solvent wipes, solvent sprays, and gas sprays; and
              (2) Except for those sold or distributed to a commercial purchaser.
              (c) Any plastic foam product which is manufactured with or contains a Class I substance; except any plastic foam product blown with CFC-11, but which contains no other Class I substances and where this product is used to provide thermal protection to external tanks for space vehicles;
              (d) Any aerosol product or other pressurized dispenser, other than those banned in § 82.64(a) or § 82.64(b), which contains a chlorofluorocarbon,
              (1) Including but not limited to household, industrial, automotive and pesticide uses,
              (2) Except—
              (i) Medical devices listed in 21 CFR 2.125(e);
              (ii) Lubricants, coatings or cleaning fluids for electrical or electronic equipment, which contain CFC-11, CFC-12, or CFC-113 for solvent purposes, but which contain no other CFCs;
              (iii) Lubricants, coatings or cleaning fluids used for aircraft maintenance, which contain CFC-11 or CFC-113 as a solvent, but which contain no other CFCs;
              (iv) Mold release agents used in the production of plastic and elastomeric materials, which contain CFC-11 or CFC-113 as a solvent, but which contain no other CFCs, and/or mold release agents that contain CFC-12 as a propellant, but which contain no other CFCs;
              (v) Spinnerette lubricant/cleaning sprays used in the production of synthetic fibers, which contain CFC-114 as a solvent, but which contain no other CFCs, and/or spinnerette lubricant/cleaning sprays which contain CFC-12 as a propellant, but which contain no other CFCs;
              (vi) Document preservation sprays which contain CFC-113 as a solvent, but which contain no other CFCs, and/or document preservation sprays which contain CFC-12 as a propellant, but which contain no other CFCs, and which are used solely on thick books, books with coated or dense paper and tightly bound documents;

              (e) Any air-conditioning or refrigeration appliance as defined in the Clean Air Act (CAA) 601(1) that contains a Class I substance used as a refrigerant; and

              (f) Any polyurethane foam system that contains any CFC.
              [58 FR 69675, Dec. 30, 1993, as amended at 66 FR 57522, Nov. 15, 2001; 85 FR 15300, Mar. 17, 2020]

              § 82.68
              Verification and public notice requirements.
              (a) Effective February 16, 1993, any person who sells or distributes any cleaning fluid for electronic and photographic equipment which contains a chlorofluorocarbon must verify that the purchaser is a commercial entity as defined in § 82.62. In order to verify that the purchaser is a commercial entity, the person who sells or distributes this product must request documentation that proves the purchaser's commercial status by containing one or more of the commercial identification numbers specified in § 82.62(b). The seller or distributor must have a reasonable basis for believing that the information presented by the purchaser is accurate.
              (b) Effective February 16, 1993, any person who sells or distributes any cleaning fluid for electronic and photographic equipment which contains a chlorofluorocarbon must prominently display a sign where sales of such product occur which states: “It is a violation of federal law to sell, distribute, or offer to sell or distribute, any chlorofluorocarbon-containing cleaning fluid for electronic and photographic equipment to anyone who is not a commercial user of this product. The penalty for violating this prohibition can be up to $25,000 per sale. Individuals purchasing such products must present proof of their commercial status in accordance with § 82.68(a).”
              (c) Effective January 1, 1994, any person who sells or distributes any aerosol or pressurized dispenser of cleaning fluid for electronic and photographic equipment which contains a class II substance must verify that the purchaser is a commercial entity as defined in § 82.62(b). In order to verify that the purchaser is a commercial entity, the person who sells or distributes this product must request documentation that proves the purchaser's commercial status by containing one or more of the commercial identification numbers specified in § 82.62(b).
              (d) Effective January 1, 1994, any person who sells or distributes any aerosol or other pressurized dispenser of cleaning fluid for electronic and photographic equipment which contains a class II substance must prominently display a sign where sales of such product occur which states: “It is a violation of federal law to sell, distribute, or offer to sell or distribute, any aerosol hydrochlorofluorocarbon-containing cleaning fluid for electronic and photographic equipment to anyone who is not a commercial user of this product. The penalty for violating this prohibition can be up to $25,000 per unit sold. Individuals purchasing such products must present proof of their commercial status in accordance with § 82.68(c).”
              (e) Effective January 1, 1994, in order to satisfy the requirements under § 82.68 (b) and (d), any person who sells or distributes cleaning fluids for electronic and photographic equipment which contain a class I substance and those aerosol or pressurized dispensers of cleaning fluids which contain a class II substance, may prominently display one sign where sales of such products occur which states: “It is a violation of federal law to sell, distribute, or offer to sell or distribute, any chlorofluorocarbon-containing cleaning fluid for electronic and photographic equipment or aerosol hydrochlorofluorocarbon-containing cleaning fluid for electronic and photographic equipment to anyone who is not a commercial user of this product. The penalty for violating this prohibition can be up to $25,000 per unit sold. Individuals purchasing such products must present proof of their commercial status in accordance with 40 CFR 82.68(a) or 82.68(c).”
              (f)-(g) [Reserved]

              (h) Effective January 1, 1994, any person who sells or distributes any mold release agents containing a class II substance as a propellant must provide written notification to the purchaser prior to the sale that “It is a violation of federal law to sell mold release agents containing hydrochlorofluorocarbons as propellants to anyone, except for use in applications where no other alternative except a class I substance is available. The penalty for violating this prohibition can be up to $25,000 per unit sold.” Written notification may be placed on sales brochures, order forms, invoices and the like.
              (i) Effective January 1, 1994, any person who sells or distributes any wasp and hornet spray containing a class II substance must provide written notification to the purchaser prior to the sale that “it is a violation of federal law to sell or distribute wasp and hornet sprays containing hydrochlorofluorocarbons as solvents to anyone, except for use near high-tension power lines where no other alternative except a class I substance is available. The penalty for violating this prohibition can be up to $25,000 per unit sold.” Written notification may be placed on sales brochures, order forms, invoices and the like.
              [58 FR 69675, Dec. 30, 1993, as amended at 61 FR 64427, Dec. 4, 1996]

              § 82.70
              Nonessential Class II products and exceptions.
              The following products which release a class II substance (as designated as class II in 40 CFR part 82, appendix B to subpart A) are identified as being nonessential and the sale or distribution of such products is prohibited under § 82.64 (d), (e), or (f)—
              (a) Any aerosol product or other pressurized dispenser which contains a class II substance:
              (1) Including but not limited to household, industrial, automotive and pesticide uses;
              (2) Except—
              (i) Medical devices listed in 21 CFR 2.125(e);
              (ii) Lubricants, coatings or cleaning fluids for electrical or electronic equipment, which contain class II substances for solvent purposes, but which contain no other class II substances;
              (iii) Lubricants, coatings or cleaning fluids used for aircraft maintenance, which contain class II substances for solvent purposes but which contain no other class II substances;
              (iv) Mold release agents used in the production of plastic and elastomeric materials, which contain class II substances for solvent purposes but which contain no other class II substances, and/or mold release agents that contain HCFC-22 as a propellant where evidence of good faith efforts to secure alternatives indicates that, other than a class I substance, there are no suitable alternatives;
              (v) Spinnerette lubricants/cleaning sprays used in the production of synthetic fibers, which contain class II substances for solvent purposes and/or contain class II substances for propellant purposes;
              (vi) Document preservation sprays which contain HCFC-141b as a solvent, but which contain no other class II substance; and/or which contain HCFC-22 as a propellant, but which contain no other class II substance and which are used solely on thick books, books with coated, dense or paper and tightly bound documents;
              (vii) Portable fire extinguishing equipment used for non-residential applications; and
              (viii) Wasp and hornet sprays for use near high-tension power lines that contain a class II substance for solvent purposes only, but which contain no other class II substances.
              (b) Any aerosol or pressurized dispenser cleaning fluid for electronic and photographic equipment which contains a class II substance, except for those sold or distributed to a commercial purchaser.
              (c) Any plastic foam product which contains, or is manufactured with, a class II substance,
              (1) Including but not limited to household, industrial, automotive and pesticide uses,
              (2) Except—
              (i) Any foam insulation product, as defined in § 82.62(h); and
              (ii) Integral skin foam utilized to provide for motor vehicle safety in accordance with Federal Motor Vehicle Safety Standards until January 1, 1996, after which date such products are identified as nonessential and may only be sold or distributed or offered for sale or distribution in interstate commerce in accordance with § 82.65(d).
              [58 FR 69675, Dec. 30, 1993, as amended at 61 FR 64427, Dec. 4, 1996]

            Subpart D—Federal Procurement

              Source:
              58 FR 54898, Oct. 22, 1993, unless otherwise noted.

              § 82.80
              Purpose and scope.
              (a) The purpose of this subpart is to require Federal departments, agencies, and instrumentalities to adopt procurement regulations which conform to the policies and requirements of title VI of the Clean Air Act as amended, and which maximize the substitution in Federal procurement of safe alternatives, as identified under section 612 of the Clean Air Act, for class I and class II substances.
              (b) The regulations in this subpart apply to each department, agency, and instrumentality of the United States.

              § 82.82
              Definitions.
              (a) Class I substance means any substance designated as class I by EPA pursuant to 42 U.S.C. 7671(a), including but not limited to chlorofluorocarbons, halons, carbon tetrachloride and methyl chloroform.
              (b) Class II substance means any substance designated as class II by EPA pursuant to 42 U.S.C. 7671(a), including but not limited to hydrochlorofluorocarbons.
              (c) Controlled substance means a class I or class II ozone-depleting substance.
              (d) Department, agency and instrumentality of the United States refers to any executive department, military department, or independent establishment within the meaning of 5 U.S.C. 101, 102, and 104(1), respectively, any wholly owned Government corporation, the United States Postal Service and Postal Rate Commission, and all parts of and establishments within the legislative and judicial branches of the United States.

              § 82.84
              Requirements.
              (a) No later than October 24, 1994, each department, agency and instrumentality of the United States shall conform its procurement regulations to the requirements and policies of title VI of the Clean Air Act, 42 U.S.C. 7671-7671g. Each such regulation shall provide, at a minimum, the following:
              (1) That in place of class I or class II substances, or of products made with or containing such substances, safe alternatives identified under 42 U.S.C. 7671k (or products made with or containing such alternatives) shall be substituted to the maximum extent practicable. Substitution is not required for class II substances identified as safe alternatives under 42 U.S.C. 7671k, or for products made with or containing such substances, and such substances may be used as substitutes for other class I or class II substances.
              (2) That, consistent with the phaseout schedules for ozone-depleting substances, no purchases shall be made of class II substances, or products containing class II substances, for the purpose of any use prohibited under 42 U.S.C. 7671d(c);
              (3) That all active or new contracts involving the performance of any service or activity subject to 42 U.S.C. 7671g or 7671h or regulations promulgated thereunder include, or be modified to include, a condition requiring the contractor to ensure compliance with all requirements of those sections and regulations;
              (4) That no purchases shall be made of products whose sale is prohibited under 42 U.S.C. 7671h, except when they will be used by persons certified under section 609 to service vehicles, and no purchase shall be made of nonessential products as defined under 42 U.S.C. 7671i;
              (5) That proper labeling under 42 U.S.C. 7671j shall be a specification for the purchase of any product subject to that section.
              (b) For agencies subject to the Federal Acquisition Regulation, 48 CFR part 1, amendment of the FAR, consistent with this subpart, shall satisfy the requirement of this section.

              § 82.86
              Reporting requirements.
              (a) No later than one year after October 22, 1993, each agency, department, and instrumentality of the United States shall certify to the Office of Management and Budget that its procurement regulations have been amended in accordance with this section.
              (b) Certification by the General Services Administration that the Federal Acquisition Regulation has been amended in accordance with this section shall constitute adequate certification for purposes of all agencies subject to the Federal Acquisition Regulation.

            Subpart E—The Labeling of Products Using Ozone-Depleting Substances

              Source:
              60 FR 4020, Jan. 19, 1995, unless otherwise noted.

              § 82.100
              Purpose.
              The purpose of this subpart is to require warning statements on containers of, and products containing or manufactured with, certain ozone-depleting substances, pursuant to section 611 of the Clean Air Act, as amended.

              § 82.102
              Applicability.
              (a) In the case of substances designated as class I or class II substances as of February 11, 1993, the applicable date of the requirements in this paragraph (a) is May 15, 1993. In the case of any substance designated as a class I or class II substance after February 11, 1993, the applicable date of the requirements in this paragraph (a) is one year after the designation of such substance as a class I or class II substance unless otherwise specified in the designation. On the applicable date indicated in this paragraph (a), the requirements of this subpart shall apply to the following containers and products except as exempted under paragraph (c) of this section:
              (1) All containers in which a class I or class II substance is stored or transported.
              (2) All products containing a class I substance.
              (3) All products directly manufactured with a process that uses a class I substance, unless otherwise exempted by this subpart or, unless the Administrator determines for a particular product that there are no substitute products or manufacturing processes for such product that do not rely on the use of a class I substance, that reduce overall risk to human health and the environment, and that are currently or potentially available. If the Administrator makes such a determination for a particular product, then the requirements of this subpart are effective for such product no later than January 1, 2015.
              (b) Applicable January 1, 2015 in any case, or one year after any determination between May 15, 1993 and January 1, 2015, by the Administrator for a particular product that there are substitute products or manufacturing processes for such product that do not rely on the use of a class I or class II substance, that reduce the overall risk to human health and the environment, and that are currently or potentially available, the requirements of this subpart shall apply to the following:
              (1) All products containing a class II substance.
              (2) All products manufactured with a process that uses a class II substance.
              (c) The requirements of this subpart shall not apply to products manufactured prior to May 15, 1993, provided that the manufacturer submits documentation to EPA upon request showing that the product was manufactured prior to that date.

              § 82.104
              Definitions.
              (a) Class I substance means any substance designated as class I in 40 CFR part 82, appendix A to subpart A, including chlorofluorocarbons, halons, carbon tetrachloride and methyl chloroform and any other substance so designated by the Agency at a later date.
              (b) Class II substance means any substance designated as class II in 40 CFR part 82, appendix A to subpart A, including hydrochlorofluorocarbons and any other substance so designated by the Agency at a later date.
              (c) Completely destroy means to cause the destruction of a controlled substance by one of the destruction processes approved by the Parties and listed in § 82.3 at a demonstrable destruction efficiency of 98 percent or more or a greater destruction efficiency if required under other applicable Federal regulations.
              (d) Consumer means a commercial or non-commercial purchaser of a product or container that has been introduced into interstate commerce.
              (e) Container means the immediate vessel in which a controlled substance is stored or transported.
              (f) Container containing means a container that physically holds a controlled substance within its structure that is intended to be transferred to another container, vessel or piece of equipment in order to realize its intended use.
              (g) Controlled substance means a class I or class II ozone-depleting substance.
              (h) Destruction means the expiration of a controlled substance to the destruction efficiency actually achieved, unless considered completely destroyed as defined in this section. Such destruction might result in a commercially useful end product but such usefulness would be secondary to the act of destruction. Destruction must be achieved using one of the controlled processes approved by the Parties and listed in the definition of destruction in § 82.3.
              (i) Distributor means a person to whom a product is delivered or sold for purposes of subsequent resale, delivery or export.
              (j) Export means the transport of virgin, used, or recycled class I or class II substances or products manufactured or containing class I or class II substances from inside the United States or its territories to persons outside the United States or its territories, excluding United States military bases and ships for on-board use.
              (k) Exporter means the person who contracts to sell class I or class II substances or products manufactured with or containing class I or class II substances for export or transfers such substances or products to his affiliate in another country.
              (l) Import means to land on, bring into, or introduce into, or attempt to land on, bring into, or introduce into any place subject to the jurisdiction of the United States whether or not such landing, bringing, or introduction constitutes an importation within the meaning of the customs laws of the United States, with the exception of temporary off-loading of products manufactured with or containers containing class I or class II substances from a ship are used for servicing of that ship.
              (m) Importer means any person who imports a controlled substance, a product containing a controlled substance, a product manufactured with a controlled substance, or any other chemical substance (including a chemical substance shipped as part of a mixture or article), into the United States. “Importer” includes the person primarily liable for the payment of any duties on the merchandise or an authorized agent acting on his or her behalf. The term also includes, as appropriate:
              (1) The consignee;
              (2) The importer of record;
              (3) The actual owner if an actual owner's declaration and superseding bond has been filed; or
              (4) The transferee, if the right to draw merchandise in a bonded warehouse has been transferred.
              (n) Interstate commerce means the distribution or transportation of any product between one state, territory, possession or the District of Columbia, and another state, territory, possession or the District of Columbia, or the sale, use or manufacture of any product in more than one state, territory, possession or District of Columbia. The entry points for which a product is introduced into interstate commerce are the release of a product from the facility in which the product was manufactured, the entry into a warehouse from which the domestic manufacturer releases the product for sale or distribution, and at the site of United States Customs clearance.
              (o) Manufactured with a controlled substance means that the manufacturer of the product itself used a controlled substance directly in the product's manufacturing, but the product itself does not contain more than trace quantities of the controlled substance at the point of introduction into interstate commerce. The following situations are excluded from the meaning of the phrase “manufactured with” a controlled substance:
              (1) Where a product has not had physical contact with the controlled substance;
              (2) Where the manufacturing equipment or the product has had physical contact with a controlled substance in an intermittent manner, not as a routine part of the direct manufacturing process;
              (3) Where the controlled substance has been transformed, except for trace quantities; or

              (4) Where the controlled substance has been completely destroyed.

              (p) Potentially available means that adequate information exists to make a determination that the substitute is technologically feasible, environmentally acceptable and economically viable.
              (q) Principal display panel (PDP) means the entire portion of the surface of a product, container or its outer packaging that is most likely to be displayed, shown, presented, or examined under customary conditions of retail sale. The area of the PDP is not limited to the portion of the surface covered with existing labeling; rather it includes the entire surface, excluding flanges, shoulders, handles, or necks.
              (r) Product means an item or category of items manufactured from raw or recycled materials, or other products, which is used to perform a function or task.
              (s) Product containing means a product including, but not limited to, containers, vessels, or pieces of equipment, that physically holds a controlled substance at the point of sale to the ultimate consumer which remains within the product.
              (t) Promotional printed material means any informational or advertising material (including, but not limited to, written advertisements, brochures, circulars, desk references and fact sheets) that is prepared by the manufacturer for display or promotion concerning a product or container, and that does not accompany the product to the consumer.
              (u) Retailer means a person to whom a product is delivered or sold, if such delivery or sale is for purposes of sale or distribution in commerce to consumers who buy such product for purposes other than resale.
              (v) Spare parts means those parts that are supplied by a manufacturer to another manufacturer, distributor, or retailer, for purposes of replacing similar parts with such parts in the repair of a product.
              (w) Supplemental printed material means any informational material (including, but not limited to, package inserts, fact sheets, invoices, material safety data sheets, procurement and specification sheets, or other material) which accompanies a product or container to the consumer at the time of purchase.
              (x) Transform means to use and entirely consume a class I or class II substance, except for trace quantities, by changing it into one or more substances not subject to this subpart in the manufacturing process of a product or chemical.
              (y) Type size means the actual height of the printed image of each capital letter as it appears on a label.
              (z) Ultimate consumer means the first commercial or non-commercial purchaser of a container or product that is not intended for re-introduction into interstate commerce as a final product or as part of another product.
              (aa) Warning label means the warning statement required by section 611 of the Act. The term warning statement shall be synonymous with warning label for purposes of this subpart.
              (bb) Waste means, for purposes of this subpart, items or substances that are discarded with the intent that such items or substances will serve no further useful purpose.
              (cc) Wholesaler means a person to whom a product is delivered or sold, if such delivery or sale is for purposes of sale or distribution to retailers who buy such product for purposes of resale.
              [60 FR 4020, Jan. 19, 1995, as amended at 81 FR 6768, Feb. 9, 2016; 85 FR 15300, Mar. 17, 2020]

              § 82.106
              Warning statement requirements.
              (a) Required warning statements. (1) Unless otherwise exempted by this subpart, each container or product identified in § 82.102(a) or (b) shall bear the following warning statement, meeting the requirements of this subpart for placement and form:

              WARNING: Contains [or Manufactured with, if applicable] [insert name of substance], a substance which harms public health and environment by destroying ozone in the upper atmosphere.

              (2) Each container of fire suppression agent containing HCFC-123 produced or imported on or after January 1, 2020 shall bear the following warning statement, meeting the requirements of this subpart for placement and form:

              WARNING: Contains [insert name of substance], a substance which harms public health and environment by destroying ozone in the upper atmosphere. Use Only for Recharge of Equipment Manufactured before January 1, 2020.
              (3) Each container of fire suppression agent containing reclaimed HCFC-123 or HCFC-123 that was imported prior to January 1, 2020, shall bear the following warning statement, meeting the requirements of this subpart for placement and form:

              WARNING: Contains [insert name of substance], a substance which harms public health and environment by destroying ozone in the upper atmosphere. For use in any equipment.

              (b) Exemptions from warning label requirement. The following products need not bear a warning label:
              (1) Products containing trace quantities of a controlled substance remaining as a residue or impurity due to a chemical reaction, and where the controlled substance serves no useful purpose in or for the product itself. However, if such product was manufactured using the controlled substance, the product is required to be labeled as a “product manufactured with” the controlled substance, unless otherwise exempted;
              (2) Containers containing a controlled substance in which trace quantities of that controlled substance remain as a residue or impurity;
              (3) Waste containing controlled substances or blends of controlled substances bound for discard;
              (4) Products manufactured using methyl chloroform or CFC-113 by persons who can demonstrate and certify a 95% reduction in overall usage from their 1990 calendar year usage of methyl chloroform or CFC-113 as solvents during a twelve (12) month period ending within sixty (60) days of such certification or during the most recently completed calendar year. In calculating such reduction, persons may subtract from quantities used those quantities for which they possess accessible data that establishes the amount of methyl chloroform or CFC-113 transformed. Such subtraction must be performed for both the applicable twelve month period and the 1990 calendar year. If at any time future usage exceeds the 95% reduction, all products manufactured with methyl chloroform or CFC-113 as solvents by that person must be labeled immediately. No person may qualify for this exemption after May 15, 1994;
              (5) Products intended only for export outside of the United States shall not be considered “products introduced into interstate commerce” provided such products are clearly designated as intended for export only;
              (6) Products that are otherwise not subject to the requirements of this subpart that are being repaired, using a process that uses a controlled substance.
              (7) Products, processes, or substitute chemicals undergoing research and development, by which a controlled substance is used. Such products must be labeled when they are introduced into interstate commerce.
              (c) Interference with other required labeling information. The warning statement shall not interfere with, detract from, or mar any labeling information required on the labeling by federal or state law.
              [60 FR 4020, Jan. 19, 1995, as amended at 85 FR 15300, Mar. 17, 2020]

              § 82.108
              Placement of warning statement.
              The warning statement shall be placed so as to satisfy the requirement of the Act that the warning statement be “clearly legible and conspicuous.” The warning statement is clearly legible and conspicuous if it appears with such prominence and conspicuousness as to render it likely to be read and understood by consumers under normal conditions of purchase. Such placement includes, but is not limited to, the following:
              (a) Display panel placement. For any affected product or container that has a display panel that is normally viewed by the purchaser at the time of the purchase, the warning statement described in § 82.106 may appear on any such display panel of the affected product or container such that it is “clearly legible and conspicuous” at the time of the purchase. If the warning statement appears on the principal display panel or outer packaging of any such affected product or container, the warning statement shall qualify as “clearly legible and conspicuous,” as long as the label also fulfills all other requirements of this subpart and is not obscured by any outer packaging, as required by paragraph (b) of this section. The warning statement need not appear on such display panel if either:
              (1) The warning statement appears on the outer packaging of the product or container, consistent with paragraph (b) of this section, and is clearly legible and conspicuous; or
              (2) The warning statement is placed in a manner consistent with paragraph (c) of this section.
              (b) Outer packaging. If the product or container is normally packaged, wrapped, or otherwise covered when viewed by the purchaser at the time of the purchase the warning statement described in § 82.106 shall appear on any outer packaging, wrapping or other covering used in the retail display of the product or container, such that the warning statement is clearly legible and conspicuous at the time of the purchase. If the outer packaging has a display panel that is normally viewed by the purchaser at the time of the purchase, the warning statement shall appear on such display panel. If the warning statement so appears on such product's or container's outer packaging, it need not appear on the surface of the product or container, as long as the statement also fulfills all other requirements of this subpart. The warning statement need not appear on such outer packaging if either:
              (1) The warning statement appears on the surface of the product or container, consistent with paragraph (a) of this section, and is clearly legible and conspicuous through any outer packaging, wrapping or other covering used in display; or
              (2) The warning statement is placed in a manner consistent with paragraph (c) of this section.
              (c) Alternative placement. The warning statement may be placed on a hang tag, tape, card, sticker, invoice, bill of lading, supplemental printed material, or similar overlabeling that is securely attached to the container, product, outer packaging or display case, or accompanies the product containing or manufactured with a controlled substance or a container containing class I or class II substances through its sale to the consumer or ultimate consumer. For prescription medical products that have been found to be essential for patient health by the Food and Drug Administration, the warning statement may be placed in supplemental printed material intended to be read by the prescribing physician, as long as the following statement is placed on the product, its packaging, or supplemental printed material intended to be read by the patient: “This product contains [insert name of substance], a substance which harms the environment by depleting ozone in the upper atmosphere.” In any case, the warning statement must be clearly legible and conspicuous at the time of the purchase.
              (d) Products not viewed by the purchaser at the time of purchase. Where the purchaser of a product cannot view a product, its packaging or alternative labeling such that the warning statement is clearly legible and conspicuous at the time of purchase, as specified under paragraphs (a), (b), or (c) of this section, the warning statement may be placed in the following manner:
              (1) Where promotional printed material is prepared for display or distribution, the warning statement may be placed on such promotional printed material such that it is clearly legible and conspicuous at the time of purchase; or
              (2) The warning statement may be placed on the product, on its outer packaging, or on alternative labeling, consistent with paragraphs (a), (b), or (c) of this section, such that the warning statement is clearly legible and conspicuous at the time of product delivery, if the product may be returned by the purchaser at or after the time of delivery or if the purchase is not complete until the time of delivery (e.g., products delivered C.O.D.).

              § 82.110
              Form of label bearing warning statement.
              (a) Conspicuousness and contrast. The warning statement shall appear in conspicuous and legible type by typography, layout, and color with other printed matter on the label. The warning statement shall appear in sharp contrast to any background upon which it appears. Examples of combinations of colors which may not satisfy the proposed requirement for sharp contrast are: black letters on a dark blue or dark green background, dark red letters on a light red background, light red letters on a reflective silver background, and white letters on a light gray or tan background.
              (b) Name of substance. The name of the class I or class II substance to be inserted into the warning statement shall be the standard chemical name of the substance as listed in 40 CFR part 82, appendix A to subpart A, except that:
              (1) The acronym “CFC” may be substituted for “chlorofluorocarbon.”
              (2) The acronym “HCFC” may be substituted for “hydrochlorofluorocarbon.”
              (3) The term “1,1,1-trichloroethane” may be substituted for “methyl chloroform.”
              (c) Combined statement for multiple controlled substances. If a container containing or a product contains or is manufactured with, more than one class I or class II substance, the warning statement may include the names of all of the substances in a single warning statement, provided that the combined statement clearly distinguishes which substances the container or product contains and which were used in the manufacturing process.
              (d) Format. (1) The warning statement shall be blocked within a square or rectangular area, with or without a border. (2) The warning statement shall appear in lines that are parallel to the surrounding text on the product's PDP, display panel, supplemental printed material or promotional printed material.
              (e) Type style. The ratio of the height of a capital letter to its width shall be such that the height of the letter is no more than 3 times its width; the signal word “WARNING” shall appear in all capital letters.
              (f) Type size. The warning statement shall appear at least as large as the type sizes prescribed by this paragraph. The type size refers to the height of the capital letters. A larger type size materially enhances the legibility of the statement and is desirable.
              (1) Display panel or outer packaging. Minimum type size requirements for the warning statement are given in Table 1 to this paragraph and are based upon the area of the display panel of the product or container. Where the statement is on outer packaging, as well as the display panel area, the statement shall appear in the same minimum type size as on the display panel.

                Table 1 to § 82.110(f)(1)

                  Area of display panel (sq. in.)
                  0-2
                  >2-5
                  >5-10
                  >10-15
                  >15-30
                  >30

                  Type size (in.) 1

                  Signal word

                    3/64

                    1/16

                    3/32

                    7/64

                    1/8

                    5/32

                  Statement

                    3/64

                    3/64

                    1/16

                    3/32

                    3/32

                    7/64

                >Means greater than.

                  1 Minimum height of printed image of letters.

              (2) Alternative placement. The minimum type size for the warning statement on any alternative placement which meets the requirements of § 82.108(c) is 3/32 inches for the signal word and 1/16 of an inch for the statement.
              (3) Promotional printed material. The minimum type size for the warning statement on promotional printed material is 3/32 inches for the signal word and 1/16 of an inch for the statement, or the type size of any surrounding text, whichever is larger.
              [60 FR 4020, Jan. 19, 1995, as amended at 79 FR 64289, Oct. 28, 2014]

              § 82.112
              Removal of label bearing warning statement.
              (a) Prohibition on removal. Except as described in paragraph (b) or (c) of this section, any warning statement that accompanies a product or container introduced into interstate commerce, as required by this subpart, must remain with the product or container and any product incorporating such product or container, up to and including the point of sale to the ultimate consumer.
              (b) Incorporation of warning statement by subsequent manufacturers. A manufacturer of a product that incorporates a product that is accompanied by a label bearing the warning statement may remove such label from the incorporated product if the information on such label is incorporated into a warning statement accompanying the manufacturer's product, or if, pursuant to paragraph (c) of this section, the manufacturer of the product is not required to pass through the information contained on or incorporated in the product's label.
              (c) Manufacturers that incorporate products manufactured with controlled substances. A manufacturer that incorporates into its own product a component product that was purchased from another manufacturer, was manufactured with a process that uses a controlled substance(s), but does not contain such substance(s), may remove such label from the incorporated product and need not apply a warning statement to its own product, if the manufacturer does not use a controlled substance in its own manufacturing process. A manufacturer that uses controlled substances in its own manufacturing process, and is otherwise subject to the regulations of this subpart, must label pursuant to § 82.106, but need not include information regrading the incorporated product on the required label.
              (d) Manufacturers, distributors, wholesalers, retailers that sell spare parts manufactured with controlled substances solely for repair. Manufacturers, distributors, wholesalers, and retailers that purchase spare parts manufactured with a class I or class II substance from another manufacturer or supplier, and sell such spare parts for the sole purpose of repair, are not required to pass through an applicable warning label if such products are removed from the original packaging provided by the manufacturer from whom the products are purchased. Manufacturers of the spare parts manufactured with controlled substances must still label their products; furthermore, manufacturers, importers, and distributors of such products must pass through the labeling information as long as products remain assembled and packaged in the manner assembled and packaged by the original manufacturer. This exemption shall not apply if a spare part is later used for manufacture and/or for purposes other than repair.
              [60 FR 4020, Jan. 19, 1995, as amended at 79 FR 64289, Oct. 28, 2014]

              § 82.114
              Compliance by manufacturers and importers with requirements for labeling of containers of controlled substances, or products containing controlled substances.
              (a) Compliance by manufacturers and importers with requirements for labeling of containers of controlled substances, or products containing controlled substances. Each manufacturer of a product incorporating another product or container containing a controlled substance, to which § 82.102 (a)(1), or, (a)(2) or (b)(1) applies, that is purchased or obtained from another manufacturer or supplier, is required to pass through and incorporate the labeling information that accompanies such incorporated product in a warning statement accompanying the manufacturer's finished product. Each importer of a product, or container containing a controlled substance, to which § 82.102 (a)(1), (a)(2), or (b)(1) applies, including a component product or container incorporated into the product, that is purchased from a foreign manufacturer or supplier, is required to apply a label, or to ensure that a label has been properly applied, at the site of U.S. Customs clearance.
              (b) Reliance on reasonable belief. The manufacturer or importer of a product that incorporates another product container from another manufacturer or supplier may rely on the labeling information (or lack thereof) that it receives with the product, and is not required to independently investigate whether the requirements of this subpart are applicable to such purchased product or container, as long as the manufacturer reasonably believes that the supplier or foreign manufacturer is reliably and accurately complying with the requirements of this subpart.

              (c) Contractual obligations. A manufacturer's or importer's contractual relationship with its supplier under which the supplier is required to accurately label, consistent with the requirements of this subpart, any products containing a controlled substance or containers of a controlled substance that are supplied to the manufacturer or importer, is evidence of reasonable belief.

              § 82.116
              Compliance by manufacturers or importers incorporating products manufactured with controlled substances.
              (a) Compliance by manufacturers or importers incorporating products manufactured with controlled substances, or importing products manufactured with controlled substances. Each manufacturer or importer of a product incorporating another product to which § 82.102 (a)(3) or (b)(2) applies, that is purchased from another manufacturer or supplier, is not required to pass through and incorporate the labeling information that accompanies such incorporated product in a warning statement accompanying the manufacturer's or importer's finished product. Importers of products to which § 82.102 (a)(3) or (b)(2) applies are required to apply a label, or to ensure that a label has been properly applied at the site of U.S. Customs clearance.
              (b) Reliance on reasonable belief. The importer of a product purchased or obtained from a foreign manufacturer or supplier, which product may have been manufactured with a controlled substance, may rely on the information that it receives with the purchased product, and is not required to independently investigate whether the requirements of this subpart are applicable to the purchased or obtained product, as long as the importer reasonably believes that there was no use of controlled substances by the final manufacturer of the product being imported.
              (c) Contractual obligations. An importer's contractual relationship with its supplier under which the supplier is required to accurately label, consistent with the requirements of this subpart, any products manufactured with a controlled substance that are supplied to the importer, or to certify to the importer whether a product was or was not manufactured with a controlled substance is evidence of reasonable belief.

              § 82.118
              Compliance by wholesalers, distributors and retailers.
              (a) Requirement of compliance by wholesalers, distributors and retailers. All wholesalers, distributors and retailers of products or containers to which this subpart applies are required to pass through the labeling information that accompanies the product, except those purchasing from other manufacturers or suppliers spare parts manufactured with controlled substances and selling those parts for the demonstrable sole purpose of repair.
              (b) Reliance on reasonable belief. The wholesaler, distributor or retailer of a product may rely on the labeling information that it receives with the product or container, and is not required to independently investigate whether the requirements of this subpart are applicable to the product or container, as long as the wholesaler, distributor or retailer reasonably believes that the supplier of the product or container is reliably and accurately complying with the requirements of this subpart.
              (c) Contractual obligations. A wholesaler, distributor or retailer's contractual relationship with its supplier under which the supplier is required to accurately label, consistent with the requirements of this subpart, any products manufactured with a controlled substance that are supplied to the wholesaler, distributor or retailer is evidence of reasonable belief.

              § 82.120
              Petitions.
              (a) Requirements for procedure and timing. Persons seeking to apply the requirements of this regulation to a product containing a class II substance or a product manufactured with a class I or a class II substance which is not otherwise subject to the requirements, or to temporarily exempt a product manufactured with a class I substance, based on a showing of a lack of currently or potentially available alternatives, from the requirements of this regulation may submit petitions to: Labeling Program Manager, Stratospheric Protection Division, Office of Atmospheric Programs, U.S. Environmental Protection Agency, 6202-J, 1200 Pennsylvania Ave., NW., Washington, DC 20460. Such persons must label their products while such petitions are under review by the Agency.
              (b) Requirement for adequate data. Any petition submitted under paragraph (a) of this section shall be accompanied by adequate data, as defined in § 82.120(c). If adequate data are not included by the petitioner, the Agency may return the petition and request specific additional information.
              (c) Adequate data. A petition shall be considered by the Agency to be supported by adequate data if it includes all of the following:
              (1) A part clearly labeled “Section I.A.” which contains the petitioner's full name, company or organization name, address and telephone number, the product that is the subject of the petition, and, in the case of a petition to temporarily exempt a product manufactured with a class I substance from the labeling requirement, the manufacturer or manufacturers of that product.
              (2) For petitions to temporarily exempt a product manufactured with a class I substance only, a part clearly labeled “Section I.A.T.” which states the length of time for which an exemption is requested.
              (3) A part clearly labeled “Section I.B.” which includes the following statement, signed by the petitioner or an authorized representative:
              “I certify under penalty of law that I have personally examined and am familiar with the information submitted in this petition and all attached documents, and that, based on my inquiry of those individuals immediately responsible for obtaining the information, I believe that the submitted information is true, accurate, and complete. I am aware that there are significant penalties for submitting false information.”
              (4) A part clearly labeled “Section I.C.” which fully explains the basis for the petitioner's request that EPA add the labeling requirements to or remove them from the product which is the subject of the petition, based specifically upon the technical facility or laboratory tests, literature, or economic analysis described in paragraphs (c) (5), (6) and (7) of this section.
              (5) A part clearly labeled “Section II.A.” which fully describes any technical facility or laboratory tests used to support the petitioner's claim.
              (6) A part clearly labeled “Section II.B.” which fully explains any values taken from literature or estimated on the basis of known information that are used to support the petitioner's claim.
              (7) A part clearly labeled “Section II.C.” which fully explains any economic analysis used to support the petitioner's claim.
              (d) Criteria for evaluating petitions. Adequate data in support of any petition to the Agency to add a product to the labeling requirement or temporarily remove a product from the labeling requirement will be evaluated based upon a showing of sufficient quality and scope by the petitioner of whether there are or are not substitute products or manufacturing processes for such product:
              (1) That do not rely on the use of such class I or class II substance;
              (2) That reduce the overall risk to human health and the environment; and
              (3) That are currently or potentially available.
              (e) Procedure for acceptance or denial of petition. (1) If a petition submitted under this section contains adequate data, as defined under paragraph (c) of this section, the Agency shall within 180 days after receiving the complete petition either accept the petition or deny the petition.

              (2) If the Agency makes a decision to accept a petition to apply the requirements of this regulation to a product containing or manufactured with a class II substance, the Agency will notify the petitioner and publish a proposed rule in the Federal Register to apply the labeling requirements to the product.

              (3) If the Agency makes a decision to deny a petition to apply the requirements of this regulation to a product containing or manufactured with a class II substance, the Agency will notify the petitioner and publish an explanation of the petition denial in the Federal Register.

              (4) If the Agency makes a decision to accept a petition to temporarily exempt a product manufactured with a class I substance from the requirements of this regulation, the Agency will notify the petitioner and publish a proposed rule in the Federal Register to temporarily exempt the product from the labeling requirements. Upon notification by the Agency, such manufacturer may immediately cease its labeling process for such exempted products.

              (5) If the Agency makes a decision to deny a petition to temporarily exempt a product manufactured with a class I substance from the requirements of this regulation, the Agency will notify the petitioner and may, in appropriate circumstances, publish an explanation of the petition denial in the Federal Register.

              § 82.122
              Certification, recordkeeping, and notice requirements.
              (a) Certification. (1) Persons claiming the exemption provided in § 82.106(b)(4) must submit a written certification to the following address: Labeling Program Manager, Stratospheric Protection Division, Office of Atmospheric Programs, 6205-T, 1200 Pennsylvania Ave. NW., Washington DC 20460.
              (2) The certification must contain the following information:
              (i) The exact location of documents verifying calendar year 1990 usage and the 95% reduced usage during a twelve month period;
              (ii) A description of the records maintained at that location;
              (iii) A description of the type of system used to track usage;
              (iv) An indication of which 12 month period reflects the 95% reduced usage, and;
              (v) Name, address, and telephone number of a contact person.
              (3) Persons who submit certifications postmarked on or before May 15, 1993, need not place warning labels on their products manufactured using CFC-113 or methyl chloroform as a solvent. Persons who submit certifications postmarked after May 15, 1993, must label their products manufactured using CFC-113 or methyl chloroform as a solvent for 14 days following such submittal of the certification.
              (4) Persons certifying must also include a statement that indicates their future annual use will at no time exceed 5% of their 1990 usage.
              (5) Certifications must be signed by the owner or a responsible corporate officer.
              (6) If the Administrator determines that a person's certification is incomplete or that information supporting the exemption is inadequate, then products manufactured using CFC-113 or methyl chloroform as a solvent by such person must be labeled pursuant to § 82.106(a).
              (b) Recordkeeping. Persons claiming the exemption under section 82.106(b)(2) must retain supporting documentation at one of their facilities.
              (c) Notice Requirements. Persons who claim an exemption under § 82.106(b)(2) must submit a notice to the address in paragraph (a)(1) of this section within 30 days of the end of any 12 month period in which their usage of CFC-113 or methyl chloroform used as a solvent exceeds the 95% reduction from calendar year 1990.
              [60 FR 4020, Jan. 19, 1995, as amended at 79 FR 64289, Oct. 28, 2014]

              § 82.124
              Prohibitions.
              (a) Warning statement—(1) Absence or presence of warning statement. (i) Applicable May 15, 1993, except as indicated in paragraph (a)(5) of this section, no container or product identified in § 82.102(a) may be introduced into interstate commerce unless it bears a warning statement that complies with the requirements of § 82.106(a) of this subpart, unless such labeling is not required under § 82.102(c), § 82.106(b), § 82.112 (c) or (d), § 82.116(a), § 82.118(a), or temporarily exempted pursuant to § 82.120.

              (ii) On January 1, 2015, or any time between May 15, 1993 and January 1, 2015 that the Administrator determines for a particular product manufactured with or containing a class II substance that there are substitute products or manufacturing processes for such product that do not rely on the use of a class I or class II substance, that reduce the overall risk to human health and the environment, and that are currently or potentially available, no product identified in § 82.102(b) may be introduced into interstate commerce unless it bears a warning statement that complies with the requirements of § 82.106, unless such labeling is not required under § 82.106(b), § 82.112 (c) or (d), § 82.116(a) or § 82.118(a).
              (2) Placement of warning statement. (i) On May 15, 1993, except as indicated in paragraph (a)(5) of this section, no container or product identified in § 82.102(a) may be introduced into interstate commerce unless it bears a warning statement that complies with the requirements of § 82.108 of this subpart, unless such labeling is not required under § 82.102(c), § 82.106(b), § 82.112 (c) or (d), § 82.116(a), § 82.118(a), or temporarily exempted pursuant to § 82.120.
              (ii) On January 1, 2015, or any time between May 15, 1993 and January 1, 2015 that the Administrator determines for a particular product manufactured with or containing a class II substance that there are substitute products or manufacturing processes for such product that do not rely on the use of a class I or class II substance, that reduce the overall risk to human health and the environment, and that are currently or potentially available, no product identified in § 82.102(b) may be introduced into interstate commerce unless it bears a warning statement that complies with the requirements of § 82.108 of this subpart, unless such labeling is not required under § 82.106(b), § 82.112 (c) or (d), § 82.116(a) or § 82.118(a).
              (3) Form of label bearing warning statement. (i) Applicable May 15, 1993, except as indicated in paragraph (a)(5) of this section, no container or product identified in § 82.102(a) may be introduced into interstate commerce unless it bears a warning statement that complies with the requirements of § 82.110, unless such labeling is not required pursuant to § 82.102(c), § 82.106(b), § 82.112 (c) or (d), § 82.116(a), § 82.118(a), or temporarily exempted pursuant to § 82.120.
              (ii) On January 1, 2015, or any time between May 15, 1993 and January 1, 2015 that the Agency determines for a particular product manufactured with or containing a class II substance, that there are substitute products or manufacturing processes that do not rely on the use of a class I or class II substance, that reduce the overall risk to human health and the environment, and that are currently or potentially available, no product identified in § 82.102(b) may be introduced into interstate commerce unless it bears a warning statement that complies with the requirements of § 82.110, unless such labeling is not required pursuant to § 82.106(b), § 82.112 (c) or (d), § 82.116(a), or § 82.118(a).
              (4) On or after May 15, 1993, no person may modify, remove or interfere with any warning statement required by this subpart, except as described in § 82.112.
              (5) In the case of any substance designated as a class I or class II substance after February 11, 1993, the prohibitions in paragraphs (a)(1)(i), (a)(2)(i), and (a)(3)(i) of this section shall be applicable one year after the designation of such substance as a class I or class II substance unless otherwise specified in the designation.

            Subpart F—Recycling and Emissions Reduction

              Source:
              58 FR 28712, May 14, 1993, unless otherwise noted.

              § 82.150
              Purpose and scope.
              (a) The purpose of this subpart is to reduce emissions of class I and class II refrigerants and their non-exempt substitutes to the lowest achievable level by maximizing the recapture and recycling of such refrigerants during the maintenance, service, repair, and disposal of appliances and restricting the sale of refrigerants consisting in whole or in part of a class I or class II ozone-depleting substance or their non-exempt substitutes in accordance with Title VI of the Clean Air Act.

              (b) This subpart applies to any person maintaining, servicing, or repairing appliances containing class I, class II or non-exempt substitute refrigerants. This subpart also applies to persons disposing of such appliances (including small appliances and motor vehicle air conditioners), refrigerant reclaimers, technician certifying programs, appliance owners and operators, manufacturers of appliances, manufacturers of recovery and/or recycling equipment, approved recovery and/or recycling equipment testing organizations, and persons buying, selling, or offering to sell class I, class II, or non-exempt substitute refrigerants.
              [81 FR 82349, Nov. 11, 2016]

              § 82.152
              Definitions.

                Appliance means any device which contains and uses a class I or class II substance or substitute as a refrigerant and which is used for household or commercial purposes, including any air conditioner, motor vehicle air conditioner, refrigerator, chiller, or freezer. For a system with multiple circuits, each independent circuit is considered a separate appliance.

                Apprentice means any person who is currently registered as an apprentice in maintenance, service, repair, or disposal of appliances with the U.S. Department of Labor's Office of Apprenticeship (or a State Apprenticeship Council recognized by the Office of Apprenticeship). A person may only be an apprentice for two years from the date of first registering with that office.

                Approved equipment testing organization means any organization which has applied for and received approval from the Administrator pursuant to § 82.160.

                Batch means a single bulk cylinder of refrigerant after all reclamation has been completed prior to packaging or shipping to the market.

                Class I refers to an ozone-depleting substance that is listed in 40 CFR part 82 subpart A, appendix A.

                Class II refers to an ozone-depleting substance that is listed in 40 CFR part 82 subpart A, appendix B.

                Certified refrigerant recovery or recycling equipment means equipment manufactured before November 15, 1993, that meets the standards in § 82.158(c), (e), or (g); equipment certified by an approved equipment testing organization to meet the standards in § 82.158(b), (d), or (f); or equipment certified pursuant to § 82.36(a).

                Comfort cooling means the air-conditioning appliances used to provide cooling in order to control heat and/or humidity in occupied facilities including but not limited to residential, office, and commercial buildings. Comfort cooling appliances include but are not limited to chillers, commercial split systems, and packaged roof-top units.

                Commercial refrigeration means the refrigeration appliances used in the retail food and cold storage warehouse sectors. Retail food appliances include the refrigeration equipment found in supermarkets, convenience stores, restaurants and other food service establishments. Cold storage includes the refrigeration equipment used to store meat, produce, dairy products, and other perishable goods.

                Component means a part of the refrigerant circuit within an appliance including, but not limited to, compressors, condensers, evaporators, receivers, and all of its connections and subassemblies.

                Custom-built means that the industrial process equipment or any of its components cannot be purchased and/or installed without being uniquely designed, fabricated and/or assembled to satisfy a specific set of industrial process conditions.

                Disposal means the process leading to and including:
              (1) The discharge, deposit, dumping or placing of any discarded appliance into or on any land or water;
              (2) The disassembly of any appliance for discharge, deposit, dumping or placing of its discarded component parts into or on any land or water;
              (3) The vandalism of any appliance such that the refrigerant is released into the environment or would be released into the environment if it had not been recovered prior to the destructive activity;
              (4) The disassembly of any appliance for reuse of its component parts; or
              (5) The recycling of any appliance for scrap.

                Follow-up verification test means those tests that involve checking the repairs to an appliance after a successful initial verification test and after the appliance has returned to normal operating characteristics and conditions to verify that the repairs were successful. Potential methods for follow-up verification tests include, but are not limited to, the use of soap bubbles as appropriate, electronic or ultrasonic leak detectors, pressure or vacuum tests, fluorescent dye and black light, infrared or near infrared tests, and handheld gas detection devices.

                Full charge means the amount of refrigerant required for normal operating characteristics and conditions of the appliance as determined by using one or a combination of the following four methods:
              (1) Use of the equipment manufacturer's determination of the full charge;
              (2) Use of appropriate calculations based on component sizes, density of refrigerant, volume of piping, and other relevant considerations;
              (3) Use of actual measurements of the amount of refrigerant added to or evacuated from the appliance, including for seasonal variances; and/or
              (4) Use of an established range based on the best available data regarding the normal operating characteristics and conditions for the appliance, where the midpoint of the range will serve as the full charge.

                High-pressure appliance means an appliance that uses a refrigerant with a liquid phase saturation pressure between 170 psia and 355 psia at 104 °F. Examples include but are not limited to appliances using R-22, R-407A, R-407C, R-410A, and R-502.

                Industrial process refrigeration means complex customized appliances that are directly linked to the processes used in, for example, the chemical, pharmaceutical, petrochemical, and manufacturing industries. This sector also includes industrial ice machines, appliances used directly in the generation of electricity, and ice rinks. Where one appliance is used for both industrial process refrigeration and other applications, it will be considered industrial process refrigeration equipment if 50 percent or more of its operating capacity is used for industrial process refrigeration.

                Industrial process shutdown means when an industrial process or facility temporarily ceases to operate or manufacture whatever is being produced at that facility.

                Initial verification test means those leak tests that are conducted after the repair is finished to verify that a leak or leaks have been repaired before refrigerant is added back to the appliance.

                Leak inspection means the examination of an appliance to determine the location of refrigerant leaks. Potential methods include, but are not limited to, ultrasonic tests, gas-imaging cameras, bubble tests as appropriate, or the use of a leak detection device operated and maintained according to manufacturer guidelines. Methods that determine whether the appliance is leaking refrigerant but not the location of a leak, such as standing pressure/vacuum decay tests, sight glass checks, viewing receiver levels, pressure checks, and charging charts, must be used in conjunction with methods that can determine the location of a leak.

                Leak rate means the rate at which an appliance is losing refrigerant, measured between refrigerant charges. The leak rate is expressed in terms of the percentage of the appliance's full charge that would be lost over a 12-month period if the current rate of loss were to continue over that period. The rate must be calculated using one of the following methods. The same method must be used for all appliances subject to the leak repair requirements located at an operating facility.
              (1) Annualizing Method. (i) Step 1. Take the number of pounds of refrigerant added to the appliance to return it to a full charge, whether in one addition or if multiple additions related to same leak, and divide it by the number of pounds of refrigerant the appliance normally contains at full charge;
              (ii) Step 2. Take the shorter of the number of days that have passed since the last day refrigerant was added or 365 days and divide that number by 365 days;
              (iii) Step 3. Take the number calculated in Step 1 and divide it by the number calculated in Step 2; and
              (iv) Step 4. Multiply the number calculated in Step 3 by 100 to calculate a percentage. This method is summarized in the following formula:

                ER18NO16.074

              (2) Rolling Average Method. (i) Step 1. Take the sum of the pounds of refrigerant added to the appliance over the previous 365-day period (or over the period that has passed since the last successful follow-up verification test showing all identified leaks in the appliance were repaired, if that period is less than one year);
              (ii) Step 2. Divide the result of Step 1 by the pounds of refrigerant the appliance normally contains at full charge; and
              (iii) Step 3. Multiply the result of Step 2 by 100 to obtain a percentage. This method is summarized in the following formula:

                ER18NO16.075

                Low-loss fitting means any device that is intended to establish a connection between hoses, appliances, or recovery and/or recycling machines and that is designed to close automatically or to be closed manually when disconnected, minimizing the release of refrigerant from hoses, appliances, and recovery and/or recycling machines.

                Low-pressure appliance means an appliance that uses a refrigerant with a liquid phase saturation pressure below 45 psia at 104 °F. Examples include but are not limited to appliances using R-11, R-123, R-113, and R-245fa.

                Major maintenance, service, or repair means any maintenance, service, or repair that involves the removal of any or all of the following appliance components: compressor, condenser, evaporator, or auxiliary heat exchange coil; or any maintenance, service, or repair that involves uncovering an opening of more than four (4) square inches of “flow area” for more than 15 minutes.

                Medium-pressure appliance means an appliance that uses a refrigerant with a liquid phase saturation pressure between 45 psia and 170 psia at 104 °F. Examples include but are not limited to appliances using R-114, R-124, R-12, R-134a, and R-500.

                Mothball means to evacuate refrigerant from an appliance, or the affected isolated section or component of an appliance, to at least atmospheric pressure, and to temporarily shut down that appliance.

                Motor vehicle air conditioner (MVAC) means any appliance that is a motor vehicle air conditioner as defined in 40 CFR part 82, subpart B.

                MVAC-like appliance means a mechanical vapor compression, open-drive compressor appliance with a full charge of 20 pounds or less of refrigerant used to cool the driver's or passenger's compartment of off-road vehicles or equipment. This includes, but is not limited to, the air-conditioning equipment found on agricultural or construction vehicles. This definition is not intended to cover appliances using R-22 refrigerant.

                Normal operating characteristics and conditions means appliance operating temperatures, pressures, fluid flows, speeds, and other characteristics, including full charge of the appliance, that would be expected for a given process load and ambient condition during normal operation. Normal operating characteristics and conditions are marked by the absence of atypical conditions affecting the operation of the appliance.

                One-time expansion device means an appliance that relies on the release of its refrigerant charge to the environment in order to provide a cooling effect. These are typically single releases but could also include products that are designed to release refrigerant to the environment through multiple individual charges.

                Opening an appliance means any maintenance, service, repair, or disposal of an appliance that would release any refrigerant in the appliance to the atmosphere. Connecting and disconnecting hoses and gauges to measure pressures, add refrigerant, or recover refrigerant from the appliance are not considered “opening an appliance.”

                Parent company means an individual, corporation, partnership, association, joint-stock company, or an unincorporated organization that can direct or cause the direction of management and policies of another entity, through the ownership of shares or otherwise.

                Person means any individual or legal entity, including an individual, corporation, partnership, association, state, municipality, political subdivision of a state, Indian tribe, and any agency, department, or instrumentality of the United States, and any officer, agent, or employee thereof.

                Process stub means a length of tubing that provides access to the refrigerant inside a small appliance or room air conditioner and that can be resealed at the conclusion of repair or service.

                Reclaim means to reprocess recovered refrigerant to all of the specifications in appendix A of this subpart (based on AHRI Standard 700-2016, Specifications for Refrigerants) that are applicable to that refrigerant and to verify that the refrigerant meets these specifications using the analytical methodology prescribed in section 5 of appendix A of this subpart.

                Recover means to remove refrigerant in any condition from an appliance and to store it in an external container without necessarily testing or processing it in any way.

                Recovery efficiency means the percentage of refrigerant in an appliance that is recovered by a piece of recovery and/or recycling equipment.

                Recycle, when referring to refrigerant, means to extract refrigerant from an appliance (except MVACs) and clean it for reuse in equipment of the same owner without meeting all of the requirements for reclamation. In general, recycled refrigerant is cleaned using oil separation and single or multiple passes through devices, such as replaceable core filter-driers, which reduce moisture, acidity, and particulate matter.

                Refrigerant means, for purposes of this subpart, any substance, including blends and mixtures, consisting in part or whole of a class I or class II ozone-depleting substance or substitute that is used for heat transfer purposes and provides a cooling effect.

                Refrigerant circuit means the parts of an appliance that are normally connected to each other (or are separated only by internal valves) and are designed to contain refrigerant.

                Retire, when referring to an appliance, means the removal of the refrigerant and the disassembly or impairment of the refrigerant circuit such that the appliance as a whole is rendered unusable by any person in the future.

                Retrofit means to convert an appliance from one refrigerant to another refrigerant. Retrofitting includes the conversion of the appliance to achieve system compatibility with the new refrigerant and may include, but is not limited to, changes in lubricants, gaskets, filters, driers, valves, o-rings or appliance components.

                Seasonal variance means the removal of refrigerant from an appliance due to a change in ambient conditions caused by a change in season, followed by the subsequent addition of an amount that is less than or equal to the amount of refrigerant removed in the prior change in season, where both the removal and addition of refrigerant occurs within one consecutive 12-month period.

                Self-contained recovery equipment means refrigerant recovery and/or recycling equipment that is capable of removing the refrigerant from an appliance without the assistance of components contained in the appliance.

                Self-sealing valve means a valve affixed to a container of refrigerant that automatically seals when not dispensing refrigerant and meets or exceeds established performance criteria as identified in § 82.154(c)(2).

                Small appliance means any appliance that is fully manufactured, charged, and hermetically sealed in a factory with five (5) pounds or less of refrigerant, including, but not limited to, refrigerators and freezers (designed for home, commercial, or consumer use), medical or industrial research refrigeration equipment, room air conditioners (including window air conditioners, portable air conditioners, and packaged terminal air heat pumps), dehumidifiers, under-the-counter ice makers, vending machines, and drinking water coolers.

                Substitute means any chemical or product, whether existing or new, that is used as a refrigerant to replace a class I or II ozone-depleting substance. Examples include, but are not limited to hydrofluorocarbons, perfluorocarbons, hydrofluoroolefins, hydrofluoroethers, hydrocarbons, ammonia, carbon dioxide, and blends thereof. As used in this subpart, the term “exempt substitutes” refers to certain substitutes when used in certain end-uses that are specified in § 82.154(a)(1) as exempt from the venting prohibition and the requirements of this subpart, and the term “non-exempt substitutes” refers to all other substitutes and end-uses not so specified in § 82.154(a)(1).

                System-dependent recovery equipment means refrigerant recovery equipment that requires the assistance of components contained in an appliance to remove the refrigerant from the appliance.

                System receiver means the isolated portion of the appliance, or a specific vessel within the appliance, that is used to hold the refrigerant charge during the servicing or repair of that appliance.

                Technician means any person who in the course of maintenance, service, or repair of an appliance (except MVACs) could be reasonably expected to violate the integrity of the refrigerant circuit and therefore release refrigerants into the environment. Technician also means any person who in the course of disposal of an appliance (except small appliances, MVACs, and MVAC-like appliances) could be reasonably expected to violate the integrity of the refrigerant circuit and therefore release refrigerants from the appliances into the environment. Activities reasonably expected to violate the integrity of the refrigerant circuit include but are not limited to: Attaching or detaching hoses and gauges to and from the appliance; adding or removing refrigerant; adding or removing components; and cutting the refrigerant line. Activities such as painting the appliance, rewiring an external electrical circuit, replacing insulation on a length of pipe, or tightening nuts and bolts are not reasonably expected to violate the integrity of the refrigerant circuit. Activities conducted on appliances that have been properly evacuated pursuant to § 82.156 are not reasonably expected to release refrigerants unless the activity includes adding refrigerant to the appliance. Technicians could include but are not limited to installers, contractor employees, in-house service personnel, and owners and/or operators of appliances.

                Very high-pressure appliance means an appliance that uses a refrigerant with a critical temperature below 104 °F or with a liquid phase saturation pressure above 355 psia at 104 °F. Examples include but are not limited to appliances using R-13, R-23, R-503, R-508A, and R-508B.
              [58 FR 28712, May 14, 1993, as amended at 59 FR 42956, Aug. 19, 1994; 59 FR 55925, Nov. 9, 1994; 60 FR 40439, Aug. 8, 1995; 68 FR 43806, July 24, 2003; 69 FR 11978, Mar. 12, 2004; 70 FR 1991, Jan. 11, 2005; 70 FR 19278, Apr. 13, 2005; 81 FR 82349, Nov. 18, 2016]

              § 82.154
              Prohibitions.
              (a) Venting prohibition. (1) No person maintaining, servicing, repairing, or disposing of an appliance or industrial process refrigeration may knowingly vent or otherwise release into the environment any refrigerant from such appliances. Notwithstanding any other provision of this subpart, the following substitutes in the following end-uses are exempt from this prohibition and from the requirements of this subpart:
              (i) Carbon dioxide in any application;

              (ii) Nitrogen in any application;
              (iii) Water in any application;
              (iv) Ammonia in commercial or industrial process refrigeration or in absorption units;
              (v) Chlorine in industrial process refrigeration (processing of chlorine and chlorine compounds);
              (vi) Hydrocarbons in industrial process refrigeration (processing of hydrocarbons);
              (vii) Ethane (R-170) in very low temperature refrigeration equipment and equipment for non-mechanical heat transfer;
              (viii) Propane (R-290) in retail food refrigerators and freezers (stand-alone units only); household refrigerators, freezers, and combination refrigerators and freezers; self-contained room air conditioners for residential and light commercial air-conditioning and heat pumps; vending machines; and effective January 3, 2017, self-contained commercial ice machines, very low temperature refrigeration equipment, and water coolers;
              (ix) Isobutane (R-600a) in retail food refrigerators and freezers (stand-alone units only); household refrigerators, freezers, and combination refrigerators and freezers; and vending machines;
              (x) R-441A in retail food refrigerators and freezers (stand-alone units only); household refrigerators, freezers, and combination refrigerators and freezers; self-contained room air conditioners for residential and light commercial air-conditioning; heat pumps; and vending machines.
              (2) De minimis releases associated with good faith attempts to recycle or recover refrigerants are not subject to this prohibition. Except for exempt substitutes, refrigerant releases are de minimis only if they occur when:
              (i) The applicable practices in §§ 82.155 and 82.156 are observed, the applicable practices in § 82.157 are observed for appliances that contain any class I or class II refrigerant or blend containing a class I or class II refrigerant, recovery and/or recycling machines that meet the requirements in § 82.158 are used whenever refrigerant is removed from an appliance, the technician certification provisions in § 82.161 are observed, and the reclamation requirements in § 82.164 are observed; or
              (ii) The requirements in subpart B of this part are observed.
              (3) The knowing release of a class I or class II refrigerant or a non-exempt substitute refrigerant after its recovery from an appliance is a violation of the venting prohibition.
              (b) No person may maintain, service, repair, or dispose of an appliance containing a class I or class II refrigerant or a non-exempt substitute refrigerant without:
              (1) Observing the applicable practices in § 82.155, § 82.156, and § 82.157; and
              (2) Using recovery and/or recycling equipment that is certified for that type of refrigerant and appliance under § 82.158.
              (c) Sales Restriction. (1) No person may sell or distribute, or offer for sale or distribution, any substance that consists in whole or in part of a class I or class II substance or, starting on January 1, 2018, any non-exempt substitute for use as a refrigerant unless:
              (i) The buyer has been certified as a Type I, Type II, Type III, or Universal technician under § 82.161;
              (ii) The buyer employs at least one technician who is certified as a Type I, Type II, Type III, or Universal technician under § 82.161 and provides proof of such to the seller;
              (iii) The buyer has been certified in accordance with 40 CFR part 82, subpart B and the refrigerant is acceptable for use in MVACs under 40 CFR part 82, subpart G;
              (iv) The buyer employs at least one person who is certified under 40 CFR part 82, subpart B, and provides proof of such to the seller and the refrigerant is acceptable for use in MVACs under 40 CFR part 82, subpart G. Nothing in this provision relieves persons of the requirements of § 82.34(b) or § 82.42(b);

              (v) The refrigerant is sold only for eventual resale to persons certified under § 82.161 or 40 CFR part 82, subpart B or to appliance manufacturers (e.g., sold by a manufacturer to a wholesaler, sold by a technician to a reclaimer);
              (vi) The refrigerant is sold to an appliance manufacturer;

              (vii) The refrigerant is contained in an appliance with a fully assembled refrigerant circuit or an appliance component;

              (viii) The refrigerant is charged into an appliance by a certified technician or an apprentice during maintenance, service, or repair of the appliance; or
              (ix) The non-exempt substitute refrigerant is intended for use in an MVAC and is sold in a container designed to hold two pounds or less of refrigerant, has a unique fitting, and, if manufactured or imported on or after January 1, 2018, has a self-sealing valve that complies with the requirements of paragraph (c)(2) of this section.
              (2) Self-sealing valve specifications. This provision applies starting January 1, 2018, for all containers holding two pounds or less of non-exempt substitute refrigerant for use in an MVAC that are manufactured or imported on or after that date.
              (i) Each container holding two pounds or less of non-exempt substitute refrigerant for use in an MVAC must be equipped with a single self-sealing valve that automatically closes and seals when not dispensing refrigerant.
              (ii) The leakage rate from each container must not exceed 3.00 grams per year when the self-sealing valve is closed. This leakage rate applies to new, full containers as well as containers that may be partially full.
              (iii) The leakage rate must be determined using the standards described in appendix E (incorporated by reference, see § 82.168).
              (iv) All testing to demonstrate compliance with this paragraph must be conducted by an independent test laboratory in the United States. For purposes of this requirement, an independent test laboratory is one that is not owned, operated, or affiliated with the applicant certifying equipment and/or products.
              (3) Recordkeeping. (i) Persons who sell or distribute, or offer to sell or distribute, any class I or class II refrigerant, or, starting on January 1, 2018, any non-exempt substitute refrigerant must keep invoices that indicate the name of the purchaser, the date of sale, and the quantity of refrigerant purchased unless they are selling exempt substitutes (those substitutes used in the end-uses specified as exempt in paragraph (a)(1) of this section) or small cans of MVAC refrigerant in accordance with paragraph (c)(1)(ix) of this section. In instances where the buyer employs a person certified under § 82.161 or 40 CFR part 82, subpart B, the seller must keep the documentation provided by the buyer to demonstrate such employment. All records must be kept for three years.
              (ii) Electronic or paper copies of all records described in appendix E must be maintained by manufacturers of containers holding two pounds or less of non-exempt substitute refrigerant for use in an MVAC to verify self-sealing valves meet the requirements specified in paragraph (c)(2) of this section. All records must be kept for three years after each purchase.
              (d) Sale of Used Refrigerant. No person may sell or distribute, or offer for sale or distribution, for use as a refrigerant any class I or class II substance or non-exempt substitute consisting wholly or in part of used refrigerant unless the refrigerant:
              (1) Has been reclaimed by a person who has been certified as a reclaimer under § 82.164;
              (2) was used only in an MVAC or MVAC-like appliance and is to be used only in an MVAC or MVAC-like appliance and recycled in accordance with 40 CFR part 82, subpart B;
              (3) is contained in an appliance that is sold or offered for sale together with a fully assembled refrigerant circuit;
              (4) is being transferred between or among a parent company and one or more of its subsidiaries, or between or among subsidiaries having the same parent company; or
              (5) is being transferred between or among a Federal agency or department and a facility or facilities owned by the same Federal agency or department.
              (e) Manufacture and Sale of Appliances. (1) No person may sell or distribute, or offer for sale or distribution, any appliance (except small appliances and appliances containing only refrigerants that have been exempted under paragraph (a)(1) of this section) unless it is equipped with a servicing aperture to facilitate the removal of refrigerant at servicing and disposal.

              (2) No person may sell or distribute, or offer for sale or distribution, any small appliance (except appliances containing only refrigerants that have been exempted under paragraph (a)(1) of this section) unless it is equipped with a process stub to facilitate the removal of refrigerant at servicing and disposal.
              (f) One-time expansion devices. No person may manufacture or import a one-time expansion device unless the only refrigerants it contains have been exempted under paragraph (a)(1) of this section.

              (g) Rules stayed for consideration. Notwithstanding any other provisions of this subpart, the effectiveness of 40 CFR 82.154(c), only as it applies to refrigerant contained in appliances without fully assembled refrigerant circuits, is stayed from April 27, 1995, until EPA takes final action on its reconsideration of these provisions. EPA will publish any such final action in the Federal Register.
              [81 FR 82352, Nov. 18, 2016, as amended at 81 FR 86881, Dec. 1, 2016; 82 FR 61184, Dec. 27, 2017; 85 FR 14171, Apr. 10, 2020]

              § 82.155
              Safe disposal of appliances.
              Until January 1, 2018, this section applies only to disposal of appliances containing class I and class II refrigerants. Starting on January 1, 2018, this section applies to disposal of appliances containing any class I or class II refrigerant or any non-exempt substitute refrigerant.
              (a) Persons recovering refrigerant from a small appliance, MVAC, or MVAC-like appliance for purposes of disposal of these appliances must evacuate refrigerant to the levels in § 82.156(b) through (d) using recovery equipment that meets the standards in § 82.158(e) through (g), or 40 CFR part 82 subpart B, as applicable.
              (b) The final processor—i.e., persons who take the final step in the disposal process (including but not limited to scrap recyclers and landfill operators) of a small appliance, MVAC, or MVAC-like appliance—must either:
              (1) Recover any remaining refrigerant from the appliance in accordance with paragraph (a) of this section; or
              (2) Verify using a signed statement or a contract that all refrigerant that had not leaked previously has been recovered from the appliance or shipment of appliances in accordance with paragraph (a) of this section. If using a signed statement, it must include the name and address of the person who recovered the refrigerant and the date the refrigerant was recovered. If using a signed contract between the supplier and the final processor, it must either state that the supplier will recover any remaining refrigerant from the appliance or shipment of appliances in accordance with paragraph (a) of this section prior to delivery or verify that the refrigerant had been properly recovered prior to receipt by the supplier.
              (i) It is a violation of this subpart to accept a signed statement or contract if the person receiving the statement or contract knew or had reason to know that the signed statement or contract is false.
              (ii) The final processor must notify suppliers of appliances that refrigerant must be properly recovered in accordance with paragraph (a) of this section before delivery of the items to the facility. The form of this notification may be signs, letters to suppliers, or other equivalent means.
              (iii) If all the refrigerant has leaked out of the appliance, the final processor must obtain a signed statement that all the refrigerant in the appliance had leaked out prior to delivery to the final processor and recovery is not possible. “Leaked out” in this context means those situations in which the refrigerant has escaped because of system failures, accidents, or other unavoidable occurrences not caused by a person's negligence or deliberate acts such as cutting refrigerant lines.
              (c) Recordkeeping. The final processor of a small appliance, MVAC, or MVAC-like appliance must keep a copy of all the signed statements or contracts obtained under paragraph (b)(2) of this section on site, in hard copy or in electronic format, for three years.
              [81 FR 82353, Nov. 18, 2016]

              § 82.156
              Proper evacuation of refrigerant from appliances.

              Until January 1, 2018, this section applies only to evacuation of refrigerant from appliances containing class I or class II refrigerants. Starting on January 1, 2018, this section applies to evacuation of refrigerant from appliances containing any class I or class II refrigerant or any non-exempt substitute refrigerant, excluding paragraph (i) of this section which applies only to appliances containing class I or class II refrigerants until January 1, 2019. Starting January 1, 2019, the provisions in § 82.157 apply in lieu of paragraph (i) of this section.
              (a) Appliances (except small appliances, MVACs, and MVAC-like appliances). Before opening appliances (except small appliances, MVACs, and MVAC-like appliances) or disposing of such appliances, technicians must evacuate the refrigerant, including all the liquid refrigerant, to the levels in Table 1 using a recovery and/or recycling machine certified pursuant to § 82.158 unless the situations in paragraphs (a)(1) or (2) of this section apply. Technicians may evacuate either the entire appliance or the part to be serviced, if the refrigerant in the part can be isolated to a system receiver. A technician must verify that the applicable level of evacuation has been reached in the appliance or the part before it is opened.
              (1) If evacuation of the appliance to the atmosphere is not to be performed after completion of the maintenance, service, or repair, and if the maintenance, service, or repair is not major as defined at § 82.152, the appliance must:
              (i) Be evacuated to a pressure no higher than 0 psig before it is opened if it is a medium-, high- or very high-pressure appliance;
              (ii) Be pressurized to a pressure no higher than 0 psig before it is opened if it is a low-pressure appliance. Persons must cover openings when isolation is not possible. Persons pressurizing low-pressure appliances that use refrigerants with boiling points at or below 85 degrees Fahrenheit at 29.9 inches of mercury (standard atmospheric pressure), must not use methods such as nitrogen that require subsequent purging. Persons pressurizing low-pressure appliances that use refrigerants with boiling points above 85 degrees Fahrenheit at 29.9 inches of mercury, must use heat to raise the internal pressure of the appliance as much as possible, but may use nitrogen to raise the internal pressure of the appliance from the level attainable through use of heat to atmospheric pressure; or
              (iii) For the purposes of oil changes, be evacuated or pressurized to a pressure no higher than 5 psig, before it is opened; or drain the oil into a system receiver to be evacuated or pressurized to a pressure no higher than 5 psig.
              (2) If leaks in the appliance make evacuation to the levels in Table 1 unattainable or would substantially contaminate the refrigerant being recovered, persons opening or disposing of the appliance must:
              (i) Isolate leaking from non-leaking components wherever possible;
              (ii) Evacuate non-leaking components to be opened or disposed of to the levels specified in Table 1; and
              (iii) Evacuate leaking components to be opened or disposed of to the lowest level that can be attained without substantially contaminating the refrigerant. This level may not exceed 0 psig.
              (3) Recordkeeping. As of January 1, 2018, technicians evacuating refrigerant from appliances with a full charge of more than 5 and less than 50 pounds of refrigerant for purposes of disposal of that appliance must keep records documenting the following for three years:
              (i) The company name, location of the appliance, date of recovery, and type of refrigerant recovered for each appliance;
              (ii) The total quantity of refrigerant, by type, recovered from all disposed appliances in each calendar month; and

              (iii) The quantity of refrigerant, by type, transferred for reclamation and/or destruction, the person to whom it was transferred, and the date of transfer.

                Table 1—Required Levels of Evacuation for Appliances
                [Except for small appliances, MVACs, and MVAC-like appliances]

                  Type of appliance
                  Inches of Hg vacuum(relative to standard atmospheric pressure of 29.9 inches Hg)

                  Using recovery and/or recycling equipment manufactured orimported before
                    November 15, 1993

                  Using recovery and/or recycling equipment manufactured orimported on or after
                    November 15, 1993

                  Very high-pressure appliance
                  0
                  0.

                  High-pressure appliance, or isolated component of such appliance, with a full charge of less than 200 pounds of refrigerant
                  0
                  0.

                  High-pressure appliance, or isolated component of such appliance, with a full charge of 200 pounds or more of refrigerant
                  4
                  10.

                  Medium-pressure appliance, or isolated component of such appliance, with a full charge of less than 200 pounds of refrigerant
                  4
                  10.

                  Medium-pressure appliance, or isolated component of such appliance, with a full charge of 200 pounds or more of refrigerant
                  4
                  15.

                  Low-pressure appliance
                  25 mm Hg absolute
                  25 mm Hg absolute.

              (b) Small appliances. Before opening a small appliance or when disposing of a small appliance, persons must recover refrigerant, using a recovery and/or recycling machine certified pursuant to § 82.158, according to the following conditions:
              (1) When using recovery equipment manufactured before November 15, 1993, recover 80 percent of the refrigerant in the small appliance; or
              (2) When using recovery equipment manufactured on or after November 15, 1993, recover 90 percent of the refrigerant in the appliance when the compressor in the appliance is functioning, or 80 percent of the refrigerant in the appliance when the compressor in the appliance is not functioning; or
              (3) Evacuate the appliance to four inches of mercury vacuum.
              (c) MVAC-like appliances. Persons may only open MVAC-like appliances while properly using, as defined at § 82.32(e), recovery and/or recycling equipment certified pursuant to § 82.158(f) or § 82.36, as applicable. All persons recovering refrigerant from MVAC-like appliances for purposes of disposal of these appliances must evacuate the appliance in accordance with 40 CFR part 82, subpart B or reduce the system pressure to or below 102 mm of mercury vacuum.
              (d) MVACs. All persons recovering refrigerant from MVACs for purposes of disposal of these appliances must evacuate the appliance in accordance with 40 CFR part 82, subpart B or reduce the system pressure to or below 102 mm of mercury vacuum.
              (e) System-dependent equipment may not be used with appliances with a full charge of more than 15 pounds of refrigerant, unless the system-dependent equipment is permanently attached to the appliance as a pump-out unit.
              (f) Persons who maintain, service, repair, or dispose of only appliances that they own and that contain pump-out units are exempt from the requirement to use certified, self-contained recovery and/or recycling equipment.
              (g) All recovery and/or recycling equipment must be used in accordance with the manufacturer's directions unless such directions conflict with the requirements of this subpart.
              (h) Refrigerant may be returned to the appliance from which it is recovered or to another appliance owned by the same person without being recycled or reclaimed, unless the appliance is an MVAC or MVAC-like appliance.
              (i) The provisions in this paragraph (i) apply to owners and operators of appliances containing 50 or more pounds of class I and class II refrigerants only until January 1, 2019. The definitions in paragraph (j) of this section apply for purposes of this paragraph (i) in lieu of the definitions in § 82.152.

              (1) Owners or operators of commercial refrigeration equipment normally containing more than 50 pounds of refrigerant must have leaks repaired in accordance with paragraph (i)(9) of this section, if the appliance is leaking at a rate such that the loss of refrigerant will exceed 35 percent of the total charge during a 12-month period, except as described in paragraphs (i)(6), (i)(8), and (i)(10) of this section and paragraphs (i)(1)(i), (i)(1)(ii), and (i)(1)(iii) of this section. Repairs must bring the annual leak rate to below 35 percent.
              (i) If the owners or operators of the federally-owned commercial refrigerant appliances determine that the leaks cannot be repaired in accordance with paragraph (i)(9) of this section and that an extension in accordance with the requirements discussed in this paragraph (i)(1)(i) of this section apply, they must document all repair efforts, and notify EPA of their inability to comply within the 30-day repair requirement, and the reason for the inability must be submitted to EPA in accordance with § 82.166(n). Such notification must be made within 30 days of discovering the leaks. EPA will determine if the extension requested in accordance with the requirements discussed in paragraph (i)(1)(i) of this section is justified. If the extension is not justified, EPA will notify the owner/operator within 30 days of receipt of the notification.
              (ii) Owners or operators of federally-owned commercial refrigeration equipment may have more than 30 days to repair leaks if the refrigeration appliance is located in an area subject to radiological contamination or where the shutting down of the appliance will directly lead to radiological contamination. Only the additional time needed to conduct and complete repairs in a safe working environment will be permitted.
              (iii) Owners or operators of federally-owned commercial refrigeration equipment requesting or who are granted time extensions under this paragraph must comply with paragraphs (i)(3) and (i)(4) of this section.
              (2) The owners or operators of industrial process refrigeration equipment normally containing more than 50 pounds of refrigerant must have leaks repaired if the appliance is leaking at a rate such that the loss of refrigerant will exceed 35 percent of the total charge during a 12-month period in accordance with paragraph (i)(9) of this section, except as described in paragraphs (i)(6), (i)(7) and (i)(10) of this section, and paragraphs (i)(2)(i) and (i)(2)(ii) of this section. Repairs must bring annual leak rates to below 35 percent during a 12-month period. If the owners or operators of the industrial process refrigeration equipment determine that the leak rate cannot be brought to below 35 percent during a 12-month period within 30 days (or 120 days, where an industrial process shutdown in accordance with paragraph (i)(2)(ii) of this section is required,) and in accordance with paragraph (i)(9) of this section, and that an extension in accordance with the requirements discussed in this paragraph apply, the owners or operators of the appliance must document all repair efforts, and notify EPA of the reason for the inability in accordance with § 82.166(n) within 30 days of making this determination. Owners or operators who obtain an extension pursuant to this section or elect to utilize the additional time provided in paragraph (i)(2)(i) of this section, must conduct all necessary leak repairs, if any, that do not require any additional time beyond the initial 30 or 120 days.
              (i) The owners or operators of industrial process refrigeration equipment are permitted more than 30 days (or 120 days where an industrial process shutdown in accordance with paragraph (i)(2)(ii) of this section is required) to repair leaks, if the necessary parts are unavailable or if requirements of other applicable federal, state, or local regulations make a repair within 30 or 120 days impossible. Only the additional time needed to receive delivery of the necessary parts or to comply with the pertinent regulations will be permitted.
              (ii) Owners or operators of industrial process refrigeration equipment will have a 120-day repair period, rather than a 30-day repair period, to repair leaks in instances where an industrial process shutdown is needed to repair a leak or leaks from industrial process refrigeration equipment.

              (3) Owners or operators of industrial process refrigeration equipment and owners or operators of federally-owned commercial refrigeration equipment or of federally-owned comfort cooling appliances who are granted additional time under paragraphs (i)(1) or (i)(5) of this section, must have repairs performed in a manner that sound professional judgment indicates will bring the leak rate below the applicable allowable leak rate. When an industrial process shutdown has occurred or when repairs have been made while an appliance is mothballed, the owners or operators shall conduct an initial verification test at the conclusion of the repairs and a follow-up verification test. The follow-up verification test shall be conducted within 30 days of completing the repairs or within 30 days of bringing the appliance back on-line, if taken off-line, but no sooner than when the appliance has achieved normal operating characteristics and conditions. When repairs have been conducted without an industrial process shutdown or system mothballing, an initial verification test shall be conducted at the conclusion of the repairs, and a follow-up verification test shall be conducted within 30 days of the initial verification test. In all cases, the follow-up verification test shall be conducted at normal operating characteristics and conditions, unless sound professional judgment indicates that tests performed at normal operating characteristics and conditions will produce less reliable results, in which case the follow-up verification test shall be conducted at or near the normal operating pressure where practicable, and at or near the normal operating temperature where practicable.
              (i) If the owners or operators of industrial process refrigeration equipment takes the appliance off-line, or if the owners or operators of federally-owned commercial refrigeration or of federally-owned comfort cooling appliances who are granted additional time under paragraphs (i)(1) or (i)(5) of this section take the appliance off-line, they cannot bring the appliance back on-line until an initial verification test indicates that the repairs undertaken in accordance with paragraphs (i)(1)(i), (ii), (iii), or (i)(2)(i) and (ii), or (5)(i), (ii), and (iii) of this section have been successfully completed, demonstrating the leak or leaks are repaired. The owners or operators of the industrial process refrigeration equipment, federally-owned commercial refrigeration appliances, or federally-owned comfort cooling appliances are exempted from this requirement only where the owners or operators will retrofit or retire the industrial process refrigeration equipment, federally-owned commercial refrigeration appliance, or federally-owned comfort cooling appliance in accordance with paragraph (i)(6) of this section. Under this exemption, the owner or operators may bring the industrial process refrigeration equipment, federally-owned commercial refrigeration appliance, or federally-owned comfort cooling appliance back on-line without successful completion of an initial verification test.
              (ii) If the follow-up verification test indicates that the repairs to industrial process refrigeration equipment, federally-owned commercial refrigeration equipment, or federally-owned comfort cooling appliances have not been successful, the owner or operator must retrofit or retire the equipment in accordance with paragraph (i)(6) and any such longer time period as may apply under paragraphs (i)(7)(i), (ii) and (iii) or (i)(8)(i) and (ii) of this section. The owners and operators of the industrial process refrigeration equipment, federally-owned commercial refrigeration equipment, or federally-owned comfort cooling appliances are relieved of this requirement if the conditions of paragraphs (i)(3)(iv) and/or (i)(3)(v) of this section are met.
              (iii) The owner or operator of industrial process refrigeration equipment that fails a follow-up verification test must notify EPA within 30 days of the failed follow-up verification test in accordance with § 82.166(n).

              (iv) The owner or operator is relieved of the obligation to retrofit or replace the industrial process refrigeration equipment as discussed in paragraph (i)(6) of this section if second repair efforts to fix the same leaks that were the subject of the first repair efforts are successfully completed within 30 days or 120 days where an industrial process shutdown is required, after the initial failed follow-up verification test. The second repair efforts are subject to the same verification requirements of paragraphs (i)(3), (i)(3) (i) and (ii) of this section. The owner or operator is required to notify EPA within 30 days of the successful follow-up verification test in accordance with § 82.166(n) and the owner or operator is no longer subject to the obligation to retrofit or replace the appliance that arose as a consequence of the initial failure to verify that the leak repair efforts were successful.
              (v) The owner or operator of industrial process refrigeration equipment is relieved of the obligation to retrofit or replace the equipment in accordance with paragraph (i)(6) of this section if within 180 days of the initial failed follow-up verification test, the owner or operator establishes that the appliance's annual leak rate does not exceed the applicable allowable annual leak rate, in accordance with paragraph (i)(4) of this section. If the appliance's owner or operator establishes that the appliance's annual leak rate does not exceed the applicable allowable annual leak rate, the owner or operator is required to notify EPA within 30 days of that determination in accordance with § 82.166(n) and the owner or operator would no longer be subject to the obligation to retrofit or replace the equipment that arose as a consequence of the initial failure to verify that the leak repair efforts were successful.
              (4) In the case of a failed follow-up verification test subject to paragraph (i)(3)(v) of this section, the determination of whether industrial process refrigeration equipment has an annual leak rate that exceeds the applicable allowable annual leak rate will be made in accordance with parameters identified by the owner or operator in its notice to EPA regarding the failure of the initial follow-up verification test, if those parameters are acceptable to EPA; otherwise by parameters selected by EPA. The determination must be based on the full charge for the affected industrial process refrigeration equipment. The leak rate determination parameters in the owner's or operator's notice will be considered acceptable unless EPA notifies the owners or operators within 30 days of receipt of the notice. Where EPA does not accept the parameters identified by the owner or operator in its notice, EPA will not provide additional time beyond the additional time permitted in paragraph (i)(3)(v) of this section unless specifically stated in the parameters selected by EPA.
              (5) Owners or operators of comfort cooling appliances normally containing more than 50 pounds of refrigerant and not covered by paragraph (i)(1) or (i)(2) of this section must have leaks repaired in accordance with paragraph (i)(9) of this section if the appliance is leaking at a rate such that the loss of refrigerant will exceed 15 percent of the total charge during a 12-month period, except as described in paragraphs (i)(6), (i)(8) and (i)(10) of this section and paragraphs (i)(5)(i), (i)(5)(ii) and (i)(5)(iii) of this section. Repairs must bring the annual leak rate to below 15 percent.
              (i) If the owners or operators of federally-owned comfort-cooling appliances determine that the leaks cannot be repaired in accordance with paragraph (i)(9) of this section and that an extension in accordance with the requirements discussed in paragraph (i)(5) of this section apply, they must document all repair efforts, and notify EPA of their inability to comply within the 30-day repair requirement, and the reason for the inability must be submitted to EPA in accordance with § 82.166(n). Such notification must be made within 30 days of discovering that leak repair efforts cannot be completed within 30 days.
              (ii) Owners or operators of federally-owned comfort-cooling appliances may have more than 30 days to repair leaks where the refrigeration appliance is located in an area subject to radiological contamination or where the shutting down of the appliance will directly lead to radiological contamination. Only the additional time needed to conduct and complete work in a safe environment will be permitted.
              (iii) Owners or operators of federally-owned comfort-cooling appliances requesting, or who are granted, time extensions under this paragraph must comply with paragraphs (i)(3) and (i)(4) of this section.

              (6) Owners or operators are not required to repair leaks as provided in paragraphs (i)(1), (i)(2), and (i)(5) of this section if, within 30 days of discovering a leak greater than the applicable allowable leak rate, or within 30 days of a failed follow-up verification test, or after making good faith efforts to repair the leaks as described in paragraph (i)(6)(i) of this section, they develop a one-year retrofit or retirement plan for the leaking appliance. Owners or operators who decide to retrofit the appliance must use a refrigerant or substitute with a lower or equivalent ozone-depleting potential than the previous refrigerant and must include such a change in the retrofit plan. Owners or operators who retire and replace the appliance must replace the appliance with an appliance that uses a refrigerant or substitute with a lower or equivalent ozone-depleting potential and must include such a change in the retirement plan. The retrofit or retirement plan (or a legible copy) must be kept at the site of the appliance. The original plan must be made available for EPA inspection upon request. The plan must be dated, and all work performed in accordance with the plan must be completed within one year of the plan's date, except as described in paragraphs (i)(6)(i), (i)(7), and (i)(8) of this section. Owners or operators are temporarily relieved of this obligation if the appliance has undergone system mothballing as defined in § 82.152.
              (i) If the owner or operator has made good faith efforts to repair leaks from the appliance in accordance with paragraphs (i)(1), (i)(2), or (i)(5) of this section and has decided prior to completing a follow-up verification test, to retrofit or retire the appliance in accordance with paragraph (i)(6) of this section, the owner or operator must develop a retrofit or retirement plan within 30 days of the decision to retrofit or retire the appliance. The owner or operator must complete the retrofit or retirement of the appliance within one year and 30 days of when the owner or operator discovered that the leak rate exceeded the applicable allowable leak rate, except as provided in paragraphs (i)(7) and (i)(8) of this section.
              (ii) In all cases, subject to paragraph (i)(6)(i) of this section, the written plan shall be prepared no later than 30 days after the owner or operator has determined to proceed with retrofitting or retiring the appliance. All reports required under § 82.166(o) shall be due at the time specified in the paragraph imposing the specific reporting requirement, or no later than 30 days after the decision to retrofit or retire the appliance, whichever is later.
              (iii) In cases where the owner or operator of industrial process refrigeration equipment has made good faith efforts to retrofit or retire industrial process refrigeration equipment prior to August 8, 1995, and where these efforts are not complete, the owner or operator must develop a retrofit or retirement plan that will complete the retrofit or retirement of the affected appliance by August 8, 1996. This plan (or a legible copy) must be kept at the site of the appliance. The original must be made available for EPA inspection upon request. Where the conditions of paragraphs (i)(7) and (i)(8) of this section apply, and where the length of time necessary to complete the work is beyond August 8, 1996, all records must be submitted to EPA in accordance with § 82.166(o), as well as maintained on-site.
              (7) The owners or operators of industrial process refrigeration equipment will be allowed additional time to complete the retrofit or retirement of industrial process refrigeration equipment if the conditions described in paragraphs (i)(7)(i) or (i)(7)(ii) of this section are met. The owners or operators of industrial process refrigeration equipment will be allowed additional time beyond the additional time provided in paragraph (i)(7)(ii) of this section if the conditions described in paragraph (i)(7)(iii) of this section are met.

              (i) Additional time, to the extent reasonably necessary will be allowed for retrofitting or retiring industrial process refrigeration equipment due to delays occasioned by the requirements of other applicable federal, state, or local laws or regulations, or due to the unavailability of a suitable replacement refrigerant with a lower ozone depletion potential. If these circumstances apply, the owner or operator of the facility must notify EPA within six months after the 30-day period following the discovery of an exceedance of the 35 percent leak rate. Records necessary to allow EPA to determine that these provisions apply and the length of time necessary to complete the work must be submitted to EPA in accordance with § 82.166(o), as well as maintained on-site. EPA will notify the owner or operator of its determination within 60 days of receipt the submittal.
              (ii) An additional one-year period beyond the initial one-year retrofit period is allowed for industrial process refrigeration equipment where the following criteria are met:
              (A) The new or the retrofitted industrial process refrigerant equipment is custom-built;
              (B) The supplier of the appliance or one or more of its critical components has quoted a delivery time of more than 30 weeks from when the order is placed;
              (C) The owner or operator notifies EPA within six months of the expiration of the 30-day period following the discovery of an exceedance of the 35 percent leak rate to identify the owner or operator, describe the appliance involved, explain why more than one year is needed, and demonstrate that the first two criteria are met in accordance with § 82.166(o); and
              (D) The owner or operator maintains records that are adequate to allow a determination that the criteria are met.
              (iii) The owners or operators of industrial process refrigeration equipment may request additional time to complete retrofitting or retiring industrial process refrigeration equipment beyond the additional one-year period if needed and where the initial additional one year was granted in accordance with paragraph (i)(7)(ii) of this section. The request shall be submitted to EPA before the end of the ninth month of the first additional year and shall include revisions of information required under § 82.166(o). Unless EPA objects to this request submitted in accordance with § 82.166(o) within 30 days of receipt, it shall be deemed approved.
              (8) Owners or operators of federally-owned commercial or comfort-cooling appliances will be allowed an additional year to complete the retrofit or retirement of the appliances if the conditions described in paragraph (i)(8)(i) of this section are met, and will be allowed one year beyond the additional year if the conditions in paragraph (i)(8)(ii) of this section are met.
              (i) Up to one additional one-year period beyond the initial one-year retrofit period is allowed for such equipment where the following criteria are met:
              (A) Due to complications presented by the federal agency appropriations and/or procurement process, a delivery time of more than 30 weeks from the beginning of the official procurement process is quoted, or where the appliance is located in an area subject to radiological contamination and creating a safe working environment will require more than 30 weeks;
              (B) The operator notifies EPA within six months of the expiration of the 30-day period following the discovery of an exceedance of the applicable allowable annual leak rate to identify the operator, describe the appliance involved, explain why more than one year is needed, and demonstrate that the first criterion is met in accordance with § 82.166(o); and
              (C) The operator maintains records adequate to allow a determination that the criteria are met.
              (ii) The owners or operators of federally-owned commercial or comfort-cooling appliances may request additional time to complete retrofitting, replacement or retiring such appliances beyond the additional one-year period if needed and where the initial additional one year was granted in accordance with paragraph (i)(8)(i) of this section. The request shall be submitted to EPA before the end of the ninth month of the first additional year and shall include revisions of information earlier submitted as required under § 82.166(o). Unless EPA objects to this request submitted in accordance with § 82.166(o) within 30 days of receipt, it shall be deemed approved.

              (9) Owners or operators must repair leaks pursuant to paragraphs (i)(1), (i)(2) and (i)(5) of this section within 30 days after discovery, or within 30 days after when the leaks should have been discovered if the owners intentionally shielded themselves from information which would have revealed a leak, unless granted additional time pursuant to § 82.156(i).
              (10) The amount of time for owners and operators to complete repairs, retrofit plans or retrofits/replacements/ retirements under paragraphs (i)(1), (i)(2), (i)(5), (i)(6), (i)(7), (i)(8), and (i)(9) of this section is temporarily suspended at the time an appliance is mothballed as defined in § 82.152. The time for owners and operators to complete repairs, retrofit plans, or retrofits/replacements will resume on the day the appliance is brought back on-line and is no longer considered mothballed. All initial and follow-up verification tests must be performed in accordance with paragraphs (i)(3), (i)(3)(i), and (i)(3)(ii) of this section.
              (11) In calculating annual leak rates, purged refrigerant that is destroyed at a verifiable destruction efficiency of 98 percent or greater will not be counted toward the leak rate. Owners or operators destroying purged refrigerants must maintain information as set forth in § 82.166(p)(1) and submit to EPA, within 60 days after the first time such exclusion is used by that facility, information set forth in § 82.166(p)(2).
              (j) Definitions for the leak repair provisions in 82.156(i). These definitions are not applicable to any other portion of subpart F other than 82.156(i). Along with paragraph (i) of this section, the definitions in this section apply only until January 1, 2019.

                Appliance means, for the purposes of paragraph (i) of this section, any device which contains and uses a refrigerant and which is used for household or commercial purposes, including any air conditioner, refrigerator, chiller, or freezer.

                Commercial refrigeration means, for the purposes of paragraph (i) of this section, the refrigeration appliances utilized in the retail food and cold storage warehouse sectors. Retail food includes the refrigeration equipment found in supermarkets, convenience stores, restaurants and other food service establishments. Cold storage includes the equipment used to store meat, produce, dairy products, and other perishable goods. All of the equipment contains large refrigerant charges, typically over 75 pounds.

                Critical component means, for the purposes of paragraph (i) of this section, a component without which industrial process refrigeration equipment will not function, will be unsafe in its intended environment, and/or will be subject to failures that would cause the industrial process served by the refrigeration appliance to be unsafe.

                Custom-built means, for the purposes of paragraph (i) of this section, that the equipment or any of its critical components cannot be purchased and/or installed without being uniquely designed, fabricated and/or assembled to satisfy a specific set of industrial process conditions.

                Follow-up verification test means, for the purposes of paragraph (i) of this section, those tests that involve checking the repairs within 30 days of the appliance's returning to normal operating characteristics and conditions. Follow-up verification tests for appliances from which the refrigerant charge has been evacuated means a test conducted after the appliance or portion of the appliance has resumed operation at normal operating characteristics and conditions of temperature and pressure, except in cases where sound professional judgment dictates that these tests will be more meaningful if performed prior to the return to normal operating characteristics and conditions. A follow-up verification test with respect to repairs conducted without evacuation of the refrigerant charge means a reverification test conducted after the initial verification test and usually within 30 days of normal operating conditions. Where an appliance is not evacuated, it is only necessary to conclude any required changes in pressure, temperature or other conditions to return the appliance to normal operating characteristics and conditions.

                Full charge means, for the purposes of paragraph (i) of this section, the amount of refrigerant required for normal operating characteristics and conditions of the appliance as determined by using one or a combination of the following four methods:

              (i) Use the equipment manufacturer's determination of the correct full charge for the equipment;

              (ii) Determine the full charge by making appropriate calculations based on component sizes, density of refrigerant, volume of piping, and other relevant considerations;
              (iii) Use actual measurements of the amount of refrigerant added or evacuated from the appliance; and/or
              (iv) Use an established range based on the best available data regarding the normal operating characteristics and conditions for the appliance, where the midpoint of the range will serve as the full charge, and where records are maintained in accordance with § 82.166(q).

                Industrial process refrigeration means, for the purposes of paragraph (i) of this section, complex customized appliances used in the chemical, pharmaceutical, petrochemical and manufacturing industries. These appliances are directly linked to the industrial process. This sector also includes industrial ice machines, appliances used directly in the generation of electricity, and ice rinks. Where one appliance is used for both industrial process refrigeration and other applications, it will be considered industrial process refrigeration equipment if 50 percent or more of its operating capacity is used for industrial process refrigeration.

                Industrial process shutdown means, for the purposes of paragraph (i) of this section, that an industrial process or facility temporarily ceases to operate or manufacture whatever is being produced at that facility.

                Initial verification test means, for the purposes of paragraph (i) of this section, those leak tests that are conducted as soon as practicable after the repair is completed. An initial verification test, with regard to the leak repairs that require the evacuation of the appliance or portion of the appliance, means a test conducted prior to the replacement of the full refrigerant charge and before the appliance or portion of the appliance has reached operation at normal operating characteristics and conditions of temperature and pressure. An initial verification test with regard to repairs conducted without the evacuation of the refrigerant charge means a test conducted as soon as practicable after the conclusion of the repair work.

                Leak rate means, for the purposes of paragraph (i) of this section, the rate at which an appliance is losing refrigerant, measured between refrigerant charges. The leak rate is expressed in terms of the percentage of the appliance's full charge that would be lost over a 12-month period if the current rate of loss were to continue over that period. The rate is calculated using only one of the following methods for all appliances located at an operating facility.
              (i) Method 1. (A) Step 1. Take the number of pounds of refrigerant added to the appliance to return it to a full charge and divide it by the number of pounds of refrigerant the appliance normally contains at full charge;
              (B) Step 2. Take the shorter of the number of days that have passed since the last day refrigerant was added or 365 days and divide that number by 365 days;
              (C) Step 3. Take the number calculated in Step 1. and divide it by the number calculated in Step 2.; and
              (D) Step 4. Multiply the number calculated in Step 3. by 100 to calculate a percentage. This method is summarized in the following formula:

                ER18NO16.076

              (ii) Method 2. (A) Step 1. Take the sum of the quantity of refrigerant added to the appliance over the previous 365-day period (or over the period that has passed since leaks in the appliance were last repaired, if that period is less than one year),

              (B) Step 2. Divide the result of Step 1. by the quantity (e.g., pounds) of refrigerant the appliance normally contains at full charge, and
              (C) Step 3. Multiply the result of Step 2. by 100 to obtain a percentage. This method is summarized in the following formula:

                ER18NO16.077

                Normal operating characteristics or conditions means, for the purposes of paragraph (i) of this section, temperatures, pressures, fluid flows, speeds and other characteristics that would normally be expected for a given process load and ambient condition during operation. Normal operating characteristics and conditions are marked by the absence of atypical conditions affecting the operation of the refrigeration appliance.

                Normally containing a quantity of refrigerant means, for the purposes of paragraph (i) of this section, containing the quantity of refrigerant within the appliance or appliance component when the appliance is operating with a full charge of refrigerant.

                Refrigerant means, for the purposes of paragraph (i) of this section, any substance consisting in part or whole of a class I or class II ozone-depleting substance that is used for heat transfer purposes and provides a cooling effect.

                Substitute means, for the purposes of paragraph (i) of this section, any chemical or product, whether existing or new, that is used by any person as an EPA approved replacement for a class I or II ozone-depleting substance in a given refrigeration or air-conditioning end-use.

                Suitable replacement refrigerant means, for the purposes of paragraph (i) of this section, a refrigerant that is acceptable under section 612(c) of the Clean Air Act Amendments of 1990 and all regulations promulgated under that section, compatible with other materials with which it may come into contact, and able to achieve the temperatures required for the affected industrial process in a technically feasible manner.

                System mothballing means, for the purposes of paragraph (i) of this section, the intentional shutting down of a refrigeration appliance undertaken for an extended period of time by the owners or operators of that facility, where the refrigerant has been evacuated from the appliance or the affected isolated section of the appliance, at least to atmospheric pressure.
              [58 FR 28712, May 14, 1993, as amended at 59 FR 42956, 42962, Aug. 19, 1994; 59 FR 55926, Nov. 9, 1994; 60 FR 40440, Aug. 8, 1995; 68 FR 43807, July 24, 2003; 69 FR 11979, Mar. 12, 2004; 70 FR 1991, Jan. 11, 2005; 79 FR 29690, May 23, 2014; 8a FR 82354, Nov. 18, 2016]

              § 82.157
              Appliance maintenance and leak repair.
              (a) Applicability. This section applies as of January 1, 2019. As of April 10, 2020, this section applies only to appliances with a full charge of 50 or more pounds of any class I or class II refrigerant or blend containing a class I or class II refrigerant. Notwithstanding the use of the term refrigerant in this section, the requirements of this section do not apply to appliances containing solely substitute refrigerants. Unless otherwise specified, the requirements of this section apply to the owner or operator of the appliance.
              (b) Leak Rate Calculation. Persons adding or removing refrigerant from an appliance must, upon conclusion of that service, provide the owner or operator with documentation that meets the applicable requirements of paragraph (l)(2) of this section. The owner or operator must calculate the leak rate every time refrigerant is added to an appliance unless the addition is made immediately following a retrofit, installation of a new appliance, or qualifies as a seasonal variance.
              (c) Requirement to Address Leaks through Appliance Repair, or Retrofitting or Retiring an Appliance. (1) Owners or operators must repair appliances with a leak rate over the applicable leak rate in this paragraph in accordance with paragraphs (d) through (f) of this section unless the owner or operator elects to retrofit or retire the appliance in compliance with paragraphs (h) and (i) of this section. If the owner or operator elects to repair leaks, but fails to bring the leak rate below the applicable leak rate, the owner or operator must create and implement a retrofit or retirement plan in accordance with paragraphs (h) and (i) of this section.
              (2) Leak Rates:
              (i) 20 percent leak rate for commercial refrigeration equipment;
              (ii) 30 percent leak rate for industrial process refrigeration equipment; and
              (iii) 10 percent leak rate for comfort cooling appliances or other appliances with a full charge of 50 or more pounds of refrigerant not covered by (c)(2)(i) or (ii) of this section.
              (d) Appliance Repair. Owners or operators must identify and repair leaks in accordance with this paragraph within 30 days (or 120 days if an industrial process shutdown is required) of when refrigerant is added to an appliance exceeding the applicable leak rate in paragraph (c) of this section.
              (1) A certified technician must conduct a leak inspection, as described in paragraph (g) of this section, to identify the location of leaks.
              (2) Leaks must be repaired such that the leak rate is brought below the applicable leak rate. This must be confirmed by the leak rate calculation performed upon the next refrigerant addition. The leaks will be presumed to be repaired if there is no further refrigerant addition for 12 months after the repair or if the leak inspections required under paragraph (g) do not find any leaks in the appliance. Repair of leaks must be documented by both an initial and a follow-up verification test or tests.
              (3) The time frames in paragraphs (d) through(f) of this section are temporarily suspended when an appliance is mothballed. The time will resume on the day additional refrigerant is added to the appliance (or component of an appliance if the leaking component was isolated).
              (e) Verification tests. The owner or operator must conduct both initial and follow-up verification tests on each leak that was repaired under paragraph (d) of this section.
              (1) Initial verification test. Unless granted additional time, an initial verification test must be performed within 30 days (or 120 days if an industrial process shutdown is required) of an appliance exceeding the applicable leak rate in paragraph (c) of this section. An initial verification test must demonstrate that leaks where a repair attempt was made are repaired.
              (i) For repairs that can be completed without the need to open or evacuate the appliance, the test must be performed after the conclusion of the repair work and before any additional refrigerant is added to the appliance.
              (ii) For repairs that require the evacuation of the appliance or portion of the appliance, the test must be performed before adding any refrigerant to the appliance.
              (iii) If the initial verification test indicates that the repairs have not been successful, the owner or operator may conduct as many additional repairs and initial verification tests as needed within the applicable time period.
              (2) Follow-up verification test. A follow-up verification test must be performed within 10 days of the successful initial verification test or 10 days of the appliance reaching normal operating characteristics and conditions (if the appliance or isolated component was evacuated for the repair(s)). Where it is unsafe to be present or otherwise impossible to conduct a follow-up verification test when the system is operating at normal operating characteristics and conditions, the verification test must, where practicable, be conducted prior to the system returning to normal operating characteristics and conditions.

              (i) A follow-up verification test must demonstrate that leaks where a repair attempt was made are repaired. If the follow-up verification test indicates that the repairs have not been successful, the owner or operator may conduct as many additional repairs and verification tests as needed to bring the appliance below the leak rate within the applicable time period and to verify the repairs.
              (f) Extensions to the appliance repair deadlines. Owners or operators are permitted more than 30 days (or 120 days if an industrial process shutdown is required) to comply with paragraphs (d) and (e) of this section if they meet the requirements of (f)(1) through (4) of this section or the appliance is mothballed. The request will be considered approved unless EPA notifies the owners or operators otherwise.
              (1) One or more of the following conditions must apply:
              (i) The appliance is located in an area subject to radiological contamination or shutting down the appliance will directly lead to radiological contamination. Additional time is permitted to the extent needed to conduct and finish repairs in a safe working environment.
              (ii) Requirements of other applicable Federal, state, or local regulations make a repair within 30 days (or 120 days if an industrial process shutdown is required) impossible. Additional time is permitted to the extent needed to comply with the pertinent regulations.
              (iii) Components that must be replaced as part of the repair are not available within 30 days (or 120 days if an industrial process shutdown is required). Additional time is permitted up to 30 days after receiving delivery of the necessary components, not to exceed 180 days (or 270 days if an industrial process shutdown is required) from the date the appliance exceeded the applicable leak rate.
              (2) Repairs to leaks that the technician has identified as significantly contributing to the exceedance of the leak rate and that do not require additional time must be completed and verified within the initial 30 day repair period (or 120 day repair period if an industrial process shutdown is required);
              (3) The owner or operator must document all repair efforts and the reason for the inability to make the repair within the initial 30 day repair period (or 120 day repair period if an industrial process shutdown is required); and
              (4) The owner or operator must request an extension from EPA at the address specified in paragraph (m) of this section within 30 days (or 120 days if an industrial process shutdown is required) of the appliance exceeding the applicable leak rate in paragraph (c) of this section. Extension requests must include: Identification and address of the facility; the name of the owner or operator of the appliance; the leak rate; the method used to determine the leak rate and full charge; the date the appliance exceeded the applicable leak rate; the location of leak(s) to the extent determined to date; any repair work that has been performed thus far, including the date that work was completed; the reasons why more than 30 days (or 120 days if an industrial process shutdown is required) are needed to complete the repair; and an estimate of when the work will be completed. If the estimated completion date is to be extended, a new estimated date of completion and documentation of the reason for that change must be submitted to EPA within 30 days of identifying that the completion date must be extended. The owner or operator must keep a dated copy of this submission.
              (g) Leak Inspections. (1) The owner or operator must conduct a leak inspection in accordance with the following schedule on any appliance exceeding the applicable leak rate in paragraph (c)(2) of this section.
              (i) For commercial refrigeration and industrial process refrigeration appliances with a full charge of 500 or more pounds, leak inspections must be conducted once every three months until the owner or operator can demonstrate through the leak rate calculations required under paragraph (b) of this section that the appliance has not leaked in excess of the applicable leak rate for four quarters in a row.

              (ii) For commercial refrigeration and industrial process refrigeration appliances with a full charge of 50 or more pounds but less than 500 pounds, leak inspections must be conducted once per calendar year until the owner or operator can demonstrate through the leak rate calculations required under paragraph (b) of this section that the appliance has not leaked in excess of the applicable leak rate for one year.
              (iii) For comfort cooling appliances and other appliances not covered by paragraphs (g)(1)(i) and (ii) of this section, leak inspections must be conducted once per calendar year until the owner or operator can demonstrate through the leak rate calculations required under paragraph (b) of this section that the appliance has not leaked in excess of the applicable leak rate for one year.
              (2) Leak inspections must be conducted by a certified technician using method(s) determined by the technician to be appropriate for that appliance.
              (3) All visible and accessible components of an appliance must be inspected, with the following exceptions:
              (i) Where components are insulated, under ice that forms on the outside of equipment, underground, behind walls, or are otherwise inaccessible;
              (ii) Where personnel must be elevated more than two meters above a support surface; or
              (iii) Where components are unsafe to inspect, as determined by site personnel.
              (4) Quarterly or annual leak inspections are not required on appliances, or portions of appliances, continuously monitored by an automatic leak detection system that is audited or calibrated annually. An automatic leak detection system may directly detect refrigerant in air, monitor its surrounding in a manner other than detecting refrigerant concentrations in air, or monitor conditions of the appliance.
              (i) For systems that directly detect the presence of a refrigerant in air, the system must:
              (A) Only be used to monitor components located inside an enclosed building or structure;
              (B) Have sensors or intakes placed so that they will continuously monitor the refrigerant concentrations in air in proximity to the compressor, evaporator, condenser, and other areas with a high potential for a refrigerant leak;
              (C) Accurately detect a concentration level of 10 parts per million of vapor of the specific refrigerant or refrigerants used in the refrigeration appliance(s); and
              (D) Alert the owner or operator when a refrigerant concentration of 100 parts per million of vapor of the specific refrigerant or refrigerants used in the refrigeration appliance(s) is reached.
              (ii) For a system that monitors its surrounding in a manner other than detecting refrigerant concentrations in air or monitor conditions of the appliance, the system must automatically alert the owner or operator when measurements indicate a loss of 50 pounds of refrigerant or 10 percent of the full charge, whichever is less.
              (iii) When automatic leak detection equipment is only being used to monitor portions of an appliance, the remainder of the appliance continues to be subject to any applicable leak inspection requirements.
              (h) Retrofit or retirement plans. (1) The owner or operator must create a retrofit or retirement plan within 30 days of:
              (i) an appliance leaking above the applicable leak rate in paragraph (c) of this section if the owner or operator intends to retrofit or retire rather than repair the leak;
              (ii) an appliance leaking above the applicable leak rate in paragraph (c) of this section if the owner or operator fails to take any action to identify or repair the leak; or
              (iii) an appliance continues to leak above the applicable leak rate after having conducted the required repairs and verification tests under paragraphs (d) and (e) of this section.
              (2) A retrofit or retirement plan must, at a minimum, contain the following information:
              (i) Identification and location of the appliance;
              (ii) Type and full charge of the refrigerant used in the appliance;
              (iii) Type and full charge of the refrigerant to which the appliance will be converted, if retrofitted;
              (iv) Itemized procedure for converting the appliance to a different refrigerant, including changes required for compatibility with the new substitute, if retrofitted;

              (v) Plan for the disposition of recovered refrigerant;

              (vi) Plan for the disposition of the appliance, if retired; and
              (vii) A schedule, not to exceed one-year, for completion of the appliance retrofit or retirement.
              (3) The retrofit or retirement plan must be signed by an authorized company official, dated, accessible at the site of the appliance in paper copy or electronic format, and available for EPA inspection upon request.
              (4) All identified leaks must be repaired as part of any retrofit under such a plan.
              (5)(i) Unless granted additional time, all work performed in accordance with the plan must be finished within one year of the plan's date (not to exceed 13 months from when the plan was required in paragraph (h)(1) of this section).
              (ii) The owner or operator may request that EPA relieve it of the obligation to retrofit or retire an appliance if the owner or operator can establish within 180 days of the plan's date that the appliance no longer exceeds the applicable leak rate and if the owner or operator agrees in writing to repair all identified leaks within one year of the plan's date consistent with paragraph (h)(4) and (h)(5)(i) of this section. The owner or operator must submit to EPA the retrofit or retirement plan as well as the following information: The date that the requirement to develop a retrofit or retirement plan was triggered; the leak rate; the method used to determine the leak rate and full charge; the location of the leak(s) identified in the leak inspection; a description of repair work that has been completed; a description of repair work that has not been completed; a description of why the repair was not conducted within the time frames required under paragraphs (d) and (f) of this section; and a statement signed by an authorized official that all identified leaks will be repaired and an estimate of when those repairs will be completed (not to exceed one year from date of the plan). The request will be considered approved unless EPA notifies the owners or operators within 60 days of receipt of the request that it is not approved.
              (i) Extensions to the one-year retrofit or retirement schedule. Owners or operators may request more than one year to comply with paragraph (h) of this section if they meet the requirements of this paragraph. The request will be considered approved unless EPA notifies the owners or operators within 60 days of receipt of the request that it is not approved. The request must be submitted to EPA at the address specified in § 82.157(m) within seven months of discovering the appliance exceeded the applicable leak rate. The request must include the identification of the appliance; name of the owner or operator; the leak rate; the method used to determine the leak rate and full charge; the date the appliance exceeded the applicable leak rate; the location of leaks(s) to the extent determined to date; any repair work that has been finished thus far, including the date that work was finished; a plan to finish the retrofit or retirement of the appliance; the reasons why more than one year is necessary to retrofit or retire the appliance; the date of notification to EPA; and an estimate of when retrofit or retirement work will be finished. A dated copy of the request must be available on-site in either electronic or paper copy. If the estimated completion date is to be revised, a new estimated date of completion and documentation of the reason for that change must be submitted to EPA at the address specified in § 82.157(m) within 30 days. Additionally, the time frames in paragraphs (h) and (i) of this section are temporarily suspended when an appliance is mothballed. The time will resume running on the day additional refrigerant is added to the appliance (or component of an appliance if the leaking component was isolated).
              (1) Extensions available to any appliance. Owners or operators of commercial refrigeration, industrial process refrigeration, comfort-cooling, or other equipment are automatically allowed 18 months to retire an appliance if the replacement appliance uses a substitute refrigerant exempted under § 82.154(a).
              (2) Extensions available to industrial process refrigeration. Owners or operators of industrial process refrigeration equipment may request additional time beyond the one-year period in paragraph (h) of this section to finish the retrofit or retirement under the following circumstances.
              (i) Requirements of other applicable Federal, state, or local regulations make a retrofit or retirement within one year impossible. Additional time is permitted to the extent needed to comply with the pertinent regulations;
              (ii) The new or the retrofitted equipment is custom-built as defined in this subpart and the supplier of the appliance or one of its components has quoted a delivery time of more than 30 weeks from when the order is placed. The appliance or appliance components must be installed within 120 days after receiving delivery of the necessary parts; or
              (iii) After receiving an extension under paragraph (i)(2)(ii) of this section, owners or operators may request additional time if necessary to finish the retrofit or retirement of equipment. The request must be submitted to EPA before the end of the ninth month of the initial extension and must include the same information submitted for that extension, with any necessary revisions. A dated copy of the request must be available on-site in either electronic or paper copy. The request will be considered approved unless EPA notifies the owners or operators within 60 days of receipt of the request that it is not approved.
              (3) Extensions available to Federally owned equipment. Owners or operators of federally owned commercial or comfort-cooling equipment may request an additional year beyond the one-year period in paragraph (h) of this section to finish the retrofit or retirement under the following circumstances:
              (i) A delivery time of more than 30 weeks from the beginning of the official procurement process is quoted due to complications presented by the Federal agency appropriations and/or procurement process;
              (ii) The appliance is located in an area subject to radiological contamination and creating a safe working environment will require more than 30 weeks; or
              (iii) After receiving a one-year extension under paragraphs (i)(3)(i) or (ii) of this section, additional time may be requested if necessary to finish the retrofit or retirement of equipment. The request must be submitted to EPA before the end of the ninth month of the one-year extension and must include the same information submitted for that one-year extension, with any necessary revisions. A dated copy of the request must be available on-site in either electronic or paper copy. The request will be considered approved unless EPA notifies the owners or operators within 60 days of receipt of the request that it is not approved.
              (j) Chronically leaking appliances. Owners or operators of appliances containing 50 pounds or more of refrigerant that leak 125 percent or more of the full charge in a calendar year must submit a report to EPA at the address in paragraph (m) of this section. This report must be submitted by March 1 of the subsequent year and describe efforts to identify leaks and repair the appliance.
              (k) Purged refrigerant. In calculating annual leak rates, purged refrigerant that is destroyed at a verifiable destruction efficiency of 98 percent or greater will not be counted toward the leak rate.
              (l) Recordkeeping. All records identified in this paragraph must be kept for at least three years in electronic or paper format, unless otherwise specified.
              (1) Owners or operators must determine the full charge of all appliances with 50 or more pounds of refrigerant and maintain the following information for each appliance until three years after the appliance is retired:
              (i) The identification of the owner or operator of the appliance;
              (ii) The address where the appliance is located;
              (iii) The full charge of the appliance and the method for how the full charge was determined;
              (iv) If using method 4 (using an established range) for determining full charge, records must include the range for the full charge of the appliance, its midpoint, and how the range was determined;
              (v) Any revisions of the full charge, how they were determined, and the dates such revisions occurred.

              (2) Owners or operators must maintain a record including the following information for each time an appliance with a full charge of 50 or more pounds is maintained, serviced, repaired, or disposed of, when applicable. If the maintenance, service, repair, or disposal is done by someone other than the owner or operator, that person must provide a record containing the following information, with the exception of (l)(2)(vii) and (viii) of this section, to the owner or operator:
              (i) The identity and location of the appliance;
              (ii) The date of the maintenance, service, repair, or disposal performed;
              (iii) The part(s) of the appliance being maintained, serviced, repaired, or disposed;
              (iv) The type of maintenance, service, repair, or disposal performed for each part;
              (v) The name of the person performing the maintenance, service, repair, or disposal;
              (vi) The amount and type of refrigerant added to, or in the case of disposal removed from, the appliance;
              (vii) The full charge of the appliance; and
              (viii) The leak rate and the method used to determine the leak rate (not applicable when disposing of the appliance, following a retrofit, installing a new appliance, or if the refrigerant addition qualifies as a seasonal variance).
              (3) Owners or operators must keep records of leak inspections that include the date of inspection, the method(s) used to conduct the leak inspection, a list of the location of each leak that was identified, and a certification that all visible and accessible parts of the appliance were inspected. Technicians conducting leak inspections must, upon conclusion of that service, provide the owner or operator of the appliance with documentation that meets these requirements.
              (4) If using an automatic leak detection system, the owner or operator must maintain records regarding the installation and the annual audit and calibration of the system, a record of each date the monitoring system identified a leak, and the location of the leak.
              (5) Owners or operators must maintain records of the dates and results of all initial and follow-up verification tests. Records must include the location of the appliance, the date(s) of the verification tests, the location(s) of all repaired leaks that were tested, the type(s) of verification test(s) used, and the results of those tests. Technicians conducting initial or follow-up verification tests must, upon conclusion of that service, provide the owner or operator of the appliance with documentation that meets these requirements.
              (6) Owners or operators must maintain retrofit or retirement plans developed in accordance with paragraph (h) of this section.
              (7) Owners or operators must maintain retrofit and/or extension requests submitted to EPA in accordance with paragraph (i) of this section.
              (8) Owners or operators that suspend the deadlines in this section by mothballing an appliance must keep records documenting when the appliance was mothballed and when additional refrigerant was added to the appliance (or isolated component).
              (9) Owners or operators who exclude purged refrigerants that are destroyed from annual leak rate calculations must maintain records to support the amount of refrigerant claimed as sent for destruction. Records must be based on a monitoring strategy that provides reliable data to demonstrate that the amount of refrigerant claimed to have been destroyed is not greater than the amount of refrigerant actually purged and destroyed and that the 98 percent or greater destruction efficiency is met. Records must include flow rate, quantity or concentration of the refrigerant in the vent stream, and periods of purge flow. Records must include:
              (i) The identification of the facility and a contact person, including the address and telephone number;
              (ii) A description of the appliance, focusing on aspects relevant to the purging of refrigerant and subsequent destruction;
              (iii) A description of the methods used to determine the quantity of refrigerant sent for destruction and type of records that are being kept by the owners or operators where the appliance is located;

              (iv) The frequency of monitoring and data-recording; and

              (v) A description of the control device, and its destruction efficiency.
              (10) Owners or operators that exclude additions of refrigerant due to seasonal variance from their leak rate calculation must maintain records stating that they are using the seasonal variance flexibility and documenting the amount added and removed under § 82.157(l)(2).
              (11) Owners or operators that submit reports to EPA in accordance with paragraph (m) of this section must maintain copies of the submitted reports and any responses from EPA.
              (m) Reporting. All notifications must be submitted electronically to 608reports@epa.gov unless the notification contains confidential business information. If the notification contains confidential business information, the information should be submitted to: Section 608 Program Manager; Stratospheric Protection Division; Mail Code: 6205T; U.S. Environmental Protection Agency; 1200 Pennsylvania Avenue NW., Washington, DC 20460.
              (1) Owners or operators must notify EPA at this address in accordance with paragraph (f) of this section when seeking an extension of time to complete repairs.
              (2) Owners or operators must notify EPA at this address in accordance with paragraph (h)(5)(ii) of this section when seeking relief from the obligation to retrofit or retire an appliance.
              (3) Owners or operators must notify EPA at this address in accordance with paragraph (i) of this section when seeking an extension of time to complete the retrofit or retirement of an appliance.
              (4) Owners or operators must notify EPA at this address in accordance with paragraph (j) of this section for any appliance that leaks 125 percent or more of the full charge in a calendar year.
              (5) When excluding purged refrigerants that are destroyed from annual leak rate calculations, owners or operators must notify EPA at this address within 60 days after the first time the exclusion is used by the facility where the appliance is located. The report must include the information included in paragraph (l)(9) of this section.
              [81 FR 82356, Nov. 18, 2016, as amended at 85 FR 14171, Apr. 10, 2020]

              § 82.158
              Standards for recovery and/or recycling equipment.
              Starting January 1, 2017, this section applies to recovery and/or recycling equipment for use during the maintenance, service, repair, or disposal of appliances containing any class I or class II refrigerant or any non-exempt substitute refrigerant.
              (a) No person may manufacture or import recovery and/or recycling equipment for use during the maintenance, service, repair, or disposal of appliances unless the equipment is certified in accordance with this section.
              (b) No person may alter the design of certified refrigerant recovery and/or recycling equipment in a way that would affect the equipment's ability to meet the certification standards in this section without resubmitting the altered design for certification testing. Until it is tested and shown to meet the certification standards in this section, equipment so altered will be considered uncertified.
              (c) Recovery and/or recycling equipment manufactured or imported before November 15, 1993, intended for use during the maintenance, service, repair, or disposal of appliances (except small appliances, MVACs, and MVAC-like appliances) will be considered certified if it is capable of achieving the level of evacuation specified in Table 2 of this section when tested using a properly calibrated pressure gauge.
              (d) Manufacturers and importers of recovery and/or recycling equipment must have such equipment certified by an approved equipment testing organization as follows:

              (1) Recovery and/or recycling equipment manufactured or imported on or after November 15, 1993, and before September 22, 2003, intended for use during the maintenance, service, repair, or disposal of appliances (except small appliances, MVACs, and MVAC-like appliances) must be certified by an approved equipment testing organization as being capable of achieving the level of evacuation specified in Table 2 of this section under the conditions of appendix B1 of this subpart (based upon the ARI Standard 740-1993, Performance of Refrigerant Recovery, Recycling and/or Reclaim Equipment).

              (2) Recovery and/or recycling equipment manufactured or imported on or after September 22, 2003, and before January 1, 2017, intended for use during the maintenance, service, repair, or disposal of appliances (except small appliances, MVACs, and MVAC-like appliances) must be certified by an approved equipment testing organization as being capable of achieving the level of evacuation specified in Table 2 of this section under the conditions of appendix B2 of this subpart (based upon the ARI Standard 740-1995, Performance of Refrigerant Recovery, Recycling and/or Reclaim Equipment).
              (3) Recovery and/or recycling equipment manufactured or imported on or after January 1, 2017, intended for use during the maintenance, service, repair, or disposal of appliances (except small appliances, MVACs, and MVAC-like appliances) must be certified by an approved equipment testing organization as being capable of achieving the level of evacuation specified in Table 2 of this section under the conditions of appendix B3 (for non-flammable refrigerants) based upon AHRI Standard 740-2016 or appendix B4 (for flammable refrigerants) of this subpart.

                Table 2—Levels of Evacuation Which Must Be Achieved by Recovery and/or Recycling Equipment
                [Except for small appliances, MVACs, and MVAC-like appliances.]

                  Type of appliance with which recovery and/or recycling machine is intended to be used
                  Inches of Hg vacuum(relative to standard atmospheric pressure of 29.9 inches Hg)

                  Manufactured orimported before
                    November 15, 1993

                  Manufactured orimported on or after
                    November 15, 1993

                  HCFC-22 appliances, or isolated component of such appliances, with a full charge of less than 200 pounds of refrigerant
                  0
                  0.

                  HCFC-22 appliances, or isolated component of such appliances, with a full charge of 200 pounds or more of refrigerant
                  4
                  10.

                  Very high-pressure appliances
                  0
                  0.

                  Other high-pressure appliances, or isolated component of such appliances, with a full charge of less than 200 pounds of refrigerant
                  4
                  10.

                  Other high-pressure appliances, or isolated component of such appliances, with a full charge of 200 pounds or more of refrigerant
                  4
                  15.

                  Medium-pressure appliances, or isolated component of such appliances, with a full charge of less than 200 pounds of refrigerant
                  4
                  10.

                  Medium-pressure appliances, or isolated component of such appliances, with a full charge of 200 pounds or more of refrigerant
                  4
                  15.

                  Low-pressure appliances
                  25 mm Hg absolute
                  25 mm Hg absolute.

              (4) Recovery and/or recycling equipment whose recovery efficiency cannot be tested according to the procedures in appendix B1, B2, B3, or B4 of this subpart as applicable may be certified if an approved third-party testing organization adopts and performs a test that demonstrates, to the satisfaction of the Administrator, that the recovery efficiency of that equipment is equal to or better than that of equipment that:
              (i) Is intended for use with the same type of appliance; and
              (ii) Achieves the level of evacuation in Table 2. The manufacturer's instructions must specify how to achieve the required recovery efficiency, and the equipment must be tested when used according to these instructions.
              (5) The equipment must meet the minimum requirements for certification under appendix B1, B2, B3, or B4 of this subpart as applicable.

              (6) If the equipment is equipped with a noncondensables purge device, the equipment must not release more than 3 percent of the quantity of refrigerant being recycled through noncondensables purging under the conditions of appendix B1, B2, B3, or B4 of this subpart as applicable.

              (7) The equipment must be equipped with low-loss fittings on all hoses.
              (8) The equipment must have its liquid recovery rate and its vapor recovery rate measured under the conditions of appendix B1, B2, B3, or B4 as applicable, unless the equipment has no inherent liquid or vapor recovery rate.
              (e) Small Appliances. Equipment used during the maintenance, service, repair, or disposal of small appliances must be certified by an approved equipment testing organization to be capable of recovering 90 percent of the refrigerant in the test stand when the compressor of the test stand is operational and 80 percent of the refrigerant when the compressor of the test stand is not operational, when used in accordance with the manufacturer's instructions under the conditions of appendix C, Method for Testing Recovery Devices for Use with Small Appliances.
              (1) Equipment manufactured or imported before November 15, 1993, will be considered certified if it is capable of either recovering 80 percent of the refrigerant in the system, whether or not the compressor of the test stand is operational, or achieving a four-inch vacuum when tested using a properly calibrated pressure gauge.
              (2) Equipment manufactured or imported on or after November 15, 1993, may also be certified if it is capable of achieving a four-inch vacuum under the conditions of appendix B1 of this subpart, based upon ARI Standard 740-1993.
              (3) Equipment manufactured or imported on or after September 22, 2003, and before January 1, 2017, may also be certified if it is capable of achieving a four-inch vacuum under the conditions of appendix B2 of this subpart, based upon ARI Standard 740-1995.

              (4) Equipment manufactured or imported on or after January 1, 2017, may also be certified if it is capable of achieving a four-inch vacuum under the conditions of appendix B3 of this subpart (for non-flammable refrigerants), based upon AHRI Standard 740-2016 or appendix B4 of this subpart (for flammable refrigerants), based upon both AHRI Standard 740-2016 and UL 1963, Supplement SB, Requirements for Refrigerant Recovery/Recycling Equipment Intended for Use with a Flammable Refrigerant, Fourth Edition, June 1, 2011.
              (5) Equipment used to evacuate any class I or class II refrigerant or any non-exempt substitute refrigerant from small appliances before they are disposed of may also be certified if it is capable of achieving a four-inch vacuum when tested using a properly calibrated pressure gauge.
              (f) MVAC-like appliances. (1) Manufacturers and importers of recovery and/or recycling equipment intended for use during the maintenance, service, repair, or disposal of MVAC-like appliances must certify such equipment in accordance with subpart B of this part.
              (2) Equipment manufactured or imported before November 15, 1993, intended for use during the maintenance, service, or repair of MVAC-like appliances must be capable of reducing the system pressure to 102 mm of mercury vacuum under the conditions of appendix A of subpart B of this part.
              (g) MVACs. Manufacturers and importers of recovery and/or recycling equipment intended for use during the maintenance, service, repair, or disposal of MVACs must certify such equipment in accordance with subpart B of this part.
              (h) Labeling. (1) Manufacturers and importers of equipment certified under paragraphs (d) and (e) of this section must place a label on each piece of equipment stating the following:

              THIS EQUIPMENT HAS BEEN CERTIFIED BY [APPROVED EQUIPMENT TESTING ORGANIZATION] TO MEET EPA's MINIMUM REQUIREMENTS FOR RECYCLING OR RECOVERY EQUIPMENT INTENDED FOR USE WITH [APPROPRIATE CATEGORY OF APPLIANCE].

              (2) The label must also show the date of manufacture and the serial number (if applicable) of the equipment. The label must be affixed in a readily visible or accessible location, be made of a material expected to last the lifetime of the equipment, present required information in a way that it is likely to remain legible for the lifetime of the equipment, and be affixed in such a way that it cannot be removed from the equipment without damage to the label.

              (i) Retesting. At least once every three years, manufacturers or importers of certified recovery and/or recycling equipment intended for use during the maintenance, service, or repair of appliances (except MVACs or MVAC-like appliances) or during the disposal of appliances (except small appliances, MVACs, and MVAC-like appliances) must have approved equipment testing organizations conduct either:
              (1) Retests of certified recovery and/or recycling equipment in accordance with paragraphs (d) and (e) of this section; or
              (2) Inspections of recovery and/or recycling equipment at manufacturing facilities to ensure that each equipment model line that has been certified under this section continues to meet the certification criteria.
              (j) Revocation. An equipment model line that has been certified under this section may have its certification revoked if it is subsequently determined to fail to meet the certification criteria. In such cases, the Administrator must give notice to the manufacturer or importer setting forth the basis for the determination.
              (k) Equipment that is advertised or marketed as “recycling equipment” must be capable of recycling the standard contaminated refrigerant sample of appendix B2, B3, or B4 of this subpart (as applicable) to the levels in the following table when tested under the conditions of appendix B2, B3 or B4 of this subpart:

                Maximum Levels of Contaminants Permissible in Refrigerant Processed Through Equipment Advertised as “Recycling” Equipment

                  Contaminants
                  Low-pressure (R-11, R-123, R-113) systems
                  R-12 systems
                  All other systems

                  Acid Content (by wt.)
                  1.0 PPM
                  1.0 PPM
                  1.0 PPM.

                  Moisture (by wt.)
                  20 PPM
                  10 PPM
                  20 PPM.

                  Noncondensable Gas (by vol.)
                  N/A
                  2.0%
                  2.0%.

                  High Boiling Residues (by vol.)
                  1.0%
                  0.02%
                  0.02%.

                  Chlorides by Silver Nitrate Test
                  No turbidity
                  No turbidity
                  No turbidity.

                  Particulates
                  Visually clean
                  Visually clean
                  Visually clean.

              [81 FR 82360, Nov. 18, 2016]

              § 82.160
              Approved equipment testing organizations.

              (a) Any equipment testing organization may apply for approval by the Administrator to certify equipment under the standards in § 82.158 and appendices B2, B3, B4, or C of this subpart. Applications must be sent to 608reports@epa.gov, or if containing confidential business information, mailed to: Section 608 Program Manager, Stratospheric Protection Division, Mail Code: 6205T, U.S. Environmental Protection Agency, 1200 Pennsylvania Avenue NW., Washington, DC 20460.
              (b) Applications for approval must include:
              (1) A list of equipment present at the organization that will be used for equipment testing.
              (2) Verification of the organization's expertise in equipment testing and the technical experience of the organization's personnel.
              (3) Verification of the organization's knowledge of the standards and recordkeeping and reporting requirements of this subpart.
              (4) A description of the organization's program for verifying the performance of certified recovery and/or recycling equipment manufactured over the long term, specifying whether retests of equipment or inspections of equipment at manufacturing facilities will be used.
              (5) Verification that the organization has no conflict of interest and receives no direct or indirect financial benefit from the outcome of certification testing.

              (6) Agreement to allow the Administrator access to records and personnel to verify the information contained in the application.

              (c) Organizations may not certify equipment before receiving approval from EPA. If approval is denied under this section, the Administrator must give written notice to the organization setting forth the basis for the determination.
              (d) If an approved testing organization conducts certification tests in a way not consistent with the representations made in its application or with the provisions of this subpart, the Administrator may revoke approval in accordance with § 82.169. In such cases, the Administrator must give notice to the organization setting forth the basis for the determination.
              (e) Recordkeeping and reporting. (1) Approved equipment testing organizations must maintain records of equipment testing and performance and a list of equipment that meets EPA requirements. This list must include the name of the manufacturer and the name and/or serial number of the model line. Approved equipment testing organizations must publish online a list of all certified equipment that includes the information specified above and update the list annually.

              (2) Approved equipment testing organizations must notify EPA at 608reports@epa.gov if retests of equipment or inspections of manufacturing facilities conducted under to § 82.158(i) show that a previously certified model line fails to meet EPA requirements. Such notification must be received within thirty days of the retest or inspection.
              (3) All records must be maintained for three years after the equipment is no longer offered for sale. Online lists must contain certified equipment until three years after that equipment is no longer offered for sale.
              [81 FR 82362, Nov. 18, 2016]

              § 82.161
              Technician certification.
              Until January 1, 2018, this section applies only to technicians and organizations certifying technicians that maintain, service, or repair appliances containing class I or class II refrigerants. Starting on January 1, 2018, this section applies to technicians and organizations certifying technicians that maintain, service, or repair appliances containing any class I or class II refrigerant or any non-exempt substitute refrigerant.
              (a) Certification Requirements. (1) Any person who could be reasonably expected to violate the integrity of the refrigerant circuit during the maintenance, service, repair, or disposal of appliances (as follows in this paragraph) containing a class I or class II refrigerant or a non-exempt substitute refrigerant must pass a certification exam offered by an approved technician certification program.
              (i) Persons who maintain, service, or repair small appliances must be certified as Type I technicians.
              (ii) Persons who maintain, service, repair, or dispose of medium-, high-, or very high-pressure appliances (except small appliances, MVACs, and MVAC-like appliances) must be certified as Type II technicians.
              (iii) Persons who maintain, service, repair, or dispose of low-pressure appliances must be certified as Type III technicians.
              (iv) Persons who maintain, service, repair, or dispose of all appliances described in paragraph (a)(1)(i) through (iii) of this section must be certified as Universal technicians.
              (v) Technicians who maintain, service, or repair MVAC-like appliances must either be certified as Type II technicians or be certified in accordance with 40 CFR part 82, subpart B.
              (vi) Persons who maintain, service, or repair MVAC appliances for consideration must be certified in accordance with 40 CFR part 82, subpart B.
              (vii) Persons who dispose of small appliances, MVACs, and MVAC-like appliances are not required to be certified.

              (2) Apprentices are exempt from the requirement in paragraph (a)(1) of this section provided the apprentice is closely and continually supervised by a certified technician while performing any maintenance, service, repair, or disposal that could reasonably be expected to release refrigerant from an appliance into the environment, except those substitute refrigerants exempted under paragraph (a)(1) of this section. The supervising certified technician and the apprentice have the responsibility to ensure that the apprentice complies with this subpart.

              (3) The Administrator may require technicians to demonstrate at their place of business their ability to perform proper procedures for recovering and/or recycling refrigerant, except those substitute refrigerants exempted under paragraph (a)(1) of this section. Failure to demonstrate or failure to properly use the equipment may result in revocation or suspension of the certificate. Failure to abide by any of the provisions of this subpart may also result in revocation or suspension of the certificate. If a technician's certificate is revoked, the technician would need to recertify before maintaining, servicing, repairing, or disposing of any appliances.
              (4) (i) Technicians certified under this section must keep a copy of their certificate at their place of business.
              (ii) Technicians must maintain a copy of their certificate until three years after no longer operating as a technician.
              (5) Recertification. The Administrator reserves the right to specify a requirement for technician recertification at some future date, if necessary, by placing a notice in the Federal Register.
              (b) Requirements for Technician Certification Programs. (1) No technician training or testing program may issue certificates under this section unless the program complies with all the standards of this section and appendix D, and has been granted approval by the Administrator.
              (2) Program Approval. Persons may seek approval of any technician certification program (program), in accordance with this paragraph, by submitting to the Administrator at the address in § 82.160(a) verification that the program meets all the standards listed in appendix D of this subpart. The Administrator reserves the right to consider other relevant factors to ensure the effectiveness of certification programs. If approval is denied under this section, the Administrator must give written notice to the program setting forth the basis for the determination.
              (3) Alternative Examinations. Programs are encouraged to make provisions for non-English speaking technicians by providing tests in other languages or allowing the use of a translator when taking the test. A test may be administered orally to any person who makes this request, in writing, to the program at least 30 days before the scheduled date for the examination. The written request must explain why the request is being made.
              (4) Proof of Certification. Programs certifying technicians must provide technicians with identification cards in accordance with section (f) of appendix D of this subpart.
              (5) Programs certifying technicians must maintain records in accordance with section (g) of appendix D of this subpart.
              (6) Starting January 1, 2018, programs certifying technicians, excluding Federally-run programs, must publish online a list of all technicians they have certified on or after January 1, 2017. Certifying organizations must update these lists at least annually.
              (i) The list must include the first name, middle initial, and last name of the certified technician, the technician's city of residence when taking the test, the type(s) of certification received, and the date each certification was received.
              (ii) Programs certifying technicians must provide notice to technicians that such information will be published online in compliance with any other Federal, state or local regulations, and allow technicians to opt out of being included in such lists.
              (7) If an approved program violates any of the above requirements, the Administrator may revoke approval in accordance with § 82.169. In such cases, the Administrator must give notice to the organization setting forth the basis for the determination.
              (c) Test Subject Material. A bank of test questions developed by the Administrator consists of groups, including a core group and technical groups. The Administrator will release this bank of questions only to approved technician certification programs. Each test for each type of certification must include at least 25 questions drawn from the core group and at least 25 questions drawn from each relevant technical group. These questions must address the subject areas in appendix D of this subpart.
              [81 FR 82363, Nov. 18, 2016]

              § 82.162
              [Reserved]

              § 82.164
              Reclaimer certification.
              (a) All persons reclaiming used class I or II refrigerant or non-exempt substitute refrigerant for sale to a new owner must meet the following requirements:

              (1) Reclaim such refrigerant to all the specifications in appendix A of this subpart (based on AHRI Standard 700-2016, Specifications for Refrigerants) that are applicable to that refrigerant;
              (2) Verify that each batch of such refrigerant reclaimed meets these specifications using the analytical methodology prescribed in appendix A of this subpart, which includes the primary methodologies included in appendix A of AHRI Standard 700-2016;
              (3) Release no more than 1.5 percent of the refrigerant during the reclamation process;
              (4) Dispose of wastes from the reclamation process in accordance with all applicable laws and regulations; and
              (5) Maintain records and submit reports in accordance with paragraph (d) of this section.
              (b) The owner or a responsible officer reclaiming used refrigerant for sale to a new owner, except for persons who properly certified under this section before May 11, 2004, must certify to the Administrator at the address in § 82.160(a) that they will meet the requirements in paragraph (a) of this section. The certification must include the name and address of the reclaimer and a list of equipment used to reclaim the refrigerant to the required standard, and to analyze the refrigerant to ensure it meets these specifications.
              (c) Certificates are not transferable. In the event of a change in ownership of an entity which reclaims refrigerant, the new owner of the entity must certify with the Administrator within 30 days of the change that they will meet the reclaimer certification requirements. In the event of a change in business management, location, or contact information, the owner of the entity must notify EPA within 30 days of the change at the address in § 82.160(a).
              (d) Recordkeeping and reporting. (1) Reclaimers must maintain records, by batch, of the results of the analysis conducted to verify that reclaimed refrigerant meets the necessary specifications in paragraph (a)(2) of this section.
              (2) Reclaimers must maintain records of the names and addresses of persons sending them material for reclamation and the quantity of the material (the combined mass of refrigerant and contaminants) by refrigerant type sent to them for reclamation. Such records must be maintained on a transactional basis for three years.
              (3) Reclaimers must report to the Administrator annually by February 1 of the next calendar year the total annual quantity of material (the combined mass of refrigerant and contaminants) by refrigerant type sent to them for reclamation, the total annual mass of each refrigerant reclaimed, and the total annual mass of waste products.
              (e) Failure to abide by any of the provisions of this subpart may result in revocation or suspension of the certification of the reclaimer in accordance with § 82.169. In such cases, the Administrator must give notice to the organization setting forth the basis for the determination.
              [81 FR 82364, Nov. 18, 2016]

              § 82.166
              Reporting and recordkeeping requirements for leak repair.
              This section contains leak repair reporting and recordkeeping requirements that apply to owners and operators of appliances containing 50 or more pounds of class I or class II refrigerants until January 1, 2019. Starting January 1, 2019, the recordkeeping and reporting requirements in the leak repair provisions in § 82.157(l) and (m) apply to owners and operators of appliances containing 50 or more pounds of class I or class II refrigerants or non-exempt substitutes.
              (a)-(i) [Reserved]
              (j) Persons servicing appliances normally containing 50 or more pounds of refrigerant must provide the owner/operator of such appliances with an invoice or other documentation, which indicates the amount of refrigerant added to the appliance.

              (k) Owners/operators of appliances normally containing 50 or more pounds of refrigerant must keep servicing records documenting the date and type of service, as well as the quantity of refrigerant added. The owner/operator must keep records of refrigerant purchased and added to such appliances in cases where owners add their own refrigerant. Such records should indicate the date(s) when refrigerant is added.
              (l) [Reserved]
              (m) All records required to be maintained pursuant to this section must be kept for a minimum of three years unless otherwise indicated.
              (n) The owners or operators of appliances must maintain on-site and report to EPA Headquarters at the address listed in § 82.160 the information specified in paragraphs (n)(1), (n)(2), and (n)(3) of this section, within the timelines specified under § 82.156 (i)(1), (i)(2), (i)(3) and (i)(5) where such reporting or recordkeeping is required. This information must be relevant to the affected appliance.
              (1) An initial report to EPA under § 82.156(i)(1)(i), (i)(2), or (i)(5)(i) regarding why more than 30 days are needed to complete repairs must include: Identification of the facility; the leak rate; the method used to determine the leak rate and full charge; the date a leak rate above the applicable leak rate was discovered; the location of leak(s) to the extent determined to date; any repair work that has been completed thus far and the date that work was completed; the reasons why more than 30 days are needed to complete the work and an estimate of when the work will be completed. If changes from the original estimate of when work will be completed result in extending the completion date from the date submitted to EPA, the reasons for these changes must be documented and submitted to EPA within 30 days of discovering the need for such a change.
              (2) If the owners or operators intend to establish that the appliance's leak rate does not exceed the applicable allowable leak rate in accordance with § 82.156(i)(3)(v), the owner or operator must submit a plan to fix other outstanding leaks for which repairs are planned but not yet completed to achieve a rate below the applicable allowable leak rate. A plan to fix other outstanding leaks in accordance with § 82.156(i)(3)(v) must include the following information: The identification of the facility; the leak rate; the method used to determine the leak rate and full charge; the date a leak rate above the applicable allowable leak rate was discovered; the location of leak(s) to the extent determined to date; and any repair work that has been completed thus far, including the date that work was completed. Upon completion of the repair efforts described in the plan, a second report must be submitted that includes the date the owner or operator submitted the initial report concerning the need for additional time beyond the 30 days and notification of the owner or operator's determination that the leak rate no longer exceeds the applicable allowable leak rate. This second report must be submitted within 30 days of determining that the leak rate no longer exceeds the applicable allowable leak rate.
              (3) Owners or operators must maintain records of the dates, types, and results of all initial and follow-up verification tests performed under § 82.156(i)(3). Owners or operators must submit this information to EPA within 30 days after conducting each test only where required under § 82.156 (i)(1), (i)(2), (i)(3) and (i)(5). These reports must also include: Identification and physical address of the facility; the leak rate; the method used to determine the leak rate and full charge; the date a leak rate above the applicable allowable leak rate was discovered; the location of leak(s) to the extent determined to date; and any repair work that has been completed thus far and the date that work was completed. Submitted reports must be dated and include the name of the owner or operator of the appliance, and must be signed by an authorized company official.
              (o) The owners or operators of appliances must maintain on-site and report to EPA at the address specified in § 82.160 the following information where such reporting and recordkeeping is required and in the timelines specified in § 82.156 (i)(7) and (i)(8), in accordance with § 82.156 (i)(7) and (i)(8). This information must be relevant to the affected appliance and must include:
              (1) The identification of the industrial process facility;
              (2) The leak rate;

              (3) The method used to determine the leak rate and full charge;
              (4) The date a leak rate above the applicable allowable rate was discovered.
              (5) The location of leaks(s) to the extent determined to date;
              (6) Any repair work that has been completed thus far and the date that work was completed;
              (7) A plan to complete the retrofit or retirement of the system;
              (8) The reasons why more than one year is necessary to retrofit or retire the system;
              (9) The date of notification to EPA; and
              (10) An estimate of when retrofit or retirement work will be completed. If the estimated date of completion changes from the original estimate and results in extending the date of completion, the owner or operator must submit to EPA the new estimated date of completion and documentation of the reason for the change within 30 days of discovering the need for the change, and must retain a dated copy of this submission.
              (p)(1) Owners or operators who wish to exclude purged refrigerants that are destroyed from annual leak rate calculations must maintain records on-site to support the amount of refrigerant claimed as sent for destruction. Records shall be based on a monitoring strategy that provides reliable data to demonstrate that the amount of refrigerant claimed to have been destroyed is not greater than the amount of refrigerant actually purged and destroyed and that the 98 percent or greater destruction efficiency is met. Records shall include flow rate, quantity or concentration of the refrigerant in the vent stream, and periods of purge flow.
              (2) Owners or operators who wish to exclude purged refrigerants that are destroyed from annual leak rate calculations must maintain on-site and make available to EPA upon request the following information after the first time the exclusion is utilized by the facility:
              (i) The identification of the facility and a contact person, including the address and telephone number;
              (ii) A general description of the refrigerant appliance, focusing on aspects of the appliance relevant to the purging of refrigerant and subsequent destruction;
              (iii) A description of the methods used to determine the quantity of refrigerant sent for destruction and type of records that are being kept by the owners or operators where the appliance is located;
              (iv) The frequency of monitoring and data-recording; and
              (v) A description of the control device, and its destruction efficiency.
              This information must also be included, where applicable, in any reporting requirements required for compliance with the leak repair and retrofit requirements for industrial process refrigeration equipment, as set forth in paragraphs (n) and (o) of this section.
              (q) Owners or operators choosing to determine the full charge as defined in § 82.156(j) of an affected appliance by using an established range or using that methodology in combination with other methods for determining the full charge as defined in § 82.156(j) must maintain the following information:
              (1) The identification of the owner or operator of the appliance;
              (2) The location of the appliance;
              (3) The original range for the full charge of the appliance, its midpoint, and how the range was determined;
              (4) Any and all revisions of the full charge range and how they were determined; and
              (5) The dates such revisions occurred.
              [58 FR 28712, May 14, 1993, as amended at 59 FR 42957, Aug. 19, 1994; 60 FR 40443, Aug. 8, 1995; 69 FR 11981, Mar. 12, 2004; 70 FR 1992, Jan. 11, 2005; 79 FR 64290, Oct. 28, 2014; 81 FR 82364, Nov. 18, 2016]

              § 82.168
              Incorporation by Reference.

              (a) Certain material is incorporated by reference into this subpart part with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. You can obtain the material from the sources listed below. You may inspect a copy of the approved material at U.S. EPA's Air and Radiation Docket; EPA West Building, Room 3334, 1301 Constitution Ave. NW., Washington, DC, or 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.

              (b) Air-Conditioning, Heating, and Refrigeration Institute (AHRI), 2111 Wilson Boulevard, Suite 500, Arlington, VA 22201, www.ahrinet.org.
              (1) AHRI Standard 110-2016, 2016 Standard for Air-Conditioning, Heating and Refrigerating Equipment Nameplate Voltages, copyright 2016, into Appendix B3 to subpart F.
              (2) 2008 Appendix C to AHRI Standard 700-2014, 2008 Appendix C for Analytical Procedures for AHRI Standard 700-2014—Normative, copyright 2008, into Appendix A to subpart F.
              (3) 2008 Appendix D to AHRI Standard 700-2014, 2012 Appendix D for Gas Chromatograms for AHRI Standard 700-2014—Informative, copyright 2012, into Appendix A to subpart F.
              (c) American Society of Heating, Refrigerating and Air-Conditioning Engineers, Inc., (ASHRAE), 1791 Tullie Circle NE., Atlanta, GA 30329, U.S.A.
              (1) ANSI/ASHRAE Standard 63.2-1996 (RA 2010), Method of Testing Liquid-Line Filter Drier Filtration Capability, Reaffirmed June 26, 2010, into Appendix B3 to subpart F.

              (d) ASTM International, 100 Barr Harbor Drive, P.O. Box C700, West Conshohocken, PA 19428-2959, www.astm.org.
              (1) ASTM D1296-01 (Reapproved 2012), Standard Test Method for Odor of Volatile Solvents and Diluents, approved July 1, 2012, into Appendix A to subpart F.
              (2) [Reserved]
              (e) Gas Processors Association, 6526 East 60th Street, Tulsa, Oklahoma 74145.
              (1) GPA Standard STD-2177-13, Analysis of Natural Gas Liquid Mixtures Containing Nitrogen and Carbon Dioxide by Gas Chromatography, Revised, copyright 2013, into Appendix A to subpart F.
              (2) [Reserved]
              (f) General Services Administration, 301 7th St. SW., Washington, DC 20410.
              (1) BB-F-1421B, Federal Specification for “Fluorocarbon Refrigerants,” dated March 5, 1982, IBR approved for Appendix A to subpart F.
              (2) [Reserved]

              (g) International Electrotechnical Commission (IEC), 3, rue de Varembé, P.O. Box 131. CH-1211 Geneva 20—Switzerland, 41 22 919 02 11, http://www.iec.ch.
              (1) IEC 60038, IEC Standard Voltages, Edition 7.0, 2009-06, into Appendix B3 to subpart F.
              (2) [Reserved]

              (h) Underwriters Laboratories (UL), 333 Pfingsten Road, Northbrook, IL 60062, 847-272-8800, http://www.ul.com.
              (1) UL 1963, Standard for Safety Requirements for Refrigerant Recovery/Recycling Equipment, Fourth Edition (with revisions through October 13, 2013), June 1, 2011, in appendix B3 to subpart F, appendix B4 to subpart F.
              (2) [Reserved]
              [81 FR 82364, Nov. 18, 2016]

              § 82.169
              Suspension and revocation procedures.
              (a) Failure to abide by any of the provisions of this subpart may result in the revocation or suspension of the approval to certify technicians (under § 82.161), approval to act as a recovery/recycling equipment testing organization (under § 82.160), or reclaimer certification (under § 82.164), hereafter referred to as the “organization.” In such cases, the Administrator or her or his designated representative shall give notice of an impending suspension to the person or organization setting forth the facts or conduct that provide the basis for the revocation or suspension.
              (b) Any organization that has received notice of an impending suspension or revocation may choose to request a hearing and must file that request in writing within 30 days of the date of the Agency's notice at the address listed in § 82.160 and shall set forth their objections to the revocation or suspension and data to support the objections.
              (c) If the Agency does not receive a written request for a hearing within 30 days of the date of the Agency's notice, the revocation will become effective upon the date specified in the notice of an impending suspension.

              (d) If after review of the request and supporting data, the Administrator or her or his designated representative finds that the request raises a substantial factual issue, she or he shall provide the organization with a hearing.

              (e) After granting a request for a hearing the Administrator or her or his designated representative shall designate a Presiding Officer for the hearing.
              (f) The hearing shall be held as soon as practicable at a time and place determined by the Administrator, the designated representative, or the Presiding Officer.
              (g) The Administrator or her or his designated representative may, at his or her discretion, direct that all argument and presentation of evidence be concluded within a specified period established by the Administrator or her or his designated representative. Said period may be no less than 30 days from the date that the first written offer of a hearing is made to the applicant. To expedite proceedings, the Administrator or her or his designated representative may direct that the decision of the Presiding Officer (who need not be the Administrator) shall be the final EPA decision.
              (h) Upon appointment pursuant to paragraph (e) of this section, the Presiding Officer will establish a hearing file. The file shall consist of the following:
              (1) The notice issued by the Administrator under § 82.169(a);
              (2) the request for a hearing and the supporting data submitted therewith;
              (3) all documents relating to the request for certification and all documents submitted therewith; and
              (4) correspondence and other data material to the hearing.
              (i) The hearing file will be available for inspection by the petitioner at the office of the Presiding Officer.
              (j) An applicant may appear in person or may be represented by counsel or by any other duly authorized representative.
              (k) The Presiding Officer, upon the request of any party or at his or her discretion, may arrange for a pre-hearing conference at a time and place he or she specifies. Such pre-hearing conferences will consider the following:
              (1) Simplification of the issues;
              (2) Stipulations, admissions of fact, and the introduction of documents;
              (3) Limitation of the number of expert witnesses;
              (4) Possibility of agreement disposing of any or all of the issues in dispute; and
              (5) Such other matters as may aid in the disposition of the hearing, including such additional tests as may be agreed upon by the parties.
              (l) The results of the conference shall be reduced to writing by the Presiding Officer and made part of the record.
              (m) 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 the Presiding Officer of irrelevant, immaterial, and repetitious evidence.
              (n) 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 the provisions of 18 U.S.C. 1001, which imposes penalties 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.
              (o) Any witness may be examined or cross-examined by the Presiding Officer, the parties, or their representatives.
              (p) Hearings shall be reported verbatim. Copies of transcripts of proceedings may be purchased by the petitioner from the reporter.
              (q) 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.
              (r) Oral argument may be permitted at the discretion of the Presiding Officer and shall be reported as part of the record unless otherwise ordered by the Presiding Officer.

              (s) The Presiding Officer shall make an initial decision that shall include written findings and conclusions and the reasons or basis regarding 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 Administrator without further proceedings, unless there is an appeal to the Administrator or motion for review by the Administrator within 20 days of the date the initial decision was filed.
              (t) On appeal from or review of the initial decision, the Administrator or her or his designated representative shall have all the powers which he or she would have in making the initial decision, including the discretion to require or allow briefs, oral argument, the taking of additional evidence, or a remand to the Presiding Officer for additional proceedings. The decision by the Administrator or her or his designated representative shall include written findings and conclusions and the reasons or basis therefore on all the material issues of fact, law, or discretion presented on the appeal or considered in the review.
              [68 FR 43809, July 24, 2003]

              Pt. 82, Subpt. F, App. A
              Appendix A to Subpart F of Part 82—Specifications for Refrigerants

              This appendix is based on the Air-Conditioning, Heating, and Refrigeration Institute Standard 700-2016, Specifications for Refrigerants.

              Section 1. Purpose
              1.1 Purpose. The purpose of this standard is to evaluate and accept/reject refrigerants regardless of source (i.e., new, reclaimed and/or repackaged) for use in new and existing refrigeration and air-conditioning products as required under 40 CFR part 82.
              1.1.1 Intent. This standard is intended for the guidance of the industry including manufacturers, refrigerant reclaimers, repackagers, distributors, installers, servicemen, contractors and for consumers.
              1.1.2 Review and Amendment. This standard is subject to review and amendment as the technology advances.
              Section 2. Scope
              2.1 Scope. This standard specifies acceptable levels of contaminants (purity requirements) for various fluorocarbon and other refrigerants regardless of source and lists acceptable test methods. These refrigerants are as referenced in the ANSI/ASHRAE Standard 34 with Addenda:
              2.1.1 Single-Component Fluorocarbon Refrigerants: R-11, R-12, R-13, R-22, R-23, R-32, R-113, R-114, R-115, R-116, R-123, R-124, R-125, R-134a, R-141b, R-142b, R-143a, R-152a, R-218, R-227ea, R-236fa, R-245fa, R-1233zd(E), R-1234yf, R-1234ze(E);
              2.1.2 Single Component Hydrocarbon Refrigerants: R-50, R-170, R-E170, R-290, R-600, R-600a, R-601, R-601a, R-610, R-1150, R-1270;
              2.1.3 Carbon Dioxide Refrigerant: R-744;
              2.1.4 Zeotropic Blend Refrigerants: R-401A, R-401B, R-402A, R-402B, R-403A, R-403B, R-404A, R-405A, R-406A, R-407A, R-407B, R-407C, R-407D, R-407E, R-407F, R-408A, R-409A, R-409B, R-410A, R-410B, R-411A, R-411B, R-412A, R-413A, R-414A, R-414B, R-415A, R-415B, R-416A, R-417A, R-417B, R-417C, R-418A, R-419A, R-419B, R-420A, R-421A, R-421B, R-422A, R-422B, R-422C, R-422D, R-422E, R-423A, R-424A, R-425A, R-426A, R-427A, R-428A, R-429A, R-430A, R-431A, R-434A, R-435A, R-437A, R-438A, R-439A, R-440A, R-442A, R-444A, R-444B, R-445A, R-446A, R-447A, R-448A, R-449A, R-450A;
              2.1.5 Zeotropic Hydrocarbon Blend Refrigerants: R-432A, R-433A, R-433B, R-433C, R-436A, R-436B, R-441A, R-443A; and
              2.1.6 Azeotropic Blend Refrigerants: R-500, R-502, R-503, R-507A, R-508A, R-508B, R-509A, R-510A, R-511A, and R-512A.
              Section 3. Definitions
              3.1 Definitions. All terms in this appendix will follow the definitions in § 82.152 unless otherwise defined in this appendix.
              3.2 Shall, Should, Recommended, or It Is Recommended shall be interpreted as follows:
              3.2.1 Shall. Where “shall” or “shall not” is used for a provision specified, that provision is mandatory if compliance with this appendix is claimed.
              3.2.2 Should, Recommended, or It is Recommended is used to indicate provisions which are not mandatory but which are desirable as good practice.
              Section 4. Characterization of Refrigerants and Contaminants
              4.1 Characterization. Characterization of single component fluorocarbon (Table 1A) and zeotropic/azeotropic blend (Table 2A/3) refrigerants and contaminants are listed in the following general classifications:
              4.1.1 Isomer content (see Table 1A)
              4.1.2 Air and other non-condensables (see Tables 1A, 2A, 3)
              4.1.3 Water (see Tables 1A, 2A, 3)
              4.1.4 All other volatile impurities (see Tables 1A, 2A, 3)
              4.1.5 High boiling residue (see Tables 1A, 2A, 3)
              4.1.6 Halogenated unsaturated volatile impurities (see Table 1A)
              4.1.7 Particulates/solids (see Tables 1A, 2A, 3)
              4.1.8 Acidity (see Tables 1A, 2A, 3)
              4.1.9 Chloride (see Tables 1A, 2A, 3)

              4.2 Hydrocarbon Characterization. Characterization of hydrocarbon refrigerants (Tables 1B and 2B) and contaminants are listed in the following general classifications:

              4.2.1 Nominal composition
              4.2.2 Other allowable impurities
              4.2.3 Air and other non-condensables
              4.2.4 Sulfur odor
              4.2.5 High boiling residue
              4.2.6 Particulates/solids
              4.2.7 Acidity
              4.2.8 Water
              4.2.9 All other volatile impurities
              4.2.10 Total C3, C4, and C5 polyolefins
              4.3 Carbon Dioxide Characterization. Characterization of carbon dioxide (Table 1C) and its contaminants are listed in the following general classifications:
              4.3.1 Purity
              4.3.2 Air and other non-condensables
              4.3.3 Water
              4.3.4 High boiling residue
              4.3.5 Particulates/solids
              Section 5. Sampling and Summary of Test Procedures
              5.1 Referee Test. The referee test methods for the various contaminants are summarized in the following paragraphs. Detailed test procedures are included in 2008 Appendix C to AHRI Standard 700-2014 (incorporated by reference, see § 82.168). If alternative test methods are employed, the user must be able to demonstrate that they produce results at least equivalent to the specified referee test method.
              5.2 Refrigerant Sampling

              5.2.1 Sampling Precautions. Special precautions should be taken to ensure that representative samples are obtained for analysis. Sampling shall be done by qualified personnel following accepted sampling and safety procedures. Refrigerants with critical temperatures near or below ambient temperature cannot be reliably sampled for both liquid and vapor phase without special handling.

                Note: Flammable refrigerants which are ASHRAE 34 class 2L, 2, or 3 present additional safety challenges and require additional measures for sampling safety procedures compared to nonflammable halocarbons documented in this standard.
              5.2.2 Cylinder Preparation. Place a clean, empty sample cylinder with the valve open in an oven at 110 °C (230 °F) for one hour. Remove it from the oven while hot, immediately connect it to an evacuation system and evacuate to less than 56 kPa. Close the valve and allow it to cool. Weigh the empty cylinder.
              5.2.3 Vapor Phase Sampling. A vapor phase sample shall be obtained for determining the non-condensables. The source temperature shall be measured and recorded at the time the sample is taken.
              5.2.3.1 Special Handling for Low Critical Temperature Refrigerant. A vapor phase sample is required to determine non-condensables and volatile impurities, including other refrigerants. The vapor phase sample is obtained by regulating the sample container temperature to 5 K or more above the refrigerant critical temperature.
              5.2.3.2 Handling for Liquid Refrigerants with Boiling Points Near or Above Room Temperature. Since R-11, R-113, R-123, R-141b, R-245fa, and R-1233zd(E) have normal boiling points near or above room temperature, non-condensable determination is not required for these refrigerants.

                Note: Non-condensable gases, if present, will concentrate in the vapor phase of the refrigerant; care must be exercised to eliminate introduction of either air or liquid phase refrigerant during the sample transfer.
              5.2.4 Liquid Phase Sampling. A liquid phase sample is required for all tests listed in this standard except the test for non-condensables.
              5.2.4.1 Liquid Sampling. Accurate analysis requires that the sample cylinder, at ambient temperature, be filled to at least 60 percent by volume; however, under no circumstances should the cylinder be filled to more than 80 percent by volume. This can be accomplished by weighing the empty cylinder and then the cylinder with refrigerant. When the desired amount of refrigerant has been collected, close the valve(s) and immediately disconnect the sample cylinder.

                Note: Care should be taken to ensure that all connections and transfer lines are dry and evacuated to avoid contaminating the sample.

                Note: Low critical temperature refrigerants can have extremely high pressure and the sampling vessel, all connections, and transfer lines must be designed to handle high pressures.
              5.2.4.2 Special Handling for Low Critical Temperature Refrigerant. A liquid phase sample is required for all testing except volatile impurities, including other refrigerants. The liquid phase sample is obtained by regulating the sample cylinder temperature to 2 °C below the critical temperature of the refrigerant.

                Note: If free water is present in the sample, cooling to below 0 °C may result in the formation of ice. Clathrates may form at temperatures above 0 °C with some fluorocarbon refrigerants.
              5.2.4.3 Record Weight. Check the sample cylinder for leaks and record the gross weight.
              5.3 Refrigerant Identification. The required method shall be gas chromatography (GC) as described in 2008 Appendix C to AHRI Standard 700-2014 (incorporated by reference, see § 82.168) with the corresponding gas chromatogram figures as illustrated in 2012 Appendix D to AHRI Standard 700-2014 (incorporated by reference, see § 82.168). The chromatogram of the sample shall be compared to known standards.
              5.3.2 Alternative Method. Determination of the boiling point and boiling point range is an acceptable alternative test method which can be used to characterize refrigerants. The test method shall be that described in section 4.4.3 of BB-F-1421B (incorporated by reference, see § 82.168).
              5.3.3 Required Values. The required values for boiling point and boiling point range are given in Table 1A, Physical Properties of Single Component Refrigerants; Table 1B, Physical Properties of Zeotropic Blends (400 Series Refrigerants); and Table 1C, Physical Properties of Azeotropic Blends (500 Series Refrigerants).

              5.4 Water Content.

              5.4.1 Method. The Coulometric Karl Fischer Titration shall be the primary test method for determining the water content of refrigerants. This method is described in 2008 Appendix C to AHRI Standard 700-2014 (incorporated by reference, see § 82.168). This method can be used for refrigerants that are either a liquid or a gas at room temperature. For all refrigerants, the sample for water analysis shall be taken from the liquid phase of the container to be tested.
              5.4.2 Limits. The value for water content shall be expressed in parts per million (ppm) by weight and shall not exceed the maximum specified in Tables 1A, 1B, 1C, 2A, 2B, and 3.
              5.5 Conductivity. (Alternative to chloride and acidity tests).
              5.5.1 Method. A refrigerant may be tested for conductivity as an indication of the presence of acids, metal chlorides, and any compound that ionizes in water. This alternative procedure is intended for use with new or reclaimed refrigerants, however, significant amounts of oil can interfere with the test results.
              5.5.2 Limits. The value for conductivity shall be converted to and expressed in ppm by weight calculated as HCl and shall be compared with the maximum acidity value specified (see in Tables 1A, 1B, 1C, 2A, 2B, and 3). If the conductivity is above this amount, then the chloride and acidity tests shall be conducted. If the conductivity is not greater than this amount, then the chloride and acidity tests may be omitted.
              5.6 Chloride. The refrigerant shall be tested for chloride as an indication of the presence of hydrochloric acid and/or metal chlorides. The referee procedure is intended for use with new or reclaimed halogenated refrigerants; however, high boiling residue in excess of the amounts in Tables 1A, 1B, 1C, 2A, 2B, and 3 can interfere with the test results.
              5.6.1 Method. The test method shall be that described in 2008 Appendix C to AHRI Standard 700-2014 (incorporated by reference, see § 82.168). The test will show noticeable turbidity at chloride levels of about 3 ppm or greater by weight.
              5.5.2 Limits. The results of the test shall not exhibit any sign of turbidity. Report the results as “pass” or “fail.”
              5.7 Acidity.

              5.7.1 Method. The acidity test uses the titration principle to detect any compound that is soluble in water and ionizes as an acid. The test method shall be that described in 2008 Appendix C to AHRI Standard 700-2014 (incorporated by reference, see § 82.168). This test may not be suitable for determination of high molecular weight organic acids; however these acids will be found in the high boiling residue test outlined in Section 5.8. The test requires a 50 to 60 gram sample and has a detection limit of 0.1 ppm by weight calculated as HCl.
              5.7.2 Limits. The value for acidity shall be expressed in ppm by weight as HCl and shall not exceed the limits in Tables 1A, 1B, 2A, 2B, and 3.
              5.8 High Boiling Residue.

              5.8.1 Method. High boiling residue shall be determined by either volume or weight. The volume method measures the residue from a standard volume of refrigerant after evaporation. The gravimetric method is described in 2008 Appendix C to AHRI Standard 700-2014 (incorporated by reference, see § 82.168). Oils and/or organic acids will be captured by these methods.
              5.8.2 Limits. The value for high boiling residue shall be expressed as a percentage by volume or weight and shall not exceed the maximum percent specified in Tables 1A, 1B, 1C, 2A, 2B, and 3.
              5.9 Particulates and Solids.

              5.9.1 Method. A measured amount of sample shall be placed in a Goetz bulb under controlled temperature conditions. The particulates/solids shall be determined by visual examination of the Goetz bulb prior to the evaporation of refrigerant. For details of this test method, refer to Part 3 of 2008 Appendix C to AHRI Standard 700-2014 (incorporated by reference, see § 82.168).

                Note: R-744 will partially sublimate when measuring a known amount of liquid sample into the dry Goetz bulb and the solid R-744 will interfere with the visual examination of particulates/solids. Determining the particulates/solids shall be completed by visual examination of the Goetz bulb after the evaporation of the refrigerant.
              5.9.2 Limits. Visual presence of dirt, rust, or other particulate contamination is reported as “fail.”
              5.10 Non-Condensables.

              5.10.1 Method. A vapor phase sample shall be used for determination of non-condensables. Non-condensable gases consist primarily of air accumulated in the vapor phase of refrigerants where the solubility of air in the refrigerant liquid phase is extremely low and air is not significant as a liquid phase contaminant. The presence of non-condensable gases may reflect poor quality control in transferring refrigerants to storage tanks and cylinders.

              The test method shall be gas chromatography with a thermal conductivity detector as described in 2008 Appendix C to AHRI Standard 700-2014 (incorporated by reference, see § 82.168).
              5.10.2 Limits. The maximum level of non-condensables in the vapor phase of a test sample shall not exceed the maximum at 25 °C as shown in Tables 1A, 1B, 1C, 2A, 2B, and 3.
              5.11 All Other Volatile Impurities and/or Other Refrigerants.

              5.11.1 Method. The amount of volatile impurities including other refrigerants in the subject refrigerant shall be determined by gas chromatography as described in 2008 Appendix C to AHRI Standard 700-2014 (incorporated by reference, see § 82.168).
              5.11.2 Limits. The test sample shall not contain more than 0.5 percent by weight of volatile impurities including other refrigerants as shown in Tables 1A, 1B, 1C, 2A, 2B and 3.
              5.12 Total C
                3
                , C
                4
                 and C
                5
                 Polyolefins in Hydrocarbon Refrigerants.

              5.12.1 Method. The amount of polyolefin impurities in the hydrocarbon shall be determined by gas chromatography as described in GPA Standard 2177-13 (incorporated by reference, see § 82.168).
              5.12.2 Limits. The test sample shall not contain more than 0.05 percent by weight in the hydrocarbon sample as shown in Tables 1B and 2B. Report the results as “pass” or “fail.”
              5.13 Sulfur Odor in Hydrocarbon Refrigerants.

              5.13.1 Method. The amount of sulfur containing compounds or other compounds with an odor shall be determined by ASTM D1296-01 (Reapproved 2012) (incorporated by reference, see § 82.168).
              5.13.2 Limits. The test sample paper shall not emit a residual sulfur odor as shown in Tables 1B and 2B.
              Section 6. Reporting Procedure
              6.1 Reporting Procedure. The source (manufacturer, reclaimer, or repackager) of the packaged refrigerant shall be identified. The refrigerant shall be identified by its accepted refrigerant number and/or its chemical name. Maximum allowable levels of contaminants are shown in Tables 1A, 1B, 1C, 2A, 2B, and 3. Test results shall be tabulated in a similar manner.

                ER18NO16.078

                ER18NO16.079

                ER18NO16.080

                ER18NO16.081

                ER18NO16.082

                ER18NO16.083

                ER18NO16.084

                ER18NO16.085

                ER18NO16.086

                ER18NO16.087

                ER18NO16.088

                ER18NO16.089

                ER18NO16.090

                ER18NO16.091

                ER18NO16.092

              Section 7.0 References—Normative

              Listed here are all standards, handbooks, and other publications essential to the formation and implementation of the standard. All references in this appendix are considered as part of this standard.

              ANSI/ASHRAE Standard 34-2013, Designation and Safety Classification of Refrigerants,
                with Addenda, American National Standards Institute/American Society of Heating, Refrigerating, and Air-Conditioning Engineers.
              2008 Appendix C to AHRI Standard 700-2014, 2008 Appendix C for Analytical Procedures for AHRI Standard 700-2014—Normative, copyright 2008 (incorporated by reference, see § 82.168).
              ASTM D1296-01 (Reapproved 2012), Standard Test Method for Odor of Volatile Solvents and Diluents, approved July 1, 2012, (incorporated by reference, see § 82.168).
              BB-F-1421B, Federal Specification for “Fluorocarbon Refrigerants,” dated March 5, 1982, (incorporated by reference, see § 82.168).
              GPA Standard 2177-13, Analysis of Natural Gas Liquid Mixtures Containing Nitrogen and Carbon Dioxide by Gas Chromatography, Revised, copyright 2013, (incorporated by reference, see § 82.168).

              REFPROP Reference Fluid Thermodynamic and Transport Properties NIST Standard Reference Database 23 version 9.1, 2013, U.S. Department of Commerce, Technology Administration, National Institute of Standards and Technology.
              Section 8.0 References—Informative

              Listed here are standards, handbooks, and other publications which may provide useful information and background but are not considered essential.

              2012 Appendix D to AHRI Standard 700-2014, 2012 Appendix D for Gas Chromatograms for AHRI Standard 700-2014—Informative, copyright 2012, (incorporated by reference, see § 82.168).
              [81 FR 82365, Nov. 18, 2016]

              Pt. 82, Subpt. F, App. A1
              Appendix A1 to Subpart F of Part 82—Generic Maximum Contaminant Levels

                  Contaminant
                  Reporting units

                  Air and Other Non-condensables
                  1.5% by volume @ 25 °C (N/A for refrigerants used in low-pressure appliances 1).

                  Water
                  10 ppm by weight 20 ppm by weight (for refrigerants used in low-pressure appliances 1).

                  Other Impurities Including Refrigerant
                  0.50% by weight.

                  High boiling residue
                  0.01% by volume.

                  Particulates/solids
                  visually clean to pass.

                  Acidity
                  1.0 ppm by weight.

                  Chlorides (chloride level for pass/fail is 3ppm)
                  No visible turbidity.

                  1 Low-pressure appliances means an appliance that uses a refrigerant with a liquid phase saturation pressure below 45 psia at 104 °F.

                Blend Compositions (Where Applicable)

                  Nominalcomposition
                    (by weight%)

                  Allowablecomposition
                    (by weight%)

                  Component constitutes 25% or more
                  ±2.0

                  Component constitutes less than 25% but greater than 10%
                  ±1.0

                  Component constitutes less than or equal to 10%
                  ±0.5

              [69 FR 11988, Mar. 12, 2004]

              Pt. 82, Subpt. F, App. B1
              Appendix B1 to Subpart F of Part 82—Performance of Refrigerant Recovery, Recycling and/or Reclaim Equipment
              This appendix is based on the Air-Conditioning and Refrigeration Institute Standard 740-1993.
              Refrigerant Recovery/Recycling Equipment
              Section 1. Purpose
              1.1 Purpose. The purpose of this standard is to establish methods of testing for rating and evaluating the performance of refrigerant recovery, and/or recycling equipment, and general equipment requirements (herein referred to as “equipment”) for containment or purity levels, capacity, speed, and purge loss to minimize emission into the atmosphere of designated refrigerants.
              1.1.1 This standard is intended for the guidance of the industry, including manufacturers, refrigerant reclaimers, repackers, distributors, installers, servicemen, contractors and for consumers.
              1.1.2 This standard is not intended to be used as a guide in defining maximum levels of contaminants in recycled or reclaimed refrigerants used in various applications.
              1.2 Review and Amendment. This standard is subject to review and amendment as the technology advances.
              Section 2. Scope
              2.1 Scope. This standard defines general equipment requirements and the test apparatus, test mixtures, sampling and analysis techniques that will be used to determine the performance of recovery and/or recycling equipment for various refrigerants including R11, R12, R13, R22, R113, R114, R123, R134a, R500, R502, and R503, as referenced in the ANSI/ASHRAE Standard 34-1992, “Number Designation of Refrigerants” (American Society of Heating, Refrigerating, and Air Conditioning Engineers, Inc.).

              Section 3. Definitions
              3.1 Recovered refrigerant. Refrigerant that has been removed from a system for the purpose of storage, recycling, reclamation or transportation.
              3.2 Recover. Reference 40 CFR 82.152.
              3.3 Recycle. Reference 40 CFR 82.152.
              3.4 Reclaim. Reference 40 CFR 82.152.
              3.5 Standard Contaminated Refrigerant Sample. A mixture of new and/or reclaimed refrigerant and specified quantities of identified contaminants which are representative of field obtained, used refrigerant samples and which constitute the mixture to be processed by the equipment under test.
              3.6 Push/Pull Method. The push/pull refrigerant recovery method is defined as the process of transferring liquid refrigerant from a refrigeration system to a receiving vessel by lowering the pressure in the vessel and raising the pressure in the system, and by connecting a separate line between the system liquid port and the receiving vessel.
              3.7 Recycle Rate. The amount of refrigerant processed (in pounds) divided by the time elapsed in the recycling mode in pounds per minute. For equipment which uses a separate recycling sequence, the recycle rate does not include the recovery rate (or elapsed time). For equipment which does not use a separate recycling sequence, the recycle rate is a maximum rate based solely on the higher of the liquid or vapor recovery rate, by which the rated contaminant levels can be achieved.
              3.8 Equipment Classification.

              3.8.1 Self Contained Equipment. A refrigerant recovery or recycling system which is capable of refrigerant extraction without the assistance of components contained within an air conditioning or refrigeration system.
              3.8.2 System Dependent Equipment. Refrigerant recovery equipment which requires for its operation the assistance of components contained in an air conditioning or refrigeration system.
              3.9 “Shall”, “Should”, “Recommended” or “It is Recommended”, “Shall” “Should”, “recommended”, or “it is recommended” shall be interpreted as follows:
              3.9.1 Shall. Where “shall” or “shall not” is used for a provision specified, that provision is mandatory if compliance with the standard is claimed.
              3.9.2 Should, Recommended, or It is Recommended, “Should”, “recommended”, is used to indicate provisions which are not mandatory but which are desirable as good practice.
              Section 4. General Equipment Requirements
              4.1 The equipment manufacturer shall provide operating instructions, necessary maintenance procedures, and source information for replacement parts and repair.
              4.2 The equipment shall indicate when any filter/drier(s) needs replacement. This requirement can be met by use of a moisture transducer and indicator light, by use of a sight glass/moisture indicator, or by some measurement of the amount of refrigerant processed such as a flow meter or hour meter. Written instructions such as “to change the filter every 400 pounds, or every 30 days” shall not be acceptable except for equipment in large systems where the Liquid Recovery Rate is greater than 25 lbs/min [11.3 Kg/min] where the filter/drier(s) would be changed for every job.
              4.3 The equipment shall either automatically purge non-condensables if the rated level is exceeded or alert the operator that the non-condensable level has been exceeded. While air purge processes are subject to the requirements of this section, there is no specific requirement to include an air purge process for “recycle” equipment.
              4.4 The equipment's refrigerant loss due to non-condensable purging shall not be exceeded 5% by weight of total recovered refrigerant. (See Section 9.4)
              4.5 Internal hose assemblies shall not exceed a permeation rate of 12 pounds mass per square foot [5.8 g/cm 2] of internal surface per year at a temperature of 120 F [48.8 °C] for any designated refrigerant.
              4.6 The equipment shall be evaluated at 75 F [24 °C] per 7.1. Normal operating conditions range from 50 °F to 104 F [10 °C to 40 °C].
              4.7 Exemptions:

              4.7.1 Equpment intended for recovery only shall be exempt from sections 4.2 and 4.3.

                Table 1—Standard Contaminated Refrigerant Samples

                  R11
                  R12
                  R13
                  R22
                  R113
                  R114
                  R123
                  R134a
                  R500
                  R502
                  R503

                  Moisture content:

                  PPM by weight of pure refrigerant
                  100
                  80
                  30
                  200
                  100
                  85
                  100
                  200
                  200
                  200
                  30

                  Particulate content:

                  PPM by weight of pure refrigerant characterized by 1

                  80
                  80
                  80
                  80
                  80
                  80
                  80
                  80
                  80
                  80
                  80

                  Acid content:

                  PPM by weight of pure refrigerant—(mg KOH per kg refrig.) characterized by 2

                  500
                  100
                  NA
                  500
                  400
                  200
                  500
                  100
                  100
                  100
                  NA

                  Mineral oil content:

                  % by weight of pure refrigerant
                  20
                  5
                  NA
                  5
                  20
                  20
                  20
                  5
                  5
                  5
                  NA

                  Viscosity (SUS)
                  300
                  150

                  300
                  300
                  300
                  300
                  150
                  150
                  150

                  Non condensable gases air content % volume3 >
                  NA
                  3
                  3
                  3
                  NA
                  3
                  3
                  3
                  3
                  3
                  3

                  1 Particulate content shall consist of inert materials and shall comply with particulate requirements in ASHRAE Standard 63.2, “Method of Testing of Filtration Capacity of Refrigerant Liquid Line Filters and Filter Driers.”

                  2 Acid consists of 60% oleic acid and 40% hydrochloric acid on a total number basis.

                  3 Synthetic ester based oil.

              Section 5. Contaminated Refrigerants
              5.1 The standard contaminated refrigerant sample shall have the characteristics specified in Table 1, except as provided in 5.2
              5.2 Recovery equipment not rated for any specific contaminant can be tested with new or reclaimed refrigerant.
              Section 6. Test Apparatus
              6.1 Self Contained Equipment Test Apparatus. The apparatus as shown in Figure 1 consists of a 3 cubic foot [0.085 m3] mixing chamber with a conical-shaped bottom, although a larger mixing chamber is permissible. The size of the mixing chamber depends upon the size of the equipment. The outlet at the bottom of the cone and all restrictions and valves for liquid and vapor refrigerant lines in the test apparatus shall be a minimum of 0.375 in. [9.5 mm] inside diameter or equivalent. The minimum inside diameter for large equipment for use on chillers shall be 1.5 in. [38 mm.]. The mixing chamber shall contain various ports for receiving liquid refrigerant, oil, and contaminants. A recirculating line connected from the bottom outlet through a recirculating pump and then to a top vapor port shall be provided for stirring of the mixture. Isolation valves may be required for the pump. Alternative stirring means may be used if demonstrated to be equally effective.
              6.1.1 For liquid refrigerant feed, the liquid valve is opened. For vapor refrigerant feed, the vapor valve is opened and refrigerant passes through an evaporator coil. Flow is controlled by a thermostatic expansion valve to create 5 F [3 °C] superheat at an evaporator temperature of 70 F ±3 F[21 °C±2°]. The evaporator coil or equivalent evaporator means shall be either sized large enough for the largest system or be sized for each system.
              6.1.2 An alternative method for vapor refrigerant feed is to pass through a boiler and then an automatic pressure regulating valve set at refrigerant saturation pressure at 75 F ±3 F [24 °C ±2 °C].
              6.2 System Dependent Equipment Test Apparatus. This test apparatus is to be used for final recovery vacuum rating of all system dependent equipment.

              6.2.1 The test apparatus shown in Figure 2 consists of a complete refrigeration system. The manufacturer shall identify the refrigerants to be tested. The test apparatus can be modified to facilitate operation or testing of the system dependent equipment if the modifications to the apparatus are specifically described within the manufacturer's literature. (See Figure 2.) A 1/4 inch [6.3 mm] balance line shall be connected across the test apparatus between the high and low pressure sides, with an isolation valve located at the connection to the compressor high side. A 1/4 inch [6.3 mm] access port with a valve core shall be located in the balance line for the purpose of measuring final recovery vacuum at the conclusion of the test.

                EC01MY92.107

                EC01MY92.108

              Section 7. Performance Testing
              7.1 Contaminant removal and performance testing shall be conducted at 75 F ±2 F [23.9 °C ±1.1 °C].
              7.1.1 The equipment shall be prepared for operation per the instruction manual.
              7.1.2 The contaminated sample batch shall consist of not less than the sum of the amounts required to complete steps 7.1.2.2 and 7.1.2.3 below.
              7.1.2.1 A liquid sample shall be drawn from the mixing chamber prior to starting the test to assure quality control of the mixing process.
              7.1.2.2 Vapor refrigerant feed testing, if elected, shall normally be processed first. After the equipment reaches stabilized conditions of condensing temperature and/or storage tank pressure, the vapor feed recovery rate shall be measured. One method is to start measuring the vapor refrigerant recovery rate when 85% of refrigerant remains in the mixing chamber and continue for a period of time sufficient to achieve the accuracy in 9.2. If liquid feed is not elected, complete Step 7.1.2.4.
              7.1.2.3 Liquid refrigerant feed testing, if elected, shall be processed next. After the equipment reaches stabilized conditions, the liquid feed recovery rate shall be measured. One method is to wait 2 minutes after starting liquid feed and then measure the liquid refrigerant recovery rate for a period of time sufficient to achieve the accuracy in 9.1. Continue liquid recovery operation as called for in 7.1.2.4.
              7.1.2.4 Continue recovery operation until all liquid is removed from the mixing chamber and vapor is removed to the point where the equipment shuts down per automatic means or is manually stopped per the operating instructions.

              7.1.2.5 After collecting the first contaminated refrigerant sample batch, the liquid and vapor value of the apparatus shall be closed and the mixing chamber pressure recorded after 1 minute as required in 9.5. After preparing a second contaminated refrigerant sample batch, continue recovery until the storage container reaches 80% liquid fill level. After recycling and measuring the recycle rate per section 7.1.3, set this container aside for the vapor sample in 8.2.2.
              7.1.2.6 Interruptions in equipment operations as called for in instruction manual are allowable.
              7.1.3 Recycle as called for in equipment operating instructions. Determine recycle rate by appropriate means as required in 9.3.
              7.1.4 Repeat steps 7.1.2, 7.1.2.4, and 7.1.3 with contaminated refrigerant sample until equipment indicator(s) show need to change filter(s). It will not be necessary to repeat the recycle rate determination in 7.1.3.
              7.1.4.1 For equipment with a multiple pass recirculating filter system, analyze the contents of the previous storage container.
              7.1.4.2 For equipment with a single pass filter system, analyze the contents of the current storage container.
              7.1.5 Refrigerant loss due to the equipment's non-condensable gas purge shall be determined by appropriate means. (See Section 9.4.)
              7.2 System Dependent Equipment. This procedure shall be used for vacuum rating of all system dependent equipment. Liquid refrigerant recovery rate, vapor refrigerant recovery rate, and recycle rate are not tested on system dependent systems.
              7.2.1 The apparatus operation and testing shall be conducted at 75 F ±2 F. [23.9 °C. ±/1.1. °C.].
              7.2.2 The apparatus shall be charged with refrigerant per its system design specifications.
              7.2.3 For measurement of final recovery vacuum as required in 9.5, first shut the balance line isolation valve and wait 1 minute for pressure to balance. Then connect and operate the recovery system per manufacturers recommendations. When the evacuation is completed, open the balance line isolation valve and measure the pressure in the balance line.
              Section 8. Sampling and Chemical Analysis Methods
              8.1 The referee test methods for the various contaminants are summarized in the following paragraphs. Detailed test procedures are included in Appendix A “Test Procedures for ARI STD 700.” If alternate test methods are employed, the user must be able to demonstrate that they produce results equivalent to the specified referee method.
              8.2 Refrigerant Sampling.

              8.2.1 Sampling Precautions. Special precautions should be taken to assure that representative samples are obtained for analysis. Sampling shall be done by trained laboratory personnel following accepted sampling and safety procedures.
              8.2.2 Gas Phase Sample. A gas phase sample shall be obtained for determining the non-condensables. Since non-condensable gases, if present, will concentrate in the vapor phase of the refrigerant, care must be exercised to eliminate introduction of air during the sample transfer. Purging is not and acceptable procedure for a gas phase sample since it may introduce a foreign product. Since R11, R113 and R123 have normal boiling points at or above room temperature, noncondensable determination is not required for these refrigerants.
              8.2.2.1 The sample cylinder shall be connected to an evacuated gas sampling bulb by means of a manifold. The manifold should have a valve arrangement that facilitates evacuation of all connecting tubing leading to the sampling bulb.
              8.2.2.2 After the manifold has been evacuated, close the valve to the pump and open the valve on the system. Allow the pressure to equilibrate and close valves.
              8.2.3 Liquid Phase Sample. A liquid phase sample is required for all tests listed in this standard, except the test for non-condensables.
              8.2.3.1 Place an empty sample cylinder with the valve open in an oven at 230 F [110 °C] for one hour. Remove it from the oven while hot, immediately connect to an evacuation system and evacuate to less than 1mm. mercury (1000 microns). Close the valve and allow it to cool.
              8.2.3.2 The valve and lines from the unit to be sampled shall be clean and dry. Connect the line to the sample cylinder loosely. Purge through the loose connection. Make the connection tight at the end of the purge period. Take the sample as a liquid by chilling the sample cylinder slightly. Accurate analysis requires that the sample container be filled to at least 60% by volume; however under no circumstances should the cylinder be filled to more than 80% by volume. This can be accomplished by weighing the empty cylinder and then the cylinder with refrigerant. When the desired amount of refrigerant has been collected, close the valve(s) and disconnect the sample cylinder immediately.
              8.2.3.3 Check the sample cylinder for leaks and record the gross weight.
              8.3 Water Content.

              8.3.1. The Coulometric Karl Fischer Titration shall be the primary test method for determining the water content of refrigerants. This method is described in Appendix A. This method can be used for refrigerants that are either a liquid or a gas at room temperature, including Refrigerants 11 and 13. For all refrigerants, the sample for water analysis shall be taken from the liquid phase of the container to be tested. Proper operation of the analytical method requires special equipment and an experienced operator. The precision of the results is excellent if proper sampling and handling procedures are followed. Refrigerants containing a colored dye can be successfully analyzed for water using this method.

              8.3.2 The Karl Fischer Test Method is an acceptable alternative test method for determining the water content of refrigerants. This method is described in ASTM Standard for “Water in gases Using Karl Fisher Reagent” E700-79, reapproved 1984 (American Society for Testing and Materials, Philadelphia, PA).
              8.3.3 Report the moisture level in parts per million by weight if a sample is required.
              8.4 Chloride. The refrigerant shall be tested for chlorides as an indication of the presence of hydrochloric or similar acids. The recommended procedure is intended for use with new or reclaimed refrigerants. Significant amounts of oil may interfere with the results by indicating a failure in the absence of chlorides.
              8.4.1 The test method shall be that described in Appendix A “Test Procedures for ARI-700.” The test will show noticeable turbidity at equivalent chloride levels of about 3 ppm by weight or higher.
              8.4.2 The results of the test shall not exhibit any sign of turbity. Report results as “pass” or “fail.”
              8.5 Acidity.

              8.5.1 The acidity test uses the titration principle to detect any compound that is highly soluble in water and ionizes as an acid. The test method shall be that described in Appendix A. “Test Procedures for ARI-700.” The test may not be suitable for determination of high molecular weight organic acids; however these acids will be found in the high boiling residue test outlined in Section 5.7. The test requires about a 100 to 120 gram sample and has a low detection limit of 0.1 ppm by weight as HC1.
              8.6 High Boiling Residue.
              8.6.1 High boiling residue will be determined by measuring the residue of a standard volume of refrigerant after evaporation. The refrigerant sample shall be evaporated at room temperature or a temperature 50 F [10°.0C], above the boiling point of the sample using a Goetz tube as specified in Appendix A “Test Procedures for ARI-700.” Oils and or organic acids will be captured by this method.
              8.6.2 The value for high boiling residue shall be expressed as a percentage by volume.
              8.7 Particulates/Solids.
              8.7.1 A measured amount of sample is evaporated from a Goetz bulb under controlled temperature conditions. The particulates/solids shall be determined by visual examination of the empty Goetz bulb after the sample has evaporated completely. Presence of dirt, rust or other particulate contamination is reported a “fail.” For details of this test method, refer to Appendix B “Test Procedures for ARI-700.”
              8.8 Non-Condensables
              8.8.1 A vapor phase sample shall be used for determination of non-condensables. Non-condensable gases consist primarily of air accumulated in the vapor phase of refrigerant containing tanks. The solubility of air in the refrigerants liquid phase is extremely low and air is not significant as a liquid phase contaminant. The presence of non-condensable gases may reflect poor quality control in transferring refrigerants to storage tanks and cylinders.
              8.8.2 The test method shall be gas chromatography with a thermal conductivity detector as described in Appendix A “Test Procedures for ARI-700.”
              8.8.2.1 The Federal Specification for “Fluorocarbon Refrigerants,” BB-F-1421B, dated March 5, 1992, section 4.4.2 (perchloroethylene method) is an acceptable alternate test method.
              8.8.3 Report the level of non-condensable as percent by volume.
              Section 9. Performance Calculation and Rating
              9.1 The liquid refrigerant recovery rate shall be expressed in pounds per minute [kg/min] and measured by weight change at the mixing chamber (See Figure 1) divided by elapsed time to an accuracy within .02 lbs/min. [.009 kg/min]. Ratings using the Push/Pull method shall be identified “Push/Pull”. Equipment may be rated by both methods.
              9.2 The vapor refrigerant recovery rate shall be expressed in pounds per minute [kg/min] and measured by weight change at the mixing chamber (See Figure 1) divided by elapsed time to an accuracy within .02 lbs/min. [.0.009 kg/min].
              9.3 The recycle rate is defined in 3.7 and expressed in pounds per minute [kg/min] of flow and shall be per ASHRAE 41.7-84 “Procedure For Fluid Measurement Of Gases” or ASHRAE 41.8-89 “Standard Method of Flow of Fluids—Liquids.”
              9.3.1 For equipment using multipass recycling or a separate sequence, the recycle rate shall be determined by dividing the net weight W of the refrigerant to be recycled by the actual time T required to recycle the refrigerant. Any set-up or operator interruptions shall not be included in the time T. The accuracy of the recycle rate shall be within .02 lbs/min. [.009 kg/min].
              9.3.2 If no separate recycling sequence is used, the recycle rate shall be the higher of the vapor refrigerant recovery rate or the liquid refrigerant recovery rate. The recycle rate shall match a process which leads to contaminant levels in 9.6. Specifically, a recovery rate determined from bypassing a contaminant removal device cannot be used as a recycle rate when the contaminant levels in 9.6 are determined by passing the refrigerant through the containment removal device.

              9.4 Refrigerant loss due to non-condensable purging shall be less than 5%. This rating shall be expressed as “passed” if less than 5%.

              This calculation will be based upon net loss of non-condensables and refrigerant due to the purge divided by the initial net content. The net loss shall be determined by weighing before and after the purge, by collecting purged gases, or an equivalent method.
              9.5 The final recovery vacuum shall be the mixing chamber pressure called for in 7.1.2.5 expressed in inches of mercury vacuum, [mm Hg or kP]. The accuracy of the measurement shall be within ±.1 inch [±2.5mm] of Hg and rounding down to the nearest whole number.

              9.6 The contaminant levels remaining after testing shall be published as follows:

              Moisture content, PPM by weight
              Chloride ions, Pass/Fail
              Acidity, PPM by weight
              High boiling residue, percentage by volume
              Particulate/solid, Pass/Fail
              Non-condensables, % by volume

              9.7 Product Literature: Except as provided under product labelling in Section 11. performance ratings per 9.1, 9.2, 9.3, and 9.5 must be grouped together and shown for all listed refrigerants (11.2) subject to limitations of 9.8. Wherever any contaminant levels per 9.6 are rated, all ratings in 9.6 must be shown for all listed refrigerants subject to limitations of 9.8. The type of equipment in 11.1 must be included with either grouping. Optional ratings in 9.8 need not be shown.
              9.8 Ratings shall include all of the parameters for each designed refrigerant in 11.2 as shown in Tables 2 and 3.

                Table 2—Performance

                  Parameter/type of equipment
                  Recovery
                  Recovery/ recycle
                  Recycle
                  System dependent equipment

                  Liquid refrigerant recovery rate
                  (2)
                  (2)
                  N/A
                  N/A

                  Vapor refrigerant recovery rate
                  (2)
                  (2)
                  N/A
                  N/A

                  Final recovery vacuum
                  (1)
                  (1)
                  N/A
                  (1)

                  Recycle rate
                  N/A
                  (1)
                  (1)
                  N/A

                  Refrigerant loss due to non-condensable purging
                  (3)
                  (1)
                  (1)
                  N/A

                  1 Mandatory rating.

                  2 For a recovery or recovery/recycle unit, one must rate for either liquid feed only or vapor feed only or can rate for both. If rating only the one, the other shall be indicated by “N/A.”

                  3 For Recovery Equipment, these parameters are optional. If not rated, use N/A.

                Table 3—Contaminants

                  Contaminant/type of equipment
                  Recovery
                  Recovery/recycle
                  Recycle
                  System dependent equipment

                  Moisture content
                  (*)
                  x
                  x
                  NA.

                  Chloride ions
                  (*)
                  x
                  x
                  NA.

                  Acidity
                  (*)
                  x
                  x
                  NA.

                  High boiling residue
                  (*)
                  x
                  x
                  NA.

                  Particulates
                  (*)
                  x
                  x
                  NA.

                  Non-condensables
                  (*)
                  x
                  x
                  NA.

                * For Recovery Equipment, these parameters are optional. If not rated, use N/A.
                x Mandatory rating.

              Section 10. Tolerances
              10.1 Any equipment tested shall produce contaminant levels not higher than the published ratings. The liquid refrigerant recovery rate, vapor refrigerant recovery rate, final recovery vacuum and recycle rate shall not be less than the published ratings.
              Section 11. Product Labelling
              11.1 Type of equipment. The type of equipment shall be as listed:

              11.1.1 Recovery only
              11.1.2 System Dependent Recovery
              11.1.3 Recovery/Recycle
              11.1.4 Recycle only

              11.2 Designated refrigerants and the following as applicable for each:

              11.2.1 Liquid Recovery Rate
              11.2.2 Vapor Recovery Rate
              11.2.3 Final Recovery Vacuum
              11.2.4 Recycle Rate
              11.3 The nameplate shall also conform to the labeling requirements established for certified recycling and recovery equipment established at 40 CFR 82.158(h).
              Attachment to Appendix B1

              Particulate Used in Standard Contaminated Refrigerant Sample.

              1. Particulate Specification
              1.1 The particulate material pm will be a blend of 50% coarse air cleaner dust as received, and 50% retained on a 200-mesh screen. The coarse air cleaner dust is available from: AC Spark Plug Division, General Motors Corporation, Flint, Michigan.
              1.2 Preparation of Particulate Materials
              To prepare the blend of contaminant, first wet screen a quantity of coarse air cleaner dust on a 200-mesh screen (particle retention 74 pm). This is done by placing a portion of the dust on a 200-mesh screen and running water through the screen while stirring the dust with the fingers. The fine contaminant particles passing through the screen are discarded. The +200 mesh particles collected on the screen are removed and dried for one hour at 230 F [110 °C]. The blend of standard contaminant is prepared by mixing 50% by weight of coarse air cleaner dust as received after drying for one hour at 230 F [110 °C] with 50% by weight of the +200 mesh screened dust.
              1.3 The coarse air cleaner dust as received and the blend used as the standard contaminant have the following approximate particle size analysis: Wt. % in various size ranges, pm.

                  Size range
                  As received
                  Blend

                   0-5
                  12
                  6

                   5-10
                  12
                  6

                  10-20
                  14
                  7

                  20-40
                  23
                  11

                  40-80
                  30
                  32

                  80-200
                  9
                  38

              [58 FR 28712, May 14, 1993, as amended at 59 FR 42960, Aug. 19, 1994. Redesignated and amended at 68 FR 43815, July 24, 2003]

              Pt. 82, Subpt. F, App. B2
              Appendix B2 to Subpart F of Part 82—Performance of Refrigerant Recovery, Recycling, and/or Reclaim Equipment
              This appendix is based on the Air-Conditioning and Refrigeration Institute Standard 740-1995.
              Section 1. Purpose
              1.1 Purpose. The purpose of this standard is to establish methods of testing for rating and evaluating the performance of refrigerant recovery, and/or recycling equipment and general equipment requirements (herein referred to as “equipment”) for contaminant or purity levels, capacity, speed and purge loss to minimize emission into the atmosphere of designated refrigerants.
              Section 2. Scope
              2.1 Scope. This standard applies to equipment for recovering and/or recycling single refrigerants, azeotropics, zeotropic blends, and their normal contaminants from refrigerant systems. This standard defines the test apparatus, test gas mixtures, sampling procedures and analytical techniques that will be used to determine the performance of refrigerant recovery and/or recycling equipment (hereinafter, “equipment”).
              Section 3. Definitions
              3.1 Definitions. All terms in this appendix will follow the definitions in § 82.152 unless otherwise defined in this appendix.
              3.2 Clearing Refrigerant. Procedures used to remove trapped refrigerant from equipment before switching from one refrigerant to another.
              3.3 High Temperature Vapor Recovery Rate. For equipment having at least one designated refrigerant (see 11.2) with a boiling point in the range of −50 to +10 °C, the rate will be measured for R-22, or the lowest boiling point refrigerant if R-22 is not a designated refrigerant.
              3.4 Published Ratings. A statement of the assigned values of those performance characteristics, under stated rating conditions, by which a unit may be chosen to fit its application. These values apply to all units of like nominal size and type (identification) produced by the same manufacturer. As used herein, the term “published rating” includes the rating of all performance characteristics shown on the unit or published in specifications, advertising or other literature controlled by the manufacturer, at stated rating conditions.
              3.5 Push/Pull Method. The push/pull refrigerant recovery method is defined as the process of transferring liquid refrigerant from a refrigeration system to a receiving vessel by lowering the pressure in the vessel and raising the pressure in the system, and by connecting a separate line between the system liquid port and the receiving vessel.
              3.6 Recycle Flow Rate. The amount of refrigerant processed divided by the time elapsed in the recycling mode. For equipment which uses a separate recycling sequence, the recycle rate does not include the recovery rate (or elapsed time). For equipment which does not use a separate recycling sequence, the recycle rate is a rate based solely on the higher of the liquid or vapor recovery rate, by which the contaminant levels were measured.
              3.7 Residual Trapped Refrigerant. Refrigerant remaining in equipment after clearing.
              3.8 Shall, Should, Recommended or It Is Recommended shall be interpreted as follows:
              3.8.1 Shall. Where “shall” or “shall not” is used for a provision specified, that provision is mandatory if compliance with this appendix is claimed.
              3.8.2 Should, Recommended or It Is Recommended is used to indicate provisions which are not mandatory but which are desirable as good practice.
              3.9 Standard Contaminated Refrigerant Sample. A mixture of new or reclaimed refrigerant and specified quantities of identified contaminants which constitute the mixture to be processed by the equipment under test. These contaminant levels are expected only from severe service conditions.
              3.10 Trapped Refrigerant. The amount of refrigerant remaining in the equipment after the recovery or recovery/recycling operation but before clearing.
              3.11 Vapor Recovery Rate. The average rate that refrigerant is withdrawn from the mixing chamber between two pressures as vapor recovery rate is changing pressure and temperature starting at saturated conditions either 24 °C or at the boiling point 100 kPa (abs), whichever is higher. The final pressure condition is 10% of the initial pressure, but not lower than the equipment final recovery vacuum and not higher than 100 kPa (abs).
              Section 4. General Equipment Requirements
              4.1 Equipment Information. The equipment manufacturer shall provide operating instructions, necessary maintenance procedures and source information for replacement parts and repair.
              4.2 Filter Replacement. The equipment shall indicate when any filter/drier(s) needs replacement. This requirement can be met by use of a moisture transducer and indicator light, by use of a sight glass/moisture indicator or by some measurement of the amount of refrigerant processed such as a flow meter or hour meter. Written instructions such as “to change the filter every 181 kg, or every 30 days” shall not be acceptable except for equipment in large systems where the liquid recovery rate is greater than 11.3 kg/min where the filter/drier(s) would be changed for every job.
              4.3 Purge of Non-Condensable. If non-condensables are purged, the equipment shall either automatically purge non-condensables or provide indicating means to guide the purge process.
              4.4 Purge Loss. The total refrigerant loss due to purging non-condensables, draining oil and clearing refrigerant (see 9.5) shall be less than 3% (by weight) of total processed refrigerant.
              4.5 Permeation Rate. High pressure hose assemblies 5/8 in. [16 mm] nominal and smaller shall not exceed a permeation rate of 3.9 g/cm2/yr (internal surface) at a temperature of 48.8 °C. Hose assemblies that UL recognized as having passed ANSI/UL 1963 requirements shall be accepted without testing. See 7.1.4.
              4.6 Clearing Trapped Refrigerant. For equipment rated for more than one refrigerant, the manufacturer shall provide a method and instructions which will accomplish connections and clearing within 15 minutes. Special equipment, other than a vacuum pump or manifold gauge set shall be furnished. The clearing procedure shall not rely upon the storage cylinder below saturated pressure conditions at ambient temperature.
              4.7 Temperature. The equipment shall be evaluated at 24 °C with additional limited evaluation at 40 °C. Normal operating conditions range from 10 °C to 40 °C.
              4.8 Exemptions. Equipment intended for recovery only shall be exempt from 4.2 and 4.3.
              Section 5. Contaminated Refrigerants
              5.1 Sample Characteristics. The standard contaminated refrigerant sample shall have the characteristics specified in Table 1, except as provided in 5.2.
              5.2 Recovery-Only Testing. Recovery equipment not rated for any specific contaminant shall be tested with new or reclaimed refrigerant.
              Section 6. Test Apparatus
              6.1 General Recommendations. The recommended test apparatus is described in the following paragraphs. If alternate test apparatus are employed, the user shall be able to demonstrate that they produce results equivalent to the specified referee apparatus.
              6.2 Self-Contained Equipment Test Apparatus. The apparatus, shown in Figure 1, shall consist of:
              6.2.1 Mixing Chamber. A mixing chamber consisting of a tank with a conical-shaped bottom, a bottom port and piping for delivering refrigerant to the equipment, various ports and valves for adding refrigerant to the chamber and stirring means for mixing.
              6.2.2 Filling Storage Cylinder. The storage cylinder to be filled by the refrigerant transferred shall be cleaned and at the pressure of the recovered refrigerant at the beginning of the test. It will not be filled over 80%, by volume.
              6.2.3 Vapor Feed. Vapor refrigerant feed consisting of evaporator, control valves and piping to create a 3.0 °C superheat condition at an evaporating temperature of 21 °C ±2K.
              6.2.4 Alternative Vapor Feed. An alternative method for vapor feed shall be to pass the refrigerant through a boiler and then through an automatic pressure regulating valve set at different saturation pressures, moving from saturated pressure at 24 °C to final pressure of recovery.
              6.2.5 Liquid Feed. Liquid refrigerant feed consisting of control valves, sampling port and piping.
              6.2.6 Instrumentation. Instrumentation capable of measuring weight, temperature, pressure and refrigerant loss, as required.

                Table 1—Standard Contaminated Refrigerant Samples

                  R11
                  R12
                  R13
                  R22
                  R113
                  R114
                  R123
                  R134a
                  R500
                  R502
                  R503

                  Moisture Content: ppm by Weight of Pure refrigerant
                  100
                  80
                  30
                  200
                  100
                  85
                  200
                  200
                  200
                  200
                  30

                  Particulate Content: ppm by Weight of Pure Refrigerant Characterized by 1

                  80
                  80
                  NA
                  80
                  80
                  80
                  80
                  80
                  80
                  80
                  NA

                  Acid Content: ppm by Weight of Pure Refrigerant—(mg KOH per kg Refrigerant) Characterized by 2

                  500
                  100
                  NA
                  500
                  400
                  200
                  500
                  100
                  100
                  100
                  NA

                  Mineral Oil Content:

                  % by Weight of Pure Refrigerant
                  20
                  5
                  NA
                  5
                  20
                  20
                  20
                  5
                  5
                  5
                  NA

                  Viscosity (SUS)
                  300
                  150

                  300
                  300
                  300
                  300
                  150 3

                  150
                  150

                  Non-Condensable Gases (Air Content): % by Volume
                  NA
                  3
                  3
                  3
                  NA
                  3
                  NA
                  3
                  3
                  3
                  3

                  1 Particulate content shall consist of inert materials and shall comply with particulate requirements in appendix B.

                  2 Acid consists of 60% oleic acid and 40% hydrochloric acid on a total number basis.

                  3 Synthetic ester-based oil.

                ER24JY03.007

              6.3 Size. The size of the mixing chamber shall be a minimum of .09 m3. The bottom port and the refrigerant feed shall depend on the size of the equipment. Typically, the mixing valves and piping shall be 9.5 mm. For large equipment to be used on chillers, the minimum inside diameter of ports, valves and pipings shall be the smaller of the manufacturer's recommendation or 37 mm.
              6.4 System Dependent Equipment Test Apparatus. This test apparatus is to be used for final recovery vacuum rating of all system dependent equipment.

              6.4.1 Test Setup. The test apparatus shown in Figure 2 consists of a complete refrigeration system. The manufacturer shall identify the refrigerants to be tested. The test apparatus can be modified to facilitate operation or testing of the system dependent equipment if the modifications to the apparatus are specifically described within the manufacturer's literature. (See Figure 2.) A 6.3 mm balance line shall be connected across the test apparatus between the high and low-pressure sides, with an isolation valve located at the connection to the compressor high side. A 6.3 mm access port with a valve core shall be located in the balance line for the purpose of measuring final recovery vacuum at the conclusion of the test.
              Section 7. Performance Testing
              7.1 General Testing.

              7.1.1 Temperatures. Testing shall be conducted at an ambient temperature of 24 °C ±1K except high temperature vapor recovery shall be at 40 °C ±1K. The evaporator conditions of 6.2.3 shall be maintained as long as liquid refrigerant remains in the mixing chamber.
              7.1.2 Refrigerants. The equipment shall be tested for all designated refrigerants (see 11.2). All tests in Section 7 shall be completed for each refrigerant before starting tests with the next refrigerant.
              7.1.3 Selected Tests. Tests shall be as appropriate for the equipment type and ratings parameters selected (see 9.9, 11.1 and 11.2).
              7.1.4 Hose Assemblies. For the purpose of limiting refrigerant emissions to the atmosphere, hose assemblies shall be tested for permeation according to ANSI/UL Standard 1963, Section 40.10.
              7.2 Equipment Preparation and Operation. The equipment shall be prepared and operated per the operating instructions.
              7.3 Test Batch. The test batch consisting of refrigerant sample (see Section 5) of the test refrigerant shall be prepared and thoroughly mixed. Continued mixing or stirring shall be required during the test while liquid refrigerant remains in the mixing chamber. The mixing chamber shall be filled to 80% level by volume.
              7.3.1 Control Test Batch. Prior to starting the test for the first batch for each refrigerant, a liquid sample will be drawn from the mixing chamber and analyzed per Section 8 to assure that contaminant levels match Table 1 within ±10 ppm for moisture, ±20 ppm for particulate, ±20 ppm for oleic acid and ±0.5% for oil.
              7.4 Recovery Tests (Recovery and Recovery/Recycle Equipment).

              7.4.1 Determining Recovery Rates. The liquid and vapor refrigerant recovery rates shall be measured during the first test batch for each refrigerant (see 9.1, 9.2 and 9.4). Equipment preparation and recovery cylinder changeover shall not be included in elapsed time measurements for determining vapor recovery rate and liquid refrigerant recovery rate. Operations such as subcooling the recovery cylinder shall be included. Recovery cylinder shall be the same size as normally furnished or specified in the instructions by the equipment manufacturer. Oversized tanks shall not be permitted.
              7.4.1.1 Liquid Refrigerant Recovery Rate. If elected, the recovery rate using the liquid refrigerant feed means (see 6.2.5) shall be determined. After the equipment reaches stabilized conditions of condensing temperature and/or recovery cylinder pressure, the recovery process shall be stopped and an initial weight shall be taken of the mixing chamber (see 9.2). The recovery process shall be continued for a period of time sufficient to achieve the accuracy in 9.4. The recovery process shall be stopped and a final weight shall be taken of the mixing chamber.

                ER24JY03.008

              7.4.1.2 Vapor Refrigerant Recovery Rate. If elected, the average vapor flow rate shall be measured to accuracy requirements in clause 9.4 under conditions with no liquid refrigerant in the mixing chamber. The liquid recovery feed means shall be used. At initial conditions of saturated vapor at the higher of 24 °C or the boiling temperature (100 kPa absolute pressure), the weight of the mixing chamber and the pressure shall be recorded. At final conditions representing pressure in the mixing chamber of 10% of the initial condition, but not less than the final recovery vacuum (see 9.6) nor more than 100 kPa, measure the weight of the mixing chamber and the elapsed time.
              7.4.1.3 High Temperature Vapor Recovery Rate. Applicable for equipment having at least one designated refrigerant (see 11.2) with a boiling point between −50 °C and +10 °C. Measure the rate for R-22, or the refrigerant with the lowest boiling point if R-22 is not a designated refrigerant. Repeat the test in 7.4.1.2 at saturated conditions at 40 °C and continue to operate equipment to assure it will achieve the final recovery vacuum (see 7.4.3).
              7.4.2 Recovery Operation. This test is for determining the final recovery vacuum and the ability to remove contaminants as appropriate. If equipment is rated for liquid recovery (see 7.4.1.3), liquid recovery feed means described in 6.2.5 shall be used. If not, vapor recovery means described in 6.2.3 or 6.2.4 shall be used. Continue recovery operation until all liquid is removed from the test apparatus and vapor is removed to the point where equipment shuts down by automatic means or is manually shut off per operating instructions.
              7.4.2.1 Oil Draining. Capture oil from the equipment at intervals as required in the instructions. Record the weight of the container. Completely remove refrigerant from oil by evacuation or other appropriate means. The weight difference shall be used in 9.5.2.
              7.4.3 Final Recovery Vacuum. At the end of the first test batch for each refrigerant, the liquid valve and vapor valve of the apparatus shall be closed. After waiting 1 minute, the mixing chamber pressure shall be recorded (see 9.6).
              7.4.4 Residual Refrigerant. This test will measure the mass of remaining refrigerant in the equipment after clearing and therefore the potential for mixing refrigerants (see 4.6).

              7.4.4.1 Initial Conditions. At the end of the last test for each batch for each refrigerant, the equipment shall be disconnected from the test apparatus (Figure 1). Recycle per 7.5, if appropriate. Perform refrigerant clearing operations as called for in the instruction manual. Capture and record the weight of any refrigerant which would have been emitted to the atmosphere during the clearing process for use in 9.5. If two loops are used for recycling, trapped refrigerant shall be measured for both.
              7.4.4.2 Residual Trapped Refrigerant. Evacuate an empty test cylinder to 1.0 kPa absolute. Record the empty weight of the test cylinder. Open all valves to the equipment so as to provide access to all trapped refrigerant. Connect the equipment to the test cylinder and operate valves to recover the residual refrigerant. Record the weight of the test cylinder using a recovery cylinder pressure no less than specified in 6.2.2. Place the test cylinder in liquid nitrogen for a period of 30 minutes or until a vacuum of 1000 microns is reached, whichever occurs first.
              7.5 Recycling Tests (Recovery/Recycle Equipment).

              7.5.1 Recycling Operation. As each recovery cylinder is filled in 7.4.2, recycle according to operating instructions. There will not necessarily be a separate recycling sequence. Note non-condensable purge measurement in 9.5.
              7.5.1.1 Recycle Flow Rate. While recycling the first recovery cylinder for each refrigerant, determine the recycling flow rate by appropriate means (see 9.3) to achieve the accuracy required in 9.4.
              7.5.2 Non-Condensable Sample. After completing 7.4.3, prepare a second test batch (7.3). Recover per 7.4.2 until the current recovery cylinder is filled to 80% level by volume. Recycle per 7.5.1. Mark this cylinder and set aside for taking the vapor sample. For equipment having both an internal tank of at least 3 kg refrigerant capacity and an external recovery cylinder, two recovery cylinders shall be marked and set aside. The first is the cylinder described above. The second cylinder is the final recovery cylinder after filling it to 80% level by volume and recycling.
              7.5.3 Liquid Sample for Analysis. Repeat steps 7.3, 7.4.2 and 7.5.1 with further test batches until indication means in 4.2 show the filter/drier(s) need replacing.
              7.5.3.1 Multiple Pass. For equipment with a separate recycling circuit (multiple pass), set aside the current cylinder and draw the liquid sample (see 7.4) from the previous cylinder.
              7.5.3.2 Single Pass. For equipment with the single pass recycling circuit, draw the liquid sample (see 7.4) from the current cylinder.
              7.6 Measuring Refrigerant Loss. Refrigerant loss due to non-condensables shall be determined by appropriate means (see 9.5.1). The loss could occur in 7.4.1, 7.4.2 and 7.5.1.
              Section 8. Sampling and Chemical Analysis Methods
              8.1 Chemical Analysis. Chemical analysis methods shall be specified in appropriate standards such as ARI 700-95 and Appendix C to ARI Standard 700-95.
              8.2 Refrigerant Sampling.

              8.2.1 Water Content. The water content in refrigerant shall be measured by the Karl Fischer Analytical Method or by the Karl Fischer Coulometric techniques. Report the moisture level in parts per million by weight.
              8.2.2 Chloride Ions. Chloride ions shall be measured by turbidity tests. At this time, quantitative results have not been defined. Report chloride content as “pass” or “fail.” In the future, when quantitative results are possible, report chloride content as parts per million by weight.
              8.2.3 Acidity. The acidity test uses the titration principle. Report the acidity in parts per million by weight (mg KOH/kg) of sample.
              8.2.4 High Boiling Residue. High boiling residues shall use measurement of the volume of residue after evaporating a standard volume of refrigerant. Using weight measurement and converting to volumetric units is acceptable. Report high boiling residues as percent by volume.
              8.2.5 Particulates/Solids. The particulates/solids measurement employs visual examination. Report results as “pass” or “fail.”
              8.2.6 Non-condensables. The level of contamination by non-condensable gases in the base refrigerant being recycled shall be determined by gas chromatography. Report results as percent by volume.
              Section 9. Performance Calculation and Rating
              9.1 Vapor Refrigerant Recovery Rate. This rate shall be measured by weight change of the mixing chamber divided by elapsed time (see 7.4.1.2). The units shall be kg/min and the accuracy shall be per 9.4.
              9.1.1 High Temperature Vapor Recovery Rate.

              9.2 Liquid Refrigerant Recovery Rate. This rate shall be measured by weight change of the mixing chamber divided by elapsed time (see 7.4.1.3). The units shall be kg/min and the accuracy shall be per 9.4.
              9.3 Recycle Flow Rate. The recycle flow rate shall be as defined in 3.10, expressed in kg/min, and the accuracy shall be per 9.4.

              9.3.1 For equipment using multi-pass recycling or a separate sequence, the recycle rate shall be determined by dividing the net weight W of the refrigerant to be recycled by the actual time T required to recycle. Any set-up or operator interruptions shall not be included in the time T.

              9.3.2 If no separate recycling sequence is used, the recycle rate shall be the higher of the vapor refrigerant recovery rate or the liquid refrigerant recovery rate. The recycle rate shall match a process which leads to contaminant levels in 9.9. Specifically, a recovery rate determined from bypassing a contaminant removal device cannot be used as a recycle rate when the contaminant levels in 9.9 are determined by passing the refrigerant through the contaminant removal device.
              9.4 Accuracy of Flow Rates. The accuracy of test measurements in 9.1, 9.2 and 9.3 shall be ±008 kg/min or flow rates up to .42 kg/min and ±2.0% for flow rates larger than .42 kg/min. Ratings shall be expressed to the nearest .02 kg/min.
              9.5 Refrigerant Loss. This calculation will be based upon the net loss of refrigerant which would have been eliminated in the non-condensable purge process (see 7.5.1), the oil draining process (see 7.4.2.1) and the refrigerant clearing process (see 7.4.4.1), all divided by the net refrigerant content of the test batches. The refrigerant loss shall not exceed 3% by weight.
              9.5.1 Non-Condensable Purge. Evacuate an empty container to 2 kPa absolute. Record the empty weight of the container. Place the container in a dry ice bath. Connect the equipment purge connection to the container and operate purge according to operating instructions so as to capture the non-condensables and lost refrigerant. Weigh the cylinder after the recycling is complete. Equivalent means are permissible.
              9.5.2 Oil Draining. Refrigerant removed from the oil after draining shall be collected and measured in accordance with 7.4.2.1.
              9.5.3 Clearing Unit. Refrigerant captured during the clearing process shall be measured in accordance with 7.4.4.1.
              9.6 Final Recovery Vacuum. The final recovery vacuum shall be the mixing chamber pressure in 7.4.3 expressed in kPa. The accuracy of the measurement shall be within 0.33 kPa.
              9.7 Residual Trapped Refrigerant. The amount of residual trapped refrigerant shall be the final weight minus the initial weight of the test cylinder in 7.4.4.2, expressed in kg. The accuracy shall be ±0.02 kg and reported to the nearest 0.05 kg.
              9.8 Quantity Recycled. The amount of refrigerant processed before changing filters (see 7.5.3) shall be expressed in kg to an accuracy of ±1%.
              9.9 Contaminant Levels. The contaminant levels remaining after testing shall be published as follows:
              Moisture content, ppm by weight
              Chloride ions, pass/fail
              Acidity, ppm by weight
              High boiling residue, % (by volume)
              Particulates-solid, pass/fail (visual examination)
              Non-condensables, % (by volume)
              9.10 Minimum Data Requirements for Published Ratings. Published ratings shall include all of the parameters as shown in Tables 2 and 3 for each refrigerant designated by the manufacturer.
              Section 10. Tolerances
              10.1 Tolerances. Performance related parameters shall not be less favorable than the published ratings.
              Section 11. Marking and Nameplate Data
              11.1 Marking and Nameplate Data. The nameplate shall display the manufacturer's name, model designation, type of equipment, designated refrigerants, capacities and electrical characteristics where applicable. The nameplate shall also conform to the labeling requirements established for certified recycling and recovery equipment established at 40 CFR 82.158(h).
              Recommended nameplate voltages for 60 Hertz systems shall include one or more of the utilization voltages shown in Table 1 of ARI Standard 110-90. Recommended nameplate voltages for 50 Hertz systems shall include one or more of the utilization voltages shown in Table 1 of IEC Standard Publication 38, IEC Standard Voltages.
              11.2 Data for Designated Refrigerants. For each refrigerant designated, the manufacturer shall include all the following that are applicable per Table 2:

              a. Liquid Recovery Rate
              b. Vapor Recovery Rate
              c. High Temperature Vapor Recovery Rate
              d. Final Recovery Vacuum
              e. Recycle Flow Rate
              f. Residual Trapped Refrigerant
              g. Quantity Recycled

                Table 2—Performance

                  Parameter/Type of equipment
                  Recovery
                  Recovery/Recycle
                  Recycle
                  Systemdependent
                    equipment

                  Liquid Refrigerant Recovery Rate
                  (1)
                  (1)
                  N/A
                  N/A

                  Vapor Refrigerant Recovery Rate
                  (1)
                  (1)
                  N/A
                  N/A

                  High Temp. Vapor Recovery Rate
                  (1)
                  (1)
                  N/A
                  N/A

                  Final Recovery Vacuum
                  (X)
                  (X)
                  N/A
                  (X)

                  Recycle Flow Rate
                  N/A
                  (X)
                  (X)
                  N/A

                  Refrigerant Loss
                  (3)
                  (X)
                  (X)
                  (3)

                  Residual Trapped Refrigerant
                  (2)
                  (2)
                  (2)
                  (2)

                  Quantity Recycled
                  N/A
                  (X)
                  (X)
                  N/A

                  X Mandatory rating.

                  1 For a recovery or recovery/recycle unit, one must rate either liquid refrigerant recovery rate or vapor refrigerant recovery rate or one can rate for both. If rating only the one, the other shall be indicated by N/A, “not applicable.”

                  2 Mandatory rating for equipment tested for multiple refrigerants.

                  3 Mandatory rating if multiple refrigerants, oil separation or non-condensable purge are rated.

                  Note: For recovery equipment, these parameters are optional. If not rated use N/A, “not applicable.”

                Table 3—Contaminants

                  Contaminant/Type of equipment
                  Recovery
                  Recovery/Recycle
                  Recycle
                  Systemdependent
                    equipment

                  Moisture Content
                  (*)
                  (X)
                  (X)
                  N/A

                  Chloride Ions
                  (*)
                  (X)
                  (X)
                  N/A

                  Acidity
                  (*)
                  (X)
                  (X)
                  N/A

                  High Boiling Residue
                  (*)
                  (X)
                  (X)
                  N/A

                  Particulates
                  (*)
                  (X)
                  (X)
                  N/A

                  Non-Condensables
                  (*)
                  (X)
                  (X)
                  N/A

                * For recovery equipment, these parameters are optional. If not rated, use N/A, “not applicable.”

                  X Mandatory rating.

              Attachment 1 to Appendix B2 to Subpart F of Part 82—References
              Listed here are all standards, handbooks, and other publications essential to the formation and implementation of the standard. All references in this appendix are considered as part of this standard.
              • ANSI/UL Standard 1963, Refrigerant Recovery/Recycling Equipment, First Edition, 1989, American National Standards Institute/Underwriters Laboratories, Inc.
              • ARI Standard 110-90, Air-Conditioning and Refrigerating Equipment Nameplate Voltages, Air-Conditioning and Refrigeration Institute
              • ARI Standard 700-95, Specifications for Fluorocarbon and Other Refrigerants, Air-Conditioning and Refrigeration Institute
              • ASHRAE Terminology of Heating, Ventilation, Air Conditioning, Refrigeration, & Refrigeration, American Society of Heating, Refrigerating, and Air-Conditioning Engineers, Inc., 1991
              • IEC Standard Publication 38, IEC Standard Voltages, International Electrotechnical Commission, 1983
              Attachment 2 to Appendix B2 to Subpart F of Part 82-Particulate Used in Standard Contaminated Refrigerant Sample
              1. Particulate Specification
              B1.1 The particulate material (pm) will be a blend of 50% coarse air cleaner dust as received, and 50% retained on a 200-mesh screen. The coarse air cleaner dust is available from: AC Spark Plug Division; General Motors Corporation; Flint, Michigan.
              B1.2 Preparation of Particulate Materials.

              To prepare the blend of contaminant, first wet screen a quantity of coarse air cleaner dust on a 200-mesh screen (particle retention 74 pm). This is done by placing a portion of the dust on a 200-mesh screen and running water through the screen while stirring the dust with the fingers. The fine contaminant particles passing through the screen are discarded. The +200-mesh particles collected on the screen are removed and dried for one hour at 110 °C. The blend of standard contaminant is prepared by mixing 50% by weight of coarse air cleaner dust as received (after drying for one hour at 110 °C) with 50% by weight of the +200 mesh screened dust.
              B1.3 Particle Size Analysis.

              The coarse air cleaner dust as received and the blend used as the standard contaminant have the following approximate particle size analysis:
              Wt. % in various size ranges, pm.

                  Size range
                  As received
                  Blend

                  0-5
                  12
                  6

                  5-10
                  12
                  6

                  10-20
                  14
                  7

                  20-40
                  23
                  11

                  40-80
                  30
                  32

                  80-200
                  9
                  38

              [68 FR 43815, July 24, 2003; 68 FR 54678, Sept. 18, 2003]

              Pt. 82, Subpt. F, App. B3
              Appendix B3 to Subpart F of Part 82—Performance of Refrigerant Recovery, Recycling, and/or Reclaim Equipment

              This appendix is based on the Air-Conditioning, Heating, and Refrigeration Institute Standard 740-2016, Performance Rating of Refrigerant Recovery Equipment and Recovery/Recycling Equipment.

              Section 1. Purpose
              1.1 The purpose of this standard is to establish methods of testing for rating and evaluating the performance of refrigerant recovery, and/or recycling equipment and general equipment requirements (herein referred to as “equipment”) for contaminant or purity levels, capacity, speed and purge loss to minimize emission into the atmosphere of designated refrigerants.
              Section 2. Scope
              2.1 This standard applies to equipment for recovering and/or recycling single refrigerants, azeotropes, zeotropic blends, and their normal contaminants from refrigerant systems. This standard defines the test apparatus, test gas mixtures, sampling procedures and analytical techniques that will be used to determine the performance of refrigerant recovery and/or recycling equipment (hereinafter, “equipment”). Appendix B4 of this subpart establishes standards for recovery/recycling equipment used with flammable refrigerants.
              Section 3. Definitions
              3.1 Definitions. All terms in this appendix will follow the definitions in § 82.152 unless otherwise defined in this appendix.
              3.2 Clearing Refrigerant. Procedures used to remove trapped refrigerant(s) from equipment before switching from one refrigerant to another.
              3.3 High Temperature Vapor Recovery Rate. For equipment having at least one designated refrigerant (see Section 11.2 of this appendix) with a boiling point in the range of −50 to +10 °C, the rate will be measured for R-22, or the lowest boiling point refrigerant if R-22 is not a designated refrigerant.
              3.4 Published Ratings. A statement of the assigned values of those performance characteristics, under stated rating conditions, by which a unit may be chosen to fit its application. These values apply to all units of like nominal size and type (identification) produced by the same manufacturer. As used herein, the term “published rating” includes the rating of all performance characteristics shown on the unit or published in specifications, advertising, or other literature controlled by the manufacturer, at stated rating conditions.
              3.5 Push/Pull Liquid Recovery. The push/pull refrigerant recovery method is defined as the process of transferring liquid refrigerant from a refrigeration system to a receiving vessel by lowering the pressure in the vessel and raising the pressure in the system, and by connecting a separate line between the system liquid port and the receiving vessel.
              3.6 Recycle Flow Rate. The amount of refrigerant processed divided by the time elapsed in the recycling mode. For equipment which uses a separate recycling sequence, the recycle rate does not include the recovery rate (or elapsed time). For equipment which does not use a separate recycling sequence, the recycle rate is a rate based solely on the higher of the liquid or vapor recovery rate, by which the contaminant levels were measured.
              3.7 Residual Trapped Refrigerant. Refrigerant remaining in equipment after clearing refrigerant.
              3.8 Shall, Should, Recommended or It Is Recommended shall be interpreted as follows:
              3.8.1 Shall. Where “shall” or “shall not” is used for a provision specified, that provision is mandatory if compliance with this appendix is claimed.
              3.8.2 Should, Recommended or It Is Recommended is used to indicate provisions which are not mandatory but which are desirable as good practice.
              3.9 Standard Contaminated Refrigerant Sample. A mixture of new or reclaimed refrigerant and specified quantities of identified contaminants which constitute the mixture to be processed by the equipment under test. These contaminant levels are expected only from severe service conditions.
              3.10 Trapped Refrigerant. The amount of refrigerant remaining in the equipment after the recovery or recovery/recycling operation but before clearing refrigerant.
              3.11 Vapor Recovery Rate. The average rate that refrigerant is withdrawn from the mixing chamber between two pressures as vapor recovery rate is changing depending on the pressure. The initial condition is vapor only at saturation pressure and temperature at either 24 °C or at the boiling point at 100 kPa, whichever is higher. The final pressure condition is 10 percent of the initial pressure, but not lower than the equipment final recovery vacuum and not higher than 100 kPa.
              Section 4. General Equipment Requirements
              4.1 Equipment Information. The equipment manufacturer shall provide operating instructions, necessary maintenance procedures, and source information for replacement parts and repair.
              4.2 Filter Replacement. The equipment shall indicate when any filter/drier(s) needs replacement. This requirement can be met by use of a moisture transducer and indicator light, by use of a sight glass/moisture indicator, or by some measurement of the amount of refrigerant processed such as a flow meter or hour meter. The equipment manufacturer must provide maximum quantity recycled or filter change interval in its written instructions.
              4.3 Purge of Non-Condensable. If non-condensables are purged, the equipment shall either automatically purge non-condensables or provide an indicating means to guide the purge process. Recycling equipment must provide purge means.
              4.4 Purge Loss. The total refrigerant loss due to purging non-condensables, draining oil, and clearing refrigerant (see Section 9.5) shall be less than 3 percent (by weight) of total processed refrigerant.
              4.5 Permeation Rate. High pressure hose assemblies 5/8 in. (16 mm) nominal and smaller shall not exceed a permeation rate of 3.9 g/cm2/yr (internal surface) at a temperature of 48.8 °C. Hose assemblies that UL recognized as having passed UL 1963, 2011 requirements shall be accepted without testing. See Section 7.1.4 of this appendix.
              4.6 Clearing Trapped Refrigerant. For equipment rated for more than one refrigerant, the manufacturer shall provide a method and instructions which will accomplish connections and clearing within 15 minutes. Special equipment, other than a vacuum pump or manifold gauge set, shall be furnished. The clearing procedure shall not rely upon the storage cylinder below saturated pressure conditions at ambient temperature.
              4.7 Temperature. The equipment shall be evaluated at 24 °C with additional limited evaluation at 40 °C. Normal operating conditions range from 10 °C to 40 °C.
              4.8 Exemptions. Equipment intended for recovery only shall be exempt from Sections 4.2 and 4.3.
              Section 5. Contaminated Refrigerants
              5.1 Sample Characteristics. The standard contaminated refrigerant sample shall have the characteristics specified in Table 1, except as provided in Section 5.2 of this appendix. Testing shall be conducted at an ambient temperature of 24 °C ± 1 °C except high temperature vapor recovery shall be 40 °C ± 1 °C.
              5.2 Recovery-only Testing. Recovery equipment not rated for removal of contaminants shall be tested with new or reclaimed refrigerant.

                ER18NO16.093

              Section 6. Test Apparatus
              6.1 General Recommendations. The recommended test apparatus is described in the following paragraphs. If alternate test apparatus are employed, the user shall be able to demonstrate that they produce results equivalent to the specified reference apparatus.

              6.2 Self-Contained Equipment Test Apparatus. The apparatus, shown in Figure 1, shall consist of:
              6.2.1 Mixing Chamber. A mixing chamber consisting of a tank with a conical-shaped bottom, a bottom port and piping for delivering refrigerant to the equipment, various ports and valves for adding refrigerant to the chamber, and stirring means for mixing.
              6.2.2 Filling Storage Cylinder. The storage cylinder to be filled by the refrigerant transferred shall be cleaned and at the pressure of the recovered refrigerant at the beginning of the test. It will not be filled over 80 percent, by volume.
              6.2.3 Vapor Feed. Vapor refrigerant feed consisting of evaporator, control valves and piping to create a 3.0 °C superheat condition at an evaporating temperature of 21 °C ± 2 °C.
              6.2.4 Alternative Vapor Feed. An alternative method for vapor feed shall be to pass the refrigerant through a boiler and then through an automatic pressure regulating valve set at different saturation pressures, moving from saturated pressure at 24 °C to final pressure of recovery.
              6.2.5 Liquid Feed. Liquid refrigerant feed consisting of control valves, sampling port, and piping.
              6.2.6 Instrumentation. Instrumentation capable of measuring weight, temperature, pressure, and refrigerant loss, as required.

                ER18NO16.094

              6.3 Size. The size of the mixing chamber and filling storage cylinder used during testing shall correspond to the size of the equipment being tested per Section 6.3.1 or 6.3.2:
              6.3.1 For equipment utilizing nominal 1/4″ or 3/8″ flare ports and hoses, the mixing chamber shall be 0.09 m3 and all ports, valves, mixing valves, and piping shall be 1/2″ or larger, reduced down to the port size of the equipment by fittings at the connection ports of the mixing chamber. The filling storage cylinder used during testing shall be a nominal 50-pound water capacity DOT 4Bx cylinder with 1/4″ flare liquid and vapor ports.

              6.3.2 For equipment utilizing 1/2″ or larger flare ports and hoses, the mixing chamber shall be 0.45 m3 (or nominal 1000-pound water capacity DOT 4Bx cylinder) and all ports, valves, mixing valves, and piping shall be 11/2″ or larger, reduced down to the port size of the equipment by fittings at the connection ports of the mixing chamber. The filling storage cylinder used during testing shall be a nominal 1000-pound water capacity DOT 4Bx cylinder with liquid and vapor ports, valves and piping sized 3/4″ NPT and reduced or increased to the port size of the equipment by fittings at the connection ports of the filling storage cylinder.

              6.4 System Dependent Equipment Test Apparatus. This test apparatus is to be used for final recovery vacuum rating of all system dependent equipment.
              6.4.1 Test Setup. The test apparatus shown in Figure 2 consists of a complete refrigeration system. The manufacturer shall identify the refrigerants to be tested. The test apparatus can be modified to facilitate operation or testing of the system dependent equipment if the modifications to the apparatus are specifically described within the manufacturer's literature. A 6.3 mm balance line shall be connected across the test apparatus between the high- and low-pressure sides, with an isolation valve located at the connection to the compressor high side. A 6.3 mm access port with a valve core shall be located in the balance line for the purpose of measuring final recovery vacuum at the conclusion of the test.

                ER18NO16.095

              Section 7. Performance Testing Procedures
              7.1 General Testing.

              7.1.1 Temperatures. Testing shall be conducted at an ambient temperature of 24 °C ± 1 °C except high temperature vapor recovery shall be at 40 °C ± 1 °C. The evaporator conditions of Section 6.2.3 shall be maintained as long as liquid refrigerant remains in the mixing chamber.
              7.1.2 Refrigerants. The equipment shall be tested for all designated refrigerants (see Section 11.2). All tests in Section 7 shall be completed for each refrigerant before starting tests with the next refrigerant.
              7.1.3 Selected Tests. Tests shall be as appropriate for the equipment type and ratings parameters selected (see Sections 9.9, 11.1 and 11.2).
              7.1.4 Hose Assemblies. For the purpose of limiting refrigerant emissions to the atmosphere, hose assemblies shall be tested for permeation according to UL Standard 1963 (incorporated by reference, see § 82.168).
              7.2 Equipment Preparation and Operation. The equipment shall be prepared and operated per the operating instructions.
              7.3 Test Batch. The test batch consisting of refrigerant sample (see Section 5) of the test refrigerant shall be prepared and thoroughly mixed. Continued mixing or stirring shall be required during the test while liquid refrigerant remains in the mixing chamber. The mixing chamber shall be filled to 80 percent level by volume.
              7.3.1 Control Test Batch. Prior to starting the test for the first batch for each refrigerant, a liquid sample will be drawn from the mixing chamber and analyzed per Section 8 to assure that contaminant levels match Table 1 within ±10 ppm for moisture, ±20 ppm for oleic acid and ±0.5 percent for oil.
              7.4 Recovery Tests (Recovery and Recovery/Recycling Equipment)

              7.4.1 Determining Recovery Rates. The liquid and vapor refrigerant recovery rates shall be measured during the first test batch for each refrigerant (see Sections 9.1, 9.2 and 9.4). Equipment preparation and recovery cylinder changeover shall not be included in elapsed time measurements for determining vapor recovery rate and liquid refrigerant recovery rate. Operations such as subcooling the recovery cylinder shall be included. The recovery cylinder shall be the same size as per Section 6.3 or as furnished by the equipment manufacturer. Oversized tanks shall not be permitted.
              7.4.1.1 Liquid Refrigerant Recovery Rate. If elected, the recovery rate using the liquid refrigerant feed means (see Section 6.2.5) shall be determined. After the equipment reaches stabilized conditions of condensing temperature and/or recovery cylinder pressure, the recovery process shall be stopped and an initial weight shall be taken of the mixing chamber (see Section 9.2). The recovery process shall be continued for a period of time sufficient to achieve the accuracy in Section 9.4. The recovery process shall be stopped and a final weight of the mixing chamber shall be taken.
              7.4.1.2 Vapor Refrigerant Recovery Rate. If elected, the average vapor flow rate shall be measured to accuracy requirements in Section 9.4 under conditions with no liquid refrigerant in the mixing chamber. The liquid recovery feed means shall be used. At initial conditions of saturated vapor at the higher of 24 °C or the boiling temperature (100 kPa), the weight of the mixing chamber and the pressure shall be recorded. At final conditions representing pressure in the mixing chamber of 10 percent of the initial condition, but not less than the final recovery vacuum (see Section 9.6) nor more than 100 kPa, measure the weight of the mixing chamber and the elapsed time. At initial conditions, the recovery cylinder shall be at saturation pressure at ambient conditions.
              7.4.1.3 High Temperature Vapor Recovery Rate. This is applicable for equipment having at least one designated refrigerant (see Section 11.2) with a boiling point between −50 °C and +10 °C. Measure the rate for R-22, or the refrigerant with the lowest boiling point if R-22 is not a designated refrigerant. Repeat the test in Section 7.4.1.2 at saturated conditions at 40 °C and continue to operate equipment to assure it will operate at this condition (see Section 7.4.3). At initial conditions, the recovery cylinder shall be at saturated pressure at 40 °C.
              7.4.1.4 Push/Pull Liquid Refrigerant Recovery Rate. If elected, the average liquid push/pull flow rate shall be measured to accuracy requirements in Section 9.4. The mixing chamber and filling storage cylinder shall be filled with refrigerant vapor at initial conditions of saturated vapor at the higher of 24 °C or the boiling temperature at 100 kPa. An amount of liquid refrigerant shall be added to the mixing chamber equivalent to 80 percent by weight of the capacity of the filling storage cylinder. The pressure between the mixing chamber and filling storage cylinder shall be equalized and stabilized at initial conditions of saturated vapor at the higher of 24 °C or the boiling temperature at 100 kPa. The initial weight of the mixing chamber and the pressure shall be recorded. The equipment is then operated in push/pull liquid recovery mode and the weight change of the mixing chamber is recorded over time until all of the liquid has been transferred.
              7.4.2 Recovery Operation. This test is for determining the final recovery vacuum and the ability to remove contaminants as appropriate. If equipment is rated for liquid recovery (see Section 7.4.1.3), liquid recovery feed means described in Section 6.2.5 shall be used. If not, vapor recovery means described in Sections 6.2.3 or 6.2.4 shall be used. Continue recovery operation until all liquid is removed from the test apparatus and vapor is removed to the point where equipment shuts down by automatic means or is manually shut off per operating instructions.
              7.4.2.1 Oil Draining. Capture oil from the equipment at intervals as required in the instructions. Record the weight of the container. Completely remove refrigerant from oil by evacuation or other appropriate means. The weight difference shall be used in Section 7.5.2.
              7.4.3 Final Recovery Vacuum. At the end of the first test batch for each refrigerant, the liquid valve and vapor valve of the apparatus shall be closed. After waiting 1 minute, the mixing chamber pressure shall be recorded (see Section 9.6).

              7.4.4 Residual Refrigerant. This test will measure the mass of remaining refrigerant in the equipment after clearing and therefore the extent of mixing different refrigerants (see Section 9.6).
              7.4.4.1 Initial Conditions. At the end of the last test for each batch for each refrigerant, the equipment shall be disconnected from the test apparatus (Figure 1). Recycle per Section 7.5, if appropriate. Perform refrigerant clearing operations as called for in the instruction manual. Capture and record the weight of any refrigerant which would have been emitted to the atmosphere during the clearing process for use in Section 9.5. If two loops are used for recycling, trapped refrigerant shall be measured for both.
              7.4.4.2 Residual Trapped Refrigerant. Evacuate an empty test cylinder to 1.0 kPa. Record the empty weight of the test cylinder. Open all valves to the equipment so as to provide access to all trapped refrigerant. Connect the equipment to the test cylinder and operate valves to recover the residual refrigerant. Record the weight of the test cylinder using a recovery cylinder pressure no less than specified in Section 6.2.2. Place the test cylinder in liquid nitrogen for a period of 30 minutes or until a vacuum of 1000 microns is reached, whichever occurs first.
              7.5 Recycling Tests (Recovery/Recycling Equipment).

              7.5.1 Recycling Operation. As each recovery cylinder is filled in Section 7.4.2, recycle according to operating instructions. There will not necessarily be a separate recycling sequence. Note non-condensable purge measurement in Section 9.5.
              7.5.1.1 Recycle Flow Rate. While recycling the first recovery cylinder for each refrigerant, determine the recycling flow rate by appropriate means (see Section 9.3) to achieve the accuracy required in Section 9.4.
              7.5.2 Non-Condensable Sample. After completing Section 7.4.3, prepare a second test batch (see Section 7.3). Recover per Section 7.4.2 until the current recovery cylinder is filled to 80 percent level by volume. Recycle per Section 7.5.1. Mark this cylinder and set aside for taking the vapor sample. For equipment having both an internal tank of at least 3 kg refrigerant capacity and an external recovery cylinder, two recovery cylinders shall be marked and set aside. The first is the cylinder described above. The second cylinder is the final recovery cylinder after filling it to 80 percent level by volume and recycling.
              7.5.2.1 Push/Pull Liquid Refrigerant Recovery Rate. This rate shall be measured by weight change of the mixing chamber divided by elapsed time (see Section 7.4.1.4). The units shall be kg/min and the accuracy shall be per Section 9.4.
              7.5.3 Liquid Sample for Analysis. Repeat steps in Sections 7.3, 7.4.2 and 7.5.1 with further test batches until indication means in Section 4.2 show the filter/drier(s) need replacing.
              7.5.3.1 Multiple Pass. For equipment with a separate recycling circuit (multiple pass), set aside the current cylinder and draw the liquid sample (see Section 7.4) from the previous cylinder.
              7.5.3.2 Single Pass. For equipment with the single pass recycling circuit, draw the liquid sample (see Section 7.4) from the current cylinder.
              7.6 Measuring Refrigerant Loss. Refrigerant loss due to non-condensables shall be determined by appropriate means (see Section 9.5.1). The loss could occur in Sections 7.4.1, 7.4.2 and 7.5.1.
              Section 8. Sampling and Chemical Analysis Methods
              8.1 Chemical Analysis. Chemical analysis methods shall be specified in appropriate standards such as AHRI Standard 700, 2008 Appendix C for Analytical Procedures for AHRI Standard 700-2014- Normative, and Addendum 700-1 to Appendix C. If alternate test methods are employed, the laboratory must be able to demonstrate that they produce results equivalent to the specified referee method.
              8.2 Refrigerant Sampling.

              8.2.1 Moisture Content. The water content in refrigerant shall be measured by the Karl Fischer Coulometric Titration technique. Report the moisture level in parts per million by weight.
              8.2.2 Chloride Ions. Chloride ions shall be measured by turbidity tests. At this time, quantitative results have not been defined. Report chloride content as “pass” or “fail.” In the future, when quantitative results are possible, report chloride content as parts per million by weight.
              8.2.3 Acid Content. The acidity test uses the titration principle. Report the acidity in parts per million by weight (mg KOH/kg) of sample.
              8.2.4 High Boiling Residue. High boiling residues shall use measurement of the volume of residue after evaporating a standard volume of refrigerant. Using weight measurement and converting to volumetric units is acceptable. Report high boiling residues as percent by volume.
              8.2.5 Particulates/Solids. The particulates/solids measurement employs visual examination. Report results as “pass” or “fail.”
              8.2.6 Non-condensables. The level of contamination by non-condensable gases in the base refrigerant being recycled shall be determined by gas chromatography. Report results as percent by volume.
              Section 9. Performance Calculations for Ratings
              9.1 Vapor Refrigerant Recovery Rate. This rate shall be measured by weight change of the mixing chamber divided by elapsed time (see 7.4.1.2). The units shall be kg/min and the accuracy shall be per Section 9.4.
              9.1.1 High Temperature Vapor Recovery Rate. This rate shall be measured by measured weight change of the mixing chamber divided by elapsed time (see Section 7.4.1.3). The units shall be kg/min and the accuracy shall be per Section 9.4.
              9.2 Liquid Refrigerant Recovery Rate. This rate shall be measured by weight change of the mixing chamber divided by elapsed time (see 7.4.1.3). The units shall be kg/min and the accuracy shall be per Section 9.4.
              9.3 Recycle Flow Rate. The recycle flow rate shall be as defined in Section 3.12, expressed in kg/min, and the accuracy shall be per Section 9.4.
              9.3.1 For equipment using multi-pass recycling or a separate sequence, the recycle rate shall be determined by dividing the net weight, W, of the refrigerant to be recycled by the actual time T required to recycle. Any set-up or operator interruptions shall not be included in the time T.
              9.3.2 If no separate recycling sequence is used, the recycle rate shall be the higher of the vapor refrigerant recovery rate or the liquid refrigerant recovery rate. The recycle rate shall match a process which leads to contaminant levels in Section 9.9. Specifically, a recovery rate determined from bypassing a contaminant removal device cannot be used as a recycle rate when the contaminant levels in Section 9.9 are determined by passing the refrigerant through the contaminant removal device.
              9.4 Accuracy of Flow Rates. The accuracy of test measurements in Sections 9.1, 9.2 and 9.3 shall be ±008 kg/min for flow rates up to 0.42 kg/min and ±2.0 percent for flow rates larger than 0.42 kg/min. Ratings shall be expressed to the nearest 0.02 kg/min.
              9.5 Refrigerant Loss. This calculation will be based upon the net loss of refrigerant which would have been eliminated in the non-condensable purge process (see Section 7.5.1), the oil draining process (see Section 7.4.2.1) and the refrigerant clearing process (see Section 7.4.4.1), all divided by the net refrigerant content of the test batches. The refrigerant loss shall not exceed 3 percent by weight.
              9.5.1 Non-Condensable Purge. Evacuate an empty container to 2 kPa. Record the empty weight of the container. Place the container in a dry ice bath. Connect the equipment purge connection to the container and operate purge according to operating instructions so as to capture the non-condensables and lost refrigerant. Weigh the cylinder after the recycling is complete. Equivalent means are permissible.
              For units which either recycle or publish (list) non-condensable removal, non-condensable gases are purged, operating the recycle device per the manufacturer's instructions through an evaporator pressure regulator (EPR) valve into a liquid nitrogen-chilled cylinder. This combination will simulate the atmosphere while allowing the capture of purge gases. The cylinder is weighed before and after the purge procedure.
              9.5.2 Oil Draining. Refrigerant removed from the oil after draining shall be collected and measured in accordance with Section 7.4.2.1.
              9.5.3 Clearing Unit. Refrigerant captured during the clearing process shall be measured in accordance with Section 7.4.4.1.
              9.6 Final Recovery Vacuum. The final recovery vacuum shall be the mixing chamber pressure in Section 7.4.3 expressed in kPa at 24 °C. The accuracy of the measurement shall be within 0.33 kPa.
              9.7 Residual Trapped Refrigerant. The amount of residual trapped refrigerant shall be the final weight minus the initial weight of the test cylinder in Section 7.4.4.2, expressed in kg. The accuracy shall be ±0.02 kg and reported to the nearest 0.05 kg.
              9.8 Refrigerant Processed. The amount of refrigerant processed before changing filters (see Section 7.5.3) shall be expressed in kg to an accuracy of ±1 percent.
              9.9 Contaminant Levels. The contaminant levels remaining after testing shall be published as follows:

              Moisture content, ppm by weight
              Chloride ions, pass/fail
              Acid Content, ppm by weight
              High boiling residue, percent (by volume)
              Particulates/solids, pass/fail (visual examination)
              Non-condensables, percent (by volume)

              9.10 Minimum Data Requirements for Published Ratings. Published ratings shall include all of the parameters as shown in Tables 2 and 3 for each refrigerant designated by the manufacturer.
              Section 10. Tolerances
              10.1 Tolerances. Performance related parameters shall be equal to or better than the published ratings.
              Section 11. Marking and Nameplate Data
              11.1 Marking and Nameplate Data. The nameplate shall display the manufacturer's name, model designation, type of equipment (Recovery or Recovery/Recycling and Self-Contained or System Dependent), designated refrigerant(s), capacities, and electrical characteristics where applicable. The nameplate shall also conform to the labeling requirements established for certified recycling and recovery equipment established at 40 CFR 82.158(h).

              Recommended nameplate voltages for 60 Hertz systems shall include one or more of the equipment nameplate voltages shown in Table 1 of AHRI 110-2016 (incorporated by reference, see § 82.168). Recommended nameplate voltages for 50 Hertz systems shall include one or more of the utilization voltages shown in Table 1 of IEC 60038 (English version) (incorporated by reference, see § 82.168).
              11.2 Data for Designated Refrigerants. For each refrigerant designated, the manufacturer shall include all the following that are applicable per Table 2:

              a. Liquid Recovery Rate, kg/min
              b. Vapor Recovery Rate, kg/min
              c. High Temperature Vapor Recovery Rate, kg/min
              d. Push/Pull Liquid Recovery Rate, kg/min
              e. Final Recovery Vacuum Level, kPa
              f. Recycle Flow Rate, kg/min
              g. Refrigerant Loss, kg
              h. Residual Trapped Refrigerant, kg
              i. Quantity of Refrigerant Processed at Rated Conditions, kg

                Table 2—Performance Ratings for Refrigerant Recovery and Recovery/Recycling Equipment 4 5

                  Parameter
                  Type of equipment
                  Recovery
                  Recovery/recycling

                  Recycling
                  Systemdependent
                    equipment

                  Liquid Refrigerant Recovery Rate, kg/min
                  X 1 4

                  X1

                  N/A 5

                  N/A

                  Vapor Refrigerant Recovery Rate, kg/min
                  X 1

                  X 1

                  N/A
                  N/A

                  High Temperature Vapor Recovery Rate, kg/min
                  X 1

                  X 1

                  N/A
                  N/A

                  Push/Pull Liquid Recovery Rate, kg/min
                  X 1

                  X 1

                  N/A
                  N/A

                  Final Recovery Vacuum Level, kPa
                  X
                  X
                  N/A
                  X

                  Recycle Flow Rate, kg/min
                  N/A
                  X
                  X
                  N/A

                  Refrigerant Loss, kg
                  X 2

                  X
                  X
                  X 3

                  Residual Trapped Refrigerant, kg
                  X 3

                  X 2

                  X 2

                  X 2

                  Quantity of Refrigerant Processed at Rated Conditions, kg
                  N/A
                  X
                  X
                  N/A

                  1 For a recovery or recovery/recycle unit, one must rate either liquid refrigerant recovery rate or vapor refrigerant recovery rate or one can rate for both. If rating only one, the other shall be indicated by N/A, “not applicable.”

                  2 Mandatory rating if multiple refrigerants, oil separation or non-condensable purge are rated.

                  3 Mandatory rating for equipment tested for multiple refrigerants.

                  4 “X” denotes mandatory rating or equipment requirements.

                  5 “N/A” indicates “Not Applicable” for a parameter that does not have a rating.

                Table 3—Contaminant Removal Ratings for Refrigerant Recovery and Recovery/Recycling Equipment 1 2

                  Contaminant
                  Type of equipment
                  Recovery
                  Recovery/recycling

                  Recycling
                  Systemdependent
                    equipment

                  Moisture Content, ppm by weight
                  N/A 2

                  X 1

                  X
                  N/A

                  Chloride Ions, pass/fail
                  N/A
                  X
                  X
                  N/A

                  Acid Content, ppm by weight
                  N/A
                  X
                  X
                  N/A

                  High Boiling Residue, % by volume
                  N/A
                  X
                  X
                  N/A

                  Particulates/solids, pass/fail
                  N/A
                  X
                  X
                  N/A

                  Non-condensables, % by volume
                  N/A
                  X
                  X
                  N/A

                  1 “X” denotes mandatory rating.

                  2 “N/A” indicates “Not Applicable” for a parameter that does not have a rating.

              Section 12. References

              Listed here are all standards, handbooks, and other publications essential to the formation and implementation of the standard. All references in this appendix are considered as part of this standard.

              • UL 1963, Standard for Safety Refrigerant Recovery/Recycling Equipment, Fourth Edition (with revisions through October 13, 2013), dated June 1, 2011, (incorporated by reference, see § 82.168).
              • AHRI 110-2016, 2016 Standard for Air-Conditioning, Heating and Refrigerating Equipment Nameplate Voltages, copyright 2016 (incorporated by reference, see § 82.168).
              • AHRI Standard 700-2015, Specifications for Refrigerants, Air-Conditioning, Heating, and Refrigeration Institute
              • IEC 60038 IEC Standard Voltages, Edition 7.0, 2009-06 (English version) (incorporated by reference, see § 82.168).
              Section 13.0. Particulate Used in Standard Contaminated Refrigerant Sample
              13.1 Particulate Specification

              13.1.1 The particulate material (pm) will be a blend of 50 percent coarse air cleaner dust as received, and 50 percent retained on a 200-mesh screen. The coarse air cleaner dust is available from: AC Spark Plug Division; General Motors Corporation; Flint, Michigan.
              13.1.2 Preparation of Particulate Materials. To prepare the blend of contaminant per ANSI/ASHRAE Standard 63.2-1996 (RA 2010), first wet screen a quantity of coarse air cleaner dust on a 200-mesh screen (particle retention 74 µm). This is done by placing a portion of the dust on a 200-mesh screen and running water through the screen while stirring the dust with the fingers. The fine contaminant particles passing through the screen are discarded. The larger than 200-mesh particles collected on the screen are removed and dried for one hour at 110 °C. The blend of standard contaminant is prepared by mixing 50 percent by weight of coarse air cleaner dust as received (after drying for one hour at 110 °C) with 50 percent by weight of the larger than 200-mesh screened dust.
              13.1.3 Particle Size Analysis. The coarse air cleaner dust as received and the blend used as the standard contaminant have the following approximate particle size analysis:

                Table B1—Weight Percentage in Various µm Size Ranges for Particle Size Analysis

                  Size range(µm)

                  Asreceived
                    (wt %)

                  Blend(wt %)

                  0-5
                  12
                  6

                  5-10
                  12
                  6

                  10-20
                  14
                  7

                  20-40
                  23
                  11

                  40-80
                  30
                  32

                  80-200
                  9
                  38

              [81 FR 82383, Nov. 18, 2016]

              Pt. 82, Subpt. F, App. B4
              Appendix B4 to Subpart F of Part 82—Performance and Safety of Flammable Refrigerant Recovery and/or Recycling Equipment

              This appendix is based on the Air-Conditioning, Heating, and Refrigeration Institute Standard 740-2016, Performance Rating of Refrigerant Recovery Equipment and Recovery/Recycling Equipment, and Underwriters Laboratories Standard 1963-2011 (Fourth Edition), Standard for Safety: Refrigerant Recovery/Recycling Equipment, including Supplement SB (added October 11, 2013), Requirements for Refrigerant Recovery/Recycling Equipment Intended for Use with a Flammable Refrigerant.

              Section 1. Purpose
              1.1 The purpose of this standard is to establish methods of testing for rating and evaluating the performance and safety of refrigerant recovery and/or recycling equipment and general equipment requirements (herein referred to as “equipment”) for contaminant or purity levels, capacity, speed and purge loss to minimize emission into the atmosphere of designated refrigerants, as well as safety for use with flammable refrigerants.
              Section 2. Scope
              2.1 This standard applies to equipment for recovering and/or recycling flammable single refrigerants, azeotropes, zeotropic blends, and their normal contaminants from refrigerant systems. This standard defines the test apparatus, test gas mixtures, sampling procedures, analytical techniques, and equipment construction that will be used to determine the performance and safety of refrigerant recovery and/or recycling equipment (hereinafter, “equipment”).
              Section 3. Definitions
              3.1 All terms in this appendix will follow the definitions in § 82.152 and Appendix B3 to Subpart F of Part 82 unless otherwise defined in this appendix.
              3.2 All definitions used in UL 1963, including the definitions in Supplement SB, as applicable, are incorporated by reference, see § 82.168.
              Section 4. Evaluation of Performance
              4.1 Performance Ratings. All recovery and/or recycling equipment to be tested under this appendix must follow the procedures and meet all requirements established in Appendix B3 to Subpart F of Part 82 to determine the performance ratings in addition to the safety evaluation conducted under the rest of this appendix.
              4.2 Safety. All recovery and/or recycling equipment to be tested under this appendix must follow the procedures and meet all requirements in Supplement SB (added October 11, 2013), Requirements for Refrigerant Recovery/Recycling Equipment Intended for Use with a Flammable Refrigerant in Underwriters Laboratories Standard 1963-2011 (Fourth Edition), Standard for Safety: Refrigerant Recovery/Recycling Equipment (incorporated by reference, see § 82.168).
              [81 FR 82390, Nov. 18, 2016]

              Pt. 82, Subpt. F, App. C
              Appendix C to Subpart F of Part 82—Method for Testing Recovery Devices for Use With Small Appliances
              Recovery Efficiency Test Procedure for Refrigerant Recovery Equipment Used on Small Appliances

              The following test procedure is utilized to evaluate the efficiency of equipment designed to recover ozone depleting refrigerants (or any substitute refrigerant subject to the recycling rules promulgated pursuant to section 608 of the Clean Air Act Amendments of 1990) from small appliances when service of those appliances requires entry into the sealed refrigeration system or when those appliances are destined for disposal. This procedure is designed to calculate on a weight or mass basis the percentage of a known charge of CFC-12 refrigerant removed and captured from a test stand refrigeration system. Captured refrigerant is that refrigerant delivered to a container suitable for shipment to a refrigerant reclaimer plus any refrigerant remaining in the recovery system in a manner that it will be transferred to a shipping container after additional recovery operations.
              The test stand refrigeration system required for this procedure is constructed with standard equipment utilized in currently produced household refrigerator and freezer products. The procedure also accounts for compressor oils that might be added to or removed from the test stand compressor or any compressor used in the recovery system.
              I. Test Stand
              Test stands are constructed in accordance with the following standards.
              1. Evaporator—5/16 in. outside dia. with 30 cu. in. volume.
              2. Condenser—1/4 in. outside dia. with 20 cu. in volume.
              3. Suction line capillary heat exchanger—appropriate for compressor used.
              4. An 800-950 Btu/hr high side case (rotary) compressor; or (depending on the test senario);
              5. An 800-9500 Btu/hr low side case (reciprocating) compressor.
              A person seeking to have its recovery system certified shall specify the compressors by manufacturer and model that are to be used in test stands constructed for evaluation of its equipment, and the type and quantity of compressor to be used in those compressors. Only a compressor oil approved for use by the compressor's manufacturer may be specified, and the quantity of compressor oil specified shall be an appropriate quantity for the type of oil and compressor to be used. In order to reduce the cost of testing, the person seeking certification of its recovery system may supply an EPA approved third party testing laboratory with test stands meeting these standards for use in evaluating its recovery system.
              II. Test Conditions
              Tests are to be conducted at 75 degrees F, plus or minus 2 degrees F (23.9 C ±1.1 C). Separate tests are conducted on both high side case compressor stands and low side case compressor stands. Separate tests are also conducted with the test stand compressor running during the recovery operation, and without the test stand compressor running during the recovery operation, to calculate the system's recovery efficiency under either condition.
              These tests are to be performed using a representative model of all equipment used in the recovery system to deliver recovered refrigerant to a container suitable for shipment to a refrigerant reclaimer. The test stands are to be equipped with access valves permanently installed as specific by the recovery system's vendor to represent the valves used with that system in actual field operations.
              A series of five (5) recovery operations are to be performed for each compressor scenario and a recovery efficiency is calculated based on the total quantity of refrigerant captured during all five (5) recoveries. Alternatively, at the request of the recovery system's vendor, a recovery efficiency is to be calculated for each recovery event. In this case, a statistically significant number of recovery operations are to be performed. Determination of what is a statistically significant number of recoveries is to be calculated as set out below. These individual recovery efficiencies are then averaged.
              There are four (4) compressor scenarios to be tested. These are a high side case compressor in working condition; a high side case compressor in nonworking condition; a low side case compressor in working condition; and a low side case compressor in nonworking condition. Recovery efficiencies calculated for the two working compressor scenarios are to be averaged to report a working compressor performance. The two nonworking compressor efficiencies are also to be averaged to report a nonworking compressor performance.
              If large scale equipment is required in the system to deliver recovered refrigerant to a refrigerant reclaimer (eg. carbon desorption equipment) and it is not possible to have that equipment evaluated under the procedure, the system's vendor shall obtain engineering data on the performance of that large scale equipment that will reasonably demonstrate the percentage refrigerant lost when processed by that equipment. That data will be supplied to any person required to evaluate the performance of those systems. The following procedure will also be modified as needed to determine the weight of refrigerant recovered from a test stand and delivered to a container for shipment to the large process equipment for further processing. The percentage loss documented to occur during processing is then to be applied to the recovery efficiencies calculated in this modified procedure to determine the overall capture efficiency for the entire system.

              The following are definitions of symbols used in the test procedure.

              Test Stand:
              “TSO” means an original test stand weight.
              “TSC” means a charged test stand weight.

              Shipping Containers:
              “SCO” means the original or empty weight of shipping container(s).
              “SCF” means the final or full weight of shipping container(s).
              Recover/Transfer System:
              “RSO” means the original weight of a recovery/transfer system.
              “RSF” means the final weight of a recovery/transfer system.
              “OL” means the net amount of oil added/removed from the recovery device and/or transfer device between the beginning and end of the test for one compressor scenario.
              Weighing steps are conducted with precision and accuracy of plus or minus 1.0 gram.
              III. Test Procedure
              1. Evacuate the test stand to 20 microns vacuum (pressure measured at a vacuum pump) for 12 hours.
              2. Weigh the test stand (TSO).
              3. If this is the first recovery operation being performed for a compressor scenario (or if a recovery efficiency is to be calculated for each recovery event), then weigh all devices used in the recovery system to deliver recovered refrigerant to a container suitable for shipment or delivery to a refrigerant reclaimer. Weigh only devices that can retain refrigerant in a manner that it will ultimately be transferred to a shipping container without significant release to the atmosphere (RSO).
              4. Weigh final shipping containers (SCO).
              5. Charge the test stand with an appropriate CFC-12 charge (either 6 oz. or 9 oz.).
              6. Run the test stand for four (4) hours with 100% run time.
              7. Turn off the test stand for twelve (12) hours. During this period evaporate all condensation that has collected on the test stand during step 6.
              8. Weigh the test stand (TSC).
              9. Recover CFC-12 from the test stand and perform all operations needed to transfer the recovered refrigerant to one of the shipping containers weighed in step 4. All recovery and transfer operations are to be performed in accordance with the operating instructions provided by the system's vendor. The compressor in the test stand is to remain “off” or be turned “on” during the recovery operation depending on whether the test is for a nonworking or working compressor performance evaluation. If a recovery efficiency is to be calculated for each recovery event, transfer the captured refrigerant to a shipping container and then skip to step 13. Otherwise continue. If the system allows for multiple recovery operations to be performed before transferring recovered refrigerant to a shipping container, the transfer operation can be delayed until either the maximum number of recovery operations allowed before a transfer is required have been performed, or the last of the five (5) recovery operations has been performed.
              10. Perform any oil removal or oil addition operations needed to properly maintain the test stand and the devices used for recovery or transfer operations. Determine the net weight of the oil added or removed from the recovery device and/or transfer device. (OP1 for oil added, OP2 for oil removed).
              11. Evacuate the test stand to 20 microns vacuum for 4 hours.
              12. Return to step 2 unless five (5) recovery operations have been performed.
              13. Weigh all final shipping containers that received recovered refrigerant (SCF).
              14. Weigh the equipment weighed in step three (3) above (RSF). If a recovery efficiency is to be calculated for each recovery event, perform calculations and return to step one (1) for additional recoveries.
              IV. Calculations
              A. For Five (5) Consecutive Recoveries

                Refrigerant Recoverable equals the summation of charged test stand weights minus original test stand weights.

                82-412a.eps

                Oil Loss equals the net weight of oil added to and removed from the recovery device and/or transfer device.

                82-412b.eps

                Refrigerant Recovered equals the final weight of shipping containers minus the initial weight of final shipping containers, plus final recovery system weight, minus original recovery system weight, plus the net value of all additions and removals of oil from the recovery and transfer devices.

                en30au93.001

              n = number of shipping containers used.

                Recovery Efficiency equals Refrigerant Recovered divided by Refrigerant Recoverable times 100%.

                en30au93.002

              B. For Individual Recoveries

                Refrigerant Recoverable equals the charged test stand weight minus the original test stand weight.

                en30au93.003

                Refrigerant Recovered equals the final weight of the shipping container minus the initial weight of the shipping container plus the final weight of the recovery system minus the original recovery system weight.

                en30au93.004

                Recovery Efficiency equals Refrigerant Recovered divided by Refrigerant Recoverable times 100 percent.

                en30au93.005

              C. Calculation of a Statistically Significant Number of Recoveries

                en30au93.006

              Where:
              Nadd = the number of additional samples required to achieve 90% confidence.
              sd = Standard deviation, or (X/(N−1) 5)
              X = Sample average
              N = Number of samples tested

                  Number of samples
                  t for 90% confidence

                   2
                  6.814

                   3
                  2.920

                   4
                  2.353

                   5
                  2.132

                   6
                  2.015

                   7
                  1.943

                   8
                  1.895

                   9
                  1.860

                  10
                  1.833

              Procedure:
              1. Compute Nadd after completing two recoveries.
              2. If Nadd>0, then run an additional test.
              3. Re-compute Nadd. Continue to test additional samples until Nadd<0.
              V. Test Procedure Approval and Certification
              Each vendor of capture equipment for small appliances desiring certification will provide a representative model of its capture system and its recommended recovery procedures to an EPA approved third party laboratory for testing in accordance with this procedure. The third party laboratory will certify recovery systems that when tested in accordance with this procedure demonstrate a sufficient recovery efficiency to meet EPA regulatory requirements.

              Pt. 82, Subpt. F, App. D
              Appendix D to Subpart F of Part 82—Standards for Becoming a Certifying Program for Technicians

                a. Test Preparation. Technicians must pass an EPA-approved test, provided by an EPA-approved certifying program to be certified as a Type I technician. Organizations providing Type I certification only may choose either an on-site format or a mail-in format similar to what is permitted under the MVACs program.
              Technicians must pass a closed-book, proctored test, administered in a secure environment, by an EPA-approved certifying program to be certified as a Type II or Type III technician.
              Technicians must pass a closed-book, proctored test (or series of tests), administered in a secure environment, by an EPA-approved certifying program to be certified as a Universal technician. Mail-in format Type I tests cannot be used toward a Universal certification.
              Each certifying program must assemble tests by choosing a prescribed subset from the EPA test bank. EPA will have a test bank with more questions than are needed for an individual test, which will enable the certifying program to generate multiple tests in order to discourage cheating. Each test must include 25 questions drawn from Group 1 and 25 questions drawn from each relevant technical Group. Tests for Universal technicians will include 100 questions (25 from Group 1 and 25 from each relevant technical Group). Universal tests may be taken all at once, or by combining passing scores on separate Type I, Type II, and Type III tests. Questions should be divided in order to sufficiently cover each topic within the Group.

              Certifying programs must provide a paper hand-out or electronic form of communication to technicians after they have completed their certification test that contains the following information:

              —Which certifying program is providing the testing;
              —Contact information for the certifying program;
              —The name and contact information of the proctor; and
              —When they should expect to receive their score and, if they passed, their certification card.

              Each certifying program must show a method of randomly choosing which questions will be on the tests. Multiple versions of the test must be used during each testing event. Test answer sheets must include the name and address of the applicant, the name and address of the certifying program, and the date and location at which the test was administered.
              Training material accompanying mail-in Type I tests must not include sample test questions mimicking the language of the certification test. All mail-in material will be subject to review by EPA.

              Certifying programs may charge individuals reasonable fees for the administration of the tests. EPA will publish a list of all approved certifying programs.

                b. Proctoring. A certifying program for Type I (if in-person), Type II, Type III, and Universal technicians must designate at least one proctor registered for every 50 people taking tests at the same time at a given site.
              The certification test for Type I (if taken as part of a Universal certification), Type II, Type III, and Universal technicians is a closed-book exam. The proctors must ensure that the applicants for certification do not use any notes or training materials during testing. Desks or work space must be placed in a way that discourages cheating. The space and physical facilities are to be conducive to continuous surveillance by the proctors and monitors during testing.
              The proctor may not receive any benefit from the outcome of the testing other than a fee for proctoring. Proctors cannot know in advance which questions are on the tests they are proctoring.
              Proctors are required to verify the identity of individuals taking the test by examining photo identification. Acceptable forms of identification include but are not limited to drivers' licenses, government identification cards, passports, and military identification.
              Certifying programs for Type I technicians using the mail-in format, must take sufficient measures at the test site to ensure that tests are completed honestly by each technician. Each test for Type I certification must provide a means of verifying the identification of the individual taking the test. Acceptable forms of identification include but are not limited to drivers' licenses and passports.

                c. Test Security. A certifying program must demonstrate the ability to ensure the confidentiality and security of the test questions and answer keys through strict accountability procedures. An organization interested in developing a technician certification program will be required to describe these test security procedures to EPA.
              After the completion of a test, proctors must collect all test forms, answer sheets, scratch paper and notes. These items are to be placed in a sealed envelope.

                d. Test Content. All Type I, Type II and Type III, certification tests will include 25 questions from Group I and 25 questions from Group II. Universal certification tests will include 25 questions from Group I and 75 questions from Group II (with 25 from each of the three sector-specific areas).
              Group I will ask questions in the following areas:

              1. Environmental impact of CFCs, HCFCs, and substitute refrigerants
              2. Laws and regulations
              3. Changing industry outlook

              Group II will ask questions covering sector-specific (i.e., Type I, Type II, Type III) issues in the following areas:

              4. Leak detection
              5. Recovery Techniques
              6. Safety
              7. Shipping
              8. Disposal

                e. Grading. Tests must be graded objectively. Certifying programs must inform the applicant of their test results no later than 30 days from the date of the test. Type I certifying programs using the mail-in format must notify the applicants of their test results no later than 30 days from the date the certifying programs received the completed test and any required documentation.
              The passing score for the closed-book Type I, Type II, Type III and Universal certification test is 70 percent. The passing score for Type I certification tests using the mail-in format is 84 percent.

                f. Proof of Certification. Certifying programs must issue a standard wallet-sized identification card no later than 30 days from the date of the test. Type I certifying programs using mail-in formats must issue cards to certified technicians no later than 30 days from the date the certifying program receives the completed test and any required documentation.

              Each wallet-sized identification card must include, at a minimum, the name of the certifying program including the date the certifying program received EPA approval, the name of the person certified, the type of certification, a unique number for the certified person that does not include a technician's social security number, and the following text:

              [name of person] has successfully passed a [Type I, Type II, Type III and/or Universal—as appropriate] exam on how to responsibly handle refrigerants as required by EPA's National Recycling and Emissions Reduction Program.

                g. Recordkeeping and Reporting Requirements. Certifying programs must maintain records of the names and addresses of all individuals taking the tests, the scores of all certification tests administered, and the dates and locations of all tests administered. These records must be maintained indefinitely, unless transferred to another certifying program or EPA.
              EPA must receive an activity report from all approved certifying programs by every January 30 and July 30, which covers the previous six months of certifications. The first report must be submitted following the first full six-month period for which the program has been approved by EPA. This report includes the pass/fail rate. If the certifying program believes a test bank question needs to be modified, information about that question should also be included.

              Approved certifying programs will receive a letter of approval from EPA. Each testing center must display a copy of that letter at their place of business.
              Approved technician certification programs that voluntarily plan to stop providing the certification test must forward all records required by this appendix and § 82.161 to another program currently approved by EPA in accordance with this appendix and with § 82.161. Approved technician certification programs that receive records of certified technicians from a program that no longer offers the certification test, and the program that is voluntarily withdrawing from being a technician certification program must inform EPA at the address listed in § 82.160 within 30 days of receiving or transferring these records. The notification must include the name and address of the program to which the records have been transferred. If another currently approved program willing to accept the records cannot be located, these records must be submitted to EPA at the address listed at § 82.160.
              Technician certification programs that have had their certification revoked in accordance with § 82.169 must forward all records required by this appendix and § 82.161 to EPA at the address listed in § 82.160. Failure to do so is a violation of 40 CFR part 82, subpart F.

                h. Additional Requirements. EPA may periodically inspect testing sites to ensure compliance with EPA regulations. If testing center discrepancies are found, they must be corrected within a specified time period. If discrepancies are not corrected, EPA may suspend or revoke the certifying program's approval. The inspections will include but are not limited to a review of the certifying program's provisions for test security, the availability of space and facilities to conduct the administrative requirements and ensure the security of the tests, the availability of adequate testing facilities and spacing of the applicants during testing, a review of the proper procedures regarding accountability, and that there is no evidence of misconduct on the part of the certifying programs, their representatives and proctors, or the applicants for certification.
              If the certifying programs offer training or provide review materials to the applicants, these endeavors are to be considered completely separate from the administration of the certification test.
              [81 FR 82390, Nov. 18, 2016]

              Pt. 82, Subpt. F, App. E
              Appendix E to Subpart F of Part 82—Test Procedure for Leaks From Containers Holding Two Pounds or Less of Refrigerant for Use in an MVAC

              This appendix is based on the California Air Resources Board (CARB) standard TP-503: Test Procedure for Leaks from Small Cans of Automotive Refrigerant, as amended on January 5, 2010; and CARB standard BP-A1: Balance Protocol for Gravimetric Determination of Sample Weights using a Precision Balance, as amended January 5, 2010.
              Section 1. Applicability
              This test procedure is used by manufacturers of containers holding two pounds or less of refrigerant for use in a motor vehicle air conditioner (MVAC) to determine the leakage rate of small containers of automotive refrigerant that are subject to the requirements of 40 CFR part 82, subpart F. Specifically, this test procedure will specify the equipment, procedures, and calculations to determine if a container holding two pounds or less of refrigerant for use in an MVAC complies with the leakage rate specified in § 82.154(c)(2)(ii). All terms in this appendix will follow the definitions in § 82.152 unless otherwise defined in this appendix.
              All containers holding two pounds or less of refrigerant for use in an MVAC must comply with other applicable codes and regulations such as local, state, or Federal safety codes and regulations.
              This test procedure involves the use of materials under pressure and operations and should only be used by or under the supervision of those familiar and experienced in the use of such materials and operations. Appropriate safety precautions should be observed at all times while performing this test procedure.
              Section 2. Principle and Summary of Test Procedure
              This procedure is used to determine the leakage rate of containers holding two pounds or less of refrigerant for use in an MVAC (small cans). Testing will involve subjecting both full and partially empty cans in both upright and inverted positions at two temperatures: 73 °F and 130 °F.
              Thirty small cans are tested under each condition for a total of 240 small cans tested. Small cans are brought to temperature stability, weighed, then stored for 30 days under specified conditions of temperature, orientation, and state of fill, then re-weighed. Leakage rate (grams/year) is estimated by (weight loss in grams) x 365/(days duration). The leakage rate is then compared to a standard of 3.00 grams/year to determine if a given small can complies with the leakage rate specified in § 82.154(c)(2)(ii).
              Section 3. Biases and Interferences

              3.1 Contaminants on the operator's hands can affect the weight of the small can and the ability of the small can to absorb moisture. To avoid contamination of the small can, the balance operator should wear gloves while handling the small cans.

              3.2 Weight determinations can be interfered with by moisture condensing on the small can and by thermal currents generated by temperature differences between the small can and the room temperature. The small cans cool during discharge and could cause condensation. For these reasons, small cans must be equilibrated to balance room temperature for at least four hours before weighing.
              3.3 Variations in the temperature, pressure, and humidity of the ambient air will cause variations in the buoyancy of the small can. These variations should typically be less than 25 mg for a small can. If the small can is not leaking at all, then the uncorrected weight changes will be within the range of 0 ± 25 mg, which is about ten percent of the 247 mg loss expected after thirty days for a can leaking at 3 g/yr. In that case buoyancy corrections can be omitted. If the absolute value of the uncorrected weight change exceeds 25 mg, then all calculations must be made using weights corrected for buoyancy based on the temperature, pressure, and humidity of the weighing room.
              3.4 Some electronic balances are sensitive to the effects of small static charges. The small can should be placed directly on the balance pan, ensuring metal to metal contact. If the balance pan is not grounded, the small can and balance pan should be statically discharged before weighing.
              Section 4. Sensitivity and Range
              The mass of a full small can could range from roughly 50 g to 1000 g depending on the container capacity. A top loading balance, capable of a maximum weight measurement of not less than 1,000 g and having a minimum readability of 0.001 g, reproducibility and linearity of ± 0.002 g, must be used to perform mass measurements.
              Section 5. Equipment
              5.1 A top loading balance that meets the requirements of Section 4 above.
              5.2 A NIST traceable working standard mass for balance calibration. A NIST traceable working standard mass for a balance linearity check. A reference mass to serve as a “blank” small can.
              5.3 An enclosure capable of controlling the internal air temperature from 73 °F ± 5 °F, and an enclosure capable of controlling the internal air temperature to 130 °F ± 5 °F.
              5.4 A temperature instrument capable of measuring the internal temperature of the temperature conditioning enclosures and the balance room with a sensitivity of ± 2 °F.
              5.5 A barometric pressure instrument capable of measuring atmospheric pressure at the location of the balance to within ± 0.02 inches of mercury.
              5.6 A relative humidity measuring instrument capable of measuring the relative humidity (RH) at the location of the balance with a sensitivity of ± 2 percent RH.
              5.7 A hose with appropriate fitting for dispensing refrigerant from the small can to a recovery machine.
              5.8 A refrigerant recovery machine to collect the discharged refrigerant from small cans being tested.
              Section 6. Calibration Procedures
              6.1 Calibrations are applied to the balance and to the support equipment such as temperature, humidity, and pressure monitoring equipment. Procedures for calibration are not spelled out here. General calibration principals for the support equipment and the balance are described in Section 11, Quality Assurance/Quality Control. Detailed calibration procedures for measurements made using the balance are contained in Attachment A: “Balance Protocol for Gravimetric Determination of Sample Weights using a Precision Balance.”
              Section 7. Small Can Preparation
              7.1 Receive a batch of 240 small cans of one design to be tested. These may include several SKUs from different manufacturers if the container and valve combination are the same.
              7.2 Clean small cans with Alkanox solution or equivalent and dry with a lint free towel.
              7.3 Confirm that the sample ID sticker on the small can matches the sample ID on the chain of custody forms.
              7.4 Select a reference mass similar to the weight of a full small can. If multiple sets of similar sized small cans are being tested, only one reference mass is needed; it can be used with all sets. Store the reference mass in the balance area.
              7.5 Evacuate the contents of one half of the small cans (120 cans) into the refrigerant recovery machine using normal DIY dispensing procedures until each small can is approximately half full.
              7.6 Select a reference mass similar to the weight of the half-full small can. If multiple sets of similar size small cans are being tested, only one reference mass is needed; it can be used with all sets. Store the reference mass in the balance area.
              Section 8. Small Can Weighing

              Weighing cans on the balance is done in accordance with Attachment A to this appendix. Attachment A describes how to conduct weight determinations including appropriate calibration and QC data. This section, “Small Can Weighing,” describes the overall process, not the details of how to use the balance.

              Initial Weights
              8.1 Put on gloves. Check the small cans for contamination.
              8.2 Place the 240 small cans into a location where they can equilibrate to balance room temperature. Record the small can test IDs and the equilibration start time on the Small Can Test Data Forms available on EPA's Web site in sets of thirty, one form for each of the eight test conditions.
              8.3 Let cans equilibrate for at least four hours.
              8.4 Weigh the set of 240 small cans and the reference weights using Attachment A and log the results to the Balance Weighing Log Form available on EPA's Web site.
              8.5 Transfer data from the Balance Weighing Log Form to the Small Can Test Data Form in sets of 30, one set for each of the eight conditions to be tested.
              Thirty-Day Soak

              8.6 Place each set of 30 small cans into the appropriate orientation and temperature for soaking:

              30 full small cans—73 °F, upright
              30 full small cans—73 °F, inverted
              30 full small cans—130 °F, upright
              30 full small cans—130 °F, inverted
              30 half-full small cans—73 °F, upright
              30 half-full small cans—73 °F, inverted
              30 half-full small cans—130 °F, upright
              30 half-full small cans—130 °F, inverted

              8.7 Soak the small cans for 30 days undisturbed.
              Final Weighing
              8.8 Place the 240 small cans into a location where they can equilibrate to balance room temperature.
              8.9 Let the small cans equilibrate for at least four hours.
              8.10 Weigh the set of 240 small cans, the reference weights, and any additional sets of small cans using Attachment A.
              8.11 Transfer data from the Balance Weighing Log Form to the corresponding Small Can Test Data Forms.
              Section 9. Calculations
              Corrections for Buoyancy

              The calculations in this section are described in terms of “weight.” Mass is a property of the small can, whereas weight is a force due to the effects of buoyancy and gravity. Procedures for correcting the effect of buoyancy are given in Attachment B of this appendix. Ignoring buoyancy, i.e., using weight data uncorrected for buoyancy effects, is acceptable for a thirty day test if the absolute magnitude of the weight change is less than 25 mg. If the uncorrected weight change exceeds 25 mg for any small can, then correct all small can weights for buoyancy using the procedures in Attachment B before performing the calculations described below.
              Calculation of Leak Rate

              The emission rate in grams/day for each small can is calculated by subtracting the final weight from the initial weight and then dividing the weight difference by the time difference measured in days to the nearest hour (nearest 1/24 of a day). The emission rate in g/day is multiplied by 365 to determine emission rate in grams/yr. If the annual emission rate for any small can exceeds the entire small can contents, then the annual emission rate for that small can is adjusted to equal the entire small can contents/year (e.g., about 350 g/yr for a 12 ounce small can). The annual emission rate for the purpose of the test is calculated by averaging the 240 individual adjusted annual emission rates and rounding to two decimal places. The cans fail the test if the adjusted annual emission rate averaged over 240 cans is greater than 3.00 g/yr. The calculations are described below.
              Loss rate for each small can

              Ei
                daily = (Wi
                final − Wi
                initial)/(Di
                final − Di
                initial) g/day
              Ei
                annual = 365 × Ei
                daily g/year
              Ei
                adjusted = Minimum of (Ei
                adjusted, Ci/year) g/yr

              Where,

              Ei = emission rate
              Wi
                final = weight of can i after soaking (grams)
              Wi
                initial = weight of can I before soaking (grams)
              Di
                final = date/time of final weight measurements (days)
              Di
                initial = date/time of initial weight measurements (days)
              Ci = original factory mass of refrigerant in can i

                Note: Date/Times are measured in days. Microsoft Excel stores dates and times in days, and the calculations can be made directly in Excel. If calculations are made manually, calculate serial days to the nearest hour for each date and time as follows:

              D = Julday + Hour/24

              Where,

              Julday = serial day of the year: Jan 1 = 1, Jan 31 = 31, Feb 1 = 32, etc.
              Hour = hour of day using 24-hour clock, 0 to 23

              Calculate the average loss rate for the 240 small cans as follows:

              Emean = [Sum (Eadjusted
                i), i = 1 to 240]/240
              Section 10. Recordkeeping

              During small can weighing, record the small can weights and date/times on the Balance Weighing Log Form. After each weighing session, transfer the measured weights and date/times from the Balance Weighing Log Form to the Small Can Test Data Form.

              At the end of the test, complete the calculations described in Section 9, Calculations, and record the results on the Small Can Test Data Form.
              Section 11. Quality Assurance/Quality Control
              11.1 All temperature, pressure, and humidity instruments should be calibrated annually against NIST traceable laboratory standards. The main purpose of the NIST traceable calibration is to establish the absolute accuracy of the device. The instruments should also be checked periodically such as weekly, monthly, or quarterly against intermediate standards or against independent instruments. For example, a thermocouple can be checked weekly against a wall thermometer. A barometer or pressure gauge can be checked weekly by adjusting to sea level and comparing with local airport data. The main purpose of the frequent checks is to verify that the device has not failed in some way. This is especially important for electronic devices such as a digital thermometer, but even a liquid filled thermometer can develop a problem such as a bubble.
              11.2 The balance should be serviced and calibrated annually by an independent balance service company or agency using NIST traceable reference masses. Servicing verifies accuracy and linearity, and the maintenance performed helps ensure that a malfunction does not develop.
              11.3 The balance must also be calibrated and its linearity checked with working standards before and after each weighing session, or before and after each group of 24 small cans if more than 24 small cans are weighed in a session. Procedures for calibrating and using the balance, as well as recording balance data, are described in the accompanying balance weighing protocol. These procedures include zero checks, calibration checks, and reference mass checks. Procedures for calculating quality control data from those checks are described in Attachment A.
              11.4 The small cans are cleaned then handled using gloves to prevent contamination. All equilibration and soaking must be done in a dust free area.
              Section 12. Balance Protocol for Gravimetric Determination of Sample Weights Using a Precision Balance
              12.1 Scope and application

              This Protocol summarizes a set of procedures and tolerances for weighing objects in the range of 0 to 1,000 g with a resolution of 0.001 g. This protocol only addresses balance operations, it does not address project requirements for equilibration, sample hold time limits, sample collection etc.
              12.2 Summary of method

              The balance is zeroed and calibrated using procedures defined herein. Object weight determinations are conducted along with control object weight determinations, zero checks, calibration checks, sensitivity checks, and replicate weightings in a defined sequence designed to control and quantitatively characterize precision and accuracy.
              12.3 Definitions

              N/A.
              12.4 Interferences

              Object weights can be affected by temperature and relative humidity of their environment, air currents, static electricity, gain and loss of water vapor, gain or loss of and loss of volatile compounds directly from the sample or from contaminants such as finger prints, marker ink, and adhesive tape.
              Contamination, transfer of material to or from the samples, is controlled by conducting operations inside a clean area dedicated to the purpose and having a filtered laminar air flow where possible; by wearing gloves while handling all samples and related balance equipment; by using forceps to handle small objects, and by keeping the balance and all related equipment inside the clean area.
              Air currents are controlled by conducting weighing operations inside a closed chamber or glove box and by allowing the substrates to reach temperature and relative humidity equilibrium. The chamber is maintained at 40 percent relative humidity and 25 °C by a continuous humidity and temperature control system. The temperature and RH conditions are recorded at least once per weighing sessions. Equilibration times for samples that are particularly sensitive to humidity or to loss of semi-volatiles species are specified by project requirements.
              Static electric charges on the walls of the balance and the weighed objects, including samples, controls, and calibration weights, can significantly affect balance readings. Static is avoided by the operator ground himself and test objects as described in the balance manual.
              12.5 Personnel health and safety

              N/A
              12.6 Equipment and supplies

              • Filtered, temperature and humidity controlled weighing chamber.
              • Precision Balance
              • Plastic forceps
              • Nylon fabric gloves.
              • Working calibration weights: ANSI Class 2, 1000g and 500 g
              • Working sensitivity weight: 50 mg
              • Reference objects: references are one or more objects that are typical of the objects to be weighed during a project, but that are stored permanently inside the balance glove box. Reference objects are labeled Test1, Test2, Test3, etc.
              12.7 Reagents and standard

              N/A
              12.8 Sample collection, preservation, and storage

              N/A. See relevant project requirements and SOPs.
              12.9 Quality control

              Data quality is controlled by specifying frequencies and tolerances for Zero, Calibration, Linearity, and Sensitivity checks. If checks do not meet tolerance criteria, then samples must be re-weighed. In addition, the procedures specify frequencies for Control Object Checks.
              Data quality is quantitatively characterized using Zero Check, Calibration Check, and Control Check data. These data are summarized monthly in statistics and QC charts.
              12.10 Calibration and standardization

              The absolute accuracy of the balance is established by calibration against an ANSI Class 2, stainless steel working weight: 1000.000 g ± 0.0025 g. Linearity is established checking the midpoint against an ANSI Class 2 stainless steel working weight: 500.000 ± 0.0012 g. Sensitivity is established using and ANSI Class 2 stainless steel or aluminum working weight: 50 mg. Precision is checked by periodically checking zero, calibration, and reference object weights.
              12.11 Procedure

              12.11.1 Overview of Weighing Sequence

              Weighing a series of substrates consists of performing the following procedures in sequence, while observing the procedures for handling and the procedures for reading the balance:

              1. Initial Adjustment
              2. Weigh eight samples
              3. Zero Check
              4. Weigh eight samples
              5. Zero Check
              6. Weigh eight samples
              7. Calibration Check
              8. Return to step 2.
              9. If less than 24 cans are weighed, perform a final Calibration Check at the end of weighing.

              This sequence is interrupted and samples are reweighed if QC check tolerances are not met. Each of these procedures along with procedures for handling and reading the balance are described below. The QC tolerances referred to in these procedures are listed in Table 1.
              12.11.2 Handling

              1. Never touch samples, weights, balance pans, etc. with bare hands. Wear powder free gloves to handle the weights, controls, and samples.
              12.11.3 Reading the Balance

              1. Close the door. Wait for the balance stabilization light to come on, and note the reading.
              2. Watch the balance reading for 30 sec (use a clock). If the reading has not changed by more than 0.001 g from the reading noted in step 1, then record the reading observed at the end of the 30 sec period.
              3. If the reading has drifted more than 0.001 g note the new balance reading and go to step 2.
              4. If the balance reading is flickering back and forth between two consecutive values choose the value that is displayed more often than the other.
              5. If the balance reading is flickering equally back and forth between two consecutive values choose the higher value.
              12.11.4 Initial Adjustment

              1. Empty the sample pan Close the door. Select Range 1000 g
              2. Wait for a stable reading
              3. Record the reading with QC code IZC (initial zero check)
              4. Press the Tare button
              5. Record the reading in the logbook with QC code IZA (initial zero adjust)
              6. Place the 1,000 g working calibration weight on the balance pan
              7. Wait for a stable reading.
              8. Record the reading with QC code ICC (initial cal check)
              9. Press the Calibrate button
              10. Record the reading with QC code ICA (initial cal adjust)
              11. Remove the calibration weight.
              12. Wait for a stable reading.
              13. Record the reading with QC code IZC.
              14. If the zero reading exceeds ± 0.002 g, go to step 4.
              15. Place the 500 g calibration weight on the balance pan
              16. After a stable reading, record the reading with QC code C500. Do not adjust the balance.
              17. Add the 0.050 g weight to 500 g weight on the balance pan.
              18. After a stable reading, record the reading with QC code C0.05. Do not adjust the balance.
              19. Weigh reference object TEST1, record reading with QC code T1.
              20. Weigh the reference object TEST2, TEST3, etc. that is similar in weight to the samples that you will be weighing. Record with QC code T2, T3, etc.

              12.11.5 Zero Check

              1. Empty the sample pan. Close the door.
              2. Wait for a stable reading
              3. Record the reading with QC code ZC

              4. If the ZC reading is less than or equal to the zero adjustment tolerance shown in Table 1, return to weighing and do not adjust the zero. If the ZC reading exceeded the zero adjustment tolerance, proceed with steps 5 through 7.
              5. Press the Tare button
              6. Record the reading in the logbook with QC code ZA.

              7. If the ZC reading exceeded the zero re-weigh tolerance, change the QC code recorded in step 3 from ZC to FZC. Then enter a QC code of FZ into the QC code column of all samples weights obtained after the last valid zero check. Re- weigh all of those samples, recording new data in new rows of the logbook.

              12.11.6 Calibration Check

              1. First, follow procedures for Zero Check. If the ZC was within tolerance, tare the balance anyway (i.e., follow steps 5 and 6 of the Zero Check method)
              2. Place the 1,000 g working calibration weight on the sample pan, wait for a stable reading.
              3. Record the reading with QC code C1000

              4. If the C1000 reading is less than or equal to the calibration adjustment tolerances, skip steps 5 through 8 and proceed to step 9. Do not adjust the calibration.

              5. If the C100 reading exceeded the calibration adjust tolerance, press the Calibrate button.
              6. Record the reading in the logbook with QC code CA
              7. Perform a Zero Check (follow the Zero Check method)
              8. If the C1000 reading exceeded the calibration re-weigh tolerance, change the code recorded in step 3 from C1000 to FC1000. Enter FC into the QC column for all sample weights obtained after the last valid calibration check. Re-weigh all of those samples, recording new data in new rows of the logbook.

              12.11.7 Replicate Weighing Check

              1. This protocol does not include reweigh samples to obtain replicates. The projects for which this protocol is intended already include procedures multiple weightings of each sample.

                Table 1—QC Tolerances and Frequencies for Balance Protocol

                    Reading Tolerance:

                  0.001 g, stable for 30 sec.

                    Adjustment Tolerances:

                  Zero:
                  −0.003 to +0.003 g.

                  Calibration:
                  999.997 to 1000.003 g.

                  Controls:
                  none.

                  Replicates:
                  none.

                    Re-weigh Tolerances:

                  Zero:
                  −0.005 to +0.005 g.

                  Calibration:
                  999.995 to 1000.005 g.

                  Controls:
                  none.

                  Replicates:
                  none.

                    Reference Objects:

                  Test 1—A reference object weighing about 400 g.

                  Test 2—A reference object weighing about 200 g.

                  Test 3—A reference object weighing about 700 g.

                    QC Frequencies:

                  Zero Checks:
                  once per 8 samples.

                  Calibration Checks:
                  once per 24 samples.

                  Repeat weighings:
                  none (test method includes replicate determinations).

                  Control objects:
                  once per weighing session.

              12.12 Data analysis and calculations

              For Zero Checks, let Z equal the recorded Zero Check value. For control checks let T1, T2, etc. equal the recorded value for control object Test 1, Test 2, etc. For Calibration Checks, let C1000 equal C1000 reading minus 1000, M = C500—500, S = .C.050—C500—.050. For Replicate Checks, let D equal the loss that occurred between the first and second measurements. In summary:

              T1 = T1
              T2 = T2
              T3 = T3
              Z = ZC—0
              C = C1000—1000
              M = C500—500
              G = C050—C500—.050

              Tabulate the mean and standard deviation for each of the following: Z, C, M, G. T1, T2, T3. Depending on the number of operators using the balance and the number of protocols in use, analyze the data by subcategories to determine the effects of balance operator and protocol. Each of these standard deviations, SZ, SC, etc. is an estimate of the precision of single weight measurement.
              For Z, C, M, and G, check the mean value for statistical difference from 0. If the means are statistically different than zero, troubleshooting to eliminate bias may be called for. For Z, C, M, G, T1, T2, T3, check that the standard deviations are all comparable. If there are systematic differences, then troubleshooting to eliminate the problem may be called for.

              Note that the precision of a weight gain, involves two weight determinations, and therefore is larger than S by a factor of sqrt(2). On the other hand replicate weighings improves the precision of the determinations by a factor of sqrt(N). If N = 2, i.e., duplicates, then the factors cancel each other.

              To estimate the overall uncertainty in a weight determination, a conservative estimate might be to combine the imprecision contributed by the zero with the imprecision contributed by the calibration.

              U = Sqrt(SZ
                2 + SC
                2)

              The uncertainty in a weight gain from N replicates is then given by:

              Ugain = Sqrt(2) × Sqrt(SZ
                2 + SC
                2)/Sqrt(N)

              But due to the balance adjustment and reweigh tolerances, we expect SZ to approximately equal SC, to approximately equal SM, etc. tolerances, so that the equation above becomes:

              Ugain = 2 × S/Sqrt(N)

              Where S is any individual standard deviation; or better, a pooled standard deviation.

              12.13 Method performance

              The data necessary to characterize the accuracy and precision of this method are still being collected. The method is used primarily to weigh objects before and after a period of soaking to determine weight loss by subtraction. Given the reweigh tolerances, we expect that the precision of weight gain determinations will be on the order of 0.006 g at the 1-sigma level. Bias in the weight gain determination, due to inaccuracy of the calibration weight and to fixed non-linearity of the balance response is on the order 0.005 percent of the gain.
              12.14 Pollution prevention

              When discharging half the can contents during can preparation, do not vent the contents of the small can to the atmosphere. Use an automotive recovery machine to transfer small can contest to a recovery cylinder.
              12.15 Waste management

              Dispose of the contents of the recycle cylinder through a service that consolidates waste for shipment to EPA certified facilities for reclaiming or destruction.
              Section 13. Compensation of Weight Data for Buoyancy and Gravity Effects
              13.1 Gravity

              Variations in gravity are important only when weighing objects under different gravitational fields, i.e., at different locations or at different heights. Since the balance procedures calibrate the balance against a known mass (the calibration “weight”) at the same location where sample objects are weighed, there is no need to correct for location. Although both the sample and the calibration weight are used at the same location, there will be a difference in the height of the center of gravity of the sample object (small can) and the center of gravity of the reference mass (calibration weight). However, this difference in height is maintained during both the initial weights and final weights, affecting the initial and final weights by the same amount, and affecting the scale of the weight difference by only a few ppm. In any event, the magnitude of this correction is on the order of 0.3 ug per kg per mm of height difference. A difference on the order of 100 mm would thus yield a weight difference of about 0.03 mg, which is insignificant compared to our balance resolution which is 0.001 g or 1 mg.
              Based on the discussion above, no corrections for gravity are necessary when determining weight changes in small cans.
              13.2 Buoyancy

              Within a weighing session, the difference in density between the sample object and the calibration weight will cause the sample object weight value to differ from its mass value due to buoyancy. For a 1-liter object in air at 20 °C and at 1 atm, the buoyant force is about 1.2 g. The volume of a 1 kg object with a density of 8 g/cm3 (e.g., a calibration weight), is about 0.125 liters, and the buoyancy force is about 0.15 g. Variations in air density will affect both of these values in proportion. The net value being affected by variations in air density is thus on the order of 1.2 − 0.15 = 1.05 g. Air density can vary up or down by 2 percent or more due to variations in barometric pressure, temperature, and humidity. The buoyancy force will then vary up or down by 0.02 g, or 20 mg. This is significant compared to the weight change expected after one week for a can leaking at 3 grams per year, which is 57 mg.
              Based on the discussion above, buoyancy corrections must be made.
              Variables measured or calculated:

              Vcan = volume of can (cm3). Estimate to within 10 percent by measuring the can dimensions or by water displacement. Error in the can volume will cause an error in the absolute amount of the buoyancy force, but will have only a small effect on the change in buoyancy force from day to day.
              Wcan = nominal weight of a can (g), used to calculate the nominal density of the can.
              ρcan = nominal density of a small can (g/cm3). The nominal values can be applied to corrections for all cans. It is not necessary to calculate a more exact density for each can. Calculate once for a full can and once for a half full can as follows:

              ρcan = Wcan /Vcan
              T = Temperature in balance chamber (degrees Celsius).
              RH = Relative humidity in balance chamber (expressed a number between 0 and 100).
              Pbaro = Barometric pressure in balance chamber (millibar). Use actual pressure, NOT pressure adjusted to sea level.
              ρair = density of air in the balance chamber (g/cm3). Calculate using the following approximation:
              ρair = 0.001*[0.348444*Pbaro−(RH/100) × (0.252 × T−2.0582)]/(T + 273.15)
              ρref = the reference density of the calibration weight (g/cm3). Should be 8.0 g/cm3.
              Equation to correct for buoyancy: Wcorrected = Wreading × (1—ρair/ρref)/(1—ρair/ρcan)
              [81 FR 82392, Nov. 18, 2016]

            Subpart G—Significant New Alternatives Policy Program

              Source:
              59 FR 13147, Mar. 18, 1994, unless otherwise noted.

              § 82.170
              Purpose and scope.
              (a) The purpose of these regulations in this subpart is to implement section 612 of the Clean Air Act, as amended, regarding the safe alternatives policy on the acceptability of substitutes for ozone-depleting compounds. This program will henceforth be referred to as the “Significant New Alternatives Policy” (SNAP) program. The objectives of this program are to identify substitutes for ozone-depleting compounds, to evaluate the acceptability of those substitutes, to promote the use of those substitutes believed to present lower overall risks to human health and the environment, relative to the class I and class II compounds being replaced, as well as to other substitutes for the same end-use, and to prohibit the use of those substitutes found, based on the same comparisons, to increase overall risks.
              (b) The regulations in this subpart describe persons and substitutes subject to reporting requirements under the SNAP program and explain preparation and submission of notices and petitions on substitutes. The regulations also establish Agency procedures for reviewing and processing EPA's determinations regarding notices and petitions on substitutes. Finally, the regulations prohibit the use of alternatives which EPA has determined may have adverse effects on human health or the environment where EPA has identified alternatives in particular industrial use sectors that on an overall basis, reduce risk to human health and the environment and are currently or potentially available. EPA will only prohibit substitutes where it has identified other substitutes for a specific application that are acceptable and are currently or potentially available.
              (c) Notifications, petitions and other materials requested shall be sent to: SNAP Document Control Officer, U.S. Environmental Protection Agency (6205-J), 1200 Pennsylvania Ave., NW., Washington, DC 20460.

              § 82.172
              Definitions.

                Act means the Clean Air Act, as amended, 42 U.S.C. 7401 et seq.

                Agency means the U.S. Environmental Protection Agency.

                Application means a specific use within a major industrial sector end-use.

                Class I or class II means the specific ozone-depleting compounds described in section 602 of the Act.

                Decision means any final determination made by the Agency under section 612 of the Act on the acceptability or unacceptability of a substitute for a class I or II compound.

                EPA means the U.S. Environmental Protection Agency.

                End-use means processes or classes of specific applications within major industrial sectors where a substitute is used to replace an ozone-depleting substance.

                Formulator means any person engaged in the preparation or formulation of a substitute, after chemical manufacture of the substitute or its components, for distribution or use in commerce.

                Health and safety study or study means any study of any effect of a substitute or its components on health and safety, or the environment or both, including underlying data and epidemiological studies, studies of occupational, ambient, and consumer exposure to a substitute, toxicological, clinical, and ecological, or other studies of a substitute and its components, and any other pertinent test. Chemical identity is always part of a health and safety study. Information which arises as a result of a formal, disciplined study is included in the definition. Also included is information relating to the effects of a substitute or its components on health or the environment. Any available data that bear on the effects of a substitute or its components on health or the environment would be included. Examples include:
              (1) Long- and short-term tests of mutagenicity, carcinogenicity, or teratogenicity; data on behavioral disorders; dermatoxicity; pharmacological effects; mammalian absorption, distribution, metabolism, and excretion; cumulative, additive, and synergistic effects; acute, subchronic, and chronic effects; and structure/activity analyses;

              (2) Tests for ecological or other environmental effects on invertebrates, fish, or other animals, and plants, including: Acute toxicity tests, chronic toxicity tests, critical life stage tests, behavioral tests, algal growth tests, seed germination tests, microbial function tests, bioconcentration or bioaccumulation tests, and model ecosystem (microcosm) studies;
              (3) Assessments of human and environmental exposure, including workplace exposure, and effects of a particular substitute on the environment, including surveys, tests, and studies of: Biological, photochemical, and chemical degradation; air, water and soil transport; biomagnification and bioconcentration; and chemical and physical properties, e.g., atmospheric lifetime, boiling point, vapor pressure, evaporation rates from soil and water, octanol/water partition coefficient, and water solubility;
              (4) Monitoring data, when they have been aggregated and analyzed to measure the exposure of humans or the environment to a substitute; and
              (5) Any assessments of risk to health or the environment resulting from the manufacture, processing, distribution in commerce, use, or disposal of the substitute or its components.

                Importer means any person who imports a chemical substitute into the United States. Importer includes the person primarily liable for the payment of any duties on the merchandise or an authorized agent acting on his or her behalf. The term also includes, as appropriate:
              (1) The consignee;
              (2) The importer of record;
              (3) The actual owner; and
              (4) The transferee, if the right to draw merchandise in a bonded warehouse has been transferred.

                Major Industrial Use Sector or Sector means an industrial category which EPA has reviewed under the SNAP program with historically high consumption patterns of ozone-depleting substances, including: Refrigeration and air conditioning; foam-blowing; fire suppression and explosion protection; solvents cleaning; aerosols; sterilants; tobacco expansion; pesticides; and adhesives, coatings and inks sectors.

                Manufacturer means any person engaged in the direct manufacture of a substitute.

                Mixture means any mixture or blend of two or more compounds.

                Person includes an individual, corporation, partnership, association, state, municipality, political subdivision of a state, and any agency, department, or instrumentality of the United States and any officer, agent, or employee of such entities.

                Pesticide has the meaning contained in the Federal Insecticide, Fungicide, and Rodenticide Act, 7 U.S.C. 136 et seq. and the regulations issued under it.

                Potentially available is defined as any alternative for which adequate health, safety, and environmental data, as required for the SNAP notification process, exist to make a determination of acceptability, and which the Agency reasonably believes to be technically feasible, even if not all testing has yet been completed and the alternative is not yet produced or sold.

                Premanufacture Notice (PMN) Program has the meaning described in 40 CFR part 720, subpart A promulgated under the Toxic Substances Control Act, 15 U.S.C. 2601 et seq.

                Producer means any person who manufactures, formulates or otherwise creates a substitute in its final form for distribution or use in interstate commerce.

                Research and development means quantities of a substitute manufactured, imported, or processed or proposed to be manufactured, imported, or processed solely for research and development.

                Residential use means use by a private individual of a chemical substance or any product containing the chemical substance in or around a permanent or temporary household, during recreation, or for any personal use or enjoyment. Use within a household for commercial or medical applications is not included in this definition, nor is use in automobiles, watercraft, or aircraft.

                Significant new use means use of a new or existing substitute in a major industrial use sector as a result of the phaseout of ozone-depleting compounds.

                Small uses means any use of a substitute in a sector other than a major industrial use sector, or production by any producer for use of a substitute in a major industrial sector of 10,000 lbs. or less per year.

                Substitute or alternative means any chemical, product substitute, or alternative manufacturing process, whether existing or new, intended for use as a replacement for a class I or II compound.

                Test marketing means the distribution in interstate commerce of a substitute to no more than a limited, defined number of potential customers to explore market viability in a competitive situation. Testing must be restricted to a defined testing period before the broader distribution of that substitute in interstate commerce.

                Use means any use of a substitute for a Class I or Class II ozone-depleting compound, including but not limited to use in a manufacturing process or product, in consumption by the end-user, or in intermediate uses, such as formulation or packaging for other subsequent uses.

                Use restrictions means restrictions on the use of a substitute imposing either conditions on how the substitute can be used across a sector end-use or limits on the end-uses or specific applications where it can be used within a sector.

              § 82.174
              Prohibitions.
              (a) No person may introduce a new substitute into interstate commerce before the expiration of 90 days after a notice is initially submitted to EPA under § 82.176(a).
              (b) No person may use a substitute which a person knows or has reason to know was manufactured, processed or imported in violation of the regulations in this subpart, or knows or has reason to know was manufactured, processed or imported in violation of any use restriction in the acceptability determination, after the effective date of any rulemaking imposing such restrictions.
              (c) No person may use a substitute without adhering to any use restrictions set by the acceptability decision, after the effective date of any rulemaking imposing such restrictions.
              (d) No person may use a substitute after the effective date of any rulemaking adding such substitute to the list of unacceptable substitutes.
              (e) Rules Stayed for Reconsideration. Notwithstanding any other provision of this subpart, the effectiveness of subpart G is stayed from December 8, 1994, to March 8, 1995, only as applied to use of substitutes for export.
              [59 FR 13147, Mar. 18, 1994, as amended at 59 FR 63256, Dec. 8, 1994; 60 FR 3303, Jan. 13, 1995]

              § 82.176
              Applicability.
              (a) Any producer of a new substitute must submit a notice of intent to introduce a substitute into interstate commerce 90 days prior to such introduction. Any producer of an existing substitute already in interstate commerce must submit a notice as of July 18, 1994, if such substitute has not already been reviewed and approved by the Agency.
              (b) With respect to the following substitutes, producers are exempt from notification requirements:
              (1) Substitutes already listed as acceptable. Producers need not submit notices on substitutes that are already listed as acceptable under SNAP.
              (2) Small sectors. Persons using substitutes in sectors other than the nine principal sectors reviewed under this program are exempt from the notification requirements. This exemption shall not be construed to nullify an unacceptability determination or to allow use of an otherwise unacceptable substitute.
              (3) Small volume use within SNAP sectors. Within the nine principal SNAP sectors, persons introducing a substitute whose expected volume of use amounts to less than 10,000 lbs. per year within a SNAP sector are exempt from notification requirements. This exemption shall not be construed to allow use of an otherwise unacceptable substitute in any quantity. Persons taking advantage of this exemption for small uses must maintain documentation for each substitute describing how the substitute meets this small use definition. This documentation must include annual production and sales information by sector.
              (4) Research and development. Production of substitutes for the sole purpose of research and development is exempt from reporting requirements.
              (5) Test marketing. Use of substitutes for the sole purpose of test marketing is exempt from SNAP notification requirements until 90 days prior to the introduction of such substitutes for full-scale commercial sale in interstate commerce. Persons taking advantage of this exemption are, however, required to notify the Agency in writing that they are conducting test marketing 30 days prior to the commencement of such marketing. Notification shall include the name of the substitute, the volume used in the test marketing, intended sector end-uses, and expected duration of the test marketing period.
              (6) Formulation changes. In cases where replacement of class I or II compounds causes formulators to change other components in a product, formulators are exempt from reporting with respect to these auxiliary formulation changes. However, the SNAP submitter is required to notify the Agency if such changes are expected to significantly increase the environmental and human health risk associated with the use of any class I or class II substitute.
              (7) Substitutes used as feedstocks. Producers of substitutes used as feedstocks which are largely or entirely consumed, transformed or destroyed in the manufacturing or use process are exempt from reporting requirements concerning such substitutes.
              (c) Use of a substitute in the possession of an end-user as of March 18, 1994, listed as unacceptable or acceptable subject to narrowed use limits may continue until the individual end-users' existing supply, as of that date, of the substitute is exhausted. Use of substitutes purchased after March 18, 1994, is not permitted subsequent to April 18, 1994.

              § 82.178
              Information required to be submitted.
              (a) Persons whose substitutes are subject to reporting requirements pursuant to § 82.176 must provide the following information:
              (1) Name and description of the substitute. The substitute should be identified by its: Chemical name; trade name(s); identification numbers; chemical formula; and chemical structure.
              (2) Physical and chemical information. The substitute should be characterized by its key properties including but not limited to: Molecular weight; physical state; melting point; boiling point; density; taste and/or odor threshold; solubility; partition coefficients (Log Kow, Log Koc); atmospheric lifetime and vapor pressure.
              (3) Substitute applications. Identification of the applications within each sector end-use in which the substitutes are likely to be used.
              (4) Process description. For each application identified, descriptive data on processing, including in-place pollution controls.
              (5) Ozone depletion potential. The predicted 100-year ozone depletion potential (ODP) of substitute chemicals. The submitter must also provide supporting documentation or references.
              (6) Global warming impacts. Data on the total global warming potential of the substitute, including information on the GWP index and the indirect contributions to global warming caused by the production or use of the substitute (e.g., changes in energy efficiency). GWP must be calculated over a 100, 500 and 1000-year integrated time horizon.
              (7) Toxicity data. Health and safety studies on the effects of a substitute, its components, its impurities, and its degradation products on any organism (e.g., humans, mammals, fish, wildlife, and plants). For tests on mammals, the Agency requires a minimum submission of the following tests to characterize substitute risks: A range-finding study that considers the appropriate exposure pathway for the specific use (e.g., oral ingestion, inhalation, etc.), and a 90-day subchronic repeated dose study in an appropriate rodent species. For certain substitutes, a cardiotoxicity study is also required. Additional mammalian toxicity tests may be identified based on the substitute and application in question. To sufficiently characterize aquatic toxicity concerns, both acute and chronic toxicity data for a variety of species are required. For this purpose, the Agency requires a minimum data set as described in “Guidelines for Deriving Numerical National Water Quality Criteria for the Protection of Aquatic Organisms and their Uses,” which is available through the National Technical Information Service (#PB 85-227049). Other relevant information and data summaries, such as the Material Safety Data Sheets (MSDS), should also be submitted. To assist in locating any studies previously submitted to EPA and referred to, but not included in a SNAP submission, the submitter must provide citations for the date, type of submission, and EPA Office to which they were submitted, to help EPA locate these quickly.
              (8) Environmental fate and transport. Where available, information must be submitted on the environmental fate and transport of substitutes. Such data shall include information on bioaccumulation, biodegradation, adsorption, volatility, transformation, and other data necessary to characterize movement and reaction of substitutes in the environment.
              (9) Flammability. Data on the flammability of a substitute chemical or mixture are required. Specifically, the flash point and flammability limits are needed, as well as information on the procedures used for determining the flammability limits. Testing of blends should identify the compositions for which the blend itself is flammable and include fractionation data on changes in the composition of the blend during various leak scenarios. For substitutes that will be used in consumer applications, documentation of testing results conducted by independent laboratories should be submitted, where available. If a substitute is flammable, the submitter must analyze the risk of fire resulting from the use of such a substitute and assess the effectiveness of measures to minimize such risk.
              (10) Exposure data. Available modeling or monitoring data on exposures associated with the manufacture, formulation, transport, use and disposal of a substitute. Descriptive process information for each substitute application, as described above, will be used to develop exposure estimates where exposure data are not readily available. Depending on the application, exposure profiles may be needed for workers, consumers, and the general population.
              (11) Environmental release data. Data on emissions from the substitute application and equipment, as well as on pollutant releases or discharge to all environmental media. Submitters should provide information on release locations, and data on the quantities, including volume, of anticipated waste associated with the use of the substitute. In addition, information on anticipated waste management practices associated with the use of the substitute. Any available information on any pollution controls used or that could be used in association with the substitute (e.g., emissions reduction technologies, wastewater treatment, treatment of hazardous waste) and the costs of such technology must also be submitted.
              (12) Replacement ratio for a chemical substitute. Information on the replacement ratio for a chemical substitute versus the class I or II substances being replaced. The term “replacement ratio” means how much of a substitute must be used to replace a given quantity of the class I or II substance being replaced.
              (13) Required changes in use technology. Detail on the changes in technology needed to use the alternative. Such information should include a description of whether the substitute can be used in existing equipment—with or without some retrofit—or only in new equipment. Data on the cost (capital and operating expenditures) and estimated life of any technology modifications should also be submitted.
              (14) Cost of substitute. Data on the expected average cost of the alternative. In addition, information is needed on the expected equipment lifetime for an alternative technology. Other critical cost considerations should be identified, as appropriate.
              (15) Availability of substitute. If the substitute is not currently available, the timing of availability of a substitute should be provided.
              (16) Anticipated market share. Data on the anticipated near-term and long-term nationwide substitute sales.
              (17) Applicable regulations under other environmental statutes. Information on whether the substitute is regulated under other statutory authorities, in particular the Clean Water Act, Safe Drinking Water Act, the Resource Conservation and Recovery Act, the Federal Insecticide, Fungicide, and Rodenticide Act, the Toxic Substances Control Act, the Comprehensive Environmental Response, Compensation and Liability Act, the Emergency Planning and Community Right-to-Know Act, or other titles under the Clean Air Act.
              (18) Information already submitted to the Agency. Information requested in the SNAP program notice that has been previously submitted to the Agency as part of past regulatory and information-gathering activities may be referenced rather than resubmitted. Submitters who cannot provide accurate references to data sent previously to the Agency should include all requested information in the SNAP notice.
              (19) Information already available in the literature. If any of the data needed to complete the SNAP program notice are available in the public literature, complete references for such information should be provided.
              (b) The Significant New Alternatives Policy (SNAP) Information Notice is designed to provide the Agency with the information necessary to reach a decision on the acceptability of a substitute.
              (1) Submitters requesting review under the SNAP program should send the completed SNAP notice to: SNAP Document Control Officer, U.S. Environmental Protection Agency (6205-J), 1200 Pennsylvania Ave., NW., Washington, DC 20460.
              (2) Submitters filing jointly under SNAP and the Premanufacture Notice Program (PMN) should send the SNAP addendum along with the PMN form to: PMN Document Control Officer, U.S. Environmental Protection Agency (7407), 1200 Pennsylvania Ave., NW., Washington, DC 20460. Submitters must also send both documents to the SNAP program, with a reference to indicate the notice has been furnished to the Agency under the PMN program. Submitters providing information on new chemicals for joint review under the TSCA and SNAP programs may be required to supply additional toxicity data under TSCA section 5.
              (3) Submitters filing jointly under SNAP and under the Federal Insecticide, Fungicide, and Rodenticide Act should send the SNAP form to the Office of Pesticide Programs, Registration Division, (7505C) 1200 Pennsylvania Ave., NW., Washington, DC 20460, as well as to the SNAP Document Control Officer.

              § 82.180
              Agency review of SNAP submissions.
              (a) Processing of SNAP notices—(1) 90-day review process. The 90-day review process will begin once EPA receives a submission and determines that such submission includes data on the substitute that are complete and adequate, as described in § 82.178. The Agency may suspend or extend the review period to allow for submission of additional data needed to complete the review of the notice.
              (2) Initial review of notice. The SNAP Document Control Officer will review the notice to ensure that basic information necessary to process the submission is present (i.e., name of company, identification of substitute, etc.). The SNAP Document Control Officer will also review substantiation of any claim of confidentiality.
              (3) Determination of data adequacy. Upon receipt of the SNAP submission, the Agency will review the completeness of the information supporting the application. If additional data are needed, the submitter will be contacted following completion of this review. The 90-day review period will not commence until EPA has received data it judges adequate to support analysis of the submission.
              (4) Letter of receipt. The SNAP Document Control Officer will send a letter of receipt to the submitter to confirm the date of notification and the beginning of EPA's 90-day review period. The SNAP Document Control Officer will also assign the SNAP notice a tracking number, which will be identified in the letter of receipt.
              (5) Availability of new information during review period. If critical new information becomes available during the review period that may influence the Agency's evaluation of a substitute, the submitter must notify the Agency about the existence of such information within 10 days of learning of such data. The submitter must also inform the Agency of new studies underway, even if the results will not be available within the 90-day review period. The Agency may contact the submitter to explore extending or suspending the review period depending on the type of information received and the stage of review.
              (6) Completion of detailed review. Once the initial data review, described in paragraphs (a)(2) and (3) of this section, has been completed, the Agency will complete a detailed evaluation of the notice. If during any time the Agency perceives a lack of information necessary to reach a SNAP determination, it will contact the submitter and request the missing data.
              (7) Criteria for review. To determine whether a substitute is acceptable or unacceptable as a replacement for class I or II compounds, the Agency will evaluate:
              (i) Atmospheric effects and related health and environmental impacts;
              (ii) General population risks from ambient exposure to compounds with direct toxicity and to increased ground-level ozone;
              (iii) Ecosystem risks;
              (iv) Occupational risks;
              (v) Consumer risks;
              (vi) Flammability; and
              (vii) Cost and availability of the substitute.
              (8) Communication of decision—(i) Communication of decision to the submitter. Once the SNAP program review has been completed, the Agency will notify the submitter in writing of the decision. Sale or manufacture of new substitutes may commence after the initial 90-day notification period expires even if the Agency fails to reach a decision within the 90-day review period or fails to communicate that decision or the need for additional data to the submitter. Sale or manufacture of existing substitutes may continue throughout the Agency's 90-day review.
              (ii) Communication of decision to the public. The Agency will publish in the Federal Register periodic updates to the list of the acceptable and unacceptable alternatives that have been reviewed to date. In the case of substitutes proposed as acceptable with use restrictions, proposed as unacceptable or proposed for removal from either list, a rulemaking process will ensue. Upon completion of such rulemaking, EPA will publish revised lists of substitutes acceptable subject to use conditions or narrowed use limits and unacceptable substitutes to be incorporated into the Code of Federal Regulations. (See Appendices to this subpart.)
              (b) Types of listing decisions. When reviewing substitutes, the Agency will list substitutes in one of five categories:
              (1) Acceptable. Where the Agency has reviewed a substitute and found no reason to prohibit its use, it will list the alternative as acceptable for the end-uses listed in the notice.
              (2) Acceptable subject to use conditions. After reviewing a notice, the Agency may make a determination that a substitute is acceptable only if conditions of use are met to minimize risks to human health and the environment. Where users intending to adopt a substitute acceptable subject to use conditions must make reasonable efforts to ascertain that other alternatives are not feasible due to safety, performance or technical reasons, documentation of this assessment must be retained on file for the purpose of demonstrating compliance. This documentation shall include descriptions of substitutes examined and rejected, processes or products in which the substitute is needed, reason for rejection of other alternatives, e.g., performance, technical or safety standards. Use of such substitutes in ways that are inconsistent with such use conditions renders them unacceptable.
              (3) Acceptable subject to narrowed use limits. Even though the Agency can restrict the use of a substitute based on the potential for adverse effects, it may be necessary to permit a narrowed range of use within a sector end-use because of the lack of alternatives for specialized applications. Users intending to adopt a substitute acceptable with narrowed use limits must ascertain that other alternatives are not technically feasible. Companies must document the results of their evaluation, and retain the results on file for the purpose of demonstrating compliance. This documentation shall include descriptions of substitutes examined and rejected, processes or products in which the substitute is needed, reason for rejection of other alternatives, e.g., performance, technical or safety standards, and the anticipated date other substitutes will be available and projected time for switching to other available substitutes. Use of such substitutes in applications and end-uses which are not specified as acceptable in the narrowed use limit renders them unacceptable.
              (4) Unacceptable. This designation will apply to substitutes where the Agency's review indicates that the substitute poses risk of adverse effects to human health and the environment and that other alternatives exist that reduce overall risk.
              (5) Pending. Submissions for which the Agency has not reached a determination will be described as pending. For all substitutes in this category, the Agency will work with the submitter to obtain any missing information and to determine a schedule for providing the missing information if the Agency wishes to extend the 90-day review period. EPA will use the authority under section 114 of the Clean Air Act to gather this information, if necessary. In some instances, the Agency may also explore using additional statutory provisions (e.g., section 5 of TSCA) to collect the needed data.
              (c) Joint processing under SNAP and TSCA. The Agency will coordinate reviews of substitutes submitted for evaluation under both the TSCA PMN program and the CAA.
              (d) Joint processing under SNAP and FIFRA. The Agency will coordinate reviews of substitutes submitted for evaluation under both FIFRA and the CAA.
              [59 FR 13147, Mar. 18, 1994, as amended at 61 FR 25592, May 22, 1996; 61 FR 54039, Oct. 16, 1996]

              § 82.182
              Confidentiality of data.
              (a) Clean Air Act provisions. Anyone submitting information must assert a claim of confidentiality at the time of submission for any data they wish to have treated as confidential business information (CBI) under 40 CFR part 2, subpart B. Failure to assert a claim of confidentiality at the time of submission may result in disclosure of the information by the Agency without further notice to the submitter. The submitter should also be aware that under section 114(c), emissions data may not be claimed as confidential.
              (b) Substantiation of confidentiality claims. At the time of submission, EPA requires substantiation of any confidentiality claims made. Failure to provide any substantiation may result in disclosure of information without further notice by the Agency. All submissions must include adequate substantiation in order for an acceptability determination on a substitute to be published. Moreover, under 40 CFR part 2, subpart B, there are further instances in which confidentiality assertions may later be reviewed even when confidentiality claims are initially received. The submitter will also be contacted as part of such an evaluation process.
              (c) Confidentiality provisions for toxicity data. In the event that toxicity or health and safety studies are listed as confidential, this information cannot be maintained as confidential where such data are also submitted under TSCA or FIFRA, to the extent that confidential treatment is prohibited under those statutes. However, information contained in a toxicity study that is not health and safety data and is not relevant to the effects of a substance on human health and the environment (e.g., discussion of process information, proprietary blends) can be maintained as confidential subject to 40 CFR part 2, subpart B.
              (d) Joint submissions under other statutes. Information submitted as part of a joint submission to either SNAP/TSCA or SNAP/FIFRA must adhere to the security provisions of the program offices implementing these statutes. For such submissions, the SNAP handling of such notices will follow the security provisions under these statutes.

              § 82.184
              Petitions.
              (a) Who may petition. Any person may petition the Agency to amend existing listing decisions under the SNAP program, or to add a new substance to any of the SNAP lists.
              (b) Types of petitions. Five types of petitions exist:

              (1) Petitions to add a substitute not previously reviewed under the SNAP program to the acceptable list. This type of petition is comparable to the 90-day notifications, except that it would generally be initiated by entities other than the companies that manufacture, formulate, or otherwise use the substitute. Companies that manufacture, formulate, or use substitutes that want to have their substitutes added to the acceptable list should submit information on the substitute under the 90-day review program;
              (2) Petitions to add a substitute not previously reviewed under the SNAP program to the unacceptable list;
              (3) Petitions to delete a substitute from the acceptable list and add it to the unacceptable list or to delete a substitute from the unacceptable and add it to the acceptable list;
              (4) Petitions to add or delete use restrictions on an acceptability listing.
              (5) Petitions to grandfather use of a substitute listed as unacceptable or acceptable subject to use restrictions.
              (c) Content of the petition. The Agency requires that the petitioner submit information on the type of action requested and the rationale for the petition. Petitions in paragraphs (b)(1) and (2) of this section must contain the information described in § 82.178, which lists the items to be submitted in a 90-day notification. For petitions that request the re-examination of a substitute previously reviewed under the SNAP program, the submitter must also reference the prior submittal or existing listing. Petitions to grandfather use of an unacceptable substitute must describe the applicability of the test to judge the appropriateness of Agency grandfathering as established by the United States District Court for the District of Columbia Circuit (see Sierra Club v. EPA, 719 F.2d 436 (D.C. Cir. 1983)). This test includes whether the new rule represents an abrupt departure from previously established practice, the extent to which a party relied on the previous rule, the degree of burden which application of the new rule would impose on the party, and the statutory interest in applying the new rule immediately.
              (d) Petition process. (1) Notification of affected companies. If the petition concerns a substitute previously either approved or restricted under the SNAP program, the Agency will contact the original submitter of that substitute.
              (2) Review for data adequacy. The Agency will review the petition for adequacy of data. As with a 90-day notice, the Agency may suspend review until the petitioner submits the information necessary to evaluate the petition. To reach a timely decision on substitutes, EPA may use collection authorities such as those contained in section 114 of the Clean Air Act as amended, as well as information collection provisions of other environmental statutes.
              (3) Review procedures. To evaluate the petition, the Agency may submit the petition for review to appropriate experts inside and outside the Agency.
              (4) Timing of determinations. If data are adequate, as described in § 82.180, the Agency will respond to the petition within 90 days of receiving a complete petition. If the petition is inadequately supported, the Agency will query the petitioner to fill any data gaps before the 90-day review period begins, or may deny the petition because data are inadequate.
              (5) Rulemaking procedures. EPA will initiate rulemaking whenever EPA grants a petition to add a substance to the list of unacceptable substitutes, remove a substance from any list, or change or create an acceptable listing by imposing or deleting use conditions or use limits.
              (6) Communication of decision. The Agency will inform petitioners within 90 days of receiving a complete petition whether their request has been granted or denied. If a petition is denied, the Agency will publish in the Federal Register an explanation of the determination. If a petition is granted, the Agency will publish the revised SNAP list incorporating the final petition decision within 6 months of reaching a determination or in the next scheduled update, if sooner, provided any required rulemaking has been completed within the shorter period.

              Pt. 82, Subpt. G, App. A
              Appendix A to Subpart G of Part 82—Substitutes Subject to Use Restrictions and Unacceptable Substitutes

                Refrigerants
                Unacceptable Substitutes

                  End-use
                  Substitute
                  Decision
                  Comments

                  CFC-11 centrifugal chillers (retrofit)
                  HCFC-141b
                  Unacceptable
                  Has a high ODP relative to other alternatives.

                  CFC-12 centrifugal chillers (retrofit)
                  HCFC-22/HFC-142b/CFC-12
                  Unacceptable
                  As a blend of both Class I and Class II substances, it has a higher ODP than use of Class II substances.

                  Hydrocarbon blend A
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can used safely in this end-use.

                  CFC-11, CFC-12, CFC-113, CFC-114, R-500 centrifugal chillers (new equipment/NIKs)
                  HCFC-22/HFC-142b/CFC-12
                  Unacceptable
                  As a blend of both Class I and Class II substances, it has a higher ODP than use of Class II substances.

                  Hydrocabon blend A
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can be used safely in this end-use.

                  HCFC-141b
                  Unacceptable
                  Has a high ODP relative to other alternatives.

                  CFC-12 reciprocating chillers (retrofit)
                  HCFC-22/HFC-142b/CFC-12
                  Unacceptable
                  As a blend of both Class I and Class II substances, it has a higher ODP than use of Class II substances.

                  Hydrocarbon blend A
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can be used safely in this end-use.

                  CFC-12 reciprocating chillers (new equipment/NIKs)
                  HCFC-22/HFC-142b/CFC-12
                  Unacceptable
                  As a blend of both Class I and Class II substances, it has a higher ODP than use of Class II substances.

                  Hydrocarbon blend A
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can be used safely in this end-use.

                  CFC-11, CFC-12, R-502 industrial process refrigeration (retrofit)
                  HCFC-22/HFC-142b/CFC-12
                  Unacceptable
                  As a blend of both Class I and Class II substances, it has a higher ODP than use of Class II substances.

                  CFC-11, CFC-12, R-502 industrial process refrigeration (new equipment/NIKs)
                  HCFC-22/HFC-142b/CFC-12
                  Unacceptable
                  As a blend of both Class I and Class II substances, it has a higher ODP than use of Class II substances.

                  CFC-12, R-502 ice skating rinks (retrofit)
                  HCFC-22/HFC-142b/CFC-12
                  Unacceptable
                  As a blend of both Class I and Class II substances, it has a higher ODP than use of Class II substances.

                  Hydrocarbon blend A
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can be used safely in this end-use.

                  CFC-12, R-502 ice skating rinks (new equipment/NIKs)
                  HCFC-22/HFC-142b/CFC-12
                  Unacceptable
                  As a blend of both Class I and Class II substances, it has a higher ODP than use of Class II substances.

                  Hydrocarbon blend A
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can be used safely in this end-use.

                  CFC-12, R-502 cold storage warehouses (retrofit)
                  HCFC-22/HFC-142b/CFC-12
                  Unacceptable
                  As a blend of both Class I and Class II substances, it has a higher ODP than use of Class II substances.

                  Hydrocarbon blend A
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can be used safely in this end-use.

                  CFC-12, R-502 cold storage warehouses (new equipment/NIKs)
                  HCFC-22/HFC-142b/CFC-12
                  Unacceptable
                  As a blend of both Class I and Class II substances, it has a higher ODP than use of Class II substances.

                  Hydrocarbon blend A
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can be used safely in this end-use.

                  CFC-12, R-500, R-502 refrigerated transport (retrofit)
                  HCFC-22/HFC-142b/CFC-12
                  Unacceptable
                  As a blend of both Class I and Class II substances, it has a higher ODP than use of Class II substances.

                  Hydrocarbon blend A
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can be used safely in this end-use.

                  CFC-12, R-500, R-502 refrigerated transport (new equipment/NIKs)
                  HCFC-22/HFC-142b/CFC-12
                  Unacceptable
                  As a blend of both Class I and Class II substances, it has a higher ODP than use of Class II substances.

                  Hydrocarbon blend A
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can be used safely in this end-use.

                  CFC-12, R-502 retail food refrigeration (retrofit)
                  HCFC-22/HFC-142b/CFC-12
                  Unacceptable
                  As a blend of both Class I and Class II substances, it has a higher ODP than use of Class II substances.

                  Hydrocarbon blend A
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can be used safely in this end-use.

                  CFC-12, R-502 retail food refrigeration (new equipment/NIKs)
                  HCFC-22/HFC-142b/CFC-12
                  Unacceptable
                  As a blend of both Class I and Class II substances, it has a higher ODP than use of Class II substances.

                  Hydrocarbon blend A
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can be used safely in this end-use.

                  CFC-12, R-502 commercial ice machines (retrofit)
                  HCFC-22/HFC-142b/CFC-12
                  Unacceptable
                  As a blend of both Class I and Class II substances, it has a higher ODP than use of Class II substances.

                  Hydrocarbon blend A
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can be used safely in this end-use.

                  CFC-12, R-502 commercial ice machines (new equipment/NIKs)
                  HCFC-22/HFC-142b/CFC-12
                  Unacceptable
                  As a blend of both Class I and Class II substances, it has a higher ODP than use of Class II substances.

                  Hydrocarbon blend A
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can be used safely in this end-use.

                  CFC-12 vending machines (retrofit)
                  HCFC-22/HFC-142b/CFC-12
                  Unacceptable
                  As a blend of both Class I and Class II substances, it has a higher ODP than use of Class II substances.

                  Hydrocarbon blend A
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can be used safely in this end-use.

                  CFC-12 vending machines (new equipment/NIKs)
                  HCFC-22/HFC-142b/CFC-12
                  Unacceptable
                  As a blend of both Class I and Class II substances, it has a higher ODP than use of Class II substances.

                  Hydrocarbon blend A
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can be used safely in this end-use.

                  CFC-12, water coolers (retrofit)
                  HCFC-22/HFC-142b/CFC-12
                  Unacceptable
                  As a blend of both Class I and Class II substances, it has a higher ODP than use of Class II substances.

                  Hydrocarbon blend A
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can be used safely in this end-use.

                  CFC-12, water coolers (New equipment/NIKs)
                  HCFC-22/HFC-142b/CFC-12
                  Unacceptable
                  As a blend of both Class I and Class II substances, it has a higher ODP than use of Class II substances.

                  Hydrocarbon blend A
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can be used safely in this end-use.

                  CFC-12, household refrigerators (retrofit)
                  HCFC-22/HFC-142b/CFC-12
                  Unacceptable
                  As a blend of both Class I and Class II substances, it has a higher ODP than use of Class II substances.

                  Hydrocarbon blend A
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can be used safely in this end-use.

                  CFC-12, household refrigerators (new equipment/NIKs)
                  HCFC-22/HFC-142b/CFC-12
                  Unacceptable
                  As a blend of both Class I and Class II substances, it has a higher ODP than use of Class II substances.

                  Hydrocarbon blend A
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can be used safely in this end-use.

                  CFC-12, R-502 household freezers (retrofit)
                  HCFC-22/HFC-142b/CFC-12
                  Unacceptable
                  As a blend of both Class I and Class II substances, it has a higher ODP than use of Class II substances.

                  Hydrocarbon blend A
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can be used safely in this end-use.

                  CFC-12, 502 household freezers (new equipment/NIKs)
                  HCFC-22/HFC-142b/CFC-12
                  Unacceptable
                  As a blend of both Class I and Class II substances, it has a higher ODP than use of Class II substances.

                  Hydrocarbon blend A
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can be used safely in this end-use.

                  CFC-12, R-500 residential dehumidifiers (retrofit)
                  HCFC-22/HFC-142b/CFC-12
                  Unacceptable
                  As a blend of both Class I and Class II substances, it has a higher ODP than use of Class II substances.

                  Hydrocarbon blend A
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can be used safely in this end-use.

                  CFC-12, R-500 residential dehumidifiers (new equipment/NIKs)
                  HCFC-22/HFC-142b/CFC-12
                  Unacceptable
                  As a blend of both Class I and Class II substances, it has a higher ODP than use of Class II substances.

                  Hydrocarbon blend A
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can be used safely in this end-use.

                  CFC-12, motor vehicle air conditioners (retrofit)
                  HCFC-22/HFC-142b/CFC-12
                  Unacceptable
                  As a blend of both Class I and Class II substances, it has a higher ODP than use of Class II substances.

                  Hydrocarbon blend A
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can be used safely in this end-use.

                  CFC-12, motor vehicle air conditioners (new equipment/NIKs)
                  HCFC-22/HFC-142b/CFC-12
                  Unacceptable
                  As a blend of both Class I and Class II substances, it has a higher ODP than use of Class II substances.

                  Hydrocarbon blend A
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can be sued safely in this end-use.

                Foams
                Unacceptable Substitutes

                  End-use
                  Substitute
                  Decision
                  Comments

                  CFC-11 Polyolefin
                  HCFC-141b (or blends thereof)
                  Unacceptable
                  HCFC-141b has an ODP of 0.11, almost equivalent to that of methyl chloroform, a Class I substance. The Agency believes that non-ODP alternatives are sufficiently available to render the use of HCFC-141b unnecessary in polyolefin foams.

                Substitutes Acceptable Subject to Narrowed Use Limits

                  End-use
                  Substitute
                  Decision
                  Comments

                  Electronics cleaning w/CFC-113, MCF
                  Perfluoro-carbons (C5F12, C6F12, C6F14, C7F16, C8F18, C5F11NO, C6F13NO, C7F15NO, and C8F16)
                  Acceptable for high-performance, precision-engineered applications only where reasonable efforts have been made to ascertain that other alternatives are not technically feasible due to performance or safety requirements
                  The principal environmental characteristic of concern for PFCs is that they have long atmospheric lifetimes and high global warming potentials. Although actual contributions to global warming depend upon the quantities of PFCs emitted, the effects are for practical purposes irreversible.Users must observe this limitation on PFC acceptability by conducting a reasonable evaluation of other substitutes to determine that PFC use is necessary to meet performance or safety requirements. Documentation of this evaluation must be kept on file.
                    For additional guidance regarding applications in which PFCs may be appropriate, users should consult the Preamble for this rulemaking.

                  Precision cleaning w/CFC-113, MCF
                  Perfluoro-carbons (C5F12, C6F12, C6F14, C7F16, C8F18, C5F11NO, C6F13NO, C7F15NO, and C8F16)
                  Acceptable for high-performance, precision-engineered applications only where reasonable efforts have been made to ascertain that other alternatives are not technically feasible due to performance or safety requirements
                  The principal environmental characteristic of concern for PFCs is that they have long atmospheric lifetimes and high global warming potentials. Although actual contributions to global warming depend upon the quantities of PFCs emitted, the effects are for practical purposes irreversible.Users must observe this limitation on PFC acceptability by conducting a reasonable evaluation of other substitutes to determine that PFC use is necessary to meet performance or safety requirements. Documentation of this evaluation must be kept on file.
                    For additional guidance regarding applications in which PFCs may be appropriate, users should consult the Preamble for this rulemaking.

                Unacceptable Substitutes

                  End-use
                  Substitute
                  Decision
                  Comments

                  Metals cleaning w/CFC-113
                  HCFC 141b and its blends
                  Unacceptable
                  High ODP; other alternatives exist. Effective date: As of 30 days after final rule for uses in new equipment (including retrofits made after the effective date); as of January 1, 1996, for uses in existing equipment. EPA will grant, if necessary, narrowed use acceptability listings for CFC-113 past the effective date of the prohibition.

                  Metals cleaning w/MCF
                  HCFC 141b and its blends
                  Unacceptable
                  High ODP; other alternatives exist. Effective date: As of 30 days after final rule for uses in new equipment (including retrofits made after the effective date); as of January 1, 1996, for uses in existing equipment.

                  Electronics cleaning w/CFC-113
                  HCFC 141b and its blends
                  Unacceptable
                  High ODP; other alternatives exist. Effective date: As of 30 days after final rule for uses in new equipment (including retrofits made after the effective date); as of January 1, 1996, for uses in existing equipment. EPA will grant, if necessary, narrowed use acceptability listings for CFC-113 past the effective date of the prohibition.

                  Electronics cleaning w/MCF
                  HCFC 141b and its blends
                  Unacceptable
                  High ODP; other alternatives exist. Effective date: As of 30 days after final rule for uses in new equipment (including retrofits made after the effective date); as of January 1, 1996, for uses in existing equipment.

                  Precision cleaning w/CFC-113
                  HCFC 141b and its blends
                  Unacceptable
                  High ODP; other alternatives exist. Effective date: As of 30 days after final rule for uses in new equipment (including retrofits made after the effective date); as of January 1, 1996, for uses in existing equipment. EPA will grant, if necessary, narrowed use acceptability listings for CFC-113 past the effective date of the prohibition.

                  Precision cleaning w/MCF
                  HCFC 141b and its blends
                  Unacceptable
                  High ODP; other alternatives exist. Effective date: As of 30 days after final rule for uses in new equipment (including retrofits made after the effective date); as of January 1, 1996, for uses in existing equipment.

                Fire Suppression and Explosion Protection Streaming Agents
                Substitutes Acceptable Subject to Narrowed Use Limits

                  End-use
                  Substitute
                  Decision
                  Conditions
                  Comments

                  Halon 1211 Streaming Agents
                  [CFC Blend]
                  Acceptable in nonresidential uses only

                  Use of CFCs are controlled under CAA section 610 which bans use of CFCs in pressurized dispensers, and therefore are not permitted for use in portable fire extinguishers. EPA will list this agent as proposed unacceptable in the next SNAP proposed rulemaking.

                  Because CFCs are a Class I substance, production will be phased out by January 1, 1996.

                  See additional comments 1, 2.

                  HBFC-22B1

                  Acceptable in nonresidential uses only
                  Proper procedures regarding the operation of the extinguisher and ventilation following dispensing the extinguishant is recommended. Worker exposure may be a concern in small office areas.

                  HBFC-22B1 is considered an interim substitute for Halon 1211. Because the HBFC-22B1 has an ODP of .74, production will be phased out (except for essential uses) on January 1, 1996.

                  This agent was submitted to the Agency as a Premanufacture Notice (PMN) and is presently subject to requirements contained in a Toxic Substance Control Act (TSCA) Consent Order.

                  See additional comments 1, 2.

                  C6 F14

                  Acceptable for nonresidential uses where other alternatives are not technically feasible due to performance or safety requirements:

                  Users must observe the limitations on PFC acceptability by making reasonable effort to undertake the following measures:(i) conduct an evaluation of foreseeable conditions of end use;
                    (ii) determine that the physical or chemical properties or other technical constraints of the other available agents preclude their use; and

                  a. due to the physical or chemical properties of the agent, or

                  (iii) determine that human exposure to the other alternative extinguishing agents may approach or result in cardiosensitization or other unacceptable toxicity effects under normal operating conditions;Documentation of such measures must be available for review upon request.

                  b. where human exposure to the extinguishing agent may approach cardiosensitization levels or result in other unacceptable health effects under normal operating conditions

                  The principal environmental characteristic of concern for PFCs is that they have high GWPs and long atmospheric lifetimes. Actual contributions to global warming depend upon the quantities of PFCs emitted.For additional guidance regarding applications in which PFCs may be appropriate, users should consult the description of potential uses which is included in the preamble to this rulemaking.

                  See additional comments 1, 2.

                Additional Comments:
                1—Discharge testing and training should be strictly limited only to that which is essential to meet safety or performance requirements.
                2—The agent should be recovered from the fire protection system in conjunction with testing or servicing, and recycled for later use or destroyed.

                Fire Suppression and Explosion Protection Streaming Agents
                Unacceptable Substitutes

                  End-use
                  Substitute
                  Decision
                  Comments

                  Halon 1211 Streaming Agents
                  [CFC-11]
                  Unacceptable
                  This agent has been suggested for use on large outdoor fires for which non-ozone depleting alternatives are currently used.

              [59 FR 13147, Mar. 18, 1994, as amended at 67 FR 4200, Jan. 29, 2002]

              Pt. 82, Subpt. G, App. B
              Appendix B to Subpart G of Part 82—Substitutes Subject to Use Restrictions and Unacceptable Substitutes

                Refrigerants—Acceptable Subject to Use Conditions

                  Application
                  Substitute
                  Decision
                  Conditions
                  Comments

                  CFC-12 Automobile Motor Vehicle Air Conditioning (New Equipment/NIKs only)
                  HFC-134a
                  Acceptable subject to use conditions, for passenger cars and light-duty trucks manufactured for Model Year 2020 or earlier, and for vehicles other than passenger cars or light-duty trucks
                  —must be used with unique fittings—must be used with detailed labels

                  EPA is concerned that the existence of several substitutes in this end-use may increase the likelihood of significant refrigerant cross-contamination and potential failure of both air conditioning systems and recovery/recycling equipment.

                  CFC-12 Automobile Motor Vehicle Air Conditioning (New Equipment/NIKs only)
                  HCFC Blend Beta (R-416A)
                  Acceptable subject to use conditions, for passenger cars and light-duty trucks manufactured for Model Year 2016 or earlier, and for vehicles other than passenger cars or light-duty trucks
                  —must be used with unique fittings—must be used with detailed labels

                  EPA is concerned that the existence of several substitutes in this end-use may increase the likelihood of significant refrigerant cross-contamination and potential failure of both air conditioning systems and recovery/recycling equipment.

                  CFC-12 Automobile Motor Vehicle Air Conditioning (New Equipment/NIKs only)
                  R-401C
                  Acceptable subject to use conditions
                  —must be used with unique fittings—must be used with detailed labels

                  EPA is concerned that the existence of several substitutes in this end-use may increase the likelihood of significant refrigerant cross-contamination and potential failure of both air conditioning systems and recovery/recycling equipment.

                  CFC-12 Automobile Motor Vehicle Air Conditioning (Retrofit Equipment only)
                  HFC-134a, R-401C, HCFC Blend Beta (R-416A)
                  Acceptable subject to use conditions
                  —must be used with unique fittings—must be used with detailed labels
                    —all CFC-12 must be removed from the system prior to retrofitting
                    Refer to the text for a full description

                  EPA is concerned that the existence of several substitutes in this end-use may increase the likelihood of significant refrigerant cross-contamination and potential failure of both air conditioning systems and recovery/recycling equipment. No distinction is made between “retrofit” and “drop-in” refrigerants; retrofitting a car to use a new refrigerant includes all procedures that result in the air conditioning system using a new refrigerant.

                  CFC-12 Automobile Motor Vehicle Air Conditioning (New equipment only)
                  R-152a as a substitute for CFC-12
                  Acceptable subject to use conditions
                  Engineering strategies and/or devices shall be incorporated into the system such that foreseeable leaks into the passenger compartment do not result in R-152a concentrations of 3.7% v/v or above in any part of the free space1inside the passenger compartment for more than 15 seconds when the car ignition is onManufacturers must adhere to all the safety requirements listed in the Society of Automotive Engineers (SAE) Standard J639 (adopted 2011), including unique fittings and a flammable refrigerant warning label as well as SAE Standard J2773 (adopted February 2011)

                  Additional training for service technicians recommended.Manufacturers should conduct and keep on file failure mode and Effect Analysis (FMEA) on the MVAC as stated in SAE J1739.

                  CFC-12 Automobile Motor Vehicle Air Conditioning (New equipment in passenger cars and light-duty trucks only)
                  HFO-1234yf as a substitute for CFC-12
                  Acceptable subject to use conditions
                  Manufacturers must adhere to all of the safety requirements listed in the Society of Automotive Engineers (SAE) Standard J639 (adopted 2011), including requirements for: unique fittings, flammable refrigerant warning label, high-pressure compressor cutoff switch and pressure relief devices. For connections with refrigerant containers for use in professional servicing (that is, service for consideration, consistent with subpart B to 40 CFR part 82), use fittings consistent with SAE J2844 (revised October 2011)
                  Additional training for service technicians recommended.Observe requirements of Significant New Use Rule at 40 CFR 721.10182.
                    HFO-1234yf is also known as 2,3,3,3-tetrafluoro-prop-1-ene (CAS No 754-12-1).
                    Refrigerant containers of HFO-1234yf for use in professional servicing are from 5 lbs (2.3 L) to 50 lbs (23 L) in size.
                    Requirements for handling, storage, and transportation of compressed gases apply to this refrigerant, such as regulations of the Occupational Safety and Health Administration at 29 CFR 1910.101 and the Department of Transportation's requirements at 49 CFR 171-179.

                  Manufacturers must conduct Failure Mode and Effect Analysis (FMEA) as provided in SAE J1739 (adopted 2009). Manufacturers must keep the FMEA on file for at least three years from the date of creation
                  Requirements for handling, storage, and transportation of compressed gases apply to this refrigerant, such as regulations of the Occupational Safety and Health Administration at 29 CFR 1910.101 and the Department of Transportation's requirements at 49 CFR 171-179.

                  CFC-12 Motor Vehicle Air Conditioning (New equipment only)
                  Carbon dioxide (CO2) as a substitute for CFC-12
                  Acceptable subject to use conditions
                  Engineering strategies and/or mitigation devices shall be incorporated such that in the event of refrigerant leaks, the resulting CO2 concentrations do not exceed:
                  Additional training for service technicians is recommended.

                  The short term exposure level (STEL) of 3% or 30,000 ppm averaged over 15 minutes in the passenger free space 1; and;The ceiling limit of 4% or 40,000 ppm in the passenger breathing zone.2

                  In designing risk mitigation strategies and/or devices, manufacturers should factor in background CO2 concentrations in the passenger cabin potentially contributed from normal respiration by the maximum number of vehicle occupants.

                  Vehicle manufacturers must keep records of the tests performed for a minimum period of three years demonstrating that CO2 refrigerant levels do not exceed the STEL of 3% averaged over 15 minutes in the passenger free space, and the ceiling limit of 4% in the breathing zone
                  Use of the standards SAE J1052, SAE J2772, and SAE J2773 is recommended as additional reference.

                  The use of CO2 in MVAC systems must adhere to the standard conditions identified in SAE Standard J639 (2011 version) including:Installation of a high pressure system warning label;
                    Installation of a compressor cut-off switch; and
                    Use of unique fittings with:
                    Outside diameter of 16.6 +0/−0.2 mm (0.6535 +0/−0.0078 inches) for the MVAC low-side;
                    Outside diameter of 18.1 +0/−0.2 mm (0.7126 +0/−0.0078 inches) for the MVAC high-side; and
                    Outside diameter of 20.955 +0/−0.127 mm (0.825 +0/−0.005 inches) and right-hand thread direction for CO2 refrigerant service containers.3

                  Manufacturers should conduct and keep on file Potential Failure Mode and Effects Analysis in Design [Design FMEA], Potential Failure Mode and Effect Analysis in Manufacturing and Assembly Process [Process FMEA] on the MVAC as stated in SAE J1739.

                  Motor vehicle air conditioning (newly manufactured medium-duty passenger vehicles)
                  HFO-1234yf
                  Acceptable subject to use conditions
                  As of January 3, 2017:(1) HFO-1234yf MVAC systems must adhere to all of the safety requirements of SAE J639 (adopted 2011), including requirements for a flammable refrigerant warning label, high-pressure compressor cutoff switch and pressure relief devices, and unique fittings. For connections with refrigerant containers for use in professional servicing, use fittings must be consistent with SAE J2844 (revised October 2011)
                    (2) Manufacturers must conduct Failure Mode and Effect Analysis (FMEA) as provided in SAE J1739 (adopted 2009). Manufacturers must keep the FMEA on file for at least three years from the date of creation

                  Additional training for service technicians recommended.HFO-1234yf is also known as 2,3,3,3-tetrafluoro-prop-1-ene (CAS. Reg. No. 754-12-1).

                  Motor vehicle air conditioning (newly manufactured heavy-duty pickup trucks)
                  HFO-1234yf
                  Acceptable subject to use conditions
                  As of January 3, 2017:(1) HFO-1234yf MVAC systems must adhere to all of the safety requirements of SAE J639 (adopted 2011), including requirements for a flammable refrigerant warning label, high-pressure compressor cutoff switch and pressure relief devices, and unique fittings. For connections with refrigerant containers for use in professional servicing, use fittings must be consistent with SAE J2844 (revised October 2011)
                    (2) Manufacturers must conduct Failure Mode and Effect Analysis (FMEA) as provided in SAE J1739 (adopted 2009). Manufacturers must keep the FMEA on file for at least three years from the date of creation

                  Additional training for service technicians recommended.HFO-1234yf is also known as 2,3,3,3-tetrafluoro-prop-1-ene (CAS No 754-12-1).

                  Motor vehicle air conditioning (newly manufactured complete heavy-duty vans only)
                  HFO-1234yf
                  Acceptable subject to use conditions
                  As of January 3, 2017:(1) HFO-1234yf MVAC systems must adhere to all of the safety requirements of SAE J639 (adopted 2011), including requirements for a flammable refrigerant warning label, high-pressure compressor cutoff switch and pressure relief devices, and unique fittings. For connections with refrigerant containers for use in professional servicing, use fittings must be consistent with SAE J2844 (revised October 2011)
                    (2) Manufacturers must conduct Failure Mode and Effect Analysis (FMEA) as provided in SAE J1739 (adopted 2009). Manufacturers must keep the FMEA on file for at least three years from the date of creation

                  Additional training for service technicians recommended.HFO-1234yf is also known as 2,3,3,3-tetrafluoro-prop-1-ene (CAS No 754-12-1).
                    HFO-1234yf is acceptable for complete heavy-duty vans. Complete heavy-duty vans are not altered by a secondary or tertiary manufacturer.

                  1 Free space is defined as the space inside the passenger compartment excluding the space enclosed by the ducting in the HVAC module.

                  2 Area inside the passenger compartment where the driver's and passengers' heads are located during a normal sitting position. Refer to SAE J1052 for information on determining passenger head position.

                  3 The refrigerant service containers fitting requirement applies only to refrigerant service containers used during servicing of the MVAC, in accordance with the provisions established for MVAC servicing under 40 CFR part 82, subpart B.

                Note 1:

                The Director of the Federal Register approves the incorporation by reference of the material under “Conditions” in the table “REFRIGERANTS—ACCEPTABLE SUBJECT TO USE CONDITIONS” (5 U.S.C. 552(a) and 1 CFR part 51). You may obtain a copy from SAE Customer Service, 400 Commonwealth Drive, Warrendale, PA 15096-0001 USA; email: CustomerService@sae.org; Telephone: 1-877-606-7323 (U.S. and Canada only) or 1-724-776-4970 (outside the U.S. and Canada); Internet address: http://store.sae.org/dlabout.htm. You may inspect a copy at U.S. EPA's Air Docket; EPA West Building, Room 3334; 1301 Constitution Ave. NW., Washington, DC, or at the National Archives and Records Administration (NARA). For questions regarding access to these standards, the telephone number of EPA's Air Docket is 202-566-1742. 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.

                Refrigerants—Acceptable Subject to Narrowed Use Limits

                  End-use
                  Substitute
                  Decision
                  Comments

                  CFC-11, CFC-12, CFC-113, CFC-114, CFC-115 Non-Mechanical Heat Transfer, New
                  C3 F8, C4 F10, C5 F12, C5 F11 NO, C6 F14, C6 F13 NO, C7 F16, C7 F15 NO, C8 F18, C8 F16 O, and C9 F21 N
                  Acceptable only where no other alternatives are technically feasible due to safety or performance requirements
                  Users must observe the limitations on PFC acceptability by determining that the physical or chemical properties or other technical constraints of the other available agents preclude their use. Documentation of such measures must be available for review upon request.The principal environmental characteristic of concern for PFCs is that they have high GWPs and long atmospheric lifetimes. EPA strongly recommends recovery and recycling of these substitutes.

                  Motor vehicle air conditioning (new equipment in passenger cars and light-duty trucks only)
                  HFC-134a
                  Acceptable for use in Model Year (MY) 2021 through MY 2025 passenger cars and light-duty trucks destined for export, where reasonable efforts have been made to ascertain that other alternatives are not technically feasible because of lack of infrastructure for servicing with alternative refrigerants in the destination country
                  Vehicle manufacturers must document their determination that the infrastructure is not in place for each country to which they plan to export vehicles and must retain the documentation in their files for at least five years after date of its creation for the purpose of demonstrating compliance.Documentation is to include descriptions of:
                    • Products in which the substitute is needed;
                    • Substitutes examined and rejected for the destination country;
                    • Reason for rejection of other alternatives; and
                    • Anticipated date other substitutes will be available and projected date of transition in the destination country.

                Refrigerants—Unacceptable Substitutes

                  End-use
                  Substitute
                  Decision
                  Comments

                  CFC-11, CFC-12, CFC-113, CFC-114, R-500 Centrifugal Chillers (Retrofit and New Equipment/NIKs)
                  R-405A
                  Unacceptable
                  R-405A contains R-c318, a PFC, which has an extremely high GWP and lifetime. Other substitutes exist which do not contain PFCs.

                  Hydrocarbon Blend B
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can be used safely in this end-use.

                  CFC-12 Reciprocating Chillers (Retrofit and New Equipment/NIKs)
                  R-405A
                  Unacceptable
                  R-405A contains R-c318, a PFC, which has an extremely high GWP and lifetime. Other substitutes exist which do not contain PFCs.

                  Hydrocarbon Blend B
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can be used safely in this end-use.

                  CFC-11, CFC-12, R-502 Industrial Process Refrigeration (Retrofit and New Equipment/NIKs)
                  R-403B
                  Unacceptable
                  R-403B contains R-218, a PFC, which has an extremely high GWP and lifetime. Other substitutes exist which do not contain PFCs.

                  R-405A
                  Unacceptable
                  R-405A contains R-c318, a PFC, which has an extremely high GWP and lifetime. Other substitutes exist which do not contain PFCs.

                  CFC-12, R-502 Ice Skating Rinks (Retrofit and New Equipment/NIKs)
                  R-405A
                  Unacceptable
                  R-405A contains R-c318, a PFC, which has an extremely high GWP and lifetime. Other substitutes exist which do not contain PFCs.

                  Hydrocarbon Blend B
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can be used safely in this end-use.

                  CFC-12, R-502 Cold Storage Warehouses (Retrofit and New Equipment/NIKs)
                  R-403B
                  Unacceptable
                  R-403B contains R-218, a PFC, which has an extremely high GWP and lifetime. Other substitutes exist which do not contain PFCs.

                  R-405A
                  Unacceptable
                  R-405A contains R-c318, a PFC, which has an extremely high GWP and lifetime. Other substitutes exist which do not contain PFCs.

                  Hydrocarbon Blend B
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can be used safely in this end-use.

                  CFC-12, R-500, R-502 Refrigerated Transport (Retrofit and New Equipment/NIKs)
                  R-403B
                  Unacceptable
                  R-403B contains R-218, a PFC, which has an extremely high GWP and lifetime. Other substitutes exist which do not contain PFCs.

                  R-405A
                  Unacceptable
                  R-405A contains R-c318, a PFC, which has an extremely high GWP and lifetime. Other substitutes exist which do not contain PFCs.

                  Hydrocarbon Blend B
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can be used safely in this end-use.

                  CFC-12, R-502 Retail Food Refrigeration (Retrofit and New Equipment/NIKs)
                  R-403B
                  Unacceptable
                  R-403B contains R-218, a PFC, which has an extremely high GWP and lifetime. Other substitutes exist which do not contain PFCs.

                  R-405A
                  Unacceptable
                  R-405A contains R-c318, a PFC, which has an extremely high GWP and lifetime. Other substitutes exist which do not contain PFCs.

                  Hydrocarbon Blend B
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can be used safely in this end-use.

                  CFC-12, R-502 Commercial Ice Machines (Retrofit and New Equipment/NIKs)
                  R-403B
                  Unacceptable
                  R-403B contains R-218, a PFC, which has an extremely high GWP and lifetime. Other substitutes exist which do not contain PFCs.

                  R-405A
                  Unacceptable
                  R-405A contains R-c318, a PFC, which has an extremely high GWP and lifetime. Other substitutes exist which do not contain PFCs.

                  Hydrocarbon Blend B
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can be used safely in this end-use.

                  CFC-12 Vending Machines (Retrofit and New Equipment/NIKs)
                  R-405A
                  Unacceptable
                  R-405A contains R-c318, a PFC, which has an extremely high GWP and lifetime. Other substitutes exist which do not contain PFCs.

                  Hydrocarbon Blend B
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can be used safely in this end-use.

                  CFC-12 Water Coolers (Retrofit and New Equipment/NIKs)
                  R-405A
                  Unacceptable
                  R-405A contains R-c318, a PFC, which has an extremely high GWP and lifetime. Other substitutes exist which do not contain PFCs.

                  Hydrocarbon Blend B
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can be used safely in this end-use.

                  CFC-12 Household Refrigerators (Retrofit and New Equipment/NIKs)
                  R-405A
                  Unacceptable
                  R-405A contains R-c318, a PFC, which has an extremely high GWP and lifetime. Other substitutes exist which do not contain PFCs.

                  Hydrocarbon Blend B
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can be used safely in this end-use.

                  CFC-12, R-502 Household Freezers (Retrofit and New Equipment/NIKs)
                  R-403B
                  Unacceptable
                  R-403B contains R-218, a PFC, which has an extremely high GWP and lifetime. Other substitutes exist which do not contain PFCs.

                  R-405A
                  Unacceptable
                  R-405A contains R-c318, a PFC, which has an extremely high GWP and lifetime. Other substitutes exist which do not contain PFCs.

                  Hydrocarbon Blend B
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can be used safely in this end-use.

                  CFC-12, R-500 Residential Dehumidifiers (Retrofit and New Equipment/NIKs)
                  R-405A
                  Unacceptable
                  R-405A contains R-c318, a PFC, which has an extremely high GWP and lifetime. Other substitutes exist which do not contain PFCs.

                  Hydrocarbon Blend B
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can be used safely in this end-use.

                  CFC-12 Motor Vehicle Air Conditioners (Retrofit and New Equipment/NIKs)
                  R-405A
                  Unacceptable
                  R-405A contains R-c318, a PFC, which has an extremely high GWP and lifetime. Other Substitutes exist which do not contain PFCs.

                  Hydrocarbon Blend B
                  Unacceptable
                  Flammability is a serious concern. Data have not been submitted to demonstrate it can be used safely in this end-use.

                  Flammable Substitutes, other than R-152a or HFO-1234yf in new equipment
                  Unacceptable
                  The risks associated with using flammable substitutes (except R-152a and HFO-1234yf) in this end-use have not been addressed by a risk assessment. R-152a and HFO-1234yf may be used in new equipment with the use conditions in appendix B to this subpart.

                  Motor vehicle air conditioning (new equipment in passenger cars and light-duty trucks only)
                  HFC-134a
                  Unacceptable as of Model Year 2021 except where allowed under narrowed use limit
                  HFC-134a has a Chemical Abstracts Service Registry Number (CAS Reg. No.) of 811-97-2 and it is also known by the name 1,1,1,2-tetrafluoropropane. HFC-134a has a GWP of 1,430. Other substitutes will be available for this end-use with lower overall risk to human health and the environment by the status change date.

                  This listing does not prohibit the servicing or replacement of motor vehicle air conditioning systems manufactured to use HFC-134a.

                  Motor vehicle air conditioning (new equipment in passenger cars and light-duty trucks only)
                  R-406A, R-414A (HCFC Blend Xi, GHG-X4), R-414B (HCFC Blend Omicron), HCFC Blend Delta (Free Zone), Freeze 12, GHG-X5, HCFC Blend Lambda (GHG-HP), R-416A (FRIGC FR-12, HCFC Blend Beta)
                  Unacceptable as of Model Year 2017
                  These refrigerants all contain HCFCs. They have GWPs ranging from 1,080 to 2,340 and ODPs ranging from 0.008 to 0.056. Other substitutes will be available for this end-use with lower overall risk to human health and the environment by the status change date.

                  Motor vehicle air conditioning (new equipment in passenger cars and light-duty trucks only)
                  SP34E, R-426A (RS-24, new formulation)
                  Unacceptable as of Model Year 2017
                  These blends have GWPs ranging from approximately 1,410 to 1,510. Other substitutes will be available for this end-use with lower overall risk to human health and the environment by the status change date.

                Solvent Cleaning Sector—Acceptable Subject to Use Conditions Substitutes

                  Application
                  Substitute
                  Decision
                  Conditions
                  Comments

                  Electronics Cleaning w/CFC-113, MCF
                  HCFC-225 ca/cb
                  Acceptable
                  Subject to the company set exposure limit of 25 ppm of the -ca isomer
                  HCFC-225 ca/cb blend is offered as a 45%-ca/55%-cb blend. The company set exposure limit of the -ca isomer is 25 ppm. The company set exposure limit of the -cb isomer is 250 ppm. It is the Agency's opinion that with the low emission cold cleaning and vapor degreasing equipment designed for this use, the 25 ppm limit of the HCFC-225 ca isomer can be met. The company is submitting further exposure monitoring data.

                  Precision Cleaning w/CFC-113, MCF
                  HCFC-225 ca/cb
                  Acceptable
                  Subject to the company set exposure limit of 25 ppm of the -ca isomer
                  HCFC-225 ca/cb blend is offered as a 45%-ca/55%-cb blend. The company set exposure limit of the -ca isomer is 25 ppm. The company set exposure limit of the -cb isomer is 250 ppm. It is the Agency's opinion that with the low emission cold cleaning and vapor degreasing equipment designed for this use, the 25 ppm limit of the HCFC-225 ca isomer can be met. The company is submitting further exposure monitoring data.

                Solvent Cleaning Sector—Unacceptable Substitutes

                  End use
                  Substitute
                  Decision
                  Comments

                  Metals cleaning w/CFC-113
                  Dibromomethane
                  Unacceptable
                  High ODP; other alternatives exist.

                  Metals cleaning w/MCF
                  Dibromomethane
                  Unacceptable
                  High ODP; other alternatives exist.

                  Electronics cleaning w/CFC-113
                  Dibromomethane
                  Unacceptable
                  High ODP; other alternatives exist.

                  Electronics cleaning w/MCF
                  Dibromomethane
                  Unacceptable
                  High ODP; other alternatives exist.

                  Precision cleaning w/CFC-113
                  Dibromomethane
                  Unacceptable
                  High ODP; other alternatives exist.

                  Precision cleaning w/MCF
                  Dibromomethane
                  Unacceptable
                  High ODP; other alternatives exist.

                Fire Suppression and Explosion Protection—Acceptable Subject to Use Conditions: Total Flooding Agents

                  Application
                  Substitute
                  Decision
                  Conditions
                  Comments

                  Halon 1301 Total Flooding Agents
                  Inert Gas/Powdered Aerosol Blend
                  Acceptable as a Halon 1301 substitute in normally unoccupied areas
                  In areas where personnel could possibly be present, as in a cargo area, EPA requires that the employer shall provide a pre-discharge employee alarm capable of being perceived above ambient light or noise levels for alerting employees before system discharge. The pre-discharge alarm shall provide employees time to safely exit the discharge area prior to system discharge
                  The manufacturer's SNAP application requested listing for use in unoccupied areas only.See additional comment 2.

                  Additional Comments

                1—Must conform with OSHA 29 CFR 1910 Subpart L Section 1910.160 of the U.S. Code. You should use clean agents in accordance with the safety guidelines in the latest edition of the NFPA 2001 Standard for Clean Agent Fire Extinguishing Systems.
                2—Per OSHA requirements, protective gear (SCBA) must be available in the event personnel must enter/reenter the area.
                3—Discharge testing should be strictly limited only to that which is essential to meet safety or performance requirements.
                4—The agent should be recovered from the fire protection system in conjunction with testing or servicing, and recycled for later use or destroyed.

                Fire Suppression and Explosion Protection—Acceptable Subject to Narrowed Use Limits: Total Flooding Agents

                  End-use
                  Substitute
                  Decision
                  Conditions
                  Further information

                  Total flooding
                  Sulfurhexafluoride (SF6)
                  Acceptable subject to narrowed use in limits
                  May be used as a discharge test agent in military uses and in civilian aircraft uses only
                  This agent has an atmospheric lifetime greater than 1,000 years, with an estimated 100-year, 500-year, and 1,000-year GWP of 16,100, 26,110 and 32,803 respectively. Users should limit testing only to that which is essential to meet safety or performance requirements.

                  This agent is only used to test new Halon 1301 systems.

                  See additional comments 1, 2, 3, 4, 5.

                  Total flooding
                  CF3I
                  Acceptable subject to narrowed use limits
                  Use only in normally unoccupied areas
                  Use of this agent should be in accordance with the safety guidelines in the latest edition of the NFPA 2001 Standard for Clean Agent Fire Extinguishing Systems.

                  Manufacturer has not applied for listing for use in normally occupied areas. Preliminary cardiosensitization data indicates that this agent would not be suitable for use in normally occupied areas.

                  See additional comments 1, 2, 3, 4, 5.

                Additional comments:
                1—Must conform with relevant OSHA requirements, including 29 CFR 1910, Subpart L, Sections 1910.160 and 1910.162.
                2—Per OSHA requirements, protective gear (SCBA) should be available in the event personnel should reenter the area.
                3—Discharge testing should be strictly limited to that which is essential to meet safety or performance requirements.
                4—The agent should be recovered from the fire protection system in conjunction with testing or servicing, and recycled for later use or destroyed.
                5—EPA has no intention of duplicating or displacing OSHA coverage related to the use of personal protective equipment (e.g., respiratory protection), fire protection, hazard communication, worker training or any other occupational safety and health standard with respect to halon substitutes.

                Fire Suppression and Explosion Protection—Unacceptable Substitutes

                  Application
                  Substitute
                  Decision
                  Comments

                  Halon 1301 Total Flooding Agents
                  HFC-32
                  Unacceptable
                  Data indicate that HFC-32 is flammable and therefore is not suitable as a halon substitute.

              [60 FR 31103, June 13, 1995, as amended at 67 FR 4200, Jan. 29, 2002; 73 FR 33310, June 12, 2008; 76 FR 17519, Mar. 29, 2011; 77 FR 17350, Mar. 26, 2012; 77 FR 33330, June 6, 2012; 80 FR 42952, July 20, 2015; 81 FR 86881, Dec. 1, 2016]

              Pt. 82, Subpt. G, App. C
              Appendix C to Subpart G of Part 82—Substitutes Subject to Use Restrictions and Unacceptable Substitutes Listed in the May 22, 1996 Final Rule, Effective June 21, 1996
              Refrigeration and Air Conditioning Sector—Acceptable Subject to Use Conditions
              HCFC Blend Delta and Blend Zeta are acceptable subject to the following conditions when used to retrofit a CFC-12 motor vehicle air conditioning system:
              1. Each refrigerant may only be used with a set of fittings that is unique to that refrigerant. These fittings (male or female, as appropriate) must be used with all containers of the refrigerant, on can taps, on recovery, recycling, and charging equipment, and on all air conditioning system service ports. These fittings must be designed to mechanically prevent cross-charging with another refrigerant. A refrigerant may only be used with the fittings and can taps specifically intended for that refrigerant. Using an adapter or deliberately modifying a fitting to use a different refrigerant will be a violation of this use condition. In addition, fittings shall meet the following criteria, derived from Society of Automotive Engineers (SAE) standards and recommended practices:
              a. When existing CFC-12 service ports are to be retrofitted, conversion assemblies shall attach to the CFC-12 fitting with a thread lock adhesive and/or a separate mechanical latching mechanism in a manner that permanently prevents the assembly from being removed.
              b. All conversion assemblies and new service ports must satisfy the vibration testing requirements of sections 3.2.1 or 3.2.2 of SAE J1660, as applicable, excluding references to SAE J639 and SAE J2064, which are specific to HFC-134a.
              c. In order to prevent discharge of refrigerant to the atmosphere, systems shall have a device to limit compressor operation before the pressure relief device will vent refrigerant. This requirement is waived for systems that do not feature such a pressure relief device.
              d. All CFC-12 service ports not retrofitted with conversion assemblies shall be rendered permanently incompatible for use with CFC-12 related service equipment by fitting with a device attached with a thread lock adhesive and/or a separate mechanical latching mechanism in a manner that prevents the device from being removed.
              2. When a retrofit is performed, a label must be used as follows:
              a. The person conducting the retrofit must apply a label to the air conditioning system in the engine compartment that contains the following information:
              i. The name and address of the technician and the company performing the retrofit.
              ii. The date of the retrofit.
              iii. The trade name, charge amount, and, when applicable, the ASHRAE refrigerant numerical designation of the refrigerant.
              iv. The type, manufacturer, and amount of lubricant used.
              v. If the refrigerant is or contains an ozone-depleting substance, the phrase “ozone depleter.”
              vi. If the refrigerant displays flammability limits as measured according to ASTM E681, the statement “This refrigerant is FLAMMABLE. Take appropriate precautions.”
              b. This label must be large enough to be easily read and must be permanent.
              c. The background color must be unique to the refrigerant.
              d. The label must be affixed to the system over information related to the previous refrigerant, in a location not normally replaced during vehicle repair.
              e. Information on the previous refrigerant that cannot be covered by the new label must be permanently rendered unreadable.
              3. No substitute refrigerant may be used to “top-off” a system that uses another refrigerant. The original refrigerant must be recovered in accordance with regulations issued under section 609 of the CAA prior to charging with a substitute.

                Solvent Cleaning Sector—Proposed Acceptable Subject to Use Conditions Substitutes

                  Application
                  Substitute
                  Decision
                  Conditions
                  Comments

                  Metals Cleaning with CFC-113, MCF and HCFC-141b
                  Monochlorotoluenes and benzotrifluorides
                  Acceptable
                  Subject to a 50 ppm workplace standard for monochlorotoluenes and a 25 ppm standard for benzotrifluorides
                  The workplace standard for monochlorotoluenes is based on an OSHA PEL of 50 ppm for orthochlorotoluene. The workplace standard for benzotrifluorides is based on a recent toxicology study.

                  Electronics Cleaning w/ CFC-113, MCF and HCFC-141b
                  Monochlorotoluenes and benzotrifluorides
                  Acceptable
                  Subject to a 50 ppm workplace standard for monochlorotoluenes and a 25 ppm standard for benzotrifluorides
                  The workplace standard for monochlorotoluenes is based on an OSHA PEL of 50 ppm for orthochlorotoluene. The workplace standard for benzotrifluorides is based on a recent toxicology study.

                  Precision Cleaning w/ CFC-113, MCF and HCFC-141b
                  Monochlorotoluenes and benzotrifluorides
                  Acceptable
                  Subject to a 50 ppm workplace standard for monochlorotoluenes and a 25 ppm standard for benzotrifluorides
                  The workplace standard for monochlorotoluenes is based on an OSHA PEL of 50 ppm for orthochlorotoluene. The workplace standard for benzotrifluorides is based on a recent toxicology study.

                Acceptable Subject to Narrowed Use Limits: Streaming Agents

                  Application
                  Substitute
                  Decision
                  Comments

                  Halon 1211
                  CF3 I
                  Acceptable in non-residential uses only

                  Streaming Agents

                Aerosols—Proposed Acceptable Subject to Use Conditions Substitutes

                  Application
                  Substitute
                  Decision
                  Conditions
                  Comments

                  CFC-113, MCF and HCFC-141b as solvent
                  Monochlorotoluenes and benzotrifluo-rides
                  Acceptable
                  Subject to a 50 ppm workplace standard for monochlorotoluenes and a 25 ppm standard for benzotrifluorides
                  The workplace standard for monochlorotoluenes is based on an OSHA PEL of 50 ppm for orthochlorotoluene. The workplace standard for benzotrifluorides is based on a recent toxicology study.

                Adhesives, Coatings and Inks—Proposed Acceptable Subject to Use Conditions Substitutes

                  Application
                  Substitute
                  Decision
                  Conditions
                  Comments

                  CFC-113, MCF and HCFC-141b
                  Monochlorotoluenes and benzotrifluo-rides
                  Acceptable
                  Subject to a 50 ppm workplace standard for monochlorotoluenes and a 25 ppm standard for benzotrifluorides
                  The workplace standard for monochlorotoluenes is based on an OSHA PEL of 50 ppm for orthochlorotoluene. The workplace standard for benzotrifluorides is based on a recent toxicology study.

              [61 FR 25592, May 22, 1996, as amended at 67 FR 4201, Jan. 29, 2002]

                Effective Date Note:
                At 61 FR 25592, May 22, 1996, appendix C to subpart G of part 82 was added. This appendix contains information collection and recordkeeping requirements that will not become effective until approval has been given by the Office of Management and Budget.

              Pt. 82, Subpt. G, App. D
              Appendix D to Subpart G of Part 82—Substitutes Subject to Use Restrictions and Unacceptable Substitutes
              Summary of Decisions
              Refrigeration and Air Conditioning Sector Acceptable Subject to Use Conditions
              R-406A/“GHG”/“McCool”, “GHG-HP”, “GHG-X4”/“Autofrost”/“Chill-It”, and “Hot Shot”/“Kar Kool” are acceptable substitutes for CFC-12 in retrofitted motor vehicle air conditioning systems (MVACs) subject to the use condition that a retrofit to these refrigerants must include replacing non-barrier hoses with barrier hoses.
              For all refrigerants submitted for use in motor vehicle air conditioning systems, subsequent to the effective date of this FRM, in addition to the information previously required in the March 18, 1994 final SNAP rule (58 FR 13044), SNAP submissions must include specifications for the fittings similar to those found in SAE J639, samples of all fittings, and the detailed label described below at the same time as the initial SNAP submission, or the submission will be considered incomplete. Under section 612 of the Clean Air Act, substitutes for which submissions are incomplete may not be sold or used, regardless of other acceptability determinations, and the prohibition against sale of a new refrigerant will not end until 90 days after EPA determines the submission is complete.
              In addition, the use of a) R-406A/“GHG”/“McCool”, “HCFC Blend Lambda”/“GHG-HP”, R-414A/“HCFC Blend Xi”/“GHG-X4/“Autofrost”/“Chill-It”, R-414B/“Hot Shot”/“Kar Kool”, and R-416A/“HCFC Blend Beta”/“FREEZE 12” as CFC-12 substitutes in retrofitted MVACs, and b) all refrigerants submitted for, and listed in, subsequent Notices of Acceptability as substitutes for CFC-12 in MVACs, must meet the following conditions.
              1. Each refrigerant may only be used with a set of fittings that is unique to that refrigerant. These fittings (male or female, as appropriate) must be designed by the manufacturer of the refrigerant. The manufacturer is responsible to ensure that the fittings meet all of the requirements listed below, including testing according to SAE standards. These fittings must be designed to mechanically prevent cross-charging with another refrigerant, including CFC-12.
              The fittings must be used on all containers of the refrigerant, on can taps, on recovery, recycling, and charging equipment, and on all air conditioning system service ports. A refrigerant may only be used with the fittings and can taps specifically intended for that refrigerant and designed by the manufacturer of the refrigerant. Using a refrigerant with a fitting designed by anyone else, even if it is different from fittings used with other refrigerants, is a violation of this use condition. Using an adapter or deliberately modifying a fitting to use a different refrigerant is a violation of this use condition.
              Fittings shall meet the following criteria, derived from Society of Automotive Engineers (SAE) standards and recommended practices:
              a. When existing CFC-12 service ports are retrofitted, conversion assemblies shall attach to the CFC-12 fitting with a thread lock adhesive and/or a separate mechanical latching mechanism in a manner that permanently prevents the assembly from being removed.
              b. All conversion assemblies and new service ports must satisfy the vibration testing requirements of section 3.2.1 or 3.2.2 of SAE J1660, as applicable, excluding references to SAE J639 and SAE J2064, which are specific to HFC-134a.
              c. In order to prevent discharge of refrigerant to the atmosphere, systems shall have a device to limit compressor operation before the pressure relief device will vent refrigerant.
              d. All CFC-12 service ports not retrofitted with conversion assemblies shall be rendered permanently incompatible for use with CFC-12 related service equipment by fitting with a device attached with a thread lock adhesive and/or a separate mechanical latching mechanism in a manner that prevents the device from being removed.
              2. When a retrofit is performed, a label must be used as follows:
              a. The person conducting the retrofit must apply a label to the air conditioning system in the engine compartment that contains the following information:
              i. The name and address of the technician and the company performing the retrofit.
              ii. The date of the retrofit.
              iii. The trade name, charge amount, and, when applicable, the ASHRAE refrigerant numerical designation of the refrigerant.
              iv. The type, manufacturer, and amount of lubricant used.
              v. If the refrigerant is or contains an ozone-depleting substance, the phrase “ozone depleter”.
              vi. If the refrigerant displays flammability limits as measured according to ASTM E681, the statement “This refrigerant is FLAMMABLE. Take appropriate precautions.”
              b. The label must be large enough to be easily read and must be permanent.
              c. The background color must be unique to the refrigerant.
              d. The label must be affixed to the system over information related to the previous refrigerant, in a location not normally replaced during vehicle repair.

              e. In accordance with SAE J639, testing of labels must meet ANSI/UL 969-1991.

              f. Information on the previous refrigerant that cannot be covered by the new label must be rendered permanently unreadable.
              3. No substitute refrigerant may be used to “top-off” a system that uses another refrigerant. The original refrigerant must be recovered in accordance with regulations issued under section 609 of the CAA prior to charging with a substitute.

                Solvent Cleaning Sector
                [Acceptable Subject to Use Conditions Substitutes]

                  Application
                  Substitute
                  Decision
                  Conditions
                  Comments

                  Electronics Cleaning w/CFC-113 and MCF
                  HFC-4310mee
                  Acceptable
                  Subject to a 200 ppm time-weighted average workplace exposure standard and a 400 ppm workplace exposure ceiling

                  Precision Cleaning w/CFC-113 and MCF
                  HFC-4310mee
                  Acceptable
                  Subject to a 200 ppm time-weighted average workplace exposure standard and a 400 ppm workplace exposure ceiling

                Solvent Sector
                [Acceptable Subject to Narrowed Use Limits]

                  Application
                  Substitute
                  Decision
                  Comments

                  Electronics Cleaning w/CFC-113 and MCF
                  Perfluoropolyethers
                  Perfluoropolyethers are acceptable substitutes for CFC-113 and MCF in the precision cleaning sector for high performance, precision-engineered applications only where reasonable efforts have been made to ascertain that other alternatives are not technically feasible due to performance or safety requirements
                  PFPEs have similar global warming profile to the PFCs, and the SNAP decision on PFPEs parallels that for PFCs.

                  Precision Cleaning w/CFC-113 and MCF
                  Perfluoropolyethers
                  Perfluoropolyethers are acceptable substitutes for CFC-113 and MCF in the precision cleaning sector for high performance, precision-engineered applications only where reasonable efforts have been made to ascertain that other alternatives are not technically feasible due to performance or safety requirements
                  PFPEs have similar global warming profile to the PFCs, and the SNAP decision on PFPEs parallels that for PFCs.

                Unacceptable Substitutes

                  End-use
                  Substitute
                  Decision
                  Comments

                  Electronics Cleaning w/CFC-113 and MCF
                  HCFC-141b
                  Extension of existing unacceptability determination to grant existing uses in high-performance electronics permission to continue until January 1, 1997
                  This determination extends the use date for HCFC-141b in solvent cleaning, but only for existing users in high-performance electronics and only for one year.

                  Precision Cleaning w/CFC-113 and MCF
                  HCFC-141b
                  Extension of existing unacceptability determination to grant existing uses in precision cleaning permission to continue until January 1, 1997
                  This determination extends the use date for HCFC-141b in solvent cleaning, but only for existing users in precision cleaning and only for one year.

                Aerosols Sector
                Acceptable Subject to Narrowed Use Limits

                  Application
                  Substitute
                  Decision
                  Comments

                  CFC-113, MCF, and HCFC-141b as aerosol solvents
                  Perfluorocarbons
                  Perfluorocarbons are acceptable substitutes for aerosol applications only where reasonable efforts have been made to ascertain that other alternatives are not technically feasible due to performance or safety requirements
                  PFCs have extremely long atmospheric lifetimes and high Global Warming Potentials. This decision reflects these concerns and is patterned after the SNAP decision on PFCs in the solvent cleaning sector.

                  Perfluoropolyethers
                  Perfluorocarbons are acceptable substitutes for aerosol applications only where reasonable efforts have been made to ascertain that other alternatives are not technically feasible due to performance or safety requirements
                  PFPEs have similar global warming profile to the PFCs, and the SNAP decision on PFPEs parallels that for PFCs in the solvent cleaning sector.

                Unacceptable Substitutes

                  End-use
                  Substitute
                  Decision
                  Comments

                  CFC-11, CFC-12, HCFC-22, and HCFC-142b as aerosol propellants
                  SF6
                  Unacceptable
                  SF6 has the highest GWP of all industrial gases, and other compressed gases meet user needs in this application equally well.

              [61 FR 54040, Oct. 16, 1996, as amended at 80 FR 42953, July 20, 2015]

              Pt. 82, Subpt. G. App. E
              Appendix E to Subpart G of Part 82—Unacceptable Substitutes Listed in the January 26, 1999 Final Rule, Effective January 26, 1999

                Refrigeration and Air-Conditioning Sector Unacceptable Substitutes

                  End-use
                  Substitute
                  Decision
                  Comments

                  All refrigeration and air-conditioning end uses
                  MT-31
                  Unacceptable
                  Chemical contained in this blend presents unacceptable toxicity risk.

              [64 FR 3865, Jan. 26, 1999]

              Pt. 82, Subpt. G, App. F
              Appendix F to Subpart G of Part 82—Unacceptable Substitutes Listed in the January 26, 1999 Final Rule, Effective January 26, 1999

                Refrigeration and Air-Conditioning Sector UnacceptabLe Substitutes

                  End-use
                  Substitute
                  Decision
                  Comments

                  All refrigeration and air-conditioning end uses
                  Hexafluoropropylene (HFP) and all HFP-containing blends
                  Unacceptable
                  Presents unacceptable toxicity risk.

              [64 FR 3868, Jan. 26, 1999]

              Pt. 82, Subpt. G, App. G
              Appendix G to Subpart G of Part 82—Substitutes Subject to Use Restrictions and Unacceptable Substitutes Listed in the March 3, 1999, Final rule, Effective April 2, 1999.

                Refrigerants Unacceptable Substitutes

                  End-use
                  Substitute
                  Decision
                  Comments

                  CFC-12, R-502, and HCFC-22 Household Refrigeration, Transport Refrigeration, Vending Machines, Cold Storage Warehouses, and Retail Food Refrigeration, Retrofit and New
                  Self-Chilling Cans-Using HFC-134a or HFC-152a
                  Unacceptable
                  Unacceptably high greenhouse gas emissions from direct release of refrigerant to the atmosphere.

              [64 FR 10378, Mar. 3, 1999]

              Pt. 82, Subpt. G, App. H
              Appendix H to Subpart G of Part 82—Substitutes Subject to Use Restrictions and Unacceptable Substitutes, Effective May 28, 1999
              CFC-12 Automobile and Non-automobile Motor Vehicle Air Conditioners, Retrofit and New
              Criteria for Uniqueness of Fittings
              (a) All fittings for alternative motor vehicle refrigerants must meet the following requirements:
              (1) High-side screw-on fittings for each refrigerant must differ from high-side screw-on fittings for all other refrigerants, including CFC-12, and from low-side screw-on fittings for CFC-12;
              (2) Low-side screw-on fittings for each refrigerant must differ from low-side screw-on fittings for all other refrigerants, including CFC-12;
              (3) High-side screw-on fittings for a given refrigerant must differ from low-side screw-on fittings for that refrigerant, to protect against connecting a low-pressure system to a high-pressure one;
              (4) High-side quick-connect fittings for each refrigerant must differ from high-side quick-connect fittings for all other refrigerants, including CFC-12 (if they exist);
              (5) Low-side quick-connect fittings for each refrigerant must differ from low-side quick-connect fittings for all other refrigerants, including CFC-12 (if they exist);
              (6) High-side quick-connect fittings for a given refrigerant must differ from low-side quick-connect fittings for that refrigerant, to protect against connecting a low-pressure system to a high-pressure one;
              (7) For each type of container, the fitting for each refrigerant must differ from the fitting for that type of container for all other refrigerants, including CFC-12.
              (b) For screw-on fittings, “differ” means that either the diameter must differ by at least 1/16 inch or the thread direction must be reversed (i.e. right-handed vs. left-handed). Simply changing the thread pitch is not sufficient. For quick-connect fittings, “differ” means that a person using normal force and normal tools (including wrenches) must not be able to cross-connect fittings.
              (c) The sole exception to the 1/16 inch difference requirement is the difference between the small can fittings for GHG-X4 and R-406A. The GHG-X4 small can fitting uses a metric measurement, and is slightly less than 1/16 inch larger than the small can fitting for R-406A. EPA has concluded that these fittings will not cross-connect, and therefore they may be used.

                Refrigeration and Air Conditioning—Unacceptable Substitutes

                  End-use
                  Substitute
                  Decision
                  Comments

                  All HCFC-22 end-uses, retrofit and new
                  NARM-22
                  Unacceptable
                  This blend contains HCFC-22, and it is inappropriate to use such a blend as a substitute for HCFC-22. In addition, this blend contains HFC-23, which has an extremely high GWP and lifetime. Other substitutes for HCFC-22 exist that do not contain either HCFC-22 or HFC-23.

                Solvents Cleaning—Unacceptable Substitutes

                  End-use
                  Substitute
                  Decision
                  Comments

                  Metals, Electronic, and Precision cleaning with CFC-113, methyl chloroform, and HCFC-141b
                  Chlorobromo-methane
                  Unacceptable
                  Other alternatives exist with zero or much lower ODP.

                Fire Suppression and Explosion Protection—Acceptable Subject to Narrowed Use Limits: Total Flooding Agents

                  End-use
                  Substitute
                  Decision
                  Conditions
                  Further information

                  Total flooding
                  HFC-236fa
                  Acceptable subject to narrowed use limits.
                  Acceptable when manufactured using any process that does not convert perfluoroisobutylene (PFIB) directly to HFC-236fa in a single step:for use in explosion suppression and explosion inertion applications, and
                    for use in fire suppression applications where other non-PFC agents or alternatives are not technically feasible due to performance or safety requirements:
                    (a) because of their physical or chemical properties, or
                    (b) where human exposure to the extinguishing agents may result in failure to meet safety guidelines in the latest edition of the NFPA 2001 Standard for Clean Agent Fire Extinguishing Systems.

                  Use of this agent should be in accordance with the safety guidelines in the latest edition of the NFPA 2001 Standard for Clean Agent Fire Systems.Users should observe the limitations on HFC-236fa acceptability by taking the following measures:
                    (i) conduct an evaluation of foreseeable conditions of end-use;
                    (ii) determine that the physical or chemical properties, or other technical constraints of the other available agents preclude their use; and
                    (iii) determine that human exposure to the other alternative extinguishing agents may result in failure to meet safety guidelines in the latest edition of the NFPA 2001 Standard for Clean Agent Fire Extinguishing Systems.

                  Documentation of such measures should be available for review upon request.The principal environmental characteristic of concern for HFC-236fa is its high GWP of 9400 and long atmospheric lifetime of 226 years. Actual contributions to global warming depend upon the quantities emitted.
                    See additional comments 1, 2, 3, 4, 5.

                  Total flooding
                  C3F8

                  Acceptable subject to narrowed use limits.

                  Acceptable for nonresidential uses where other alternatives are not technically feasible due to performance or safety requirements:(a) because of their physical or chemical properties, or
                    (b) where human exposure to the extinguishing agents may result in failure to meet safety guidelines in the latest edition of the NFPA 2001 Standard for Clean Agent Fire Extinguishing Systems.

                  Use of this agent should be in accordance with the safety guidelines in the latest edition of the NFPA 2001 Standard for Clean Agent Fire Extinguishing Systems.Users should observe the limitations on PFC acceptability by taking the following measures:
                    (i) conduct an evaluation of foreseeable conditions of end-use;
                    (ii) determine that the physical or chemical properties or other technical constraints of the other available agents preclude their use; and

                  (iii) determine that human exposure to the other alternative extinguishing agents may result in failure to meet safety guidelines in the latest edition of the NFPA 2001 Standard for Clean Agent Fire Extinguishing Systems.Documentation of such measures should be available for review upon request.
                    The principal environmental characteristic of concern for PFCs is that they have high GWPs and long atmospheric lifetimes. Actual contributions to global warming depend upon the quantities of PFCs emitted.
                    See additional comments 1, 2, 3, 4, 5.

                  Total flooding
                  C4F10

                  Acceptable subject to narrowed use limits
                  Acceptable for nonresidential uses where other alternatives are not technically feasible due to performance or safety requirements:(a) because of their physical or chemical properties, or
                    (b) where human exposure to the extinguishing agents may result in failure to meet safety guidelinesin the latest edition of the NFPA 2001 Standard for Clean Agent Fire Extinguishing Systems

                  Use of this agent should be in accordance with the safety guidelines in the latest edition of the NFPA 2001 Standard for Clean Agent Fire Extinguishing Systems.Users should observe the limitations on PFC acceptability by taking the following measures:
                    (i) conduct an evaluation of foreseeable conditions of end-use;
                    (ii) determine that the physical or chemical properties or other technical constraints of the other available agents preclude their use; and

                  (iii) determine that human exposure to the other alternative extinguishing agents may result in failure to meet safety guidelines in the latest edition of the NFPA 2001 Standard for Clean Agent Fire Extinguishing SystemsDocumentation of such measures should be available for review upon request.
                    The principal environmental characteristic of concern for PFCs is that they have high GWPs and long atmospheric lifetimes. Actual contributions to global warming depend upon the quantities of PFCs emitted.
                    See additional comments 1, 2, 3, 4, 5.

                Additional comments:
                1—Should conform with relevant OSHA requirements, including 29 CFR 1910, Subpart L, Sections 1910.160 and 1910.162.
                2—Per OSHA requirements, protective gear (SCBA) should be available in the event personnel should reenter the area.
                3—Discharge testing should be strictly limited to that which is essential to meet safety or performance requirements.
                4—The agent should be recovered from the fire protection system in conjunction with testing or servicing, and recycled for later use or destroyed.
                5—EPA has no intention of duplicating or displacing OSHA coverage related to the use of personal protective equipment (e.g., respiratory protection), fire protection, hazard communication, worker training or any other occupational safety and health standard with respect to halon substitutes.

                Fire Suppression and Explosion Protection—Streaming Agents—Acceptable Subject to Narrowed Use Limits

                  End-use
                  Substitute
                  Decision
                  Conditions
                  Comments

                  Halon 1211replacement

                  C6F14
                  Acceptable for nonresidential uses where other alternatives are not technically feasible due to performance or safety requirements: (a) because of their physical or chemical properties, or (b) where human exposure to the extinguishing agents may result in failure to meet applicable use conditions.

                  Users should observe the limitations on PFC acceptability by taking the following measures: (i) conduct an evaluation of foreseeable conditions of end-use; (ii) determine that the physical or chemical properties or other technical constraints of the other available agents preclude their use; and (iii) determine that human exposure to the other alternative extinguishing agents may result in failure to meet applicable use conditions Documentation of such measures should be available for review upon request. The principal environmental characteristic of concern for PFCs is that they have high GWPs and long atmospheric lifetimes. Actual contributions to global warming depend upon the quantities of PFCs emitted. For additional guidance regarding applications in which PFCs may be appropriate, users should consult the description of potential uses which is included in the March 18, 1994 Final Rule (59 FR 13044.) See comments 1, 2.

                  Halon 1211 replacement
                  HFC-236fa
                  Acceptable in nonresidential uses when manufactured using any process that does not convert perfluoroisobutylene (PFIB) directly to HFC-236fa in a single step

                  See comments 1, 2, 3.

                  Halon 1211 replacement
                  HFC-227ea
                  Acceptable in nonresidential uses only

                  See comments 1, 2.

                  Additional comments:

                1—Discharge testing and training should be strictly limited only to that which is essential to meet safety or performance requirements.
                2—The agent should be recovered from the fire protection system in conjunction with testing or servicing, and recycled for later use or destroyed.
                3—Acceptable for local application systems inside textile process machinery.

                Fire Suppression and Explosion Protection—Total Flooding Agents—Unacceptable Substitutes

                  End-use
                  Substitute
                  Decision
                  Comments

                  Halon 1301 replacement
                  Chlorobromo-methane
                  Unacceptable
                  Other alternatives exist with zero or lower ODP; OSHA regulations prohibit its use as extinguishing agent in fixed extinguishing systems where employees may be exposed. See 29 CFR 1910.160(b)(11).

                Aerosols—Unacceptable Substitutes

                  End-use
                  Substitute
                  Decision
                  Comments

                  Solvent in aerosols with CFC-113, MCF, or HCFC-141b
                  Chlorobromo-methane
                  Unacceptable
                  Other alternatives exist with zero or much lower ODP.

                Adhesives, Coatings, and Inks—Unacceptable Substitutes

                  End-use
                  Substitute
                  Decision
                  Comments

                  Solvent in adhesives, coatings, and inks with CFC-113
                  Chlorobromo-methane
                  Unacceptable
                  Other alternatives exist with zero or much lower ODP.

                  Solvent in adhesives, coatings, and inks with MCF
                  Chlorobromo-methane
                  Unacceptable
                  Other alternatives exist with zero or much lower ODP.

                  Solvent in adhesives, coatings and inks with HCFC-141b
                  Chlorobromo-methane
                  Unacceptable
                  Other alternatives exist with zero or much lower ODP.

              [64 FR 22996, Apr. 28, 1999, as amended at 67 FR 4201, Jan. 29, 2002]

              Pt. 82, Subpt. G, App. I
              Appendix I to Subpart G of Part 82—Substitutes Subject to Use Restrictions, Listed in the April 26, 2000, Final Rule, Effective May 26, 2000

                Fire Suppression and Explosion Protection—Streaming Agents
                [Substitutes Acceptable Subject to Narrowed Use Limits]

                  End Use
                  Substitute
                  Decision
                  Limitations
                  Comments

                  Halon 1211 Streaming Agents
                  HCFC Blend E
                  Acceptable
                  Nonresidential uses only
                  As with other streaming agents, EPA recommends that potential risks of combustion byproducts be labeled on the extinguisher (see UL 2129).See additional comments 1, 2.

                  Additional Comments:

                1. Discharge testing and training should be strictly limited only to that which is essential to meet safety or performance requirements.
                2. The agent should be recovered from the fire protection system in conjunction with testing or servicing, and recycled for later use or destroyed.

              [65 FR 24392, Apr. 26, 2000, as amended at 67 FR 4202, Jan. 29, 2002]

              Pt. 82, Subpt. G, App. J
              Appendix J to Subpart G of Part 82—Substitutes listed in the January 29, 2002 Final Rule, effective April 1, 2002

                Fire Suppression and Explosion Protection Section—Total Flooding Substitutes—Acceptable Subject to Narrowed Use Limits

                  End-use
                  Substitute
                  Decision
                  Conditions
                  Further information

                  Total flooding
                  HFC Blend B (Halotron II ®)
                  Acceptable subject to narrowed use limits
                  Acceptable in areas that are not normally occupied only
                  See additional comments 1, 2, 3, 4, 5.

                Additional comments:
                1—Should conform to relevant OSHA requirements, including 29 CFR 1910, subpart L, Sections 1910.160 and 1910.162.
                2—Per OSHA requirements, protective gear (SCBA) should be available in the event personnel should reenter the area.
                3—Discharge testing should be strictly limited to that which is essential to meet safety or performance requirements.
                4—The agent should be recovered from the fire protection system in conjunction with testing or servicing, and recycled for later use or destroyed.
                5—EPA has no intention of duplicating or displacing OSHA coverage related to the use of personal protective equipment (e.g., respiratory protection), fire protection, hazard communication, worker training or any other occupational safety and health standard with respect to halon substitutes.

                Fire Suppression and Explosion Protection Sector—Total Flooding Substitutes—Unacceptable Substitutes

                  End-Use
                  Substitute
                  Decision
                  Further Information

                  Halon 1301
                  HBFC-22B1
                  Unacceptable
                  HBFC-22B1 is a Class I ozone depleting substance with an ozone depletion potential of 0.74.

                  Total Flooding Agents

                  The manufacturer of this agent terminated production of this agent January 1, 1996, except for critical uses, and removed it from the market because it is a fetal toxin.

              [67 FR 4202, Jan. 29, 2002, as amended at 71 FR 56367, Sept. 27, 2006]

              Pt. 82, Subpt. G, App. K
              Appendix K to Subpart G of Part 82—Substitutes Subject to Use Restrictions and Unacceptable Substitutes Listed in the July 22, 2002, Final Rule Effective August 21, 2002

                Foam Blowing—Unacceptable Substitutes

                  End-use
                  Substitute
                  Decision
                  Comments

                  Replacements for HCFC-141b in the following rigid polyurethane/polyisocyanurate applications:—Boardstock
                    —Appliance
                    —Spray

                  HCFC-22, HCFC-142b and blends thereof
                  Unacceptable Closed cell foam products and products containing closed cell foams manufactured with these substitutes on or before December 1, 2017 may be used after that date
                  Alternatives exist with lower or zero-ODP.

                  All foam end-uses
                  HCFC-124
                  Unacceptable Closed cell foam products and products containing closed cell foams manufactured with this substitute on or before December 1, 2017 may be used after that date
                  Alternatives exist with lower or zero-ODP.

              [81 FR 86883, Dec. 1, 2016]

              Pt. 82, Subpt. G, App. L
              Appendix L to Subpart G of Part 82—Substitutes Listed in the January 27, 2003, Final Rule, Effective March 28, 2003

                Fire Suppression and Explosion Protection Sector—Total Flooding Substitutes—Acceptable Subject to Use Conditions

                  End-use
                  Substitute
                  Decision
                  Conditions
                  Comments

                  Total flooding
                  HFC227-BC
                  Acceptable subject to use conditions

                  Sodium bicarbonate release in all settings should be targeted so that increased pH level would not adversely affect exposed individuals. Users should provide special training to individuals required to be in environments protected by HFC227-BC extinguishing systemsEach HFC227-BC extinguisher should be clearly labelled with the potential hazards from use and safe handling procedures.

                  Use of the agent, HFC-227ea, should be in accordance with the safety guidelines in the latest edition of the NFPA 2001 Standard for Clean Agent Fire Extinguishing Systems.
                      See additional comments 1, 2, 3, 4, 5.

                Additional comments.
                1—Should conform with relevant OSHA requirements, including 29 CFR part 1910, subpart L, sections 1910.160 and 1910.162.
                2—Per OSHA requirements, protective gear (SCBA) should be available in the event personnel should reenter the area.
                3—Discharge testing should be strictly limited to that which is essential to meet safety or performance requirements.
                4—The agent should be recovered from the fire protection system in conjunction with testing or servicing, and recycled for later use or destroyed.

                5—EPA has no intention of duplicating or displacing OSHA coverage related to the use of personal protective equipment (e.g., respiratory protection), fire protection, hazard communication, worker training or any other occupational safety and health standard with respect to halon substitutes.

                Fire Suppression and Explosion Protection Sector—Streaming Agents—Acceptable Subject to Narrowed Use Limits

                  End-use
                  Substitute
                  Decision
                  Conditions
                  Comments

                  Streaming
                  C6-perfluoroketone (FK-5-1-12MYY2)
                  Acceptable subject to narrowed use limits
                  For use only in nonresidential areas
                  For operations that fill canisters to be used in streaming applications, EPA recommends the following:—Adequate ventilation should be in place;
                    —All spills should be cleaned up immediately in accordance with good industrial hygiene practices; and
                    —Training for safe handling procedures should be provided to all employees that would be likely to handle containers of the agent or extinguishing units filled with the agent.

                      See additional comments 1, 2, 3, 4.

                  Streaming
                  H Galden HFPEs
                  Acceptable subject to narrowed use limits
                  For use only in nonresidential areas
                  For operations that fill canisters to be used in streaming applications, EPA recommends the following:—Adequate ventialtion should be in place;
                    —All spills should be cleaned up immediately in accordance with good industrial hygiene practices; and
                    —Training for safe handling procedures should be provided to all employees that would be likely to handle containers of the agent or extinguishing units filled with the agent.

                      See additional comments 1, 2, 3, 4.

                Additional comments.
                1—Discharge testing should be strictly limited to that which is essential to meet safety or performance requirements.
                2—The agent should be recovered from the fire protection system in conjunction with testing or servicing, and recycled for later use or destroyed.

                3—EPA has no intention of duplicating or displacing OSHA coverage related to the use of personal protective equipment (e.g., respiratory protection), fire protection, hazard communication, worker training or any other occupational safety and health standard with respect to halon substitutes.

                4—As with other streaming agents, EPA recommends that potential risks of combustion by-products be labelled on the extinguisher (see UL 2129)

              [68 FR 4010, Jan. 27, 2003]

              Pt. 82, Subpt. G, App. M
              Appendix M to Subpart G of Part 82—Unacceptable Substitutes Listed in the September 30, 2004 Final Rule, Effective November 29, 2004

                Foam Blowing—Unacceptable Substitutes

                  End-use
                  Substitute
                  Decision
                  Comments

                  All foam end-uses:—rigid polyurethane and polyisocyanurate laminated boardstock
                    —rigid polyurethane appliance
                    —rigid polyurethane spray and commercial refrigeration, and sandwich panels

                  HCFC-141b
                  Unacceptable Closed cell foam products and products containing closed cell foams manufactured with this substitute on or before December 1, 2017 may be used after that date
                  Alternatives exist with lower or zero-ODP.

                  —rigid polyurethane slabstock and other foams—polystyrene extruded insulation boardstock and billet
                    —phenolic insulation board and bunstock
                    —flexible polyurethane
                    —polystyrene extruded sheet
                    —Except for: 1

                    —space vehicle
                    —nuclear
                    —defense
                    —research and development for foreign customers

                  1 Exemptions for specific applications are identified in the list of acceptable substitutes, which is available on the SNAP Web site at: https://www.epa.gov/snap/foam-blowing-agents.

              [81 FR 86883, Dec. 1, 2016]

              Appendix N to Subpart G of Part 82 [Reserved]

              Pt. 82, Subpt. G, App. O
              Appendix O to Subpart G of Part 82—Substitutes Listed in the September 27, 2006 Final Rule, Effective November 27, 2006

                Fire Suppression and Explosion Protection Sector—Total Flooding Substitutes—Acceptable Subject to Use Conditions

                  End-use
                  Substitute
                  Decision
                  Conditions
                  Further information

                  Total flooding
                  Gelled Halocarbon/Dry Chemical Suspension (Envirogel) with sodium bicarbonate additive
                  Acceptable subject to use conditions

                  Use of whichever hydrofluorocarbon gas (HFC-125, HFC-227ea, or HFC-236fa) is employed in the formulation must be in accordance with all requirements for acceptability (i.e., narrowed use limits) of that HFC under EPA's SNAP program
                  Use of this agent should be in accordance with the safety guidelines in the latest edition of the NFPA 2001 Standard for Clean Agent Fire Extinguishing Systems, for whichever hydrofluorocarbon gas is employed, and the latest edition of the NFPA 2010 standard for Aerosol Extinguishing Systems.Sodium bicarbonate release in all settings should be targeted so that increased blood pH level would not adversely affect exposed individuals.

                  Users should provide special training, including the potential hazards associated with the use of the HFC agent and sodium bicarbonate, to individuals required to be in environments protected by Envirogel with sodium bicarbonate additive extinguishing systems.

                  Each extinguisher should be clearly labeled with the potential hazards from use and safe handling procedures.

                  See additional comments 1, 2, 3, 4, 5.

                  Total flooding
                  Powdered Aerosol E (FirePro®)
                  Acceptable subject to use conditions
                  For use only in normally unoccupied areas
                  Use of this agent should be in accordance with the safety guidelines in the latest edition of the NFPA 2010 standard for Aerosol Extinguishing Systems.

                  For establishments manufacturing the agent or filling, installing, or servicing containers or systems to be used in total flooding applications, EPA recommends the following:—adequate ventilation should be in place to reduce airborne exposure to constituents of agent;
                    —an eye wash fountain and quick drench facility should be close to the production area;
                    —training for safe handling procedures should be provided to all employees that would be likely to handle containers of the agent or extinguishing units filled with the agent;
                    —workers responsible for clean up should allow for maximum settling of all particulates before reentering area and wear appropriate protective equipment; and
                    —all spills should be cleaned up immediately in accordance with good industrial hygiene practices.
                    See additional comments 1, 2, 3, 4, 5.

                  Total flooding
                  Phosphorous Tribromide (PBr3)
                  Acceptable subject to use conditions
                  For use only in aircraft engine nacelles

                  For establishments manufacturing the agent or filling, installing, or servicing containers or systems, EPA recommends the following:—adequate ventilation should be in place and/or positive pressure, self-contained breathing apparatus (SCBA) should be worn;

                  —training for safe handling procedures should be provided to all employees that would be likely to handle containers of the agent or extinguishing units filled with the agent; and

                  —all spills should be cleaned up immediately in accordance with good industrial hygiene practices.

                  See additional comments 1, 2, 3, 4, 5.

                Additional comments:
                1—Should conform to relevant OSHA requirements, including 29 CFR 1910, Subpart L, Sections 1910.160 and 1910.162.
                2—Per OSHA requirements, protective gear (SCBA) should be available in the event personnel should reenter the area.
                3—Discharge testing should be strictly limited to that which is essential to meet safety or performance requirements.
                4—The agent should be recovered from the fire protection system in conjunction with testing or servicing, and recycled for later use or destroyed.
                5—EPA has no intention of duplicating or displacing OSHA coverage related to the use of personal protective equipment (e.g., respiratory protection), fire protection, hazard communication, worker training or any other occupational safety and health standard with respect to halon substitutes.

              [71 FR 56367, Sept. 27, 2006, as amended at 81 FR 86883, Dec. 1, 2016]

              Pt. 82, Subpt. G, App. P
              Appendix P to Subpart G of Part 82—Substitutes Listed in the September 27, 2006 Final Rule, Effective November 27, 2006

                Fire Suppression and Explosion Protection Sector—Total Flooding Agents—Acceptable Subject to Narrowed Use Limits

                  End-use
                  Substitute
                  Decision
                  Conditions
                  Further information

                  Total flooding
                  Gelled Halocarbon/Dry Chemical Suspension with any agent other than ammonium polyphosphate or sodium bicarbonate additive (Envirogel with sodium bicarbonate additive)
                  Acceptable subject to narrowed use limits
                  For use only in normally unoccupied areas
                  Use of this agent should be in accordance with the safety guidelines in the latest edition of the NFPA 2001 Standard for Clean Agent Fire Extinguishing Systems, for whichever hydrofluorocarbon gas is employed.Envirogel is listed as a streaming substitute under the generic name Gelled Halocarbon/Dry Chemical Suspension. Envirogel was also previously listed as a total flooding substitute under the same generic name.
                    EPA has found Envirogel with the ammonium polyphosphate additive and Envirogel with the sodium bicarbonate additive to be acceptable as total flooding agents in both occupied and unoccupied areas.
                    See additional comments 1, 2, 3, 4, 5

                Additional comments:
                1—Should conform to relevant OSHA requirements, including 29 CFR 1910, subpart L, Sections 1910.160 and 1910.162.
                2—Per OSHA requirements, protective gear (SCBA) should be available in the event personnel should reenter the area.
                3—Discharge testing should be strictly limited to that which is essential to meet safety or performance requirements.
                4—The agent should be recovered from the fire protection system in conjunction with testing or servicing, and recycled for later use or destroyed.

                5—EPA has no intention of duplicating or displacing OSHA coverage related to the use of personal protective equipment (e.g., respiratory protection), fire protection, hazard communication, worker training or any other occupational safety and health standard with respect to halon substitutes.

              [71 FR 56367, Sept. 27, 2006]

              Pt. 82, Subpt. G, App. Q
              Appendix Q to Subpart G of Part 82—Unacceptable Substitutes Listed in the March 28, 2007 Final Rule, Effective May 29, 2007

                Foam Blowing Unacceptable Substitutes

                  End-use
                  Substitute
                  Decision
                  Further information

                  —Rigid polyurethane commercial refrigeration—Rigid polyurethane sandwich panels
                    —Rigid polyurethane slabstock and other foams

                  HCFC-22, HCFC-142b as substitutes for HCFC-141b
                  Unacceptable 1
                    Closed cell foam products and products containing closed cell foams manufactured with these substitutes on or before December 1, 2017 may be used after that date

                  Alternatives exist with lower or zero-ODP.

                  —Rigid polyurethane and polyisocyanurate laminated boardstock—Rigid polyurethane appliance
                    —Rigid polyurethane spray and commercial refrigeration, and sandwich panels
                    —Rigid polyurethane slabstock and other foams
                    —Polystyrene extruded insulation boardstock and billet
                    —Phenolic insulation board and bunstock
                    —Flexible polyurethane
                    —Polystyrene extruded sheet

                  HCFC-22, HCFC-142b as substitutes for CFCs
                  Unacceptable 2
                    Closed cell foam products and products containing closed cell foams manufactured with these substitutes on or before December 1, 2017 may be used after that date

                  Alternatives exist with lower or zero-ODP.

                  1 For existing users of HCFC-22 and HCFC-142b as of November 4, 2005 other than in marine applications, the unacceptability determination is effective on March 1, 2008; for existing users of HCFC-22 and HCFC-142b as of November 4, 2005 in marine applications, including marine flotation foam, the unacceptability determination is effective on September 1, 2009. For an existing user of HCFC-22 or HCFC-142b that currently operates in only one facility that it does not own, and is scheduled to transition to a non-ODS, flammable alternative to coincide with a move to a new facility and installation of new process equipment that cannot be completed by March 1, 2008, the unacceptability determination is effective January 1, 2010.

                  2 For existing users of HCFC-22 and HCFC-142b in polystyrene extruded insulation boardstock and billet and the other foam end-uses, as of November 4, 2005, the unacceptability determination is effective on January 1, 2010.

              [81 FR 86885, Dec. 1, 2016]

              Pt. 82, Subpt. G, App. R
              Appendix R to Subpart G of Part 82—Substitutes Subject to Use Restrictions Listed in the December 20, 2011, Final Rule, Effective February 21, 2012, in the April 10, 2015 Final Rule, Effective May 11, 2015, and in the August 8, 2018 Final Rule, Effective September 7, 2018

                Substitutes That Are Acceptable Subject to Use Conditions

                  End-use
                  Substitute
                  Decision
                  Use conditions
                  Further information

                  Household refrigerators, freezers, and combination refrigerators and freezers (New equipment only)
                  Isobutane (R-600a)Propane (R-290)
                    R-441A

                  Acceptable subject to use conditions

                  As of September 7, 2018:These refrigerants may be used only in new equipment designed specifically and clearly identified for the refrigerant (i.e., none of these substitutes may be used as a conversion or “retrofit” refrigerant for existing equipment designed for a different refrigerant)
                    These refrigerants may be used only in a refrigerator or freezer, or combination refrigerator and freezer, that meets all requirements listed in the 2nd edition of the Underwriters Laboratories (UL) Standard for Safety: Household and Similar Electrical Appliances—Safety—Part 2-24: Particular Requirements for Refrigerating Appliances, Ice-Cream Appliances and Ice-Makers, UL 60335-2-24, dated April 28, 2017

                  Applicable OSHA requirements at 29 CFR part 1910 must be followed, including those at 29 CFR 1910.106 (flammable and combustible liquids), 1910.110 (storage and handling of liquefied petroleum gases), 1910.157 (portable fire extinguishers), and 1910.1000 (toxic and hazardous substances).Proper ventilation should be maintained at all times during the manufacture and storage of equipment containing hydrocarbon refrigerants through adherence to good manufacturing practices as per 29 CFR 1910.106. If refrigerant levels in the air surrounding the equipment rise above one-fourth of the lower flammability limit, the space should be evacuated and re-entry should occur only after the space has been properly ventilated.
                    Technicians and equipment manufacturers should wear appropriate personal protective equipment, including chemical goggles and protective gloves, when handling these refrigerants. Special care should be taken to avoid contact with the skin since these refrigerants, like many refrigerants, can cause freeze burns on the skin.
                    A Class B dry powder type fire extinguisher should be kept nearby.
                    Technicians should only use spark-proof tools when working on refrigerators and freezers with these refrigerants.
                    Any recovery equipment used should be designed for flammable refrigerants.
                    Any refrigerant releases should be in a well-ventilated area, such as outside of a building.

                  Only technicians specifically trained in handling flammable refrigerants should service refrigerators and freezers containing these refrigerants. Technicians should gain an understanding of minimizing the risk of fire and the steps to use flammable refrigerants safely.

                  Retail food refrigerators and freezers (stand-alone units only)(New equipment only)

                  Isobutane (R-600a)Propane (R-290)
                    R-441A

                  Acceptable subject to use conditions
                  As provided in clauses SB6.1.2 to SB6.1.5 of UL Standard 471, 10th edition, the following markings must be attached at the locations provided and must be permanent:(a) On or near any evaporators that can be contacted by the consumer: “DANGER—Risk of Fire or Explosion. Flammable Refrigerant Used. Do Not Use Mechanical Devices To Defrost Refrigerator. Do Not Puncture Refrigerant Tubing.”
                    (b) Near the machine compartment: “DANGER—Risk of Fire or Explosion. Flammable Refrigerant Used. To Be Repaired Only By Trained Service Personnel. Do Not Puncture Refrigerant Tubing.”
                    (c) Near the machine compartment: “CAUTION—Risk of Fire or Explosion. Flammable Refrigerant Used. Consult Repair Manual/Owner's Guide Before Attempting To Service This Product. All Safety Precautions Must be Followed.”
                    (d) On the exterior of the refrigerator: “CAUTION—Risk of Fire or Explosion. Dispose of Properly In Accordance With Federal Or Local Regulations. Flammable Refrigerant Used.”
                    (e) Near any and all exposed refrigerant tubing: “CAUTION—Risk of Fire or Explosion Due To Puncture Of Refrigerant Tubing; Follow Handling Instructions Carefully. Flammable Refrigerant Used.”
                    All of these markings must be in letters no less than 6.4 mm (1/4 inch) high
                    The refrigerator or freezer must have red, Pantone® Matching System (PMS) #185 marked pipes, hoses, and other devices through which the refrigerant is serviced, typically known as the service port, to indicate the use of a flammable refrigerant. This color must be present at all service ports and where service puncturing or otherwise creating an opening from the refrigerant circuit to the atmosphere might be expected (e.g., process tubes). The color mark must extend at least 2.5 centimeters (1 inch) from the compressor and must be replaced if removed

                  Room occupants should evacuate the space immediately following the accidental release of this refrigerant.If a service port is added then retail food refrigerators and freezers using these refrigerants should have service aperture fittings that differ from fittings used in equipment or containers using non-flammable refrigerant. “Differ” means that either the diameter differs by at least 1/16 inch or the thread direction is reversed (i.e., right-handed vs. left-handed). These different fittings should be permanently affixed to the unit at the point of service and maintained until the end-of-life of the unit, and should not be accessed with an adaptor.

                  Very low temperature refrigerationNon-mechanical heat transfer
                    (New equipment only)

                  Ethane (R-170)
                  Acceptable subject to use conditions
                  This refrigerant may be used only in new equipment specifically designed and clearly identified for the refrigerant (i.e., the substitute may not be used as a conversion or “retrofit” refrigerant for existing equipment designed for other refrigerants)This refrigerant may only be used in equipment that meets all requirements in Supplement SB to the 10th edition of the Underwriters Laboratories (UL) Standard for Commercial Refrigerators and Freezers, UL 471, dated November 24, 2010. In cases where the final rule includes requirements more stringent than those of the 10th edition of UL 471, the appliance must meet the requirements of the final rule in place of the requirements in the UL Standard
                    The charge size for the equipment must not exceed 150 g (5.29 oz) in each circuit

                  Applicable OSHA requirements at 29 CFR part 1910 must be followed, including those at 29 CFR 1910.94 (ventilation) and 1910.106 (flammable and combustible liquids), 1910.110 (storage and handling of liquefied petroleum gases), 1910.157 (portable fire extinguishers), and 1910.1000 (toxic and hazardous substances).Proper ventilation should be maintained at all times during the manufacture and storage of equipment containing hydrocarbon refrigerants through adherence to good manufacturing practices as per 29 CFR 1910.106. If refrigerant levels in the air surrounding the equipment rise above one-fourth of the lower flammability limit, the space should be evacuated and re-entry should occur only after the space has been properly ventilated.
                    Technicians and equipment manufacturers should wear appropriate personal protective equipment, including chemical goggles and protective gloves, when handling ethane. Special care should be taken to avoid contact with the skin since ethane, like many refrigerants, can cause freeze burns on the skin.
                    A Class B dry powder type fire extinguisher should be kept nearby.
                    Technicians should only use spark-proof tools when working on equipment with flammable refrigerants.
                    Any recovery equipment used should be designed for flammable refrigerants.
                    Any refrigerant releases should be in a well-ventilated area, such as outside of a building.
                    Only technicians specifically trained in handling flammable refrigerants should service equipment containing ethane. Technicians should gain an understanding of minimizing the risk of fire and the steps to use flammable refrigerants safely.

                  Very low temperature refrigerationNon-mechanical heat transfer
                    (New equipment only)

                  Ethane (R-170)
                  Acceptable subject to use conditions
                  As provided in clauses SB6.1.2 to SB6.1.5 of UL Standard 471, 10th edition, the following markings must be attached at the locations provided and must be permanent:(a) On or near any evaporators that can be contacted by the consumer: “DANGER—Risk of Fire or Explosion. Flammable Refrigerant Used. Do Not Use Mechanical Devices To Defrost Refrigerator. Do Not Puncture Refrigerant Tubing.”
                    (b) Near the machine compartment: “DANGER—Risk of Fire or Explosion. Flammable Refrigerant Used. To Be Repaired Only By Trained Service Personnel. Do Not Puncture Refrigerant Tubing.”
                    (c) Near the machine compartment: “CAUTION—Risk of Fire or Explosion. Flammable Refrigerant Used. Consult Repair Manual/Owner's Guide Before Attempting To Service This Product. All Safety Precautions Must be Followed.”
                    (d) On the exterior of the refrigerator: “CAUTION—Risk of Fire or Explosion. Dispose of Properly In Accordance With Federal Or Local Regulations. Flammable Refrigerant Used.”
                    (e) Near any and all exposed refrigerant tubing: “CAUTION—Risk of Fire or Explosion Due To Puncture Of Refrigerant Tubing; Follow Handling Instructions Carefully. Flammable Refrigerant Used.”
                    All of these markings must be in letters no less than 6.4 mm (1/4 inch) high
                    The refrigeration equipment must have red, Pantone® Matching System (PMS) #185 marked pipes, hoses, and other devices through which the refrigerant is serviced, typically known as the service port, to indicate the use of a flammable refrigerant. This color must be present at all service ports and where service puncturing or otherwise creating an opening from the refrigerant circuit to the atmosphere might be expected (e.g., process tubes). The color mark must extend at least 2.5 centimeters (1 inch) from the compressor and must be replaced if removed

                  Room occupants should evacuate the space immediately following the accidental release of this refrigerant.If a service port is added then refrigeration equipment using this refrigerant should have service aperture fittings that differ from fittings used in equipment or containers using non-flammable refrigerant. “Differ” means that either the diameter differs by at least 1/16 inch or the thread direction is reversed (i.e., right-handed vs. left-handed). These different fittings should be permanently affixed to the unit at the point of service and maintained until the end-of-life of the unit, and should not be accessed with an adaptor.
                    Example of non-mechanical heat transfer using this refrigerant would be use in a secondary loop of a thermosiphon.

                  Vending Machines(New equipment only)

                  Isobutane (R-600a)Propane (R-290)
                    R-441A

                  Acceptable subject to use conditions
                  These refrigerants may be used only in new equipment specifically designed and clearly identified for the refrigerants (i.e., none of these substitutes may be used as a conversion or “retrofit” refrigerant for existing equipment designed for other refrigerants).Detaching and replacing the old refrigeration circuit from the outer casing of the equipment with a new one containing a new evaporator, condenser, and refrigerant tubing within the old casing is considered “new” equipment and not a retrofit of the old, existing equipment
                    These substitutes may only be used in equipment that meets all requirements in Supplement SA to the 7th edition of the Underwriters Laboratories (UL) Standard for Refrigerated Vending Machines, UL 541, dated December, 2011. In cases where the final rule includes requirements more stringent than those of the 7th edition of UL 541, the appliance must meet the requirements of the final rule in place of the requirements in the UL Standard
                    The charge size for vending machines must not exceed 150 g (5.29 oz) in each circuit

                  Applicable OSHA requirements at 29 part 1910 must be followed, including those at 29 CFR 1910.94 (ventilation) and 1910.106 (flammable and combustible liquids), 1910.110 (storage and handling of liquefied petroleum gases), 1910.157 (portable fire extinguishers), and 1910.1000 (toxic and hazardous substances).Proper ventilation should be maintained at all times during the manufacture and storage of equipment containing hydrocarbon refrigerants through adherence to good manufacturing practices as per 29 CFR 1910.106. If refrigerant levels in the air surrounding the equipment rise above one-fourth of the lower flammability limit, the space should be evacuated and re-entry should occur only after the space has been properly ventilated.
                    Technicians and equipment manufacturers should wear appropriate personal protective equipment, including chemical goggles and protective gloves, when handling these refrigerants. Special care should be taken to avoid contact with the skin since these refrigerants, like many refrigerants, can cause freeze burns on the skin.
                    A Class B dry powder type fire extinguisher should be kept nearby.
                    Technicians should only use spark-proof tools when working on refrigeration equipment with flammable refrigerants.
                    Any recovery equipment used should be designed for flammable refrigerants.
                    Any refrigerant releases should be in a well-ventilated area, such as outside of a building.
                    Only technicians specifically trained in handling flammable refrigerants should service refrigeration equipment containing these refrigerants. Technicians should gain an understanding of minimizing the risk of fire and the steps to use flammable refrigerants safely.

                  Vending Machines(New equipment only)

                  Isobutane (R-600a)Propane (R-290)
                    R-441A

                  Acceptable subject to use conditions
                  As provided in clauses SA6.1.2 to SA6.1.5 of UL Standard 541, 7th edition, the following markings must be attached at the locations provided and must be permanent:(a) On or near any evaporators that can be contacted by the consumer: “DANGER—Risk of Fire or Explosion. Flammable Refrigerant Used. Do Not Use Mechanical Devices To Defrost Refrigerator. Do Not Puncture Refrigerant Tubing.”
                    (b) Near the machine compartment: “DANGER—Risk of Fire or Explosion. Flammable Refrigerant Used. To Be Repaired Only By Trained Service Personnel. Do Not Puncture Refrigerant Tubing.”
                    (c) Near the machine compartment: “CAUTION—Risk of Fire or Explosion. Flammable Refrigerant Used. Consult Repair Manual/Owner's Guide Before Attempting To Service This Product. All Safety Precautions Must be Followed.”
                    (d) On the exterior of the refrigerator: “CAUTION—Risk of Fire or Explosion. Dispose of Properly In Accordance With Federal Or Local Regulations. Flammable Refrigerant Used.”
                    (e) Near any and all exposed refrigerant tubing: “CAUTION—Risk of Fire or Explosion Due To Puncture Of Refrigerant Tubing; Follow Handling Instructions Carefully. Flammable Refrigerant Used.”
                    All of these markings must be in letters no less than 6.4 mm (1/4 inch) high
                    The refrigeration equipment must have red, Pantone® Matching System (PMS) #185 marked pipes, hoses, and other devices through which the refrigerant is serviced, typically known as the service port, to indicate the use of a flammable refrigerant. This color must be present at all service ports and where service puncturing or otherwise creating an opening from the refrigerant circuit to the atmosphere might be expected (e.g., process tubes). The color mark must extend at least 2.5 centimeters (1 inch) from the compressor and must be replaced if removed

                  Room occupants should evacuate the space immediately following the accidental release of this refrigerant.If a service port is added then refrigeration equipment using this refrigerant should have service aperture fittings that differ from fittings used in equipment or containers using non-flammable refrigerant. “Differ” means that either the diameter differs by at least 1/16 inch or the thread direction is reversed (i.e., right-handed vs. left-handed). These different fittings should be permanently affixed to the unit at the point of service and maintained until the end-of-life of the unit, and should not be accessed with an adaptor.

                  Residential and light-commercial air conditioning and heat pumps—self-contained room air conditioners only(New equipment only)

                  HFC-32Propane (R-290)
                    R-441A

                  Acceptable subject to use conditions
                  These refrigerants may be used only in new equipment specifically designed and clearly identified for the refrigerants (i.e., none of these substitutes may be used as a conversion or “retrofit” refrigerant for existing equipment designed for other refrigerants)These refrigerants may only be used in equipment that meets all requirements in Supplement SA and Appendices B through F of the 8th edition of the Underwriters Laboratories (UL) Standard for Room Air Conditioners, UL 484, dated August 3, 2012. In cases where the final rule includes requirements more stringent than those of the 8th edition of UL 484, the appliance must meet the requirements of the final rule in place of the requirements in the UL Standard
                    The charge size for the entire air conditioner must not exceed the maximum refrigerant mass determined according to Appendix F of UL 484, 8th edition for the room size where the air conditioner is used. The charge size for these three refrigerants must in no case exceed 7,960 g (280.8 oz or 17.55 lb) of HFC-32; 1,000 g (35.3 oz or 2.21 lbs) of propane; or 1,000 g (35.3 oz or 2.21 lb) of R-441A. For portable air conditioners, the charge size must in no case exceed 2,450 g (80.0 oz or 5.0 lb) of HFC-32; 300 g (10.6 oz or 0.66 lbs) of propane; or 330 g (11.6 oz or 0.72 lb) of R-441A. The manufacturer must design a charge size for the entire air conditioner that does not exceed the amount specified for the unit's cooling capacity, as specified in Table A, B, C, D, or E of this Appendix

                  Applicable OSHA requirements at 29 CFR part 1910 must be followed, including those at 29 CFR 1910.94 (ventilation) and 1910.106 (flammable and combustible liquids), 1910.110 (storage and handling of liquefied petroleum gases), 1910.157 (portable fire extinguishers), and 1910.1000 (toxic and hazardous substances).Proper ventilation should be maintained at all times during the manufacture and storage of equipment containing hydrocarbon refrigerants through adherence to good manufacturing practices as per 29 CFR 1910.106. If refrigerant levels in the air surrounding the equipment rise above one-fourth of the lower flammability limit, the space should be evacuated and re-entry should occur only after the space has been properly ventilated.
                    Technicians and equipment manufacturers should wear appropriate personal protective equipment, including chemical goggles and protective gloves, when handling these refrigerants. Special care should be taken to avoid contact with the skin since these refrigerants, like many refrigerants, can cause freeze burns on the skin.
                    A Class B dry powder type fire extinguisher should be kept nearby.
                    Technicians should only use spark-proof tools when working on air conditioning equipment with flammable refrigerants.
                    Any recovery equipment used should be designed for flammable refrigerants.
                    Any refrigerant releases should be in a well-ventilated area, such as outside of a building.
                    Only technicians specifically trained in handling flammable refrigerants should service refrigeration equipment containing these refrigerants. Technicians should gain an understanding of minimizing the risk of fire and the steps to use flammable refrigerants safely.

                  Residential and light-commercial air conditioning and heat pumps—self-contained room air conditioners only(New equipment only)

                  HFC-32Propane (R-290)
                    R-441A

                  Acceptable subject to use conditions
                  As provided in clauses SA6.1.2 to SA6.1.5 of UL 484, 8th edition, the following markings must be attached at the locations provided and must be permanent:(a) On the outside of the air conditioner: “DANGER—Risk of Fire or Explosion. Flammable Refrigerant Used. To Be Repaired Only By Trained Service Personnel. Do Not Puncture Refrigerant Tubing.”
                    (b) On the outside of the air conditioner: “CAUTION—Risk of Fire or Explosion. Dispose of Properly In Accordance With Federal Or Local Regulations. Flammable Refrigerant Used.”
                    (c) On the inside of the air conditioner near the compressor: “CAUTION—Risk of Fire or Explosion. Flammable Refrigerant Used. Consult Repair Manual/Owner's Guide Before Attempting To Service This Product. All Safety Precautions Must be Followed.”
                    (d) On the outside of each portable air conditioner: “WARNING: Appliance hall be installed, operated and stored in a room with a floor area larger the “X” m2 (Y ft2).” The value “X” on the label must be determined using the minimum room size in m2 calculated using Appendix F of UL 484, 8th edition. For R-441A, use a lower flammability limit of 0.041 kg/m3 in calculations in Appendix F of UL 484, 8th edition
                    All of these markings must be in letters no less than 6.4 mm (1/4 inch) high
                    The air conditioning equipment must have red, Pantone® Matching System (PMS) #185 marked pipes, hoses, and other devices through which the refrigerant is serviced, typically known as the service port, to indicate the use of a flammable refrigerant. This color must be present at all service ports and where service puncturing or otherwise creating an opening from the refrigerant circuit to the atmosphere might be expected (e.g., process tubes). The color mark must extend at least 2.5 centimeters (1 inch) from the compressor and must be replaced if removed

                  Room occupants should evacuate the space immediately following the accidental release of this refrigerant.If a service port is added then air conditioning equipment using this refrigerant should have service aperture fittings that differ from fittings used in equipment or containers using non-flammable refrigerant. “Differ” means that either the diameter differs by at least 1/16 inch or the thread direction is reversed (i.e., right-handed vs. left-handed). These different fittings should be permanently affixed to the unit at the point of service and maintained until the end-of-life of the unit, and should not be accessed with an adaptor.
                    Air conditioning equipment in this category includes:
                    Window air conditioning units.
                    Portable room air conditioners.
                    Packaged terminal air conditioners and heat pumps.

                  Note: The use conditions in this appendix contain references to certain standards from Underwriters Laboratories Inc. (UL). The standards are incorporated by reference, and the referenced sections are made part of the regulations in part 82:
                1. UL 471. Commercial Refrigerators and Freezers. 10th edition. Supplement SB: Requirements for Refrigerators and Freezers Employing a Flammable Refrigerant in the Refrigerating System. Underwriters Laboratories, Inc. November 24, 2010.
                2. UL 484. Room Air Conditioners. 8th edition. Supplement SA: Requirements for Room Air Conditioners Employing a Flammable Refrigerant in the Refrigerating System and Appendices B through F. December 21, 2007, with changes through August 3, 2012.
                3. UL 541. Refrigerated Vending Machines. 7th edition. Supplement SA: Requirements for Refrigerated Venders Employing a Flammable Refrigerant in the Refrigerating System. December 30, 2011.
                4. UL Standard 60335-2-24. Standard for Safety: Requirements for Household and Similar Electrical Appliances,—Safety—Part 2-24: Particular Requirements for Refrigerating Appliances, Ice-Cream Appliances and Ice-Makers, Second edition, dated April 28, 2017.

              The Director of the Federal Register approves the incorporation by reference of the material under “Use Conditions” in the table “SUBSTITUTES THAT ARE ACCEPTABLE SUBJECT TO USE CONDITIONS” (5 U.S.C. 552(a) and 1 CFR part 51). Copies of UL Standards 471, 484, 541, and 60335-2-24, may be purchased by mail at: COMM 2000, 151 Eastern Avenue, Bensenville, IL 60106; Email: orders@shopulstandards.com; Telephone: 1-888-853-3503 in the U.S. or Canada (other countries dial 1-415-352-2178); internet address: http://www.shopulstandards.com/Catalog.aspx.

              You may inspect a copy at U.S. EPA's Air Docket; EPA West Building, Room 3334; 1301 Constitution Ave. NW, Washington, DC or at the National Archives and Records Administration (NARA). For questions regarding access to these standards, the telephone number of EPA'S Air Docket is 202-566-1742. For information on the availability of this material at NARA, call 202-741-6030, or go to: https://www.archives.gov/federal-register/cfr/ibr-locations.html.

                ER10AP15.002

                ER10AP15.003

              [80 FR 19491, Apr. 10, 2015, as amended at 83 FR 38975, Aug. 8, 2018]

              Pt. 82, Subpt. G, App. S

              Appendix S to Subpart G of Part 82—Substitutes Listed in the September 19, 2012 Final Rule, Effective December 18, 2012.

                Fire Suppression and Explosion Protection Sector—Acceptable Subject To Use Conditions

                  End-Use
                  Substitute
                  Decision
                  Conditions
                  Further information

                  Total Flooding
                  Powdered Aerosol F (KSA®) as a substitute for Halon 1301
                  Acceptable subject to use conditions
                  For use only in normally unoccupied areas
                  Use of this agent should be in accordance with the safety guidelines in the latest edition of the NFPA 2010 standard for Aerosol Extinguishing Systems.For establishments filling, installing, servicing, using, or disposing of containers or systems to be used in total flooding applications, EPA recommends the following:
                    —appropriate protective clothing (e.g., goggles, particulate removing respirators, and gloves) should be worn during the installation and maintenance of the extinguishing units filled with the agent or during clean up and disposal of this agent;
                    —training should be provided to all employees that would be likely to handle containers of the agent or extinguishing units filled with the agent, required to clean up after discharge or required to work near spaces protected by Powdered Aerosol F.
                    Releases in all settings should be limited to an appropriate design concentration for the protected space so that increased blood pH level would not adversely affect exposed individuals.
                    Exposed individuals should be given an electrolyte solution to drink afterwards to restore the pH within the appropriate range.
                    Each extinguisher should be clearly labeled with the potential hazards from use and safe handling procedures.
                    In the case of an accidental spill, the area should be well-ventilated, and workers should wear protective equipment while following good industrial hygiene practices for clean-up and disposal.
                    See additional comments 1, 2, 3, 4.

                  Total Flooding
                  Powdered Aerosol G (Dry Sprinkler Powdered Aerosol (DSPA) Fixed Generators) as a substitute for Halon 1301
                  Acceptable subject to use conditions
                  For use only in normally unoccupied areas
                  Use of this agent should be in accordance with the safety guidelines in the latest edition of the NFPA 2010 standard for Aerosol Extinguishing Systems.For establishments filling, installing, servicing, using or disposing of generator units or systems in total flooding applications, EPA recommends the appropriate protective clothing (e.g., goggles, particulate removing respirators, and gloves) should be worn during the installation and maintenance of the extinguishing units filled with the agent or during clean up and disposal of this agent.
                    Powdered Aerosol G should be collected by hand (e.g., with a dustpan and duster or a vacuum cleaner); waste should be collected in suitable drums for disposal and the area should be washed clean with sufficient quantities of water; and training should be provided to all employees that would be likely to handle the agent or generator units filled containing the agent, required to clean up after discharge or required to work near spaces protected by Powdered Aerosol G fixed generator total flooding systems.
                    In accordance with Department of Health and Human Services regulations (42 CFR Part 84), safety glasses and a NIOSH/CDC-approved N99 respirator are required for individuals installing Powdered Aerosol G fixed systems.
                    Each generator unit should be clearly labeled with the potential hazards from use and safe handling procedures.
                    In the case of an accidental discharge, the area should be well-ventilated, and workers should wear protective equipment while following good industrial hygiene practices for clean-up and disposal.
                    See additional comments 1, 2, 3, 4.

                Additional comments:
                1—Should conform to relevant OSHA requirements, including 29 CFR 1910, Subpart L, Sections 1910.160 and 1910.162.
                2—Per OSHA requirements, protective gear (SCBA) should be available in the event personnel should reenter the area.
                3—The agent should be recovered from the fire protection system in conjunction with testing or servicing, and recycled for later use or destroyed.
                4—EPA has no intention of duplicating or displacing OSHA coverage related to the use of personal protective equipment (e.g., respiratory protection), fire protection, hazard communication, worker training or any other occupational safety and health standard with respect to halon substitutes.

              [77 FR 58043, Sept. 19, 2012;

              Pt. 82, Subpt. G, App. T
              Appendix T to Subpart G of Part 82—Substitutes listed in the April 29, 2013 Final Rule, effective May 29, 2013.

                Fire Suppression and Explosion Protection Sector—Acceptable Subject to Narrowed Use Limits

                  End-use
                  Substitute
                  Decision
                  Conditions
                  Further Information

                  Streaming
                  C7 Fluoro-ketone as a substitute for Halon 1211
                  Acceptable subject to narrowed use limits
                  For use only in non-residential applications
                  Use of this agent should be in accordance with the latest edition of NFPA Standard 10 for Portable Fire Extinguishers.For operations that fill canisters to be used in streaming applications, EPA recommends the following:
                    —Adequate ventilation should be in place;
                    —All spills should be cleaned up immediately in accordance with good industrial hygiene practices; and
                    —Training for safe handling procedures should be provided to all employees that would be likely to handle containers of the agent or extinguishing units filled with the agent.
                    See additional comments 1, 2, 3, 4.

                Additional comments:
                1—Should conform to relevant OSHA requirements, including 29 CFR 1910, Subpart L, Sections 1910.160 and 1910.162.
                2—Per OSHA requirements, protective gear (SCBA) should be available in the event personnel should reenter the area.
                3—The agent should be recovered from the fire protection system in conjunction with testing or servicing, and recycled for later use or destroyed.
                4—EPA has no intention of duplicating or displacing OSHA coverage related to the use of personal protective equipment (e.g., respiratory protection), fire protection, hazard communication, worker training or any other occupational safety and health standard with respect to halon substitutes.

              [78 FR 25002, Apr. 29, 2013]

              Pt. 82, Subpt. G, App. U
              Appendix U to Subpart G of Part 82—Unacceptable Substitutes and Substitutes Subject to Use Restrictions Listed in the July 20, 2015 Final Rule, Effective August 19, 2015

                Aerosols—Unacceptable Substitutes

                  End-use
                  Substitute
                  Decision
                  Further information

                  Propellants
                  HFC-125
                  Unacceptable as of January 1, 2016
                  HFC-125 has a Chemical Abstracts Service Registry Number (CAS Reg. No.) of 354-33-6 and it is also known by the name 1,1,1,2,2-pentafluoropropane. HFC-125 has a GWP of 3,500. Other substitutes will be available for this end-use with lower overall risk to human health and the environment by the status change date.

                  Products using this propellant that are manufactured prior to January 1, 2016 may be sold, imported, exported, distributed and used after that date.

                  Propellants
                  HFC-134a
                  Unacceptable as of July 20, 2016, except uses listed as acceptable, subject to use conditions
                  HFC-134a has a Chemical Abstracts Service Registry Number (CAS Reg. No.) of 811-97-2 and it is also known by the name 1,1,1,2-tetrafluoropropane. HFC-134a has a GWP of 1,430. Other substitutes will be available for this end-use with lower overall risk to human health and the environment by the status change date.

                  Products using this propellant that are manufactured prior to July 20, 2016 may be sold, imported, exported, distributed and used after that date.

                  Propellants
                  HFC-227ea and blends of HFC-134a and HFC-227ea
                  Unacceptable as of July 20, 2016, except uses listed as acceptable, subject to use conditions
                  HFC-227ea has a Chemical Abstracts Service Registry Number (CAS Reg. No.) of 431-89-0 and it is also known by the name 1,1,1,2,3,3,3-heptafluoropropane. HFC-134a has a Chemical Abstracts Service Registry Number (CAS Reg. No.) of 811-97-2 and it is also known by the name 1,1,1,2-tetrafluoropropane.HFC-227ea and HFC-134a have GWPs of 3,220 and 1,430, respectively. Other substitutes will be available for this end-use with lower overall risk to human health and the environment by the status change date.

                  Products using these propellants that are manufactured prior to July 20, 2016 may be sold, imported, exported, distributed and used after that date.

                  Propellants
                  HCFC-22 and HCFC-142b
                  Unacceptable effective September 18, 2015
                  Use or introduction into interstate commerce of virgin HCFC-22 and HCFC-142b for aerosols is prohibited as of January 1, 2010 under EPA's regulations at 40 CFR part 82 subpart A. These propellants have ozone depletion potentials of 0.055 and 0.065, respectively.

                  Solvents
                  HCFC-141b and blends thereof
                  Unacceptable effective September 18, 2015
                  Use or introduction into interstate commerce of virgin HCFC-141b for aerosols is prohibited as of January 1, 2015 under EPA's regulations at 40 CFR part 82 subpart A. HCFC-141b has an ozone depletion potential of 0.11.

                Substitutes Acceptable Subject To Use Conditions

                  End-use
                  Substitute
                  Decision
                  Use conditions
                  Further information

                  Propellants
                  HFC-134a
                  Acceptable subject to use conditions

                  The classes of products listed below are acceptable for use from July 20, 2016 through December 31, 2017 and are unacceptable thereafter• products for functional testing of smoke detectors
                    • products for which new formulations require governmental review, including: EPA pesticide registration, approval for conformance with military or space agency specifications, or FDA approval (other than MDIs)
                    The classes of products listed below are acceptable for use and other uses are unacceptable as of July 20, 2016:
                    • metered dose inhalers approved by the U.S. Food and Drug Administration for medical purposes
                    • cleaning products for removal of grease, flux and other soils from electrical equipment or electronics
                    • refrigerant flushes
                    • products for sensitivity testing of smoke detectors
                    • lubricants and freeze sprays for electrical equipment or electronics

                  HFC-134a has a Chemical Abstracts Service Registry Number (CAS Reg. No.) of 811-97-2 and it is also known by the name 1,1,1,2-tetrafluoropropane. HFC-134a has a GWP of 1,430. Use is allowed for the specified uses because of the technical and safety demands in these applications.Aerosol products using this propellant that are manufactured prior to July 20, 2016, may be sold, imported, exported, distributed and used after that date.

                  • sprays for aircraft maintenance.• sprays containing corrosion preventive compounds used in the maintenance of aircraft, electrical equipment or electronics, or military equipment.
                    • pesticides for use near electrical wires or in aircraft, in total release insecticide foggers, or in certified organic use pesticides for which EPA has specifically disallowed all other lower-GWP propellants.
                    • mold release agents and mold cleaners.
                    • lubricants and cleaners for spinnerettes for synthetic fabrics.
                    • duster sprays specifically for removal of dust from photographic negatives, semiconductor chips, specimens under electron microscopes, and energized electrical equipment.
                    • adhesives and sealants in large canisters.
                    • document preservation sprays.
                    • wound care sprays.
                    • topical coolant sprays for pain relief.
                    • products for removing bandage adhesives from skin.

                  Propellants
                  HFC-227ea and blends of HFC-227ea and HFC-134a
                  Acceptable subject to use conditions
                  Acceptable for use in metered dose inhalers approved by the U.S. Food and Drug Administration for medical purposes and unacceptable for all other uses as of July 20, 2016
                  HFC-227ea has a Chemical Abstracts Service Registry Number (CAS Reg. No.) of 431-89-0 and it is also known by the name 1,1,1,2,3,3,3-heptafluoropropane. HFC-227ea has a GWP of 3,220.

                  Aerosol products using this propellant that are manufactured prior to July 20, 2016 may be sold, imported, exported, distributed and used after that date.

                Refrigeration and Air Conditioning—Unacceptable Substitutes

                  End-use
                  Substitute
                  Decision
                  Further information

                  Retail food refrigeration (supermarket systems) (new)
                  HFC-227ea, R-404A, R-407B, R-421B, R-422A, R-422C, R-422D, R-428A, R-434A, R-507A
                  Unacceptable as of January 1, 2017
                  These refrigerants have GWPs ranging from 2,729 to 3,985. Other substitutes will be available for this end-use with lower overall risk to human health and the environment by the status change date.

                  Retail food refrigeration (supermarket systems) (retrofit)
                  R-404A, R-407B, R-421B, R-422A, R-422C, R-422D, R-428A, R-434A, R-507A
                  Unacceptable as of July 20, 2016
                  These refrigerants have GWPs ranging from 2,729 to 3,985. Other substitutes will be available for this end-use with lower overall risk to human health and the environment by the status change date.

                  Retail food refrigeration (remote condensing units) (new)
                  HFC-227ea, R-404A, R-407B, R-421B, R-422A, R-422C, R-422D, R-428A, R-434A, R-507A
                  Unacceptable as of January 1, 2018
                  These refrigerants have GWPs ranging from 2,729 to 3,985. Other substitutes will be available for this end-use with lower overall risk to human health and the environment by the status change date.

                  Retail food refrigeration (remote condensing units) (retrofit)
                  R-404A, R-407B, R-421B, R-422A, R-422C, R-422D, R-428A, R-434A, R-507A
                  Unacceptable as of July 20, 2016
                  These refrigerants have GWPs ranging from 2,729 to 3,985. Other substitutes will be available for this end-use with lower overall risk to human health and the environment by the status change date.

                  Retail food refrigeration (stand-alone medium-temperature units with a compressor capacity below 2,200 Btu/hr and not containing a flooded evaporator) (new)
                  FOR12A, FOR12B, HFC-134a, HFC-227ea, KDD6, R-125/290/134a/600a (55.0/1.0/42.5/1.5), R-404A, R-407A, R-407B, R-407C, R-407F, R-410A, R-410B, R-417A, R-421A, R-421B, R-422A, R-422B, R-422C, R-422D, R-424A, R-426A, R-428A, R-434A, R-437A, R-438A, R-507A, RS-24 (2002 formulation), RS-44 (2003 formulation), SP34E, THR-03
                  Unacceptable as of January 1, 2019
                  These refrigerants have GWPs ranging from approximately 900 to 3,985. Other substitutes will be available for this end-use with lower overall risk to human health and the environment by the status change date. “Medium-temperature” refers to equipment that maintains food or beverages at temperatures above 32 °F (0 °C).

                  Retail food refrigeration (stand-alone medium-temperature units with a compressor capacity below 2,200 Btu/hr and containing a flooded evaporator) (new)
                  FOR12A, FOR12B, HFC-134a, HFC-227ea, KDD6, R-125/290/134a/600a (55.0/1.0/42.5/1.5), R-404A, R-407A, R-407B, R-407C, R-407F, R-410A, R-410B, R-417A, R-421A, R-421B, R-422A, R-422B, R-422C, R-422D, R-424A, R-426A, R-428A, R-434A, R-437A, R-438A, R-507A, RS-24 (2002 formulation), RS-44 (2003 formulation), SP34E, THR-03
                  Unacceptable as of January 1, 2020
                  These refrigerants have GWPs ranging from approximately 900 to 3,985. Other substitutes will be available for this end-use with lower overall risk to human health and the environment by the status change date. “Medium-temperature” refers to equipment that maintains food or beverages at temperatures above 32 °F (0 °C).

                  Retail food refrigeration (stand-alone medium-temperature units with a compressor capacity equal to or greater than 2,200 Btu/hr) (new)
                  FOR12A, FOR12B, HFC-134a, HFC-227ea, KDD6, R-125/290/134a/600a (55.0/1.0/42.5/1.5), R-404A, R-407A, R-407B, R-407C, R-407F, R-410A, R-410B, R-417A, R-421A, R-421B, R-422A, R-422B, R-422C, R-422D, R-424A, R-426A, R-428A, R-434A, R-437A, R-438A, R-507A, RS-24 (2002 formulation), RS-44 (2003 formulation), SP34E, THR-03
                  Unacceptable as of January 1, 2020
                  These refrigerants have GWPs ranging from approximately 900 to 3,985. Other substitutes will be available for this end-use with lower overall risk to human health and the environment by the status change date. “Medium-temperature” refers to equipment that maintains food or beverages at temperatures above 32 °F (0 °C).

                  Retail food refrigeration (stand-alone low-temperature units) (new)
                  HFC-227ea, KDD6, R-125/290/134a/600a (55.0/1.0/42.5/1.5), R-404A, R-407A, R-407B, R-407C, R-407F, R-410A, R-410B, R-417A, R-421A, R-421B, R-422A, R-422B, R-422C, R-422D, R-424A, R-428A, R-434A, R-437A, R-438A, R-507A, RS-44 (2003 formulation)
                  Unacceptable as of January 1, 2020
                  These refrigerants have GWPs ranging from approximately 1,800 to 3,985. Other substitutes will be available for this end-use with lower overall risk to human health and the environment by the status change date. “Low-temperature” refers to equipment that maintains food or beverages at temperatures at or below 32 °F (0 °C).

                  Retail food refrigeration (stand-alone units only) (retrofit)
                  R-404A, R-507A
                  Unacceptable as of July 20, 2016
                  These refrigerants have GWPs of approximately 3,922 and 3,985. Other substitutes will be available for this end-use with lower overall risk to human health and the environment by the status change date.

                  Vending machines (new only)
                  FOR12A, FOR12B, HFC-134a, KDD6, R-125/290/134a/600a (55.0/1.0/42.5/1.5), R-404A, R-407C, R-410A, R-410B, R-417A, R-421A, R-422B, R-422C, R-422D, R-426A, R-437A, R-438A, R-507A, RS-24 (2002 formulation), SP34E
                  Unacceptable as of January 1, 2019
                  These refrigerants have GWPs ranging from approximately 1,100 to 3,985. Other substitutes will be available for this end-use with lower overall risk to human health and the environment by the status change date.

                  Vending machines (retrofit only)
                  R-404A, R-507A.
                  Unacceptable as of July 20, 2016
                  These refrigerants have GWPs of approximately 3,922 and 3,985. Other substitutes will be available for this end-use with lower overall risk to human health and the environment by the status change date.

                Foam Blowing Agents—Substitutes Acceptable Subject to Narrowed Use Limits

                  End-use
                  Substitute
                  Decision
                  Narrowed use limits
                  Further information

                  Rigid Polyurethane: Appliance
                  HFC-134a, HFC-245fa, HFC-365mfc and blends thereof; Formacel TI, and Formacel Z-6
                  Acceptable Subject to Narrowed Use Limits
                  Acceptable from January 1, 2020, until January 1, 2022, in military applications and until January 1, 2025, in space- and aeronautics-related applications where reasonable efforts have been made to ascertain that other alternatives are not technically feasible due to performance or safety requirementsClosed cell foam products and products containing closed cell foams manufactured with these substitutes on or before January 1, 2022, for military applications or on and before January 1, 2025, in space- and aeronautics-related applications, may be used after those dates

                  Users are required to document and retain the results of their technical investigation of alternatives for the purpose of demonstrating compliance. Information should include descriptions of:• Process or product in which the substitute is needed;
                    • Substitutes examined and rejected;
                    • Reason for rejection of other alternatives, e.g., performance, technical or safety standards; and/or
                    • Anticipated date other substitutes will be available and projected time for switching.

                  Rigid Polyurethane: Commercial Refrigeration and Sandwich Panels
                  HFC-134a, HFC-245fa, HFC-365mfc, and blends thereof; Formacel TI, and Formacel Z-6
                  Acceptable Subject to Narrowed Use Limits
                  Acceptable from January 1, 2020, until January 1, 2022, in military applications and until January 1, 2025, in space- and aeronautics-related applications where reasonable efforts have been made to ascertain that other alternatives are not technically feasible due to performance or safety requirementsClosed cell foam products and products containing closed cell foams manufactured with these substitutes on or before January 1, 2022, for military applications or on and before January 1, 2025, in space- and aeronautics-related applications, may be used after those dates

                  Users are required to document and retain the results of their technical investigation of alternatives for the purpose of demonstrating compliance. Information should include descriptions of:• Process or product in which the substitute is needed;
                    • Substitutes examined and rejected;
                    • Reason for rejection of other alternatives, e.g., performance, technical or safety standards; and/or
                    • Anticipated date other substitutes will be available and projected time for switching.

                  Flexible Polyurethane
                  HFC-134a, HFC-245fa, HFC-365mfc, and blends thereof
                  Acceptable Subject to Narrowed Use Limits
                  Acceptable from January 1, 2017, until January 1, 2022, in military applications and until January 1, 2025, in space- and aeronautics-related applications where reasonable efforts have been made to ascertain that other alternatives are not technically feasible due to performance or safety requirements

                  Users are required to document and retain the results of their technical investigation of alternatives for the purpose of demonstrating compliance. Information should include descriptions of:• Process or product in which the substitute is needed;
                    • Substitutes examined and rejected;
                    • Reason for rejection of other alternatives, e.g., performance, technical or safety standards; and/or
                    • Anticipated date other substitutes will be available and projected time for switching.

                  Rigid Polyurethane: Slabstock and Other
                  HFC-134a, HFC-245fa, HFC-365mfc and blends thereof; Formacel TI, and Formacel Z-6
                  Acceptable Subject to Narrowed Use Limits
                  Acceptable from January 1, 2019, until January 1, 2022, in military applications and until January 1, 2025, in space- and aeronautics-related applications where reasonable efforts have been made to ascertain that other alternatives are not technically feasible due to performance or safety requirementsClosed cell foam products and products containing closed cell foams manufactured with these substitutes on or before January 1, 2022, for military applications or on and before January 1, 2025, in space- and aeronautics-related applications, may be used after those dates

                  Users are required to document and retain the results of their technical investigation of alternatives for the purpose of demonstrating compliance. Information should include descriptions of:• Process or product in which the substitute is needed;
                    • Substitutes examined and rejected;
                    • Reason for rejection of other alternatives, e.g., performance, technical or safety standards; and/or
                    • Anticipated date other substitutes will be available and projected time for switching.

                  Rigid Polyurethane and Polyisocyanurate Laminated Boardstock
                  HFC-134a, HFC-245fa, HFC-365mfc and blends thereof
                  Acceptable Subject to Narrowed Use Limits
                  Acceptable from January 1, 2017, until January 1, 2022, in military applications and until January 1, 2025, in space- and aeronautics-related applications where reasonable efforts have been made to ascertain that other alternatives are not technically feasible due to performance or safety requirementsClosed cell foam products and products containing closed cell foams manufactured with these substitutes on or before January 1, 2022, for military applications or on and before January 1, 2025, in space- and aeronautics-related applications, may be used after those dates

                  Users are required to document and retain the results of their technical investigation of alternatives for the purpose of demonstrating compliance. Information should include descriptions of:• Process or product in which the substitute is needed;
                    • Substitutes examined and rejected;
                    • Reason for rejection of other alternatives, e.g., performance, technical or safety standards; and/or
                    • Anticipated date other substitutes will be available and projected time for switching.

                  Rigid Polyurethane: Marine Flotation Foam
                  HFC-134a, HFC-245fa, HFC-365mfc and blends thereof; Formacel TI, and Formacel Z-6
                  Acceptable Subject to Narrowed Use Limits
                  Acceptable from January 1, 2020, until January 1, 2022, in military applications and until January 1, 2025, in space- and aeronautics-related applications where reasonable efforts have been made to ascertain that other alternatives are not technically feasible due to performance or safety requirementsClosed cell foam products and products containing closed cell foams manufactured with these substitutes on or before January 1, 2022, for military applications or on and before January 1, 2025, in space- and aeronautics-related applications, may be used after those dates

                  Users are required to document and retain the results of their technical investigation of alternatives for the purpose of demonstrating compliance. Information should include descriptions of:• Process or product in which the substitute is needed;
                    • Substitutes examined and rejected;
                    • Reason for rejection of other alternatives, e.g., performance, technical or safety standards; and/or
                    • Anticipated date other substitutes will be available and projected time for switching.

                  Polystyrene: Extruded Sheet
                  HFC-134a, HFC-245fa, HFC-365mfc, and blends thereof; Formacel TI, and Formacel Z-6
                  Acceptable Subject to Narrowed Use Limits
                  Acceptable from January 1, 2017, until January 1, 2022, in military applications and until January 1, 2025, in space- and aeronautics-related applications where reasonable efforts have been made to ascertain that other alternatives are not technically feasible due to performance or safety requirementsClosed cell foam products and products containing closed cell foams manufactured with these substitutes on or before January 1, 2022, for military applications or on and before January 1, 2025, in space- and aeronautics-related applications, may be used after those dates

                  Users are required to document and retain the results of their technical investigation of alternatives for the purpose of demonstrating compliance. Information should include descriptions of:• Process or product in which the substitute is needed;
                    • Substitutes examined and rejected;
                    • Reason for rejection of other alternatives, e.g., performance, technical or safety standards; and/or
                    • Anticipated date other substitutes will be available and projected time for switching.

                  Polystyrene: Extruded Boardstock and Billet
                  HFC-134a, HFC-245fa, HFC-365mfc, and blends thereof; Formacel TI, Formacel B, and Formacel Z-6
                  Acceptable Subject to Narrowed Use Limits
                  Acceptable from January 1, 2021, until January 1, 2022, in military applications and until January 1, 2025, in space- and aeronautics-related applications where reasonable efforts have been made to ascertain that other alternatives are not technically feasible due to performance or safety requirementsClosed cell foam products and products containing closed cell foams manufactured with these substitutes on or before January 1, 2022, for military applications or on and before January 1, 2025, in space- and aeronautics-related applications, may be used after those dates

                  Users are required to document and retain the results of their technical investigation of alternatives for the purpose of demonstrating compliance. Information should include descriptions of:• Process or product in which the substitute is needed;
                    • Substitutes examined and rejected;
                    • Reason for rejection of other alternatives, e.g., performance, technical or safety standards; and/or
                    • Anticipated date other substitutes will be available and projected time for switching.

                  Integral Skin Polyurethane
                  HFC-134a, HFC-245fa, HFC-365mfc, and blends thereof; Formacel TI, and Formacel Z-6
                  Acceptable Subject to Narrowed Use Limits
                  Acceptable from January 1, 2017, until January 1, 2022, in military applications and until January 1, 2025, in space- and aeronautics-related applications where reasonable efforts have been made to ascertain that other alternatives are not technically feasible due to performance or safety requirements

                  Users are required to document and retain the results of their technical investigation of alternatives for the purpose of demonstrating compliance. Information should include descriptions of:• Process or product in which the substitute is needed;
                    • Substitutes examined and rejected;
                    • Reason for rejection of other alternatives, e.g., performance, technical or safety standards; and/or
                    • Anticipated date other substitutes will be available and projected time for switching.

                  Polyolefin
                  HFC-134a, HFC-245fa, HFC-365mfc, and blends thereof; Formacel TI, and Formacel Z-6
                  Acceptable Subject to Narrowed Use Limits
                  Acceptable from January 1, 2020, until January 1, 2022, in military applications and until January 1, 2025, in space- and aeronautics-related applications where reasonable efforts have been made to ascertain that other alternatives are not technically feasible due to performance or safety requirementsClosed cell foam products and products containing closed cell foams manufactured with these substitutes on or before January 1, 2022, for military applications or on and before January 1, 2025, in space- and aeronautics-related applications, may be used after those dates

                  Users are required to document and retain the results of their technical investigation of alternatives for the purpose of demonstrating compliance. Information should include descriptions of:• Process or product in which the substitute is needed;
                    • Substitutes examined and rejected;
                    • Reason for rejection of other alternatives, e.g., performance, technical or safety standards; and/or
                    • Anticipated date other substitutes will be available and projected time for switching.

                  Phenolic Insulation Board and Bunstock
                  HFC-143a, HFC-134a, HFC-245fa, HFC-365mfc, and blends thereof
                  Acceptable Subject to Narrowed Use Limits
                  Acceptable from January 1, 2017, until January 1, 2022, in military applications and until January 1, 2025, in space- and aeronautics-related applications where reasonable efforts have been made to ascertain that other alternatives are not technically feasible due to performance or safety requirementsClosed cell foam products and products containing closed cell foams manufactured with these substitutes on or before January 1, 2022, for military applications or on and before January 1, 2025, in space- and aeronautics-related applications, may be used after those dates

                  Users are required to document and retain the results of their technical investigation of alternatives for the purpose of demonstrating compliance. Information should include descriptions of:• Process or product in which the substitute is needed;
                    • Substitutes examined and rejected;
                    • Reason for rejection of other alternatives, e.g., performance, technical or safety standards; and/or
                    • Anticipated date other substitutes will be available and projected time for switching.

                Unacceptable Substitutes

                  End-use
                  Substitute
                  Decision
                  Further information

                  All Foam Blowing End-uses
                  HCFC-141b and blends thereof
                  Unacceptable effective September 18, 2015. Closed cell foam products and products containing closed cell foams manufactured with these substitutes on or before December 1, 2017 may be used after that date
                  HCFC-141b has an ozone depletion potential of 0.11 under the Montreal Protocol. EPA previously found HCFC-141b unacceptable in all foam blowing end-uses (appendix M to subpart G of 40 CFR part 82). HCFC-141b has an ozone depletion potential (ODP) of 0.11.

                  All Foam Blowing end-uses
                  HCFC-22, HCFC-142b, and blends thereof
                  Unacceptable effective September 18, 2015. Closed cell foam products and products containing closed cell foams manufactured with these substitutes on or before December 1, 2017 may be used after that date
                  Use or introduction into interstate commerce of virgin HCFC-22 and HCFC-142b for foam blowing is prohibited after January 1, 2010 under EPA's regulations at 40 CFR part 82 subpart A unless used, recovered, and recycled. These compounds have ODPs of 0.055 and 0.065, respectively.

                  Flexible Polyurethane
                  HFC-134a, HFC-245fa, HFC-365mfc, and blends thereof
                  Unacceptable as of January 1, 2017, except where allowed under a narrowed use limit
                  These foam blowing agents have global warming potentials (GWPs) ranging from 725 to 1,430. Other substitutes will be available for this end-use with lower overall risk to human health and the environment by the status change date.

                  Polystyrene: Extruded Sheet
                  HFC-134a, HFC-245fa, HFC-365mfc, and blends thereof; Formacel TI, and Formacel Z-6
                  Unacceptable as of January 1, 2017, except where allowed under a narrowed use limitClosed cell foam products and products containing closed cell foams manufactured with these substitutes on or before December 1, 2017 may be used after that date

                  These foam blowing agents have GWPs ranging from higher than 370 to approximately 1,500. Other substitutes will be available for this end-use with lower overall risk to human health and the environment by the status change date.

                  Phenolic Insulation Board and Bunstock
                  HFC-143a, HFC-134a, HFC-245fa, HFC-365mfc, and blends thereof
                  Unacceptable as of January 1, 2017, except where allowed under a narrowed use limitClosed cell foam products and products containing closed cell foams manufactured with these substitutes on or before December 1, 2017 may be used after that date

                  These foam blowing agents have GWPs ranging from 725 to 4,470. Other substitutes will be available for this end-use with lower overall risk to human health and the environment by the status change date.

                  Integral Skin Polyurethane
                  HFC-134a, HFC-245fa, HFC-365mfc, and blends thereof; Formacel TI, and Formacel Z-6
                  Unacceptable as of January 1, 2017, except where allowed under a narrowed use limit
                  These foam blowing agents have GWPs ranging from higher than 370 to approximately 1,500. Other substitutes will be available for this end-use with lower overall risk to human health and the environment by the status change date.

                  Rigid Polyurethane: Slabstock and Other
                  HFC-134a, HFC-245fa, HFC-365mfc and blends thereof; Formacel TI, and Formacel Z-6
                  Unacceptable as of January 1, 2019, except where allowed under a narrowed use limitClosed cell foam products and products containing closed cell foams manufactured with these substitutes on or before January 1, 2019, may be used after that date

                  These foam blowing agents have GWPs ranging from higher than 370 to approximately 1,500. Other substitutes will be available for this end-use with lower overall risk to human health and the environment by the status change date.

                  Rigid Polyurethane and Polyisocyanurate Laminated Boardstock
                  HFC-134a, HFC-245fa, HFC-365mfc and blends thereof
                  Unacceptable as of January 1, 2017, except where allowed under a narrowed use limitClosed cell foam products and products containing closed cell foams manufactured with these substitutes on or before December 1, 2017 may be used after that date

                  These foam blowing agents have GWPs ranging from 725 to 1,430. Other substitutes will be available for this end-use with lower overall risk to human health and the environment by the status change date.

                  Rigid Polyurethane: Marine Flotation Foam
                  HFC-134a, HFC-245fa, HFC-365mfc and blends thereof; Formacel TI, and Formacel Z-6
                  Unacceptable as of January 1, 2020 except where allowed under a narrowed use limitClosed cell foam products and products containing closed cell foams manufactured with these substitutes on or before January 1, 2020, may be used after that date

                  These foam blowing agents have GWPs ranging from higher than 370 to approximately 1,500. Other substitutes will be available for this end-use with lower overall risk to human health and the environment by the status change date.

                  Rigid Polyurethane: Commercial Refrigeration and Sandwich Panels
                  HFC-134a, HFC-245fa, HFC-365mfc, and blends thereof; Formacel TI, and Formacel Z-6
                  Unacceptable as of January 1, 2020 except where allowed under a narrowed use limitClosed cell foam products and products containing closed cell foams manufactured with these substitutes on or before January 1, 2020, may be used after that date

                  These foam blowing agents have GWPs ranging from higher than 370 to approximately 1,500. Other substitutes will be available for this end-use with lower overall risk to human health and the environment by the status change date.

                  Rigid Polyurethane: Appliance
                  HFC-134a, HFC-245fa, HFC-365mfc and blends thereof; Formacel TI, and Formacel Z-6
                  Unacceptable as of January 1, 2020, except where allowed under a narrowed use limitClosed cell foam products and products containing closed cell foams manufactured with these substitutes on or before January 1, 2020, may be used after that date

                  These foam blowing agents have GWPs ranging from higher than 370 to approximately 1,500. Other substitutes will be available for this end-use with lower overall risk to human health and the environment by the status change date.

                  Polystyrene: Extruded Boardstock and Billet
                  HFC-134a, HFC-245fa, HFC-365mfc, and blends thereof; Formacel TI, Formacel B, and Formacel Z-6
                  Unacceptable as of January 1, 2021, except where allowed under a narrowed use limitClosed cell foam products and products containing closed cell foams manufactured with these substitutes on or before January 1, 2021, may be used after that date

                  These foam blowing agents have GWPs ranging from higher than 140 to approximately 1,500. Other substitutes will be available for this end-use with lower overall risk to human health and the environment by the status change date.

                  Polyolefin
                  HFC-134a, HFC-245fa, HFC-365mfc, and blends thereof; Formacel TI, and Formacel Z-6
                  Unacceptable as of January 1, 2020, except where allowed under a narrowed use limitClosed cell foam products and products containing closed cell foams manufactured with these substitutes on or before January 1, 2020, may be used after that date

                  These foam blowing agents have GWPs ranging from higher than 370 to approximately 1,500. Other substitutes will be available for this end-use with lower overall risk to human health and the environment by the status change date.

                Fire Suppression and Explosion Protection Agents—Unacceptable Substitutes

                  End-use
                  Substitute
                  Decision
                  Further information

                  Total Flooding
                  HCFC-22
                  Unacceptable effective September 18, 2015
                  Use or introduction into interstate commerce of virgin HCFC-22 for total flooding fire suppression and explosion protection is prohibited as of January 1, 2010 under EPA's regulations at 40 CFR part 82 subpart A. This chemical has an ozone depletion potential of 0.055.

                Sterilants—Unacceptable Substitutes

                  End-use
                  Substitute
                  Decision
                  Further information

                  Sterilants
                  Blends containing HCFC-22
                  Unacceptable effective September 18, 2015
                  Use or introduction into interstate commerce of virgin HCFC-22 for sterilants is prohibited as of January 1, 2010 under EPA's regulations at 40 CFR part 82 subpart A. This chemical has an ozone depletion potential of 0.055.

                Adhesives, Coatings and Inks—Unacceptable Substitutes

                  End-use
                  Substitute
                  Decision
                  Further information

                  Adhesives, coatings and inks
                  HCFC-141b and blends thereof
                  Unacceptable effective September 18, 2015
                  Use or introduction into interstate commerce of virgin HCFC-141b for adhesives, coatings and inks is prohibited as of January 1, 2015 under EPA's regulations at 40 CFR part 82 subpart A. This chemical has an ozone depletion potential of 0.11.

              [80 FR 42953, July 20, 2015, as amended at 81 FR 86885, Dec. 1, 2016]

              Pt. 82, Subpt. G, App. V
              Appendix V to Subpart G of Part 82—Substitutes Subject to Use Restrictions and Unacceptable Substitutes Listed in the December 1, 2016 Final Rule

                Refrigerants—Acceptable Subject to Use Conditions

                  End-use
                  Substitute
                  Decision
                  Use conditions
                  Further information

                  Commercial ice machines (self-contained) (new only)
                  Propane (R-290)
                  Acceptable, subject to use conditions
                  As of January 3, 2017:This refrigerant may be used only in new equipment designed specifically and clearly identified for the refrigerant—i.e., this refrigerant may not be used as a conversion or “retrofit” refrigerant for existing equipment

                  Applicable OSHA requirements at 29 CFR part 1910 must be followed, including those at 29 CFR 1910.106 (flammable and combustible liquids), 1910.110 (storage and handling of liquefied petroleum gases), 1910.157 (portable fire extinguishers), and 1910.1000 (toxic and hazardous substances).

                    This refrigerant may be used only in self-contained commercial ice machines that meet all requirements listed in Supplement SA to UL 563.1 2 5 In cases where this rule includes requirements more stringent than those in UL 563, the equipment must meet the requirements of the final rule in place of the requirements in the UL Standard

                    The charge size must not exceed 150g (5.29 oz) in each refrigerant circuit of a commercial ice machine

                   Proper ventilation should be maintainedatalltimesduring

                    As provided in clauses SA6.1.1 and SA6.1.2 of UL 563, the following markings must be attached at the locations provided and must be permanent:

                    the manufacture and storage of equipment containing hydrocarbonrefrigerantsthrough

                    (a) “DANGER—Risk of Fire or Explosion. Flammable Refrigerant Used. Do Not Use Mechanical Devices To Defrost Refrigerator. Do Not Puncture Refrigerant Tubing.” This marking must be provided on or near any evaporators that can be contacted by the consumer

                    adherence to good manufacturing practices as per 29 CFR 1910.106. If refrigerant levels in the air surrounding the equipmentriseaboveone-

                    (b) “DANGER—Risk of Fire or Explosion. Flammable Refrigerant Used. To Be Repaired Only By Trained Service Personnel. Do Not Puncture Refrigerant Tubing.” This marking must be located near the machine compartment

                    fourth of the lower flammability limit, the space should be evacuated and re-entry should occur only after the space has been properly ventilated.

                    (c) “CAUTION—Risk of Fire or Explosion. Flammable Refrigerant Used. Consult Repair Manual/Owner's Guide Before Attempting To Service This Product. All Safety Precautions Must be Followed.” This marking must be located near the machine compartment

                    Technicians and equipment manufacturers should wear appropriate personal protec- tive  equipment,  including

                    (d) “CAUTION—Risk of Fire or Explosion. Dispose of Properly In Accordance With Federal Or Local Regulations. Flammable Refrigerant Used.” This marking must be provided on the exterior of the refrigeration equipment

                    chemical goggles and protective gloves, when handling propane. Special care should be taken  to avoid contact with

                    (e) “CAUTION—Risk of Fire or Explosion Due To Puncture Of Refrigerant Tubing; Follow Handling Instructions Carefully. Flammable Refrigerant Used.” This marking must be provided near all exposed refrigerant tubing

                    the skin since propane, like many refrigerants, can cause freeze burns on the skin.

                    All of these markings must be in letters no less than 6.4 mm (1/4 inch) high
                    TheequipmentmusthaveredPantoneMatchingSystem

                    A Class B dry powder type fire extinguisher should be kept nearby.

                     (PMS) #185 marked pipes, hoses, or other devices through which the refrigerant passes, to indicate the use of a flammable refrigerant. This color must be applied at all service ports and other parts of the system where service puncturing or other actions creating an opening from the refrigerant circuit to the atmosphere might be expected and must extend a minimum of one (1) inch in both directions from such locations

                   Technicians should only use spark-proof tools when working on equipment with propane.
                    Any recovery equipment used should be designed for flammable refrigerants.
                    Any refrigerant releases should be in a well-ventilated area, such as outside of a building.
                    Only technicians specifically trained in handling flammable refrigerants should service equipment containing propane. Technicians should gain an understanding of minimizing the risk of fire and the steps to use flammable refrigerants safely.
                    Room occupants should evacuate the space immediately following the accidental release of this refrigerant.

                  If a service port is added then, commercial ice machines or equipment using propane should have service aperture fittings that differ from fittings used in equipment or containers using non-flammable refrigerant. “Differ” means that either the diameter differs by at least 1/16 inch or the thread direction is reversed (i.e., right-handedvs.left-handed).

                   These different fittings should be permanently affixed to the unit at the point of service and maintained until the end-of-life of the unit, and should not be accessed with an adaptor.

                  Very low temperature refrigeration equipment (new only)
                  Propane (R-290)
                  Acceptable, subject to use conditions
                  As of January 3, 2017:This refrigerant may be used only in new equipment designed specifically and clearly identified for the refrigerant—i.e., this refrigerant may not be used as a conversion or “retrofit” refrigerant for existing equipment

                  Applicable OSHA requirements at 29 CFR part 1910 must be followed, including those at 29 CFR 1910.106 (flammable and combustible liquids), 1910.110 (storage and handling of liquefied petroleum gases), 1910.157 (portable fire extinguishers), and 1910.1000 (toxic and hazardous substances).

                    This refrigerant may be used only in self-contained commercial ice machines that meet all requirements listed in Supplement SA to UL 563.1 2 5 In cases where this rule includes requirements more stringent than those in UL 563, the equipment must meet the requirements of the final rule in place of the requirements in the UL Standard

                    The charge size for the equipment must not exceed 150 grams (5.29 ounces) in each refrigerant circuit of the very low temperature refrigeration equipment

                   Proper ventilation should be maintained at all times during themanufactureandstorage

                    As provided in clauses SA6.1.1 and SA6.1.2 of UL 563, the following markings must be attached at the locations provided and must be permanent:

                    of equipment containing hydrocarbon refrigerants through adherencetogoodmanufac-

                    (a) “DANGER—Risk of Fire or Explosion. Flammable Refrigerant Used. Do Not Use Mechanical Devices To Defrost Refrigerator. Do Not Puncture Refrigerant Tubing.” This marking must be provided on or near any evaporators that can be contacted by the consumer

                    turing practices as per 29 CFR 1910.106. If refrigerant levels in the air surrounding the equipment rise above one-fourth of the lower flammability

                    (b) “DANGER—Risk of Fire or Explosion. Flammable Refrigerant Used. To Be Repaired Only By Trained Service Personnel. Do Not Puncture Refrigerant Tubing.” This marking must be located near the machine compartment

                    limit, the space should be evacuated and re-entry should occur only after the space has been properly ventilated.

                    (c) “CAUTION—Risk of Fire or Explosion. Flammable Refrigerant Used. Consult Repair Manual/Owner's Guide Before Attempting To Service This Product. All Safety Precautions Must be Followed.” This marking must be located near the machine compartment

                   Technicians and equipment manufacturers should wear appropriate personal protective equipment, including chemicalgogglesandprotec-

                    (d) “CAUTION—Risk of Fire or Explosion. Dispose of Properly In Accordance With Federal Or Local Regulations. Flammable Refrigerant Used.” This marking must be provided on the exterior of the refrigeration equipment

                    tive gloves, when handling propane. Special care should be taken to avoid contact with the skin since propane, like many refrigerants, can cause freeze burns on the skin.

                    (e) “CAUTION—Risk of Fire or Explosion Due To Puncture Of Refrigerant Tubing; Follow Handling Instructions Carefully. Flammable Refrigerant Used.” This marking must be provided near all exposed refrigerant tubing

                   A Class B dry powder type fire extinguisher should be kept nearby.
                    Techniciansshouldonlyuse

                    All of these markings must be in letters no less than 6.4 mm (1/4 inch) high

                    spark-proof tools when work- ingonequipmentwithpro-

                    The equipment must have red Pantone Matching System (PMS) #185 marked pipes, hoses, or other devices through which the refrigerant passes, to indicate the use of a flammable refrigerant. This color must be applied at all service ports and other parts of the system where service puncturing or other actions creating an opening from the refrigerant circuit to the atmosphere might be expected and must extend a minimum of one (1) inch in both directions from such locations

                    pane.
                    Any recovery equipment used should be designed for flammable refrigerants.
                    Any refrigerant releases should be in a well-ventilated area, such as outside of a building.
                    Only technicians specifically trained in handling flammable refrigerants should service equipment containing propane. Technicians should gain an understanding of minimizing the risk of fire and the steps to use flammable refrigerants safely.
                    Room occupants should evacuate the space immediately following the accidental release of this refrigerant.

                   If a service port is added then, commercial ice machines or equipment using propane should have service aperture fittings that differ from fittings used in equipment or containers using non-flammable refrigerant. “Differ” means that either the diameter differs by at least 1/16 inch or the thread direction is reversed (i.e., right-handedvs.left-handed).

                   These different fittings should be permanently affixed to the unit at the point of service and maintained until the end-of-life of the unit, and should not be accessed with an adaptor.

                  Water coolers (new only)
                  Propane (R-290)
                  Acceptable, subject to use conditions
                  As of January 3, 2017:This refrigerant may be used only in new equipment designed specifically and clearly identified for the refrigerant—i.e., this refrigerant may not be used as a conversion or “retrofit” refrigerant for existing equipment
                    This refrigerant may be used only in water coolers that meet all requirements listed in Supplement SB to UL 399 1 2 3 In cases where the rule includes requirements more stringent than those of the UL 399, the appliance must meet the requirements of the final rule in place of the requirements in the UL Standard

                  Applicable OSHA requirements at 29 CFR part 1910 must be followed, including those at 29 CFR 1910.94 (ventilation) and 1910.106 (flammable and combustible liquids), 1910.110 (storage and handling of liquefied petroleum gases), 1910.157 (portable fire extin- guishers),and1910.1000(toxic and hazardous substances).

                    The charge size must not exceed 60 grams (2.12 ounces) per refrigerant circuit in the water cooler
                    The equipment must have red PMS #185 marked pipes, hoses, or other devices through which the refrigerant passes, to indicate the use of a flammable refrigerant. This color must be applied at all service ports and other parts of the system where service puncturing or other actions creating an opening from the refrigerant circuit to the atmosphere might be expected and must extend a minimum of one (1) inch in both directions from such locations
                    As provided in clauses SB6.1.2 to SB6.1.5 of UL 399, the following markings must be attached at the locations provided and must be permanent:
                    (a) “DANGER—Risk of Fire or Explosion. Flammable Refrigerant Used. Do Not Use Mechanical Devices To Defrost Refrigerator.DoNotPunctureRefrigerantTubing.”This

                   Proper ventilation should be maintained at all times during the manufacture and storage of equipment containing hydrocarbon refrigerants through adherence to good manufacturing practices as per 29 CFR 1910.106. If refrigerant levels in the air surrounding the equipment rise above one-fourth of the lower flammability limit, the space should be evacuated and re-entry should occur only after the space has been properly ventilated.

                     marking must be provided on or near any evaporators that can be contacted by the consumer
                    (b) “DANGER—Risk of Fire or Explosion. Flammable Refrigerant Used. To Be Repaired Only By Trained Service Personnel. Do Not Puncture Refrigerant Tubing.” This marking must be located near the machine compartment

                  Technicians and equipment manufacturers should wear appropriate personal protective equipment, including chemical goggles and protective gloves, when handling propane. Special care should be taken to avoid contact with the skin since propane, like many refrigerants, can cause freeze burns on the skin.

                    (c) “CAUTION—Risk of Fire or Explosion. Flammable Refrigerant Used. Consult Repair Manual/Owner's Guide Before Attempting To Service This Product. All Safety Precautions Must be Followed.” This marking must be located near the machine compartment

                   A Class B dry powder type fire extinguisher should be kept nearby.
                    Technicians should only use spark-prooftoolswhenwork-

                    (d) “CAUTION—Risk of Fire or Explosion. Dispose of Properly In Accordance With Federal Or Local Regulations. Flammable Refrigerant Used.” This marking must be provided on the exterior of the refrigeration equipment

                    ing on equipment with flammable refrigerants.
                    Any recovery equipment used shouldbedesignedforflam-

                    (e) “CAUTION—Risk of Fire or Explosion Due To Puncture Of Refrigerant Tubing; Follow Handling Instructions Carefully. Flammable Refrigerant Used.” This marking must be provided near all exposed refrigerant tubing

                    mable refrigerants.
                    Any refrigerant releases should be in a well-ventilated area, such as outside of a building.
                    Only technicians specifically trained in handling flammable refrigerants should service equipment containing propane. Technicians should gain an understanding of minimizing the risk of fire and the steps to use flammable refrigerants safely.

                    Room occupants should evacuate the space immediately following the accidental release of this refrigerant.

                    If a service port is added, then water coolers or equipment using propane should have service aperture fittings that differ from fittings used in equipment or containers using non-flammablerefrigerant.

                   “Differ” means that either the diameter differs by at least 1/16 inch or the thread direction is reversed (i.e., right-handed vs. left-handed).Thesedifferent fittings should be permanently affixed to the unit at the point of service and maintained until the end-of-life of the unit, and should not be accessed with an adaptor.

                  1 The Director of the Federal Register approves this incorporation by reference (5 U.S.C. 552(a) and 1 CFR part 51). You may inspect a copy at U.S. EPA's Air and Radiation Docket; EPA West Building, Room 3334, 1301 Constitution Ave. NW., Washington, DC or at the National Archives and Records Administration (NARA). For questions regarding access to these standards, the telephone number of EPA's Air and Radiation Docket is 202-566-1742. 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.

                  2 You may obtain the material from: Underwriters Laboratories Inc. (UL) COMM 2000; 151 Eastern Avenue, Bensenville, IL 60106; orders@comm-2000.com; 1-888-853-3503 in the U.S. or Canada (other countries dial +1-415-352-2168); http://ulstandards.ul.com/ or www.comm-2000.com.

                  3 UL 399, Standard for Safety: DrinkingWater Coolers.—Supplement SB: Requirements for Drinking Water Coolers Employing a Flammable Refrigerant in the Refrigerating System, 7th edition, Dated August 22, 2008, including revisions through October 17, 2013.

                  4 UL 471, Standard for Safety: Commercial Refrigerators and Freezers—Supplement SB: Requirements for Refrigerators and Freezers Employing a Flammable Refrigerant in the Refrigerating System, 10th edition, Dated November 24, 2010.

                  5 UL 563, Standard for Safety: Ice Makers.—Supplement SA: Requirements for Ice Makers Employing a Flammable Refrigerant in the Refrigerating System, 8th edition, Dated July 31, 2009, including revisions through November 29, 2013.

                Refrigerants—Substitutes Acceptable Subject to Narrowed Use Limits

                  End-use
                  Substitutes
                  Decision
                  Narrowed use limits
                  Further information

                  Centrifugal chillers (new only)
                  HFC-134a
                  Acceptable subject to narrowed use limits
                  Acceptable after January 1, 2024, only in military marine vessels where reasonable efforts have been made to ascertain that other alternatives are not technically feasible due to performance or safety requirements

                  Users are required to document and retain the results of their technical investigation of alternatives for the purpose of demonstrating compliance. Information should include descriptions of:• Application in which the substitute is needed;
                    • Substitutes examined and rejected;
                    • Reason for rejection of other alternatives, e.g., performance, technical or safety standards; and/or
                    • Anticipated date other substitutes will be available and qualified and projected time for switching.

                  Centrifugal chillers (new only)
                  HFC-134a and R-404A
                  Acceptable subject to narrowed use limits
                  Acceptable after January 1, 2024, only in human-rated spacecraft and related support equipment where reasonable efforts have been made to ascertain that other alternatives are not technically feasible due to performance or safety requirements

                  Users are required to document and retain the results of their technical investigation of alternatives for the purpose of demonstrating compliance. Information should include descriptions of:• Application in which the substitute is needed;
                    • Substitutes examined and rejected;
                    • Reason for rejection of other alternatives, e.g., performance, technical or safety standards; and/or
                    • Anticipated date other substitutes will be available and qualified and projected time for switching.

                  Positive displacement chillers (new only)
                  HFC-134a
                  Acceptable subject to narrowed use limits
                  Acceptable after January 1, 2024, only in military marine vessels where reasonable efforts have been made to ascertain that other alternatives are not technically feasible due to performance or safety requirements

                  Users are required to document and retain the results of their technical investigation of alternatives for the purpose of demonstrating compliance. Information should include descriptions of:• Application in which the substitute is needed;
                    • Substitutes examined and rejected;
                    • Reason for rejection of other alternatives, e.g., performance, technical or safety standards; and/or
                    • Anticipated date other substitutes will be available and qualified and projected time for switching.

                  Positive displacement chillers (new only)
                  HFC-134a and R-404A
                  Acceptable subject to narrowed use limits
                  Acceptable after January 1, 2024, only in human-rated spacecraft and related support equipment where reasonable efforts have been made to ascertain that other alternatives are not technically feasible due to performance or safety requirements

                  Users are required to document and retain the results of their technical investigation of alternatives for the purpose of demonstrating compliance. Information should include descriptions of:• Application in which the substitute is needed;
                    • Substitutes examined and rejected;
                    • Reason for rejection of other alternatives, e.g., performance, technical or safety standards; and/or
                    • Anticipated date other substitutes will be available and qualified and projected time for switching.

                Refrigerants—Unacceptable Substitutes

                  End-use
                  Substitutes
                  Decision
                  Further information

                  Centrifugal chillers (new only)
                  FOR12A, FOR12B, HFC-134a, HFC-227ea, HFC-236fa, HFC-245fa, R-125/134a/600a (28.1/70/1.9), R-125/290/134a/600a (55.0/1.0/42.5/1.5), R-404A, R-407C, R-410A, R-410B, R-417A, R-421A, R-422B, R-422C, R-422D, R-423A, R-424A, R-434A, R-438A, R-507A, RS-44 (2003 composition), and THR-03
                  Unacceptable as of January 1, 2024 except where allowed under a narrowed use limit
                  These refrigerants have GWPs ranging from approximately 900 to 9,810. Other alternatives will be available for this end-use with lower overall risk to human health and the environment by the status change date.

                  Centrifugal chillers (new only)
                  Propylene (R-1270) and R-443A
                  Unacceptable as of January 3, 2017
                  These refrigerants are highly photochemically reactive in the lower atmosphere and may deteriorate local air quality (that is, may increase ground level ozone). Other alternatives are available for this end-use with lower overall risk to human health and the environment.

                  Cold storage warehouses (new only)
                  HFC-227ea, R-125/290/134a/600a (55.0/1.0/42.5/1.5), R-404A, R-407A, R-407B, R-410A, R-410B, R-417A, R-421A, R-421B, R-422A, R-422B, R-422C, R-422D, R-423A, R-424A, R-428A, R-434A, R-438A, R-507A, and RS-44 (2003 composition)
                  Unacceptable as of January 1, 2023
                  These refrigerants have GWPs ranging from approximately 2,090 to 3,990. Other alternatives will be available for this end-use with lower overall risk to human health and the environment by the status change date.

                  Cold storage warehouses (new only)
                  Propylene (R-1270) and R-443A
                  Unacceptable as of January 3, 2017
                  These refrigerants are highly photochemically reactive in the lower atmosphere and may deteriorate local air quality (that is, may increase ground level ozone). Other alternatives are available for this end-use with lower overall risk to human health and the environment.

                  Household refrigerators and freezers (new only)
                  FOR12A, FOR12B, HFC-134a, KDD6, R-125/290/134a/600a (55.0/1.0/42.5/1.5), R-404A, R-407C, R-407F, R-410A, R-410B, R-417A, R-421A, R-421B, R-422A, R-422B, R-422C, R-422D, R-424A, R-426A, R-428A, R-434A, R-437A, R-438A, R-507A, RS-24 (2002 formulation), RS-44 (2003 formulation), SP34E, and THR-03
                  Unacceptable as of January 1, 2021
                  These refrigerants have GWPs ranging from approximately 900 to 3,985. Other alternatives will be available for this end-use with lower overall risk to human health and the environment by the status change date.

                  Positive displacement chillers (new only)
                  FOR12A, FOR12B, HFC-134a, HFC-227ea, KDD6, R-125/134a/600a (28.1/70/1.9), R-125/290/134a/600a (55.0/1.0/42.5/1.5), R-404A, R-407C, R-410A, R-410B, R-417A, R-421A, R-422B, R-422C, R-422D, R-424A, R-434A, R-437A, R-438A, R-507A, RS-44 (2003 composition), SP34E, and THR-03
                  Unacceptable as of January 1, 2024 except where allowed under a narrowed use limit
                  These refrigerants have GWPs ranging from approximately 900 to 3,985. Other alternatives will be available for this end-use with lower overall risk to human health and the environment by the status change date.

                  Positive displacement chillers (new only)
                  Propylene (R-1270) and R-443A
                  Unacceptable as of January 3, 2017
                  These refrigerants are highly photochemically reactive in the lower atmosphere and may deteriorate local air quality (that is, may increase ground level ozone). Other alternatives are available for this end-use with lower overall risk to human health and the environment.

                  Residential and light commercial air conditioning and heat pumps (new only)
                  Propylene (R-1270) and R-443A
                  Unacceptable as of January 3, 2017
                  These refrigerants are highly photochemically reactive in the lower atmosphere and may deteriorate local air quality (that is, may increase ground level ozone). Other alternatives are available for this end-use with lower overall risk to human health and the environment.

                  Residential and light commercial air conditioning—unitary split AC systems and heat pumps (retrofit only)
                  All refrigerants identified as flammability Class 3 in ANSI/ASHRAE Standard 34-2013 1 2 3
                    All refrigerants meeting the criteria for flammability Class 3 in ANSI/ASHRAE Standard 34-2013. This includes, but is not limited to, refrigerant products sold under the names R-22a, 22a, Blue Sky 22a refrigerant, Coolant Express 22a, DURACOOL-22a, EC-22, Ecofreeez EF-22a, Envirosafe 22a, ES-22a, Frost 22a, HC-22a, Maxi-Fridge, MX-22a, Oz-Chill 22a, Priority Cool, and RED TEK 22a

                  Unacceptable as of January 3, 2017
                  These refrigerants are highly flammable and present a flammability risk when used in equipment designed for nonflammable refrigerants. Other alternatives are available for this end-use with lower overall risk to human health and the environment.

                  Retail food refrigeration (refrigerated food processing and dispensing equipment) (new only)
                  HFC-227ea, KDD6, R-125/290/134a/600a (55.0/1.0/42.5/1.5), R-404A, R-407A, R-407B, R-407C, R-407F, R-410A, R-410B, R-417A, R-421A, R-421B, R-422A, R-422B, R-422C, R-422D, R-424A, R-428A, R-434A, R-437A, R-438A, R-507A, RS-44 (2003 formulation)
                  Unacceptable as of January 1, 2021
                  These refrigerants have GWPs ranging from approximately 1,770 to 3,990. Other alternatives will be available for this end-use with lower overall risk to human health and the environment by the status change date.

                  1 The Director of the Federal Register approves this incorporation by reference (5 U.S.C. 552(a) and 1 CFR part 51). You may inspect a copy at U.S. EPA's Air and Radiation Docket; EPA West Building, Room 3334, 1301 Constitution Ave. NW., Washington, DC or at the National Archives and Records Administration (NARA). For questions regarding access to this standard, the telephone number of EPA's Air and Radiation Docket is 202-566-1742. 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.

                  2 You may obtain this material from: American Society of Heating, Refrigerating and Air-Conditioning Engineers (ASHRAE) 6300 Interfirst Drive, Ann Arbor, MI 48108; 1-800-527-4723 in the U.S. or Canada; http://www.techstreet.com/ashrae/ashrae_standards.html?ashrae_auth_token=.

                  3 ANSI/ASHRAE Standard 34-2013, Designation and Safety Classification of Refrigerants, 2013.

                Foam Blowing Agents—Substitutes Acceptable Subject to Narrowed Use Limits

                  End-use
                  Substitutes
                  Decision
                  Narrowed use limits
                  Further information

                  Rigid PU: Spray foam—high-pressure two-component
                  HFC-134a, HFC-245fa, and blends thereof; blends of HFC-365mfc with at least four percent HFC-245fa, and commercial blends of HFC-365mfc with seven to 13 percent HFC-227ea and the remainder HFC-365mfc; and Formacel TI
                  Acceptable subject to narrowed use limits
                  Acceptable from January 1, 2020, until January 1, 2025, only in military or space- and aeronautics-related applications where reasonable efforts have been made to ascertain that other alternatives are not technically feasible due to performance or safety requirementsClosed cell foam products and products containing closed cell foams manufactured with these substitutes on or before January 1, 2025, may be used after that date

                  Users are required to document and retain the results of their technical investigation of alternatives for the purpose of demonstrating compliance. Information should include descriptions of:• Process or product in which the substitute is needed;
                    • Substitutes examined and rejected;
                    • Reason for rejection of other alternatives, e.g., performance, technical or safety standards; and/or
                    • Anticipated date other substitutes will be available and projected time for switching.

                  Rigid PU: Spray foam—low-pressure two-component
                  HFC-134a, HFC-245fa, and blends thereof; blends of HFC-365mfc with at least four percent HFC-245fa, and commercial blends of HFC-365mfc with seven to 13 percent HFC-227ea and the remainder HFC-365mfc; and Formacel TI
                  Acceptable subject to narrowed use limits
                  Acceptable from January 1, 2021, until January 1, 2025, only in military or space- and aeronautics-related applications where reasonable efforts have been made to ascertain that other alternatives are not technically feasible due to performance or safety requirementsLow pressure two-component spray foam kits manufactured with these substitutes on or before January 1, 2025, for military or space- and aeronautics-related applications may be used after that date

                  Users are required to document and retain the results of their technical investigation of alternatives for the purpose of demonstrating compliance. Information should include descriptions of:• Process or product in which the substitute is needed;
                    • Substitutes examined and rejected;
                    • Reason for rejection of other alternatives, e.g., performance, technical or safety standards; and/or
                    • Anticipated date other substitutes will be available and projected time for switching.

                Foam Blowing Agents—Unacceptable Substitutes

                  End-use
                  Substitutes
                  Decision
                  Further information

                  Flexible PU
                  Methylene chloride
                  Unacceptable as of January 3, 2017
                  Methylene chloride is a carcinogen and may present a toxicity risk. Other alternatives are available for this end-use with lower overall risk to human health and the environment.

                  Rigid PU: Spray foam—one component foam sealants
                  HFC-134a, HFC-245fa, and blends thereof; blends of HFC-365mfc with at least four percent HFC-245fa, and commercial blends of HFC-365mfc with seven to 13 percent HFC-227ea and the remainder HFC-365mfc; and Formacel TI
                  Unacceptable as of January 1, 2020One-component foam sealant cans manufactured with these substitutes on or before January 1, 2020, may be used after that date

                  These foam blowing agents have GWPs ranging from higher than 730 to approximately 1,500. Other alternatives will be available for this end-use with lower overall risk to human health and the environment by the status change date.

                  Rigid PU: Spray foam—high-pressure two-component
                  HFC-134a, HFC-245fa, and blends thereof; blends of HFC-365mfc with at least four percent HFC-245fa, and commercial blends of HFC-365mfc with seven to 13 percent HFC-227ea and the remainder HFC-365mfc; and Formacel TI
                  Unacceptable as of January 1, 2020, except where allowed under a narrowed use limit. Closed cell foam products and products containing closed cell foams manufactured with these substitutes on or before January 1, 2020, may be used after that date
                  These foam blowing agents have GWPs ranging from higher than 730 to approximately 1,500. Other alternatives will be available for this end-use with lower overall risk to human health and the environment by the status change date.

                  Rigid PU: Spray foam—low-pressure two-component
                  HFC-134a, HFC-245fa, and blends thereof; blends of HFC-365mfc with at least four percent HFC-245fa, and commercial blends of HFC-365mfc with seven to 13 percent HFC-227ea and the remainder HFC-365mfc; and Formacel TI
                  Unacceptable as of January 1, 2021, except where allowed under a narrowed use limitLow pressure two-component spray foam kits manufactured with these substitutes on or before January 1, 2025, may be used after that date

                  These foam blowing agents have GWPs ranging from higher than 730 to approximately 1,500. Other alternatives will be available for this end-use with lower overall risk to human health and the environment by the status change date.

                Fire Suppression and Explosion Protection Agents—Acceptable Subject to Use Conditions

                  End-use
                  Substitute
                  Decision
                  Use conditions
                  Further information

                  Streaming
                  2-BTP
                  Acceptable, subject to use conditions
                  As of January 3, 2017, acceptable only for use in handheld extinguishers in aircraft
                  This fire suppressant has a relatively low GWP of 0.23-0.26 and a short atmospheric lifetime of approximately seven days.This agent is subject to requirements contained in a Toxic Substance Control Act (TSCA) section 5(e) Consent Order and any subsequent TSCA section 5(a)(2) Significant New Use Rule (SNUR).
                    For establishments manufacturing, installing and maintaining handheld extinguishers using this agent:
                    (1) Use of this agent should be used in accordance with the latest edition of NFPA Standard 10 for Portable Fire Extinguishers;
                    (2) In the case that 2-BTP is inhaled, person(s) should be immediately removed and exposed to fresh air; if breathing is difficult, person(s) should seek medical attention;
                    (3) Eye wash and quick drench facilities should be available. In case of ocular exposure, person(s) should immediately flush the eyes, including under the eyelids, with fresh water and move to a non-contaminated area;
                    (4) Exposed person(s) should remove all contaminated clothing and footwear to avoid irritation, and medical attention should be sought if irritation develops or persists;
                    (5) Although unlikely, in case of ingestion of 2-BTP, the person(s) should consult a physician immediately;
                    (6) Manufacturing space should be equipped with specialized engineering controls and well ventilated with a local exhaust system and low-lying source ventilation to effectively mitigate potential occupational exposure; regular testing and monitoring of the workplace atmosphere should be conducted;
                    (7) Employees responsible for chemical processing should wear the appropriate PPE, such as protective gloves, tightly sealed goggles, protective work clothing, and suitable respiratory protection in case of accidental release or insufficient ventilation;
                    (8) All spills should be cleaned up immediately in accordance with good industrial hygiene practices; and
                    (9) Training for safe handling procedures should be provided to all employees that would be likely to handle containers of the agent or extinguishing units filled with the agent.

                  Total flooding
                  2-BTP
                  Acceptable, subject to use conditions
                  As of January 3, 2017, acceptable only for use in engine nacelles and auxiliary power units on aircraft
                  This fire suppressant has a relatively low GWP of 0.23-0.26 and a short atmospheric lifetime of approximately seven days.This agent is subject to requirements contained in a TSCA section 5(e) Consent Order and any subsequent TSCA section 5(a)(2) SNUR.
                    For establishments manufacturing, installing, and servicing engine nacelles and auxiliary power units on aircraft using this agent:
                    (1) This agent should be used in accordance with the safety guidelines in the latest edition of the National Fire Protection Association (NFPA) 2001 Standard for Clean Agent Fire Extinguishing Systems;
                    (2) In the case that 2-BTP is inhaled, person(s) should be immediately removed and exposed to fresh air; if breathing is difficult, person(s) should seek medical attention;
                    (3) Eye wash and quick drench facilities should be available. In case of ocular exposure, person(s) should immediately flush the eyes, including under the eyelids, with fresh water and move to a non-contaminated area.
                    (4) Exposed person(s) should remove all contaminated clothing and footwear to avoid irritation, and medical attention should be sought if irritation develops or persists;
                    (5) Although unlikely, in case of ingestion of 2-BTP, the person(s) should consult a physician immediately;
                    (6) Manufacturing space should be equipped with specialized engineering controls and well ventilated with a local exhaust system and low-lying source ventilation to effectively mitigate potential occupational exposure; regular testing and monitoring of the workplace atmosphere should be conducted;
                    (7) Employees responsible for chemical processing should wear the appropriate PPE, such as protective gloves, tightly sealed goggles, protective work clothing, and suitable respiratory protection in case of accidental release or insufficient ventilation;
                    (8) All spills should be cleaned up immediately in accordance with good industrial hygiene practices;
                    (9) Training for safe handling procedures should be provided to all employees that would be likely to handle containers of the agent or extinguishing units filled with the agent;
                    (10) Safety features that are typical of total flooding systems such as pre-discharge alarms, time delays, and system abort switches should be provided, as directed by applicable OSHA regulations and NFPA standards; use of this agent should also conform to relevant OSHA requirements, including 29 CFR 1910, subpart L, sections 1910.160 and 1910.162.

              [81 FR 86889, Dec. 1, 2016]

            Subpart H—Halon Emissions Reduction

              Source:
              63 FR 11096, Mar. 5, 1998, unless otherwise noted.

              § 82.250
              Purpose and scope.
              (a) The purpose of this subpart is to reduce the emissions of halon in accordance with section 608 of the Clean Air Act by banning the manufacture of halon blends; banning the intentional release of halons during repair, testing, and disposal of equipment containing halons and during technician training; requiring organizations that employ technicians to provide emissions reduction training; and requiring proper disposal of halons and equipment containing halons.
              (b) This subpart applies to any person testing, servicing, maintaining, repairing or disposing of equipment that contains halons or using such equipment during technician training. This subpart also applies to any person disposing of halons; to manufacturers of halon blends; and to organizations that employ technicians who service halon-containing equipment.

              § 82.260
              Definitions.

                Halon-containing equipment means equipment used to store, transfer, and/or disperse halon.

                Disposal of halon means the process leading to and including discarding of halon from halon-containing equipment.

                Disposal of halon-containing equipment means the process leading to and including:
              (1) The discharge, deposit, dumping or placing of any discarded halon-containing equipment into or on any land or water;
              (2) The disassembly of any halon-containing equipment for discharge, deposit, or dumping or placing of its discarded component parts into or on any land or water; or
              (3) The disassembly of any halon-containing equipment for reuse of its component parts.

                Halon means any of the Class I, Group II substances listed in subpart A, appendix A of 40 CFR part 82. This group consists of the three halogenated hydrocarbons known as Halon 1211, Halon 1301, and Halon 2402, and all isomers of these chemicals.

                Halon product means any mixture or combination of substances that contains only one halon (e.g., Halon 1301 plus dinitrogen gas (N2))

                Halon blend means any mixture or combination of substances that contains two or more halons.

                Manufacturer means any person engaged in the direct manufacture of halon, halon blends or halon-containing equipment.

                Person means any individual or legal entity, including an individual, corporation, partnership, association, state, municipality, political subdivision of a state, Indian tribe, and any agency, department, or instrumentality of the United States, and any officer, agent, or employee thereof.

                Technician means any person who performs testing, maintenance, service, or repair that could reasonably be expected to release halons from equipment into the atmosphere. Technician also means any person who performs disposal of equipment that could reasonably be expected to release halons from the equipment into the atmosphere. Technician includes but is not limited to installers, contractor employees, in-house service personnel, and in some cases, owners.

              § 82.270
              Prohibitions.
              (a) Effective April 6, 1998 no person may newly manufacture any halon blend. Halon blends manufactured solely for the purpose of aviation fire protection are not subject to this prohibition, provided that:
              (1) The manufacturer or its designee is capable of recycling the blend to the relevant industry standards for the chemical purity of each individual halon;
              (2) The manufacturer includes in all sales contracts for blends produced by it on or after April 6, 1998 the provision that the blend must be returned to it or its designee for recycling; and

              (3) The manufacturer or its designee in fact recycles blends produced by the manufacturer on or after April 6, 1998 and returned to it for recycling to the relevant industry standards for the chemical purity of each individual halon.
              (b) Effective April 6, 1998, no person testing, maintaining, servicing, repairing, or disposing of halon-containing equipment or using such equipment for technician training may knowingly vent or otherwise release into the environment any halons used in such equipment.
              (1) De minimis releases associated with good faith attempts to recycle or recover halon are not subject to this prohibition.

              (2) Release of residual halon contained in fully discharged total flooding fire extinguishing systems would be considered a de minimis release associated with good faith attempts to recycle or recover halon.
              (3) Release of halons during testing of fire extinguishing systems is not subject to this prohibition if the following four conditions are met:
              (i) Systems or equipment employing suitable alternative fire extinguishing agents are not available;
              (ii) System or equipment testing requiring release of extinguishing agent is essential to demonstrate system or equipment functionality;
              (iii) Failure of the system or equipment would pose great risk to human safety or the environment; and
              (iv) A simulant agent cannot be used in place of the halon during system or equipment testing for technical reasons.
              (4) Releases of halons associated with research and development of halon alternatives, and releases of halons necessary during analytical determination of halon purity using established laboratory practices are exempt from this prohibition.
              (5) This prohibition does not apply to qualification and development testing during the design and development process of halon-containing systems or equipment when such tests are essential to demonstrate system or equipment functionality and when a suitable simulant agent can not be used in place of the halon for technical reasons.
              (6) This prohibition does not apply to the emergency release of halons for the legitimate purpose of fire extinguishing, explosion inertion, or other emergency applications for which the equipment or systems were designed.
              (c) Effective April 6, 1998, organizations that employ technicians who test, maintain, service, repair or dispose of halon-containing equipment shall take appropriate steps to ensure that technicians hired on or before April 6, 1998 will be trained regarding halon emissions reduction by September 1, 1998. Technicians hired after April 6, 1998 shall be trained regarding halon emissions reduction within 30 days of hiring, or by September 1, 1998, whichever is later.
              (d) Effective April 6, 1998, no person shall dispose of halon-containing equipment except by sending it for halon recovery to a manufacturer operating in accordance with NFPA 10 and NFPA 12A standards, a fire equipment dealer operating in accordance with NFPA 10 and NFPA 12A standards or a recycler operating in accordance with NFPA 10 and NFPA 12A standards. This provision does not apply to ancillary system devices such as electrical detection control components which are not necessary to the safe and secure containment of the halon within the equipment, to fully discharged total flooding systems, or to equipment containing only de minimis quantities of halons.

              (e) No person shall dispose of halon except by sending it for recycling to a recycler operating in accordance with NFPA 10 and NFPA 12A standards, or by arranging for its destruction using one of the controlled processes approved by the Parties and listed in the definition of destruction in § 82.3.
              (f) Effective April 6, 1998, no owner of halon-containing equipment shall allow halon release to occur as a result of failure to maintain such equipment.
              [63 FR 11096, Mar. 5, 1998, as amended at 85 FR 15301, Mar. 17, 2020]

            Subpart I—Ban on Refrigeration and Air-Conditioning Appliances Containing HCFCs

              Source:
              74 FR 66467, Dec. 15, 2009, unless otherwise noted.

              § 82.300
              Purpose.
              The purpose of this subpart is to protect stratospheric ozone by restricting the sale and distribution of HCFC containing appliances under authority of section 615 of the Clean Air Act as amended in 1990.

              § 82.302
              Definitions.
              As used in this subpart, the term:

                Appliance means any device which contains and uses a refrigerant and which is used for household or commercial purposes, including any air conditioner, refrigerator, chiller, or freezer.

                Class I substance means any controlled substance designated as class I in 40 CFR part 82, appendix A to subpart A.

                Class II substance means any controlled substance designated as class II in 40 CFR part 82, appendix B to subpart A.

                Consumer, when used to describe a person taking action with regard to a product, means the ultimate purchaser, recipient or user of a product.

                Distributor, when used to describe a person taking action with regard to a product, means:
              (1) The seller of a product to a consumer or another distributor; or
              (2) A person who sells or distributes that product in interstate commerce, including sale or distribution preceding export from, or following import to, the United States.

                Hydrochlorofluorocarbon means any substance listed as class II in 40 CFR part 82, appendix B to subpart A.

                Manufactured, for an appliance, means the date on which the appliance's refrigerant circuit is complete, the appliance can function, the appliance holds a refrigerant charge, and the appliance is ready for use for its intended purposes; for a pre-charged appliance component, “manufactured” means the date that the original equipment manufacturer has physically completed assembly of the component, the component is charged with refrigerant, and the component is ready for initial sale or distribution.

                Person means any individual or legal entity, including an individual, corporation, partnership, association, State, municipality, political subdivision of a State, Indian tribe; any agency, department, or instrumentality of the United States; and any officer, agent, or employee thereof.

                Pre-charged appliance means any appliance charged with refrigerant prior to sale or distribution, or offer for sale or distribution in interstate commerce.

                Pre-charged appliance component means any portion of an appliance including but not limited to condensers, compressors, line sets, and coils that is charged with refrigerant prior to sale or distribution or offer for sale or distribution in interstate commerce.

                Product means an item or category of items manufactured from raw or recycled materials which is used to perform a function or task.

                Refrigerant means, for purposes of this subpart, any substance consisting in part or whole of a class I or class II ozone-depleting substance that is used for heat transfer purposes and provides a cooling effect.

              § 82.304
              Prohibitions.
              Effective January 1, 2010, no person may sell or distribute, or offer to sell or distribute, in interstate commerce any product identified in § 82.306.

              § 82.306
              Prohibited products.
              Effective January 1, 2010, the following products are subject to the prohibitions specified under § 82.304—
              (a) Any pre-charged appliance manufactured on or after January 1, 2010 containing HCFC-22, HCFC-142b or a blend containing one or both of these controlled substances.
              (b) Any pre-charged appliance component for air-conditioning or refrigeration appliances manufactured on or after January 1, 2010 containing HCFC-22, HCFC-142b, or a blend containing one or both of these controlled substances.

          PARTS 83-84 [RESERVED]

          Pt. 85
          PART 85—CONTROL OF AIR POLLUTION FROM MOBILE SOURCES

              Subparts A-E [Reserved]

              Subpart F—Exemption of Clean Alternative Fuel Conversions From Tampering Prohibition
              Sec.
              85.501
              General applicability.
              85.502
              Definitions.
              85.505
              Overview.
              85.510
              Exemption provisions for new and relatively new vehicles/engines.
              85.515
              Exemption provisions for intermediate age vehicles/engines.
              85.520
              Exemption provisions for outside useful life vehicles/engines.
              85.524
              Legacy standards.
              85.525
              Applicable standards.
              85.530
              Vehicle/engine labels and packaging labels.
              85.535
              Liability, recordkeeping and end of year reporting.

              Subparts G-N [Reserved]

              Subpart O—Urban Bus Rebuild Requirements
              85.1401
              General applicability.
              85.1402
              Definitions.
              85.1403
              Particulate standard for pre-1994 model year urban buses effective at time of engine rebuild or engine replacement.
              85.1404
              Maintenance of records for urban bus operators; submittal of information; right of entry.
              85.1405
              Applicability.
              85.1406
              Certification.
              85.1407
              Notification of intent to certify.
              85.1408
              Objections to certification.
              85.1409
              Warranty.
              85.1410
              Changes after certification.
              85.1411
              Labeling requirements.
              85.1412
              Maintenance and submittal of records for equipment certifiers.
              85.1413
              Decertification.
              85.1414
              Alternative test procedures.
              85.1415
              Treatment of confidential information.

              Subpart P—Importation of Motor Vehicles and Motor Vehicle Engines
              85.1501
              Applicability.
              85.1502
              Definitions.
              85.1503
              General requirements for importation of nonconforming vehicles and engines.
              85.1504
              Conditional admission.
              85.1505
              Final admission of certified vehicles.
              85.1506
              Inspection and testing of imported motor vehicles and engines.
              85.1507
              Maintenance of certificate holder's records.
              85.1508
              “In Use” inspections and recall requirements.
              85.1509
              Final admission of modification and test vehicles.
              85.1510
              Maintenance instructions, warranties, emission labeling and fuel economy requirements.
              85.1511
              Exemptions and exclusions.
              85.1512
              Admission of catalyst and O2 sensor-equipped vehicles.
              85.1513
              Prohibited acts; penalties.
              85.1514
              Treatment of confidential information.
              85.1515
              Emission standards and test procedures applicable to imported nonconforming motor vehicles and motor vehicle engines.

              Subpart Q [Reserved]

              Subpart R—Exclusion and Exemption of Motor Vehicles and Motor Vehicle Engines
              85.1701
              General applicability.
              85.1702
              Definitions.
              85.1703
              Definition of motor vehicle.
              85.1704
              Who may request an exemption.
              85.1705
              Testing exemption.
              85.1706
              Pre-certification exemption.
              85.1707
              Display exemption.
              85.1708
              National security exemption.
              85.1709
              Export exemptions.
              85.1710
              Granting of exemptions.
              85.1711
              Submission of exemption requests.
              85.1712
              Treatment of confidential information.
              85.1713—85.1714
              [Reserved]
              85.1715
              Aircraft meeting the definition of motor vehicle.
              85.1716
              Approval of an emergency vehicle field modification (EVFM).

              Subpart S—Recall Regulations
              85.1801
              Definitions.
              85.1802
              Notice to manufacturer of nonconformity; submission of Remedial Plan.
              85.1803
              Remedial Plan.
              85.1804
              Approval of Plan: Implementation.
              85.1805
              Notification to vehicle or engine owners.
              85.1806
              Records and reports.
              85.1807
              Public hearings.
              85.1808
              Treatment of confidential information.
              Appendix A to Subpart S of Part 85—Interpretive Ruling for § 85.1803—Remedial Plans

              Subpart T—Emission Defect Reporting Requirements
              85.1901
              Applicability.
              85.1902
              Definitions.
              85.1903
              Emissions defect information report.

              85.1904
              Voluntary emissions recall report; quarterly reports.
              85.1905
              Alternative report formats.
              85.1906
              Report filing: Record retention.
              85.1907
              Responsibility under other legal provisions preserved.
              85.1908
              Disclaimer of production warranty applicability.
              85.1909
              Treatment of confidential information.

              Subpart U [Reserved]

              Subpart V—Emissions Control System Performance Warranty Regulations and Voluntary Aftermarket Part Certification Program
              85.2101
              General applicability.
              85.2102
              Definitions.
              85.2103
              Emission performance warranty.
              85.2104
              Owners' compliance with instructions for proper maintenance and use.
              85.2105
              Aftermarket parts.
              85.2106
              Warranty claim procedures.
              85.2107
              Warranty remedy.
              85.2109
              Inclusion of warranty provisions in owners' manuals and warranty booklets.
              85.2110
              Submission of owners' manuals and warranty statements to EPA.
              85.2111
              Warranty enforcement.
              85.2112
              Applicability.
              85.2113
              Definitions.
              85.2114
              Basis of certification.
              85.2115
              Notification of intent to certify.
              85.2116
              Objections to certification.
              85.2117
              Warranty and dispute resolution.
              85.2118
              Changes after certification.
              85.2119
              Labeling requirements.
              85.2120
              Maintenance and submittal of records.
              85.2121
              Decertification.
              85.2122
              Emission-critical parameters.
              85.2123
              Treatment of confidential information.
              Appendix I to Subpart V of Part 85—Recommended Test Procedures and Test Criteria and Recommended Durability Procedures To Demonstrate Compliance With Emission Critical Parameters
              Appendix II to Subpart V of Part 85—Arbitration Rules

              Subpart W—Emission Control System Performance Warranty Short Tests
              85.2201
              Applicability.
              85.2207
              Onboard diagnostic test standards.
              85.2222
              Onboard diagnostic test procedures.
              85.2223
              Onboard diagnostic test report.
              85.2231
              Onboard diagnostic test equipment requirements.

              Subpart X—Determination of Model Year for Motor Vehicles and Engines Used in Motor Vehicles Under Section 177 and Part A of Title II of the Clean Air Act
              85.2301
              Applicability.
              85.2302
              Definition of model year.
              85.2303
              Duration of model year.
              85.2304
              Definition of production period.
              85.2305
              Duration and applicability of certificates of conformity.

              Subpart Y—Fees for the Motor Vehicle and Engine Compliance Program
              85.2401
              Assessment of fees.
              Appendixes I-VII to Part 85 [Reserved]
              Appendix VIII to Part 85—Vehicle and Engine Parameters and Specifications

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

            Subparts A-E [Reserved]

            Subpart F—Exemption of Clean Alternative Fuel Conversions From Tampering Prohibition

              Source:
              76 FR 19866, Apr. 8, 2011, unless otherwise noted.

              § 85.501
              General applicability.
              (a) This subpart describes the provisions related to an exemption from the tampering prohibition in Clean Air Act section 203(a) (42 U.S.C. 7522(a)) for light-duty vehicles, light-duty trucks, medium-duty passenger vehicles, heavy-duty vehicles, and heavy-duty engines. This subpart F does not apply for highway motorcycles or for nonroad or stationary engines or equipment.
              (b) For purposes of this subpart, the term “you” generally means a clean alternative fuel conversion manufacturer, which may also be called “conversion manufacturer” or “converter”.

              § 85.502
              Definitions.

              The definitions in this section apply to this subpart. All terms that are not defined in this subpart have the meaning given in 40 CFR part 86. All terms that are not defined in this subpart or in 40 CFR part 86 have the meaning given in the Clean Air Act. The definitions follow:

                Clean alternative fuel conversion (or “fuel conversion” or “conversion system”) means any alteration of a motor vehicle/engine, its fueling system, or the integration of these systems, that allows the vehicle/engine to operate on a fuel or power source different from the fuel or power source for which the vehicle/engine was originally certified; and that is designed, constructed, and applied consistent with good engineering judgment and in accordance with all applicable regulations. A clean alternative fuel conversion also means the components, design, and instructions to perform this alteration.

                Clean alternative fuel conversion manufacturer (or “conversion manufacturer” or “converter”) means any person that manufactures, assembles, sells, imports, or installs a motor vehicle/engine fuel conversion for the purpose of use of a clean alternative fuel.

                Conversion model year means the clean alternative fuel conversion manufacturer's annual production period which includes January 1 of such calendar year. A specific model year may not include January 1 from the previous year or the following year. This is based on the expectation that production periods generally run on consistent schedules from year to year. Conversion model years may not circumvent or skip an annual production period. The term conversion model year means the calendar year if the converter does not have a different annual production period.

                Date of conversion means the date on which the clean alternative fuel conversion system is fully installed and operable.

                Dedicated vehicle/engine means any vehicle/engine engineered and designed to be operated using a single fuel.

                Dual-fuel vehicle/engine means any vehicle/engine engineered and designed to be operated on two or more different fuels, but not on a mixture of the fuels.

                Heavy-duty engines describes all engines intended for use in heavy-duty vehicles, covered under the applicability of 40 CFR part 86, subpart A.

                Light-duty and heavy-duty chassis certified vehicles describes all light-duty vehicles, light-duty trucks, medium duty passenger vehicles, and heavy-duty complete and incomplete vehicles covered under the applicability of 40 CFR part 86, subpart S.

                Mixed-fuel vehicle/engine means any vehicle/engine engineered and designed to be operated on the original fuel(s), alternative fuel(s), or a mixture of two or more fuels that are combusted together. Mixed-fuel vehicles/engines include flexible-fuel vehicles/engines as defined in 40 CFR part 86 subpart S.

                Original equipment manufacturer (OEM) means the original manufacturer of the new vehicle/engine or relating to the vehicle/engine in its original certified configuration.

                Original model year means the model year in which a vehicle/engine was originally certified by the original equipment manufacturer, as noted on the certificate and on the emission control information label.

                We (us, our) means the Administrator of the Environmental Protection Agency or any authorized representative.

              § 85.505
              Overview.
              (a) You are exempted from the tampering prohibition in Clean Air Act section 203(a)(3) (42 U.S.C. 7522)(a)(3) (“tampering”) if you satisfy all the provisions of this subpart.
              (b) The tampering exemption provisions described in this subpart are differentiated based on the age of the vehicle/engine at the point of conversion as follows:

              (1) “New and relatively new” refers to a vehicle/engine where the date of conversion is in a calendar year that is not more than one year after the original model year. See § 85.510 for provisions that apply specifically to new and relatively new vehicles/engines.

              (2) “Intermediate age” refers to a vehicle/engine that has not exceeded the useful life (in years, miles, or hours of operation) applicable to the vehicle/engine as originally certified, excluding new and relatively new vehicles/engines. See § 85.515 for provisions that apply specifically to intermediate-age vehicles/engines.

              (3) “Outside useful life” refers to any vehicle/engine that has exceeded the useful life (in years, miles, or hours of operation) applicable to the vehicle/engine as originally certified. See § 85.520 for provisions that apply specifically to outside useful life vehicles/engines.

              (c) If the converted vehicle/engine is a dual-fuel or mixed-fuel vehicle/engine, you must submit test data using each type of fuel, except that if you wish to certify to the same standards as the OEM vehicle/engine, you may omit testing for the fuel originally used to certify the vehicle/engine if you comply with § 85.510(b)(10)(ii), (iii), and (iv), § 85.515(b)(10)(iii)(B), (C), and (D), or § 85.520(b)(6)(iii)(B), (C), and (D), as applicable.
              (d) This subpart specifies certain reporting requirements. We may ask you to give us more information than we specify in this subpart to determine whether your vehicles/engines conform to the requirements of this subpart. We may ask you to give us less information or do less testing than we specify in this subpart.
              (e) EPA may require converters to submit vehicles/engines for EPA testing under any of the three age based programs. Under § 85.510 or § 85.515, if a vehicle/engine is selected for confirmatory testing as part of the demonstration and notification process, the vehicle/engines must satisfy the applicable intermediate and full useful life standards using the appropriate deterioration factors to qualify for an exemption from the tampering prohibition. If an outside useful life vehicle/engine is selected for testing, the vehicle/engine must demonstrate that emissions are maintained or improved upon after conversion to qualify for an exemption from the tampering prohibition.
              (f) If you have previously used small volume conversion manufacturer or qualified small volume test group/engine family procedures and you may exceed the volume thresholds using the sum described in § 85.535(f) to determine small volume status in 40 CFR 86.1838-01, 40 CFR 86.098-14, and 40 CFR 86.096-24(e)(2) as appropriate, you must satisfy the requirements for conversion manufacturers who do not qualify for small volume exemptions or your exemption from tampering is no longer valid.
              (g) An exemption from the prohibition on tampering applies to previously issued alternative fuel conversion certificates of conformity for the applicable conversion test group/engine family and/or evaporative/refueling family, as long as the conditions under which the certificate was issued remain unchanged, such as small volume manufacturer or qualified small volume test group/engine family status. Your exemption from tampering is valid only if the conversion is installed on the OEM test groups/engine families and/or evaporative emissions/refueling families listed on the certificate.
              (h) The applicable useful life of a clean alternative fuel converted vehicle/engine shall end at the same time the OEM vehicle's/engine's original useful life ends.

              § 85.510
              Exemption provisions for new and relatively new vehicles/engines.
              (a) You are exempted from the tampering prohibition with respect to new and relatively new vehicles/engines if you certify the conversion system to the emission standards specified in § 85.525 as described in paragraph (b) in this section; you meet the labeling and packaging requirements in § 85.530 before you sell, import or otherwise facilitate the use of a clean alternative fuel conversion system; and you meet the liability, recordkeeping, and end of year reporting requirements in § 85.535.
              (b) Certification under this section must be based on the certification procedures such as those specified in 40 CFR part 86, subparts A, B, and S and 40 CFR part 1065, as applicable, subject to the following exceptions and special provisions:
              (1) Test groups and evaporative/refueling families for light-duty and heavy-duty chassis certified vehicles.
              (i) Small volume conversion manufacturers and qualified small volume test groups.
              (A) If criteria for small volume manufacturer or qualified small volume test groups are met as defined in 40 CFR 86.1838-01, you may combine light-duty vehicles or heavy-duty vehicles which can be chassis certified under 40 CFR part 86, subpart S using good engineering judgment into conversion test groups if the following criteria are satisfied instead of those specified in 40 CFR 86.1827-01.
              (1) Same OEM and OEM model year.
              (2) Same OBD group.
              (3) Same vehicle classification (e.g. light-duty vehicle, heavy-duty vehicle).

              (4) Engine displacement is within 15% of largest displacement or 50 CID, whichever is larger.
              (5) Same number of cylinders or combustion chambers.
              (6) Same arrangement of cylinders or combustion chambers (e.g. in-line, v-shaped).
              (7) Same combustion cycle (e.g., two stroke, four stroke, Otto-cycle, diesel-cycle).
              (8) Same engine type (e.g. piston, rotary, turbine, air cooled vs. water cooled).
              (9) Same OEM fuel type (except otherwise similar gasoline and E85 flexible-fuel vehicles may be combined into dedicated alternative fuel vehicles).
              (10) Same fuel metering system (e.g. throttle body injection vs. port injection).
              (11) Same catalyst construction (e.g. metal vs. ceramic substrate).
              (12) All converted vehicles are subject to the most stringent emission standards used in certifying the OEM test groups within the conversion test group.
              (B) EPA-established scaled assigned deterioration factors for both exhaust and evaporative emissions may be used for vehicles with over 10,000 miles if the criteria for small volume manufacturer or qualified small volume test groups are met as defined in 40 CFR 86.1838-01. This deterioration factor will be adjusted according to vehicle or engine miles of operation. The deterioration factor is intended to predict the vehicle's emission levels at the end of the useful life. EPA may adjust these scaled assigned deterioration factors if we find the rate of deterioration non-constant or if the rate differs by fuel type.
              (C) As part of the conversion system description provided in the application for certification, conversion manufacturers using EPA assigned deterioration factors must present detailed information to confirm the durability of all relevant new and existing components and to explain why the conversion system will not harm the emission control system or degrade the emissions.
              (ii) Conversion evaporative/refueling families are identical to the OEM evaporative/refueling families unless the OEM evaporative emission system is no longer functionally necessary. You must create any new evaporative families according to 40 CFR 86.1821-01.
              (2) Engine families and evaporative/refueling families for heavy-duty engines.
              (i) Small volume conversion manufacturers and qualified small volume heavy-duty engine families.
              (A) If criteria for small volume manufacturer or qualified small volume engine families are met as defined in 40 CFR 86.098-14 and 40 CFR 86.096-24(e)(2) you may combine heavy-duty engines using good engineering judgment into conversion engine families if the following criteria are satisfied instead of those specified in 40 CFR part 86, subpart A.
              (1) Same OEM.
              (2) Same OBD group after MY 2013.
              (3) Same service class (e.g. light heavy-duty diesel engines, medium heavy-duty diesel engines, heavy heavy-duty diesel engines).
              (4) Engine displacement is within 15% of largest displacement or 50 CID, whichever is larger.
              (5) Same number of cylinders.
              (6) Same arrangement of cylinders.
              (7) Same combustion cycle.
              (8) Same method of air aspiration.
              (9) Same fuel type (e.g. diesel/gasoline).
              (10) Same fuel metering system (e.g. mechanical direct or electronic direct injection).
              (11) Same catalyst/filter construction (e.g. metal vs. ceramic substrate).
              (12) All converted engines are subject to the most stringent emission standards. For example, 2005 and 2007 heavy-duty diesel engines may be in the same family if they meet the most stringent (2007) standards.
              (13) Same emission control technology (e.g., internal or external EGR).

              (B) EPA-established scaled assigned deterioration factors for both exhaust and evaporative emissions may be used for engines with over 10,000 miles if the criteria for small volume manufacturer or qualified small volume engine families are met as defined in 40 CFR 86.098-14 and 40 CFR 86.096-24(e)(2). This deterioration factor will be adjusted according to vehicle or engine miles of operation. The deterioration factor is intended to predict the engine's emission levels at the end of the useful life. EPA may adjust these scaled assigned deterioration factors if we find the rate of deterioration non-constant or if the rate differs by fuel type.
              (C) As part of the conversion system description provided in the application for certification, conversion manufacturers using EPA assigned deterioration factors must present detailed information to confirm the durability of all relevant new and existing components and to explain why the conversion system will not harm the emission control system or degrade the emissions.
              (ii) Conversion evaporative/refueling families are identical to the OEM evaporative/refueling families unless the OEM evaporative emission system is no longer functionally necessary. You must create any new evaporative families according to 40 CFR 86.096-24(a).
              (3) Conversion test groups/engine families for small volume conversion manufacturers and qualified small volume test groups/engine families may include vehicles/engines that are subject to different OEM emission standards; however, all the vehicles/engines certified under this subpart in a single conversion test group/engine family are subject to the most stringent standards that apply for vehicles/engines included in the conversion test group/engine family. For example, if OEM vehicle test groups originally certified to Tier 2, Bin 4 and Bin 5 standards are in the same conversion test group for purposes of fuel conversion, all the vehicles certified in the conversion test group under this subpart are subject to the Tier 2, Bin 4 standards. Conversion manufacturers may choose to certify a conversion test group/engine family to a more stringent standard than the OEM did. The optional, more stringent standard would then apply to all OEM test groups/engine families within the conversion test group/engine family. This paragraph (b)(3) does not apply to conversions to dual-fuel/mixed-fuel vehicles/engines, as provided in paragraph (b)(7) of this section.
              (4)-(5) [Reserved]
              (6) Durability testing is required unless the criteria for small volume manufacturer or qualified small volume test groups/engine families are met as defined in 40 CFR 86.1838-01, 40 CFR 86.098-14, and 40 CFR 86.096-24(e)(2), as applicable.
              (7) Conversion test groups/engine families for conversions to dual-fuel or mixed-fuel vehicles/engines cannot include vehicles/engines subject to different emission standards unless applicable exhaust and OBD demonstrations are also conducted for the original fuel(s) demonstrating compliance with the most stringent standard represented in the test group. However for small volume conversion manufacturers and qualified small volume test groups/engine families the data generated from exhaust emission testing on the new fuel for dual-fuel or mixed-fuel test vehicles/engines may be carried over to vehicles/engines which otherwise meet the test group/engine family criteria and for which the test vehicle/engine data demonstrate compliance with the application vehicle/engine standard. Clean alternative fuel conversion evaporative families for dual-fuel or mixed-fuel vehicles may not include vehicles/engines which were originally certified to different evaporative emissions standards unless evaporative/refueling demonstrations are also conducted for the original fuel(s) demonstrating compliance with the most stringent standard represented in the evaporative/refueling family.
              (8) The vehicle/engine selected for testing must qualify as a worst-case vehicle/engine under 40 CFR 86.1828-10 or 40 CFR 86.096-24(b)(2) through (b)(3), as applicable.
              (9) OBD requirements. (i) The OBD system must properly detect and identify malfunctions in all monitored emission-related powertrain systems or components including any new monitoring capability necessary to identify potential emission problems associated with the new fuel.
              (ii) Conduct all OBD testing necessary to demonstrate compliance with 40 CFR 86.010-18 or 86.1806-05.

              (iii) Submit the applicable OBD reporting requirements set forth in 40 CFR part 86, subparts A and S, and submit the following statement of compliance if the OEM vehicles/engines were required to be OBD-equipped:

              The test group/engine family converted to an alternative fuel has fully functional OBD systems and therefore meets the OBD requirements specified in 40 CFR part 86 when operating on the alternative fuel.
              (10) In lieu of specific certification test data, you may submit the following attestations for the appropriate statements of compliance, if you have sufficient basis to prove the statement is valid.
              (i) The test group/engine family converted to an alternative fuel has properly exercised the optional and applicable statements of compliance or waivers in the certification regulations such as those specified in 40 CFR part 86, subparts A, B, and S and 40 CFR part 1065. Attest to each statement or waiver in your application for certification.
              (ii) The test group/engine family converted to dual-fuel or mixed-fuel operation retains all the OEM fuel system, engine calibration, and emission control system functionality when operating on the fuel with which the vehicle/engine was originally certified.
              (iii) The test group/engine family converted to dual fuel or mixed-fuel operation retains all the functionality of the OEM OBD system (if so equipped) when operating on the fuel with which the vehicle/engine was originally certified.
              (iv) The test group/engine family converted to dual-fuel or mixed-fuel operation properly purges hydrocarbon vapor from the evaporative emission canister when the vehicle/engine is operating on the alternative fuel.
              (11) Certification fees apply per 40 CFR 1027.
              (12) A certificate issued under this section is valid starting with the indicated effective date and expires on December 31 of the conversion model year for which it is issued. You may apply for a certificate of conformity for the next conversion model year using the applicable provisions for carryover certification. Even after the certificate expires, your exemption from the prohibition on tampering remains valid for the applicable conversion test group/engine family and/or evaporative/refueling family, as long as the conditions under which the certificate was issued remain unchanged, such as small volume manufacturer or qualified small volume test group/engine family status. Your exemption from tampering is valid only if the conversion is installed on the OEM test groups/engine families and/or evaporative emissions/refueling families listed on the certificate. For example, if you have received a clean alternative fuel conversion certificate of conformity in conversion model year 2011 for converting a 2010 model year OEM test group/evaporative/refueling family, your exemption from tampering continues to apply for the conversion of the same 2010 model year OEM test group/evaporative/refueling family as long as the conditions under which the certificate was issued remain unchanged, such as small volume manufacturer status.
              (13) Conversion systems must be properly installed and adjusted such that the vehicle/engine operates consistent with the principles of good engineering judgment and in accordance with all applicable regulations.
              [76 FR 19866, Apr. 8, 2011, as amended at 79 FR 23681, Apr. 28, 2014]

              § 85.515
              Exemption provisions for intermediate age vehicles/engines.
              (a) You are exempted from the tampering prohibition with respect to intermediate age vehicles/engines if you properly test, document and notify EPA that the conversion system complies with the emission standards specified in § 85.525 as described in paragraph (b) of this section; you meet the labeling requirements in § 85.530 before you sell, import or otherwise facilitate the use of a clean alternative fuel conversion system; and you meet the liability, recordkeeping, and end of year reporting requirements in § 85.535. You may also meet the requirements under this section by complying with the requirements in § 85.510.

              (b) Documenting and notifying EPA under this section includes demonstrating compliance with all the provisions in this section and providing all notification information to EPA. You may notify us as described in this section instead of certifying the clean alternative fuel conversion system. You must demonstrate compliance with all exhaust and evaporative emissions standards by conducting all exhaust and evaporative emissions and durability testing as required for OEM certification subject to the exceptions and special provisions permitted in § 85.510. This paragraph (b) provides additional special provisions applicable to intermediate age vehicles/engines. Paragraph (b) is applicable to all conversion manufacturers unless otherwise specified.
              (1) Conversion test groups for light-duty and heavy-duty chassis certified vehicles may be grouped together into an exhaust conversion test group using the criteria described in § 85.510(b)(1)(i)(A), except that the same OBD group is not a criterion. Evaporative/refueling families may be grouped together using the criteria described in § 85.510(b)(1)(ii).
              (2) Conversion engine families for heavy-duty engines may be grouped together into an exhaust conversion engine family using the criteria described in § 85.510(b)(2)(i)(A), except that the same OBD group is not a criterion. Evaporative/refueling families may be grouped together using the criteria described in § 85.510(b)(2)(ii).
              (3) Conversion test groups/engine families may include vehicles/engines that are subject to different OEM emission standards; however, all vehicles/engines in a single conversion test group/engine family are subject to the most stringent standards that apply for vehicles/engines included in the conversion test group/engine family. For example, if OEM vehicle test groups originally certified to Tier 2, Bin 4 and Bin 5 standards are in the same conversion test group for purposes of fuel conversion, all the vehicles in the conversion test group under this subpart are subject to the Tier 2, Bin 4 standards. This paragraph (b)(3) does not apply to conversions to dual-fuel/mixed-fuel vehicles/engines, as provided in paragraph (b)(7).
              (4) EPA-established scaled assigned deterioration factors for both exhaust and evaporative emissions may be used for vehicles/engines with over 10,000 miles if the criteria for small volume manufacturer or qualified small volume test groups/engine families are met as defined in 40 CFR 86.1838-01, 40 CFR 86.098-14, or 40 CFR 86.096-24(e)(2), as appropriate. This deterioration factor will be adjusted according to vehicle/engine miles or hours of operation. The deterioration factor is intended to predict the vehicle/engine's emission level at the end of the useful life. EPA may adjust these scaled assigned deterioration factors if we find the rate of deterioration non-constant or if the rate differs by fuel type.
              (5) As part of the conversion system description required by paragraph (b)(10)(i) of this section, small volume conversion manufacturers and qualified small volume test groups/engine families using EPA assigned deterioration factors must present detailed information to confirm the durability of all relevant new and existing components and explain why the conversion system will not harm the emission control system or degrade the emissions.
              (6) Durability testing is required unless the criteria for small volume manufacturer or qualified small volume test groups/engine families are met as defined in 40 CFR 86.1838-01, 40 CFR 86.098-14, or 40 CFR 86.096-24(e)(2), as applicable. Durability procedures for large volume conversion manufacturers of intermediate age light-duty and heavy-duty chassis certified vehicles that follow provisions in 40 CFR 86.1820-01 may eliminate precious metal composition and catalyst grouping statistic when creating clean alternative fuel conversion durability groupings.

              (7) Conversion test groups/engine families for conversions to dual-fuel or mixed-fuel vehicles/engines may not include vehicles/engines subject to different emissions standards unless applicable exhaust and OBD demonstrations are also conducted for the original fuel(s) demonstrating compliance with the most stringent standard represented in the test group/engine family. However the data generated from testing on the new fuel for dual-fuel or mixed/fuel test vehicles/engines may be carried over to vehicles/engines that otherwise meet the conversion test group/engine family criteria and for which the test vehicle/engine data demonstrate compliance with the applicable vehicle/engine standards. Clean alternative fuel conversion evaporative families for dual-fuel or mixed-fuel vehicles/engines cannot include vehicles/engines that were originally certified to different evaporative emissions standards unless evaporative/refueling demonstrations are also conducted for the original fuel(s) demonstrating compliance with the most stringent standard represented in the evaporative/refueling family.
              (8) You must conduct all exhaust and all evaporative and refueling emissions testing with a worst-case vehicle/engine to show that the conversion test group/engine family complies with exhaust and evaporative/refueling emission standards, based on the certification procedures such as those specified in 40 CFR part 86, subparts A, B, and S and 40 CFR part 1065.
              (9) OBD requirements. (i) The OBD system must properly detect and identify malfunctions in all monitored emission-related powertrain systems or components including any new monitoring capability necessary to identify potential emission problems associated with the new fuel. These include but are not limited to: Fuel trim lean and rich monitors, catalyst deterioration monitors, engine misfire monitors, oxygen sensor deterioration monitors, EGR system monitors, if applicable, and vapor leak monitors, if applicable. No original OBD system monitor that is still applicable to the vehicle/engine may be aliased, removed, bypassed, or turned-off. No MILs shall be illuminated after the conversion. Readiness flags must be properly set for all monitors that identify any malfunction for all monitored components.
              (ii) Subsequent to the vehicle/engine fuel conversion, you must clear all OBD codes and reset all OBD monitors to not-ready status using an OBD scan tool appropriate for the OBD system in the vehicle/engine in question. You must operate the vehicle/engine with the new fuel on representative road operation or chassis dynamometer/engine dynamometer testing cycles to satisfy the monitors' enabling criteria. When all monitors have reset to a ready status, you must submit an OBD scan tool report showing that with the vehicle/engine operating in the key-on/engine-on mode, all supported monitors have reset to a ready status and no emission related “pending” (or potential) or “confirmed” (or MIL-on) diagnostic trouble codes (DTCs) have been set. The MIL must not be commanded “On” or be illuminated. A MIL check must also be conducted in a key-on/engine-off mode to verify that the MIL is functioning properly. You must include the VIN/EIN number of the test vehicle/engine. If necessary, the OEM evaporative emission readiness monitor may remain unset for dedicated gaseous fuel conversion systems.
              (iii) In addition to conducting OBD testing described in this paragraph (b)(9), you must submit to EPA the following statement of compliance if the OEM vehicles/engines were required to be OBD-equipped:
              The test group/engine family converted to an alternative fuel has fully functional OBD systems and therefore meets the OBD requirements specified in 40 CFR part 86 when operating on the alternative fuel.
              (10) You must notify us by electronic submission in a format specified by the Administrator with all required documentation. The following must be submitted:
              (i) You must describe how your conversion system qualifies as a clean alternative fuel conversion. You must include emission test results from the required exhaust, evaporative emissions, and OBD testing, applicable exhaust and evaporative emissions standards and deterioration factors. You must also include a description of how the test vehicle/engine selected qualifies as a worst-case vehicle/engine under 40 CFR 86.1828-10 or 40 CFR 86.096-24(b)(2) through (b)(3) as applicable.
              (ii) You must describe the group of vehicles/engines (conversion test group/conversion engine family) that are covered by your notification based on the criteria specified in paragraph (b)(1) or (b)(2) of this section.

              (iii) In lieu of specific test data, you may submit the following attestations for the appropriate statements of compliance, if you have sufficient basis to prove the statement is valid.

              (A) The test group/engine family converted to an alternative fuel has properly exercised the optional and applicable statements of compliance or waivers in the certification regulations such as those specified in 40 CFR part 86, subparts A, B, and S and 40 CFR part 1065. Attest to each statement or waiver in your notification.
              (B) The test group/engine family converted to dual-fuel or mixed-fuel operation retains all the OEM fuel system, engine calibration, and emission control system functionality when operating on the fuel with which the vehicle/engine was originally certified.
              (C) The test group/engine family converted to dual-fuel or mixed-fuel operation retains all the functionality of the OEM OBD system (if the OEM vehicles/engines were required to be OBD equipped) when operating on the fuel for which the vehicle/engine was originally certified.
              (D) The test group/engine family converted to dual-fuel or mixed-fuel operation properly purges hydrocarbon vapor from the evaporative emission canister when the vehicle/engine is operating on the alternative fuel.
              (iv) Include any other information as the Administrator may deem appropriate to establish that the conversion system is for the purpose of conversion to a clean alternative fuel and meets applicable emission standards.
              (11) [Reserved]
              (12) Your exemption from the prohibition on tampering remains valid for the applicable conversion test group/engine family and/or evaporative/refueling family, as long as the conditions under which you previously complied remain unchanged, such as small volume manufacturer or qualified small volume test group/engine family status. Your exemption from tampering is valid only if the conversion is installed on the OEM test groups/engine families and/or evaporative emissions/refueling families listed on the notification. For example, if you have complied properly with the provisions in this section in calendar year 2011 for converting a model year 2006 OEM test group/evaporative/refueling family, your exemption from tampering continues to apply for the conversion of the same model year 2006 OEM test group/evaporative/refueling family as long as the conditions under which the notification was submitted remain unchanged.
              (13) Conversion systems must be properly installed and adjusted such that the vehicle/engine operates consistent with the principles of good engineering judgment and in accordance with all applicable regulations.
              [76 FR 19866, Apr. 8, 2011, as amended at 79 FR 23681, Apr. 28, 2014]

              § 85.520
              Exemption provisions for outside useful life vehicles/engines.
              (a) You are exempted from the tampering prohibition with respect to outside useful life vehicles/engines if you properly document and notify EPA that the conversion system satisfies all the provisions in this section; you meet the labeling requirements in § 85.530 before you sell, import or otherwise facilitate the use of a clean alternative fuel conversion system; and you meet the applicable requirements in § 85.535. You may also meet the requirements under this section by complying with the provisions in § 85.515.
              (b) Documenting and notifying EPA under this section includes the following provisions:
              (1) You must notify us as described in this section.
              (2) Conversion test groups, evaporative/refueling families, and conversion engine families may be the same as those allowed for the intermediate age vehicle/engine program in § 85.515(b)(1) and (2).
              (3) You must use good engineering judgment to specify, use, and assemble fuel system components and other hardware and software that are properly designed and matched for the vehicles/engines in which they will be installed. Good engineering judgment also dictates that any testing or data used to satisfy demonstration requirements be generated at a quality laboratory that follows good laboratory practices and that is capable of performing official EPA emission tests.
              (4) OBD requirements. (i) The OBD system must properly detect and identify malfunctions in all monitored emission-related powertrain systems or components including any new monitoring capability necessary to identify potential emission problems associated with the new fuel. These include but are not limited to: Fuel trim lean and rich monitors, catalyst deterioration monitors, engine misfire monitors, oxygen sensor deterioration monitors, EGR system monitors, if applicable, and vapor leak monitors, if applicable. No original OBD system monitor that is still applicable to the vehicle/engine may be aliased, removed, bypassed, or turned-off. No MILs shall be illuminated after the conversion. Readiness flags must be properly set for all monitors that identify any malfunction for all monitored components.
              (ii) Subsequent to the vehicle/engine fuel conversion, you must clear all OBD codes and reset all OBD monitors to not-ready status using an OBD scan tool appropriate for the OBD system in the vehicle/engine in question. You must operate the vehicle/engine with the new fuel on representative road operation or chassis dynamometer/engine dynamometer testing cycles to satisfy the monitors' enabling criteria. When all monitors have reset to a ready status, you must submit an OBD scan tool report showing that with the vehicle/engine operating in the key-on/engine-on mode, all supported monitors have reset to a ready status and no emission related “pending” (or potential) or “confirmed” (or MIL-on) diagnostic trouble codes (DTCs) have been stored. The MIL must not be commanded “On” or be illuminated. A MIL check must also be conducted in a key-on/engine-off mode to verify that the MIL is functioning properly. You must include the VIN/EIN number of the test vehicle/engine. If necessary, the OEM evaporative emission readiness monitor may remain unset for dedicated gaseous fuel conversion systems.
              (iii) In addition to conducting OBD testing described in this paragraph (b)(4), you must submit to EPA the following statement of compliance if the OEM vehicles/engines were required to be OBD-equipped:
              The test group/engine family converted to an alternative fuel has fully functional OBD systems and therefore meets the OBD requirements specified in 40 CFR part 86 when operating on the alternative fuel.
              (5) Conversion test groups/engine families for conversions to dual-fuel or mixed-fuel vehicles/engines may not include vehicles/engines subject to different emissions standards unless applicable exhaust and OBD demonstrations are also conducted for the original fuel(s) demonstrating compliance with the most stringent standard represented in the test group. However the data generated from testing on the new fuel for dual-fuel or mixed-fuel test vehicles/engines may be carried over to vehicles/engines that otherwise meet the conversion test group/engine family criteria and for which the test vehicle/engine data demonstrate compliance with the applicable vehicle/engine standards. Clean alternative fuel conversion evaporative families for dual-fuel or mixed-fuel vehicles/engines cannot include vehicles/engines that were originally certified to different evaporative emissions standards.
              (6) You must notify us by electronic submission in a format specified by the Administrator with all required documentation. The following must be submitted.

              (i) You must describe how your conversion system complies with the good engineering judgment criteria in § 85.520(b)(3) and/or other requirements under this subpart or other applicable subparts such that the conversion system qualifies as a clean alternative fuel conversion. The submission must provide a level of technical detail sufficient for EPA to confirm the conversion system's ability to maintain or improve on emission levels in a worst case vehicle/engine. The submission of technical information must include a complete characterization of exhaust and evaporative emissions control strategies, the fuel delivery system, durability, and specifications related to OBD system functionality. You must present detailed information to confirm the durability of all relevant new and existing components and to explain why the conversion system will not harm the emission control system or degrade the emissions. EPA may ask you to supply additional information, including test data, to support the claim that the conversion system does not increase emissions and involves good engineering judgment that is being applied for purposes of conversion to a clean alternative fuel.
              (ii) You must describe the group of vehicles/engines (conversion test group/conversion engine family) that is covered by your notification based on the criteria specified in paragraph (b)(2) of this section.
              (iii) In lieu of specific test data, you may submit the following attestations for the appropriate statements of compliance, if you have sufficient basis to prove the statement is valid.
              (A) The test group/engine family converted to an alternative fuel has properly exercised the optional and applicable statements of compliance or waivers in the certification regulations such as those specified in 40 CFR part 86, subparts A, B, and S and 40 CFR part 1065. Attest to each statement or waiver in your notification.
              (B) The test group/engine family converted to dual-fuel or mixed-fuel operation retains all the OEM fuel system, engine calibration, and emission control system functionality when operating on the fuel with which the vehicle/engine was originally certified.
              (C) The test group/engine family converted to dual-fuel or mixed-fuel operation retains all the functionality of the OEM OBD system (if the OEM vehicles/engines were required to be OBD equipped) when operating on the fuel with which the vehicle/engine was originally certified.
              (D) The test group/engine family converted to dual-fuel or mixed-fuel operation properly purges hydrocarbon vapor from the evaporative emission canister when the vehicle/engine is operating on the alternative fuel.
              (E) The test group/engine family converted to an alternative fuel uses fueling systems, evaporative emission control systems, and engine powertrain components that are compatible with the alternative fuel and designed with the principles of good engineering judgment.
              (iv) You must include any other information as the Administrator may deem appropriate, which may include test data, to establish the conversion system is for the purpose of conversion to a clean alternative fuel.
              (7) Conversion systems must be properly installed and adjusted such that the vehicle/engine operates consistent with the principles of good engineering judgment and in accordance with all applicable regulations.
              (8) EPA may ask for any documentation and/or ask you to conduct emission testing to demonstrate the conversion is for the purpose of a clean alternative fuel.
              [76 FR 19866, Apr. 8, 2011, as amended at 79 FR 23681, Apr. 28, 2014]

              § 85.524
              Legacy standards.
              Prior to April 8, 2011, the following emission standards applied for conversions of vehicles/engines with an original model year of 1992 or earlier:
              (a) Exhaust hydrocarbons. Light-duty vehicles must meet the Tier 0 hydrocarbon standard specified in 40 CFR 86.094-8. Light-duty trucks must meet the Tier 0 hydrocarbon standard specified in 40 CFR 86.094-9. Otto-cycle heavy-duty engines must meet the hydrocarbon standard specified in 40 CFR 86.096-10. Diesel heavy-duty engines must meet the hydrocarbon standard in 40 CFR 86.096-11.
              (b) CO, NOX and particulate matter. Vehicles/engines must meet the CO, NOX, and particulate matter emission standards that applied for the vehicle's/engine's original model year. If the engine was certified with a Family Emission Limit, as noted on the emission control information label, the modified engine may not exceed this Family Emission Limit.
              (c) Evaporative hydrocarbons. Vehicles/engines must meet the evaporative hydrocarbon emission standards that applied for the vehicle's/engine's original model year.

              § 85.525
              Applicable standards.

              To qualify for an exemption from the tampering prohibition, vehicles/engines that have been converted to operate on a different fuel must meet emission standards and related requirements as described in this section. The modified vehicle/engine must meet the requirements that applied for the OEM vehicle/engine, or the most stringent OEM vehicle/engine standards in any allowable grouping. Fleet average standards do not apply unless clean alternative fuel conversions are specifically listed as subject to the standards.

              (a) If the vehicle/engine was certified with a Family Emission Limit for NOX, NOX+HC, NOX+NMOG, or particulate matter, as noted on the vehicle/engine emission control information label, the modified vehicle/engine may not exceed this Family Emission Limit.
              (b) Compliance with greenhouse gas emission standards is demonstrated as follows:

              (1) Subject to the following exceptions and special provisions, compliance with light-duty vehicle greenhouse gas emission standards is demonstrated by complying with the N2O and CH4 standards and provisions set forth in 40 CFR 86.1818-12(f)(1) and the in-use CO2 exhaust emission standard set forth in 40 CFR 86.1818-12(d) as determined by the OEM for the subconfiguration that is identical to the fuel conversion emission data vehicle (EDV):

              (i) If the OEM complied with the light-duty greenhouse gas standards using the fleet averaging option for N2O and CH4, as allowed under 40 CFR 86.1818-12(f)(2), the calculations of the carbon-related exhaust emissions require the input of grams/mile values for N2O and CH4, and you are not required to demonstrate compliance with the standalone CH4 and N2O standards.

              (ii) If the OEM complied with alternate standards for N2O and/or CH4, as allowed under 40 CFR 86.1818-12(f)(3), you may demonstrate compliance with the same alternate standards.
              (iii) If the OEM complied with the nitrous oxide (N2O) and methane (CH4) standards and provisions set forth in 40 CFR 86.1818-12(f)(1) or (3), and the fuel conversion CO2 measured value is lower than the in-use CO2 exhaust emission standard, you also have the option to convert the difference between the in-use CO2 exhaust emission standard and the fuel conversion CO2 measured value into GHG equivalents of CH4 and/or N2O, using 298 g CO2 to represent 1 g N2O and 25 g CO2 to represent 1 g CH4. You may then subtract the applicable converted values from the fuel conversion measured values of CH4 and/or N2O to demonstrate compliance with the CH4 and/or N2O standards.

              (iv) Optionally, compliance with greenhouse gas emission requirements may be demonstrated by comparing emissions from the vehicle prior to the fuel conversion to the emissions after the fuel conversion. This comparison must be based on FTP test results from the emission data vehicle (EDV) representing the pre-conversion test group. The sum of CO2, CH4, and N2O shall be calculated for pre- and post-conversion FTP test results, where CH4 and N2O are weighted by their global warming potentials of 25 and 298, respectively. The post-conversion sum of these emissions must be lower than the pre-conversion conversion greenhouse gas emission results. CO2 emissions are calculated as specified in 40 CFR 600.113-12. If statements of compliance are applicable and accepted in lieu of measuring N2O, as permitted by EPA regulation, the comparison of the greenhouse gas results also need not measure or include N2O in the before and after emission comparisons.

              (2) Compliance with heavy-duty engine greenhouse gas emission standards is demonstrated by complying with the CO2, N2O, and CH4 standards (or FELs, as applicable) and provisions set forth in 40 CFR 1036.108 for the engine family that is represented by the fuel conversion emission data engine (EDE). The following additional provisions apply:
              (i) If the fuel conversion CO2 measured value is lower than the CO2 standard (or FEL, as applicable), you have the option to convert the difference between the CO2 standard (or FEL, as applicable) and the fuel conversion CO2 measured value into GHG equivalents of CH4 and/or N2O, using 298 g/hp-hr CO2 to represent 1 g/hp-hr N2O. Similarly, you may use 34 g/hp-hr CO2 to represent 1 g/hp-hr CH4 for model year 2021 and later engines, and you may use 25 g/hp-hr CO2 to represent 1 g/hp-hr CH4 for earlier engines. You may then subtract the applicable converted values from the fuel conversion measured values of CH4 and/or N2O to demonstrate compliance with the CH4 and/or N2O standards (or FEL, as applicable).

              (ii) Small volume conversion manufacturers may demonstrate compliance with N2O standards based on an engineering analysis.

              (iii) For conversions of engines installed in vocational vehicles subject to Phase 2 standards under 40 CFR 1037.105 or in tractors subject to Phase 2 standards under 40 CFR 1037.106, conversion manufacturers may omit a demonstration related to the vehicle-based standards, as long as they have a reasonable technical basis for believing that the modified vehicle continues to meet those standards.

              (3) Subject to the following exceptions and special provisions, compliance with greenhouse gas emission standards for heavy-duty vehicles subject to 40 CFR 86.1819 is demonstrated by complying with the N2O and CH4 standards and provisions set forth in 40 CFR 86.1819 and the in-use CO2 exhaust emission standard set forth in 40 CFR 86.1819-14(b) as determined by the OEM for the subconfiguration that is identical to the fuel conversion emission data vehicle (EDV):

              (i) If the OEM complied with alternate standards for N2O and/or CH4, as allowed under 40 CFR 86.1819-14(c) you may demonstrate compliance with the same alternate standards.
              (ii) If you are unable to meet either the N2O or CH4 standards and your fuel conversion CO2 measured value is lower than the in-use CO2 exhaust emission standard, you may also convert the difference between the in-use CO2 exhaust emission standard and the fuel conversion CO2 measured value into GHG equivalents of CH4 and/or N2O, using 298 g CO2 to represent 1 g N2O. Similarly, you may use 34 g CO2 to represent 1 g CH4.for model year 2021 and later vehicles, and you may use 25 g CO2 to represent 1 g CH4 for earlier vehicles. You may then subtract the applicable converted values from the fuel conversion measured values of CH4 and/or N2O to demonstrate compliance with the CH4 and/or N2O standards.

              (iii) You may alternatively comply with the greenhouse gas emission requirements by comparing emissions from the vehicle before and after the fuel conversion. This comparison must be based on FTP test results from the emission data vehicle (EDV) representing the pre-conversion test group. The sum of CO2, CH4, and N2O shall be calculated for pre- and post-conversion FTP test results, where CH4 and N2O are weighted by their global warming potentials as described in paragraph (b)(3)(ii) of this section. The post-conversion sum of these emissions must be lower than the pre-conversion greenhouse gas emission result. Calculate CO2 emissions as specified in 40 CFR 600.113. If we waive N2O measurement requirements based on a statement of compliance, disregard N2O for all measurements and calculations under this paragraph (b)(3)(iii).
              (c) Conversion systems for engines that would have qualified for chassis certification at the time of OEM certification may use those procedures, even if the OEM did not. Conversion manufacturers choosing this option must designate test groups using the appropriate criteria as described in this subpart and meet all vehicle chassis certification requirements set forth in 40 CFR part 86, subpart S.
              [81 FR 73971, Oct. 25, 2016]

              § 85.530
              Vehicle/engine labels and packaging labels.
              (a) The following labeling requirements apply for clean alternative fuel conversion manufacturers to qualify for an exemption from the tampering prohibition:
              (1) You must make a supplemental emission control information label for each clean alternative fuel conversion system.
              (2) On the supplemental label you must identify the OEM vehicles/engines for which you authorize the use of your clean alternative fuel conversion system, consistent with the requirements of this subpart. You may do this by identifying the OEM test group/engine family names and original model year to which your conversion is applicable as described in § 85.510(b)(1) or § 85.510(b)(2), § 85.515(b)(10)(ii), or § 85.520(b)(6)(ii). Your commercial packaging materials must also clearly describe this information.
              (3) You must include the following on the supplemental label:

              (i) You must state that the vehicle/engine has been equipped with a clean alternative fuel conversion system designed to allow it to operate on a fuel other than the fuel it was originally certified to operate on. Identify the fuel or fuels the vehicle/engine is designed to use and provide a unique conversion test group/conversion engine family name and conversion evaporative/refueling emissions family name.
              (ii) You must identify your corporate name, address, and telephone number.
              (iii) You must include one of the following statements that describes how you comply under this subpart and any applicable mileage or age restrictions due to how compliance was demonstrated:
              (A) “This clean alternative fuel conversion system has been certified to meet EPA emission standards.”
              (B) “Testing has shown that this clean alternative fuel conversion system meets EPA emission standards under the intermediate age vehicle/engine program.”
              (C) “This conversion system is for the purpose of use of a clean alternative fuel in accordance with EPA regulations and is applicable only to vehicles/engines that are older than 11 years or 120,000 miles.” (Values must be adjusted to reflect OEM useful life; useful life in hours should be added, if applicable).
              (iv) State the following: “This conversion was manufactured and installed consistent with the principles of good engineering judgment and all U.S. EPA regulations.”
              (4) On the supplemental label, you must identify any original parts that will be removed for the conversion and any associated changes in maintenance specifications.
              (5) On the supplemental label, you must include the date of conversion and the mileage of the vehicle/engine at the time of conversion. Include the hours of operation instead of mileage, if applicable.
              (b) The supplemental emission control information label shall be placed in a permanent manner adjacent to the vehicle's/engine's original emission control information label if possible. If it is impractical to place the supplemental label adjacent to the original label, it must be placed where it will be seen by a person viewing the original label on a part that is needed for normal operation and does not normally need replacement. If the supplemental label information cannot fit on one label, the information can be logically split among two labels that are both near the original VECI or engine label.
              (c) All information provided on clean alternative fuel conversion system packaging must be consistent with the required vehicle/engine labeling information.
              (d) Examples of all labeling and warranty information must be provided as part of the application for certification or notification process.
              (e) The marketing material and label information for a given conversion system must be consistent with the conversion manufacturer's demonstration/notification to EPA for that system.

              § 85.535
              Liability, recordkeeping, and end of year reporting.
              (a) Clean alternative fuel conversion manufacturers are liable for in-use performance of their conversion systems as outlined in this part.
              (b) We may conduct or require testing on any vehicles/engines as allowed under the Clean Air Act. This may involve confirmatory testing, in-use testing, and/or selective enforcement audits for clean alternative fuel conversion systems. Dual-fuel vehicles/engines may be tested when operating on any of the fuels. Mixed-fuel vehicles/engines may be tested on any fuel blend ratio that is expected to occur during normal operation.

              (c) Except for an application for certification, your actions to document compliance and notify us under this subpart are not a request for our approval. We generally do not give any formal approval short of issuing a certificate of conformity. However, if we learn that your actions fall short of full compliance with applicable requirements we may notify you that you have not met applicable requirements or that we need more information to make that determination. The exemption from the tampering prohibition may be void ab initio if the conversion manufacturer has not satisfied all of the applicable provisions of this subpart even if a submission to EPA has been made and the conversion system appears on EPA's publicly available list of compliant systems.

              (d) Clean alternative fuel conversion manufacturers must accept in-use liability for warranty, are subject to defect reporting requirements, and may be required to recall any parts or systems for which the failure can be traced to the conversion, regardless of whether installation was proper or improper. The OEM shall remain liable for the performance of any parts or systems which retain their original function following conversion and are unaffected by the conversion.
              (e) Clean alternative fuel conversion manufacturers must keep sufficient records for five years from the date of notification or certification, or the date of the last conversion installation, whichever is later, to show that they meet applicable requirements.
              (f) Clean alternative fuel conversion manufacturers must submit an end of the year sales report to EPA describing the number of clean alternative fuel conversions by fuel type(s) and vehicle test group/engine family by January 31 of the following year. The number of conversions is the sum of the calendar year intermediate age conversions, outside useful life conversions, and the same conversion model year certified clean alternative fuel conversions. The number of conversions will be added to any other vehicle and engine sales accounted for using 40 CFR 86.1838-01 or 40 CFR 86.098-14 as appropriate to determine small volume manufacturer or qualified small volume test group/engine family status.
              (g) Conversion manufacturers who market conversion systems for use on vehicles/engines other than the test group/engine families and evaporative/refueling families covered by the compliance demonstration and notification may be liable for a tampering violation for each vehicle/engine to which conversion system is misapplied.

            Subparts G-N [Reserved]

            Subpart O—Urban Bus Rebuild Requirements

              Source:
              58 FR 21386, Apr. 21, 1993, unless otherwise noted.

              § 85.1401
              General applicability.
              The requirements of this subpart shall be applicable to 1993 and earlier model year urban buses operating in consolidated metropolitan statistical areas and metropolitan statistical areas with a 1980 population of 750,000 or more that have their engines rebuilt or replaced after January 1, 1995.

              § 85.1402
              Definitions.
              The definitions of this section apply to this subpart.

                Agency means the Environmental Protection Agency.

                Certified equipment or Retrofit/Rebuild Equipment means equipment certified in accordance with the certification regulations contained in this subpart.

                Emission related parts means those parts installed for the specific purpose of controlling emissions or those components, systems, or elements of design which must function properly to assure continued emission compliance.

                Engine configuration means the set of components, tolerances, specifications, design parameters, and calibrations related to the emissions performance of the engine and specific to a subset of an engine family having a unique combination of displacement, fuel injection calibration, auxiliary emission control devices and emission control system components.

                Engine rebuild means an activity, occurring over one or more maintenance events, involving:
              (1) Disassembly of the engine including the removal of the cylinder head(s); and
              (2) The replacement or reconditioning of more than one major cylinder component in more than half of the cylinders.

                Engine replacement means the removal of an engine from the coach followed by the installation of another engine.

                In-use compliance period for purposes of in-use testing means a period of 150,000 miles.

                Maintenance event means a single maintenance activity for which the engine is removed from service. Once the engine is returned to service, the maintenance event is considered done.

                Major cylinder component means piston assembly, cylinder liner, connecting rod, or piston ring set.

                MOD Director means Director of Manufacturers Operations Division, Office of Mobile Sources—Office of Air and Radiation of the Environmental Protection Agency.

                Office Director means the Director for the Office of Mobile Sources—Office of Air and Radiation of the Environmental Protection Agency or an authorized representative of the Office Director.

                Operator means transit authority, state, city department, or private or public entity controlling the use of one or more urban buses.

                Original engine configuration means the engine configuration at time of initial sale.

                Original equipment part means a part present in or on an engine at the time an urban bus is originally sold to the ultimate purchaser.

                Scheduled maintenance means those maintenance events required by the equipment certifier in order to ensure that the retrofitted engine will maintain its emissions performance over the in-use compliance period.

                Urban bus has the meaning set forth in § 86.091-2 of this chapter.

                Written instructions for proper maintenance and use means those maintenance and operation instructions specified in the warranty as being necessary to assure compliance of the retrofit/rebuild equipment with applicable emission standards for the in-use compliance period.

              § 85.1403
              Particulate standard for pre-1994 model year urban buses effective at time of engine rebuild or engine replacement.
              (a) Operators of urban buses in areas described in § 85.1401 shall be in compliance with one of the two programs described in paragraphs (b) and (c) of this section. An operator may switch between programs from year to year only if the operator has been in compliance with all the requirements of the newly chosen program at all times between January 1, 1995 and the date on which the operator chooses to switch programs.
              (b) Program 1: Performance based requirement. Program 1 requires that affected urban buses meet a particulate standard of 0.10 g/bhp-hr effective at time of engine rebuild or replacement and thereafter. The requirement to meet the 0.10 g/bhp-hr standard is automatically waived if no equipment has been certified that meets the 0.10 g/bhp-hr standard and has a life cycle cost of $7,940 or less (in 1992 dollars) for the engine being rebuilt. Program 1 contains fallback requirements for engines for which the 0.10 g/bhp-hr standard is waived. Such urban bus engines must receive equipment that provides a 25 percent reduction in particulate emissions relative to the particulate level of the original engine configuration. This 25 percent reduction requirement is automatically waived if no equipment has been certified for the engine being rebuilt that provides a 25 percent reduction in particulate emissions and has a life cycle cost $2,000 or less (in 1992 dollars). In cases where equipment is not available to either meet a 0.10 g/bhp-hr standard for less than the applicable cost ceiling or achieve a 25 percent reduction for less than the applicable cost ceiling, the urban bus is required to be equipped with an engine rebuilt to the original engine configuration or a configuration certified to have a particulate level lower than that of the original engine configuration.
              (1) Exhaust emissions from any urban bus for which this subpart is applicable shall not exceed a particulate standard of 0.10 grams per brake horsepower-hour (0.037 grams per megajoule) if equipment is available for the engine model of such urban bus at time of engine rebuild or engine replacement, as specified in paragraph (b)(1)(i) of this section.

              (i) Equipment is available for a particular engine model if equipment has been certified to a particulate standard of 0.10 grams per brake horsepower-hour (0.037 grams per megajoule), and the equipment for the engine model has been approved for certification for six months or more, and has a life cycle cost as determined under paragraph (b)(1)(ii) of this section that does not exceed the life cycle cost ceiling specified in paragraph (b)(1)(iii) of this section.
              (ii) The life cycle cost of equipment is equal to the sum of the purchase price, the installation cost, the incremental fuel cost, the cost of any fuel additives required, and the incremental maintenance cost associated with the equipment each as defined in paragraphs (b)(1)(ii)(A) through (b)(1)(ii)(E) of this section minus an engine replacement credit as defined in paragraph (b)(1)(ii)(F) of this section if the equipment replaces an existing engine with a new engine.
              (A) The purchase price is defined as the price at which the equipment (including all parts necessary to install and operate the equipment properly) is offered to the operator. The purchase price excludes reasonable shipping and handling fees and taxes, and equipment costs incurred by the urban bus operator for a standard rebuild.
              (B)(1) The installation cost is defined as the labor cost of installing the equipment on an urban bus engine, incremental to a standard rebuild, based on a labor rate of $35 per hour. The installation cost is calculated using the following equation:

                en30au93.007

                Where,

                CPIR is the most recent published Consumer Price Index at time of rebuild (for “all items” as published by the U.S. Bureau of Labor Statistics).
                CPI1992 is the Consumer Price Index (for “all items” as published by the U.S. Bureau of Labor Statistics) for 1992.

              (2) The estimated number of hours necessary to install the equipment will be determined as part of the equipment certification process, as detailed in § 85.1407.
              (C) The incremental fuel cost is defined as the increased fuel costs or the fuel savings due to the use of the equipment. (By definition, fuel savings will be negative values.) The calculation of incremental fuel cost will depend on the type of equipment being installed.
              (1)(i) For equipment not requiring a change from on road federal diesel fuel, the incremental fuel cost shall be calculated as follows:

                en30au93.008

                Where,

                CPIR is the most recent published Consumer Price Index at time of rebuild (for “all items” as published by the U.S. Bureau of Labor Statistics).
                CPI1992 is the Consumer Price Index (for “all items” as published by the U.S. Bureau of Labor Statistics) for 1992.

              (ii) The percent change in fuel economy will be determined as part of the equipment certification process, as detailed in § 85.1407. If equipment causes the fuel economy of the engine to increase, the value of the fuel economy % reduction in the above equation shall be a negative value.
              (2) For equipment requiring a fuel other than on-road federal diesel fuel, the incremental fuel cost shall be calculated as follows:

                en30au93.009

                Where,

                en30au93.010

              (i) For equipment/alternative fuel that is being certified under § 85.1407 as available to all affected operators for less than the life cycle cost ceiling, the discounted lifetime mileage is 129,104 miles. For equipment/alternative fuel that is not being certified under § 85.1407 as available to all affected operators for less than the life cycle cost ceiling, the discounted lifetime mileage is based on the age of the urban bus engine being rebuilt as specified in the following table:

                  Age of engine at time of rebuild
                  Discounted lifetime miles

                  5 Years
                  229,478

                  6 Years
                  204,881

                  7 Years
                  180,703

                  8 Years
                  155,902

                  9 Years
                  131,505

                  10 Years
                  109,680

                  11 Years
                  90,608

                  12 Years
                  70,200

                  13 Years
                  48,364

                  14 Years
                  25,000

                  15 or more Years
                  0

              (ii) The cost per mile for diesel fuel is calculated based on the following equation:

                en30au93.011

              (iii) For equipment/alternative fuel that is being certified under § 85.1407 as available to all affected operators for less than the life cycle cost ceiling, the price of diesel fuel per gallon, excluding taxes, is $0.72 × (CPIR/CPI1992). For equipment/alternative fuel that is not being certified under § 85.1407 as available to all affected operators for less than the life cycle cost ceiling, the price of diesel fuel per gallon, excluding taxes, is the price at which the operator currently purchases diesel fuel, excluding taxes.
              (iv) The cost per mile for alternative fuels is calculated based on the following equation:

                en30au93.012

              (v) In order for the equipment/alternative fuel to be required, the fuel supplier must provide a contract to the urban bus operator specifying the cost of the fuel for the life of the engine being retrofitted. The contract must specify the maximum incremental cost, compared to the cost of diesel fuel on a per mile basis, at which the fuel will be sold. As part of the contract, the fuel supplier must also provide on-site facilities, meeting all applicable safety and fire code requirements, for refueling the urban bus engines being retrofitted, unless the operator already has sufficient refueling facilities or the operator agrees to use off-site refueling facilities.
              (vi) The fuel economy of the engine retrofitted with the equipment will be determined as part of the equipment certification process, as detailed in § 85.1407.
              (D) For equipment requiring the use of a fuel additive, the fuel additive cost shall be calculated as follows:

                en30au93.013

              (1) For diesel-fueled engines, the fuel economy of the engine is 3.3 miles per gallon. For alternatively-fueled engines, the fuel economy of the engine shall be determined as part of the equipment certification process, as detailed in § 85.1407.
              (2) For equipment/fuel additive that is being certified under § 85.1407 as available to all affected operators for less than the life cycle cost ceiling, the discounted lifetime mileage is 129,104 miles. For equipment/fuel additive that is not being certified under § 85.1407 as available to all affected operators for less than the life cycle cost ceiling, the discounted lifetime mileage is based on the age of the urban bus engine being rebuilt as specified in the following table:

                  Age of engine at time of rebuild
                  Discounted lifetime miles

                  5 Years
                  229,478

                  6 Years
                  204,881

                  7 Years
                  180,703

                  8 Years
                  155,902

                  9 Years
                  131,505

                  10 Years
                  109,680

                  11 Years
                  90,608

                  12 Years
                  70,200

                  13 Years
                  48,364

                  14 Years
                  25,000

                  15 or more Years
                  0

              (3) The price of the fuel additive is the price at which the fuel additive supplier supplies the fuel additive to the urban bus operator. In order for the equipment/fuel additive to be required, the equipment/fuel additive supplier must provide a contract to the urban bus operator specifying the maximum cost at which the fuel additive will be sold for the life of the engine being retrofitted.
              (4) The amount of fuel additive required per gallon of diesel fuel will be determined as part of the equipment certification process, as detailed in § 85.1407.
              (E) The incremental maintenance cost of the equipment is equal to the cost of the parts necessary for scheduled maintenance of the retrofit equipment incremental to cost of the parts necessary for maintenance of an original, non-retrofitted engine. The incremental maintenance cost will be determined as part of the equipment certification process, as detailed in § 85.1407.
              (F) For equipment which replaces an existing urban bus engine with a new, previously unused engine, a credit will be applied to the life cycle cost. The engine replacement credit will be determined as follows:

                en30au93.014

                Where,

                CPIR is the most recent published Consumer Price Index at time of rebuild (for “all items” as published by the U.S. Bureau of Labor Statistics).
                CP11992 is the Consumer Price Index (for “all items” as published by the U.S. Bureau of Labor Statistics) for 1992.

              (iii) The life cycle cost ceiling for complying with the 0.10 grams per brake horsepower-hour (0.037 grams per megajoule) particulate rebuild standard is calculated by the following equation at the time of rebuild:

                en30au93.015

                Where,

                CPIR is the most recent published Consumer Price Index at time of rebuild (for “all items” as published by the U.S. Bureau of Labor Statistics).
                CPI1992 is the Consumer Price Index (for “all items” as published by the U.S. Bureau of Labor Statistics) for 1992.

              (2) If no equipment meets the provisions of paragraph (b)(1) of this section for a particular model of urban bus engine, then any urban bus for which this subpart is applicable shall use equipment that has been certified to achieve at least a 25 percent reduction in particulate emissions from the original certified particulate emission level of the urban bus engine model being rebuilt, if such equipment is available as specified in paragraph (b)(2)(i) of this section. If no certification data exists for the emission level of the original urban bus engine configuration as initially certified, then other test data collected over the heavy-duty engine Federal Test Procedure, or an approved alternative test procedure prescribed under § 85.1414, may be considered in determining the percent reduction.
              (i) Equipment is available for a particular engine model if equipment has been certified to achieve at least a 25 percent reduction in particulate emissions from original levels, and the equipment for the engine model has been approved for certification for six months or more, and has a life cycle cost as determined under paragraph (b)(2)(ii) of this section that does not exceed the life cycle cost ceiling specified in paragraph (b)(2)(iii) of this section.

              (ii) The life cycle cost of equipment is equal to the sum of the purchase price, the installation cost, the incremental fuel cost, the cost of any fuel additives required, and the incremental maintenance cost associated with the equipment each as defined in paragraphs (b)(2)(ii)(A) through (b)(2)(ii)(E) of this section minus an engine replacement credit as defined in paragraph (b)(2)(ii)(F) of this section if the equipment replaces an existing engine with a new engine.
              (A) The purchase price is defined as the price at which the equipment (including all parts necessary to install and operate the equipment properly) is offered to the operator. The purchase price excludes reasonable shipping and handling fees and taxes, and equipment costs incurred by the urban bus operator for a standard rebuild.
              (B)(1) The installation cost is defined as the labor cost of installing the equipment on an urban bus engine, incremental to a standard rebuild, based on a labor rate of $35 per hour. The installation cost is calculated using the following equation:

                en30au93.016

                Where,

                CPIR is the most recent published Consumer Price Index at time of rebuild (for “all items” as published by the U.S. Bureau of Labor Statistics).
                CPI1992 is the Consumer Price Index (for “all items” as published by the U.S. Bureau of Labor Statistics) for 1992.

              (2) The estimated number of hours necessary to install the equipment will be determined as part of the equipment certification process, as detailed in § 85.1407.
              (C) The incremental fuel cost is defined as the increased fuel costs or the fuel savings due to the use of the equipment. (By definition, fuel savings will be negative values.) The calculation of incremental fuel cost will depend on the type of equipment being installed.
              (1)(i) For equipment not requiring a change from on road federal diesel fuel, the incremental fuel cost shall be calculated as follows:

                en30au93.017

                Where,

                CPIR is the most recent published Consumer Price Index at time of rebuild (for “all items” as published by the U.S. Bureau of Labor Statistics).
                CPI1992 is the Consumer Price Index (for “all items” as published by the U.S. Bureau of Labor Statistics) for 1992.

              (ii) The percent change in fuel economy will be determined as part of the equipment certification process, as detailed in § 85.1407. If equipment causes the fuel economy of the engine to increase, the value of the fuel economy % reduction in the above equation shall be a negative value.
              (2) For equipment requiring a fuel other than on road federal diesel fuel, the incremental fuel cost shall be calculated as follows:

                en30au93.018

                Where,

                en30au93.019

              (i) For equipment/alternative fuel that is being certified under § 85.1407 as available to all affected operators for less than the life cycle cost ceiling, the discounted lifetime mileage is 129,104 miles. For equipment/alternative fuel that is not being certified under § 85.1407 as available to all affected operators for less than the life cycle cost ceiling, the discounted lifetime mileage is based on the age of the urban bus engine being rebuilt as specified in the following table:

                  Age of engine at time of rebuild
                  Discounted lifetime miles

                  5 years
                  229,478

                  6 years
                  204,881

                  7 years
                  180,703

                  8 years
                  155,902

                  9 years
                  131,505

                  10 years
                  109,680

                  11 years
                  90,608

                  12 years
                  70,200

                  13 years
                  48,364

                  14 years
                  25,000

                  15 or more years
                  0

              (ii) The cost per mile for diesel fuel is calculated based on the following equation:

                en30au93.020

              (iii) For equipment/alternative fuel that is being certified under § 85.1407 as available to all affected operators for less than the life cycle cost ceiling, the price of diesel fuel per gallon, excluding taxes, is $0.72 × (CPIR/CPI1992). For equipment/alternative fuel that is not being certified under § 85.1407 as available to all affected operators for less than the life cycle cost ceiling, the price of diesel fuel per gallon, excluding taxes, is the price at which the operator currently purchases diesel fuel, excluding taxes.
              (iv) The cost per mile for alternative fuels is calculated based on the following equation:

                en30au93.021

              (v) In order for the equipment/alternative fuel to be required, the fuel supplier must provide a contract to the urban bus operator specifying the cost of the fuel for the life of the engine being retrofitted. The contract must specify the incremental cost, compared to the cost of diesel fuel on a per mile basis, at which the fuel will be sold. As part of the contract, the fuel supplier must also provide on-site facilities, meeting all applicable safety and fire code requirements, for refueling, the urban bus engines being retrofitted, unless the operator already has sufficient refueling facilities or the operator agrees to use off-site refueling facilities. The fuel supplier must also provide for any modifications to existing facilities that are necessary due to the use of the equipment/alternative fuel to meet applicable safety and fire code requirements.
              (vi) The fuel economy of the engine retrofitted with the equipment will be determined as part of the equipment certification process, as detailed in § 85.1407.
              (D) For equipment requiring the use of a fuel additive, the fuel additive cost shall be calculated as follows:

                en30au93.022

              (1) For diesel-fueled engines, the fuel economy of the engine is 3.3 miles per gallon. For alternatively-fueled engines, the fuel economy of the engine shall be determined as part of the equipment certification process, as detailed in § 85.1407.
              (2) For equipment/fuel additive that is being certified under § 85.1407 as available to all affected operators for less than the life cycle cost ceiling, the discounted lifetime mileage is 129,104 miles. For equipment/fuel additive that is not being certified under § 85.1407 as available to all affected operators for less than the life cycle cost ceiling, the discounted lifetime mileage is based on the age of the urban bus engine being rebuilt as specified in the following table:

                  Age of engine at time of rebuild
                  Discounted lifetime miles

                  5 years
                  229,478

                  6 years
                  204,881

                  7 years
                  180,703

                  8 years
                  155,902

                  9 years
                  131,505

                  10 years
                  109,680

                  11 years
                  90,608

                  12 years
                  70,200

                  13 years
                  48,364

                  14 years
                  25,000

                  15 or more years
                  0

              (3) The price of the fuel additive is the price at which the fuel additive supplier supplies the fuel additive to the urban bus operator. In order for the equipment/fuel additive to be required, the equipment/fuel additive supplier must provide a contract to the urban bus operator specifying the maximum cost at which the fuel additive will be sold for the life of the engine being retrofitted.
              (4) The amount of fuel additive required per gallon of diesel fuel will be determined as part of the equipment certification process, as detailed in § 85.1407.

              (E) The incremental maintenance cost of the equipment is equal to the cost of the parts necessary for scheduled maintenance of the retrofit equipment incremental to cost of the parts necessary for maintenance of an original, non-retrofitted engine. The incremental maintenance cost will be determined as part of the equipment certification process, as detailed in § 85.1407.

              (F) For equipment which replaces an existing urban bus engine with a new, previously unused engine, a credit will be applied to the life cycle cost. The engine replacement credit will be determined as follows:

                en30au93.023

                Where,

                CPIR is the most recent published Consumer Price Index at time of rebuild (for “all items” as published by the U.S. Bureau of Labor Statistics).
                CPI1992 is the Consumer Price Index (for “all items” as published by the U.S. Bureau of Labor Statistics) for 1992.

              (iii) The life cycle cost ceiling for complying with the 25 percent particulate emission reduction requirement is calculated by the following equation at the time of rebuild:

                en30au93.024

                Where,

                CPIR is the most recent published Consumer Price Index at time of rebuild (for “all items” as published by the U.S. Bureau of Labor Statistics).
                CPI1992 is the Consumer Price Index (for “all items” as published by the U.S. Bureau of Labor Statistics) for 1992.

              (3)(i) Urban buses covered by this subpart for which no equipment is available under paragraphs (b)(1) or (b)(2) of this section shall be equipped with one of the following:
              (A) The original engine rebuilt to its original engine configuration as specified in paragraph (b)(3)(ii) of this section; or
              (B) An engine identical to its original engine which has been rebuilt to its original configuration as specified in paragraph (b)(3)(ii) of this section; or
              (C) An engine of a configuration with a certification PM level lower than the original configuration; or
              (D) A replacement engine with a particulate matter certification level lower than the original engine.
              (ii) All replacement or rebuilt parts shall be equivalent to the original equipment specifications.
              (4) Notwithstanding paragraph (b)(3) of this section, if as of July 1, 1996, no equipment has been certified to meet the cost ceiling requirements of paragraphs (b)(1) or (b)(2) of this section, then urban buses covered by this subpart shall be equipped with equipment that has been certified to achieve at least a 25 percent reduction in particulate emissions from the original certified particulate emission level of the urban bus engine model being rebuilt, provided the equipment does not require any of the following:
              (i) A switch from mechanical control to electronic control; or
              (ii) Installation of exhaust aftertreatment equipment; or
              (iii) The use of a fuel different from the fuel on which the engine currently operates.

              (c) Program 2: Averaging based program. Program 2 requires affected urban bus operators to meet an annual average fleet particulate emissions level, rather than requiring each individual rebuilt urban bus engine in the operator's fleet to meet a specific particulate emission level. Under Program 2, each affected fleet operator must reduce particulate emissions from its affected urban buses (i.e., 1993 and earlier model year urban buses) to a level low enough to meet an annual average target level for a fleet (TLF) for particulate emissions (in grams per brake horsepower-hour). The TLF is calculated for each year of the program beginning in 1996. During each calendar year, the average particulate emissions level from all of the operator's pre-1994 model year urban buses must be at or below the TLF for that calendar year. The TLF for a particular calendar year is calculated based on the Agency's determination of the projected emission level for each engine model in the operator's pre-1994 model year urban bus fleet, as specified in paragraph (c)(1)(iii) of this section, and based on a schedule for rebuilding of affected urban bus engines, as specified in paragraph (c)(1)(iv) of this section.
              (1) During each calendar year starting with 1996, urban bus operators shall be in compliance with an annual Target Level for a Fleet (TLF) of particulate emissions calculated using the equation defined in paragraph (c)(1)(i) of this section. Operators must comply with a TLF, rounded to two places after the decimal, until all pre-1994 urban buses have been retired from the operator's fleet.
              (i) An urban bus operator's annual Target Level for a Fleet (TLF) for a particular calendar year shall be calculated as follows:

                en30au93.025

                Where,

                CY is the calendar year.
                MY is the model year.
                BMY is the number of urban buses of that model year in the operator's fleet as of January 1, 1995, plus any urban buses of that model year added to the fleet after January 1, 1995.
                WPMY is the weighted average of projected particulate emissions for urban buses of that model year calculated using the formula in paragraph (c)(1)(ii) of this section.

              (ii) The weighted average of projected particulate emissions for urban buses of a particular model year is calculated using the following equation:

                en30au93.026

                Where,

                MY is the model year.
                z is the number of different engine models in the fleet of model year MY.
                Bz is the number of urban buses in the operator's fleet as of January 1, 1995 (including those added after January 1, 1995) equipped with a specific engine model of the given model year.
                Pz is the projected particulate emission level of that engine model provided in paragraphs (c)(1)(iii) and (c)(1)(iv) of this section.

              (iii)(A) Pre-rebuild particulate emission levels and projected post-rebuild particulate emission levels in grams per brake horsepower-hour (g/bhp-hr) are based on engine type and model year and are specified in the following table. The appropriate particulate level, pre-rebuild or post-rebuild, shall be determined using the information contained in paragraph (c)(1)(iv) of this section.

                  Engine model
                  Model year of engine
                  Pre-rebuild particulate level (g/bhp-hr)
                  Projected post-rebuild particulate level (g/bhp-hr)

                  DDC 6V92TA
                  1979-1987
                  0.50
                  0.30

                  1988-1989
                  0.30
                  0.10

                  DDC 6V92TA DDECI
                  1986-1987
                  0.30
                  0.30

                  DDC 6V92TA DDECII
                  1988-1991
                  0.31
                  0.10

                  1992
                  0.25
                  0.10

                  1993 (no trap)
                  0.25
                  0.10

                  1993 (trap)
                  0.07
                  0.07

                  DDC Series 50
                  1993
                  0.16
                  0.10

                  DDC 6V71N
                  1973-1987
                  0.50
                  0.50

                  1988-1989
                  0.50
                  0.10

                  DDC 6V71T
                  1985-1986
                  0.50
                  0.50

                  DDC 8V71N
                  1973-1984
                  0.50
                  0.50

                  DDC 6L71TA
                  1990
                  0.59
                  0.10

                  1988-1989
                  0.31
                  0.10

                  DDC 6L71TA DDEC
                  1990-1991
                  0.30
                  0.10

                  Cummins L10
                  1985-1987
                  0.65
                  0.65

                  1988-1989
                  0.55
                  0.10

                  1990-1991
                  0.46
                  0.10

                  Cummins L10 EC
                  1992
                  0.25
                  0.10

                  1993 (trap)
                  0.05
                  0.05

                  Alternatively-fueled engines
                  Pre-1994
                  0.10
                  0.10

                  Other engines
                  Pre-1988
                  0.50
                  0.50

                  1988-1993
                  (1)
                  0.10

                  1 Certification level.

              (B) For the TLF calculations as specified in paragraph (c)(1)(iv) of this section, post-rebuild particulate emissions levels for a specific engine model shall be equal to the following:
              (1) 0.10 g/bhp-hr, for any engine model (other than any model year 1984 and 1987 engine models, and those engine models indicated in paragraph (c)(1)(iii)(B)(4) of this section) for which equipment has been certified by July 1, 1994 as meeting the emission and cost requirements of paragraph (b)(1) of this section for all affected urban bus operators;
              (2) For any engine model for which no equipment has been certified by July 1, 1994 as meeting the requirements of paragraph (b)(1) of this section for all affected urban bus operators, (and for any model year 1984 and 1987 engine models) for which equipment has been certified by July 1, 1994 as meeting the emission and cost requirements of paragraph (b)(2) of this section for all affected urban bus operators, the post-rebuild particulate emission level shall equal the lowest emission level (greater than or equal to 0.10 g/bhp-hr) certified for any such equipment;
              (3) For any engine model for which no equipment has been certified by July 1, 1994 as meeting the emission and cost requirements of paragraph (b)(1) or paragraph (b)(2) of this section for all affected urban bus operators, the post-rebuild particulate emission level shall equal the pre-rebuild particulate level;
              (4) For any engine model with a pre-rebuild particulate level below 0.10 g/bhp-hr, the post-rebuild particulate emission level shall equal the pre-rebuild particulate level;
              (5) Notwithstanding paragraph (c)(1)(iii)(C)(3) of this section, if by July 1, 1994, no equipment has been certified for any of the engine models listed in the table at paragraph (c)(1)(iii)(A) of this section, then the post-rebuild particulate levels shall be as indicated in the table at paragraph (c)(1)(iii)(A) of this section.
              (C) For TLF calculations as specified in paragraph (c)(1)(iv) of this section, post-rebuild particulate emission levels for a specific engine model shall be equal to the following:
              (1) 0.10 g/bhp-hr, for any engine model (other than those indicated in paragraph (c)(1)(iii)(C)(4) of this section) for which equipment has been certified by July 1, 1996 as meeting the emission and cost requirements of paragraph (b)(1) of this section for all affected urban bus operators;
              (2) For any engine model for which no equipment has been certified by July 1, 1996 as meeting the requirements of paragraph (b)(1) of this section for all affected urban bus operators, but for which equipment has been certified by July 1, 1996 as meeting the emission and cost requirements of paragraph (b)(2) of this section for all affected urban bus operators, the post-rebuild particulate emission level shall equal the lowest emission level (greater than or equal to 0.10 g/bhp-hr) certified for any such equipment;
              (3) For any engine model for which no equipment has been certified by July 1, 1996 as meeting the requirements of either paragraph (b)(1) or paragraph (b)(2) of this section, the post-rebuild particulate emission level shall equal the pre-rebuild particulate level;
              (4) For any engine model with a pre-rebuild particulate level below 0.10 g/bhp-hr, the post-rebuild particulate emission level shall equal the pre-rebuild particulate level;
              (5) Notwithstanding paragraph (c)(1)(iii)(C)(3) of this section, if by July 1, 1996, no equipment has been certified to meet the emission requirements of paragraph (b)(1) or paragraph (b)(2) of this section for any of the engine models listed in the table at paragraph (c)(1)(iii)(A) of this section, then the post-rebuild particulate levels shall be the pre-rebuild particulate levels specified in the table at paragraph (c)(1)(iii)(A) of this section.
              (D) For TLF calculations as specified in paragraph (c)(1)(iv) of this section, post-rebuild particulate emission levels for a specific engine model shall be equal to the following:
              (1) 0.10 g/bhp-hr, for any engine model (other than those indicated in paragraph (c)(1)(iii)(D)(4) of this section) for which equipment has been certified by July 1, 1998 as meeting the emission and cost requirements of paragraph (b)(1) of this section for all affected urban bus operators;
              (2) For any engine model for which no equipment has been certified by July 1, 1998 as meeting the requirements of paragraph (b)(1) of this section for all affected urban bus operators, but for which equipment has been certified by July 1, 1996 as meeting the emission and cost requirements of paragraph (b)(2) of this section for all affected urban bus operators, the post-rebuild particulate emission level shall equal the lowest emission level (greater than or equal to 0.10 g/bhp-hr) certified by July 1, 1998 for any such equipment;
              (3) For any engine model for which no equipment has been certified by July 1, 1998 as meeting the emission and cost requirements of paragraph (b)(1) or (b)(2) of this section, the post-rebuild particulate emission level shall equal the pre-rebuild particulate level;
              (4) For any engine model with a pre-rebuild particulate level below 0.10 g/bhp-hr, the post-rebuild particulate emission level shall equal the pre-rebuild particulate level;
              (5) Notwithstanding paragraph (c)(1)(iii)(D)(3) of this section, if by July 1, 1998, no equipment has been certified to meet the emission requirements of paragraph (b)(1) or (b)(2) of this section for any of the engine models listed in the table at paragraph (c)(1)(iii)(A) of this section, then the post-rebuild particulate levels shall be the pre-rebuild particulate levels specified in the table at paragraph (c)(1)(iii)(A) of this section; and
              (6) Notwithstanding paragraph (c)(1)(iii)(D)(3) of this section, if by July 1, 1998, equipment has been certified to meet the emissions requirements of paragraph (b)(1) or (b)(2) of this section for any of the engine models listed in the table at paragraph (c)(1)(iii)(A) of this section, but no equipment has been certified by July 1, 1998 to meet the life-cycle cost requirements of paragraph (b)(1) or (b)(2) of this section, then the post-rebuild particulate levels shall be as specified in the following table:

                  Engine model
                  Model year sold
                  Pre-rebuild PM level(g/bhp-hr)

                  Post-rebuild PM level(g/bhp-hr)

                  DDC 6V92TA
                  1979-1987
                  0.50
                  0.30

                  1988-1989
                  .30
                  .30

                  DDC 6V92TA DDECI
                  1986-1987
                  .30
                  .30

                  DDC 6V92TA DDECII
                  1988-1991
                  .31
                  .25

                  1992
                  .25
                  .25

                  1993 (no trap)
                  .25
                  .25

                  1993 (trap)
                  .07
                  .07

                  DDC Series 50
                  1993
                  .16
                  .16

                  DDC 6V71N
                  1973-1987
                  .50
                  .50

                  1988-1989
                  .50
                  .50

                  DDC 6V71T
                  1985-1986
                  .50
                  .50

                  DDC 8V71N
                  1973-1984
                  .50
                  .50

                  DDC 6L71TA
                  1990
                  .59
                  .59

                  1988-1989
                  .31
                  .31

                  DDC 6L71TA DDEC
                  1990-1991
                  .30
                  .30

                  Cummins L10
                  1985-1987
                  .65
                  .46

                  1988-1989
                  .55
                  .46

                  1990-1991
                  .46
                  .46

                  Cummins L10 EC
                  1992
                  .25
                  .25

                  1993 (trap)
                  .05
                  .05

                  Alternatively-fueled Engines
                  Pre-1994
                  .10
                  .10

                  Other Engines
                  Pre-1988
                  .50
                  .50

                  1988-1993

                    (1)

                  (1)

                  (1) New engine certification level.

              (iv) To determine which particulate (PM) emission level from paragraph (c)(1)(iii) of this section is used for a particular model year engine in a fleet for the TLF of a given calendar year, use the following table:

                  Model year of engine
                  Year for which TLF is being calculated
                  Particulate emission level (see § 85.1403(c)(1)(iii))

                  1993
                  1996-1998
                  Pre-Rebuild Level.1

                  1999-2001
                  Post-Rebuild Level.3

                  2002-thereafter
                  Post-Rebuild Level.4

                  1992
                  1996-1998
                  Pre-Rebuild Level.1

                  1999-2003
                  Post-Rebuild Level.3

                  2004-thereafter
                  Post-Rebuild Level.4

                  1991
                  1996-1997
                  Pre-Rebuild Level.1

                  1998-2002
                  Post-Rebuild Level.3

                  2003-thereafter
                  Post-Rebuild Level.4

                  1990
                  1996-1999
                  Pre-Rebuild Level.1

                  2000-thereafter
                  Post-Rebuild Level.4

                  1989
                  1996-1999
                  Pre-Rebuild Level.1

                  2000-thereafter
                  Post-Rebuild Level.4

                  1988
                  1996-1998
                  Pre-Rebuild Level.1

                  1999-thereafter
                  Post-Rebuild Level.3

                  1987
                  1996-1998
                  Post-Rebuild Level.2

                  1999-thereafter
                  Post-Rebuild Level.3

                  1986
                  1996-1997
                  Pre-Rebuild Level.1

                  1998-thereafter
                  Post-Rebuild Level.3

                  1985
                  1996
                  Pre-Rebuild Level.1

                  1997-thereafter
                  Post-Rebuild Level.2

                  1984
                  1996-thereafter
                  Post-Rebuild Level.2

                  Pre-1984
                  1996-thereafter
                  Pre-Rebuild Level.1

                  1 The pre-rebuild PM level established in paragraph (c)(1)(iii)(A) of this section.

                  2 The post-rebuild PM level established pursuant to paragraph (c)(1)(iii)(B) of this section.

                  3 The post-rebuild PM level established pursuant to paragraph (c)(1)(iii)(C) of this section.

                  4 The post-rebuild PM level established pursuant to paragraph (c)(1)(iii)(D) of this section.

              (2) To determine compliance under this program, the TLF, rounded to two places after the decimal, shall be compared with an annual Fleet Level Attained (FLA) of particulate emissions calculated using the equation defined in paragraph (c)(2)(i) of this section, and also rounded to two places after the decimal. At all times during a given calendar year, the FLA must be at or below the TLF for the same calendar year in order for the fleet to be in compliance.

              (i) An urban bus operator shall calculate its Fleet Level Attained (FLA) using the following equation:

                en30au93.027

                Where,

                MY is the model year.
                MY1 is the model year of the oldest urban bus in an operator's fleet.
                BMY is the number of urban buses of model year MY in an operator's fleet, excluding those urban buses older than fifteen years that meet a 0.10 grams per brake horsepower-hour particulate standard.
                BR is the number of 1993 and earlier model year urban buses retired since January 1, 1995 that would have been less than 15 years old, as calculated by the model year of the urban bus on December 31st of the given calendar year, but does not include retired urban buses that are replaced by other 1993 and earlier model year urban buses.
                WEMY is the weighted average of engine-specific particulate emissions for urban buses in that model year in an operator's fleet, excluding those urban buses older than fifteen years that meet a 0.10 grams per brake horsepower-hour particulate standard, calculated using the formula in paragraph (c)(2)(ii) of this section.

              (ii) The weighted average of engine specific particulate emissions for urban buses of a particular model year, excluding those urban buses older than fifteen years that meet a 0.10 grams per brake horsepower-hour particulate standard is calculated using the following equation:

                en30au93.028

                Where,

                q is the number of different engine configurations in a given model year, excluding those urban buses older than fifteen years that meet a 0.10 grams per brake horsepower-hour particulate standard.
                Bq is the number of urban buses with a specific engine configuration.
                Eq is the engine-specific particulate emission level for a given configuration.

              (iii) The Eq shall be defined as:
              (A) The pre-rebuild level as specified in paragraph (c)(1)(iii) of this section in cases where an engine has not been rebuilt after January 1, 1995 or has been rebuilt to its original configuration; or
              (B) The particulate emission level (in grams per brake horsepower-hour) achieved after installing emission control equipment on the urban bus at time of rebuild, where an engine has been rebuilt using emission control equipment after January 1, 1995. Such particulate emission levels will be established by the equipment certifier during equipment certification; or

              (C) 0.10 grams per brake horsepower-hour (0.037 grams per megajoule) for urban buses covered by the provisions specified in paragraph (d)(1) of this section; or
              (D) The particulate emission level (in grams per brake horsepower-hour) of the upgrade engine configuration for urban buses covered by the provisions specified in paragraph (d)(3) of this section; or
              (E) The particulate emission level (in grams per brake horsepower-hour) determined by applying an additional percent reduction in particulate emissions to the particulate levels determined in paragraphs (c)(2)(iii)(A) through (c)(2)(iii)(D) of this section for those urban buses operating on diesel-based fuels which achieve particulate reductions beyond federally required diesel fuel with 0.05 weight percent sulfur content. Such additional percent reductions will be determined through certification of such diesel-based fuels as specified in § 85.1407.
              (d)(1) Operators of urban buses covered by this subpart which have had particulate traps installed prior to January 1, 1995, or are powered by an alternative fuel that significantly reduces particulate emissions compared to emissions from diesel fuel, may assume that such urban buses are operating at a PM level of 0.10 grams per brake horsepower-hour (0.037 grams per megajoule) for purposes of meeting the requirements set forth in paragraphs (b) and (c) of this section as long as such urban buses have engines that are properly calibrated and maintained in accordance with equipment manuals and instructions, and the operator has no reason to believe otherwise.
              (2) Any urban buses which have had particulate traps installed prior to January 1, 1995, or are powered by a fuel that significantly reduces particulate emissions compared to emissions from diesel fuel, whose engines have not been properly calibrated and maintained in accordance with equipment manuals and instructions or the operator has reason to believe otherwise, shall be treated as if such equipment was not installed for purposes of determining compliance with paragraphs (b) and (c) of this section.
              (3) Operators of urban buses covered by this subpart which have upgrade kits installed prior to January 1, 1995, may assume that such urban buses are operating at the PM level of the upgraded engine configuration for purposes of meeting the requirements set forth in paragraphs (b) and (c) of this section.
              (e)(1) The standard and percent emission reductions requirements set forth in paragraphs (b) and (c) of this section refer to exhaust emitted over the operating schedule set forth in paragraph (f)(2) of appendix I to part 86 of this chapter and measured and calculated in accordance with the procedures set forth in subpart N of part 86 of this chapter.
              (2) Equipment certifiers may also submit emission results from EPA-approved alternative test procedures showing compliance with the 25 percent reduction requirements of paragraphs (b) and (c) of this section. As required in § 85.1414, the equipment certifier shall supply information on the alternative test procedure which supports the certifier's claims that the alternative test procedure is typical of in-use urban bus operation.
              (f) Every operator subject to the requirements prescribed in this section shall keep records of all engine rebuilds and replacements performed on urban buses as required in § 85.1404, and maintain evidence that their urban buses are in compliance with the requirements of paragraphs (b) or (c) of this section.
              (g) Operators shall affix the label provided with the equipment, required under § 85.1411(a), to the engine being rebuilt with the equipment.
              [58 FR 21386, Apr. 21, 1993, as amended at 63 FR 14635, Mar. 26, 1998]

              § 85.1404
              Maintenance of records for urban bus operators; submittal of information; right of entry.
              (a) The operator of any urban bus for which this subpart is applicable shall maintain and retain the following adequately organized and indexed records beginning January 1, 1995. Each operator shall keep such records until the five year anniversary of a rebuild or until the engine is rebuilt again, whichever occurs first.
              (1) General records. The records required to be maintained under this paragraph shall consist of all purchase records, receipts, and part numbers for parts and components used in the rebuilding of urban bus engines.
              (2) Individual records. A brief history of each urban bus subject to the rebuild provisions prescribed under this section including the records and documentation required to be maintained under § 85.1403(f) of this subpart.
              (3) Fuel purchase records. The records required under this paragraph consist of all purchase records of fuels for which the operator is claiming additional emission reductions under § 85.1403(c)(2)(iii)(E), purchase records for fuel additives required for use with equipment, and purchase records for fuels, other than diesel fuel, which are used with dual-fueled engines.
              (b)(1) Any operator subject to the requirements under this section shall provide any EPA Enforcement Officer, upon presentation of credentials during operating hours, access to the following:
              (i) Any facility where records required to be maintained under this section are generated or stored.
              (ii) Any facility where engine rebuilding or replacement takes place.
              (2) Upon admission to any facility referred to in paragraph (b)(1) of this section, any EPA Enforcement Officer shall be allowed:
              (i) To inspect and make copies of records required to be maintained under this section.
              (ii) To inspect and photograph any urban bus and engine subject to the standards set forth in § 85.1403 of this subpart.
              (iii) To inspect and monitor any activity related to the rebuilding or replacement of an engine in an urban bus for which these regulations are applicable as described in § 85.1401 of this subpart.

              § 85.1405
              Applicability.
              The provisions of §§ 85.1405 through 85.1414 apply to retrofit/rebuild equipment which is to be installed on or used with 1993 and earlier model year urban buses whose engines are rebuilt or replaced after January 1, 1995. For the purposes of §§ 85.1405 through 85.1414, “equipment” includes alternative fuels and fuel additives to be used with urban bus engines.

              § 85.1406
              Certification.
              (a) Certification compliance shall be demonstrated as follows:
              (1) Test procedure and emission results. The emission test to be used is the heavy-duty engine Federal Test Procedure as set forth in the applicable portions of part 86 of this chapter or an approved alternative test procedure prescribed under § 85.1414. Certification emission testing must be carried out using representative production equipment as provided in paragraph (b) of this section. The test results must demonstrate that the retrofit/rebuild equipment will comply with either the particulate emission requirements of §§ 85.1403(b)(1)(i) or 85.1403(b)(2)(i), or provide some level of particulate emission reduction, and will not cause the urban bus engine to fail to meet any applicable Federal emission requirements set for that engine in the applicable portions of 40 CFR part 86, provided the equipment is properly installed.
              (2) Emission test engine selection. (i) The test engine used must represent the “worst case” with respect to particulate emissions of all those engine configurations for which the retrofit/rebuild equipment is being certified. The worst case engine configuration shall be the engine configuration having the highest engine-out particulate matter emission levels, when properly maintained and used, prior to installation of the retrofit/rebuild equipment. EPA reserves the right to request data or information showing that the particulate emission reduction efficiency of the retrofit/rebuild equipment being certified under this paragraph, for use with more than one engine family, does not vary significantly among the engine families.
              (ii) The results of certification tests using the worst case engine selections made in this section shall be applicable for the other engine configurations for which the retrofit/rebuild equipment is designed.

              (iii) The worst case test engine selected for certification emission testing is not required to meet Federal emission standards before the retrofit/rebuild equipment is installed. However, each test engine shall have representative emissions performance that is close to the standards and have no obvious or suspected emission defects. Each test engine shall be tuned properly and set to the engine manufacturer's specifications before testing is performed. Any excessively worn or malfunctioning emission related part shall be repaired or replaced with a new part prior to testing.
              (iv) To demonstrate compliance with the particulate emission requirements of § 85.1403(b)(1)(i), the test engine used may be a new unused engine, an in-use engine that has been rebuilt previously, or an in-use engine that has not been rebuilt previously.
              (v) (A) To demonstrate compliance with the particulate emission requirements of § 85.1403(b)(2)(i) on engines for which particulate certification data exists, the test engine used may be a new unused engine, an in-use engine that has been rebuilt previously, or an in-use engine that has not been rebuilt previously.
              (B) To demonstrate compliance with the particulate emission requirements of § 85.1403(b)(2)(i) on engines for which no particulate certification data exists, the test engine used may be a new unused engine, or an in-use engine that is newly rebuilt to its original configuration.
              (b) Diesel test fuel. Federally required low sulfur diesel fuel (with a sulfur content of 0.05 weight percent) shall be used for all new emissions testing required to be performed for certification of retrofit/rebuild equipment for diesel-fueled urban bus engines.
              (c) Test equipment selection. Certification shall be based upon tests utilizing representative production equipment selected in a random manner.
              (d) Replacing original equipment parts. Installation of any certified retrofit/rebuild equipment shall not result in the permanent removal or rendering inoperative of any original equipment emission related part other than the part(s) being replaced. Furthermore, installation of any certified retrofit/rebuild equipment shall not cause or contribute to an unreasonable risk to the public health, welfare or safety, or result in any additional range of parameter adjustability or accessibility to adjustment than that of the vehicle manufacturer's emission related part.
              (e) Affects on engine on-board diagnostic system. Installation of any certified retrofit/rebuild equipment shall not alter or render inoperative any feature of the on-board diagnostic system incorporated by the engine manufacturer. The certified equipment may integrate with the existing diagnostic system if it does not alter or render inoperative any features of the system.
              (f) In-use enforcement. (1) As a condition of certification, the equipment certifier agrees to notify operators who have installed this equipment and repair the equipment without cost to the operator when the Agency determines that a substantial number of the equipment kits, when properly maintained and used, and in actual use throughout the in-use compliance period, do not meet emission requirements.
              (2) If the equipment certifier disagrees with such determination of nonconformity and so advises the Agency, the Administrator shall afford the equipment certifier and other interested persons an opportunity to present their views and evidence in support thereof at a public hearing conducted in accordance with procedures found in 40 CFR part 1068, subpart G.
              [58 FR 21386, Apr. 21, 1993, as amended at 81 FR 73972, Oct. 25, 2016]

              § 85.1407
              Notification of intent to certify.
              (a) Prior to the sale of any certified retrofit/rebuild equipment, notification of the intent to certify must be approved by the MOD Director.
              (1) All notifications shall include:
              (i) Identification of the candidate retrofit/rebuild equipment to be certified, including a list of parts and part numbers;

              (ii) Identification of all engine configurations for which the equipment is being certified including make(s), engine model(s), model year(s), engine size(s) and all other specific configuration characteristics necessary to assure that the equipment will not be installed in any configuration for which it has not been certified;

              (iii) All results and documentation of tests and procedures used by the equipment certifier as evidence of compliance with the emission requirements specified in § 85.1406;
              (iv) A description of the test equipment selection criteria used, and a statement that the test equipment used for certification testing is representative production equipment consistent with § 85.1406(c);
              (v) A description of the test engine selection criteria used, and rationale that supports the technical judgment of the equipment certifier that the engine configuration used for certification testing represents worst case with respect to particulate matter emissions of all those configurations for which the retrofit/rebuild equipment is being certified, and all data that supports that conclusion;
              (vi) A copy of the written instructions for proper maintenance and use of the equipment, including instructions as to whether the engine must be rebuilt to its original configuration before installing the equipment;
              (vii) The scheduled maintenance required for the equipment over the in-use compliance period, including service intervals of the retrofit/rebuild equipment which detail the maintenance and replacement intervals in months and/or miles, as applicable;
              (viii) A copy of the warranty language to be provided to the operator pursuant to both §§ 85.1409(a) and 85.1409(b);
              (ix) A statement of commitment and willingness to comply with all the relevant terms and conditions of this subpart;
              (x) A statement by the equipment certifier that use of its certified equipment will not cause a substantial increase to urban bus engine emissions in any normal driving mode not represented during certification testing; and
              (xi) The office or officer of the equipment certifier authorized to receive correspondence regarding certification requirements pursuant to this subpart.
              (2) If an equipment certifier wishes to certify equipment for use under § 85.1403(b) for all affected urban bus operators as specified in § 85.1401, the notification shall also contain all data and documentation used by the equipment certifier as evidence of compliance with the life cycle cost requirements specified in § 85.1403(b)(1)(ii) or § 85.1403(b)(2)(ii); including:
              (i) The price to be charged to an urban bus operator for the equipment, excluding shipping and handling costs and taxes;
              (ii) A detailed breakout of the total number of hours necessary to install the equipment, and the number of hours necessary to install the equipment, incremental to a standard rebuild;
              (iii) For equipment not requiring a change from on road diesel fuel, the percent change in fuel economy for an urban bus engine retrofitted with the equipment compared to the original engine based on testing performed over the heavy-duty engine Federal test procedure or an approved alternative test procedure prescribed under § 85.1414, including all test data supporting the reported change in fuel economy;
              (iv) For alternatively-fueled equipment, the fuel economy of the retrofitted engine based on testing performed over an approved test procedure prescribed under § 85.1414, including all test data supporting the reported fuel economy, and the unit price of the alternative fuel that will be charged to all affected urban bus operators;
              (v) For equipment requiring a fuel additive, the amount of fuel additive required per gallon of fuel and the unit price of the fuel additive that will be charged to all affected urban bus operators; and
              (vi) A list of the scheduled maintenance for an engine with the retrofit, and a detailed breakdown of the cost of the parts necessary to perform scheduled maintenance, incremental to the cost of the parts necessary for maintenance typically performed on an engine without the equipment.

              (3) If an equipment certifier wishes to certify equipment for use under § 85.1403(b), but not for use by all affected urban bus operators as specified in § 85.1401, the notification shall, in addition to the data and documentation specified in paragraph (a)(1) of this section, also contain data and documentation that demonstrate compliance with the life cycle cost requirements specified in § 85.1403(b)(1)(ii) or § 85.1403(b)(2)(ii) including:
              (i) A detailed breakout of the total number of hours necessary to install the equipment, and the number of hours necessary to install the equipment, incremental to a standard rebuild;
              (ii) The percent change in fuel economy for an urban bus engine retrofitted with the equipment compared to the original engine based on testing performed over the heavy-duty engine Federal test procedure or an approved alternative test procedure prescribed under § 85.1414, including all test data supporting the reported change in fuel economy;
              (iii) A list of the scheduled maintenance for an engine with the retrofit, and a detailed breakdown of the cost of the scheduled maintenance, incremental to the cost of maintenance typically performed on an engine without the equipment;
              (iv) For alternatively-fueled equipment, the fuel economy of the retrofitted engine based on testing performed over an approved test procedure prescribed under § 85.1414, including all test data supporting the reported fuel economy;
              (v) For equipment requiring a fuel additive, the amount of fuel additive required per gallon of fuel; and
              (vi) A description of the type of urban bus operator to which the equipment certifier expects to sell the equipment for less than the life cycle cost requirements specified in § 85.1403(b)(1)(ii) or § 85.1403(b)(2)(ii).
              (4) The notification shall be signed by an officer of the equipment certifier attesting to the accuracy and completeness of the information supplied in the notification.
              (5) Notification to the Agency shall be by certified mail or another method by which date of receipt can be established.
              (6) Two complete and identical copies of the notification and any subsequent industry comments on any such notification shall be submitted by the equipment certifier to: MOD Director, MOD (6405J), Attention: Retrofit/Rebuild Equipment, 401 “M” Street SW., Washington, DC 20460.

              (7) A copy of the notification submitted under paragraph (a)(6) of this section will be placed in a public docket and a summary will be published in the Federal Register. Any party interested in the outcome of the decision as to whether retrofit/rebuild equipment may be certified, may submit comments to the MOD Director on any notice in the public docket for 45 days after the summary of the notification of intent to certify has been published in the Federal Register.

              (b)(1) For an urban bus operator to take credit for additional particulate emission reductions for use of a clean diesel fuel under § 85.1403(c)(2)(iii)(E), the following information must be submitted to the Agency:
              (i) The additional percent reduction in particulate emissions for engines operated on the clean diesel fuel.
              (A) The additional percent reduction in particulate emissions shall be calculated based on the results of emission tests performed on urban bus engines using federally required low sulfur fuel and the fuel for which the certifier is demonstrating addition emission reductions.
              (B) The additional percent reduction in particulate emissions shall be calculated based on the following equation:

                en30au93.029

              (ii) The emission testing results for hydrocarbons, carbon monoxide, and oxides of nitrogen. The results must show that use of the clean diesel fuel does not lead to increases in any of these emissions.
              (2) Emission test results must be submitted for all of the engine models for which an urban bus operator wishes to claim additional particulate emission reductions.
              (3) Emissions test results shall be measured over the heavy-duty engine Federal test procedure or an approved alternative test procedure prescribed under § 85.1414.

              (c) The MOD Director reserves the right to review an application to determine if the submitted documents adequately meet all the requirements for certification specified in §§ 85.1406 and 85.1407. The MOD Director shall determine and will publish in the Federal Register the effective date of certification of the candidate equipment. Equipment may be sold as certified after the effective date of certification.

                Effective Date Note:
                At 58 FR 21386, Apr. 21, 1993, § 85.1407 was added. This section contains information collection and recordkeeping requirements that will not become effective until approval has been given by the Office of Management and Budget.

              § 85.1408
              Objections to certification.
              (a) At any time prior to certification, the MOD Director may notify the equipment certifier that such equipment shall not be certified pending further investigation. The basis upon which this notification shall be made may include, but not be limited to, information or test results submitted by the equipment certifier, or public comments submitted on the equipment which indicate:
              (1) The test procedure used to demonstrate compliance with the particulate matter emission standard or percent reduction of § 85.1403 was not in compliance with the heavy-duty engine Federal Test Procedure of 40 CFR part 86 or an alternative test procedure approved by the Agency under § 85.1414; or
              (2) Use of the candidate equipment may cause an urban bus engine to exceed any applicable emission requirements; or
              (3) Use of the candidate equipment could cause or contribute to an unreasonable risk to public health, welfare or safety in its operation or function; or
              (4) Installation of the candidate equipment requires procedures or materials which would likely cause such equipment to be improperly installed under normal conditions or would likely result in an urban bus engine being misadjusted; or
              (5) Information and/or data required to be in the notification of intent to certify as provided by § 85.1407 have not been provided or may be inadequate; or
              (6) The life cycle cost estimates provided by the equipment certifier do not accurately reflect the true life cycle costs for the candidate equipment.

              (b) The equipment certifier must respond in writing to the statements made in the notification by the MOD Director, or the MOD Director shall withdraw the equipment certifier's notification of intent to certify. A copy of the certifier's response will be placed in the public docket.

              (1) Any party interested in the outcome of a decision as to whether retrofit/rebuild equipment may be certified may provide the MOD Director with any relevant written information up to ten days after the certifier responds to the MOD Director's objection.
              (2) Any interested party may request additional time to respond to the information submitted by the equipment certifier. The MOD Director upon a showing of good cause by the interested party may grant an extension of time to reply up to 30 days.
              (3) The equipment certifier may reply to information submitted by interested parties. Notification of intent to reply shall be submitted to the MOD Director within 10 days of the date information from interested parties is submitted to the MOD Director.
              (4) The MOD Director may, at his or her discretion, allow oral presentations by the equipment certifier or any interested party in connection with contested equipment certification.
              (c) If notification has been provided to an equipment certifier pursuant to paragraph (a) of this section, the MOD Director shall, after reviewing all pertinent data and information, render a decision and inform the equipment certifier in writing as to whether such equipment may be certified and, if so, under what conditions the equipment may be certified. The written decision shall include an explanation of the reasons therefor.
              (1) The decision by the MOD Director shall be provided to the certifier after receipt of all necessary information by the certifier or interested parties, or of the date of any oral presentation regarding the certification, whichever occurs second.
              (2) A copy of the decision shall be sent to all interested parties identified in paragraphs (b)(3) and (b)(4) of this section.
              (3) Within 20 days of receipt of a decision made pursuant to paragraph (c) of this section, any party may file a written appeal to the Office Director. The Office Director may, in his or her discretion, allow additional oral or written submissions, prior to rendering a final decision. The schedule for such submission shall be in accordance with the schedule specified in § 85.1408(b).
              (4) If no party files an appeal with the Office Director within 20 days, then the decision of the MOD Director shall be final.
              (5) The Office Director shall make a final decision regarding the certification of equipment after receipt of all necessary information by the equipment certifier or from the date of any oral presentation, whichever occurs later.

              (6) A copy of all final decisions made under this section shall be published in the Federal Register.

              § 85.1409
              Warranty.
              (a) As a condition of certification, the retrofit/rebuild equipment certifier shall warrant that if the certified equipment is properly installed and maintained as stated in the written instructions for proper maintenance and use, the equipment will not cause an urban bus engine to exceed the emission requirements of this subpart and the emission standards set forth in 40 CFR part 86. This retrofit/rebuild equipment warranty shall extend for a period of 150,000 miles from when the equipment is installed.
              (b) As a condition of certification, the retrofit/rebuild equipment certifier shall provide an emissions defect warranty that if the certified equipment is properly installed and maintained as stated in the written instructions for proper maintenance and use, the equipment certifier will replace all defective parts, free of charge. This emissions defect warranty shall extend for a period of 100,000 miles from when the equipment is installed.

              § 85.1410
              Changes after certification.
              The equipment certifier shall recertify any retrofit/rebuild equipment which was certified pursuant to § 85.1406 and to which modifications are made affect emissions or the capability of the equipment to meet any other requirement of this subpart.

              § 85.1411
              Labeling requirements.

              (a) All retrofit/rebuild equipment certified pursuant to this subpart shall contain a label that shall be affixed to the rebuilt engine which states, “Certified to EPA Urban Bus Engine Rebuild Standards,” the model and serial number of the equipment, the particulate emissions certification level of the equipment, and the name of the equipment certifier or other party designated to determine the validity of warranty claims. The label containing the information must be made durable and readable for at least the in-use compliance period of the equipment.
              (b) The package in which the certified retrofit/rebuild equipment is contained, or an insert as described in paragraph (c) of this section, must have the following information conspicuously placed thereon:
              (1) The statement “Certified by (name of certifier or warranter) to EPA Urban Bus Engine Rebuild Emission Standards”; and
              (2) A list of the vehicles or engines (in accordance with § 85.1407(a)(1)(ii)) for which the equipment is certified, unless such information is provided as specified in paragraph (d) of this section.
              (c) The package in which the certified retrofit/rebuild equipment is contained must include the following information provided on a written insert:
              (1) A list of the vehicles or engines (in accordance with § 85.1407(a)(1)(ii)) for which the equipment is certified, unless such information is provided as specified in paragraph (d) of this section;
              (2) A list of all of the parts and identification numbers for the parts included in the package;
              (3) The instructions for proper installation of the equipment;
              (4) A statement of the maintenance or replacement interval for which the retrofit/rebuild equipment is certified; and
              (5) A description of the maintenance necessary to be performed on the retrofit/rebuild equipment in the proper maintenance and use of the equipment.
              (d) The information required by paragraphs (b)(2) and (c)(1) of this section may be provided in a catalog rather than on the package or on an insert, provided that access to the catalog is readily available to purchasers and installers of the equipment.
              (e) When an equipment certifier desires to certify existing in-service stocks of its products, it may do so provided:
              (1) The equipment does not differ in any operational or durability characteristic from the equipment specified in the notification made pursuant to § 85.1407; and
              (2) An information sheet is made available to all parties selling the equipment.
              (i) The information sheet shall be provided with all equipment sold as certified; and
              (ii) The information sheet shall contain all of the information specified in paragraph (b) of this section.

                Effective Date Note:
                At 58 FR 21386, Apr. 21, 1993, § 85.1411 was added. This section contains information collection and recordkeeping requirements that will not become effective until approval has been given by the Office of Management and Budget.

              § 85.1412
              Maintenance and submittal of records for equipment certifiers.
              (a) For each certified retrofit/rebuild equipment, the equipment certifier must establish, maintain and retain for 5 years from the date of certification the following adequately organized and indexed records:
              (1) Detailed production drawings showing all dimensions, tolerances, performance requirements and material specifications and any other information necessary to completely describe the equipment;
              (2) All data obtained during testing of the equipment and subsequent analyses based on that data, including the mileage and the vehicle or engine configuration determinants;
              (3) All information used in determining those vehicles or engine for which the equipment is represented as being equivalent from an emissions standpoint to the original equipment being replaced;
              (4) A description of the quality control plan used to monitor production and assure compliance of the equipment with the applicable certification requirements;

              (5) All data taken in implementing the quality control plan, and any subsequent analyses of that data; and

              (6) All in-service data, analyses performed by the equipment certifier and correspondence with vendors, distributors, consumers, retail outlets or engine manufacturers regarding any design, production or in-service problems associated with 25 or more pieces of any certified equipment.
              (b) The records required to be maintained in paragraph (a) of this section shall be made available to the Agency upon the written request of the MOD Director.
              (c) If the equipment certifier is selling equipment that is not certified as available to all affected urban bus operators under § 85.1403(b) and § 85.1407, then the equipment certifier shall submit to EPA, at the time an offer is made, a copy of all offers made to affected urban bus operators for which the equipment certifier has offered to sell its certified equipment for less than the life cycle cost limits specified in § 85.1403(b)(1)(iii) or § 85.1403(b)(2)(iii). The equipment certifier may assert that some of the information is entitled to confidential treatment as provided in § 85.1414.

                Effective Date Note:
                At 58 FR 21386, Apr. 21, 1993, § 85.1412 was added. This section contains information collection and recordkeeping requirements that will not become effective until approval has been given by the Office of Management and Budget.

              § 85.1413
              Decertification.
              (a) The MOD Director may notify an equipment certifier that the Agency has made a preliminary determination that certain retrofit/rebuild equipment should be decertified.
              (1) Such a preliminary determination may be made if there is reason to believe that the equipment manufactured has failed to comply with §§ 85.1405 through 85.1414. Information upon which such a determination will be made includes but is not limited to the following:
              (i) The equipment was certified on the basis of emission tests, and the procedures used in such tests were not in substantial compliance with a portion or portions of the heavy-duty engine Federal Test Procedure contained in 40 CFR part 86 or an alternative test prescribed under 40 CFR 85.1414; or
              (ii) Use of the certified equipment is causing urban bus engine emissions to exceed emission requirements for any regulated pollutant; or
              (iii) Use of the certified equipment causes or contributes to an unreasonable risk to public health, welfare or safety or severely degrades driveability operation or function; or
              (iv) The equipment has been modified in a manner requiring recertification pursuant to § 85.1410; or
              (v) The certifier of such equipment has not established, maintained or retained the records required pursuant to § 85.1412 or fails to make the records available to the MOD Director upon written request pursuant to § 85.1412; or
              (vi) The life cycle cost of the equipment exceeds the limits specified in § 85.1403(b)(1)(iii) or § 85.1403(b)(2)(iii).
              (2) Notice of a preliminary determination to decertify shall contain:
              (i) A description of the noncomplying equipment;
              (ii) The basis for the MOD Director's preliminary decision; and
              (iii) The date by which the certifier must:
              (A) Terminate the sale of the equipment as certified equipment; or
              (B) Make the necessary change (if so recommended by the Agency); or
              (C) Request an opportunity in writing to dispute the allegations of the preliminary decertification.
              (b) If the equipment certifier requests an opportunity to respond to the preliminary determination, the certifier and other parties interested in the MOD Director's decision whether to decertify the equipment shall, within 15 days of the date of the request, submit written presentations, including the relevant information and data, to the MOD Director. The MOD Director, in his or her discretion, may provide an opportunity for oral presentations.
              (1) Any interested party may request additional time to respond to the information submitted by the equipment certifier. The MOD Director upon a showing of good cause by the interested party may grant an extension of time to reply up to 30 days.

              (2) The equipment certifier may have an extension of up to 30 days to reply to information submitted by interested parties. Notification of intent to reply shall be submitted to the MOD Director within 10 days of the date information from interested parties is submitted to the MOD Director.
              (c) If an equipment certifier has disputed the allegations of the preliminary decisions, the MOD Director shall, after reviewing any additional information, notify the equipment certifier of his or her decision whether the equipment may continue to be sold as certified. This notification shall include an explanation upon which the decision was made and the effective date for decertification, where appropriate.
              (d) Within 20 days from the date of a decision made pursuant to paragraph (c) of this section, any adversely affected party may appeal the decision to the Office Director.
              (1) A petition for appeal to the Office Director must state all of the reasons why the decision of the MOD Director should be reversed.
              (2) The Office Director may, in his or her discretion, allow additional oral or written testimony.
              (3) If no appeal is filed with the Office Director within the permitted time period, the decision of the MOD Director shall be final.
              (e) If a final decision is made to decertify equipment under paragraph (d) of this section, the certifier of such equipment shall notify his immediate customers that, as of the date of the final determination, the equipment in question has been decertified. The equipment certifier shall offer to replace decertified equipment in the customer's inventory with certified replacement equipment or, if unable to do so, shall at the customer's request repurchase such inventory at a reasonable price. The immediate customers must stop selling the equipment once the certifier has notified the customer that the equipment has been decertified.
              (f) Notwithstanding the requirements of paragraph (e) of this section, equipment purchased by an urban bus operator prior to decertification, shall be considered certified pursuant to this subpart.

              § 85.1414
              Alternative test procedures.
              As a part of the certification process, as set forth in § 85.1406, a certifier may request that the Agency approve an alternative test procedure, other than the heavy-duty engine Federal test procedure, to show compliance with the 25 percent reduction in particulate matter emissions as noted in § 85.1403(b)(2)(i). The alternative test may be a chassis-based test, but the alternative test shall be representative of in-use urban bus operation. The requestor shall supply relevant technical support to substantiate its claim of representativeness. Upon an acceptable showing that an alternative test is representative of in-use urban bus operation, the Agency shall determine whether to set such alternative test procedures through rulemaking. The provisions of the certification process apply to such a request for alternative procedures.

                Effective Date Note:
                At 58 FR 21386, Apr. 21, 1993, § 85.1414 was added. This section contains information collection and recordkeeping requirements that will not become effective until approval has been given by the Office of Management and Budget.

              § 85.1415
              Treatment of confidential information.
              (a) Any certifier may assert that some or all of the information submitted pursuant to this subpart is entitled to confidential treatment as provided by 40 CFR part 2, subpart B.
              (b) Any claim of confidentiality must accompany the information at the time it is submitted to the Agency.

              (c) To assert that information submitted pursuant to this subpart is confidential, a certifier must indicate clearly the items of information claimed confidential by marking, circling, bracketing, stamping, or otherwise specifying the confidential information. In addition to the complete and identical copies submitted pursuant to § 85.1407(a)(6), the submitter shall also provide two identical copies of its submittal from which all confidential information shall be deleted. If a need arises to publicly release nonconfidential information, the Agency will assume that the submitter has accurately deleted all confidential information from this second copy.

              (d) If a claim is made that some or all of the information submitted pursuant to this subpart is entitled to confidential treatment, the information covered by that confidentiality claim will be disclosed by the Administrator only to the extent and by means of the procedures set forth in 40 CFR part 2, subpart B.
              (e) Information provided without a claim of confidentiality at the time of submission may be made available to the public by the Agency without further notice to the submitter, in accordance with 40 CFR 2.204(c)(2)(i)(A).

            Subpart P—Importation of Motor Vehicles and Motor Vehicle Engines

              Authority:
              42 U.S.C. 7522, 7525, 7541, 7542(a) and 7601(a).

              Source:
              52 FR 36156, Sept. 25, 1987, unless otherwise noted.

              § 85.1501
              Applicability.
              (a) Except where otherwise indicated, this subpart is applicable to motor vehicles and motor vehicle engines which are offered for importation or imported into the United States and for which the Administrator has promulgated regulations under part 86 prescribing emission standards but which are not covered by certificates of conformity issue d under section 206(a) of the Clean Air Act (i.e., which are nonconforming vehicles as defined below), as amended, and part 86 at the time of conditional importation. Compliance with regulations under this subpart shall not relieve any person or entity from compliance with other applicable provisions of the Clean Air Act.
              (b) Regulations prescribing further procedures for importation of motor vehicles and motor vehicle engines into the Customs territory of the United States, as defined in 19 U.S.C. 1202, are set forth at 19 CFR 12.73.
              (c) References in this subpart to engine families and emission control systems shall be deemed to apply to durability groups and test groups as applicable for manufacturers certifying new light-duty vehicles, light-duty trucks, and Otto-cycle complete heavy-duty vehicles under the provisions of 40 CFR part 86, subpart S.
              [52 FR 36156, Sept. 25, 1987, as amended at 64 FR 23919, May 4, 1999; 65 FR 59943, Oct. 6, 2000]

              § 85.1502
              Definitions.
              (a) As used in this subpart, all terms not defined herein have the meanings given them in 19 CFR 12.73, in the Clean Air Act, as amended, and elsewhere in parts 85 and 86 of this chapter.
              (1) Act. The Clean Air Act, as amended (42 U.S.C. 7401 et seq.).
              (2) Administrator. The Administrator of the Environmental Protection Agency.
              (3) Certificate of conformity. The document issued by the Administrator under section 206(a) of the Act.
              (4) Certificate holder. The entity in whose name the certificate of conformity for a class of motor vehicles or motor vehicle engines has been issued.
              (5) The Federal Compliance Testing sequence (FCT). The testing sequence that incorporates all of the testing requirements of part 86 applicable at the time of an emissions test conducted pursuant to this subpart.
              (6) FTP. The Federal Test Procedure at part 86.
              (7) Independent commercial importer (ICI). An importer who is not an original equipment manufacturer (OEM) (see definition below) or does not have a contractual agreement with an OEM to act as its authorized representative for the distribution of motor vehicles or motor vehicle engines in the U.S. market.
              (8) Model year. The manufacturer's annual production period (as determined by the Administrator) which includes January 1 of such calendar year; Provided, That if the manufacturer has no annual production period, the term “model year” shall mean the calendar year in which a vehicle is modified. A certificate holder shall be deemed to have produced a vehicle or engine when the certificate holder has modified the nonconforming vehicle or engine.
              (9) Nonconforming vehicle or engine. A motor vehicle or motor vehicle engine which is not covered by a certificate of conformity prior to final or conditional importation and which has not been finally admitted into the United States under the provisions of § 85.1505, § 85.1509 or the applicable provisions of § 85.1512. Excluded from this definition are vehicles admitted under provisions of § 85.1512 covering EPA approved manufacturer and U.S. Government Agency catalyst and O2 sensor control programs.
              (10) Original equipment manufacturer (OEM). The entity which originally manufactured the motor vehicle or motor vehicle engine prior to conditional importation.
              (11) Original production (OP) year. The calendar year in which the motor vehicle or motor vehicle engine was originally produced by the OEM.
              (12) Original production (OP) years old. The age of a vehicle as determined by subtracting the original production year of the vehicle from the calendar year of importation.
              (13) Running changes. Those changes in vehicle or engine configuration, equipment or calibration which are made by an OEM or ICI in the course of motor vehicle or motor vehicle engine production.
              (14) United States. United States includes the States, the District of Columbia, the Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana Islands, Guam, American Samoa, and the U.S. Virgin Islands.
              (15) Useful life. A period of time/mileage as specified in part 86 for a nonconforming vehicle which begins at the time of resale (for a motor vehicle or motor vehicle engine owned by the ICI at the time of importation) or release to the owner (for a motor vehicle or motor vehicle engine not owned by the ICI at the time of importation) of the motor vehicle or motor vehicle engine by the ICI after modification and/or test pursuant to § 85.1505 or § 85.1509.
              (16) Working day. Any day on which Federal government offices are open for normal business. Saturdays, Sundays, and official Federal holidays are not working days.
              (b) [Reserved]
              [52 FR 36156, Sept. 25, 1987, as amended at 61 FR 5842, Feb. 14, 1996; 70 FR 40430, July 13, 2005]

              § 85.1503
              General requirements for importation of nonconforming vehicles and engines.
              (a) A nonconforming vehicle or engine offered for importation into the United States must be imported by an ICI who is a current holder of a valid certificate of conformity unless an exemption or exclusion is granted by the Administrator under § 85.1511 of this subpart or the vehicle is eligible for entry under § 85.1512.
              (b) Final admission shall not be granted unless:
              (1) The vehicle or engine is covered by a certificate of conformity issued in the name of the importer under part 86 and the certificate holder has complied with all requirements of § 85.1505; or
              (2) The vehicle or engine is modified and emissions tested in accordance with the provisions of § 85.1509 and the certificate holder has complied with all other requirements of § 85.1509; or
              (3) The vehicle or engine is exempted or excluded under § 85.1511; or
              (4) The vehicle was covered originally by a certificate of conformity and is otherwise eligible for entry under § 85.1512.
              (c) In any one certificate year (e.g., the current model year), an ICI may finally admit no more than the following numbers of nonconforming vehicles or engines into the United States under the provisions of § 85.1505 and § 85.1509, except as allowed by paragraph (e) of this section:
              (1) 5 heavy-duty engines.
              (2) A total of 50 light-duty vehicles, light-duty trucks, and medium-duty passenger vehicles.
              (3) 50 highway motorcycles.
              (d) For ICIs owned by a parent company, the importation limits in paragraph (c) of this section include importation by the parent company and all its subsidiaries.

              (e) An ICI may exceed the limits outlined paragraphs (c) and (d) of this section, provided that any vehicles/engines in excess of the limits meet the emission standards and other requirements outlined in the provisions of § 85.1515 for the model year in which the motor vehicle/engine is modified (instead of the emission standards and other requirements applicable for the OP year of the vehicle/engine).
              [52 FR 36156, Sept. 25, 1987, as amended at 70 FR 40430, July 13, 2005]

              § 85.1504
              Conditional admission.
              (a) A motor vehicle or motor vehicle engine offered for importation under § 85.1505, § 85.1509 or § 85.1512 may be conditionally admitted into the United States, but shall be refused final admission unless:
              (1) At the time of conditional admission, the importer has submitted to the Administrator a written report that the subject vehicle or engine has been permitted conditional admission pending EPA approval of its application for final admission under § 85.1505, § 85.1509, or § 85.1512. This written report shall contain the following:
              (i) Identification of the importer of the vehicle or engine and the importer's address and telephone number;
              (ii) Identification of the vehicle or engine owner and the vehicle or engine owner's address, telephone number and taxpayer identification number;
              (iii) Identification of the vehicle or engine;
              (iv) Information indicating under what provision of these regulations the vehicle or engine is to be imported;
              (v) Identification of the place where the subject vehicle or engine will be stored until EPA approval of the importer's application to the Administrator for final admission;
              (vi) Authorization for EPA Enforcement Officers to conduct inspections or testing otherwise permitted by the Act or regulations thereunder;
              (vii) Identification, where applicable, of the certificate by means of which the vehicle is being imported;
              (viii) The original production year of the vehicle; and
              (ix) Such other information as is deemed necessary by the Administrator.
              (b) Such conditional admission shall not be under bond for a vehicle or engine which is imported under § 85.1505 or § 85.1509. A bond will be required for a vehicle or engine imported under applicable provisions of § 85.1512. The period of conditional admission shall not exceed 120 days. During this period, the importer shall store the vehicle or engine at a location where the Administrator will have reasonable access to the vehicle or engine for his/her inspection.

              § 85.1505
              Final admission of certified vehicles.
              (a) A motor vehicle or engine may be finally admitted into the United States upon approval of the certificate holder's application to the Administrator. Such application shall be made either by completing EPA forms or by submitting the data electronically to EPA's computer, in accordance with EPA instructions. Such application shall contain:
              (1) The information required in § 85.1504(a);
              (2) Information demonstrating that the vehicle or engine has been modified in accordance with a valid certificate of conformity. Such demonstration shall be made in one of the following ways:
              (i) Through an attestation by the certificate holder that the vehicle or engine has been modified in accordance with the provisions of the certificate holder's certificate, and presentation to EPA of a statement by the appropriate OEM that the OEM will provide to the certificate holder and to EPA information concerning running changes to the vehicle or engine described in the certificate holder's application for certification, and actual receipt by EPA of notification by the certificate holder of any running changes already implemented by the OEM at the time of application and their effect on emissions; or

              (ii) Through an attestation by the certificate holder that the vehicle or engine has been modified in accordance with the provisions of the certificate holder's certificate of conformity and that the certificate holder has conducted an FTP test, at a laboratory within the United States, that demonstrates compliance with Federal emission requirements on every third vehicle or third engine imported under that certificate within 120 days of entry, with sequencing of the tests to be determined by the date of importation of each vehicle or engine. Should the certificate holder have exceeded a threshold of 300 vehicles or engines imported under the certificate without adjustments or other changes in accordance with paragraph (a)(3) of this section, the amount of required FTP testing may be reduced to every fifth vehicle or engine. In order to make a demonstration under paragraph (a)(2)(i) of this section, a certificate holder must have received permission from the Administrator to do so;
              (3) The results of every FTP test which the certificate holder conducted on the vehicle or engine. Should a subject vehicle or engine have failed an FTP at any time, the following procedures are applicable:
              (i) The certificate holder may either:
              (A) Conduct one FTP retest that involves no adjustment of the vehicle or engine from the previous test (e.g., adjusting the RPM, timing, air-to-fuel ratio, etc.) other than adjustments to adjustable parameters that, upon inspection, were found to be out of tolerance. When such an allowable adjustment is made, the parameter may be reset only to the specified (i.e., nominal) value (and not any other value within the tolerance band); or
              (B) Initiate a change in production (running change) under the provisions of 40 CFR 86.084-14(c)(13) or 86.1842-01, as applicable, that causes the vehicle to meet Federal emission requirements.
              (ii) If the certificate holder chooses to retest in accordance with paragraph (a)(3)(i)(A) of this section:
              (A) Such retests must be completed no later than five working days subsequent to the first FTP test;
              (B) Should the subject vehicle or engine fail the second FTP, then the certificate holder must initiate a change in production (a running change) under the provisions of 40 CFR 86.084-14(c)(13) or 86.1842-01, as applicable, that causes the vehicle to meet Federal emission requirements.
              (iii) If the certificate holder chooses to initiate a change in production (a running change) under the provisions of 40 CFR 86.084-14(c)(13) or 86.1842-01 as applicable, that causes the vehicle to meet Federal requirements, changes involving adjustments of adjustable vehicle parameters (e.g., adjusting the RPM, timing, air/fuel ratio) must be changes in the specified (i.e., nominal) values to be deemed acceptable by EPA.
              (iv) Production changes made in accordance with this section must be implemented on all subsequent vehicles or engines imported under the certificate after the date of importation of the vehicle or engine which gave rise to the production change.
              (v) Commencing with the first vehicle or engine receiving the running change, every third vehicle or engine imported under the certificate must be FTP tested to demonstrate compliance with Federal emission requirements until, as in paragraph (a)(2)(ii) of this section, a threshold of 300 vehicles or engines imported under the certificate is exceeded, at which time the amount of required FTP testing may be reduced to every fifth vehicle or engine.
              (vi) Reports concerning these running changes shall be made to both the Manufacturers Operations and Certification Divisions of EPA within ten working days of initiation of the running change. The cause of any failure of an FTP shall be identified, if known;
              (4) The applicable deterioration factor;
              (5) The FTP results adjusted by the deterioration factor;
              (6) Such other information that may be specified by applicable regulations or on the certificate under which the vehicle or engine has been modified in order to assure compliance with requirements of the Act;
              (7) All information required under § 85.1510;
              (8) An attestation by the certificate holder that the certificate holder is responsible for the vehicle's or engine's compliance with Federal emission requirements, regardless of whether the certificate holder owns the vehicle or engine imported under this section;
              (9) The name, address and telephone number of the person who the certificate holder prefers to receive EPA notification under § 85.1505(c); and
              (10) Such other information as is deemed necessary by the Administrator.

              (b) EPA approval for final admission of a vehicle or engine under this section shall be presumed not to have been granted if a vehicle has not been properly modified to be in conformity in all material respects with the description in the application for certification or has not complied with the provisions of § 85.1505(a)(2) or its final FTP results, adjusted by the deterioration factor, if applicable, do not comply with applicable emission standards.
              (c) Except as provided in § 85.1505(b), EPA approval for final admission of a vehicle or engine under this section shall be presumed to have been granted should the certificate holder not have received oral or written notice from EPA to the contrary within 15 working days of the date of EPA's receipt of the certificate holder's application under § 85.1505(a). Such EPA notice shall be made to an employee of the certificate holder. If application is made on EPA forms, the date on a certified mail receipt shall be deemed to be the official date of notification to EPA. If application is made by submitting the data electronically, the date of acceptance by EPA's computer shall be deemed to be the official date of notification to EPA. During this 15 working day period, the vehicle or engine must be stored at a location where the Administrator will have reasonable access to the vehicle or engine for his/her inspection.
              [52 FR 36156, Sept. 25, 1987, as amended at 64 FR 23919, May 4, 1999]

              § 85.1506
              Inspection and testing of imported motor vehicles and engines.
              (a) In order to allow the Administrator to determine whether a certificate holder's production vehicles or engines comply with applicable emission requirements or requirements of this subpart, EPA Enforcement Officers are authorized to conduct inspections and/or tests of vehicles or engines imported by the certificate holder. EPA Enforcement Officers shall be admitted during operating hours upon demand and upon presentation of credentials to any of the following:
              (1) Any facility where any vehicle or engine imported by the certificate holder under this subpart was or is being modified, tested or stored; and

              (2) Any facility where any record or other document relating to modification, testing or storage of the vehicles or engines, or required to be kept by § 85.1507, is located.

              EPA may require inspection or retesting of vehicles or engines at the test facility used by the certificate holder or at an EPA-designated testing facility, with transportation and/or testing costs to be borne by the certificate holder.
              (b) Upon admission to any facility referred to in paragraph (a) of this section, any EPA Enforcement Officer shall be allowed during operating hours:
              (1) To inspect and monitor any part or aspect of activities relating to the certificate holder's modification, testing and/or storage of vehicles or engines imported under this subpart;
              (2) To inspect and make copies of any records or documents related to modification, testing and storage of a vehicle or engine, or required by § 85.1507; and
              (3) To inspect and photograph any part or aspect of any such vehicle or engine and any component used in the assembly thereof.
              (c) Any EPA Enforcement Officer shall be furnished, by those in charge of a facility being inspected, with such reasonable assistance as he/she may request to help him/her discharge any function listed in this subpart. A certificate holder shall cause those in charge of a facility operated for its benefit to furnish such reasonable assistance without charge to EPA (whether or not the certificate holder controls the facility).

              (d) The requirements of paragraphs (a), (b) and (c) of this section apply whether or not the certificate holder owns or controls the facility in question. Noncompliance with the requirements of paragraphs (a), (b) and (c) may preclude an informed judgment that vehicles or engines which have been or are being imported under this subpart by the certificate holder comply with applicable emission requirements or requirements of this subpart. It is the certificate holder's responsibility to make such arrangements as may be necessary to assure compliance with paragraphs (a), (b) and (c) of this section. Failure to do so, or other failure to comply with paragraphs (a), (b) and (c), may result in sanctions as provided for in the Act or § 85.1513(e).
              (e) Duly designated Enforcement Officers are authorized to proceed ex parte to seek warrants authorizing the inspection or testing of the motor vehicles or motor vehicle engines described in paragraph (a) of this section whether or not the Enforcement Officer first attempted to seek permission from the certificate holder or facility owner to inspect such motor vehicles or motor vehicle engines.
              (f) The results of the Administrator's test under this section shall comprise the official test data for the vehicle or engine for purposes of determining whether the vehicle or engine should be permitted final entry under § 85.1505 or § 85.1509.
              (g) For purposes of this section:
              (1) “Presentation of Credentials” shall mean display of the document designating a person as an EPA Enforcement Officer.
              (2) Where vehicle storage areas or facilities are concerned, “operating hours” shall means all times during which personnel other than custodial personnel are at work in the vicinity of the area or facility and have access to it.
              (3) Where facilities or areas other than those specified in paragraph (g)(2) of this section are concerned, “operating hours” shall mean all times during which the facility is in operation.
              (4) “Reasonable assistance” includes, but is not limited to, clerical, copying, interpreting and translating services, and the making available on request of personnel of the facility being inspected during their working hours to inform the EPA Enforcement Officer of how the facility operates and to answer his/her questions.

              § 85.1507
              Maintenance of certificate holder's records.
              (a) The certificate holder subject to any of the provisions of this subpart shall establish, maintain and retain for six years from the date of entry of a nonconforming vehicle or engine imported by the certificate holder, adequately organized and indexed records, correspondence and other documents relating to the certification, modification, test, purchase, sale, storage, registration and importation of that vehicle or engine, including but not limited to:
              (1) The declaration required by 19 CFR 12.73;
              (2) Any documents or other written information required by a Federal government agency to be submitted or retained in conjunction with the certification, importation or emission testing of motor vehicles or motor vehicle engines;
              (3) All bills of sale, invoices, purchase agreements, purchase orders, principal or agent agreements and correspondence between the certificate holder and the purchaser, of each vehicle or engine, and any agents of the above parties;
              (4) Documents providing parts identification data associated with the emission control system installed on each vehicle or engine demonstrating that such emission control system was properly installed on such vehicle or engine;
              (5) Documents demonstrating that, where appropriate, each vehicle or engine was emissions tested in accordance with the Federal Test Procedure.
              (6) Documents providing evidence that the requirements of § 85.1510 have been met.
              (7) Documents providing evidence of compliance with all relevant requirements of the Clean Air Act, the Energy Tax Act of 1978, and the Energy Policy and Conservation Act;
              (8) Documents providing evidence of the initiation of the “15 day hold” period for each vehicle or engine imported pursuant to § 85.1505 or § 85.1509;
              (9) For vehicles owned by the ICI at the time of importation, documents providing evidence of the date of sale subsequent to importation, together with the name, address and telephone number of the purchaser, for each vehicle or engine imported pursuant to § 85.1505 or § 85.1509;
              (10) For vehicles not owned by the ICI at the time of importation, documents providing evidence of the release to the owner subsequent to importation for each vehicle or engine imported pursuant to § 85.1505 or § 85.1509; and

              (11) Documents providing evidence of the date of original manufacture of the vehicle or engine.

              (b) The certificate holder is responsible for ensuring the maintenance of records required by this section, regardless of whether facilities used by the certificate holder to comply with requirements of this subpart are under the control of the certificate holder.

              § 85.1508
              “In Use” inspections and recall requirements.
              (a) Vehicles or engines which have been imported, modified and/or FTP tested by a certificate holder pursuant to § 85.1505 or § 85.1509 may be inspected and emission tested by EPA throughout the useful lives of the vehicles or engines.
              (b) Certificate holders shall maintain for six years, and provide to EPA upon request, a list of owners of all vehicles or engines imported by the certificate holder under this subpart.
              (c) A certificate holder will be notified whenever the Administrator has determined that a substantial number of a class or category of the certificate holder's vehicles or engines, although properly maintained and used, do not conform to the regulations prescribed under section 202 when in actual use throughout their useful lives (as determined under section 202(d)). After such notification, the Recall Regulations at 40 CFR part 1068, subpart G, shall govern the certificate holder's responsibilities and references to a manufacturer in the Recall Regulations shall apply to the certificate holder.
              [52 FR 36156, Sept. 25, 1987, as amended at 81 FR 73972, Oct. 25, 2016]

              § 85.1509
              Final admission of modification and test vehicles.
              (a) Except as provided in paragraphs (b), (c), (d), (e), and (f) of this section, a motor vehicle or motor vehicle engine may be imported under this section by a certificate holder possessing a currently valid certificate of conformity only if:
              (1)(i) The vehicle or engine is six OP years old or older; or
              (ii) The vehicle was owned, purchased and used overseas by military or civilian employees of the U.S. Government and
              (A) An ICI does not hold a currently valid certificate for that particular vehicle; and
              (B) The Federal agency employing the owner of such vehicle determines that such owner is stationed in an overseas area which either prohibits the importation of U.S.-certified vehicles or which does not have adequate repair facilities for U.S.-certified vehicles; and
              (C) The Federal agency employing the personnel owning such vehicles determines that such vehicles are eligible for shipment to the United States at U.S. Government expense; and
              (2) The certificate holder's name has not been placed on a currently effective EPA list of certificate holders ineligible to import such modification/test vehicles, as described in paragraph (j) of this section.
              (b) In calendar year 1988, a motor vehicle or motor vehicle engine originally produced in calendar years 1983 through 1987 may be imported under this section by a certificate holder if:
              (1) The certificate holder possesses a currently valid certificate of conformity for a vehicle or engine model originally produced in calendar years 1987 or 1988 and the make (i.e., the OEM) and fuel type of such certified model is the same as the make and fuel type of the vehicle or engine being imported under this section; and
              (2) The certificate holder's name has not been placed on a currently effective EPA list of certificate holder's ineligible to import such modification/test vehicles, as described in paragraph (j) of this section.
              (c) In calendar year 1989, a motor vehicle or motor vehicle engine originally produced in calendar years 1984 through 1987 may be imported under this section by a certificate holder if:
              (1) The certificate holder possesses a currently valid certificate of conformity for a vehicle or engine model originally produced in calendar years 1988 or 1989 and the make and fuel type of such certified model is the same as the make and fuel type of the vehicle or engine being imported under this section; and

              (2) The certificate holder's name has not been placed on a currently effective EPA list of certificate holders ineligible to import such modification/test vehicles, as described in paragraph (j) of this section,

              (d) In calendar year 1990, a motor vehicle or motor vehicle engine originally produced in calendar years 1985 through 1987 may be imported under this section by a certificate holder if:
              (1) The certificate holder possesses a currently valid certificate of conformity for a vehicle or engine model originally produced in calendar years 1989 or 1990 and the make and fuel type of such certified model is the same as the make and fuel type of the vehicle or engine being imported under this section; and
              (2) The certificate holder's name has not been placed on a currently effective EPA list of certificate holders ineligible to import such modification/test vehicles, as described in paragraph (j) of this section.
              (e) In calendar year 1991, a motor vehicle or motor vehicle engine originally produced in calendar years 1986 and 1987 may be imported under this section by a certificate holder if:
              (1) The certificate holder possesses a currently valid certificate of conformity for a vehicle or engine model originally produced in calendar years 1990 or 1991 and the make and fuel type of such certified model is the same as the make and fuel type of the vehicle or engine being imported under this section; and
              (2) The certificate holder's name has not been placed on a currently effective EPA list of certificate holders ineligible to import such modification/test vehicles, as described in paragraph (j) of this section.
              (f) In calendar year 1992, a motor vehicle or motor vehicle engine originally produced in calendar year 1987 may be imported under this section by a certificate holder if:
              (1) The certificate holder possesses a currently valid certificate of conformity for a vehicle or engine model originally produced in calendar year 1991 or 1992 and the make and fuel type of such certified model is the same as the make and fuel type of the vehicle or engine being imported under this section; and
              (2) The certificate holder's name has not been placed on a currently effective EPA list of certificate holders ineligible to import such modification/test vehicles, as described in paragraph (j) of this section.
              (g) A motor vehicle or motor vehicle engine conditionally imported under this section may be finally admitted into the United States upon approval of the certificate holder's application to the Administrator. Such application shall be made either by completing EPA forms or, if the applicant chooses, by submitting the data electronically to EPA's computer, in accordance with EPA instructions. Such application shall contain:
              (1) The identification information required in § 85.1504;
              (2) An attestation by the certificate holder that the vehicle or engine has been modified and/emission tested in accordance with the FTP at a laboratory within the United States;
              (3) The results of any FTP;
              (4) The deterioration factor assigned by EPA;
              (5) The FTP results adjusted by the deterioration factor;
              (6) An attestation by the certificate holder that emission testing and development of fuel economy data as required by § 85.1510 was performed after the vehicle or engine had been modified to conform to Department of Transportation safety standards;
              (7) All information required under § 85.1510;
              (8) An attestation by the certificate holder that the certificate holder is responsible for the vehicle's or engine's compliance with Federal emission requirements, regardless of whether the certificate holder owns the vehicle or engine imported under this section.
              (9) The name, address and telephone number of the person who the certification holder prefers to receive EPA notification under § 85.1509(i).
              (10) For any vehicle imported in accordance with paragraphs (b) through (f) of this section, an attestation by the certificate holder that the vehicle is of the same make and fuel type as the vehicle covered by a qualifying certificate as described in paragraphs (b) through (f) of this section, as applicable.

              (11) Such other information as is deemed necessary by the Administrator.

              (h) EPA approval for final admission of a vehicle or engine under this section shall be presumed not to have been granted if a vehicle's final FTP results, adjusted by the deterioration factor, if applicable, do not comply with applicable emission standards.
              (i) Except as provided in § 85.1509(h), EPA approval for final admission of a vehicle or engine under this section shall be presumed to have been granted should the certificate holder not have received oral or written notice from EPA to the contrary within 15 working days of the date of EPA's receipt of the certificate holder's application under § 85.1509(g). Such EPA notice shall be made to an employee of the certificate holder. If application is made on EPA form, the date of a certified mail receipt shall be deemed to be the official date of notification to EPA. If application is made by submitting the data electronically, the date of acceptance by EPA's computer shall be deemed to be the official date of notification to EPA. During this 15 working day period, the vehicle or engine must be stored at a location where the Administrator will have reasonable access to inspect the vehicle or engine.
              (j) EPA list of certificate holders ineligible to import vehicles for modification/test. EPA shall maintain a current list of certificate holders who have been determined to be ineligible to import vehicles or engines under this section. Such determinations shall be made in accordance with the criteria and procedures in § 85.1513(e) of this subpart.
              (k) Inspections. Prior to final entry, vehicles or engines imported under this section are subject to special inspections as described in § 85.1506 with these additional provisions:
              (1) If a significant number of vehicles imported by a certificate holder fail to comply, in the judgment of the Administrator, with emission requirements upon inspection or retest, or if the certificate holder fails to comply with any provision of these regulations that pertain to vehicles imported pursuant to § 85.1509, the certificate holder may be placed on the EPA list of certificate holders ineligible to import vehicles under this section as specified in paragraph (j) of this section and § 85.1513(e);
              (2) Individual vehicles or engines which fail an FTP retest or inspection must be repaired and retested, as applicable, to demonstrate compliance with emission requirements before final admission.
              (3) Unless otherwise specified by EPA, the costs of all retesting under this subsection, including transportation, shall be borne by the certificate holder.
              (l) In-Use inspection and testing. Vehicles or engines imported under this section may be tested or inspected by EPA at any time during the vehicle's or engine's useful life in accordance with § 85.1508 (a) and (b). If, in the judgment of the Administrator, a significant number of properly maintained and used vehicles or engines imported by the certificate holder fail to meet emission requirements, the name of the certificate holder may be placed on the EPA list of certificate holders ineligible to import vehicles under the modification/test provision as specified in paragraph (j) of this section and § 85.1513(e).

              § 85.1510
              Maintenance instructions, warranties, emission labeling and fuel economy requirements.
              The provisions of this section are applicable to all vehicles or engines imported under the provisions of §§ 85.1505 and 85.1509.
              (a) Maintenance instructions. (1) The certificate holder shall furnish to the purchaser or to the owner of each vehicle or engine imported under § 85.1505 or § 85.1509 of this section, written instructions for the maintenance and use of the vehicle or engine by the purchaser or owner. Each application for final admission of a vehicle or engine shall provide an attestation that such instructions have been or will be (if the ultimate producer is unknown) furnished to the purchaser or owner of such vehicle or engine at the time of sale or redelivery. The certificate holder shall maintain a record of having furnished such instructions.

              (2) For each vehicle or engine imported under § 85.1509, the maintenance and use instructions shall be maintained in a file containing the records for that vehicle or engine.

              (3) Such instructions shall not contain requirements more restrictive than those set forth in 40 CFR part 86, subpart A or subpart S, as applicable (Maintenance Instructions), and shall be in sufficient detail and clarity that an automotive mechanic of average training and ability can maintain or repair the vehicle or engine.
              (4) Certificate holders shall furnish with each vehicle or engine a list of the emission control parts, and emission-related parts added by the certificate holder and the emission control and emission related parts furnished by the OEM.
              (b) Warranties. (1) Certificate holders shall provide to vehicle or engine owners emission warranties identical to those required by sections 207 (a) and (b) of the Act and 40 CFR part 85, subpart V. The warranty period for each vehicle or engine shall commence on the date the vehicle or engine is delivered by the certificate holder to the ultimate purchaser or owner.
              (2) Certificate holders shall ensure that these warranties:
              (i) Are insured by a prepaid mandatory service insurance policy underwritten by an independent insurance company;
              (ii) Are transferable to each successive owner for the periods specified in sections 207 (a) and (b); and
              (iii) Provide that in the absence of a certificate holder's facility being reasonably available (i.e., within 50 miles) for performance of warranty repairs, such warranty repairs may be performed anywhere.
              (3) Certificate holders shall attest in each application for final admission that such warranties will be or have been provided. Copies of such warranties shall be maintained in a file containing the records for that vehicle or engine.
              (c) Emission labeling. (1) The certificate holder shall affix a permanent legible label in a readily visible position in the engine compartment. The label shall meet all the requirements of part 86 and shall contain the following statement “This vehicle or engine was originally produced in (month and year of original production). It has been imported and modified by (certificate holder's name, address and telephone number) to conform to U.S. emission regulations applicable to the (year) model year.” If the vehicle or engine is owned by the certificate holder at the time of importation, the label shall also state “this vehicle or engine is warranted for five years or 50,000 miles from the date of purchase, whichever comes first.” If the vehicle or engine is not owned by the certificate holder at the time of importation, the label shall state “this vehicle or engine is warranted for five years or 50,000 miles from the date of release to the owner, whichever comes first.” For vehicles imported under § 85.1509, the label shall clearly state in bold letters that “this vehicle has not been manufactured under a certificate of conformity but meets EPA air pollution control requirements under a modification/test program.” In addition, for all vehicles, the label shall contain the vacuum hose routing diagram applicable to the vehicles.
              (2) As part of the application to the Administrator for final admission of each individual vehicle or engine under § 85.1509, the certificate holder shall maintain a copy of such label for each vehicle or engine in a file containing the records for that vehicle or engine. Certificate holders importing under § 85.1505 or § 85.1509 shall attest to compliance with the above labeling requirements in each application for final admission.
              (d) Fuel economy labeling. (1) The certificate holder shall affix a fuel economy label that complies with the requirements of 40 CFR part 600, subpart D.
              (2) For purposes of generating the fuel economy data to be incorporated on such label, each vehicle imported under § 85.1509 shall be considered to be a separate model type.

              (3) As part of the application to the Administrator for final admission of each individual vehicle or engine imported under § 85.1509, the certificate holder shall maintain a copy of such label for each vehicle or engine in a file containing the records for that vehicle or engine. In each application for final admission of a vehicle or engine under § 85.1505 or § 85.1509, the certificate holder shall attest to compliance with the above labeling requirements.

              (e) Gas guzzler tax. (1) Certificate holders shall comply with any applicable provisions of the Energy Tax Act of 1978, 26 U.S.C. 4064, for every vehicle imported under §§ 85.1505 and 85.1509.
              (2) For vehicles not owned by the certificate holder, the certificate holder shall furnish to the vehicle owner applicable IRS forms (currently numbered 720 (Quarterly Federal Excise Tax) and 6197 (Fuel Economy Tax Computation Form)) which relate to the collection of the gas guzzler tax under the Energy Tax Act of 1978, 26 U.S.C. 4064.
              (3) As part of the certificate holder's application to EPA for final admission of each vehicle imported under § 85.1509, the certificate holder shall furnish any fuel economy data required by the Energy Tax Act of 1978, 15 U.S.C. 4064.
              (f) Corporate Average Fuel Economy (CAFE). (1) Certificate holders shall comply with any applicable CAFE requirements of the Energy Policy and Conservation Act, 15 U.S.C. 2001 et seq., and 40 CFR part 600, for all vehicles imported under §§ 85.1505 and 85.1509.
              [52 FR 36156, Sept. 25, 1987, as amended at 64 FR 23919, May 4, 1999]

              § 85.1511
              Exemptions and exclusions.
              (a) Individuals, as well as certificate holders, shall be eligible for importing vehicles into the United States under the provisions of this section, unless otherwise specified.
              (b) Notwithstanding any other requirements of this subpart, a motor vehicle or motor vehicle engine entitled to a temporary exemption under this paragraph (b) may be conditionally admitted into the United States if prior written approval for such conditional admission is obtained from the Administrator. Conditional admission shall be under bond. A written request for approval from the Administrator shall contain the identification required in § 85.1504(a)(1) (except for § 85.1504(a)(1)(v)) and information that indicates that the importer is entitled to the exemption. Noncompliance with provisions of this section may result in the forfeiture of the total amount of the bond or exportation of the vehicle or engine. The following temporary exemptions apply:
              (1) Exemption for repairs or alterations. Vehicles and engines may qualify for a temporary exemption under the provisions of 40 CFR 1068.325(a). Such vehicles or engines may not be registered or licensed in the United States for use on public roads and highways.
              (2) Testing exemption. Vehicles and engines may qualify for a temporary exemption under the provisions of 40 CFR 1068.325(b). Test vehicles or engines may be operated on and registered for use on public roads or highways provided that the operation is an integral part of the test.
              (3) Precertification exemption. Prototype vehicles for use in applying to EPA for certification may be imported by independent commercial importers subject to applicable provisions of § 85.1706 and the following requirements:
              (i) No more than one prototype vehicle for each engine family for which an independent commercial importer is seeking certification shall be imported by each independent commercial importer.
              (ii) Unless a certificate of conformity is issued for the prototype vehicle, the total amount of the bond shall be forfeited or the vehicle must be exported within 180 days from the date of entry.
              (4) Display exemptions. Vehicles and engines may qualify for a temporary exemption under the provisions of 40 CFR 1068.325(c). Display vehicles or engines may not be registered or licensed for use or operated on public roads or highways in the United States, unless an applicable certificate of conformity has been received.

              (c) Notwithstanding any other requirements of this subpart, a motor vehicle or motor vehicle engine may be finally admitted into the United States under this paragraph (c) if prior written approval for such final admission is obtained from the Administrator. Conditional admission of these vehicles is not permitted for the purpose of obtaining written approval from the Administrator. A request for approval shall contain the identification information required in § 85.1504(a)(1) (except for § 85.1504(a)(1)(v)) and information that indicates that the importer is entitled to the exemption or exclusion. The following exemptions or exclusions apply:
              (1) National security exemption. Vehicles may be imported under the national security exemption found at 40 CFR 1068.315(a). Only persons who are manufacturers may import a vehicle under a national security exemption.
              (2) Hardship exemption. The Administrator may exempt on a case-by-case basis certain motor vehicles from Federal emission requirements to accommodate unforeseen cases of extreme hardship or extraordinary circumstances. Some examples are as follows:
              (i) Handicapped individuals who need a special vehicle unavailable in a certified configuration;
              (ii) Individuals who purchase a vehicle in a foreign country where resale is prohibited upon the departure of such an individual;
              (iii) Individuals emigrating from a foreign country to the U.S. in circumstances of severe hardship.
              (d) Foreign diplomatic and military personnel may import nonconforming vehicles without bond. At the time of admission, the importer shall submit to the Administrator the written report required in § 85.1504(a)(1) (except for information required by § 85.1504(a)(1)(v)). Such vehicles may not be sold in the United States.
              (e) Racing vehicles may be imported by any person provided the vehicles meet one or more of the exclusion criteria specified in § 85.1703. Racing vehicles may not be registered or licensed for use on or operated on public roads and highways in the United States.
              (f) The following exclusions and exemptions apply based on date of original manufacture:
              (1) Notwithstanding any other requirements of this subpart, the following motor vehicles or motor vehicle engines are excluded from the requirements of the Act in accordance with section 216(3) of the Act and may be imported by any person:
              (i) Gasoline-fueled light-duty vehicles and light-duty trucks originally manufactured prior to January 1, 1968.
              (ii) Diesel-fueled light-duty vehicles originally manufactured prior to January 1, 1975.
              (iii) Diesel-fueled light-duty trucks originally manufactured prior to January 1, 1976.
              (iv) Motorcycles originally manufactured prior to January 1, 1978.
              (v) Gasoline-fueled and diesel-fueled heavy-duty engines originally manufactured prior to January 1, 1970.
              (2) Notwithstanding any other requirements of this subpart, a motor vehicle or motor vehicle engine not subject to an exclusion under paragraph (f)(1) of this section but greater than twenty OP years old is entitled to an exemption from the requirements of the Act, provided that it is imported into the United States by a certificate holder. At the time of admission, the certificate holder shall submit to the Administrator the written report required in § 85.1504(a)(1) (except for information required by § 85.1504(a)(1)(v)).
              (g) Applications for exemptions and exclusions provided for in paragraphs (b) and (c) of this section shall be mailed to the Designated Compliance Officer (see 40 CFR 1068.30).
              (h) Vehicles conditionally or finally admitted under this section must still comply with all applicable requirements, if any, of the Energy Tax Act of 1978, the Energy Policy and Conservation Act and any other Federal or state requirements.
              [76 FR 57373, Sept. 15, 2011]

              § 85.1512
              Admission of catalyst and O2 sensor-equipped vehicles.
              (a)(1) Notwithstanding other provisions of this subpart, any person may conditionally import a vehicle which:
              (i) Was covered by a certificate of conformity at the time of original manufacture or had previously been admitted into the United States under § 85.1505 or § 85.1509 (after June 30, 1988).

              (ii) Was certified, or previously admitted under § 85.1505 or § 85.1509 (after June 30, 1988), with a catalyst emission control system and/or O2 sensor;
              (iii) Is labeled in accordance with 40 CFR part 86, subpart A or subpart S, or, where applicable, § 85.1510(c); and
              (iv) Has been driven outside the United States, Canada and Mexico or such other countries as EPA may designate.

              (2) Such vehicle must be entered under bond pursuant to 19 CFR 12.73 unless it is included in a catalyst and O2 sensor control program approved by the Administrator upon such terms as may be deemed appropriate. Catalyst and O2 sensor programs conducted by manufacturers may be approved each model year.
              (b) For the purpose of this section, “catalyst and O2 sensor control program” means a program instituted and maintained by a manufacturer, or any U.S. Government Agency for the purpose of preservation, replacement, or initial installation of catalytic converters and cleaning and/or replacement of O2 sensors and, if applicable, restricted fuel filler inlets.
              (c) For the purpose of this section, “driven outside the United States, Canada and Mexico” does not include mileage accumulated on vehicles solely under the control of manufacturers of new motor vehicles or engines for the purpose of vehicle testing and adjustment, and preparation for shipment to the United States.

              (d) Vehicles conditionally imported pursuant to this section and under bond must be modified in accordance with the certificate of conformity applicable at the time of manufacture. In the case of vehicles previously imported under § 85.1509 or § 85.1504 (prior to July 1, 1988), the replacement catalyst and O2 sensor, if applicable, must be equivalent (in terms of emission reduction) to the original catalyst and O2 sensor. Such vehicles may be granted final admission upon application to the Administrator, on forms specified by the Administrator. Such application shall contain the information required in § 85.1504(a)(1) (i) through (v) and shall contain both an attestation by a qualified mechanic that the catalyst has been replaced and the O2 sensor has been replaced, if necessary, and that both parts are functioning properly, and a copy of the invoice for parts and labor.
              [52 FR 36156, Sept. 25, 1987, as amended at 64 FR 23919, May 4, 1999]

              § 85.1513
              Prohibited acts; penalties.
              (a) The importation of a motor vehicle or motor vehicle engine which is not covered by a certificate of conformity other than in accordance with this subpart and the entry regulations of the U.S. Customs Service at 19 CFR 12.73 is prohibited. Failure to comply with this section is a violation of section 203(a)(1) of the Act.
              (b) Unless otherwise permitted by this subpart, during a period of conditional admission, the importer of a vehicle shall not:
              (1) Operate the vehicle on streets or highways,
              (2) Sell or offer the vehicle or engine for sale, or
              (3) Store the vehicle on the premises of a dealer.
              (c) Any vehicle or engine conditionally admitted pursuant to § 85.1504, § 85.1511 or § 85.1512, and not granted final admission within 120 days of such conditional admission, or within such additional time as the U.S. Customs Service may allow, shall be deemed to be unlawfully imported into the United States in violation of section 203(a)(1) of the Act, unless such vehicle or engine shall have been delivered to the U.S. Customs Service for export or other disposition under applicable Customs laws and regulations. Any vehicles or engines not so delivered shall be subject to seizure by the U.S. Customs Service.
              (d) Any importer who violates section 203(a)(1) of the Act is subject to a civil penalty under section 205 of the Act of not more than $32,500 for each vehicle or engine subject to the violation. In addition to the penalty provided in the Act, where applicable, under the exemption provisions of § 85.1511(b), or under § 85.1512, any person or entity who fails to deliver such vehicle or engine to the U.S. Customs Service is liable for liquidated damages in the amount of the bond required by applicable Customs laws and regulations.

              (e)(1) A certificate holder whose vehicles or engines imported under § 85.1505 or § 85.1509 fail to conform to Federal emission requirements after modification and/or testing under the Federal Test Procedure (FTP) or who fails to comply with applicable provisions of this subpart, may, in addition to any other applicable sanctions and penalties, be subject to any, or all, of the following sanctions:

              (i) The certificate holder's currently held certificates of conformity may be revoked or suspended;
              (ii) The certificate holder may be deemed ineligible to apply for new certificates for up to 3 years; and
              (iii) The certificate holder may be deemed ineligible to import vehicles or engines under § 85.1509 in the future and be placed on a list of certificate holders ineligible to import vehicles or engines under the provisions of § 85.1509.
              (2) Grounds for the actions described in paragraph (e)(1) of this section shall include, but not be limited to, the following:
              (i) Action or inaction by the certificate holder or the laboratory performing the FTP on behalf of the certificate holder which results in fraudulent, deceitful or grossly inaccurate representation of any fact or condition which affects a vehicle's or engine's eligibility for admission to the U.S. under this subpart;
              (ii) Failure of a significant number of vehicles or engines imported to comply with Federal emission requirements upon EPA inspection or retest; or
              (iii) Failure by a certificate holder to comply with requirements of this subpart.
              (3) The following procedures govern any decision to suspend, revoke, or refuse to issue certificates under this subpart:
              (i) When grounds appear to exist for the actions described in paragraph (e)(1) of this section, the Administrator shall notify the certificate holder in writing of any intended suspension or revocation of a certificate, proposed ineligibility to apply for new certificates, or intended suspension of eligibility to conduct modification/testing under § 85.1509, and the grounds for such action.
              (ii) Except as provided by paragraph (e)(3)(iv) of this section, the certificate holder must take the following actions before the Administrator will consider withdrawing notice of intent to suspend or revoke the certificate holder's certificate or the certificate holder's eligibility to perform modification/testing under § 85.1509:
              (A) Submit a written report to the Administrator which identifies the reason for the noncompliance of the vehicle or engines, describes the proposed remedy, including a description of any proposed quality control and/or quality assurance measures to be taken by the certificate holder to prevent the future occurrence of the problem, and states the date on which the remedies will be implemented; or
              (B) Demonstrate that the vehicles or engines do in fact comply with applicable regulations in this chapter by retesting such vehicles or engines in accordance with the FTP.
              (iii) A certificate holder may request within 15 calendar days of the Administrator's notice of intent to suspend or revoke a certificate holder's eligibility to perform modification/testing or certificate that the Administrator grant such certificate holder a hearing:
              (A) As to whether the tests have been properly conducted,
              (B) As to any substantial factual issue raised by the Administrator's proposed action.
              (iv) If, after the Administrator notifies a certificate holder of his/her intent to suspend or revoke a certificate holder's certificate of conformity or its eligibility to perform modification/testing under § 85.1509 and prior to any final suspension or revocation, the certificate holder demonstrates to the Administrator's satisfaction that the decision to initiate suspension or revocation of the certificate or eligibility to perform modification/testing under § 85.1509 was based on erroneous information, the Administrator will withdraw the notice of intent.
              (4) Hearings on suspensions and revocations of certificates of conformity or of eligibility to perform modification/testing under § 85.1509 shall be held in accordance with 40 CFR part 1068, subpart G.

              (5) When a hearing is requested under this paragraph and it clearly appears from the data or other information contained in the request for a hearing, or submitted at the hearing, that there is no genuine and substantial question of fact with respect to the issue of whether the certificate holder failed to comply with this subpart, the Administrator will enter an order denying the request for a hearing, or terminating the hearing, and suspending or revoking the certificate of conformity or the certificate holder's eligibility to perform modification/testing under § 85.1509.
              (6) In lieu of requesting a hearing under paragraph (e)(3)(iii) of this section, a certificate holder may respond in writing to EPA's charges in the notice of intent to suspend or revoke. Such a written response must be received by EPA within 30 days of the date of EPA's notice of intent. No final decision to suspend or revoke will be made before that time.
              [52 FR 36156, Sept. 25, 1987, as amended at 70 FR 40430, July 13, 2005; 81 FR 73972, Oct. 25, 2016]

              § 85.1514
              Treatment of confidential information.
              (a) Any importer may assert that some or all of the information submitted pursuant to this subpart is entitled to confidential treatment as provided by 40 CFR part 2, subpart B.
              (b) Any claim of confidentiality must accompany the information at the time it is submitted to EPA.
              (c) To assert that information submitted pursuant to this subpart is confidential, an importer must indicate clearly the items of information claimed confidential by marking, circling, bracketing, stamping, or otherwise specifying the confidential information. Furthermore, EPA requests, but does not require, that the submitter also provide a second copy of its submittal from which all confidential information has been deleted. If a need arises to publicly release nonconfidential information, EPA will assume that the submitter has accurately deleted the confidential information from this second copy.
              (d) If a claim is made that some or all of the information submitted pursuant to this subpart is entitled to confidential treatment, the information covered by that confidentiality claim will be disclosed by the Administrator only to the extent and by means of the procedures set forth in part 2, subpart B, of this chapter.
              (e) Information provided without a claim of confidentiality at the time of submission may be made available to the public by EPA without further notice to the submitter.

              § 85.1515
              Emission standards and test procedures applicable to imported nonconforming motor vehicles and motor vehicle engines.
              (a) Notwithstanding any other requirements of this subpart, any motor vehicle or motor vehicle engine conditionally imported pursuant to § 85.1505 or § 85.1509 and required to be emission tested shall be tested using the FCT at 40 CFR part 86 applicable to current model year motor vehicles and motor vehicle engines at the time of testing or reduced testing requirements as follows:
              (1) ICIs are eligible for reduced testing under this paragraph (a) subject to the following conditions:
              (i) The OEM must have a valid certificate of conformity covering the vehicle.
              (ii) The vehicle must be in its original configuration as certified by the OEM. This applies for all emission-related components, including the electronic control module, engine calibrations, and all evaporative/refueling control hardware. It also applies for OBD software and hardware, including all sensors and actuators.
              (iii) The vehicle modified as described in paragraph (a)(1)(ii) of this section must fully comply with all applicable emission standards and requirements.
              (iv) Vehicles must have the proper OBD systems installed and operating. When faults are present, the ICI must test and verify the system's ability to find the faults (such as disconnected components), set codes, and illuminate the light, and set readiness codes as appropriate for each vehicle. When no fault is present, the ICI must verify that after sufficient prep driving (typically one FTP test cycle), all OBD readiness codes are set and the OBD system does not indicate a malfunction (i.e., no codes set and no light illuminated).
              (v) The ICI may not modify more than 300 vehicles in any given model year using reduced testing provisions in this paragraph (a).

              (vi) The ICI must state in the application for certification that it will meet all the conditions in this paragraph (a)(1).

              (2) The following provisions allow for ICIs to certify vehicles with reduced testing:
              (i) In addition to the test waivers specified in 40 CFR 86.1829, you may provide a statement in the application for certification, supported by engineering analysis, that vehicles comply with any of the following standards that apply instead of submitting test data:
              (A) Cold temperature CO and NMHC emission standards specified in 40 CFR 86.1811.
              (B) SFTP emission standards specified in 40 CFR 86.1811 and 86.1816 for all pollutants.
              (C) For anything other than diesel-fueled vehicles, PM emission standards specified in 40 CFR 86.1811 and 86.1816.
              (D) Any running loss, refueling, spitback, bleed emissions, and leak standards specified in 40 CFR part 86, subparts A and S.
              (ii) You must perform testing and submit test data as follows to demonstrate compliance with emission standards:
              (A) Exhaust and fuel economy tests. You must measure emissions over the FTP driving cycle and the highway fuel economy driving cycle as specified in 40 CFR 600.109 to meet the fuel economy requirements in 40 CFR part 600 and demonstrate compliance with the exhaust emission standards in 40 CFR part 86 (other than PM). Measure exhaust emissions and fuel economy with the same test procedures used by the original manufacturer to test the vehicle for certification. However, you must use an electric dynamometer meeting the requirements of § 86.108 or 40 CFR part 1066, subpart B, unless we approve a different dynamometer based on excessive compliance costs. If you certify based on testing with a different dynamometer, you must state in the application for certification that all vehicles in the emission family will comply with emission standards if tested on an electric dynamometer.
              (B) Evaporative emission test. You may measure evaporative emissions as specified in this paragraph (a)(2)(ii)(B) to demonstrate compliance with the evaporative emission standards in 40 CFR part 86 instead of the otherwise specified procedures. Use measurement equipment for evaporative measurements specified in 40 CFR part 86, subpart B, except that the evaporative emission enclosure does not need to accommodate varying ambient temperatures. The evaporative measurement procedure is integral to the procedure for measuring exhaust emissions over the FTP driving cycle as described in paragraph (a)(ii)(2)(A) of this section. Perform canister preconditioning using the same procedure used by the original manufacturer to certify the vehicle; perform this canister loading before the initial preconditioning drive. Perform a diurnal emission test at the end of the stabilization period before the exhaust emission test by heating the fuel from 60 to 84 °F, either by exposing the vehicle to increasing ambient temperatures or by applying heat directly to the fuel tank. Measure hot soak emissions as described in 40 CFR 86.138-96(k). We may approve alternative measurement procedures that are equivalent to or more stringent than the specified procedures if the specified procedures are impractical for particular vehicle models or measurement facilities. The sum of the measured diurnal and hot soak values must meet the appropriate emission standard as specified in this section.
              (b) The emission standards applicable to nonconforming light-duty vehicles and light-duty trucks imported pursuant to this subpart are outlined in tables 1 and 2 of this section, respectively. The useful life as specified in tables 1 and 2 of this section is applicable to imported light-duty vehicles and light-duty trucks, respectively.
              (c)(1) Nonconforming motor vehicles or motor vehicle engines of 1994 OP year and later conditionally imported pursuant to § 85.1505 or § 85.1509 shall meet all of the emission standards specified in 40 CFR part 86 for the OP year of the vehicle or motor vehicle engine. The useful life specified in 40 CFR part 86 for the OP year of the motor vehicle or motor vehicle engine is applicable where useful life is not designated in this subpart.

              (2)(i) Nonconforming light-duty vehicles and light light-duty trucks (LDV/LLDTs) originally manufactured in OP years 2004, 2005 or 2006 must meet the FTP exhaust emission standards of bin 9 in Tables S04-1 and S04-2 in 40 CFR 86.1811-04 and the evaporative emission standards for light-duty vehicles and light light-duty trucks specified in 40 CFR 86.1811-01(e)(5).
              (ii) Nonconforming LDT3s and LDT4s (HLDTs) and medium-duty passenger vehicles (MDPVs) originally manufactured in OP years 2004 through 2006 must meet the FTP exhaust emission standards of bin 10 in Tables S04-1 and S04-2 in 40 CFR 86.1811-04 and the applicable evaporative emission standards specified in 40 CFR 86.1811-04(e)(5). For 2004 OP year HLDTs and MDPVs where modifications commence on the first vehicle of a test group before December 21, 2003, this requirement does not apply to the 2004 OP year. ICIs opting to bring all of their 2004 OP year HLDTs and MDPVs into compliance with the exhaust emission standards of bin 10 in Tables S04-1 and S04-2 in 40 CFR 86.1811-04, may use the optional higher NMOG values for their 2004-2006 OP year LDT2s and 2004-2008 LDT4s.
              (iii) Nonconforming LDT3s and LDT4s (HLDTs) and medium-duty passenger vehicles (MDPVs) originally manufactured in OP years 2007 and 2008 must meet the FTP exhaust emission standards of bin 8 in Tables S04-1 and S04-2 in 40 CFR 86.1811-04 and the applicable evaporative standards specified in 40 CFR 86.1811-04(e)(5).
              (iv) Nonconforming LDV/LLDTs originally manufactured in OP years 2007 through 2021 and nonconforming HLDTs and MDPVs originally manufactured in OP year 2009 through 2021 must meet the FTP exhaust emission standards of bin 5 in Tables S04-1 and S04-2 in 40 CFR 86.1811-04, and the evaporative standards specified in 40 CFR 86.1811-04(e)(1) through (4).
              (v) ICIs are exempt from the Tier 2 and the interim non-Tier2 phase-in intermediate percentage requirements for exhaust, evaporative, and refueling emissions described in 40 CFR 86.1811-04.
              (vi) In cases where multiple standards exist in a given model year in 40 CFR part 86 due to phase-in requirements of new standards, the applicable standards for motor vehicle engines required to be certified to engine-based standards are the least stringent standards applicable to the engine type for the OP year.
              (vii) Nonconforming LDV/LLDTs originally manufactured in OP years 2009 through 2021 must meet the evaporative emission standards in Table S09-1 in 40 CFR 86.1811-09(e). However, LDV/LLDTs originally manufactured in OP years 2009 and 2010 and imported by ICIs who qualify as small-volume manufacturers as defined in 40 CFR 86.1838-01 are exempt from the LDV/LLDT evaporative emission standards in Table S09-1 in 40 CFR 86.1811-09(e), but must comply with the Tier 2 evaporative emission standards in Table S04-3 in 40 CFR 86.1811-04(e).
              (viii) Nonconforming HLDTs and MDPVs originally manufactured in OP years 2010 through 2021 must meet the evaporative emission standards in Table S09-1 in 40 CFR 86.1811-09(e). However, HLDTs and MDPVs originally manufactured in OP years 2010 and 2011 and imported by ICIs, who qualify as small-volume manufacturers as defined in 40 CFR 86.1838-01, are exempt from the HLDTs and MDPVs evaporative emission standards in Table S09-1 in 40 CFR 86.1811-09(e), but must comply with the Tier 2 evaporative emission standards in Table S04-3 in 40 CFR 86.1811-04(e).
              (ix) Nonconforming LDVs, LDTs, MDPVs, and complete heavy-duty vehicles at or below 14,000 pounds GVWR originally manufactured in OP years 2022 and later must meet the Tier 3 exhaust and evaporative emission standards in 40 CFR 86.1811-17, 86.1813-17, and 86.1816-18.

              (3)(i) As an option to the requirements of paragraph (c)(2) of this section, independent commercial importers may elect to meet lower bins in Tables S04-1 and S04-2 of 40 CFR 86.1811-04 than specified in paragraph (c)(2) of this section and bank or sell NOX credits as permitted in 40 CFR 86.1860-04 and 40 CFR 86.1861-04. An ICI may not meet higher bins in Tables S04-1 and S04-2 of 40 CFR 86.1811-04 than specified in paragraph (c)(2) of this section unless it demonstrates to the Administrator at the time of certification that it has obtained appropriate and sufficient NOX credits from another manufacturer, or has generated them in a previous model year or in the current model year and not transferred them to another manufacturer or used them to address other vehicles as permitted in 40 CFR 86.1860-04 and 40 CFR 86.1861-04.
              (ii) Where an ICI desires to obtain a certificate of conformity using a bin higher than specified in paragraph (c)(2) of this section, but does not have sufficient credits to cover vehicles produced under such certificate, the Administrator may issue such certificate if the ICI has also obtained a certificate of conformity for vehicles certified using a bin lower than that required under paragraph (c)(2) of this section. The ICI may then produce vehicles to the higher bin only to the extent that it has generated sufficient credits from vehicles certified to the lower bin during the same model year.
              (4) [Reserved]

              (5) Except for the situation where an ICI desires to bank, sell or use NOX credits as described in paragraph (c)(3) of this section, the requirements of 40 CFR 86.1811-04 related to fleet average NOX standards and requirements to comply with such standards do not apply to vehicles modified under this subpart.
              (6) ICIs using bins higher than those specified in paragraph (c)(2) of this section must monitor their production so that they do not produce more vehicles certified to the standards of such bins than their available credits can cover. ICIs must not have a credit deficit at the end of a model year and are not permitted to use the deficit carryforward provisions provided in 40 CFR 86.1860-04(e).

              (7) The Administrator may condition the certificates of conformity issued to ICIs as necessary to ensure that vehicles subject to paragraph (c) of this section comply with the appropriate average NOX standard for each model year.
              (8)(i) Nonconforming LDV/LLDTs originally manufactured in OP years 2010 and later must meet the cold temperature NHMC emission standards in Table S10-1 in 40 CFR 86.1811-10(g).
              (ii) Nonconforming HLDTs and MDPVs originally manufactured in OP years 2012 and later must meet the cold temperature NHMC emission standards in Table S10-1 in 40 CFR 86.1811-10(g).
              (iii) ICIs, which qualify as small-volume manufacturers, are exempt from the cold temperature NMHC phase-in intermediate percentage requirements described in 40 CFR 86.1811-10(g)(3). See 40 CFR 86.1811-04(k)(5)(vi) and (vii).
              (iv) As an alternative to the requirements of paragraphs (c)(8)(i) and (ii) of this section, ICIs may elect to meet a cold temperature NMHC family emission level below the cold temperature NMHC fleet average standards specified in Table S10-1 of 40 CFR 86.1811-10 and bank or sell credits as permitted in 40 CFR 86.1864-10. An ICI may not meet a higher cold temperature NMHC family emission level than the fleet average standards in Table S10-1 of 40 CFR 86.1811-10 as specified in paragraphs (c)(8)(i) and (ii) of this section, unless it demonstrates to the Administrator at the time of certification that it has obtained appropriate and sufficient NMHC credits from another manufacturer, or has generated them in a previous model year or in the current model year and not traded them to another manufacturer or used them to address other vehicles as permitted in 40 CFR 86.1864-10.
              (v) Where an ICI desires to obtain a certificate of conformity using a higher cold temperature NMHC family emission level than specified in paragraphs (c)(8)(i) and (ii) of this section, but does not have sufficient credits to cover vehicles imported under such certificate, the Administrator may issue such certificate if the ICI has also obtained a certificate of conformity for vehicles certified using a cold temperature NMHC family emission level lower than that required under paragraphs (c)(8)(i) and (ii) of this section. The ICI may then import vehicles to the higher cold temperature NMHC family emission level only to the extent that it has generated sufficient credits from vehicles certified to a family emission level lower than the cold temperature NMHC fleet average standard during the same model year.

              (vi) ICIs using cold temperature NMHC family emission levels higher than the cold temperature NMHC fleet average standards specified in paragraphs (c)(8)(i) and (ii) of this section must monitor their imports so that they do not import more vehicles certified to such family emission levels than their available credits can cover. ICIs must not have a credit deficit at the end of a model year and are not permitted to use the deficit carryforward provisions provided in 40 CFR 86.1864-10.
              (vii) The Administrator may condition the certificates of conformity issued to ICIs as necessary to ensure that vehicles subject to this paragraph (c)(8) comply with the applicable cold temperature NMHC fleet average standard for each model year.
              (d) Except as provided in paragraph (c) of this section, ICI's must not participate in emission-related programs for emissions averaging, banking and trading, or nonconformance penalties.

                Table 1 to § 85.1515—Emission Standards Applicable to Imported Light-Duty Motor Vehicles1 2 3

                  OP Year
                  Hydrocarbon
                  Carbonmonoxide

                  Oxides ofnitrogen

                  Dieselparticulate

                  Evaporativehydrocarbon

                  Useful life(years/miles)

                  1968-1976
                  1.5 gpm
                  15 gpm
                  3.1 gpm

                  6.0 g/test
                  5/50,000

                  1977-1979
                  1.5 gpm
                  15 gpm
                  2.0 gpm

                  6.0 g/test
                  5/50,000

                  1980
                  0.41 gpm
                  7.0 gpm
                  2.0 gpm

                  6.0 g/test
                  5/50,000

                  1981
                  0.41 gpm
                  3.4 gpm
                  1.0 gpm

                  2.0 g/test
                  5/50,000

                  1982-1986
                  0.41 gpm
                  3.4 gpm
                  1.0 gpm
                  0.60 gpm
                  2.0 g/test
                  5/50,000

                  1987-1993
                  0.41 gpm
                  3.4 gpm
                  1.0 gpm
                  0.20 gpm
                  2.0 g/test
                  5/50,000

                  1994 and later
                  (4)
                  (4)
                  (4)
                  (4)
                  (4)
                  (4)

                  1 Diesel particulate standards apply only to diesel fueled light-duty vehicles. Evaporative hydrocarbon standards apply only to non-diesel fueled light-duty vehicles. For alternative fueled light-duty vehicles, the evaporative hydrocarbon standard is interpreted as organic material hydrocarbon equivalent grams carbon per test, as applicable.

                  2 No crankcase emissions shall be discharged into the ambient atmosphere from any non-diesel fueled light-duty vehicle.

                  3 All light-duty vehicles shall meet the applicable emission standards at both low and high-altitudes according to the procedures specified in 40 CFR part 86 for current model year motor vehicles at the time of testing.

                  4 Specified in 40 CFR part 86 for the OP year of the vehicle, as described in paragraph (c) of this section.

                Table 2 to § 85.1515—Emission Standards Applicable to Imported Light-Duty Trucks1 2 3 4 5

                  OP Year
                  Hydrocarbon
                  Carbonmonoxide

                  Oxides ofnitrogen

                  Dieselparticulate

                  Evaporativehydrocarbon

                  Useful life(years/miles)

                  1968-78
                  2.0 gpm
                  20 gpm
                  3.1 gpm

                  6.0 g/test
                  5/50,000

                  1979-80
                  1.7 gpm
                  18 gpm
                  2.3 gpm

                  6.0 g/test
                  5/50,000

                  1981
                  1.7 gpm
                  18 gpm
                  2.3 gpm

                  2.0 g/test
                  5/50,000

                  1982-1983
                  1.7 gpm(2.0)

                  18 gpm(26)

                  2.3 gpm(2.3)

                  0.60 gpm(0.60)

                  2.0 g/test(2.6)

                  5/50,000

                  1984
                  0.80 gpm(1.0)

                  10 gpm(14)

                  2.3 gpm(2.3)

                  0.60 gpm(0.60)

                  2.0 g/test(2.6)

                  5/50,000

                  1985-1986
                  0.80 gpm(1.0)

                  10 gpm(14)

                  2.3 gpm(2.3)

                  0.60 gpm(0.60)

                  2.0 g/test(2.6)

                  11/120,000

                  1987
                  0.80 gpm(1.0)

                  10 gpm(14)

                  2.3 gpm(2.3)

                  0.26 gpm(0.26)

                  2.0 g/test(2.6)

                  11/120,000

                  1988-1989
                  0.80 gpm(1.0)

                  10 gpm(14)

                  1.2 gpm 6
                    (1.2)

                  0.26 gpm 7
                    (2.0)

                  2.0 g/test(2.6)

                  11/120,000

                  1988-1989
                  0.80 gpm(1.0)

                  10 gpm(14)

                  1.7 gpm 6
                    (1.7)

                  0.45 gpm 7
                    (0.26)

                  2.0 g/test(2.6)

                  11/120,000

                  1988-1989
                  0.80 gpm(1.0)

                  10 gpm(14)

                  2.3 gpm 6
                    (2.3)

                  0.45 gpm 7
                    (0.26)

                  2.0 g/test(2.6)

                  11/120,000

                  1990-1993
                  0.80 gpm(1.0)

                  10 gpm(14)

                  1.2 gpm 8
                    (1.2)

                  0.26 gpm 7
                    (0.26)

                  2.0 g/test(2.6)

                  11/120,000

                  1990-1993
                  0.80 gpm(1.0)

                  10 gpm(14)

                  1.7 gpm 8
                    (1.7)

                  0.45 gpm 7
                    (0.26)

                  2.0 g/test(2.6)

                  11/120,000

                  1994 and later
                  (9)
                  (9)
                  (9)
                  (9)
                  (9)
                  (9)

                  1 Diesel particulate standards apply only to diesel fueled light-duty trucks. Evaporative hydrocarbon standards apply only to non-diesel fueled light-duty trucks. For alternative fueled light-duty trucks, the evaporative hydrocarbon standard is interpreted as organic material hydrocarbon equivalent grams carbon per test, as applicable.

                  2 No crankcase emissions shall be discharged into the ambient atmosphere from any non-diesel fueled light-duty truck.

                  3 A carbon monoxide standard of 0.50% of exhaust flow at curb idle is applicable to all 1984 and later model year light-duty trucks sold to, or owned by, an importer for principal use at other than a designated high-altitude location. This requirement is effective for light-duty trucks sold to, or owned by an importer for principal use at a designated high-altitude location beginning with the 1988 model year.

                  4 All 1982 OP year and later light-duty trucks sold to, or owned by, an importer for principal use at a designated high-altitude location shall meet high-altitude emission standards according to the requirements specified in 40 CFR part 86 for current model year light-duty trucks at the time of testing.

                  5 Standards in parentheses apply to motor vehicles sold to, or owned by, an importer for principal use at a designated high-altitude location. These standards must be met at high-altitude according to the procedures specified in 40 CFR part 86 for current model year motor vehicles at the time of testing.

                  6 The oxides of nitrogen standard of 1.2 gpm applies to light-duty trucks at or below 3,750 pounds loaded vehicle weight and at or below 6,000 pounds GVWR. The 1.7 gpm standard applies to light-duty trucks above 3,750 pound loaded vehicle weight and at or below 6,000 pounds GVWR; the 2.3 gpm standard applies to light-duty trucks above 6,000 pounds GVWR.

                  7 The diesel particulate standard of 0.26 gpm applies to light-duty trucks at or below 3,750 pounds loaded vehicle weight; the 0.45 gpm standard applies to light-duty trucks above 3,750 pounds loaded vehicle weight.

                  8 The NOX standard of 1.2 gpm applies to light-duty trucks at or below 3,750 pounds loaded vehicle weight; the 1.7 gpm standard applies to light-duty trucks above 3,750 pounds loaded vehicle weight.

                  9 Specified in 40 CFR part 86 for the OP year of the vehicle, as described in paragraph (c) of this section.

              [79 FR 23681, Apr. 28, 2014]

            Subpart Q [Reserved]

            Subpart R—Exclusion and Exemption of Motor Vehicles and Motor Vehicle Engines

              Authority:
              Secs. 208(b)(1), 216(2), and 301, Clean Air Act (42 U.S.C. 7522, 7550, and 7061).

              Source:
              39 FR 32611, Sept. 10, 1974, unless otherwise noted.

              § 85.1701
              General applicability.
              (a) The provisions of this subpart regarding exemptions are applicable to new and in-use motor vehicles and motor vehicle engines, except as follows:
              (1) Beginning January 1, 2014, the exemption provisions of 40 CFR part 1068, subpart C, apply instead of the provisions of this subpart for heavy-duty motor vehicle engines regulated under 40 CFR part 86, subpart A, except that the nonroad competition exemption of 40 CFR 1068.235 and the nonroad hardship exemption provisions of 40 CFR 1068.245, 1068.250, and 1068.255 do not apply for motor vehicle engines.
              (2) Prior to January 1, 2014, the provisions of §§ 85.1706 through 85.1709 apply for heavy-duty motor vehicle engines.
              (b) The provisions of this subpart regarding exclusion are applicable after the effective date of these regulations.
              (c) References in this subpart to engine families and emission control systems shall be deemed to apply to durability groups and test groups as applicable for manufacturers certifying new light-duty vehicles, light-duty trucks, and Otto-cycle complete heavy-duty vehicles under the provisions of 40 CFR part 86, subpart S.
              (d) In a given model year, manufacturers of motor vehicles and motor vehicle engines may ask us to approve the use of administrative or compliance procedures specified in 40 CFR part 1068 instead of the comparable procedures that apply for vehicles or engines certified under this part or 40 CFR part 86.
              [76 FR 57374, Sept. 15, 2011, as amended at 81 FR 73972, Oct. 25, 2016]

              § 85.1702
              Definitions.
              (a) As used in this subpart, all terms not defined herein shall have the meaning given them in the Act:
              (1) Export exemption means an exemption granted by statute under section 203(b)(3) of the Act for the purpose of exporting new motor vehicles or new motor vehicle engines.
              (2) National security exemption means an exemption which may be granted under section 203(b)(1) of the Act for the purpose of national security.
              (3) Pre-certification vehicle means an uncertified vehicle which a manufacturer employs in fleets from year to year in the ordinary course of business for product development, production method assessment, and market promotion purposes, but in a manner not involving lease or sale.
              (4) Pre-certification vehicle engine means an uncertified heavy-duty engine owned by a manufacturer and used in a manner not involving lease or sale in a vehicle employed from year to year in the ordinary course of business for product development, production method assessment and market promotion purposes.
              (5) Testing exemption means an exemption which may be granted under section 203(b)(1) for the purpose of research investigations, studies, demonstrations or training, but not including national security.
              [39 FR 32611, Sept. 10, 1974, as amended at 45 FR 13733, Mar. 3, 1980; 47 FR 30484, July 14, 1982]

              § 85.1703
              Definition of motor vehicle.
              (a) For the purpose of determining the applicability of section 216(2), a vehicle which is self-propelled and capable of transporting a person or persons or any material or any permanently or temporarily affixed apparatus shall be deemed a motor vehicle, unless any one or more of the criteria set forth below are met, in which case the vehicle shall be deemed not a motor vehicle:
              (1) The vehicle cannot exceed a maximum speed of 25 miles per hour over level, paved surfaces; or
              (2) The vehicle lacks features customarily associated with safe and practical street or highway use, such features including, but not being limited to, a reverse gear (except in the case of motorcycles), a differential, or safety features required by state and/or federal law; or
              (3) The vehicle exhibits features which render its use on a street or highway unsafe, impractical, or highly unlikely, such features including, but not being limited to, tracked road contact means, an inordinate size, or features ordinarily associated with military combat or tactical vehicles such as armor and/or weaponry.
              (b) Note that, in applying the criterion in paragraph (a)(2) of this section, vehicles that are clearly intended for operation on highways are motor vehicles. Absence of a particular safety feature is relevant only when absence of that feature would prevent operation on highways.
              [39 FR 32611, Sept. 10, 1974, as amended at 45 FR 13733, Mar. 3, 1980; 73 FR 59178, Oct. 8, 2008; 75 FR 22977, Apr. 30, 2010; 81 FR 73972, Oct. 25, 2016]

              § 85.1704
              Who may request an exemption.
              (a) Any person may request a testing exemption.
              (b) Any manufacturer may request a national security exemption under § 85.1708.
              (c) For manufacturers, vehicles or engines for export purposes are exempt without application, subject to the provisions of § 85.1709. For eligible manufacturers, as determined by § 85.1706, vehicles or engines for pre-certification purposes are exempt without application, subject to the provisions of § 85.1706(a).
              [45 FR 13733, Mar. 3, 1980, as amended at 47 FR 30484, July 14, 1982]

              § 85.1705
              Testing exemption.
              (a) Any person requesting a testing exemption must demonstrate the following:
              (1) That the proposed test program has a purpose which constitutes an appropriate basis for an exemption in accordance with section 203(b)(1);
              (2) That the proposed test program necessitates the granting of an exemption;
              (3) That the proposed test program exhibits reasonableness in scope; and
              (4) That the proposed test program exhibits a degree of control consonant with the purpose of the program and the Environmental Protection Agency's (hereafter EPA) monitoring requirements. Paragraphs (b), (c), (d), and (e) of this section describe what constitutes a sufficient demonstration for each of the four above identified elements.
              (b) With respect to the purpose of the proposed test program, an appropriate purpose is one which is consistent with one or more of the bases for exemption set forth under section 203(b)(1), namely, research, investigations, studies, demonstrations, or training, but not including national security. A concise statement of purpose is a required item of information.
              (c) With respect to the necessity that an exemption be granted, necessity arises from an inability to achieve the stated purpose in a practicable manner without performing or causing to be performed one or more of the prohibited acts under section 203(a). In appropriate circumstances time constraints may be a sufficient basis for necessity, but the cost of certification alone, in the absence of extraordinary circumstances, is not a basis for necessity.
              (d) With respect to reasonableness, a test program must exhibit a duration of reasonable length and affect a reasonable number of vehicles or engines. In this regard, required items of information include:
              (1) An estimate of the program's duration;

              (2) The maximum number of vehicles or engines involved; and
              (e) With respect to control, the test program must incorporate procedures consistent with the purpose of the test and be capable of affording EPA monitoring capability. As a minimum, required items of information include:
              (1) The technical nature of the test;
              (2) The site of the test;
              (3) The time or mileage duration of the test;
              (4) The ownership arrangement with regard to the vehicles or engines involved in the test;
              (5) The intended final disposition of the vehicles or engines;
              (6) The manner in which vehicle identification numbers or the engine serial numbers will be identified, recorded, and made available; and
              (7) The means or procedure whereby test results will be recorded.
              (f) A manufacturer of new motor vehicles or new motor vehicle engines may request a testing exemption to cover any vehicles and/or engines intended for use in test programs planned or anticipated over the course of a subsequent one-year period. Unless otherwise required by the Director, Manufacturers Operations Division, a manufacturer requesting such an exemption need only furnish the information required by paragraphs (a)(1) and (d)(2) of this section along with a description of the recordkeeping and control procedures that will be employed to assure that the vehicles and/or engines are used for purposes consistent with section 203(b)(1).
              [39 FR 32611, Sept. 10, 1974, as amended at 45 FR 13733, Mar. 3, 1980; 47 FR 30484, July 14, 1982]

              § 85.1706
              Pre-certification exemption.
              (a) Except as provided in paragraph (b) of this section, any pre-certification vehicle or pre-certification vehicle engine, as defined by § 85.1702(a) (3) or (4), is exempt from section 203(a), without application, if the manufacturer complies with the following terms and conditions:
              (1) The manufacturer shall create, maintain, and make available at reasonable times for review or copying by appropriate EPA employees records which provide each vehicle identification or engine serial number, indicate the use of the vehicle or engine on exempt status and indicate the final disposition of any vehicle or engine removed from exempt status; and
              (2) Unless the requirement is waived or an alternative procedure is approved by the Director, Manufacturers Operations Division, the manufacturer shall permanently affix to each vehicle or engine on exempt status in a readily visible portion of the engine compartment (on a readily visible portion of a heavy-duty engine or in a readily accessible position on a motorcycle) a label which cannot be removed without destruction or defacement and which states in the English language, in block letters and numerals of a color that contrasts with the background of the label, the following information:
              (i) The label heading: Emission Control Information;
              (ii) Full corporate name and trademark of manufacturer;
              (iii) Engine displacement, engine family identification and model year of vehicle or engine; or person or office to be contacted for further information about the vehicle or engine;
              (iv) The statement: THIS VEHICLE OR ENGINE IS EXEMPT FROM THE PROHIBITIONS OF SECTIONS 203(a)(1), (3) and (4) OF THE CLEAN AIR ACT, AS AMENDED.
              (3) No provision of paragraph (a)(2) of this section shall prevent a manufacturer from including any other information it desires on the label.
              (b) Any manufacturer that desires a pre-certification exemption and is in the business of importing, modifying or testing uncertified vehicles for resale under the provisions of 40 CFR 85.1501 through 85.1515, must send the request to the Designated Compliance Officer as specified in 40 CFR 1068.30. The Designated Compliance Officer may require such manufacturers to submit information regarding the general nature of the fleet activities, the number of vehicles involved, and a demonstration that adequate record-keeping procedures for control purposes will be employed.
              [47 FR 30484, July 14, 1982, as amended at 81 FR 73972, Oct. 25, 2016]

              § 85.1707
              Display exemption.
              Where an uncertified vehicle or engine is a display vehicle or engine to be used solely for display purposes, will not be operated on the public streets or highways except for that operation incident and necessary to the display purpose, and will not be sold unless an applicable certificate of conformity has been received, no request for exemption of the vehicle or engine is necessary.
              [39 FR 32611, Sept. 10, 1974. Redesignated and amended at 47 FR 30484, July 14, 1982]

              § 85.1708
              National security exemption.
              A manufacturer requesting a national security exemption must state the purpose for which the exemption is required and the request must be endorsed by an agency of the Federal Government charged with responsibility for national defense.
              [39 FR 32611, Sept. 10, 1974. Redesignated at 47 FR 30484, July 14, 1982]

              § 85.1709
              Export exemptions.
              (a) A new motor vehicle or new motor vehicle engine intended solely for export, and so labeled or tagged on the outside of the container and on the vehicle or engine itself, shall be subject to the provisions of section 203(a) of the Act, unless the importing country has new motor vehicle emission standards which differ from the USEPA standards.
              (b) For the purpose of paragraph (a) of this section, a country having no standards, whatsoever, is deemed to be a country having emission standards which differ from USEPA standards.
              (c) EPA shall periodically publish in the Federal Register a list of foreign countries which have in force emissions standards identical to USEPA standards and have so notified EPA. New motor vehicles or new motor vehicle engines exported to such countries shall comply with USEPA certification regulations.
              (d) It is a condition of any exemption for the purpose of export under section 203(b)(3) of the Act, that such exemption shall be void ab initio with respect to a new motor vehicle or new motor vehicle engine intended solely for export where:
              (1) Such motor vehicle or motor vehicle engine is sold, or offered for sale, to an ultimate purchaser in the United States for purposes other than export; and
              (2) The motor vehicle or motor vehicle engine manufacturer had reason to believe that any such vehicle would be sold or offered for sale as described in paragraph (d)(1) of this section.
              [39 FR 32611, Sept. 10, 1974. Redesignated at 47 FR 30484, July 14, 1982]

              § 85.1710
              Granting of exemptions.
              (a) If upon completion of the review of an exemption request, as required by §§ 85.1705 and 85.1708, the granting of an exemption is deemed appropriate, a memorandum of exemption will be prepared and submitted to the person requesting the exemption. The memorandum will set forth the basis for the exemption, its scope, and such terms and conditions as are deemed necessary. Such terms and conditions will generally, include, but are not limited to, agreements by the applicant to conduct the exempt activity in the manner described to EPA, create and maintain adequate records accessible to EPA at reasonable times, employ labels for the exempt engines or vehicles setting forth the nature of the exemption, take appropriate measures to assure that the terms of the exemption are met, and advise EPA of the termination of the activity and the ultimate disposition of the vehicles or engines.

              (b) Any exemption granted pursuant to paragraph (a) of this section shall be deemed to cover any subject vehicle or engine only to the extent that the specified terms and conditions are complied with. A breach of any term or condition shall cause the exemption to be void ab initio with respect to any vehicle or engine. Consequently, the causing or the performing of an act prohibited under sections 203(a) (1) or (3) of the Clean Air Act other than in strict conformity with all terms and conditions of this exemption shall render the person to whom the exemption is granted, and any other person to whom the provisions of section 203 are applicable, liable to suit under sections 204 and 205 of the Act.
              [39 FR 32611, Sept. 10, 1974, as amended at 45 FR 13733, Mar. 3, 1980. Redesignated and amended at 47 FR 30485, July 14, 1982]

              § 85.1711
              Submission of exemption requests.
              Requests for exemption or further information concerning exemptions and/or the exemption request review procedure should be addressed to the Designated Compliance Officer as specified at 40 CFR 1068.30.
              [81 FR 73972, Oct. 25, 2016]

              § 85.1712
              Treatment of confidential information.
              (a) Any person or manufacturer may assert that some or all of the information submitted pursuant to this subpart is entitled to confidential treatment as provided by 40 CFR part 2, subpart B.
              (b) Any claim of confidentiality must accompany the information at the time it is submitted to EPA.
              (c) To assert that information submitted pursuant to this subpart is confidential, a person or manufacturer must indicate clearly the items of information claimed confidential by marking, circling, bracketing, stamping, or otherwise specifying the confidential information. Furthermore, EPA requests, but does not require, that the submitter also provide a second copy of it submittal from which all confidential information has been deleted. If a need arises to publicly release nonconfidential information, EPA will assume that the submitter has accurately deleted the confidential information from this second copy.
              (d) If a claim is made that some or all of the information submitted pursuant to ths subpart is entitled to confidential treatment, the information covered by that confidentiality claim will be disclosed by the Administrator only to the extent and by means of the procedures set forth in part 2, subpart B, of this chapter.
              (e) Information provided without a claim of confidentiality at the time of submission may be made available to the public by EPA without further notice to the submitter, in accordance with 40 CFR 2.204(c)(2)(i)(A).
              [50 FR 34797, Aug. 27, 1985]

              §§ 85.171385.1714
              [Reserved]

              § 85.1715
              Aircraft meeting the definition of motor vehicle.
              This section applies for aircraft meeting the definition of motor vehicle in § 85.1703.
              (a) For the purpose of this section, aircraft means any vehicle capable of sustained air travel above treetop heights.
              (b) The standards, requirements, and prohibitions of 40 CFR part 86 do not apply for aircraft or aircraft engines. Standards apply separately to certain aircraft engines, as described in 40 CFR part 87.
              [75 FR 22977, Apr. 30, 2010]

              § 85.1716
              Approval of an emergency vehicle field modification (EVFM).

              This section describes how you may implement design changes for an emergency vehicle that has already been placed into service to ensure that the vehicle will perform properly in emergency situations. This applies for any light-duty vehicle, light-duty truck, or heavy-duty vehicle meeting the definition of emergency vehicle in 40 CFR 86.004-2 or 86.1803. In this section, “you” refers to the certifying manufacturer and “we” refers to the EPA Administrator and any authorized representatives.
              (a) You must notify us in writing of your intent to install or distribute an emergency vehicle field modification (EVFM). In some cases you may install or distribute an EVFM only with our advance approval, as specified in this section.

              (b) Include in your notification a full description of the EVFM and any documentation to support your determination that the EVFM is necessary to prevent the vehicle from losing speed, torque, or power due to abnormal conditions of its emission control system, or to prevent such abnormal conditions from occurring during operation related to emergency response. Examples of such abnormal conditions may include excessive exhaust backpressure from an overloaded particulate trap, or running out of diesel exhaust fluid for engines that rely on urea-based selective catalytic reduction. Your determination must be based on an engineering evaluation or testing or both.
              (c) You may need our advance approval for your EVFM, as follows:
              (1) Where the proposed EVFM is identical to an AECD we approved under this part for an engine family currently in production, no approval of the proposed EVFM is necessary.
              (2) Where the proposed EVFM is for an engine family currently in production but the applicable demonstration is based on an AECD we approved under this part for an engine family no longer in production, you must describe to us how your proposed EVFM differs from the approved AECD. Unless we say otherwise, your proposed EVFM is deemed approved 30 days after you notify us.
              (3) If we have not approved an EVFM comparable to the one you are proposing, you must get our approval before installing or distributing it. In this case, we may request additional information to support your determination under paragraph (b) of this section, as follows:
              (i) If we request additional information and you do not provide it within 30 days after we ask, we may deem that you have retracted your request for our approval; however, we may extend this deadline for submitting the additional information.
              (ii) We will deny your request if we determine that the EVFM is not necessary to prevent the vehicle from losing speed, torque, or power due abnormal conditions of the emission control system, or to prevent such abnormal conditions from occurring, during operation related to emergency response.
              (iii) Unless we say otherwise, your proposed EVFM is deemed approved 30 days after we acknowledge that you have provided us with all the additional information we have specified.
              (4) If your proposed EVFM is deemed to be approved under paragraph (c)(2) or (3) of this section and we find later that your EVFM in fact does not meet the requirements of this section, we may require you to no longer install or distribute it.
              [77 FR 34145, June 8, 2012]

            Subpart S—Recall Regulations

              Authority:
              Sec. 301(a), Clean Air Act, 81 Stat. 504, as amended by sec. 15(c), 84 Stat. 1713 (42 U.S.C. 1857g(a)). The regulations implement sec. 207(c) (1)-(2), Clean Air Act, 84 Stat. 1697 (42 U.S.C. 1847f-5a(c)(1)-(2)); sec. 208(a), Clean Air Act, 81 Stat. 501, as renumbered by sec. 8(a), 84 Stat. 1694 (42 U.S.C. 1857f-6(a)).

              Source:
              39 FR 44375, Dec. 23, 1974, unless otherwise noted.

              § 85.1801
              Definitions.
              For the purposes of this subpart, except as otherwise provided, words shall be defined as provided for by sections 214 and 302 of the Clean Air Act, 42 U.S.C. 1857, as amended.
              (a) Act shall mean the Clean Air Act, 42 U.S.C. 1857, as amended.
              (b) Days shall mean calendar days.

              § 85.1802
              Notice to manufacturer of nonconformity; submission of Remedial Plan.
              (a) A manufacturer will be notified whenever the Administrator has determined that a substantial number of a class or category of vehicles or engines produced by that manufacturer, although properly maintained and used, do not conform to the regulations prescribed under section 202 of the Act in effect during (and applicable to) the model year of such vehicle. The notification will include a description of each class or category of vehicles or engines encompassed by the determination of nonconformity, will give the factual basis for the determination of nonconformity (except information previously provided the manufacturer by the Agency), and will designate a date, no sooner than 45 days from the date of receipt of such notification, by which the manufacturer shall have submitted a plan to remedy the nonconformity.
              (b) Unless a hearing is requested pursuant to § 85.1807, the remedial plan shall be submitted to the Administrator within the time limit specified in the Administrator's notification, provided that the Administrator may grant the manufacturer an extension upon good cause shown.

              (c) If a manufacturer requests a public hearing pursuant to § 85.1807, unless as a result of such hearing the Administrator withdraws his determination of nonconformity, the manufacturer shall submit the remedial plan within 30 days of the end of such hearing.
              [39 FR 44375, Dec. 23, 1974, as amended at 42 FR 36456, July 15, 1977]

              § 85.1803
              Remedial Plan.
              (a) When any manufacturer is notified by the Administrator that a substantial number of any class or category of vehicles or engines, although properly maintained and used, do not conform to the regulations (including emission standards) or family particulate emission limits, as defined in part 86 promulgated under section 202 of the Act and in effect during (and applicable to) the model year of such class or classes of vehicles or engines, the manufacturer shall submit a plan to the Administrator to remedy such nonconformity. The plan shall contain the following:
              (1) A description of each class or category of vehicle or engine to be recalled including the model year, the make, the model, and such other information as may be required to identify the vehicles or engines to be recalled.
              (2) A description of the specific modifications, alterations, repairs, corrections, adjustments or other changes to be made to bring the vehicles or engines into conformity including a brief summary of the data and technical studies which support the manufacturer's decision as to the particular remedial changes to be used in correcting the nonconformity.
              (3) A description of the method by which the manufacturer will determine the names and addresses of vehicle or engine owners.
              (4) A description of the proper maintenance or use, if any, upon which the manufacturer conditions eligibility for repair under the remedial plan, an explanation of the manufacturer's reasons for imposing any such condition, and a description of the proof to be required of a vehicle or engine owner to demonstrate compliance with any such condition. Eligibility may not be denied solely on the basis that the vehicle or engine owner used parts not manufactured by the original equipment vehicle manufacturer, or had repairs performed by outlets other than the vehicle manufacturer's franchised dealers. No maintenance or use condition may be imposed unless it is, in the judgement of the Administrator, demonstrably related to preventing the nonconformity.

              (5) A description of the procedure to be followed by vehicle or engine owners to obtain correction of the nonconformity. This shall include designation of the date on or after which the owner can have the nonconformity remedied, the time reasonably necessary to perform the labor required to correct the nonconformity, and the designation of facilities at which the nonconformity can be remedied: Provided, That repair shall be completed within a reasonable time designated by the Administrator from the date the owner first tenders his vehicle or engine after the date designated by the manufacturer as the date on or after which the owner can have the nonconformity remedied.
              (6) If some or all of the nonconforming vehicles or engines are to be remedied by persons other than dealers or authorized warranty agents of the manufacturer, a description of the class of persons other than dealers and authorized warranty agents of the manufacturer who will remedy the nonconformity, and a statement indicating that the participating members of the class will be properly equipped to perform such remedial action.
              (7) Three copies of the letters of notification to be sent to vehicle or engine owners.
              (8) A description of the system by which the manufacturer will assure that an adequate supply of parts will be available to perform the repair under the remedial plan including the date by which an adequate supply of parts will be available to initiate the repair campaign, the percentage of the total parts requirement of each person who is to perform the repair under the remedial plan to be shipped to initiate the campaign, and the method to be used to assure the supply remains both adequate and responsive to owner demand.

              (9) Three copies of all necessary instructions to be sent to those persons who are to perform the repair under the remedial plan.

              (10) A description of the impact of the proposed changes on fuel consumption, driveability, and safety of each class or category of vehicles or engines to be recalled and a brief summary of the data, technical studies, or engineering evaluations which support these conclusions.
              (11) Any other information, reports or data which the Administrator may reasonably determine is necessary to evaluate the remedial plan.

              (b)(1) Notification to vehicle or engine owners shall be made by first class mail or by such means as approved by the Administrator: Provided, That for good cause, the Administrator may require the use of certified mail to ensure an effective notification.

              (2) The manufacture shall use all reasonable means necessary to locate vehicle or engine owners: Provided, That for good cause, the Administrator may require the manufacturer to use motor vehicle registration lists as available from State or commercial sources to obtain the names and addresses of vehicle or engine owners to ensure an effective notification.

              (3) The Administrator reserves the right to require the manufacturer to send by first class mail or other reasonable means subsequent notification to vehicle or engine owners: Provided, That for good cause, the Administrator may require the use of certified mail to ensure an effectctive notification.
              (c)(1) The manufacturer shall require those who perform the repair under the remedial plan to affix a label to each vehicle or engine repaired or, when required, inspected under the remedial plan.
              (2) The label shall be placed in such location as approved by the Administrator consistent with State law and shall be fabricated of a material suitable for the location in which it is installed and which is not readily removable intact.
              (3) The label shall contain:
              (i) The recall campaign number; and
              (ii) A code designating the campaign facility at which the repair, or inspection for repair was performed.
              (4) The Administrator reserves the right to waive any or all of the requirements of this paragraph if he determines that they constitute an unwarranted burden to the manufacturer.

              (d) The Administrator may require the manufacturer to conduct tests on components and vehicles or engines incorporating a proposed change, repair, or modification reasonably designed and necessary to demonstrate the effectiveness of the change, repair, or modification.

                Note:
                An interpretive ruling regarding § 85.1803 is published in appendix A to this subpart.

              [39 FR 44375, Dec. 23, 1974, as amended at 40 FR 28067, July 3, 1975; 42 FR 36456, July 15, 1977; 45 FR 36398, May 30, 1980; 48 FR 33462, July 21, 1983]

              § 85.1804
              Approval of Plan: Implementation.
              (a) If the Administrator finds that the remedial plan is designed and effective to correct the nonconformity, he will so notify the manufacturer in writing. If the remedial plan is not approved, the Administrator will provide the manufacturer notice of the disapproval and the reasons for the disapproval in writing.
              (b) Upon receipt of notice from the Administrator that the remedial plan has been approved, the manufacturer shall commence implementation of the approved plan. Notification of vehicle or engine owners shall be in accordance with requirements of this subpart and shall proceed as follows:
              (1) When no public hearing as described in § 85.1807 is requested by the manufacturer, notification of vehicles or engine owners shall commence within 15 working days of the receipt by the manufacturer of the Administrator's approval unless otherwise specified by the Administrator.
              (2) When a public hearing as described in § 85.1807 is held, unless as a result of such hearing the Administrator withdraws the determination of nonconformity, the Administrator shall, within 60 days after the completion of such hearing, order the manufacturer to provide prompt notification of such nonconformity.

              § 85.1805
              Notification to vehicle or engine owners.
              (a) The notification of vehicle or engine owners shall contain the following:
              (1) The statement: “The Administrator of the U.S. Environmental Protection Agency has determined that your vehicle or engine may be emitting pollutants in excess of the Federal emission standards or family particulate emission limits, as defined in part 86. These standards or family particulate emission limits, as defined in part 86 were established to protect the public health or welfare from the dangers of air pollution.”
              (2) A statement that the nonconformity of any such vehicles or engines which have been, if required by the remedial plan, properly maintained and used, will be remedied at the expense of the manufacturer.
              (3) A description of the proper maintenance or use, if any, upon which the manufacturer conditions eligibility for repair under the remedial plan and a description of the proof to be required of a vehicle or engine owner to demonstrate compliance with such condition. Eligibility may not be denied solely on the basis that the vehicle or engine owner used parts not manufactured by the original equipment vehicle manufacturer, or had repairs performed by outlets other than the vehicle manufacturer's franchised dealers.
              (4) A clear description of the components which will be affected by the remedy and a general statement of the measures to be taken to correct the nonconformity.
              (5) A statement that such nonconformity if not repaired may cause the vehicle or engine to fail an emission inspection test when such tests are required under State or local law.
              (6) A description of the adverse affects, if any, that an uncorrected nonconformity would have on the performance or driveability of the vehicle or engine.
              (7) A description of the adverse affects, if any, that such nonconformity would have on the functions of other engine components.
              (8) A description of the procedure which the vehicle or engine owner should follow to obtain correction of the nonconformity. This shall include designation of the date on or after which the owner can have the nonconformity remedied, the time reasonably necessary to perform the labor required to correct the nonconformity, and the designation of facilities at which the nonconformity can be remedied.
              (9) A card to be used by a vehicle or engine owner in the event the vehicle or engine to be recalled has been sold. Such card should be addressed to the manufacturer and shall provide a space in which the owner may indicate the name and address of the person to whom the vehicle or engine was sold.
              (10) The statement: “In order to ensure your full protection under the emission warranty made applicable to your (vehicle or engine) by Federal law, and your right to participate in future recalls, it is recommended that you have (vehicle or engine) serviced as soon as possible. Failure to do so could legally be determined to be a lack of proper maintenance of your (vehicle or engine).”
              (b) No notice sent pursuant to paragraph (a) of this section nor any other contemporaneous communication sent to vehicle or engine owners or dealers shall contain any statement or implication that the nonconformity does not exist or that the nonconformity will not degrade air quality.
              (c) The manufacturer shall be informed of any other requirements pertaining to the notification under this section which the Administrator has determined are reasonable and necessary to ensure the effectiveness of the recall campaign.
              [39 FR 44375, Dec. 23, 1974, as amended at 48 FR 33462, July 21, 1983]

              § 85.1806
              Records and reports.
              (a) The manufacturer shall provide to the Administrator a copy of all communications which relate to the remedial plan directed to dealers and other persons who are to perform the repair under the remedial plan. Such copies shall be mailed to the Administrator contemporaneously with their transmission to dealers and other persons who are to perform the repair under the remedial plan.

              (b) The manufacturer shall provide for the establishment and maintenance of records to enable the Administrator to conduct a continuing analysis of the adequacy of the recall campaign. The records shall include, for each class or category of vehicle or engine, but need not be limited to, the following:
              (1) Recall campaign number as designated by the manufacturer.
              (2) Date owner notification was begun, and date completed.
              (3) Number of vehicles or engines involved in the recall campaign.
              (4) Number of vehicles or engines known or estimated to be affected by the nonconformity.
              (5) Number of vehicles or engines inspected pursuant to the remedial plan.
              (6) Number of inspected vehicles found to be affected by the nonconformity.
              (7) Number of vehicles actually receiving repair under the remedial plan.
              (8) Number of vehicles determined to be unavailable for inspection or repair under the remedial plan due to exportation, theft, scrapping or for other reasons (specify).
              (9) Number of vehicles or engines determined to be ineligible for remedial action due to a failure to properly maintain or use such vehicles or engines.
              (c) If the manufacturer determines that the original answers for paragraphs (b) (3) and (4) of this section are incorrect, revised figures and an explanatory note shall be submitted. Answers to paragraphs (b) (5), (6), (7), and (8), and (9) of this section shall be cumulative totals.
              (d) Unless otherwise directed by the Administrator, the information specified in paragraph (b) of this section shall be included in quarterly reports, with respect to each recall campaign, for six consecutive quarters beginning with the quarter in which the notification of owners was initiated, or until all nonconforming vehicles or engines involved in the campaign have been remedied, whichever occurs sooner. Such reports shall be submitted no later than 25 working days after the close of each calendar quarter.
              (e) The manufacturer shall maintain in a form suitable for inspection, such as computer information storage devices or card files, lists of the names and addresses of vehicles or engine owners.
              (1) To whom notification was given;
              (2) Who received remedial repair or inspection under the remedial plan; and
              (3) When eligibility for repair is conditioned on proper maintenance or use, that were determined not to qualify for such remedial action.
              (f) The records described in paragraph (e) of this section shall be made available to the Administrator upon request.
              (g) The records and reports required by this section shall be retained for not less than 5 years.
              [39 FR 44375, Dec. 23, 1974; 40 FR 3447, Jan. 22, 1975]

              § 85.1807
              Public hearings.
              (a) Definitions. The following definitions shall be applicable to this section:
              (1) “Hearing Clerk” shall mean the Hearing Clerk of the Environmental Protection Agency.
              (2) “Intervener” shall mean a person who files a petition to be made an intervener pursuant to paragraph (g) of this section and whose petition is approved.
              (3) “Manufacturer” refers to a manufacturer contesting a recall order directed at that manufacturer.
              (4) “Party” shall include the Environmental Protection Agency, the manufacturer, and any interveners.
              (5) “Presiding Officer” shall mean an Administrative Law Judge appointed pursuant to 5 U.S.C. 3105 (see also 5 CFR part 930 as amended).

              (6) “Environmental Appeals Board” shall mean the Board within the Agency described in § 1.25 of this title. The Administrator delegates authority to the Environmental Appeals Board to issue final decisions in appeals filed under this subpart. Appeals 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 subpart to the Administrator 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 part referring to the Environmental Appeals Board shall be interpreted as referring to the Administrator.
              (b) Request for public hearing. (1)(i) If the manufacturer disagrees with the Administrator's finding of nonconformity he may request a public hearing as described in this section. Requests for such a hearing shall be filed with the Administrator not later than 45 days after the receipt of the Administrator's notification of nonconformity unless otherwise specified by the Administrator. Two copies of such request shall simultaneously be served upon the Director of the Manufacturers Operations Division and two copies filed with the Hearing Clerk. Failure of the manufacturer to request a hearing within the time provided shall constitute a waiver of his right to such a hearing. In such a case, the manufacturer shall carry out the recall order as required by § 85.1803-6.
              (ii) Subsequent to the expiration of the period for requesting a hearing as of right, the Administrator may, in his discretion and for good cause shown, grant the manufacturer a hearing to contest the nonconformity.
              (2) The request for a public hearing shall contain:
              (i) A statement as to which classes or categories of vehicles or engines are to be the subject of the hearing;
              (ii) A concise statement of the issues to be raised by the manufacturer at the hearing for each class or category of engine or vehicle for which the manufacturer has requested the hearing; and
              (iii) A statement as to reasons the manufacturer believes he will prevail on the merits on each of the issues so raised.
              (3) A copy of all requests for public hearings shall be kept on file in the Office of the Hearing Clerk and shall be made available to the public during Agency business hours.
              (c) Filing and service. (1) An original and two copies of all documents or papers required or permitted to be filed pursuant to this section shall be filed with the Hearing Clerk. Filing shall be deemed timely if mailed, as determined by the postmark, to the Hearing Clerk within the time allowed by this section. If filing is to be accomplished by mailing, the documents shall be sent to the address set forth in the notice of public hearing as described in paragraph (f) of this section.
              (2) Except for requests to commence a hearing, at the same time a party files with the Hearing Clerk any additional issues for consideration at the hearing or any written testimony, documents, papers, exhibits, or materials, proposed to be introduced into evidence or papers filed in connection with any appeal, it shall serve upon all other parties copies thereof. A certificate of service shall be provided on or accompany each document or paper filed with the Hearing Clerk. Documents to be served upon the Director of the Manufacturers Operations Division shall be mailed to: Director, Manufacturers Operations Division, U.S. Environmental Protection Agency (EG-340), 1200 Pennsylvania Ave., NW., WSM, Washington, DC 20460. Service by mail is complete upon mailing.
              (d) Time. (1) In computing any period of time prescribed or allowed by this section, except as otherwise provided, the day of the act or event from which the designated period of time begins to run shall not be included. Saturdays, Sundays, and Federal legal holidays shall be included in computing any such period allowed for the filing of any document or paper, except that when such period expires on a Saturday, Sunday, or Federal legal holiday, such period shall be extended to include the next following business day.
              (2) A prescribed period of time within which a party is required or permitted to do an act shall be computed from the time of service, except that when service is accomplished by mail, three days shall be added to the prescribed period.
              (e) Consolidation. The Administrator or the Presiding Officer in his discretion may consolidate two or more proceedings to be held under this section for the purpose of resolving one or more issues whenever it appears that such consolidation will expedite or simplify consideration of such issues. Consolidation shall not affect the right of any party to raise issues that could have been raised if consolidation had not occurred.
              (f) Notice of public hearings. (1) Notice of a public hearing under this section shall be given by publication in the Federal Register. Notice will be given at least 30 days prior to the commencement of such hearings.
              (2) The notice of a public hearing shall include the following information:
              (i) The purpose of the hearing and the legal authority under which the hearing is to be held;
              (ii) A brief summary of the Administrator's determination of nonconformity;
              (iii) A brief summary of the manufacturer's basis for contesting the Administrator's determination of nonconformity;
              (iv) Information regarding the time and location of the hearing and the address to which all documents required or permitted to be filed should be sent;
              (v) The address of the Hearing Clerk to whom all inquiries should be directed and with whom documents are required to be filed;
              (vi) A statement that all petitions to be made an intervener must be filed with the Hearing Clerk within 25 days from the date of the notice of public hearing and must conform to the requirements of paragraph (g) of this section.
              (3) The notice of public hearing shall be issued by the Assistant Administrator for Enforcement and General Counsel.
              (g) Interveners. (1) Any person desiring to intervene in a hearing to be held under section 207(c)(1) of the Act shall file a petition setting forth the facts and reasons why he thinks he should be permitted to intervene.
              (2) In passing upon a petition to intervene, the following factors, among other things, shall be considered by the Presiding Officer:
              (i) The nature of the petitioner's interest including the nature and the extent of the property, financial, environmental protection, or other interest of the petitioner;
              (ii) The effect of the order which may be entered in the proceeding on petitioner's interest;
              (iii) The extent to which the petitioner's interest will be represented by existing parties or may be protected by other means;
              (iv) The extent to which petitioner's participation may reasonably be expected to assist materially in the development of a complete record;
              (v) The effect of the intervention on the Agency's statutory mandate.
              (3) A petition to intervene must be filed within 25 days following the notice of public hearing under section 207(c) (1) of the Act and shall be served on all parties. Any opposition to such petition must be filed within five days of such service.
              (4) All petitions to be made an intervener shall be reviewed by the Presiding Officer using the criteria set forth in paragraph (g)(2) of this section and considering any oppositions to such petition. Where the petition demonstrates that the petitioner's interest is limited to particular issues, the Presiding Officer may, in granting such petition, limit petitioner's participation to those particular issues only.
              (5) If the Presiding Officer grants the petition with respect to any or all issues, he shall so notify, or direct the Hearing Clerk to notify, the petitioner and all parties. If the Presiding Officer denies the petition he shall so notify, or direct the Hearing Clerk to notify, the petitioner and all parties and shall briefly state the reasons why the petition was denied.
              (6) All petitions to be made an intervener shall include an agreement by the petitioner, and any person represented by the petitioner, to be subject to examination and cross-examination and to make any supporting and relevant records available at its own expense upon the request of the Presiding Officer, on his own motion or the motion of any party or other intervener. If the intervener fails to comply with any such request, the Presiding Officer may in his discretion, terminate his status as an intervener.
              (h) Intervention by motion. Following the expiration of the time prescribed in paragraph (g) of this section for the submission of petitions to intervene in a hearing, any person may file a motion with the Presiding Officer to intervene in a hearing. Such a motion must contain the information and commitments required by paragraphs (g) (2) and (6) of this section, and, in addition, must show that there is good cause for granting the motion and must contain a statement that the intervener shall be bound by agreements, arrangements, and other determinations which may have been made in the proceeding.
              (i) Amicus Curiae. Persons not parties to the proceedings wishing to file briefs may do so by leave of the Presiding Officer granted on motion. A motion for leave shall identify the interest of the applicant and shall state the reasons why the proposed amicus brief is desirable.
              (j) Presiding Officer. The Presiding Officer shall have the duty to conduct a fair and impartial hearing in accordance with 5 U.S.C. 554, 556 and 557, to take all necessary action to avoid delay in the disposition of the proceedings and to maintain order. He shall have all power consistent with Agency rule and with the Administrative Procedure Act necessary to this end, including the following:
              (1) To administer oaths and affirmations;
              (2) To rule upon offers of proof and receive relevant evidence;
              (3) To regulate the course of the hearings and the conduct of the parties and their counsel therein;
              (4) To hold conferences for simplification of the issues or any other proper purpose;
              (5) To consider and rule upon all procedural and other motions appropriate in such proceedings;
              (6) To require the submission of direct testimony in written form with or without affidavit whenever, in the opinion of the Presiding Officer, oral testimony is not necessary for full and true disclosure of the facts. Testimony concerning the conduct and results of tests and inspections may be submitted in written form.
              (7) To enforce agreements and orders requiring access as authorized by law;
              (8) To require the filing of briefs on any matter on which he is required to rule;
              (9) To require any party or any witness, during the course of the hearing, to state his position on any issue;
              (10) To take or cause depositions to be taken whenever the ends of justice would be served thereby;
              (11) To make decisions or recommend decisions to resolve the disputed issues of the record of the hearing.
              (12) To issue, upon good cause shown, protective orders as described in paragraph (n) of this section.
              (k) Conferences. (1) At the discretion of the Presiding Officer, conferences may be held prior to or during any hearing. The Presiding Officer shall direct the Hearing Clerk to notify all parties and interveners of the time and location of any such conference. At the discretion of the Presiding Officer, persons other than parties may attend. At a conference the Presiding Officer may:
              (i) Obtain stipulations and admissions, receive requests and order depositions to be taken, identify disputed issues of fact and law, and require or allow the submission of written testimony from any witness or party;
              (ii) Set a hearing schedule for as many of the following as are deemed necessary by the Presiding Officer:
              (A) Oral and written statements;
              (B) Submission of written direct testimony as required or authorized by the Presiding Officer;
              (C) Oral direct and cross-examination of a witness where necessary as prescribed in paragraph (p) of this section;
              (D) Oral argument, if appropriate.
              (iii) Identify matters of which official notice may be taken;
              (iv) Consider limitation of the number of expert and other witnesses;
              (v) Consider the procedure to be followed at the hearing; and
              (vi) Consider any other matter that may expedite the hearing or aid in the disposition of the issue.
              (2) The results of any conference including all stipulations shall, if not transcribed, be summarized in writing by the Presiding Officer and made part of the record.
              (l) Primary discovery (exchange of witness lists and documents). (1) At a prehearing conference or within some reasonable time set by the Presiding Officer prior to the hearing, each party shall make available to the other parties the names of the expert and other witnesses the party expects to call, together with a brief summary of their expected testimony and a list of all documents and exhibits which the party expects to introduce into evidence. Thereafter, witnesses, documents, or exhibits may be added and summaries of expected testimony amended upon motion by a party.
              (2) The Presiding Officer, may, upon motion by a party or other person, and for good cause shown, by order (i) restrict or defer disclosure by a party of the name of a witness or a narrative summary of the expected testimony of a witness, and (ii) prescribe other appropriate measures to protect a witness. Any party affected by any such action shall have an adequate opportunity, once he learns the name of a witness and obtains the narrative summary of his expected testimony, to prepare for the presentation of his case.
              (m) Other discovery. (1) Except as so provided by paragraph (l) of this section, further discovery, under this paragraph, shall be permitted only upon determination by the Presiding Officer:
              (i) That such discovery will not in any way unreasonably delay the proceeding;
              (ii) That the information to be obtained is not obtainable voluntarily; and
              (iii) That such information has significant probative value. The Presiding Officer shall be guided by the procedures set forth in the Federal Rules of Civil Procedure, where practicable, and the precedents thereunder, except that no discovery shall be undertaken except upon order of the Presiding Officer or upon agreement of the parties.
              (2) The Presiding Officer shall order depositions upon oral questions only upon a showing of good cause and upon a finding that:
              (i) The information sought cannot be obtained by alternative methods; or
              (ii) There is a substantial reason to believe that relevant and probative evidence may otherwise not be preserved for presentation by a witness at the hearing.
              (3) Any party to the proceeding desiring an order of discovery shall make a motion or motions therefor. Such a motion shall set forth:
              (i) The circumstances warranting the taking of the discovery;
              (ii) The nature of the information expected to be discovered; and
              (iii) The proposed time and place where it will be taken. If the Presiding Officer determines the motion should be granted, he shall issue an order for the taking of such discovery together with the conditions and terms thereof.
              (4) Failure to comply with an order issued pursuant to this paragraph may lead to the inference that the information to be discovered would be adverse to the person or party from whom the information was sought.
              (n) Protective orders: in camera proceedings. (1) Upon motion by a party or by the person from whom discovery is sought, and upon a showing by the movant that the disclosure of the information to be discovered, or a particular part thereof, (other than emission data) would result in methods or processes entitled to protection as trade secrets of such person being divulged, the Presiding Officer may enter a protective order with respect to such material. Any protective order shall contain such terms governing the treatment of the information as may be appropriate under the circumstances to prevent disclosure outside the hearing: Provided, That the order shall state that the material shall be filed separately from other evidence and exhibits in the hearing. Disclosure shall be limited to parties to the hearing, their counsel and relevant technical consultants, and authorized representatives of the United States concerned with carrying out the Act. Except in the case of the government, disclosure may be limited to counsel to parties who shall not disclose such information to the parties themselves. Except in the case of the government, disclosure to a party or his counsel shall be conditioned on execution of a sworn statement that no disclosure of the information will be made to persons not entitled to receive it under the terms of the protective order. (No such provision is necessary where government employees are concerned because disclosure by them is subject to the terms of 18 U.S.C. 1905.)

              (2)(i) A party or person seeking a protective order may be permitted to make all or part of the required showing in camera. A record shall be made of such in camera proceedings. If the Presiding Officer enters a protective order following a showing in camera, the record of such showing shall be sealed and preserved and made available to the Agency or court in the event of appeal.
              (ii) Attendance at any in camera proceeding may be limited to the Presiding Officer, the Agency, and the person or party seeking the protective order.
              (3) Any party, subject to the terms and conditions of any protective order issued pursuant to paragraph (n)(1) of this section, desiring for the presentation of his case to make use of any in camera documents or testimony shall make application to the Presiding Officer by motion setting forth the justification therefor. The Presiding Officer, in granting any such motion, shall enter an order protecting the rights of the affected persons and parties and preventing unnecessary disclosure of such information, including the presentation of such information and oral testimony and cross-examination concerning it in executive session, as in his discretion is necessary and practicable.

              (4) In the submittal of proposed findings, briefs, or other papers, counsel for all parties shall make a good faith attempt to refrain from disclosing the specific details of in camera documents and testimony. This shall not preclude references in such proposed findings, briefs, or other papers to such documents or testimony including generalized statements based on their contents. To the extent that counsel consider it necessary to include specific details in their presentations, such data shall be incorporated in separate proposed findings, briefs, or other papers marked “confidential”, which shall become part of the in camera record.
              (o) Motions. (1) All motions, except those made orally during the course of the hearing, shall be in writing and shall state with particularity the grounds therefor, shall set forth the relief or order sought, and shall be filed with the Hearing Clerk and served upon all parties.
              (2) Within ten days after service of any motion filed pursuant to this section, or within such other time as may be fixed by the Environmental Appeals Board or the Presiding Officer, as appropriate, any party may serve and file an answer to the motion. The movant shall, if requested by the Environmental Appeals Board or the Presiding Officer, as appropriate, serve and file reply papers within the time set by the request.
              (3) The Presiding Officer shall rule upon all motions filed or made prior to the filing of his decision or accelerated decision, as appropriate. The Environmental Appeals Board shall rule upon all motions filed prior to the appointment of a Presiding Officer and all motions filed after the filing of the decision of the Presiding Officer or accelerated decision. Oral argument of motions will be permitted only if the Presiding Officer or the Environmental Appeals Board, as appropriate, deems it necessary.
              (p) Evidence. (1) The official transcripts and exhibits, together with all papers and requests filed in the proceeding, shall constitute the record. Immaterial or irrelevant parts of an admissible document shall be segregated and excluded so far as practicable. Documents or parts thereof subject to a protective order under paragraph (n) of this section shall be segregated. Evidence may be received at the hearing even though inadmissible under the rules of evidence applicable to judicial proceedings. The weight to be given evidence shall be determined by its reliability and probative value.
              (2) The Presiding Officer shall allow the parties to examine and to crossexamine a witness to the extent that such examination and cross-examination is necessary for a full and true disclosure of the facts.
              (3) Rulings of the Presiding Officer on the admissibility of evidence, the propriety of examination and cross-examination and other procedural matters shall appear in the record.
              (4) Parties shall automatically be presumed to have taken exception to an adverse ruling.
              (q) Interlocutory appeal. (1) An interlocutory appeal may be taken to the Environmental Appeals Board either (i) with the consent of the Presiding Officer and where he certifies on the record or in writing that the allowance of an interlocutory appeal is clearly necessary to prevent exceptional delay, expense or prejudice to any party or substantial detriment to the public interest, or (ii) absent the consent of the Presiding Officer, by permission of the Environmental Appeals Board.
              (2) Applications for interlocutory appeal of any ruling or order of the Presiding Officer may be filed with the Presiding Officer within 5 days of the issuance of the ruling or order being appealed. Answers thereto by other parties may be filed within 5 days of the service of such applications.
              (3) The Presiding Officer shall rule on such applications within 5 days of the filing of such application or answers thereto.
              (4) Applications to file such appeals absent consent of the Presiding Officer shall be filed with the Environmental Appeals Board within 5 days of the denial of any appeal by the Presiding Officer.
              (5) The Environmental Appeals Board will consider the merits of the appeal on the application and any answers thereto. No oral argument will be heard nor other briefs filed unless the Environmental Appeals Board directs otherwise.
              (6) Except under extraordinary circumstances as determined by the Presiding Officer, the taking of an interlocutory appeal will not stay the hearing.
              (r) Record. (1) Hearings shall be stenographically reported and transcribed, and the original transcript shall be part of the record and the sole official transcript. Copies of the record shall be filed with the Hearing Clerk and made available during Agency business hours for public inspection. Any person desiring a copy of the record of the hearing or any part thereof shall be entitled to the same upon payment of the cost thereof.
              (2) The official transcripts and exhibits, together with all papers and requests filed in the proceeding, shall constitute the record.
              (s) Proposed findings, conclusions. (1) Within 20 days of the close of the reception of evidence, or within such longer time as may be fixed by the Presiding Officer, any party may submit for the consideration of the Presiding Officer proposed findings of fact, conclusions of law, and a proposed rule or order, together with reasons therefor and briefs in support thereof. Such proposals shall be in writing, shall be served upon all parties, and shall contain adequate references to the record and authorities relied on.
              (2) The record shall show the Presiding Officer's ruling on the proposed findings and conclusions except when his order disposing of the proceeding otherwise informs the parties of the action taken by him thereon.
              (t) Decision of the Presiding Officer. (1) Unless extended by the Environmental Appeals Board, the Presiding Officer shall issue and file with the Hearing Clerk his decision within 30 days after the period for filing proposed findings as provided for in paragraph (s) of this section has expired.
              (2) The Presiding Officer's decision shall become the opinion of the Environmental Appeals Board (i) when no notice of intention to appeal as described in paragraph (u) of this section is filed, 30 days after the issuance thereof, unless in the interim the Environmental Appeals Board shall have taken action to review or stay the effective date of the decision; or (ii) when a notice of intention to appeal is filed but the appeal is not perfected as required by paragraph (u) of this section, 5 days after the period allowed for perfection of an appeal has expired unless within that 5 day period, the Environmental Appeals Board shall have taken action to review or stay the effective date of the decision.
              (3) The Presiding Officer's decision shall include a statement of findings and conclusions, as well as the reasons or basis therefor, upon all the material issues of fact or law presented on the record and an appropriate rule or order. Such decision shall be supported by substantial evidence and based upon a consideration of the whole record.

              (4) At any time prior to the issuance of his decision, the Presiding Officer may reopen the proceeding for the reception of further evidence. Except for the correction of clerical errors, the jurisdiction of the Presiding Officer is terminated upon the issuance of his decision.
              (u) Appeal from the Decision of the Presiding Officer. (1) Any party to a proceeding may appeal the Presiding Officer's decision to the Environmental Appeals Board, Provided, That within 10 days after issuance of the Presiding Officer's decision such party files a notice of intention to appeal and an appeal brief within 30 days of such decision.
              (2) When an appeal is taken from the decision of the Presiding Officer, any party may file a brief with respect to such appeal. The brief shall be filed within 20 days of the date of the filing of the appellant's brief.
              (3) Any brief filed pursuant to this paragraph shall contain in the order indicated, the following:
              (i) A subject index of the matter in the brief, with page references, and a table of cases (alphabetically arranged), textbooks, statutes, and other material cited, with page references thereto;
              (ii) A specification of the issues intended to be urged;
              (iii) The argument presenting clearly the points of fact and law relied upon in support of the position taken on each issue, with specific page references to the record and the legal or other material relied upon; and
              (iv) A proposed form of rule or order for the Environmental Appeals Board's consideration if different from the rule or order contained in the Presiding Officer's decision.
              (4) No brief in excess of 40 pages shall be filed without leave of the Environmental Appeals Board.
              (5) Oral argument will be allowed in the discretion of the Environmental Appeals Board.
              (v) Review of the Presiding Officer's Decision in Absence of Appeal. (1) If, after the expiration of the period for taking an appeal as provided for by paragraph (u) of this section, no notice of intention to appeal the decision of the Presiding Officer has been filed, or if filed, not perfected, the Hearing Clerk shall so notify the Environmental Appeals Board.
              (2) The Environmental Appeals Board, upon receipt of notice from the Hearing Clerk that no notice of intention to appeal has been filed, or if filed, not perfected pursuant to paragraph (u) of this section, may, on its own motion, within the time limits specified in paragraph (t)(2) of this section, review the decision of the Presiding Officer. Notice of the intention of the Environmental Appeals Board to review the decision of the Presiding Officer shall be given to all parties and shall set forth the scope of such review and the issue which shall be considered and shall make provision for filing of briefs.
              (w) Decision on appeal or review. (1) Upon appeal from or review of the Presiding Officer's decision, the Environmental Appeals Board shall consider such parts of the record as are cited or as may be necessary to resolve the issues presented and, in addition shall to the extent necessary or desirable exercise all the powers which it could have exercised if it had presided at the hearing.
              (2) In rendering its decision, the Environmental Appeals Board shall adopt, modify, or set aside the findings, conclusions, and rule or order contained in the decision of the Presiding Officer and shall set forth in its decision a statement of the reasons or bases for its action.
              (3) In those cases where the Environmental Appeals Board determines that it should have further information or additional views of the parties as to the form and content of the rule or order to be issued, the Environmental Appeals Board, in its discretion, may withhold final action pending the receipt of such additional information or views, or may remand the case to the Presiding Officer.
              (x) Reconsideration. Within twenty (20) days after issuance of the Environmental Appeals Board's decision, any party may file with the Environmental Appeals Board a petition for reconsideration of such decision, setting forth the relief desired and the grounds in support thereof. Any petition filed under this subsection must be confined to new questions raised by the decision or the final order and upon which the petitioner had no opportunity to argue before the Presiding Officer or the Environmental Appeals Board. Any party desiring to oppose such a petition shall file and answer thereto within ten (10) days after the filing of the petition. The filing of a petition for reconsideration shall not operate to stay the effective date of the decision or order or to toll the running of any statutory time period affecting such decision or order unless specifically so ordered by the Environmental Appeals Board.
              (y) Accelerated decision: Dismissal. (1) The Presiding Officer, upon motion of any party or sua sponte, may at any time render an accelerated decision in favor of the Agency or the manufacturer as to all or any part of the proceeding, without further hearing or upon such limited additional evidence such as affidavits as he may require, or dismiss any party with prejudice, under any of the following conditions:
              (i) Failure to state a claim upon which relief can be granted, or direct or collateral estoppel;
              (ii) There is no genuine issue of material fact and a party is entitled to judgment as a matter of law; or
              (iii) Such other and further reasons as are just, including specifically failure to obey a procedural order of the Presiding Officer.
              (2) If under this paragraph an accelerated decision is issued as to all the issues and claims joined in the proceeding, the decision shall be treated for the purposes of these procedures as the decision of the Presiding Officer as provided in paragraph (p) of this section.
              (3) If under this paragraph, judgment is rendered on less than all issues or claims in the proceeding, the Presiding Officer shall determine what material facts exist without substantial controversy and what material facts are actually and in good faith controverted. He shall thereupon issue an order specifying the facts which appear without substantial controversy, and the issues and claims upon which the hearing will proceed.
              (z) Conclusion of hearing. (1) If, after the expiration of the period for taking an appeal as provided for by paragraph (u) of this section, no appeal has been taken from the Presiding Officer's decision, and, after the expiration of the period for review by the Environmental Appeals Board on its own motion as provided for by paragraph (v) of this section, the Environmental Appeals Board does not move to review such decision, the hearing will be deemed to have ended at the expiration of all periods allowed for such appeal and review.
              (2) If an appeal of the Presiding Officer's decision is taken pursuant to paragraph (u) of this section, or if, in the absence of such appeal, the Environmental Appeals Board moves to review the decision of the Presiding Officer pursuant to paragraph (v) of this section, the hearing will be deemed to have ended upon the rendering of a final decision by the Environmental Appeals Board.
              (aa) Judicial Review. (1) The Administrator hereby designates the Deputy General Counsel, Environmental Protection Agency as the officer upon whom copy of any petition for judicial review shall be served.
              Such officer shall be responsible for filing in the court the record on which the order of the Environmental Appeals Board is based.
              (2) Before forwarding the record to the court, the Agency shall advise the petitioner of costs of preparing it and as soon as payment to cover fees is made shall forward the record to the court.
              [39 FR 44375, Dec. 23, 1974; 40 FR 3447, Jan. 22, 1975, as amended at 44 FR 61962, Oct. 29, 1979; 57 FR 5329, Feb. 13, 1992]

              § 85.1808
              Treatment of confidential information.
              (a) Any manufacturer may assert that some or all of the information submitted pursuant to this subpart is entitled to confidential treatment as provided by 40 CFR part 2, subpart B.
              (b) Any claim of confidentiality must accompany the information at the time it is submitted to EPA.

              (c) To assert that information submitted pursuant to this subpart is confidential, a person or manufacturer must indicate clearly the items of information claimed confidential by marking, circling bracketing, stamping, or otherwise specifying the confidential information. Furthermore, EPA requests, but does not require, that the submitter also provide a second copy of its submittal from which all confidential information has been deleted. If a need arises to publicly release nonconfidential information, EPA will assume that the submitter has accurately deleted the confidential information from this second copy.
              (d) If a claim is made that some or all of the information submitted pursuant to this subpart is entitled to confidential treatment, the information covered by that confidentiality claim will be disclosed by the Environmental Appeals Board only to the extent and by means of the procedures set forth in part 2, subpart B, of this chapter.
              (e) Information provided without a claim of confidentiality at the time of submission may be made available to the public by EPA without further notice to the submitter, in accordance with 40 CFR 2.204(c)(2)(i)(A).
              [50 FR 34797, Aug. 27, 1985, as amended at 57 FR 5330, Feb. 13, 1992]

              Pt. 85, Subpt. S, App. A
              Appendix A to Subpart S of Part 85—Interpretive Ruling for § 85.1803—Remedial Plans
              The purpose of this rule is to set forth EPA's interpretation regarding one aspect of a motor vehicle or motor vehicle engine manufacturer's recall liability under section 207(c)(1) of the Clean Air Act, 42 U.S.C. 7641(c)(1). This rule will provide guidance to vehicle and engine manufacturers to better enable them to submit acceptable remedial plans.
              Section 207(c)(1) requires the Administrator to base a recall order on a determination that a substantial number of in-use vehicles or engines within a given class or category of vehicles or engines, although properly maintained and used, fail to conform to the regulations prescribed under section 202 when in actual use throughout their useful lives. After making such a determination, he shall require the manufacturer to submit a plan to remedy the nonconformity of any such vehicles or engines. The plan shall provide that the manufacturer will remedy, at the manufacturer's expense, all properly maintained and used vehicles which experienced the nonconformity during their useful lives regardless of their age or mileage at the time of repair.
              (Secs. 207 and 301(a), Clean Air Act, as amended, 42 U.S.C. 7541 and 7601(a))
              [45 FR 36398, May 30, 1980]

            Subpart T—Emission Defect Reporting Requirements

              Authority:
              Secs. 208(a) and 301(a), Clean Air Act, as amended (42 U.S.C. 1857f-6(a) and 1857g(a)).

              Source:
              42 FR 28128, June 2, 1977, unless otherwise noted.

              § 85.1901
              Applicability.
              (a) The requirements of this subpart shall be applicable to all 1972 and later model year motor vehicles and motor vehicle engines, except that the provisions of 40 CFR 1068.501 apply instead for heavy-duty motor vehicle engines certified under 40 CFR part 86, subpart A, and for heavy-duty motor vehicles certified under 40 CFR part 1037 starting January 1, 2018.
              (b) The requirement to report emission-related defects affecting a given class or category of vehicles or engines shall remain applicable for five years from the end of the model year in which such vehicles or engines were manufactured.
              [81 FR 73972, Oct. 25, 2016]

              § 85.1902
              Definitions.
              For the purposes of this subpart and unless otherwise noted:
              (a) Act means the Clean Air Act, 42 U.S.C. 7401-7671q, as amended.
              (b) Emission-related defect means:
              (1) A defect in design, materials, or workmanship in a device, system, or assembly described in the approved Application for Certification that affects any parameter or specification enumerated in appendix VIII of this part; or
              (2) A defect in the design, materials, or workmanship in one or more emission-related parts, components, systems, software or elements of design which must function properly to ensure continued compliance with emission standards.
              (c) Useful life has the meaning given in section 202(d) of the Act (42 U.S.C.7521(d)) and regulations promulgated thereunder.
              (d) Voluntary emissions recall means a repair, adjustment, or modification program voluntarily initiated and conducted by a manufacturer to remedy any emission-related defect for which direct notification of vehicle or engine owners has been provided, including programs to remedy defects related to emissions standards for CO2, CH4, N2O, and/or carbon-related exhaust emissions.
              (e) Ultimate purchaser has the meaning given in section 216 of the Act (42 U.S.C.7550).
              (f) Manufacturer has the meaning given in section 216 of the Act (42 U.S.C.7550).
              [81 FR 73973, Oct. 25, 2016]

              § 85.1903
              Emissions defect information report.
              (a) A manufacturer shall file a defect information report whenever, on the basis of data obtained subsequent to the effective date of these regulations:

              (1) The manufacturer determines in accordance with procedures established by the manufacturer to identify safety related defects (pursuant to 15 U.S.C. 1381 et seq., as amended) that a specific emission-related defect exists; and
              (2) That the specific emission-related defect exists in twenty-five or more vehicles or engines of the same model year.
              No report shall be filed under this paragraph for any emission-related defect corrected prior to the sale of the affected vehicles or engines to an ultimate purchaser.
              (b) Defect information reports required under paragraph (a) of this section shall be submitted not more than 15 working days after an emission-related defect is found to affect twenty-five vehicles or engines of the same model year. Items of information required by paragraph (c) of this section that are either not available within that period or are significantly revised shall be submitted as they become available.
              (c) Except as provided in paragraph (b) of this section, each defect report shall contain the following information in substantially the format outlined below:
              (1) The manufacturer's corporate name.
              (2) A description of the defect.
              (3) A description of each class or category of vehicles or engines potentially affected by the defect including make, model, model year, and such other information as may be required to identify the vehicles or engines affected.
              (4) For each class or category of vehicle or engine described in response to paragraph (c)(3) of this section, the following shall also be provided:
              (i) The number of vehicles or engines known or estimated to have the defect and an explanation of the means by which this number was determined.
              (ii) The address of the plant(s) at which the potentially defective vehicles or engines were produced.
              (5) An evaluation of the emissions impact of the defect and a description of any driveability problems which a defective vehicle might exhibit.
              (6) Available emissions data which relate to the defect.
              (7) An indication of any anticipated manufacturer follow-up.

              § 85.1904
              Voluntary emissions recall report; quarterly reports.
              (a) When any manufacturer initiates a voluntary emissions recall campaign involving twenty-five or more vehicles or engines, the manufacturer shall submit a report describing the manufacturer's voluntary emissions recall plan as prescribed by this section within 15 working days of the date owner notification was begun. The report shall contain the following:
              (1) A description of each class or category of vehicle or engine recalled including the number of vehicles to be recalled, the model year, the make, the model, and such other information as may be required to identify the vehicles or engines recalled.
              (2) A description of the specific modifications, alterations, repairs, corrections, adjustments, or other changes to be made to correct the vehicles or engines affected by the emission-related defect.
              (3) A description of the method by which the manufacturer will determine the names and addresses of vehicle or engine owners and the method by which they will be notified.

              (4) A description of the proper maintenance or use, if any, upon which the manufacturer conditions eligibility for repair under the remedial plan, an explanation of the manufacturer's reasons for imposing any such condition, and a description of the proof to be required of a vehicle or engine owner to demonstrate compliance with any such condition.
              (5) A description of the procedure to be followed by vehicle or engine owners to obtain correction of the nonconformity. This shall include designation of the date on or after which the owner can have the nonconformity remedied, the time reasonably necessary to perform the labor to remedy the defect, and the designation of facilities at which the defect can be remedied.
              (6) If some or all of the nonconforming vehicles or engines are to be remedied by persons other than dealers or authorized warranty agents of the manufacturer, a description of the class of persons other than dealers and authorized warranty agents of the manufacturer who will remedy the defect.
              (7) Three copies of the letters of notification to be sent to vehicle or engine owners.
              (8) A description of the system by which the manufacturer will assure that an adequate supply of parts will be available to perform the repair under the remedial plan including the date by which an adequate supply of parts will be available to initiate the repair campaign, the percentage of the total parts requirement of each person who is to perform the repair under the remedial plan to be shipped to initiate the campaign, and the method to be used to assure the supply remains both adequate and responsive to owner demand.
              (9) Three copies of all necessary instructions to be sent to those persons who are to perform the repair under the remedial plan.
              (10) A description of the impact of the proposed changes on fuel consumption, driveability, and safety of each class or category of vehicles or engines to be recalled.
              (11) A sample of any label to be applied to vehicles or engines which participate in the voluntary recall campaign.
              (b) Unless otherwise specified by the Administrator, the manufacturer shall report on the progress of the recall campaign by submitting subsequent reports for six consecutive quarters commencing with the quarter after the voluntary emissions recall campaign actually begins. Such reports shall be submitted no later than 25 working days after the close of each calendar quarter. For each class or category of vehicle or engine subject to the voluntary emissions recall campaign, the quarterly report shall contain the:
              (1) Emission recall campaign number, if any, designated by the manufacturer.
              (2) Date owner notification was begun, and date completed.
              (3) Number of vehicles or engines involved in the voluntary emissions recall campaign.
              (4) Number of vehicles or engines known or estimated to be affected by the emission-related defect and an explanation of the means by which this number was determined.
              (5) Number of vehicles or engines inspected pursuant to the voluntary emissions recall plan.
              (6) Number of inspected vehicles found to be affected by the emission-related defect.
              (7) Number of vehicles actually receiving repair under the remedial plan.
              (8) Number of vehicles determined to be unavailable for inspection or repair under the remedial plan due to exportation, theft, scrapping, or for other reasons (specify).
              (9) Number of vehicles or engines determined to be ineligible for remedial action due to a failure to properly maintain or use such vehicles or engines.
              (10) Three copies of any service bulletins transmitted to dealers which relate to the defect to be corrected and which have not previously been reported.
              (11) Three copies of all communications transmitted to vehicle or engine owners which relate to the defect to be corrected and which have not previously been submitted.
              (c) If the manufacturer determines that any of the information requested in paragraph (b) of this section has changed or was incorrect, revised information and an explanatory note shall be submitted. Answers to paragraphs (b)(5), (6), (7), (8), and (9) of this section shall be cumulative totals.

              (d) The manufacturer shall maintain in a form suitable for inspection, such as computer information storage devices or card files, the names and addresses of vehicles or engine owners:
              (1) To whom notification was given;
              (2) Who received remedial repair or inspection under the remedial plan; and
              (3) Who were determined not to qualify for such remedial action when eligibility is conditioned on proper maintenance or use.
              (e) The records described in paragraph (d) of this section shall be made available to the Administrator upon request.

              § 85.1905
              Alternative report formats.
              (a) Any manufacturer may submit a plan for making either of the reports required by §§ 85.1903 and 85.1904 on computer cards, magnetic tape or other machine readable format. The proposed plan shall be accompanied by sufficient technical detail to allow a determination that data requirements of these sections will be met and that the data in such format will be usable by EPA.
              (b) Upon approval by the Administrator of the proposed reporting system, the manufacturer may utilize such system until otherwise notified by the Administrator.

              § 85.1906
              Report filing: Record retention.
              (a) The reports required by §§ 85.1903 and 85.1904 shall be sent to the Designated Compliance Officer as specified at 40 CFR 1068.30.
              (b) The information gathered by the manufacturer to compile the reports required by §§ 85.1903 and 85.1904 shall be retained for not less than five years from the date of the manufacture of the vehicles or engines and shall be made available to duly authorized officials of the EPA upon request.
              [42 FR 28128, June 2, 1977, as amended at 44 FR 61962, Oct. 29, 1979; 81 FR 73973, Oct. 25, 2016]

              § 85.1907
              Responsibility under other legal provisions preserved.
              The filing of any report under the provisions of this subpart shall not affect a manufacturer's responsibility to file reports or applications, obtain approval, or give notice under any provision of law.

              § 85.1908
              Disclaimer of production warranty applicability.
              (a) The act of filing an Emission Defect Information Report pursuant to § 85.1903 is inconclusive as to the existence of a defect subject to the Production Warranty provided by section 207 (a) of the Act.
              (b) A manufacturer may include on each page of its Emission Defect Information Report a disclaimer stating that the filing of a Defect Information Report pursuant to these regulations is not conclusive as to the applicability of the Production Warranty provided by section 207(a) of the Act.

              § 85.1909
              Treatment of confidential information.
              (a) Any manufacturer may assert that some or all of the information submitted pursuant to this subpart is entitled to confidential treatment as provided by 40 CFR part 2, subpart B.
              (b) Any claim of confidentiality must accompany the information at the time it is submitted to EPA.
              (c) To assert that information submitted pursuant to this subpart is confidential, a manufacturer must indicate clearly the items of information claimed confidential by marking, circling, bracketing, stamping, or otherwise specifying the confidential information. Furthermore, EPA requests, but does not require, that the submitter also provide a second copy of its submittal from which all confidential information has been deleted. If a need arises to publicly release nonconfidential information, EPA will assume that the submitter has accurately deleted all confidential information from this second copy.
              (d) If a claim is made that some or all of the information submitted pursuant to this subpart is entitled to confidential treatment, the information covered by that confidentiality claim will be disclosed by the Administrator only to the extent and by means of the procedures set forth in part 2, subpart B, of this chapter.

              (e) Information provided without a claim of confidentiality at the time of submission may be made available to the public by EPA without further notice to the submitter, in accordance with 40 CFR 2.204(c)(2)(i)(A).
              [50 FR 34798, Aug. 27, 1985]

            Subpart U [Reserved]

            Subpart V—Emissions Control System Performance Warranty Regulations and Voluntary Aftermarket Part Certification Program

              Authority:
              Secs. 203, 207, 208, and 301(a), Clean Air Act, as amended (42 U.S.C. 7522, 7541, 7542, and 7601(a)).

              Source:
              45 FR 34839, May 22, 1980, unless otherwise noted.

              § 85.2101
              General applicability.
              (a) Sections 85.2101 through 85.2111 are applicable to all 1981 and later model year light-duty vehicles and light-duty trucks.
              (b) References in this subpart to engine families and emission control systems shall be deemed to apply to durability groups and test groups as applicable for manufacturers certifying new light-duty vehicles and light-duty trucks under the provisions of 40 CFR part 86, subpart S.
              [64 FR 23919, May 4, 1999]

              § 85.2102
              Definitions.
              (a) As used in §§ 85.2101 through 85.2111 all terms not defined herein shall have the meaning given them in the Act:
              (1) Act means Part A of Title II of the Clean Air Act, 42 U.S.C. 7421 et seq. (formerly 42 U.S.C. 1857 et seq.), as amended.
              (2) Office Director means the Director for the Office of Mobile Sources—Office of Air and Radiation of the Environmental Protection Agency or other authorized representative of the Office Director.
              (3) Certified part means a part certified in accordance with the aftermarket part certification regulations contained in this subpart.
              (4) Emission performance warranty means that warranty given pursuant to this subpart and section 207(b) of the Act.
              (5) Office Director-approved emission test or Emission Short Test means any test prescribed under 40 CFR 85.2201 et seq., and meeting all of the requirements thereunder.
              (6) Model year means the manufacturer's annual production period (as determined by the Office Director) which includes January 1 of such calendar year; however, if the manufacturer has no annual production period, the term “model year” shall mean the calendar year.
              (7) Original equipment part means a part present in or on a vehicle at the time the vehicle is sold to the ultimate purchaser, except for components installed by a dealer which are not manufactured by the vehicle manufacturer or are not installed at the direction of the vehicle manufacturer.
              (8) Owner means the original purchaser or any subsequent purchaser of a vehicle.
              (9) Owner's manual means the instruction booklet normally provided to the purchaser of a vehicle.
              (10) Useful life means that period established pursuant to section 202(d) of the Act and regulations promulgated thereunder.
              (11) Vehicle means a light duty vehicle or a light duty truck.
              (12) Warranty booklet means a booklet, separate from the owner's manual, containing all warranties provided with the vehicle.
              (13) Written instructions for proper maintenance and use means those maintenance and operation instructions specified in the owner's manual as being necessary to assure compliance of a vehicle with applicable emission standards for the useful life of the vehicle that are:
              (i) In accordance with the instructions specified for performance on the manufacturer's prototype vehicle used in certification (including those specified for vehicles used under special circumstances), and
              (ii) In compliance with the requirements of 40 CFR 86.094-38 or 86.1808-01 (as appropriate for the applicable model year vehicle/engine classification); and

              (iii) In compliance with any other regulations promulgated by the Office Director governing maintenance and use instructions.
              (14) Emission related parts means those parts installed for the specific purpose of controlling emissions or those components, systems, or elements of design which must function properly to assure continued vehicle emission compliance.
              (15) Objective evidence of an emission related repair means all diagnostic information and data, the actual parts replaced during repair, and any other information directly used to support a warranty claim, or to support denial of such a claim.
              (16) Valid emission performance warranty claim means a claim in which there is no evidence that the vehicle had not been properly maintained and operated in accordance with manufacturer instructions, the vehicle failed to conform to applicable emission standards as measured by an Office Director-approved type of emission warranty test during its useful life and the owner is subject to sanction as a result of the test failure.
              (17) Reasonable expense means any expense incurred due to repair of a warranty failure caused by a non-original equipment certified part, including, but not limited to, all charges in any expense categories that would be considered payable by the involved vehicle manufacturer to its authorized dealer under a similar warranty situation where an original equipment part was the cause of the failure. Included in “reasonable expense” are any additional costs incurred specifically due to the processing of a claim involving a certified aftermarket part or parts as covered in these regulations. The direct parts and labor expenses of carrying out repairs is immediately chargeable to the part manufacturer. All charges beyond the actual parts and labor repair expenses must be amortized over the number of claims and/or over a number of years in a manner that would be considered consistent with generally accepted accounting principles. These expense categories shall include but are not limited to the cost of labor, materials, record keeping, special handling, and billing as a result of replacement of a certified aftermarket part.
              (18) MOD Director means Director of Manufacturers Operations Division, Office of Mobile Sources—Office of Air and Radiation of the Environmental Protection Agency.
              [45 FR 34839, May 22, 1980, as amended at 54 FR 32587, Aug. 8, 1989; 64 FR 23919, May 4, 1999]

              § 85.2103
              Emission performance warranty.
              (a) The manufacturer of each vehicle to which this subpart applies shall warrant in writing that if:
              (1) The vehicle is maintained and operated in accordance with the written instructions for proper maintenance and use and
              (2) The vehicle fails to conform at any time during its useful life to the applicable emission standards or family emission limits as determined by an EPA-approved emission test, and

              (3) Such nonconformity results or will result in the vehicle owner having to bear any penalty or other sanction (including the denial of the right to use the vehicle) under local, State or Federal law, then the manufacturer shall remedy the nonconformity at no cost to the owner; except that, if the vehicle has been in operation for more than 24 months or 24,000 miles, the manufacturer shall be required to remedy only those nonconformities resulting from the failure of components which have been installed in or on the vehicle for the sole or primary purpose of reducing vehicle emissions and that were not in general use prior to model year 1968.
              (b) The warranty period shall begin on the date the vehicle is delivered to its ultimate purchaser, or if the vehicle is first placed in service as a “demonstrator” or “company” car prior to delivery, on the date it is first placed in service.
              [45 FR 34839, May 22, 1980, as amended at 54 FR 32587, Aug. 8, 1989]

              § 85.2104
              Owners' compliance with instructions for proper maintenance and use.

              (a) An emission performance warranty claim may be denied on the basis of noncompliance by a vehicle owner with the written instructions for proper maintenance and use.

              (b) When determining whether an owner has complied with the written instructions for proper maintenance and use, a vehicle manufacturer may require an owner to submit evidence of compliance only with those written maintenance instructions for which the manufacturer has an objective reason for believing:
              (1) Were not performed; and
              (2) If not performed could be the cause of the particular vehicle's exceeding applicable emission standards.
              (c) Evidence of compliance with a maintenance instruction may consist of:
              (1) A maintenance log book which has been validated at the approximate time or mileage intervals specified for service by someone who regularly engages in the business of servicing automobiles for the relevant maintenance instruction(s); or
              (2) A showing that the vehicle has been submitted for scheduled maintenance servicing at the approximate time or mileage intervals specified for service to someone who regularly engages in the business of servicing automobiles for the purpose of performing the relevant maintenance; or
              (3) A statement by the vehicle owner that he or she performed the maintenance at the approximate time or mileage interval specified including a showing,
              (i) That the owner purchased and used proper parts, and
              (ii) Upon request by the vehicle manufacturer, that the owner is able to perform the maintenance properly.
              (d) Except as provided in paragraph (e) of this section, the time/mileage interval for scheduled maintenance services shall be the service interval specified for the part in the written instructions for proper maintenance and use.
              (e) For certified parts having a maintenance or replacement interval different from that specified in the written instructions for proper maintenance and use, the time/mileage interval shall be the service interval for which the part was certified.
              (f) The owner may perform maintenance or have maintenance performed more frequently then required in the maintenance instructions.
              (g) Except as provided in paragraph (h) of this section, a manufacturer may deny an emission performance warranty claim on the basis of noncompliance with the written instructions for proper maintenance and use only if:
              (1) An owner is not able to comply with a request by a manufacturer for evidence pursuant to paragraph (c) of this section; or
              (2) Notwithstanding the evidence presented pursuant to paragraph (c) of this section, the manufacturer is able to prove that the vehicle failed an emission short test because:
              (i) The vehicle was abused, or
              (ii) An instruction for the proper maintenance and use was performed in a manner resulting in a component's being improperly installed or a component or related parameter's being adjusted substantially outside of the manufacturer's specifications, or
              (iii) Unscheduled maintenance was performed on a vehicle which resulted in the removing or rendering inoperative of any component affecting the vehicle's emissions.
              (h) In no case may a manufacturer deny an emission performance warranty claim on the basis of:
              (1) Warranty work or predelivery service performed by any facility authorized by the vehicle manufacturer to perform such work or service; or
              (2) Work performed in an emergency situation to rectify an unsafe condition, including an unsafe driveability condition, attributable to the manufacturer, provided the vehicle owner has taken steps to put the vehicle back in a conforming condition in a timely manner; or
              (3) The use of any uncertified part or non-compliance with any written instruction for proper maintenance and use which is not relevant to the reason that the vehicle failed to comply with applicable emission standards; or
              (4) Any cause attributable to the vehicle manufacturer; or

              (5) The use of any fuel which is commonly available in the geographical area in which the vehicle or engine is located, unless the written instructions for proper maintenance and use specify that the use of that fuel would adversely affect the emission control devices and systems of the vehicle, and there is commonly available information for the owner to identify the proper fuel to be used.
              [45 FR 34839, May 22, 1980, as amended at 54 FR 32587, Aug. 8, 1989]

              § 85.2105
              Aftermarket parts.
              (a) No valid emission performance warranty claim shall be denied on the basis of the use of a properly installed certified aftermarket part in the maintenance or repair of a vehicle. A vehicle manufacturer that honors a valid emission performance warranty claim involving a certified aftermarket part may seek reimbursement for reasonable expenses incurred in honoring the claim by following the warranty claim procedures listed in § 85.2107(c).
              (b) Except as provided in § 85.2104(h), a vehicle manufacturer may deny an emission performance warranty claim on the basis of an uncertified aftermarket part used in the maintenance or repair of a vehicle if the vehicle manufacturer can demonstrate that the vehicle's failure to meet emission standards was caused by use of the uncertified part. A warranty claim may be denied if the vehicle manufacturer submits a written document to the vehicle owner that the vehicle owner is unable or unwilling to refute. The document must:
              (1) Establish a causal connection between the emissions short test failure and use of the uncertified part, and,
              (2) Assert that:
              (i) Removal of the uncertified part and installation of any comparable certified or original equipment part previously removed or replaced during installation of the uncertified part will resolve the observed emissions failure in the vehicle, and/or
              (ii) Use of the uncertified part has caused subsequent damage to other specified certified components such that replacement of these components would also be necessary to resolve the observed vehicle emissions failure, and,
              (3) List all objective evidence as defined in § 85.2102 that was used in the determination to deny warranty. This evidence must be made available to the vehicle owner or EPA upon request, and
              (c) A part not required to be replaced at a definite interval in accordance with the written instructions for maintenance and use shall be warranted for the full term of any warranty mandated by the Act. Instructions to replace a component only if checked and found to be operating below specification shall have no bearing on warranty coverage, unless an owner did not follow such an instruction prior to the short test failure and noncompliance with that instruction caused the failure of another vehicle component relevant to the nonconformity.
              [45 FR 34839, May 22, 1980, as amended at 54 FR 32587, Aug. 8, 1989]

              § 85.2106
              Warranty claim procedures.
              (a) A claim under the emission performance warranty may be raised immediately upon the failure of an EPA-approved emission test if, as a result of that failure, an owner is required to take action of any kind in order to avoid imposition of a penalty or sanction. An owner need not suffer the loss of the right to use a vehicle, be fined, incur repair expenses, or actually bear any penalty or sanction to satisfy the requirement of § 85.2103(a)(3). That requirement shall be met if a test failure sets a procedure in motion under which the owner will bear a penalty or sanction if a vehicle is not brought into conformity or repaired to some specified extent within some specified period of time.
              (b) A warranty claim may be submitted by bringing a vehicle to:
              (1) Any repair facility authorized by the vehicle manufacturer to service that model vehicle, or
              (2) Any repair facility authorized by the vehicle manufacturer to perform emission performance warranty repairs for that model vehicle.
              (c) To the extent required by any Federal or State law, whether statutory or common law, a vehicle manufacturer shall be required to provide a means for non-franchised repair facilities to perform emission performance warranty repairs.

              (d) The manufacturer of each vehicle to which the warranty is applicable shall establish procedures as to the manner in which a claim under the emission performance warranty is to be processed. The procedures shall:

              (1) Provide for a final decision by the vehicle manufacturer within a reasonable time, not to exceed 30 days from the time at which the vehicle is initially presented for repair or within the time period during which an owner is required by local, State or federal law to have the vehicle repaired without incurring further penalties or sanctions (whichever is shorter), unless a delay
              (i) Is requested by the vehicle owner, or
              (ii) Is caused by an event not attributable to the vehicle manufacturer or the warranty repair facility; and
              (2) Require that if the facility at which the vehicle is initially presented for repair is unable for any reason to honor the particular claim, then, unless this requirement is waived in writing by the vehicle owner, the repair facility shall forward the claim to an individual or office authorized to make emission performance warranty determinations for the manufacturer.
              (e) Within the time period specified in paragraph (d) of this section the manufacturer shall:
              (1) Notify the owner that it will honor the claim; or
              (2) Provide the owner, in writing, with an explanation of the basis upon which the claim is being denied; or
              (3) If the basis of the claim denial involves use of an uncertified part, provide the owner in writing with an explanation of the basis upon which the claim is being denied according to all criteria specified in § 85.2105(b).
              (f) Failure to notify an owner within the required time period (as determined under paragraph (d) of this section) for reasons that are not attributable to the vehicle owner or events which are not beyond the control of the vehicle manufacturer or the repair facility, shall result in the vehicle manufacturer being responsible for repairing the warranted items free of charge to the vehicle owner.
              (g) The vehicle manufacturer shall incur all costs associated with a determination that an emission performance warranty claim is valid.
              [45 FR 34839, May 22, 1980, as amended at 54 FR 32588, Aug. 8, 1989]

              § 85.2107
              Warranty remedy.

              (a) The manufacturer's obligation under the emission performance warranty shall be to make all adjustments, repairs or replacements necessary to assure that the vehicle complies with applicable emission standards of the U.S. Environmental Protection Agency, that it will continue to comply for the remainder of its useful life (if proper maintenance and operation are continued), and that it will operate in a safe manner. The manufacturer shall bear all costs incurred as a result of the above obligation, except that after the first 24 months or 24,000 miles (whichever first occurs) the manufacturer shall be responsible only for:
              (1) The adjustment, repair or replacement of those components which have been installed in or on a vehicle for the sole or primary purpose of reducing vehicle emissions, and which were not in general use prior to model year 1968; and
              (2) All other components which must be adjusted, repaired or replaced to enable a component repaired or replaced under paragraph (a)(1) of this section to perform properly.
              (b) Under the Emissions Performance Warranty, the manufacturer shall be liable for the total cost of the remedy for any vehicle validly presented for repair to any authorized service facility authorized by the vehicle manufacturer. State or local limitations as to the extent of the penalty or sanction imposed upon an owner of a failed vehicle shall have no bearing on this liability.
              (c) The remedy provided under paragraph (a) of this section shall include the repair or replacement of certified parts as required in § 85.2105(a). To seek reimbursement from the involved certified aftermarket part manufacturer for reasonable expenses incurred due to the certified aftermarket parts determined to be the cause of a performance warranty failure, the vehicle manufacturer must:
              (1) Retain all parts replaced during the performance warranty repair, and
              (2) Follow the procedures laid out in § 85.2117.

              (d) If a manufacturer is unable (for reasons not attributable to the vehicle owner or events beyond the control of the vehicle manufacturer or an authorized repair facility) to repair a vehicle within the time period specified under § 85.2106(d) after the initial presentation of the vehicle to an authorized repair facility, then the owner shall be entitled to have the warranty remedy performed, at the expense of the manufacturer, by any repair facility of the owner's choosing.
              (e) The vehicle manufacturer may deny warranty for a failure caused by an uncertified part in accordance with the criteria in § 85.2105.
              [45 FR 34839, May 22, 1980, as amended at 54 FR 32588, Aug. 8, 1989]

              § 85.2109
              Inclusion of warranty provisions in owners' manuals and warranty booklets.
              (a) A manufacturer shall furnish with each new motor vehicle, a full explanation of the Emission Performance Warranty, including at a minimum the following information:
              (1) A basic statement of the coverage of the emissions performance warranty as set out in § 85.2103. This shall be separated from any other warranty given by the manufacturer and shall be prefaced by the title “Emissions Performance Warranty” set in bold face type; and
              (2) A list of all items which are covered by the emission performance warranty for the full useful life of the vehicle. This list shall contain all components which have been installed in or on a vehicle solely or primarily for the purpose of reducing vehicle emissions, except those components which were in general use prior to model year 1968. All items listed pursuant to this subsection shall be described in the same manner as they are likely to be described on a service facility work receipt for that vehicle; and
              (3) A list or a reference to the location of the instructions for proper maintenance and use, together with the time and/or mileage interval at which such instructions are to be performed; and
              (4) An explanation of the effect that the use of certified parts will have on the emission performance warranty. This explanation shall comport with the provisions of § 85.2105 (b) and (c), including a statement in boldface type that maintenance, replacement, or repair of the emission control devices and systems may be performed by any automotive repair establishment or individual using any certified part; and
              (5) Complete instructions as to when and how an owner may bring a claim under the emissions performance warranty, as governed by §§ 85.2104 and 85.2106. These instructions shall include:
              (i) An explanation of the point in time at which a claim may be raised; and
              (ii) Complete procedures as to the manner in which a claim may be raised; and
              (iii) The provisions for manufacturer liability contained in § 85.2106(f) if the manufacturer fails to respond within the time period set in accordance with § 85.2106(d);
              (6) An explanation that an owner may obtain further information concerning the emission performance warranty or that an owner may report violations of the terms of the Emission Performance Warranty by contacting the Designated Compliance Officer as specified at 40 CFR 1068.30 (Attention: Warranty Claim).
              (b) The warranty information shall be provided in the same document as other warranties provided with the vehicle.
              (c) If a separate warranty booklet is provided with the vehicle, the owner's manual shall contain, at a minimum, the following information:
              (1) A general list of all warranties covering the vehicle; and
              (2) A statement that detailed warranty information can be found in the warranty booklet.
              (d) If a separate warranty booklet is not provided with the vehicle, the information specified in paragraph (a) of this section shall be contained in the owner's manual.
              [45 FR 34839, May 22, 1980, as amended at 58 FR 65554, Dec. 15, 1993; 81 FR 73973, Oct. 25, 2016]

              § 85.2110
              Submission of owners' manuals and warranty statements to EPA.

              (a) The manufacturer of each vehicle to which this subpart applies shall submit a copy to EPA of both the owner's manual and warranty booklet (if applicable) for each model vehicle, except that, if the same warranty information is to be provided for more than one model vehicle, the manufacturer may submit copies for a single model vehicle with a statement that such copies are complete and accurate representation of the warranty information provided with all other specified models.
              (1) The owner's manuals and warranty booklets should be received by EPA 60 days prior to the introduction of the vehicle for sale.
              (2) If the manuals and warranty booklets are not in their final printed format 60 days prior to the introduction of the vehicle for sale, a manufacturer may submit the most recent draft at that time, provided that final versions are submitted within 15 days of the final printing.
              (b) All materials described in paragraph (a) of this section shall be sent to the Designated Compliance Officer as specified at 40 CFR 1068.30 (Attention: Warranty Booklet).
              [45 FR 34839, May 22, 1980, as amended at 58 FR 65554, Dec. 15, 1993; 81 FR 73973, Oct. 25, 2016]

              § 85.2111
              Warranty enforcement.
              The following acts are prohibited and may subject a manufacturer to up to a $32,500 civil penalty for each offense, except as noted in paragraph (d) of this section:
              (a) Selling or leasing a light duty vehicle without providing in writing the warranty information required by § 85.2109;
              (b) Failing or refusing to comply with the terms and conditions of the Emission Performance Warranty with respect to any vehicle to which this subpart applies. Acts constituting such a failure or refusal shall include, but are not limited to, the following,
              (1) Failure to honor a valid warranty claim,
              (2) Performance of a warranty repair in a manner which cannot reasonably be expected to allow the vehicle to meet applicable emission standards for the remainder of its useful life,
              (3) Failure of a manufacturer to reimburse a dealer or other designated agent for performance of a vehicle repair made pursuant to this subpart, and
              (4) Failure of a manufacturer to supply a part necessary to perform a warranty repair within the time limit specified under § 85.2106(d), unless such failure is for a reason not attributable to the vehicle manufacturer or the warranty repair facility;
              (c) To provide directly or indirectly in any communication to the ultimate purchaser or any subsequent purchaser that the emission performance warranty coverage is conditioned upon the use of any name brand part, component, or system or upon service (other than a component or service provided without charge under the terms of the purchase agreement), unless the communication is made pursuant to a written waiver by the Office Director.
              (d) The maximum penalty value listed in this section is shown for calendar year 2004. Maximum penalty limits for later years may be adjusted based on the Consumer Price Index. The specific regulatory provisions for changing the maximum penalties, published in 40 CFR part 19, reference the applicable U.S. Code citation on which the prohibited action is based.
              [45 FR 34839, May 22, 1980, as amended at 58 FR 65554, Dec. 15, 1993; 70 FR 40432, July 13, 2005]

              § 85.2112
              Applicability.
              The provisions of §§ 85.2112 through 85.2122 apply to emission related automotive aftermarket parts which are to be installed in or on 1968 and later model year light-duty vehicles and light-duty trucks.
              [54 FR 32588, Aug. 8, 1989]

              § 85.2113
              Definitions.
              As used in this subpart, all terms not defined shall have the meaning given them in the Act:
              (a) Act means Part A of Title II of the Clean Air Act, 42 U.S.C. 7421 et seq. (formerly 42 U.S.C. 1857 et seq.) as amended.
              (b) Aftermarket part means any part offered for sale for installation in or on a motor vehicle after such vehicle has left the vehicle manufacturer's production line.
              (c) Aftermarket part manufacturer means:

              (1) A manufacturer of an aftermarket part or,
              (2) A party that markets aftermarket parts under its own brand name, or,
              (3) A rebuilder of original equipment or aftermarket parts, or
              (4) A party that licenses others to sell its parts.
              (d) Agency means the Environmental Protection Agency.
              (e) Certified aftermarket part means any aftermarket part which has been certified pursuant to this subpart.
              (f) Emission warranty means those warranties given by vehicle manufacturers pursuant to section 207 of the Act.
              (g) Emission-critical parameters means those critical parameters and tolerances which, if equivalent from one part to another, will not cause the vehicle to exceed applicable emission standards with such parts installed.
              (h) Engine family means the basic classification unit of a vehicle's product line for a single model year used for the purpose of emission-data vehicle or engine selection and as determined in accordance with 40 CFR 86.078-24.
              (i) Vehicle or engine configuration means the specific subclassification unit of an engine family or certified part application group as determined by engine displacement, fuel system, engine code, transmission and inertia weight class, as applicable.
              (j) Certification vehicle emission margin for a certified engine family means the difference between the EPA emission standards and the average FTP emission test results of that engine family's emission-data vehicles at the projected applicable useful life mileage point (i.e., useful life mileage for light-duty vehicles is 50,000 miles and for light-duty trucks is 120,000 miles for 1985 and later model years or 50,000 miles for 1984 and earlier model years).
              (k) Applications means all vehicle or engine configurations for which one part is being certified as set forth in the aftermarket part manufacturer's notification of intent to certify pursuant to § 85.2115(a)(1).
              [45 FR 78458, Nov. 25, 1980, as amended at 54 FR 32588, Aug. 8, 1989]

              § 85.2114
              Basis of certification.
              (a) Prior to certifying, the aftermarket part manufacturer must determine:
              (1) Whether the part to be certified is an emission related part as defined in § 85.2102. The MOD Director shall deny certification to any parts which he or she determines is not an emission related part.
              (2) The vehicle or engine configurations for which this part is being certified. These are the vehicle and engine designs for which the aftermarket part manufacturer intends to sell the certified aftermarket part.
              (3) Whether the part qualifies under one of the part categories, listed in § 85.2122 of this subpart that are eligible to certify using emission critical parameters and, if so, whether the manufacturer elects to demonstrate certification using emission critical parameters. An aftermarket part may be certified under this category only if the part's emission-critical parameters, as set forth in § 85.2122, are equivalent to those of the original equipment or previously certified part it is to replace. Compliance with the emission-critical parameters discussed in paragraph (b) of this section may be demonstrated by compliance with the relevant test procedures and criteria specified in appendix I to this subpart. The requirements of this paragraph apply to all on-road vehicles and engines. Alternatively, the manufacturer may elect to demonstrate certification compliance according to the emission test procedures described in paragraph (c) of this section.
              (b) For parts eligible to certify using emission-critical parameters, certification compliance can be demonstrated as follows. (1) The durability procedure contained in appendix I to this subpart can be used. As an alternative, the aftermarket part manufacturer may use a different durability procedure if it can demonstrate to the MOD Director that the alternative procedure results in an improved technical evaluation of the part's influence on vehicle or engine emissions for its useful life mileage interval, or results in a significant cost savings to the aftermarket part manufacturer with no loss in technical validity compared to the recommended durability procedure. The aftermarket part manufacturer shall receive the written approval from the MOD Director prior to implementation of the alternative procedures.
              (2) Compliance with certification requirements is based on conformance with all emission-critical parameters in § 85.2122. This shall be accomplished by performing such procedures, tests, or analyses described in appendix I, or other procedures subject to the MOD Director's approval, necessary to ascertain with a high degree of certainty the emission-critical parameter specifications and tolerances for the aftermarket part and the original equipment or previously certified part for which an equivalent aftermarket certified part is to be used.
              (i) If information is available in appendix I of this subpart to identify the applicable emission-critical parameters, the aftermarket part certifier must use such information.
              (ii) If sampling and analysis of original equipment or previously certified parts is relied upon, the aftermarket part certifier must use sound statistical sampling techniques to ascertain the mean and range of the applicable emission parameters.
              (iii) If an aftermarket part replaces more than one part on the same application, it may be certified only if the aftermarket part meets the applicable emission-critical parameters of § 85.2122 for each part or parts which the aftermarket part is to replace. If an aftermarket part is to replace more than one part or an entire system, compliance must be demonstrated for all emission-critical parameters involved, except those which relate solely to the interface between the parts being replaced by the aftermarket part.
              (c) For parts certifying on the basis of emission test results, durability demonstration testing shall be conducted as follows. (1) Prior to certification emission testing, the actual aftermarket part used for certification testing must meet the durability demonstration requirements of this paragraph for at least the part's useful life mileage interval.
              (i) If an original equipment part has no scheduled replacement interval, then the useful life mileage interval of the aftermarket part of that type or which replaces the function of that part may be certified with a service interval less than the useful life of the motor vehicle or motor vehicle engine, or
              (ii) If any provision of 40 CFR part 86 establishes a minimum replacement or service interval for an original equipment part during vehicle or engine certification, then the useful life mileage interval of the aftermarket part of that type or which replaces the function of that part is said minimum interval.
              (2) The part manufacturer must decide whether it can demonstrate to the MOD Director that, during normal vehicle operation, the candidate part will not accelerate deterioration of any original equipment emission related parts. This demonstration must be based on technical rationale that shows that the candidate part has no significant physical or operational effect on any original emission components or system which would be different than that experienced by the vehicle operating with all original equipment emission system parts. The part's effect on each major emission system must be addressed separately in the demonstration.
              (i) If the aftermarket part to be certified accelerates deterioration of any existing emission related parts then certification shall be carried out as specified under the paragraph (c)(3) of this section for parts that accelerate deterioration of existing emission related parts.
              (ii) If the aftermarket part manufacturer can demonstrate that the part to be certified will not accelerate deterioration of any existing emission related components, then the manufacturer can certify according to paragraph (c)(4) in this section for parts demonstrated to not accelerate deterioration of existing emission related parts.
              (3) For aftermarket parts that accelerate deterioration of existing emission related parts during normal operation. (i) The aftermarket test part can be installed on the durability test vehicle and aged for 50,000 miles using the vehicle durability driving schedules contained in part 86, appendix IV. As an alternative, the aftermarket part manufacturer may use a different durability procedure if it can demonstrate to the MOD Director that the alternative procedure results in an improved technical evaluation of the part's influence on vehicle or engine emissions for the part's useful life mileage interval, or results in a significant cost savings to the aftermarket part manufacturer with no loss in technical validity compared to the recommended durability schedules in part 86, appendix IV. The aftermarket part manufacturer shall receive the written approval from the MOD Director prior to implementation of the alternative procedures.

                Note:
                At the time of certification emission testing, the same part and vehicle combination used for mileage accumulation shall be used for emission testing.

              (ii) Where the comparable original equipment part has a recommended replacement interval of less than 50,000 miles, the test part shall be replaced no sooner than its useful life mileage interval during the required 50,000 mile durability demonstration.

                Note:
                At the time of certification emission testing, one of the aftermarket parts that accumulated at least its useful life mileage during the aging process under this paragraph shall be installed on the durability test vehicle that has accumulated 50,000 miles.

              (4) For aftermarket parts demonstrated not to accelerate deterioration on existing emission related parts during normal operation, the part manufacturer must determine whether the part will cause a noticeable change in vehicle driveability.
              (i) Parts that cause no noticeable change in vehicle driveability, performance, and/or fuel economy when the part fails, the durability driving schedules contained in part 86, appendix IV can be used. As an alternative, the aftermarket part manufacturer may use a different durability procedure if it can demonstrate to the MOD Director that the alternative procedure results in an improved technical evaluation of the part's influence on vehicle or engine emissions for its useful life mileage interval, or results in a significant cost savings to the aftermarket part manufacturer with no loss in technical validity compared to the durability schedules in part 86, appendix IV. The aftermarket part manufacturer shall receive the written approval from the MOD Director prior to implementation of the alternative procedures.
              (ii) Parts demonstrated to cause a noticeable change in vehicle driveability, performance, and/or fuel economy when the part fails, are exempt from aging if the part manufacturer can demonstrate to the MOD Director that the primary failure mode of the aftermarket component or system affects the driveability, performance, and/or fuel economy of the vehicle at a level readily detectable by the driver and likely to result in near term repair of failing components and correction of the emissions failure. (Use of on-board diagnostics and malfunction indicators as covered in paragraph (g) of this section is not necessarily an adequate demonstration that the certified part will be replaced. The part manufacturer must demonstrate that the diagnostic and malfunction indicator system will routinely result in repair or replacement of the part in use).
              (5) For parts which only affect evaporative emissions performance, the aftermarket part manufacturer shall determine and demonstrate to the MOD Director the appropriate durability procedure to age its part. The demonstration shall include all documentation, analyses, and test results that support this determination, and the documentation that support the durability procedure results shall be submitted with the notification of intent to certify as per § 85.2115 and is subject to MOD Director's review.
              (6) Durability demonstration vehicle selection. The demonstration vehicle used must represent the “worst case” of all the configurations for which the aftermarket part is being certified. The worst case configuration shall be that configuration which will likely cause the most deterioration in the performance characteristics of the aftermarket part which influence emissions during the part's useful life mileage. The worst case configuration shall be selected from among those configurations for which the aftermarket part is to be certified. One of the following two methods shall be used to select the worst case durability demonstration vehicle(s):

              (i) In the first method, the selection shall be based on a technical judgment by the aftermarket part manufacturer of the impact of the particular design, or calibration of a particular parameter or combination of parameters, and/or an analysis of appropriate data, or
              (ii) In the second alternative method, the selection shall be made from among those vehicle configurations with the heaviest equivalent test weight, and within that group, the largest displacement engine.
              (d) For parts certifying on the basis of emission test results, certification compliance shall be demonstrated as follows. (1) The emission test to be used is the Federal Test Procedure as set forth in the applicable portions of 40 CFR part 86. Certification emission testing must be carried out using representative production aftermarket parts as provided in paragraph (e) of this section. The test results must demonstrate that the proper installation of the certified aftermarket part will not cause the vehicle to fail to meet any applicable Federal emission requirements under section 202 of the Act.
              (2) The following portions of the Federal Test Procedure are not required to be performed when certifying a part using emission testing:
              (i) The evaporative emissions portion, if the aftermarket manufacturer has an adequate technical basis for believing that the part has no effect on the vehicle's evaporative emissions;
              (ii) The exhaust emissions portion, if the part manufacturer has an adequate technical basis for believing that the part has no affect on the vehicle's exhaust emissions; and

              (iii) Other portions therein which the part manufacturer believes are not relevant; Provided, That the part manufacturer has requested and been granted a waiver in writing by the MOD Director for excluding such portion.
              (3) Exhaust Emission Testing. Certification exhaust emission testing for aftermarket parts shall be carried out in the following manner:
              (i) For light duty vehicle parts that accelerate deterioration of existing emission related parts, at least one emission test is required. The test(s) shall be performed according to the Federal Test Procedure on the same test vehicle and aftermarket part combination that was previously aged as required. The results of all tests performed shall be averaged for each emission constituent. The average values shall meet all applicable Federal emission requirements under section 202 of the Act.
              (A) For aftermarket parts where the comparable original equipment part has no recommended replacement interval, the same part and vehicle combination used for the durability demonstration shall be used for certification exhaust emission testing.
              (B) For aftermarket parts where the comparable original equipment part has a recommended replacement interval of less than 50,000 miles, one of the aftermarket parts that accumulated at least the part's useful life mileage during the durability demonstration must be installed on the durability demonstration vehicle that has accumulated 50,000 miles for certification exhaust emission testing.
              (ii) For light duty truck parts that accelerate deterioration of existing emission related parts.
              (A) An emission test shall be performed on emission test vehicles at 4000 miles and at 50,000 miles, with the part installed. Exhaust emission deterioration factors for the test vehicle shall be calculated from these two test results. The aftermarket part manufacturer may elect to perform other emission tests at interim mileages. However, any interim tests must be spaced at equal mileage intervals. If more than one test is performed at any one mileage point, then all tests at this point shall be averaged prior to determining the deterioration factor. The deterioration factor shall be calculated using the least squares straight line method, in accordance with § 86.088-28(a). The deterioration factor for each emission constituent shall be used to linearly project the 50,000 mile test result out to 120,000 miles. The projected 120,000 mile test result shall meet light duty truck emission standards.

              (B) As an option, the light-duty truck part manufacturer may durability age the test vehicle and aftermarket part to 120,000 miles, and then perform one Federal Test Procedure test. The actual test results in this case must pass all Federal emission standards.
              (iii) For parts demonstrated to not accelerate deterioration of existing emission related parts during normal operation:
              (A) If parts cause no noticeable change in vehicle driveability, performance, and/or fuel economy when the part fails, the certification exhaust emission test vehicle need not be the same vehicle as that used for durability demonstration. Upon completion of aging, one Federal Test Procedure test shall be performed with the aged aftermarket part installed on a test vehicle that has just completed one Federal Test Procedure test in the original equipment configuration (i.e., before the aftermarket part or system is installed). If more than one test is performed either before or after the aftermarket part is installed, then an equivalent number of tests must be performed in both configurations. The results of all tests performed before the part is installed shall be averaged and the results of all tests performed after the part is installed shall be averaged for each emission constituent. The difference in Federal Test Procedure emission results between the tests with the aged aftermarket part installed and the test vehicle in the original equipment configuration shall be less than or equal to the certification vehicle emission margin of any and all of the certification test vehicles from the various configurations for which the aftermarket part is being certified.
              (B) For parts demonstrated to cause a noticeable change in vehicle driveability, performance, and/or fuel economy when the part fails, no durability aging of the part is required before certification emission testing. One Federal Test Procedure test shall be performed on the test vehicle in its original equipment configuration (i.e., before the aftermarket part or system is installed) and one test with an aftermarket part representative of production (as provided in paragraph (e) of this section) installed on the test vehicle. If more than one test is performed either before or after the aftermarket part is installed, then an equivalent number of tests must be performed in both configurations. The results of all tests performed with the aftermarket part installed shall be averaged and the results of all tests performed in the original equipment configuration shall be averaged for each emission constituent. The difference in Federal Test Procedure emission results between the tests with the aftermarket part installed and the test vehicle in the original equipment configuration shall be less than or equal to the certification vehicle emission margin of any and all of the certification test vehicles from the various configurations for which the aftermarket part is being certified.
              (4) Evaporative emission testing. For parts determined by the part manufacturer (with appropriate technical rationale) to affect only evaporative emissions performance, at least one evaporative emissions portion of the Federal Test Procedure test shall be performed on the vehicle in its original equipment configuration and at least one with the aftermarket part installed. Both the original equipment and aftermarket part shall be aged according to paragraph (c)(5) of this section prior to testing. If more than one test is performed either before or after the aftermarket part is installed, then an equivalent number of tests must be performed in both configurations. The emission results of all tests performed before the part is installed shall be averaged and the emission results of all tests performed after the part is installed shall be averaged. The difference in Federal Test Procedure emission results between the tests with the aged aftermarket part installed and the test vehicle in the original equipment configuration shall be less than or equal to the certification vehicle emission margin of any and all of the certification test vehicles from the various configurations for which the aftermarket part is being certified.

              (5) Emission test vehicle selection: The test vehicle used must represent the “worst case” with respect to emissions of all those configurations for which the aftermarket part is being certified. The worst case configuration shall be that configuration which, having the aftermarket part installed, is least likely to meet the applicable emission standards among all those configurations on which the aftermarket part is intended to be installed as a certified aftermarket part. One of the following two methods shall be used to select the worst case emission test vehicle(s):
              (i) In the first method, the selection shall be based on a technical judgment by the aftermarket part manufacturer of the impact of the particular design or calibration of a particular parameter or combination of parameters and/or an analysis of appropriate data, or
              (ii) In the second alternative method, two defined worst case test vehicles shall be selected from the vehicle configurations using the following criteria:
              (A) The first test vehicle is that engine family for which the largest number of parts are projected to be sold. Within that family the manufacturer shall select the configurations with the heaviest equivalent test weight, and then within that group the configuration with the largest displacement engine.
              (B) The second test vehicle shall be from a different vehicle manufacturer than the first test vehicle, or if the aftermarket part applies to only one vehicle manufacturer, from a different engine family. Engine families are determined by the vehicle manufacturer or when certifying under 40 CFR part 86. Within that group, the second test vehicle is selected from the vehicle configurations with the heaviest equivalent test weight, and then, within that group, the configuration with the largest displacement engine. If a part applies to only one engine family then only the vehicle specified in paragraph (d)(5)(ii)(A), of this section, is required to be tested.
              (iii) The results of certification tests using the worst case vehicle selections made in this section shall only be applicable for configurations that are required to meet the same or less stringent (numerically higher) emission standards than those of the worst case configuration.
              (iv) The worst case test vehicle(s) selected for certification emission testing is(are) not required to meet Federal emission standards in its original configuration. However, each test vehicle shall have representative emissions performance that is close to the standards and have no obvious emission defects. Each test vehicle shall be tuned properly and set to the vehicle manufacturer's specifications before testing is performed. Any excessively worn or malfunctioning emission related part shall be repaired prior to testing.
              (e) Test part selection. Certification shall be based upon tests utilizing representative production aftermarket parts selected in a random manner in accordance with accepted statistical procedures.
              (f) Replacing original equipment parts. Installation of any certified aftermarket part shall not result in the removal or rendering inoperative of any original equipment emission related part other than the part(s) being replaced. Furthermore, installation of any certified aftermarket part shall not require the readjustment of any other emission related part to other than the vehicle manufacturer specifications, cause or contribute to an unreasonable risk to the public health, welfare or safety, or result in any additional range of parameter adjustability or accessibility to adjustment than that of the vehicle manufacturer's emission related parts.
              (g) Affects on vehicle on board diagnostic system. Installation of any certified aftermarket part shall not alter or render inoperative any feature of the on-board diagnostic system incorporated by the vehicle manufacturer. The certified part may integrate with the existing diagnostic system if it does not alter or render inoperative any features of the system. However, use of on-board diagnostics or warning indicators to alert the driver to part failure is not sufficient by itself to qualify the part for exemption from aging under paragraph (c)(4)(ii) of this section. The part manufacturer must demonstrate that the diagnostic and malfunction indicator system will routinely result in repair or replacement of the aftermarket part in use.
              [54 FR 32588, Aug. 8, 1989]

              § 85.2115
              Notification of intent to certify.
              (a) At least 45 days prior to the sale of any certified automotive aftermarket part, notification of the intent to certify must be received by the Office Director.
              (1) The notification shall include:
              (i) Identification of each part to be certified; and.
              (ii) Identification of all vehicle or engine configurations for which the part is being certified including make(s), model(s), year(s), engine size(s) and all other specific configuration characteristics necessary to assure that the part will not be installed in any configuration for which it has not been certified; and
              (iii) All determinations, demonstrations, technical rationale, and documentation provided in § 85.2114; and
              (iv) Any and all written waivers and approvals obtained from the MOD director as provided in § 85.2114, and any correspondence with EPA regarding certification of that part; and
              (v) A description of the tests, techniques, procedures, and results utilized to demonstrate compliance with § 85.2114(b) applicable to parts eligible to certify using emission-critical parameters, except that, if the procedure utilized is recommended in appendix I of this subpart, then only a statement to this effect is necessary. A description of all statistical methods and analyses used to determine the emission-critical parameters of the original equipment parts and compliance of the certified part(s) with those parameters including numbers of parts tested, selection criteria, means, variance, etc; and
              (vi) All results and documentation of tests and procedures used by the part manufacturer as evidence of compliance with the durability and emission requirements specified in § 85.2114; and
              (vii) A discussion of the technical basis(es) for foregoing any portion of the Federal Test Procedure when applicable; and
              (viii) A description of the test part selection criteria used, and a statement that the test part(s) used for certification testing is(are) a representative production aftermarket part(s) consistent with § 85.2114(e); and
              (ix) A description of the test and demonstration vehicle selection criteria used, and rationale that supports the technical judgment that the vehicle configurations used for emission testing and durability demonstration represent worst case with respect to emissions of all those configurations for which the aftermarket part is being certified, and all data that supports that conclusion; and
              (x) The service intervals of the part, including maintenance and replacement intervals in months and/or miles, as applicable, and a statement indicating whether it is different than the service, maintenance, and replacement interval of the original equipment requirements; and
              (xi) A statement, if applicable, that the part will not meet the labeling requirements of § 85.2119(a) and the description of the markings the aftermarket manufacturer intends to put on the part in order to comply with § 85.2119(b); and
              (xii) A statement that the aftermarket part manufacturer accepts, as a condition of certification, the obligation to comply with the warranty requirements and dispute resolution procedures provided in § 85.2117; and
              (xiii) A statement of commitment and willingness to comply with all the relevant terms and conditions of this subpart; and
              (xiv) A statement by the aftermarket part manufacturer that use of its certified part will not cause a substantial increase to vehicle emissions in any normal driving mode not represented during certification or compliance testing; and
              (xv) The office or officer of the aftermarket part manufacturer authorized to receive correspondence regarding certification requirements pursuant to this subpart.
              (2) The notification shall be signed by an individual attesting to the accuracy and completeness of the information supplied in the notification.
              (3) Notification to the Agency shall be by certified mail or another method by which date of receipt can be established.

              (4) Two complete and identical copies of the notification and any subsequent industry comments on any such notification shall be submitted by the aftermarket manufacturer to: Mod Director, MOD (EN-340F), Attention: Aftermarket Parts, 401 “M” St. SW., Washington, DC 20460.
              (5) A copy of the notification submitted under paragraph (a)(4) of this section will be placed in a public docket. Comments on any notice in the public docket may be made to the MOD Director.
              (b) The MOD Director reserves the right to review an application to determine if the submitted documents adequately meet all the requirements for certification specified in §§ 85.2114 and 85.2115. A part may be sold as certified 45 days after the receipt by the Agency of the notification given pursuant to this subsection provided that the Office Director has not notified the part manufacturer otherwise.
              [54 FR 32591, Aug. 8, 1989]

              § 85.2116
              Objections to certification.
              (a) At any time prior to the end of the 45-day period after a notification of intent to certify an aftermarket part is received as specified in § 85.2115, the MOD Director may notify the manufacturer of the aftermarket part that such aftermarket part may not be certified pending further investigation. The basis upon which this notification shall be made may include, but not be limited to, information or test results which indicate:
              (1) Compliance with the applicable emission-critical parameters was not achieved or that the testing methods used to demonstrate compliance with the emission-critical parameters were inadequate;
              (2) The part is to be certified on the basis of emission testing, and the procedure used in such tests was not in compliance with those portions of the Federal Test Procedure not waived pursuant to § 85.2114(d)(2).
              (3) Use of the certified part may cause a vehicle to exceed any applicable emission requirements;
              (4) The durability requirement of § 85.2114 has not been complied with;
              (5) Use of the certified part could cause or contribute to an unreasonable risk to public health, welfare or safety in its operation or function;
              (6) Installation of the certified part requires procedures or equipment which would likely cause it to be improperly installed under normal conditions or would likely result in a vehicle being misadjusted; or
              (7) Information and/or data required to be in the notification of intent to certify as provided by § 85.2115 have not been provided or may be inadequate; or,
              (8) Documentation submitted under § 85.2114(c)(4)(ii) was determined inadequate for durability exemption.
              (b) The aftermarket part manufacturer must respond in writing to the statements made in the notification by the MOD Director, or the aftermarket part manufacturer shall withdraw its notification of intent to certify.
              (1) Any party interested in the outcome of a decision as to whether a part may be certified may provide the MOD Director with any relevant written information up to ten days after the manufacturer responds to the MOD Director's objection.
              (2) Any interested party may request additional time to respond to the information submitted by the part manufacturer. The MOD Director upon a showing of good cause by the interested party may grant an extension of time to reply up to 30 days.
              (3) The part manufacturer may reply to information submitted by interested parties. Notification of intent to reply shall be submitted to the MOD Director within 10 days of the date information from interested parties is submitted to the MOD Director.
              (4) The MOD Director may, at his or her discretion, allow oral presentations by the aftermarket manufacturer or any interested party in connection with a contested part certification.

              (c) If an objection has been sent to an aftermarket part manufacturer pursuant to paragraph (a) of this section, the MOD Director shall, after reviewing all pertinent data and information, render a decision and inform the aftermarket part manufacturer in writing as to whether such part may be certified and, if so, under what conditions the part may be certified. The written decision shall include an explanation of the reasons therefor.

              (1) The decision by the MOD Director shall be provided to the manufacturer within 30 working days of receipt of all necessary information by the manufacturer or interested parties, or of the date of any oral presentation regarding the certification, whichever occurs second.
              (2) A copy of the decision shall be sent to all identified interested parties.
              (3) Within 20 days of receipt of a decision made pursuant to this subsection, any party may file a written appeal to the Office Director. The Office Director may, in his or her discretion, allow additional oral or written submissions, prior to rendering a final decision. The schedule for such submission shall be in accordance with the schedule specified in § 85.2116(b).
              (4) If no party files an appeal with the Office Director within 20 days, then the decision of the MOD Director shall be final.
              (5) The Office Director shall make a final decision regarding the certification of a part within 30 working days of receipt of all necessary information by the part manufacturer or from the date of any oral presentation, whichever occurs later.

              (6) A copy of all final decisions made under this section shall be published in the Federal Register.

              [45 FR 78460, Nov. 25, 1980, as amended at 54 FR 32592, Aug. 8, 1989]

              § 85.2117
              Warranty and dispute resolution.
              (a) Warranty. (1) As a condition of certification, the aftermarket part manufacturer shall warrant that if the certified part is properly installed it will not cause a vehicle to exceed Federal emission requirements as determined by an emission test approved by EPA under section 207(b)(1) of the Act. This aftermarket part warranty shall extend for the remaining performance warranty period of any vehicle on which the part is installed, or for the warranty period specified for an equivalent original equipment component, if this period is shorter than the remaining warranty period of the vehicle.
              (2) The aftermarket part manufacturer's minimum obligation under this warranty shall be to reimburse vehicle manufacturers for all reasonable expenses incurred as a result of honoring a valid emission performance warranty claim which arises because of the use of the certified aftermarket part.
              (3) The procedure used to process a certified aftermarket part warranty claim is as follows. The time requirements are in units of calendar days.
              (i) The vehicle manufacturer shall submit, by certified mail or another method by which date of receipt can be established, a bill for reasonable expenses incurred to the part manufacturer for reimbursement. Accompanying the bill shall be a letter to the part manufacturer with an explanation of how the certified part caused the failure and a copy of the warranty repair order or receipt establishing the date that the performance repair was initiated by the vehicle owner.
              (ii) The parts retained pursuant to § 85.2107(c)(1) shall be retained until the reimbursement process is resolved. The vehicle manufacturer shall store these parts or transfer these parts to the involved certified part manufacturer for storage. If the vehicle manufacturer transfers these parts to the certified part manufacturer, the part manufacturer shall retain these parts:
              (A) For at least one year from the date of repair involving these parts, if the part manufacturer does not receive a bill from the vehicle manufacturer within that time period, or
              (B) Until the claim reimbursement process has been resolved, if the part manufacturer receives a bill from the vehicle manufacturer within one year of the date of repair involving these parts.
              (iii) If the vehicle manufacturer transfers the parts retained pursuant to paragraph (a)(3)(ii) of this section to the part manufacturer, a bill shall be submitted to the part manufacturer within one year of the date of initiation of the actual repair by the vehicle owner. If this requirement is not met, the vehicle manufacturer shall forfeit all rights to the reimbursement provisions provided in this regulation.
              (iv) Storage costs are not reimbursable as part of a performance warranty claim.
              (b) Dispute resolution. (1) The part manufacturer shall respond to the vehicle manufacturer within 30 days of receipt of the bill by paying the claim or requesting a meeting to resolve any disagreement. A meeting shall occur within the next two week period. At this meeting the parties shall, in all good faith, attempt to resolve their disagreement. Discussions should be completed within 60 days of receipt of the bill for the warranty claim by the part manufacturer.
              (2) If the parties cannot resolve their disagreement within 60 days, either party may file for arbitration. Neither party may file for arbitration within 60 days unless both parties agree to seek arbitration prior to the end of the 60-day period. If, after 60 days, either party files, then both parties shall submit to arbitration.
              (3) This arbitration shall be carried out pursuant to the Arbitration Rules contained in appendix II of this subpart which are based on Commercial Arbitration Rules published by the American Arbitration Association, revised and in effect as of September 1, 1988. The Arbitration Rules detail the procedures to be followed by the parties and the arbitrator in resolving disputes under this section. They can be varied only with the agreement of both parties. If either involved manufacturer refuses to participate in the arbitration process, that party is treated as if it had lost the arbitration and is required to pay all reasonable expenses.
              (4) Any party losing the arbitration has the right to resort to an appropriate federal district court or state court, subject to the established rules of that court regarding subject matter jurisdiction and personal jurisdiction.
              (5) If the vehicle manufacturer wins the arbitration, the part manufacturer must provide reimbursement in accordance with the arbitrator's award and decision. Such reimbursement must be made within 30 days of the award and decision.
              (6)(i) If the part manufacturer refuses to pay a lost arbitration award, the involved part will be decertified pursuant to 40 CFR 85.2121, provided that if the part manufacturer resorts to a court of competent jurisdiction, decertification will be withheld pending the outcome of such judicial determination.
              (ii) In addition, under these circumstances, the vehicle manufacturer has the right to bring an enforcement action on the arbitration award and decision in the appropriate federal district court or state court, subject to the established rules of that court regarding subject matter jurisdiction and personal jurisdiction. If this court agrees with the arbitrator's award and decision, reimbursement shall be made within 30 days of the court's decision unless the court orders otherwise.
              [54 FR 32592, Aug. 8, 1989]

              § 85.2118
              Changes after certification.
              The aftermarket part manufacturer shall be required to recertify any part which:
              (a) Was certified pursuant to § 85.2114(b) and to which modifications are subsequently made which could affect the results of any test or judgment made that the part meets all of the applicable Emission-Critical Parameters;
              (b) Was certified pursuant to § 85.2114(c) and to which modifications are made which are likely to affect emissions or the capability of the part to meet any other requirement of this subpart; or
              (c) Was certified and is subsequently modified in a manner affecting the durability of the part or any emission control device, engine or the vehicle upon which such part is installed.
              [45 FR 78461, Nov. 25, 1980, as amended at 54 FR 32593, Aug. 8, 1989]

              § 85.2119
              Labeling requirements.
              (a) Except as specified in paragraph (b) of this section, each part certified pursuant to these regulations shall have “Certified to EPA Standards” and the name of the aftermarket part manufacturer or other party designated to determine the validity of warranty claims placed on the part. The name of the aftermarket part manufacturer or other party and the statement, “Certified to EPA Standards,” must be made durable and readable for at least the useful life mileage interval of the part.

              (b) In lieu of the name of the aftermarket part manufacturer or other party and “Certified to EPA Standards,” the part may contain unique identification markings. A description of the marking and statement that such marking is intended in lieu of the name of the aftermarket part manufacturer or other party and “Certified to EPA Standards,” shall be made to the Agency in the notification of intent to certify. The unique symbol shall not be used on any uncertified or decertified part built or assembled after the date of decertification.
              (c) The package in which the certified aftermarket part is contained must have the following information conspicuously placed thereon:
              (1) The statement “Certified by (name of manufacturer or warranter) to EPA Emission Standards”,
              (2) A list of the vehicles or engines (in accordance with § 85.2115(a)(1)(ii)) for which the part has been certified,
              (3) A statement of the maintenance or replacement interval for which the part has been certified, if the interval is of a shorter duration than the interval specified in the written instructions for proper maintenance and use for the original equipment,
              (4) A description of the maintenance necessary to be performed on the part in the proper maintenance and use of the part, if such maintenance is in addition to or different from that maintenance necessary on the original equipment part, and
              (5) The instructions for proper installation if different from the vehicle manufacturer's recommended installation instruction for that part.
              (d) The information required by paragraphs (c)(4) and (5) of this section may be provided on a written insert with the certified aftermarket part if the insert also contains the information required in paragraphs (c) (1), (2) and (3) of this section.

              (e) The information required by paragraph (c)(2) of this section may be provided in a catalog rather than on the package or on an insert: Provided, That access to the catalog is readily available to purchasers and installers of the part.
              (f) When an aftermarket part manufacturer desires to certify existing in-service stocks of its products, it may do so provided:
              (1) The part does not differ in any operational or durability characteristic from the aftermarket parts specified in the notification made pursuant to § 85.2115, and
              (2) A supplemental information sheet is made available to all parties selling the part.
              (i) The supplemental sheet shall be made available in sufficient quantities so that it can be provided with all parts sold as certified, and
              (ii) The supplemental sheet shall contain all of the information specified in paragraph (c) of this section.
              [45 FR 78461, Nov. 25, 1980, as amended at 54 FR 32593, Aug. 8, 1989]

              § 85.2120
              Maintenance and submittal of records.
              (a) For each certified aftermarket part, the aftermarket part manufacturer must establish, maintain and retain for 5 years the following adequately organized and indexed records:
              (1) Detailed production drawings showing all dimensions, tolerances, performance requirements and material specifications and any other information necessary to completely describe the part;
              (2) A description of the testing program, including all production part sampling techniques used to verify compliance of the certified aftermarket part with the applicable Emission-Critical Parameters and durability requirements;
              (3) All data obtained during testing of the part and subsequent analyses based on that data, including the milege and the vehicle or engine configuration determinants if emission testing is utilized as the basis for certification;
              (4) All information used in determining those vehicles for which the part is represented as being equivalent from an emissions standpoint to the original equipment part;
              (5) A description of the quality control plan used to monitor production and assure compliance of the part with the applicable certification requirements;
              (6) All data taken in implementing the quality control plan, and any subsequent analyses of that data;

              (7) A description of all the methodology, analysis, testing and/or sampling techniques used to ascertain the emission critical parameter specifications of the originial equipment part; and
              (8) All in-service data, analyses performed by the manufacturer and correspondence with vendors, distributors, consumers, retail outlets or vehicle manufacturers regarding any design, production or in-service problems associated with 25 or more of any certified part.
              (b) The records required to be maintained in paragraph (a) of this section shall be made available to the Agency upon the written request of the MOD Director.
              (c) For parts certified only for vehicles with less than 5 years of emission performance warranty coverage remaining, records must be kept for 3 years or until they determine that approximately 80% of the applicable vehicles are outside the warranty period, whichever occurs second.
              (d) This section shall expire 5 years from the effective date of this regulation unless renewed prior to that date.
              [45 FR 78461, Nov. 25, 1980]

              § 85.2121
              Decertification.
              (a) The MOD Director may notify an aftermarket part manufacturer that the Agency has made a preliminary determination that one or more parts should be decertified.
              (1) Such a preliminary determination may be made if there is reason to believe that the part manufactured has failed to comply with §§ 85.2112 through 85.2122. Information upon which such a determination will be made includes but is not limited to the following.
              (i) Tests required to be performed to demonstrate compliance of the part with the applicable Emission-Critical Parameters
              (A) Were not performed on the part(s), or
              (B) Were insufficient to demonstrate compliance;
              (ii) The part was certified on the basis of emission tests, and
              (A) The procedures used in such tests were not in substantial compliance with a portion or portions of the Federal Test Procedure which were not waived pursuant to § 85.2114(d);
              (B) The emission results were not in compliance with the requirements of § 85.2114(d); or
              (C) The procedures used for part aging for durability demonstration were not in substantial compliance with the durability cycle required by § 85.2114.
              (iii) Use of the certified part is causing vehicle emissions to exceed emission requirements for any regulated pollutant;
              (iv) Use of the certified part causes or contributes to an unreasonable risk to public health, welfare or safety or severely degrades drivability operation or function;
              (v) The part has been modified in a manner requiring recertification pursuant to § 85.2118; or
              (vi) The manufacturer of such parts has not established, maintained or retained the records required pursuant to § 85.2120 or fails to make the records available to the MOD Director upon written request pursuant to § 85.2120.
              (vii) Documentation required to support the type of durability demonstration used for a part under § 85.2114:
              (A) Were not submitted for the part, or
              (B) Were insufficient to justify a claim of durability exemption status.
              (viii) The aftermarket part manufacturer failed to pay a lost arbitration settlement within 30 days of the arbitrator's decision or within 30 days after completion of judicial review, if any.
              (2) Notice of a preliminary determination to decertify shall contain:
              (i) A description of the noncomplying part(s);
              (ii) The basis for the MOD Director's preliminary decision; and
              (iii) The date by which the manufacturer must
              (A) Terminate the sale of the part as a certified part, or
              (B) Make the necessary change (if so recommended by the Agency), and
              (C) Request an opportunity in writing to dispute the allegations of the preliminary decertification.

              (b) If the aftermarket part manufacturer requests an opportunity to respond to the preliminary determination, the manufacturer and other parties interested in the MOD Director's decision whether to decertify a part may, within 15 days of the date of the request, submit written presentations, including the relevant information and data, to the MOD Director. The MOD Director, in his or her discretion, may provide an opportunity for oral presentations.
              (1) Any interested party may request additional time to respond to the information submitted by the part manufacturer. The MOD Director upon a showing of good cause by the interested party may grant an extension of time to reply up to 30 days.
              (2) The part manufacturer may have an extension of up to 30 days to reply to information submitted by interested parties. Notification of intent to reply shall be submitted to the MOD Director within 10 days of the date information from interested parties is submitted to the MOD Director.
              (c) If a part manufacturer has disputed the allegations of the preliminary decisions, the MOD Director shall, after reviewing any additional information, notify the aftermarket part manufacturer of his or her decision whether the part may continue to be sold as certified. This notification shall include an explanation upon which the decision was made and the effective date for decertification, where appropriate.
              (d) Within 20 days from the date of a decision made pursuant to paragraph (c) of this section, any adversely affected party may appeal the decision to the Office Director.
              (1) A petition for appeal to the Office Director must state all of the reasons why the decision of the MOD Director should be reversed.
              (2) The Office Director may, in his or her discretion, allow additional oral or written testimony.
              (3) If no appeal is filed with the Office Director within the permitted time period, the decision of the MOD Director shall be final.
              (e) If a final decision is made to decertify a part under paragraph (d) of this section, the manufacturer of such part shall notify his immediate customers (other than retail customers) that, as of the date of the final determination, the part in question has been decertified. The part manufacturer shall offer to replace decertified parts in the customer's inventory with certified replacement parts or, if unable to do so, shall at the customer's request repurchase such inventory at a reasonable price.
              (f) Notwithstanding the requirements of paragraph (e) of this section, a part purchased by a vehicle owner as certified, shall be considered certified pursuant to this subpart.
              [45 FR 78462, Nov. 25, 1980, as amended at 54 FR 32593, Aug. 8, 1989]

              § 85.2122
              Emission-critical parameters.
              (a) The following parts may be certified in accordance with § 85.2114(b):
              (1) Carburetor Vacuum Break (Choke Pull-Off). (i) The emission-critical parameters for carburetor vacuum breaks are:
              (A) Diaphragm Displacement.
              (B) Timed Delay.
              (C) Modulated Stem Displacement.
              (D) Modulated Stem Displacement Force.
              (E) Vacuum Leakage.
              (ii) For the purposes of this paragraph:
              (A) “Diaphragm Displacement” means the distance through which the center of the diaphragm moves when activated. In the case of a non-modulated stem, diaphragm displacement corresponds to stem displacement.
              (B) “Timed Delay” means a delayed diaphragm displacement controlled to occur within a given time period.
              (C) “Modulated Stem Displacement” means the distance through which the modulated stem may move when actuated independent of diaphragm displacement.
              (D) “Modulated Stem Displacement Force” means the amount of force required at start and finish of a modulated stem displacement.
              (E) “Vacuum Leakage” means leakage into the vacuum cavity of a vacuum break.
              (F) “Vacuum Break” (“Choke Pull-off”) means a vacuum-operated device to open the carburetor choke plate a predetermined amount on cold start.

              (G) “Modulated Stem” means a stem attached to the vacuum break diaphragm in such a manner as to allow stem displacement independent of diaphragm displacement.

              (H) “Vacuum Purge System” means a vacuum system with a controlled air flow to purge the vacuum system of undesirable manifold vapors.
              (2) Carburetor Choke Thermostats. (i) The emission-critical parameters for all Choke Thermostats are:
              (A) Thermal Deflection Rate.
              (B) Mechanical Torque Rate.
              (C) Index Mark Position.
              (ii) The emission-critical parameters for Electrically-Heated Choke Thermostats are:
              (A) Those parameters set forth in paragraph (a)(2)(i) of this section
              (B) Time to rotate coil tang when electrically energized
              (C) Electrical circuit resistance
              (D) Electrical switching temperature
              (iii) For the purpose of this paragraph:
              (A) “Choke” means a device to restrict air flow into a carburetor in order to enrich the air/fuel mixture delivered to the engine by the carburetor during cold-engine start and cold-engine operation.
              (B) “Thermostat” means a temperature-actuated device.
              (C) “Electrically-heated Choke” means a device which contains a means for applying heat to the thermostatic coil by electrical current.
              (D) “Thermostatic Coil” means a spiral-wound coil of thermally-sensitive material which provides rotary force (torque) and/or displacement as a function of applied temperature.
              (E) “Thermostatic Switch” means an element of thermally-sensitive material which acts to open or close an electrical circuit as a function of temperature.
              (F) “Mechanical Torque Rate” means a term applied to a thermostatic coil, defined as the torque accumulation per angular degree of deflection of a thermostatic coil.
              (G) “Thermal Deflection Rate” means the angular degrees of rotation per degree of temperature change of the thermostatic coil.
              (H) “Index or Index Mark” means a mark on a choke thermostat housing, located in a fixed relationship to the thermostatic coil tang position to aid in assembly and service adjustment of the choke.
              (I) “PTC Type Choke Heaters” means a positive termperature coefficient resistant ceramic disc capable of providing heat to the thermostatic coil when electrically energized.
              (3) Carburetor Accelerator Pumps. (i) The emission-critical parameter for accelerator pumps (plungers or diaphragms) is the average volume of fuel delivered per stroke by the pump within prescribed time limits.
              (ii) For the purpose of this paragraph an “Accelerator Pump (Plunger or Diaphragm)” means a device used to provide a supplemental supply of fuel during increasing throttle opening as required.
              (4) Positive Crankcase Ventilation (PCV) Valves. (i) The emission-critical parameter for a PCV valve is the volume of flow as a function of pressure differential across the valve.
              (ii) For the purposes of this paragraph a “PCV Valve” means a device to control the flow of blow-by gasses and fresh air from the crankcase to the fuel induction system of the engine.
              (5) Breaker Points. (i) The emission-critical parameters for breaker points are:
              (A) Bounce.
              (B) Dwell Angle.
              (C) Contact Resistance.
              (ii) For the purposes of this paragraph:
              (A) “Breaker Point” means a mechanical switch operated by the distributor cam to establish and interrupt the primary ignition coil current.
              (B) “Bounce” means unscheduled point contact opening(s) after initial closure and before scheduled reopening.
              (C) “Dwell Angle” means the number of degrees of distributor mechanical rotation during which the breaker points are conducting current.
              (D) “Contact Resistance” means the opposition to the flow of current between the mounting bracket and the insulated terminal.
              (6) Capacitors/Condensers. (i) The emission-critical parameters for capacitors/condensers are:
              (A) Capacitance.
              (B) Series Resistance.
              (C) Breakdown Voltage.
              (ii) For the purposes of this paragraph:

              (A) “Capacitance” means the property of a device which permits storage of electrically-separated charges when differences in electrical potential exist between the conductors and measured as the ratio of stored charge to the difference in electrical potential between conductors.
              (B) “Series Resistance” means the sum of resistances from the condenser plates to the condenser's external connections.
              (C) “Breakdown Voltage” means the voltage level at which the capacitor fails.
              (D) “Capacitor/Condenser” means a device for the storage of electrical energy consisting of two oppositely charged conducting plates separated by a dielectric and which resists the flow of direct current.
              (7) Distributor Caps and/or Rotors. (i) The emission-critical parameters for distributor caps and/or rotors are:
              (A) Physical and Thermal Integrity.
              (B) Dielectric Strength.
              (C) Flashover.
              (ii) For the purposes of this paragraph:
              (A) “Flashover” means the discharge of ignition voltage across the surface of the distributor cap and/or rotor rather than at the spark plug gap.
              (B) “Dielectric Strength” means the ability of the material of the cap and/or rotor to resist the flow of electric current.
              (C) “Physical and Thermal Integrity” means the ability of the material of the cap and/or rotor to resist physical and thermal breakdown.
              (8) Spark Plugs. (i) The emission critical parameters for spark plugs are:
              (A) Heat Rating.
              (B) Gap Spacing.
              (C) Gap Location.
              (D) Flashover.
              (E) Dielectric Strength.
              (ii) For the purposes of this paragraph:
              (A) “Spark Plug” means a device to suitably deliver high tension electrical ignition voltage to the spark gap in the engine combustion chamber.
              (B) “Heat Rating” means that measurement of engine indicated mean effective pressure (IMEP) value obtained on the engine at a point when the supercharge pressure is 25.4mm (one inch) Hg below the preignition point of the spark plug, as rated according to SAE J549A Recommended Practice.
              (C) “Gap Spacing” means the distance between the center electrode and the ground electrode where the high voltage ignition arc is discharged.
              (D) “Gap Location” means the position of the electrode gap in the combustion chamber.
              (E) “Dielectric Strength” means the ability of the spark plug's ceramic insulator material to resist electrical breakdown.
              (F) “Flashover” means the discharge of ignition voltage at any point other than at the spark plug gap.
              (9) Inductive System Coils. (i) The emission-critical parameters for inductive system coils are:
              (A) Open Circuit Voltage Output.
              (B) Dielectric Strength.
              (C) Flashover.
              (D) Rise Time.
              (ii) For the purposes of this paragraph:
              (A) “Coil” means a device used to provide high voltage in an inductive ignition system.
              (B) “Flashover” means the discharge of ignition voltage across the coil.
              (C) “Dielectric Strength” means the ability of the material of the coil to resist electrical breakdown.
              (D) “Rise Time” means the time required for the spark voltage to increase from 10% to 90% of its maximum value.
              (10) Primary Resistors. (i) The emission-critical parameter for primary resistors is the DC resistance.
              (ii) For the purpose of this paragraph, a “Primary Resistor” means a device used in the primary circuit of an inductive ignition system to limit the flow of current.
              (11) Breaker Point Distributors. (i) The emission-critical parameters for breaker point distributors are:
              (A) Spark Timing.
              (1) Centrifugal Advance Characteristics.
              (2) Vacuum Advance Characteristics.
              (B) Dwell Angle.
              (C) Breaker point contact operation.
              (D) Electrical resistance to ground.

              (E) Capacity for compatibility with generally available original equipment and certified replacement parts listed in § 85.2112(a) (5), (6), (7), and (9).

              (ii) For the purposes of this paragraph:
              (A) “Distributor” means a device for directing the secondary current from the induction coil to the spark plugs at the proper intervals and in the proper firing order.
              (B) “Distributor Firing Angle” means the angular relationship of breaker point opening from one opening to the next in the firing sequence.
              (C) “Dwell Angle” means the number of degrees of distributor mechanical rotation during which the breaker points are capable of conducting current.
              (12) Engine Valves. [Reserved]
              (13) Camshafts. [Reserved]
              (14) Pistons. [Reserved]
              (15) Oxidizing Catalytic Converter. (i) The emission-critical parameters for oxidizing catalytic converters are:
              (A) Conversion Efficiency.
              (B) Light-off Time.
              (C) Mechanical and Thermal Integrity.
              (ii) For the purposes of this paragraph including the relevant test procedures in the appendix:

              (A) “Catalytic Converter” means a device installed in the exhaust system of an internal combustion engine that utilizes catalytic action to oxidize hydrocarbon (HC) and carbon monoxide (CO) emissions to carbon dioxide (CO2) and water (H2O).

              (B) “Conversion Efficiency” means the measure of the catalytic converter's ability to oxidize HC/CO to CO2/H2O under fully warmed-up conditions stated as a percentage calculated by the following formula:

                EC15NO91.093

              (C) “Light-off Time” or “LOT” means the time required for a catalytic converter (at ambient temperature 68-86 °F) to warm-up sufficiently to convert 50% of the incoming HC and CO to CO2 and H2 O.
              (D) “Peak Air Flow” means the maximum engine intake mass air flow rate measure during the 195 second to 202 second time interval of the Federal Test Procedure.
              (E) “Feed Gas” means the chemical composition of the exhaust gas measured at the converter inlet.
              (F) “Aged Catalytic Converter” means a converter that has been installed on a vehicle or engine stand and operated thru a cycle specifically designed to chemically age, including exposure to representative lead concentrations, and mechanically stress the catalytic converter in a manner representative of in-use vehicle or engine conditions.
              (G) “Mechanical and Thermal Intergrity” means the ability of a converter to continue to operate at its previously determined efficiency and light-off time and be free from exhaust leaks when subject to thermal and mechanical stresses representative of the intended application.
              (16) Air Cleaner Filter Element. (i) The emission-critical parameters for Air Cleaner Filter Elements are:
              (A) Pressure drop.
              (B) Efficiency.
              (ii) For the purpose of this paragraph:
              (A) “Air Cleaner Filter Element” means a device to remove particulates from the primary air that enters the air induction system of the engine.
              (B) “Pressure Drop” means a measure, in kilopascals, of the difference in static pressure measured immediately upstream and downstream of the air filter element.
              (C) “Efficiency” means the ability of the air cleaner or the unit under test to remove contaminant.
              (17) Electronic Inductive Ignition System and Components. [Reserved]
              (18) Electronic Inductive Distributors. [Reserved]
              (b) Additional part standards. [Reserved]
              [45 FR 78462, Nov. 25, 1980, as amended at 54 FR 32593, Aug. 8, 1989]

              § 85.2123
              Treatment of confidential information.
              (a) Any manufacturer may assert that some or all of the information submitted pursuant to this subpart is entitled to confidential treatment as provided by 40 CFR part 2, subpart B.

              (b) Any claim of confidentiality must accompany the information at the time it is submitted to EPA.

              (c) To assert that information submitted pursuant to this subpart is confidential, a manufacturer must indicate clearly the items of information claimed confidential by marking, circling, bracketing, stamping, or otherwise specifying the confidential information. Furthermore, EPA requests, but does not require, that the submitter also provide a second copy of its submittal from which all confidential information shall be deleted. If a need arises to publicly release nonconfidential information, EPA will assume that the submitter has accurately deleted all confidential information from this second copy.
              (d) If a claim is made that some or all of the information submitted pursuant to this subpart is entitled to confidential treatment, the information covered by that confidentiality claim will be disclosed by the Administrator only to the extent and by means of the procedures set forth in part 2, subpart B, of this chapter.
              (e) Information provided without a claim of confidentiality at the time of submission may be made available to the public by EPA without further notice to the submitter, in accordance with 40 CFR 2.204(c)(2)(i)(A).
              [50 FR 34798, Aug. 27, 1985]

              Pt. 85, Subpt. V, App. I
              Appendix I to Subpart V of Part 85—Recommended Test Procedures and Test Criteria and Recommended Durability Procedures To Demonstrate Compliance With Emission Critical Parameters
              A. Carburetor Vacuum Break (Choke Pull-Off)
              1. Test Procedure and Criteria

              a. Vacuum leakage: Apply 457 ±13 mm (18.0 ±0.5 inches) Hg. vacuum to the vacuum unit to achieve full diaphragm displacement. Seal vacuum source to unit. There shall be no visible loss of diaphragm displacement or drop in vacuum gauge reading after a 15 second observation. Vacuum purge system and diaphragm displacement adjusting screw holes should be temporarily sealed during this test when applicable.
              b. Diaphragm displacement: At stabilized temperature of −29 °C and 121 °C (−20 °F and 250 °F) with 457 ±13 mm (18.0 ±0.5 inches) Hg. vacuum applied to unit, the diaphragm displacement shall be within ±1 mm (0.04 inches) of the nominal original equipment displacement. The vacuum purge system must be open during this test when applicable. Adjusting screws that limit displacement should be temporarily removed and adjusting screw holes temporarily sealed during this test.
              c. Timed delay (when applicable): With 457 ±13 mm (18.0 ±0.5 inches) Hg. applied to the unit, the vacuum break diaphragm displacement shall occur within ±20% of the original equipment time over the specified range of displacement. The diaphragm displacement shall be timed over the same distance for the original equipment as the replacement part and shall not be less than 60% of the total displacement range. The vacuum purge system must be open and the adjusting screw holes should be temporarily sealed during this test when applicable.
              d. Modulated stem displacement (when applicable): With a force sufficient to extend the modulated stem to its full displacement, the displacement shall be within ±0.8 mm (±0.03 inches) of the original equipment specification.
              e. Modulated stem displacement force (when applicable): The force required to start and finish the modulated stem displacement shall be within ±35% of the original equipment specification for forces up to 142 grams (5 ounces) and shall be within ±20% of the original equipment specification for forces exceeding 142 grams (5 ounces).
              2. Durability Procedures: After 250,000 full displacement cycles (from atmospheric pressure to a minimum of 530mm (21 inches) Hg. vacuum at a temperature of 79 °C (175 °F)) in air, the following conditions shall be met:
              a. Diaphragm displacement shall not degrade more than 10% from the original test measurements of paragraph 1.b. above.
              b. Timed delay shall not degrade more than 10% from the original test measurement in paragraph 1.c. above.
              c. Following these tests, the units must be free of visible defects.
              B. Carburetor Choke Thermostats
              1. Test Procedures and Criteria

              a. All chokes
              i. Thermal deflection rate

              When tested on a suitable fixture, the deflection rate shall be within ±6% of the original equipment value. The initial temperature and final temperature for purposes of this test may vary but shall exhibit a test temperature range of at least 44 °C (80 °F). Recommended test equipment, test procedures, and associated calculations are outlined in ASTM B389 (latest revision) or American National Standards Institute Z155-20.
              ii. Mechanical torque rate

              When tested on a suitable fixture, the torque rate shall be within ±12% of the mean original equipment value. Recommended test equipment, test procedures, and associated calculations are outlined in ASTM B362 (latest revision) or American National Standards Institute Z155-18 (latest revision).
              iii. Index mark position

              When stabilized for four hours at room temperature, the relative position of the thermostatic coil outer tang or loop and the index mark, when corrected to 24 °C (75 °F), shall be within ±5 angular degrees of the mean original equipment positions.
              b. Electrically-heated Chokes
              i. Time to rotate coil tang

              When tested on a suitable fixture, the time to rotate through a prescribed angle at a prescribed temperature and prescribed voltage, for the specfic choke device under test shall be within ±12 seconds or ±25% of the mean original equipment value whichever is greater.
              ii. Electrical circuit resistance

              In an electrically-heated choke utilizing PTC type choke heater, the circuit resistance shall be within ±1.5 ohms of the mean original equipment value at 24 ±3 °C (75° ±5 °F) unenergized.
              iii. Electrical switching temperature

              In an electrically heated choke thermostat utilizing a thermostatic disc switch in the electrical circuit, the temperature to open the circuit shall be within ±5.5 °C (10 °F) and the temperature to close the circuit shall be within ±11 °C (20 °F) of the mean original equipment value. Circuit opening temperature shall be measured on a decreasing temperature change, and the circuit closing temperature shall be measured on an increasing temperature change.
              C. Carburetor Accelerator Pumps
              1. Test Procedure and Criteria

              a. Expose plunger or diaphragm assembly to temperatures of −30 °C (−20 °F) for 70 hours and at 70 °C (158 °F) for 24 hours, with a commercial grade fuel or equivalent.
              b. Within one hour after temperature exposure of 1.a. above, each plunger or diaphragm assembly, when installed in an applicable carburetor or test fixture, shall at room temperature deliver a volume of test fluid (Stoddard solvent or equivalent) from a 10 stroke cycle,* within ±30% of the volume from a 10 stroke cycle of an original equipment plunger or diaphragm assembly.

                *10 stroke cycle: 10 strokes from closed throttle plate position to wide open throttle plate position occurring within a 15-25 second time period.

              2. Durability Procedure: After 250,000 operational cycles, at approximately 30 cycles per minute at room temperature in test fluid, the output of the plunger/diaphragm shall not drop below 90% of the low limit as established in 1.b.
              D. Positive Crankcase Ventilation (PCV) Valve
              1. Test Procedure and Criteria

              a. Measure the flow of the PCV valve in standard cubic feet per minute (SCFM) vs. pressure differential across the valve over a range of operating pressures from 4-22 inches Hg., at standard atmospheric conditions (21.1 °C (70 °F) at 755mm (29.92 inches).
              b. A PCV valve shall flow within the vehicle manufacturer's specifications or shall meet the following criteria: Whenever the mean of the original equipment flow curve is below 1 SCFM, a maximum deviation of the mean replacement PCV valve shall not exceed ±0.1 SCFM. Whenever the mean original equipment curve is equal to or greater than 1 SCFM, a maximum deviation of the mean of the replacement PCV valve shall not exceed ±10%. The total flow tolerance of the replacement valve shall not exceed the original equipment variation from the mean, at any pressure differential.
              2. Durability Procedure: The flow of any specific PCV valve must not deviate from the flow curve of the original equipment PCV valve by more than the total original allowable tolerance when each is similarly operated in the intended vehicle application over the service interval stated by the certifier.
              E. Breaker Points
              1. Test Procedures and Criteria

              a. Set up test system circuit and equipment per Figure 1 with an OE breaker point assembly. Connect the primary to a 14 ±.5 V DC regulated power supply.
              b. Record dwell angle and open-circuit output voltage at 300 and 500 distributor rpm and at 500 rpm intervals up to the maximum speed of the intended application.
              c. Insert the replacement part in the test system and repeat the observations per b above under identical test conditions.
              d. The data observed with the replacement part in the system must meet the following criteria:
              (1) The dwell angle change: Not to exceed that of the original equipment by more than ±2° at all measured rpm intervals.

                EC01MY92.109

              (2) The open circuit output voltage (M-3): Not less than 90% of the OE breaker point assembly at any measured rpm.
              e. Repeat step c above at −40 °C (−40 °F) and 100 °C (212 °F).
              f. The breaker points shall operate without evidence of point bounce at all test speeds and temperatures and shall operate easily without binding when operated manually.
              2. Durability Procedures

              a. Set up a bench ignition system using an applicable distributor or electro-mechanical equivalent.
              b. Install the breaker point assembly under test in the distributor, lubricate and adjust per applicable vehicle manufacturer's specifications. Use applicable coil, primary resistor, capacitor, cap and rotor.
              c. Connect the primary of the test system with a power supply regulated at 14 ±0.5 V DC for a 12V system.
              d. The secondary portion of the test system is to be connected to a 12 ±2KV spark gap.
              e. An external heat source shall generate an ambient temperature of 70° (158 °F) for the distributor.
              f. Drive the distributor at 1750 ±50 rpm for 200 hours. After each 50 hour interval, run the distributor for 5 minutes with one open circuit spark gap instead of a 12KV gap.
              g. The replacement breaker point assembly must have the capability of performing throughout the duration of the test without evidence of any failure resulting in loss of spark in the 12KV spark gap.
              h. After the 200 hours repeat step 1.c. above. The open circuit output voltage must be at least 90% of that measured in 1.c.
              F. Capacitors/Condensers
              1. Test Procedures and Criteria

              a. The electrostatic capacitance of the replacement condenser shall be within ±20% of the value of the original part at 20 ±3 °C (68 ±5 °F). The capacitance is to be measured on a capacitance bridge having an accuracy of ±1% at 1 KHz frequency.
              b. Set up the test system in accordance with Figure 1. The condenser series resistance shall be such that the output voltage at 500 distributor rpm with the replacement condenser shall not be less than 90% of the output voltage (M-3) with the original equipment condenser.
              c. The capacitor must be able to withstand a minimum test voltage of 500V DC for a minimum of 0.1 seconds without failure.
              d. (1) Measure capacitance after 4 hours minimum soak at 70° (158 °F).
              (2) After one hour at room temperature, place capacitor at −18 °C (0 °F) for 4 hours minimum and measure capacitance.
              (3) Place capacitor at room temperature for 4 hours minimum and measure capacitance.
              e. After thermal cycling, repeat 1.a. and b. The results must be within ±10 percent of the intital measurements.
              2. Durability Procedure

              a. Set up a bench ignition system using an applicable distributor or an electro-mechanical equivalent.
              b. Install the capacitor under test in the distributor adjusted to applicable vehicle manufacturer's specifications. Use applicable coil, primary resistor, breaker points, cap and rotor.
              c. Connect the primary of the test system with a power supply regulated at 14 ±0.5V DC for 12V system.
              d. The secondary portion of the test system is to be connected to a 12 ±2KV spark gap.
              e. An external heat source shall generate an ambient temperature of 70 °C (158 °F) for the distributor.
              f. Drive the distributor at 1750 ±50 rpm for 200 hours. After each 50 hour interval, run the distributor for 5 minutes with one open circuit spark gap instead of a 12KV gap.
              g. The replacement part must have the capability of performing throughout the duration of the test without evidence of any failure resulting in loss of spark in the 12KV spark gap.
              h. After the 200 hours, the condenser shall be within 10 percent of the capacitance and voltage measured in 1.a. and b. respectively.
              G. Distributor Caps and/or Rotors
              1. Test Procedures and Criteria

              a. Set up test system in accordance with the circuit and equipment per Figure 1 with OE distributor cap and/or rotor. Connect the primary to a 14 ±.5V DC regulated power supply.
              b. Record open circuit output voltage (M-3) at 300 and 500 distributor rpm and at intervals of 500 distributor rpm up to the maximum speed of the intended application.
              c. Insert the intended replacement part(s) in the system and repeat step b. above under identical test conditions.
              d. Subject the intended replacement part to the following thermal sequence through five complete cycles:
              1. 12 hours at −40 °C (−40 °F)
              2. 2 hours at room temperature
              3. 4 hours at 100 °C (212 °F)
              4. 2 hours at room temperature.
              e. Repeat step b. above with the replacement part(s).
              f. The output voltages measured with the replacement part(s) in the system must be at least 90% of the output voltage with the OE cap and/or rotor.
              2. Durability Procedures

              a. Set up test system in accordance with circuit and equipment per Figure 1.
              b. Install the cap and/or rotor under test in distributor, lubricate and adjust per applicable vehicle manufacturer's specifications. Use equivalent coil, primary resistor, breaker points and capacitor.
              c. Connect the primary of the test system with a power supply regulated at 14 ±0.5 V D.C.
              1. In breaker point operated systems, connect secondary to a 12 KV±2 KV gap.
              2. In electronic ignition systems, connect secondary to a gap equivalent to at least 50% of peak open-circuit voltage.
              d. An external heat source shall generate an ambient temperature of 70° (158 °F) for the distributor.
              e. Distributor shall be driven at 1750 ±50 rpm for 200 hours. After each 50 hours interval, run the distributor for 5 minutes with one open-circuit spark gap instead of a 12KV gap.
              f. The replacement part(s) must have the capability of performing throughout the duration of the test without evidence of any failure resulting in loss of spark at the spark gap.
              g. Repeat step 1.c. above. The open circuit output voltage must be at least 90% of that measured in step 1.c.
              h. The replacement cap and/or rotor must be free of any visual cracks, arcing or melting.
              H. Spark Plugs
              1. Test Procedures and Criteria

              a. Heat rating: When comparatively rated in the SAE 17.6 Spark Plug Rating engine according to the SAE J549A Recommended Practice, the comparative average rating of at least five (5) replacement spark plugs shall be within 15 percent of the average IMEP of at least five (5) OE spark plugs.

              b. Gap spacing: The electrode spark gap shall be equivalent or adjustable to the recommended gap for the original equipment spark plug.

              c. Gap location: The electrode gap position in the chamber shall be the same as specified by the vehicle manufacturer.
              d. Flashover: The spark plug terminal end, with the properly fitted connecting boot, shall not flash-over at peak anticipated voltage for the intended application when electrode gap is 15% larger than vehicle manufacturer's gap specifications.
              I. Inductive System Coils
              1. Test Procedures and Criteria

              a. Set up the circuit in accordance with Figure 1. Operate the circuit by an applicable distributor or equivalent triggering device and applicable primarly resistor with a 50 pf load at 14.0 ±0.50 volts DC input as applicable and stabilized at an ambient temperature of 20 °C ±3 °C (68 °F ±5 °F).
              b. With the original equipment coil installed, record the predominant minimum peak voltage and rise time at 300 and 500 distributor rpm, and at 500 rpm intervals up to the maximum intended operating speed. The measurement is to be taken after 4 minutes operation at each speed.
              c. Install the replacement coil to be tested and repeat step b. above.
              d. The replacement coil shall have an open-circuit output voltage (M-3) at least 90% of the OE coil output voltage and a rise time not to exceed 110% of original equipment coil at each distributor test speed.
              2. Durability Procedure

              a. Install the replacement ignition coil in the ignition system using the applicable rotor, cap, capacitor, breaker points, and primary resistor.

                EC01MY92.110

              b. Operate the circuit with a regulated power supply of 14.0 ±.5 volts DC connected to the primary at an ambient temperature of 70 °C (158 °F) at 1750 ±50 distributor rpm for a duration of 200 hours. After each 50 hour interval, run the distributor for 5 minutes with one open-circuit spark gap instead of a 12KV gap.
              c. The ignition coil shall perform throughout the test without any evidence of coil failure which would result in the loss of the spark in the 12 KV spark gap.
              d. Repeat Step 1.c. above. The open-circuit output voltage must be at least 90% of that measured in 1.c.
              J. Primary Resistors
              1. Test Procedures and Criteria.

              a. Configure the circuit shown in Figure 2, using the original equipment resistor.

              b. At 20 ±3 °C (68 ±5 °F), apply voltage for 15 minutes; maintain current at 2.5 amps. At conclusion of 15 minutes, read voltage and current. Calculate resistance using the relationship

              R = E/I,

              where:

              R = Resistance in ohms,
              E = Voltage (V) in volts,
              I = Current (A) in amps.

              c. Replace OE test sample with part to be certified and repeat step b. above.
              d. Resistance of the part shall be within ±20% of original equipment resistance.
              2. Durability Procedure.

              a. Using the circuit shown in Figure 1, apply current at 70 °C (150 °F), for 200 hours.
              b. After 200 hours retest as in step 1.c. above, and verify that resistance is within ±20% of the value as measured in step 1.b. above.
              K. Distributors—Breaker Point
              1. Test Procedures and Criteria.

              a. Using an appropriate test installation, operate the distributor through its intended speed range.
              b. The advance mechanism shall function within the tolerance of the vehicle manufacturer's original specification over the speed range of the intended application as to vacuum and centrifugal advance.

              c. The advance mechanism shall repeatedly return to the zero setting

              ±0.5 distributor degrees after advancing and retarding through the operating range.

              d. The distributor firing angle accuracy shall remain within the originally specified tolerances throughout the speed range of the intended application.
              e. The distributor shall be capable of maintaining the dwell angle of the original equipment specification with ±2 degrees throughout the speed range of the intended application.
              f. The distributor shall be capable of open-circuit output voltage (M-3) equal to at leat 90 percent of the voltage produced by the original equipment system over the speed range of the intended application.
              2. Durability Procedure.

              a. At an ambient temperature of 70 °C (150 °F), operate the distributor at 1750 ±50 rpm for 200 hours.
              b. The distributor must meet the requirements of paragraph 1.b. through f. after the 200 hours.
              L. Reserved for Engine Valves
              M. Reserved for Camshafts
              N. Reserved for Pistons
              O. Oxidizing Catalytic Converters
              1. Test Procedures and Criteria.

              (a) The fresh and aged conversion efficiencies of the replacement oxidizing catalytic converter shall be equal to or exceed those of the original equipment converter for CO and HC emissions. The fresh and aged Light-off Time (LOT) of the replacement converter shall be equal to or less than those of the original equipment converter for CO and HC emissions. These parameters shall be determined for both fresh and aged converters under the same conditions using the following steady state feed gas concentrations and conditions for LOT and Conversion Efficiency respectively:

                  LOT
                  Conversion efficiency

                  Exhaust mass flow rate
                  See note (2)
                  See note (1).

                  Total hydrocarbons
                  See note (3)
                  See note (3).

                  Carbon monoxide
                  1.0 to 2.5%
                  1.0 to 2.5%.

                  Hydrogen
                  0.33 × % CO maximum
                  0.33 × % CO maximum.

                  Oxygen
                  1.5 × % CO minimum
                  1.5 × % CO minimum.

                  Converter inlet gas temperature
                  650 °F to 850 °F
                  650 °F to 850 °F.

                Note 1:
                Not less than peak air flow of the vehicle or engine configuration being certified for. If more than one vehicle or engine application is to be covered by a generic converter, the greatest peak vehicle or engine air flow shall be used.

                Note 2:
                Between 0.10 and 0.40 times the value determined in Note 1.

                Note 3:
                500-2000 parts per million by volume minimum based on Methane calibration. If a non-engine simulator gas source is used, a mixture ratio of 10% propane to 90% propylene by volume will constitute an acceptable synthetic for total exhaust hydrocarbons.

              (i) LOT tests shall be conducted by exposing the converter to a step change in temperature, from ambient to that specified above: 650°-850 °F. Converter inlet and outlet exhaust emissions as measured. Light-off Time is then determined by recording the time required for the converter to reduce the outlet emissions (HC and CO) to 50% of the inlet emissions, on a volumetric concentration basis, measured from the step temperature change.
              (ii) Conversion efficiency measurements shall be obtained by passing stabilized-feed gas through the converter (at conditions specified above) and making simultaneous measurements of inlet and outlet emission volume concentrations. The conversion efficiency for CO and HC is then calculated.
              (iii) The particular conditions for which LOT and conversion efficiency are measured (i.e., exhaust mass flow rate, total hydrocarbons, carbon monoxide, hydrogen, oxygen, and converter inlet temperature) for the replacement converter and original equipment converter tests must not vary from one another by more than 10%.
              (b) Fresh and aged catalytic converters may be obtained by operating the converter on individual vehicle or engine application for which it is intended on the Federal Test Procedure road durability driving cycle. A fresh converter results when the converter has operated between 2000 and 5000 miles or equivalent hours. An aged converter results when the converter has been operated for the warranted life of the original equipment converter.
              (c) Where one generic converter is intended to cover multiple vehicle or engine configurations, converter aging may be obtained per Paragraph (b) above, on a vehicle or engine which represents the greatest peak air flow of the group of vehicle configurations to be covered, and whose calibration and feed gas concentrations are representative of the vehicle or engine configurations being certified for.
              2. Other Considerations.

              (a) Replacement converter must fit within the width and length space envelope of the original equipment converter. Converter spacing from the underbody and for ground clearance must be the same or greater than the original equipment converter application.

              (b) Pressure drop measured between inlet and outlet pipe interconnecting points on the replacement converter shall be within ±25% of similar measurements for the original equipment converter being replaced, when measured at each of three flow conditions 50 SCFM, 100 SCFM, and 150 SCFM with a suitable fluid medium such as air. Maximum allowable exhaust gas leakage from the replacement coverter shall be 0.4 cubic feet per minute measured at 4.0 pounds per square inch differential. All measurements must be normalized to equal density conditions.
              (c) Converter skin temperature shall be measured during the converter efficiency test. The skin temperature for the replacement converter must equal or be less than that for the original equipment converter.
              P. Air Cleaner Filter Element
              1. Test Procedures and Criteria.

              (a) Using test equipment and procedures specified in SAE-J726c, perform:
              (i) Air Flow and Pressure Drop Test (2.3) at 200 SCFM, record test conditions and pressure drop.
              (ii) Efficiency Test (2.4) to measure full life efficiency at 200 SCFM to a total pressure drop of 9 inches of water, record test conditions and test duration from first to last addition of standard dust, weigh test element and absolute filter at end of test using three randomly selected original equipment air filter elements.
              (b) Perform tests as in (a) above, under conditions controlled to within ±10% of the corresponding original equipment test conditions, for three randomly selected replacement air filter elements.
              (c) The replacement air filter element average recorded test results. The pressure drop in (i) and absolute filter weight in (ii) must be equal to or less than those average results for the original equipment test results. The replacement air filter averaged test results for element weight in (ii) must be equal to or larger than averaged result for the original equipment averaged test results.
              2. Durability Procedure.

              (a) After use in the intended vehicle or engine application for the recommended service interval, the replacement element shall evidence an increase in pressure drop (as measured in 1 (a)(i) above) equal to or less than that of the original equipment air filter element tested in the identical manner.
              [45 FR 78464, Nov. 25, 1980, as amended at 54 FR 32593, Aug. 8, 1989]

              Pt. 85, Subpt. V, App. II
              Appendix II to Subpart V of Part 85—Arbitration Rules
              Part A—Pre-Hearing
              Section 1: Initiation of Arbitration
              Either party may commence an arbitration under these rules by filing at any regional office of the American Arbitration Association (the AAA) three copies of a written submission to arbitrate under these rules, signed by either party. It shall contain a statement of the matter in dispute, the amount of money involved, the remedy sought, and the hearing locale requested, together with the appropriate administrative fee as provided in the Administrative Fee Schedule of the AAA in effect at the time the arbitration is filed. The filing party shall notify the MOD Director in writing within 14 days of when it files for arbitration and provide the MOD Director with the date of receipt of the bill by the part manufacturer.
              Unless the AAA in its discretion determines otherwise and no party disagrees, the Expedited Procedures (as described in Part E of these Rules) shall be applied in any case where no disclosed claim or counterclaim exceeds $32,500, exclusive of interest and arbitration costs. Parties may also agree to the Expedited Procedures in cases involving claims in excess of $32,500.
              All other cases, including those involving claims not in excess of $32,500 where either party so desires, shall be administered in accordance with Parts A through D of these Rules.
              Section 2: Qualification of Arbitrator
              Any arbitrator appointed pursuant to these Rules shall be neutral, subject to disqualification for the reasons specified in Section 6. If the parties specifically so agree in writing, the arbitrator shall not be subject to disqualification for said reasons.
              The term “arbitrator” in these rules refers to the arbitration panel, whether composed of one or more arbitrators.
              Section 3: Direct Appointment by Mutual Agreement of Parties
              The involved manufacturers should select a mutually-agreeable arbitrator through which they will resolve their dispute. This step should be completed within 90 days from the date of receipt of the warranty claim bill by the part manufacturer.
              Section 4: Appointment From Panel
              If the parties have not appointed an arbitrator and have not provided any other method of appointment, the arbitrator shall be appointed in the following manner: 90 days from the date of receipt of the warranty claim bill by the part manufacturer, the AAA shall submit simultaneously to each party to the dispute an identical list of names of persons chosen from the National Panel of Commercial Arbitrators, established and maintained by the AAA.

              Each party to the dispute shall have ten days from the mailing date in which to cross off any names objected to, number the remaining names in order of preference, and return the list to the AAA. If a party does not return the list within the time specified, all persons named therein shall be deemed acceptable. From among the persons who have been approved on both lists, and in accordance with the designated order of mutual preference, the AAA shall invite the acceptance of an arbitrator to serve. If the parties fail to agree on any of the persons named, or if acceptable arbitrators are unable to act, or if for any other reason the appointment cannot be made from the submitted lists, the AAA shall have the power to make the appointment from among other members of the panel without the submission of additional lists.
              Section 5: Number of Arbitrators; Notice to Arbitrator of Appointment
              The dispute shall be heard and determined by one arbitrator, unless the AAA in its discretion, directs that a greater number of arbitrators be appointed.
              Notice of the appointment of the arbitrator shall be mailed to the arbitrator by the AAA, together with a copy of these rules, and the signed acceptance of the arbitrator shall be filed with the AAA prior to the opening of the first hearing.
              Section 6: Disclosure and Challenge Procedure
              Any person appointed as an arbitrator shall disclose to the AAA any circumstance likely to affect impartiality, including any bias or any financial or personal interest in the result of the arbitration or any past or present relationship with the parties or their representatives. Upon receipt of such information from the arbitrator or another source, the AAA shall communicate the information to the parties and, if it deems it appropriate to do so, to the arbitrator and others. Upon objection of a party to the continued service of an arbitrator, the AAA shall determine whether the arbitrator should be disqualified and shall inform the parties of its decision, which shall be conclusive.
              Section 7: Vacancies
              If for any reason an arbitrator should be unable to perform the duties of the office, the AAA may, on proof satisfactory to it, declare the office vacant. Vacancies shall be filled in accordance with the applicable provisions of these rules.
              In the event of a vacancy in a panel of arbitrators after the hearings have commenced, the remaining arbitrator or arbitrators may continue with the hearing and determination of the controversy, unless the parties agree otherwise.
              Section 8: Interpretation and Application of Rules
              The arbitrator shall interpret and apply these rules insofar as they relate to the arbitrator's powers and duties. When there is more than one arbitrator and a difference arises among them concerning the meaning or application of these rules, it shall be decided by a majority vote. If that is unobtainable, either an arbitrator or a party may refer the question to the AAA for final decision. All other rules shall be interpreted and applied by the AAA.
              Section 9: Administrative Conference and Preliminary Hearing
              At the request of any party or at the discretion of the AAA, an administrative conference with the AAA and the parties and/or their representatives will be scheduled in appropriate cases to expedite the arbitration proceedings.
              In large or complex cases, at the request of any party or at the discretion of the arbitrator or the AAA, a preliminary hearing with the parties and/or their representatives and the arbitrator may be scheduled by the arbitrator to specify the issues to be resolved, stipulate to uncontested facts, and to consider any other matters that will expedite the arbitration proceedings. Consistent with the expedited nature of arbitration, the arbitrator may, at the preliminary hearing, establish (i) the extent of and the schedule for the production of relevant documents and other information, (ii) the identification of any witnesses to be called, and (iii) a schedule for further hearings to resolve the dispute.
              Section 10: Fixing of Locale
              The parties may mutually agree on the locale where the arbitration is to be held. If any party requests that the hearing be held in a specific locale and the other party files no objection thereto within ten days after notice of the request has been mailed to it by the AAA, the locale shall be the one requested. If a party objects to the locale requested by the other party, the AAA shall have the power to determine the locale and its decision shall be final and binding.
              Part B—The Hearing
              Section 1: Date, Time, and Place of Hearing
              The arbitrator shall set the date, time, and place for each hearing. The AAA shall mail to each party notice thereof at least ten days in advance, unless the parties by mutual agreement waive such notice or modify the terms thereof.
              Section 2: Representation

              Any party may be represented by counsel or other authorized representative. A party intending to be so represented shall notify the other party and the AAA of the name and address of the representative at least three days prior to the date set for the hearing at which that person is first to appear. When such a representative initiates an arbitration or responds for a party, notice is deemed to have been given.
              Section 3: Attendance at Hearings
              The arbitrator shall maintain the privacy of the hearings unless the law provides to the contrary. Representatives of the MOD director, and any persons having a direct interest in the arbitration are entitled to attend hearings. The arbitrator shall otherwise have the power to require the exclusion of any witness, other than a party or other essential person, during the testimony of any other witness. It shall be discretionary with the arbitrator to determine the propriety of the attendance of any other person.
              Section 4: Oaths
              Before proceeding with the first hearing, each arbitrator may take an oath of office and, if required by law, shall do so. The arbitrator may require witnesses to testify under oath administered by any duly qualified person and, if it is required by law or requested by any party, shall do so.
              Section 5: Majority Decision
              All decisions of the arbitrators must be by a majority. The award must also be made by a majority.
              Section 6: Order of Proceedings and Communication with Arbitrator
              A hearing shall be opened by the filing of the oath of the arbitrator, where required; by the recording of the date, time, and place of the hearing, and the presence of the arbitrator, the parties and their representatives, if any; and by the receipt by the arbitrator of the statement of the claim and the answering statement, if any.
              The arbitrator may, at the beginning of the hearing, ask for statements clarifying the issues involved. In some cases, part or all of the above will have been accomplished at the preliminary hearing conducted by the arbitrator pursuant to Part A Section 9 of these Rules.
              The complaining party shall then present evidence to support its claim. The defending party shall then present evidence supporting its defense. Witnesses for each party shall submit to questions or other examination. The arbitrator has the discretion to vary this procedure but shall afford a full and equal opportunity to all parties for the presentation of any material and relevant evidence.
              Exhibits, when offered by either party, may be received in evidence by the arbitrator.
              The names and addresses of all witnesses and a description of the exhibits in the order received shall be made a part of the record.
              There shall be no direct communication between the parties and an arbitrator other than at oral hearing, unless the parties and the arbitrator agree otherwise. Any other oral or written communication from the parties to the neutral arbitrator shall be directed to the AAA for transmittal to the arbitrator.
              Section 7: Evidence
              The parties may offer such evidence as is relevant and material to the dispute and shall produce such evidence as the arbitrator may deem necessary to an understanding and determination of the dispute. An arbitrator or other person authorized by law to subpoena witnesses or documents may do so upon the request of any party or independently.
              The arbitrator shall be the judge of the relevance and materiality of the evidence offered, and conformity to legal rules of evidence shall not be necessary. All evidence shall be taken in the presence of all of the arbitrators and all of the parties, except where any of the parties is absent, in default, or has waived the right to be present.
              Section 8: Evidence by Affidavit and Post-hearing Filing of Documents or Other Evidence
              The arbitrator may receive and consider the evidence of witnesses by affidavit, but shall give it only such weight as the arbitrator deems it entitled to after consideration of any objection made to its admission.
              If the parties agree or the arbitrator directs that documents or other evidence be submitted to the arbitrator after the hearing, the documents or other evidence shall be filed with the AAA for transmission to the arbitrator. All parties shall be afforded an opportunity to examine such documents or other evidence.
              Section 9: Closing of Hearing

              The arbitrator shall specifically inquire of all parties whether they have any further proofs to offer or witnesses to be heard. Upon receiving negative replies or if satisfied that the record is complete, the arbitrator shall declare the hearing closed and a minute thereof shall be recorded. If briefs are to be filed, the hearing shall be declared closed as of the final date set by the arbitrator for the receipt of briefs. If documents are to be filed as provided for in Part B Section 9 and the date set for their receipt is later than that set for the receipt of briefs, the later date shall be the date of closing the hearing. The time limit within which the arbitrator is required to make the award shall commence to run, in the absence of other agreements by the parties, upon the closing of the hearing.

              Section 10: Reopening of Hearing
              The hearing may be reopened on the arbitrator's initiative, or upon application of a party, at any time before the award is made. The arbitrator may reopen the hearing and shall have 30 days from the closing of the reopened hearing within which to make an award.
              Section 11: Waiver of Oral Hearing
              The parties may provide, by written agreement, for the waiver of oral hearings.
              Section 12: Waiver of Rules
              Any party who proceeds with the arbitration after knowledge that any provision or requirement of these rules has not been complied with and who fails to state an objection thereto in writing, shall be deemed to have waived the right to object.
              Section 13: Extensions of Time
              The parties may modify any period of time by mutual agreement. The AAA or the arbitrator may for good cause extend any period of time established by these rules, except the time for making the award. The AAA shall notify the parties of any extension.
              Section 14: Serving of Notice
              Each party shall be deemed to have consented that any papers, notices, or process necessary or proper for the initiation or continuation of an arbitration under these rules; for any court action in connection therewith; or for the entry of judgment on any award made under these rules may be served on a party by mail addressed to the party or its representative at the last known address or by personal service, inside or outside the state where the arbitration is to be held, provided that reasonable opportunity to be heard with regard thereto has been granted to the party.
              The AAA and the parties may also use facsimile transmission, telex, telegram, or other written forms of electronic communication to give the notices required by these rules.
              Part C—Award and Decision
              Section 1: Time of Award
              The award shall be made promptly by the arbitrator and, unless otherwise agreed by the parties or specified by law, no later than 30 days from the date of closing the hearing, or, if oral hearings have been waived, from the date of the AAA's transmittal of the final statements and proofs to the arbitrator.
              Section 2: Form of Award
              The award shall be in writing and shall be signed by the arbitrator, or if a panel is utilized, a majority of the arbitrators. It shall be accompanied by a written decision which sets forth the reasons for the award. Both the award and the decision shall be filed by the arbitrator with the MOD Director.
              Section 3: Scope of Award
              The arbitrator may grant to the vehicle manufacturer any repair expenses that he or she deems to be just and equitable.
              Section 4: Award upon Settlement
              If the parties settle their dispute during the course of the arbitration, the arbitrator may set forth the terms of the agreed settlement in an award. Such an award is referred to as a consent award. The consent award shall be filed by the arbitrator with the MOD Director.
              Section 5: Delivery of Award to Parties
              Parties shall accept as legal delivery of the award, the placing of the award, or a true copy thereof in the mail addressed to a party or its representative at the last known address, personal service of the award, or the filing of the award in any other manner that is permitted by law.
              Section 6: Release of Documents for Judicial Proceedings
              The AAA shall, upon the written request of a party, furnish to the party, at its expense, certified copies of any papers in the AAA's possession that may be required in judicial proceedings relating to the arbitration.
              Part D—Fees and Expenses
              Section 1: Administrative Fee
              The AAA shall be compensated for the cost of providing administrative services according to the AAA Administrative Fee Schedule and the AAA Refund Schedule. The Schedules in effect at the time the demand for arbitration or submission agreement is received shall be applicable.
              The administrative fee shall be advanced by the initiating party or parties, subject to final allocation at the end of the case.
              When a claim or counterclaim is withdrawn or settled, the refund shall be made in accordance with the Refund Schedule. The AAA may, in the event of extreme hardship on the part of any party, defer or reduce the administrative fee.
              Section 2: Expenses

              The loser of the arbitration is liable for all arbitration expenses unless determined otherwise by the arbitrator.

              Section 3: Arbitrator's Fee
              An arrangement for the compensation of an arbitrator shall be made through discussions by the parties with the AAA and not directly between the parties and the arbitrator. The terms of compensation of arbitrators on a panel shall be identical.
              Section 4: Deposits
              The AAA may require the parties to deposit in advance of any hearings such sums of money as it deems necessary to defray the expense of the arbitration, including the arbitrator's fee, if any, and shall render an accounting to the parties and return any unexpended balance at the conclusion of the case.
              Part E—Expedited Procedures
              Section 1: Notice by Telephone
              The parties shall accept all notices from the AAA by telephone. Such notices by the AAA shall subsequently be confirmed in writing to the parties. Should there be a failure to confirm in writing any notice hereunder, the proceeding shall nonetheless be valid if notice has, in fact, been given by telephone.
              Section 2: Appointment and Qualifications of Arbitrator
              The AAA shall submit simultaneously to each party an identical list of five proposed arbitrators drawn from the National Panel of Commercial Arbitrators, from which one arbitrator shall be appointed.
              Each party may strike two names from the list on a preemptory basis. The list is returnable to the AAA within seven days from the date of the AAA's mailing of the list to the parties.
              If for any reason the appointment of an arbitrator cannot be made from the list, the AAA may make the appointment from among other members of the panel without the submission of additional lists.
              The parties will be given notice by the AAA by telephone of the appointment of the arbitrator, who shall be subject to disqualification for the reasons specified in Part A, Section 6. The parties shall notify the AAA, by telephone, within seven days of any objection to the arbitrator appointed. Any objection by a party to the arbitrator shall be confirmed in writing to the AAA with a copy to the other party or parties.
              Section 3: Date, Time, and Place of Hearing
              The arbitrator shall set the date, time, and place of the hearing. The AAA will notify the parties by telephone, at least seven days in advance of the hearing date. Formal Notice of Hearing will be sent by the AAA to the parties and the MOD Director.
              Section 4: The Hearing
              Generally, the hearing shall be completed within one day, unless the dispute is resolved by the submission of documents. The arbitrator, for good cause shown, may schedule an additional hearing to be held within seven days.
              Section 5: Time of Award
              Unless otherwise agreed by the parties, the award shall be rendered not later than 14 days from the date of the closing of the hearing.
              Section 6: Applicability of Rules
              Unless explicitly contradicted by the provisions of this part, provisions of other parts of the Rules apply to proceedings conducted under this part.
              [54 FR 32593, Aug. 8, 1989, as amended at 70 FR 40432, July 13, 2005]

            Subpart W—Emission Control System Performance Warranty Short Tests

              Source:
              79 FR 23684, Apr. 28, 2014, unless otherwise noted.

              § 85.2201
              Applicability.
              (a) This subpart describes the test provisions to be employed in conjunction with the Emissions Performance Warranty in subpart V of this part. These provisions generally rely on a vehicle's onboard diagnostic system (OBD) to indicate whether a vehicle passes or fails the test.
              (b) The provisions of this subpart may be used to establish warranty eligibility for light-duty vehicles, light-duty trucks, and medium-duty passenger vehicles when tested during the useful life as prescribed in subpart V of this part.

              § 85.2207
              Onboard diagnostic test standards.
              (a) A vehicle shall fail the OBD test if it is a 1996 or newer vehicle and the vehicle connector is missing, has been tampered with, or is otherwise inoperable.

              (b) A vehicle shall fail the OBD test if the malfunction indicator light (MIL) is commanded to be illuminated and it is not visually illuminated according to visual inspection.

              (c) A vehicle shall fail the OBD test if the MIL is commanded to be illuminated for one or more diagnostic trouble codes (DTCs), as described in 40 CFR 86.1806.

              § 85.2222
              Onboard diagnostic test procedures.
              The test sequence for the OBD inspection shall consist of the following steps:
              (a) The OBD inspection shall be conducted with the key-on/engine running, with the exception of inspecting for MIL illumination as required in paragraph (d)(4) of this section, during which the inspection shall be conducted with the key-on/engine off.
              (b) The inspector shall locate the vehicle connector and plug the test system into the connector.
              (c) The test system shall send a Mode $01, PID $01 request in accordance with 40 CFR 86.1806 to determine the OBD evaluation status. The test system shall determine what monitors are supported by the OBD system, and perform the readiness evaluation for applicable monitors in accordance with the requirements and specifications in 40 CFR 86.1806.
              (1) Coincident with the beginning of mandatory testing, repair, and retesting based upon the OBD test, if the readiness evaluation indicates that any onboard tests are not complete, the customer shall be instructed to return after the vehicle has been run under conditions that allow completion of all applicable onboard tests. If the readiness evaluation again indicates that any onboard test is not complete, the vehicle shall be failed.
              (2) An exception to paragraph (c)(1) of this section is allowed for MY 1996 to MY 2000 vehicles, inclusive, with two or fewer unset readiness monitors, and for MY 2001 and newer vehicles with no more than one unset readiness monitor. Vehicles from those model years which would otherwise pass the OBD inspection, but for the unset readiness code in question, may be issued a passing certificate without being required to operate the vehicle in such a way as to activate those particular monitors. Vehicles from those model years with an unset readiness code that also have a DTC stored resulting in an illuminated MIL must be failed, though setting the unset readiness flag in question shall not be a prerequisite for passing the retest.
              (d) The test system shall evaluate the MIL status bit and record status information in the vehicle test record.
              (1) If the MIL status bit indicates that the MIL has been commanded to be illuminated, the test system shall send a Mode $03 request in accordance with 40 CFR 86.1806 to determine the stored DTCs. The system shall repeat this cycle until the number of codes reported equals the number expected based on the Mode $01 response. All DTCs resulting in MIL illumination shall be recorded in the vehicle test record and the vehicle shall fail the OBD inspection.
              (2) If the MIL bit is not commanded to be illuminated the vehicle shall pass the OBD inspection, even if DTCs are present.
              (3) If the MIL bit is commanded to be illuminated, the inspector shall visually inspect the MIL to determine if it is illuminated. If the MIL is commanded to be illuminated but is not, the vehicle shall fail the OBD inspection.
              (4) If the MIL does not illuminate at all when the vehicle is in the key-on/engine-off condition, the vehicle shall fail the OBD inspection, even if no DTCs are present and the MIL has not been commanded on.

              § 85.2223
              Onboard diagnostic test report.
              (a) Motorists whose vehicles fail the OBD test described in § 85.2222 shall be provided with the OBD test results, including the codes retrieved, the name of the component or system associated with each DTC, the status of the MIL illumination command, and the customer alert statement as stated in paragraph (b) of this section.
              (b) In addition to any codes that were retrieved, the test report shall include the following language:

              Your vehicle's computerized self-diagnostic system (OBD) registered the faults listed below. The faults are probably an indication of a malfunction of an emission component. However, multiple and/or seemingly unrelated faults may be an indication of an emission-related problem that occurred previously, but upon further evaluation by the OBD system was determined to be only temporary. Therefore, proper diagnosis by a qualified technician is required to positively identify the source of any emission-related problem.

              § 85.2231
              Onboard diagnostic test equipment requirements.
              (a) The test system interface to the vehicle shall include a plug that conforms to the requirements and specifications of 40 CFR 86.1806.
              (b) The test system shall be capable of communicating with the standard data link connector of vehicles with certified OBD systems.
              (c) The test system shall be capable of checking for OBD monitors and the evaluation status of supported monitors (test complete/test not complete) in Mode $01 PID $01, as well as be able to request the DTCs, consistent with the requirements and specifications of 40 CFR 86.1806.

            Subpart X—Determination of Model Year for Motor Vehicles and Engines Used in Motor Vehicles Under Section 177 and Part A of Title II of the Clean Air Act

              Source:
              60 FR 4738, Jan. 24, 1995, unless otherwise noted.

              § 85.2301
              Applicability.
              The definitions provided by this subpart are effective February 23, 1995 and apply to all light-duty motor vehicles and trucks, heavy-duty motor vehicles and heavy-duty engines used in motor vehicles, and on-highway motorcycles as such vehicles and engines are regulated under section 177 and Title II part A of the Clean Air Act.

              § 85.2302
              Definition of model year.
              Model year means the manufacturer's annual production period (as determined under § 85.2304) which includes January 1 of such calendar year, provided, that if the manufacturer has no annual production period, the term “model year” shall mean the calendar year.

              § 85.2303
              Duration of model year.
              A specific model year must always include January 1 of the calendar year for which it is designated and may not include a January 1 of any other calendar year. Thus, the maximum duration of a model year is one calendar year plus 364 days.

              § 85.2304
              Definition of production period.
              (a) The “annual production period” for all models within an engine family of light-duty motor vehicles, heavy-duty motor vehicles and engines, and on-highway motorcycles begins either: when any vehicle or engine within the engine family is first produced; or on January 2 of the calendar year preceding the year for which the model year is designated, whichever date is later. The annual production period ends either: When the last such vehicle or engine is produced; or on December 31 of the calendar year for which the model year is named, whichever date is sooner.
              (b) The date when a vehicle or engine is first produced is the “Job 1 date,” which is defined as that calendar date on which a manufacturer completes all manufacturing and assembling processes necessary to produce the first saleable unit of the designated model which is in all material respects the same as the vehicle or engine described in the manufacturer's application for certification. The “Job 1 date” may be a date earlier in time than the date on which the certificate of conformity is issued.

              § 85.2305
              Duration and applicability of certificates of conformity.
              (a) Except as provided in paragraph (b) of this section, a certificate of conformity is deemed to be effective and cover the vehicles or engines named in such certificate and produced during the annual production period, as defined in § 85.2304.

              (b) Section 203 of the Clean Air Act prohibits the sale, offering for sale, delivery for introduction into commerce, and introduction into commerce, of any new vehicle or engine not covered by a certificate of conformity unless it is an imported vehicle exempted by the Administrator or otherwise authorized jointly by EPA and U.S. Customs Service regulations. However, the Act does not prohibit the production of vehicles or engines without a certificate of conformity. Vehicles or engines produced prior to the effective date of a certificate of conformity, as defined in paragraph (a) of this section, may also be covered by the certificate if the following conditions are met:
              (1) The vehicles or engines conform in all material respects to the vehicles or engines described in the application for the certificate of conformity:
              (2) The vehicles or engines are not sold, offered for sale, introduced into commerce, or delivered for introduction into commerce prior to the effective date of the certificate of conformity;
              (3) The Agency is notified prior to the beginning of production when such production will start, and the Agency is provided full opportunity to inspect and/or test the vehicles during and after their production; for example, the Agency must have the opportunity to conduct selective enforcement auditing production line testing as if the vehicles had been produced after the effective date of the certificate.
              (c) New vehicles or engines imported by an original equipment manufacturer after December 31 of the calendar year for which the model year was named are still covered by the certificate of conformity as long as the production of the vehicle or engine was completed before December 31 of that year. This paragraph does not apply to vehicles that may be covered by certificates held by independent commercial importers unless specifically approved by EPA.
              (d) Vehicles or engines produced after December 31 of the calendar year for which the model year is named are not covered by the certificate of conformity for that model year. A new certificate of conformity demonstrating compliance with currently applicable standards must be obtained for these vehicles or engines even if they are identical to vehicles or engines built before December 31.
              (e) The extended coverage period described here for a certificate of conformity (i.e., up to one year plus 364 days) is primarily intended to allow flexibility in the introduction of new models. Under no circumstances should it be interpreted that existing models may “skip” yearly certification by pulling ahead the production of every other model year.

            Subpart Y—Fees for the Motor Vehicle and Engine Compliance Program

              § 85.2401
              Assessment of fees.
              See 40 CFR part 1027 for the applicable fees associated with certifying engines, vehicles, and equipment under this chapter.
              [73 FR 59178, Oct. 8, 2008]

              Appendixes I-VII to Part 85 [Reserved]

              Pt. 85, App. VIII
              Appendix VIII to Part 85—Vehicle and Engine Parameters and Specifications
              a. light duty vehicle parameters and specifications
              I. Basic Engine Parameters-Reciprocating
              Engines.
              1. Compression ratio.
              2. Cranking compression pressure.
              3. Valves (intake and exhaust).
              a. Head diameter dimension.
              b. Valve lifter or actuator type and valve lash dimension.
              4. Camshaft timing.
              a. Valve opening (degrees BTDC).
              b. Valve closing (degrees ATDC).
              c. Valve overlap (inch-degrees).
              II. Basic Engine Parameters—Rotary Engines.
              1. Intake port(s).
              a. Timing and overlap if exposed to the combustion chamber.
              2. Exhaust port(s).
              a. Timing and overlap if exposed to the combustion chamber.
              3. Cranking compression pressure.
              4. Compression ratio.
              III. Air Inlet System.
              1. Temperature control system calibration.
              IV. Fuel System.
              1. General.
              a. Engine idle speed.
              b. Engine idle mixture.
              2. Carburetion.
              a. Air-fuel flow calibration.
              b. Transient enrichment system calibration.
              c. Starting enrichment system calibration.
              d. Altitude compensation system calibration.

              e. Hot idle compensation system calibration.
              3. Fuel injection.
              a. Control parameters and calibration.
              b. Fuel shutoff system calibration.
              c. Starting enrichment system calibration.
              d. Transient enrichment system calibration.
              e. Air-fuel flow calibration.
              f. Altitude compensation system calibration.
              g. Operating pressure(s).
              h. Injector timing calibrations.
              V. Injection System.
              1. Control parameters and calibration.
              2. Initial timing setting.
              3. Dwell setting.
              4. Altitude compensation system calibration.
              5. Spark plug voltage.
              VI. Engine Cooling System.
              1. Thermostat calibration.
              VII. Exhaust Emission Control System.
              1. Air injection system.
              a. Control parameters and calibrations.
              b. Pump flow rate.
              2. EGR system.
              a. Control parameters and calibrations.
              b. EGR valve flow calibration.
              3. Catalytic converter system.
              a. Active surface area.
              b. Volume of catalyst.
              c. Conversion efficiency.
              4. Backpressure.
              VIII. Evaporative Emission Control System.
              1. Control parameters and calibrations.
              2. Fuel tank.
              a. Pressure and vacuum relief settings.
              IX. Crankcase Emission Control System.
              1. Control parameters and calibrations.
              2. Valve calibration.
              X. Auxiliary Emission Control Devices (AECD).
              1. Control parameters and calibrations.
              2. Component calibration(s).
              XI. Emission Control Related Warning Systems.
              1. Control parameters and calibrations.
              2. Component calibrations.
              XII. Driveline Parameters.
              1. Axle ratio(s).

              b. heavy duty gasoline engine parameters and specifications
              I. Basic Engine Parameters.
              1. Compression ratio.
              2. Cranking compression pressure.
              3. Supercharger/turbocharger calibration.
              4. Valves (intake and exhaust).
              a. Head diameter dimension.
              b. Valve lifter or actuator type and valve lash dimension.
              5. Camshaft timing.
              a. Valve opening (degrees BTDC).
              b. Valve closing (degrees ATDC).
              c. Valve overlap (inch-degrees).
              II. Air Inlet System.
              1. Temperature control system calibration.
              III. Fuel System.
              1. General.
              a. Engine idle speed.
              b. Engine idle mixture.
              2. Carburetion.
              a. Air-fuel flow calibration.
              b. Transient enrichment system calibration.
              c. Starting enrichment system calibration.
              d. Altitude compensation system calibration.
              e. Hot idle compensation system calibration.
              3. Fuel injection.
              a. Control parameters and calibrations.
              b. Fuel shutoff system calibration.
              c. Starting enrichment system calibration.
              d. Transient enrichment system calibration.
              e. Air-fuel flow calibration.
              f. Altitude compensation system calibration.
              g. Operating pressure(s).
              h. Injector timing calibration.
              IV. Ignition System.
              1. Control parameters and calibration.
              2. Initial timing setting.
              3. Dwell setting.
              4. Altitude compensation system calibration.
              5. Spark plug voltage.
              V. Engine Cooling System.
              1. Thermostat calibration.
              VI. Exhaust Emission Control System.
              1. Air injection system.
              a. Control parameters and calibrations.
              b. Pump flow rate.
              2. EGR system.
              a. Control parameters and calibrations.
              b. EGR valve flow calibration.
              3. Catalytic converter system.
              a. Active surface area.
              b. Volume of catalyst.
              c. Conversion efficiency.
              4. Backpressure.
              VII. Evaporative Emission Control System.
              1. Control parameters and calibrations.
              2. Fuel tank.
              a. Pressure and vacuum relief settings.
              VIII. Crankcase Emission Control System.
              1. Control parameters and calibrations.
              2. Valve calibrations.
              IX. Auxiliary Emission Control Devices (AECD).
              1. Control parameters and calibrations.
              2. Component calibrations.
              X. Emission Control Related Warning Systems.
              1. Control parameters and calibrations.
              2. Component calibrations.

              c. heavy duty diesel engine parameters and specifications
              I. Basic Engine Parameters-Four Stroke Cycle Reciprocating Engines.
              1. Compression ratio.
              2. Cranking compression pressure.
              3. Supercharger/turbocharger calibration.
              4. Valves (intake and exhaust).
              a. Head diameter dimension.
              b. Valve lifter or actuator type and valve lash dimension.
              5. Camshaft timing.
              a. Valve opening (degrees BTDC).
              b. Valve closing (degrees ATDC).
              c. Valve overlap (inch-degrees).
              II. Basic Engine Parameters—Two-Stroke Cycle Reciprocating Engine.
              1.-5. Same as Section C.I.
              6. Intake port(s).
              a. Timing in combustion cycle.
              7. Exhaust port(s).
              a. Timing in combustion cycle.
              III. Air Inlet System.
              1. Temperature control system calibration.
              2. Maximum allowable air inlet restriction.
              IV. Fuel System.
              1. Fuel injection.
              a. Control parameters and calibrations.
              b. Transient enrichment system calibration.
              c. Air-fuel flow calibration.
              d. Altitude compensation system calibration.
              e. Operating pressure(s).
              f. Injector timing calibration.
              V. Exhaust Emission Control System.
              1. Maximum allowable backpressure.
              VI. Crankcase Emission Control System.
              1. Control parameters and calibrations.
              2. Valve calibrations.
              VII. Auxiliary Emission Control Devices (AECD).
              1. Control parameters and calibrations.
              2. Component calibration(s).
              [42 FR 28129, June 2, 1977]

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

            Sec.
            86.1
            Incorporation by reference.

              Subpart A—General Provisions for Heavy-Duty Engines and Heavy-Duty Vehicles
              86.000-2
              Definitions.
              86.000-3
              Abbreviations.
              86.000-7
              Maintenance of records; submittal of information; right of entry.
              86.000-24
              Test vehicles and engines.
              86.001-2
              Definitions.
              86.001-21
              Application for certification.
              86.001-23
              Required data.
              86.001-24
              Test vehicles and engines.
              86.004-2
              Definitions.
              86.004-11
              Emission standards for 2004 and later model year diesel heavy-duty engines and vehicles.
              86.004-15
              NOX plus NMHC and particulate averaging, trading, and banking for heavy-duty engines.
              86.004-16
              Prohibition of defeat devices.
              86.004-21
              Application for certification.
              86.004-25
              Maintenance.
              86.004-26
              Mileage and service accumulation; emission measurements.
              86.004-28
              Compliance with emission standards.
              86.004-38
              Maintenance instructions.
              86.004-40
              Heavy-duty engine rebuilding practices.
              86.005-1
              General applicability.
              86.005-10
              Emission standards for 2005 and later model year Otto-cycle heavy-duty engines and vehicles.
              86.007-11
              Emission standards and supplemental requirements for 2007 and later model year diesel heavy-duty engines and vehicles.
              86.007-15
              NOX and particulate averaging, trading, and banking for heavy-duty engines.
              86.007-17
              On-board Diagnostics for engines used in applications less than or equal to 14,000 pounds GVWR.
              86.007-21
              Application for certification.
              86.007-23
              Required data.
              86.007-30
              Certification.
              86.008-10
              Emission standards for 2008 and later model year Otto-cycle heavy-duty engines and vehicles.
              86.010-2
              Definitions.
              86.010-18
              On-board Diagnostics for engines used in applications greater than 14,000 pounds GVWR.
              86.010-38
              Maintenance instructions.
              86.012-2
              Definitions.
              86.016-1
              General applicability.
              86.078-3
              Abbreviations.
              86.078-6
              Hearings on certification.
              86.079-31
              Separate certification.
              86.079-32
              Addition of a vehicle or engine after certification.
              86.079-33
              Changes to a vehicle or engine covered by certification.
              86.079-39
              Submission of maintenance instructions.
              86.080-12
              Alternative certification procedures.
              86.082-2
              Definitions.
              86.082-34
              Alternative procedure for notification of additions and changes.
              86.084-2
              Definitions.
              86.084-4
              Section numbering; construction.
              86.085-2
              Definitions.
              86.085-20
              Incomplete vehicles, classification.
              86.085-37
              Production vehicles and engines.
              86.088-2
              Definitions.
              86.090-2
              Definitions.
              86.090-3
              Abbreviations.

              86.090-5
              General standards; increase in emissions; unsafe conditions.
              86.090-27
              Special test procedures.
              86.091-2
              Definitions.
              86.091-7
              Maintenance of records; submittal of information; right of entry.
              86.091-29
              Testing by the Administrator.
              86.092-2
              Definitions.
              86.093-2
              Definitions.
              86.094-2
              Definitions.
              86.094-3
              Abbreviations.
              86.094-7
              Maintenance of records; submittal of information; right of entry.
              86.094-14
              Small-volume manufacturers certification procedures.
              86.094-21
              Application for certification.
              86.094-22
              Approval of application for certification; test fleet selections; determinations of parameters subject to adjustment for certification and Selective Enforcement Audit, adequacy of limits, and physically adjustable ranges.
              86.094-25
              Maintenance.
              86.095-35
              Labeling.
              86.096-2
              Definitions.
              86.096-3
              Abbreviations.
              86.096-24
              Test vehicles and engines.
              86.098-2
              Definitions.
              86.098-3
              Abbreviations.
              86.098-10
              Emission standards for 1998 and later model year Otto-cycle heavy-duty engines and vehicles.
              86.098-23
              Required data.
              86.099-10
              Emission standards for 1999 and later model year Otto-cycle heavy-duty engines and vehicles.
              86.099-11
              Emission standards for 1999 and later model year diesel heavy-duty engines and vehicles.

              Subpart B—Emission Regulations for 1977 and Later Model Year New Light-Duty Vehicles and New Light-Duty Trucks and New Otto-Cycle Complete Heavy-Duty Vehicles; Test Procedures
              86.101
              General applicability.
              86.102
              Definitions.
              86.103
              Abbreviations.
              86.104
              Section numbering; construction.
              86.105
              Introduction; structure of subpart.
              86.106-96
              Equipment required; overview.
              86.107-96
              Sampling and analytical systems; evaporative emissions.
              86.107-98
              Sampling and analytical system.
              86.108-00
              Dynamometer.
              86.109-94
              Exhaust gas sampling system; Otto-cycle vehicles not requiring particulate emission measurements.
              86.110-94
              Exhaust gas sampling system; diesel-cycle vehicles, and Otto-cycle vehicles requiring particulate emissions measurements.
              86.111-94
              Exhaust gas analytical system.
              86.112-91
              Weighing chamber (or room) and microgram balance specifications.
              86.113-04
              Fuel specifications.
              86.113-15
              Fuel specifications.
              86.113-94
              Fuel specifications.
              86.114-94
              Analytical gases.
              86.115-78
              EPA urban dynamometer driving schedule.
              86.116-94
              Calibrations, frequency and overview.
              86.117-96
              Evaporative emission enclosure calibrations.
              86.118-00
              Dynamometer calibrations.
              86.119-90
              CVS calibration.
              86.120-94
              Gas meter or flow instrumentation calibration; particulate, methanol and formaldehyde measurement.
              86.121-90
              Hydrocarbon analyzer calibration.
              86.122-78
              Carbon monoxide analyzer calibration.
              86.123-78
              Oxides of nitrogen analyzer calibration.
              86.124-78
              Carbon dioxide analyzer calibration.
              86.125-94
              Methane analyzer calibration.
              86.126-90
              Calibration of other equipment.
              86.127-00
              Test procedures; overview.
              86.127-12
              Test procedures; overview.
              86.128-79
              Transmissions.
              86.129-00
              Road load power, test weight, and inertia weight class determination.
              86.129-80
              Road load power, test weight, and inertia weight class determination.
              86.129-94
              Road load power, test weight, inertia weight class determination, and fuel temperature profile.
              86.130-96
              Test sequence; general requirements.
              86.131-96
              Vehicle preparation.
              86.132-00
              Vehicle preconditioning.
              86.133-96
              Diurnal emission test.
              86.134-96
              Running loss test.
              86.135-12
              Dynamometer procedure.
              86.135-90
              Dynamometer procedure.
              86.136-90
              Engine starting and restarting.
              86.137-94
              Dynamometer test run, gaseous and particulate emissions.
              86.138-96
              Hot soak test.
              86.139-90
              Particulate filter handling and weighing.
              86.140-94
              Exhaust sample analysis.
              86.142-90
              Records required.
              86.143-96
              Calculations; evaporative emissions.
              86.144-94
              Calculations; exhaust emissions.
              86.145-82
              Calculations; particulate emissions.
              86.146-96
              Fuel dispensing spitback procedure.
              86.150-98
              Refueling test procedure; overview.
              86.151-98
              General requirements; refueling test.
              86.152-98
              Vehicle preparation; refueling test.
              86.153-98
              Vehicle and canister preconditioning; refueling test.
              86.154-98
              Measurement procedure; refueling test.
              86.155-98
              Records required; refueling test.
              86.156-98
              Calculations; refueling test.

              86.157-98
              Refueling test procedures for liquefied petroleum gas-fueled vehicles.
              86.158-00
              Supplemental Federal Test Procedures; overview.
              86.158-08
              Supplemental Federal Test Procedures; overview.
              86.159-00
              Exhaust emission test procedures for US06 emissions.
              86.159-08
              Exhaust emission test procedures for US06 emissions.
              86.160-00
              Exhaust emission test procedure for SC03 emissions.
              86.161-00
              Air conditioning environmental test facility ambient requirements.
              86.162-03
              Approval of alternative air conditioning test simulations.
              86.163-00
              Spot check correlation procedures for vehicles tested using a simulation of the environmental test cell for air conditioning emission testing.
              86.164-00
              Supplemental Federal Test Procedure calculations.
              86.164-08
              Supplemental Federal Test Procedure calculations.
              86.165-12
              Air conditioning idle test procedure.
              86.166-12
              [Reserved]

              Subpart C—Emission Regulations for 1994 and Later Model Year Gasoline-Fueled New Light-Duty Vehicles, New Light-Duty Trucks and New Medium-Duty Passenger Vehicles; Cold Temperature Test Procedures
              86.201
              General applicability.
              86.213
              Fuel specifications.

              Subpart D [Reserved]

              Subpart E—Emission Regulations for 1978 and Later New Motorcycles, General Provisions
              86.401-97
              General applicability.
              86.401-2006
              General applicability.
              86.402-78
              Definitions.
              86.402-98
              Definitions.
              86.403-78
              Abbreviations.
              86.404-78
              Section numbering.
              86.405-78
              Measurement system.
              86.406-78
              Introduction, structure of subpart, further information.
              86.407-78
              Certificate of conformity required.
              86.408-78
              General standards; increase in emissions; unsafe conditions.
              86.409-78
              Defeat devices, prohibition.
              86.410-90
              Emission standards for 1990 and later model year motorcycles.
              86.410-2006
              Emission standards for 2006 and later model year motorcycles.
              86.411-78
              Maintenance instructions, vehicle purchaser.
              86.412-78
              Maintenance instructions, submission to Administrator.
              86.413-78
              Labeling.
              86.413-2006
              Labeling.
              86.414-78
              Submission of vehicle identification number.
              86.415-78
              Production vehicles.
              86.416-80
              Application for certification.
              86.417-78
              Approval of application for certification.
              86.418-78
              Test fleet selection.
              86.419-2006
              Engine displacement, motorcycle classes.
              86.420-78
              Engine families.
              86.421-78
              Test fleet.
              86.422-78
              Administrator's fleet.
              86.423-78
              Test vehicles.
              86.425-78
              Test procedures.
              86.426-78
              Service accumulation.
              86.427-78
              Emission tests.
              86.428-80
              Maintenance, scheduled; test vehicles.
              86.429-78
              Maintenance, unscheduled; test vehicles.
              86.430-78
              Vehicle failure.
              86.431-78
              Data submission.
              86.432-78
              Deterioration factor.
              86.434-78
              Testing by the Administrator.
              86.435-78
              Extrapolated emission values.
              86.436-78
              Additional service accumulation.
              86.437-78
              Certification.
              86.438-78
              Amendments to the application.
              86.439-78
              Alternative procedure for notification of additions and changes.
              86.440-78
              Maintenance of records.
              86.441-78
              Right of entry.
              86.442-78
              Denial, revocation, or suspension of certification.
              86.443-78
              Request for hearing.
              86.444-78
              Hearings on certification.
              86.445-2006
              What temporary provisions address hardship due to unusual circumstances?
              86.446-2006
              What are the provisions for extending compliance deadlines for small-volume manufacturers under hardship?
              86.447-2006
              What provisions apply to motorcycle engines below 50 cc that are certified under the Small SI program or the Recreational-vehicle program?
              86.448-2006
              What provisions apply to vehicles certified under the Recreational-vehicle program?
              86.449
              Averaging provisions.

              Subpart F—Emission Regulations for 1978 and Later New Motorcycles, Test Procedures
              86.501-78
              Applicability.
              86.502-78
              Definitions.
              86.503-78
              Abbreviations.
              86.504-78
              Section numbering.
              86.505-2004
              Introduction; structure of subpart.
              86.508-78
              Dynamometer.
              86.509-90
              Exhaust gas sampling system.
              86.511-90
              Exhaust gas analytical system.
              86.513
              Fuel and engine lubricant specifications.

              86.514-78
              Analytical gases.
              86.515-78
              EPA urban dynamometer driving schedule.
              86.516-90
              Calibrations, frequency and overview.
              86.518-78
              Dynamometer calibration.
              86.519-90
              Constant volume sampler calibration.
              86.521-90
              Hydrocarbon analyzer calibration.
              86.522-78
              Carbon monoxide analyzer calibration.
              86.523-78
              Oxides of nitrogen analyzer calibration.
              86.524-78
              Carbon dioxide analyzer calibration.
              86.526-90
              Calibration of other equipment.
              86.527-90
              Test procedures, overview.
              86.528-78
              Transmissions.
              86.529-98
              Road load force and inertia weight determination.
              86.530-78
              Test sequence, general requirements.
              86.531-78
              Vehicle preparation.
              86.532-78
              Vehicle preconditioning.
              86.535-90
              Dynamometer procedure.
              86.536-78
              Engine starting and restarting.
              86.537-90
              Dynamometer test runs.
              86.540-90
              Exhaust sample analysis.
              86.542-90
              Records required.
              86.544-90
              Calculations; exhaust emissions.
              86.545-86.599
              [Reserved]

              Subpart G—Selective Enforcement Auditing of New Light-Duty Vehicles, Light-Duty Trucks, and Heavy-Duty Vehicles
              86.601-1—86.601-83
              [Reserved]
              86.601-84
              Applicability.
              86.602-84
              Definitions.
              86.602-98
              Definitions.
              86.603-88
              Test orders.
              86.603-98
              Test orders.
              86.604-84
              Testing by the Administrator.
              86.605-88
              Maintenance of records; submittal of information.
              86.605-98
              Maintenance of records; submittal of information.
              86.606-84
              Entry and access.
              86.607-84
              Sample selection.
              86.608-98
              Test procedures.
              86.609-98
              Calculation and reporting of test results.
              86.610-98
              Compliance with acceptable quality level and passing and failing criteria for Selective Enforcement Audits.
              86.612-97
              Suspension and revocation of certificates of conformity.
              86.614-84
              Hearings on suspension, revocation, and voiding of certificates of conformity.
              86.615-84
              Treatment of confidential information.

              Subpart H [Reserved]

              Subpart I—Emission Regulations for New Diesel Heavy-Duty Engines; Smoke Exhaust Test Procedure
              86.884-1
              General applicability.
              86.884-2
              Definitions.
              86.884-3
              Abbreviations.
              86.884-4
              Section numbering.
              86.884-5
              Test procedures.
              86.884-6
              Fuel specifications.
              86.884-7
              Dynamometer operation cycle for smoke emission tests.
              86.884-8
              Dynamometer and engine equipment.
              86.884-9
              Smoke measurement system.
              86.884-10
              Information.
              86.884-11
              Instrument checks.
              86.884-12
              Test run.
              86.884-13
              Data analysis.
              86.884-14
              Calculations.

              Subpart J—Fees for the Motor Vehicle and Engine Compliance Program
              86.901
              Assessment of fees.

              Subpart K—Selective Enforcement Auditing of New Heavy-Duty Engines
              86.1001
              Applicability.

              Subpart L—Nonconformance Penalties for Gasoline-Fueled and Diesel Heavy-Duty Engines and Heavy-Duty Vehicles, Including Light-Duty Trucks
              86.1101-87
              Applicability.
              86.1102-87
              Definitions.
              86.1103-2016
              Criteria for availability of nonconformance penalties.
              86.1104-2016
              Determination of upper limits.
              86.1105-87
              Emission standards for which nonconformance penalties are available.
              86.1106-87
              Production compliance auditing.
              86.1107-87
              Testing by the Administrator.
              86.1108-87
              Maintenance of records.
              86.1109-87
              Entry and access.
              86.1110-87
              Sample selection.
              86.1111-87
              Test procedures for PCA testing.
              86.1112-87
              Determining the compliance level and reporting of test results.
              86.1113-87
              Calculation and payment of penalty.
              86.1114-87
              Suspension and voiding of certificates of conformity.
              86.1115-87
              Hearing procedures for nonconformance determinations and penalties.
              86.1116-87
              Treatment of confidential information.

              Subpart M [Reserved]

              Subpart N—Exhaust Test Procedures for Heavy-duty Engines
              86.1301
              Scope; applicability.
              86.1302-84
              Definitions.
              86.1303-84
              Abbreviations.
              86.1304
              Section numbering; construction.
              86.1305
              Introduction; structure of subpart.
              86.1333
              Transient test cycle generation.
              86.1360
              Supplemental emission test; test cycle and procedures.
              86.1362
              Steady-state testing with a ramped-modal cycle.
              86.1370
              Not-To-Exceed test procedures.
              86.1372
              Measuring smoke emissions within the NTE zone.

              Subpart O [Reserved]

              Subpart P—Emission Regulations for Otto-Cycle Heavy-Duty Engines, New Methanol-Fueled Natural Gas-Fueled, and Liquefied Petroleum Gas-Fueled Diesel-Cycle Heavy-Duty Engines, New Otto-Cycle Light-Duty Trucks, and New Methanol-Fueled Natural Gas-Fueled, and Liquefied Petroleum Gas-Fueled Diesel-Cycle Light-Duty Trucks; Idle Test Procedures
              86.1501
              Scope; applicability.
              86.1502
              Definitions.
              86.1503
              Abbreviations.
              86.1505
              Introduction; structure of subpart.
              86.1506
              Equipment required and specifications; overview.
              86.1509
              Exhaust gas sampling system.
              86.1511
              Exhaust gas analysis system.
              86.1513
              Fuel specifications.
              86.1514
              Analytical gases.
              86.1516
              Calibration; frequency and overview.
              86.1519
              CVS calibration.
              86.1522
              Carbon monoxide analyzer calibration.
              86.1524
              Carbon dioxide analyzer calibration.
              86.1526
              Calibration of other equipment.
              86.1527
              Idle test procedure; overview.
              86.1530
              Test sequence; general requirements.
              86.1537
              Idle test run.
              86.1540
              Idle exhaust sample analysis.
              86.1542
              Information required.
              86.1544
              Calculation; idle exhaust emissions.

              Subpart Q—Regulations for Altitude Performance Adjustments for New and In-Use Motor Vehicles and Engines
              86.1601
              General applicability.
              86.1602
              Definitions.
              86.1603
              General requirements.
              86.1604
              Conditions for disapproval.
              86.1605
              Information to be submitted.
              86.1606
              Labeling.

              Subpart R [Reserved]

              Subpart S—General Compliance Provisions for Control of Air Pollution From New and In-Use Light-Duty Vehicles, Light-Duty Trucks, and Heavy-Duty Vehicles
              86.1801-01
              Applicability.
              86.1801-12
              Applicability.
              86.1802-01
              Section numbering; construction.
              86.1803-01
              Definitions.
              86.1804-01
              Acronyms and abbreviations.
              86.1805-04
              Useful life.
              86.1805-12
              Useful life.
              86.1805-17
              Useful life.
              86.1806-05
              Onboard diagnostics.
              86.1806-17
              Onboard diagnostics.
              86.1807-01
              Vehicle labeling.
              86.1808-01
              Maintenance instructions.
              86.1809-01
              Prohibition of defeat devices.
              86.1809-10
              Prohibition of defeat devices.
              86.1809-12
              Prohibition of defeat devices.
              86.1810-01
              General standards; increase in emissions; unsafe conditions; waivers
              86.1810-09
              General standards; increase in emissions; unsafe condition; waivers.
              86.1810-17
              General requirements.
              86.1811-04
              Emission standards for light-duty vehicles, light-duty trucks and medium-duty passenger vehicles.
              86.1811-09
              Emission standards for light-duty vehicles, light-duty trucks and medium-duty passenger vehicles.
              86.1811-10
              Emission standards for light-duty vehicles, light-duty trucks and medium-duty passenger vehicles.
              86.1811-17
              Exhaust emission standards for light-duty vehicles, light-duty trucks and medium-duty passenger vehicles.
              86.1813-17
              Evaporative and refueling emission standards.
              86.1816-05
              Emission standards for complete heavy-duty vehicles.
              86.1816-08
              Emission standards for complete heavy-duty vehicles.
              86.1816-18
              Emission standards for heavy-duty vehicles.
              86.1817-05
              Complete heavy-duty vehicle averaging, trading, and banking program.
              86.1817-08
              Complete heavy-duty vehicle averaging, trading, and banking program.
              86.1818-12
              Greenhouse gas emission standards for light-duty vehicles, light-duty trucks, and medium-duty passenger vehicles.
              86.1819
              [Reserved]
              86.1819-14
              Greenhouse gas emission standards for heavy-duty vehicles.
              86.1820-01
              Durability group determination.
              86.1821-01
              Evaporative/refueling family determination.
              86.1822-01
              Durability data vehicle selection.
              86.1823-01

              Durability demonstration procedures for exhaust emissions.

              86.1823-08
              Durability demonstration procedures for exhaust emissions.
              86.1824-01
              Durability demonstration procedures for evaporative emissions.
              86.1824-07
              Durability demonstration procedures for evaporative emissions.
              86.1824-08
              Durability demonstration procedures for evaporative emissions.
              86.1825-01
              Durability demonstration procedures for refueling emissions.
              86.1825-08
              Durability demonstration procedures for refueling emissions.
              86.1826-01
              Assigned deterioration factors for small-volume manufacturers and small-volume test groups.
              86.1827-01
              Test group determination.
              86.1828-01
              Emission data vehicle selection.
              86.1829-01
              Durability and emission testing. requirements; waivers.
              86.1829-15
              Durability and emission testing requirements; waivers.
              86.1830-01
              Acceptance of vehicles for emission testing.
              86.1831-01
              Mileage accumulation requirements for test vehicles.
              86.1832-01
              Optional equipment and air conditioning for test vehicles.
              86.1833-01
              Adjustable parameters.
              86.1834-01
              Allowable maintenance.
              86.1835-01
              Confirmatory certification testing.
              86.1836-01
              Manufacturer-supplied production vehicles for testing.
              86.1837-01
              Rounding of emission measurements.
              86.1838-01
              Small-volume manufacturer certification procedures.
              86.1839-01
              Carryover of certification data.
              86.1840-01
              Special test procedures.
              86.1841-01
              Compliance with emission standards for the purpose of certification.
              86.1842-01
              Addition of a vehicle after certification; and changes to a vehicle covered by certification.
              86.1843-01
              General information requirements.
              86.1844-01
              Information requirements: Application for certification and submittal of information upon request.
              86.1845-04
              Manufacturer in-use verification testing requirements.
              86.1846-01
              Manufacturer in-use confirmatory testing requirements.
              86.1847-01
              Manufacturer in-use verification and in-use confirmatory testing; submittal of information and maintenance of records.
              86.1848-01
              Certification.
              86.1848-10
              Compliance with emission standards for the purpose of certification
              86.1849-01
              Right of entry.
              86.1850-01
              Denial, suspension or revocation of certificate of conformity.
              86.1851-01
              Application of good engineering judgment to manufacturers' decisions.
              86.1852-01
              Waivers for good in-use emission performance.
              86.1853-01
              Certification hearings.
              86.1854-12
              Prohibited acts.
              86.1855-86.1859
              [Reserved]
              86.1860-04

              How to comply with the Tier 2 and interim non-Tier 2 fleet average NOX standards.
              86.1860-17
              How to comply with the Tier 3 fleet-average standards.
              86.1861-04
              How do the Tier 2 and interim non-Tier 2 NOX averaging, banking and trading programs work?
              86.1861-17
              How do the NMOG + NOX and evaporative emission credit programs work?
              86.1862-04
              Maintenance of records and submittal of information relevant to compliance with fleet-average standards.
              86.1863-07
              Optional chassis certification for diesel vehicles.
              86.1864-10
              How to comply with the fleet average cold temperature NMHC standards.
              86.1865-12
              How to comply with the fleet average CO2 standards.
              86.1866-12
              CO2 credits for advanced technology vehicles.
              86.1867-12
              CO2 credits for reducing leakage of air conditioning refrigerant.
              86.1868-12
              CO2 credits for improving the efficiency of air conditioning systems.
              86.1869-12
              CO2 credits for off-cycle CO2-reducing technologies.
              86.1870-12
              CO2 credits for qualifying full-size light pickup trucks.
              86.1871-12
              Optional early CO2 credit programs.
              Appendix I to Subpart S of Part 86—Vehicle Procurement Methodology
              Appendix II to Subpart S of Part 86—As-Received Testing Vehicle Rejection Criteria
              Appendix III to Subpart S of Part 86—As-Received Inspection

              Subpart T—Manufacturer-Run In-Use Testing Program for Heavy-Duty Diesel Engines
              86.1901
              What testing requirements apply to my engines that have gone into service?
              86.1905
              How does this program work?
              86.1908
              How must I select and screen my in-use engines?
              86.1910
              How must I prepare and test my in-use engines?
              86.1912
              How do I determine whether an engine meets the vehicle-pass criteria?
              86.1915
              What are the requirements for Phase 1 and Phase 2 testing?
              86.1917
              How does in-use testing under this subpart relate to the emission-related warranty in Section 207(a)(1) of the Clean Air Act?
              86.1920
              What in-use testing information must I report to EPA?
              86.1925
              What records must I keep?
              86.1930

              What special provisions apply from 2005 through 2010?

              Appendix I to Subpart T of Part 86—Sample Graphical Summary of NTE Emission Results
              86.1931-86.1999
              -Reserved]
              Appendix I to Part 86—Dynamometer Schedules
              Appendix II to Part 86—Temperature Schedules
              Appendix III to Part 86—Constant Volume Sampler Flow Calibration
              Appendix IV to Part 86—Durability Driving Schedules
              Appendix V to Part 86—The Standard Road Cycle (SRC)
              Appendix VI to Part 86—Vehicle and Engine Components
              Appendix VII to Part 86—Standard Bench Cycle (SBC)
              Appendix VIII to Part 86—Aging Bench Equipment and Procedures
              Appendix IX to Part 86—Experimentally Determining the R-Factor for Bench Aging Durability Procedures
              Appendix X to Part 86—Sampling Plans for Selective Enforcement Auditing of Heavy-Duty Engines and Light-Duty Trucks
              Appendix XI to Part 86—Sampling Plans for Selective Enforcement Auditing of Light-Duty Vehicles
              Appendix XII to Part 86—Tables for Production Compliance Auditing of Heavy-Duty Engines and Heavy-Duty Vehicles, Including Light-Duty Trucks

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

            Editorial Note:
            Nomenclature changes to part 86 appear at 60 FR 34377, June 30, 1995 and 69 FR 18803, Apr. 9, 2004.

            § 86.1
            Incorporation by reference.

            (a) Certain material is incorporated by reference into this part with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that specified in this section, a document must be published in the Federal Register and the material must be available to the public. All approved material is available for inspection at U.S. EPA, Air and Radiation Docket and Information Center, 1301 Constitution Ave., NW., Room B102, EPA West Building, Washington, DC 20460, (202) 202-1744, and is available from the sources listed below. It is also 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.

            (b) ASTM International material. The following standards are available from ASTM International, 100 Barr Harbor Drive, P.O. Box C700, West Conshohocken, PA, 19428-2959, (610) 832-9585, or http://www.astm.org/:

            (1) ASTM C1549-09, Standard Test Method for Determination of Solar Reflectance Near Ambient Temperature Using a Portable Solar Reflectometer, approved August 1, 2009 (“ASTM C1549”), IBR approved for § 86.1869-12(b).
            (2) ASTM D86-12, Standard Test Method for Distillation of Petroleum Products at Atmospheric Pressure, approved December 1, 2012 (“ASTM D86”), IBR approved for §§ 86.113-04(a), 86.113-94(b), 86.213(a), and 86.513(a).
            (3) ASTM D93-13, Standard Test Methods for Flash Point by Pensky-Martens Closed Cup Tester, approved July 15, 2013 (“ASTM D93”), IBR approved for § 86.113-94(b).
            (4) ASTM D445-12, Standard Test Method for Kinematic Viscosity of Transparent and Opaque Liquids (and Calculation of Dynamic Viscosity), approved April 15, 2012 (“ASTM D445”), IBR approved for § 86.113-94(b).
            (5) ASTM D613-13, Standard Test Method for Cetane Number of Diesel Fuel Oil, approved December 1, 2013 (“ASTM D613”), IBR approved for § 86.113-94(b).
            (6) ASTM D975-13a, Standard Specification for Diesel Fuel Oils, approved December 1, 2013 (“ASTM D975”), IBR approved for § 86.1910(c).
            (7) ASTM D976-06 (Reapproved 2011), Standard Test Method for Calculated Cetane Index of Distillate Fuels, approved October 1, 2011 (“ASTM D976”), IBR approved for § 86.113-94(b).
            (8) ASTM D1319-13, Standard Test Method for Hydrocarbon Types in Liquid Petroleum Products by Fluorescent Indicator Adsorption, approved May 1, 2013 (“ASTM D1319”), IBR approved for §§ 86.113-04(a), 86.213(a), and 86.513(a).

            (9) ASTM D1945-03 (reapproved 2010), Standard Test Method for Analysis of Natural Gas by Gas Chromatography, approved January 1, 2010 (“ASTM D1945”), IBR approved for §§ 86.113-94(e) and 86.513(d).

            (10) ASTM D2163-07, Standard Test Method for Determination of Hydrocarbons in Liquefied Petroleum (LP) Gases and Propane/Propene Mixtures by Gas Chromatography, approved December 1, 2007 (“ASTM D2163”), IBR approved for §§ 86.113-94(f).
            (11) ASTM D2622-10, Standard Test Method for Sulfur in Petroleum Products by Wavelength Dispersive X-ray Fluorescence Spectrometry, approved February 15, 2010 (“ASTM D2622”), IBR approved for §§ 86.113-04(a), 86.113-94(b), 86.213(a), and 86.513(a).
            (12) ASTM D2699-13b, Standard Test Method for Research Octane Number of Spark-Ignition Engine Fuel, approved October 1, 2013 (“ASTM D2699”), IBR approved for §§ 86.113-04(a) and 86.213(a).
            (13) ASTM D2700-13b, Standard Test Method for Motor Octane Number of Spark-Ignition Engine Fuel, approved October 1, 2013 (“ASTM D2700”), IBR approved for §§ 86.113-04(a) and 86.213(a).
            (14) ASTM D3231-13, Standard Test Method for Phosphorus in Gasoline, approved June 15, 2013 (“ASTM D3231”), IBR approved for §§ 86.113-04(a), 86.213(a), and 86.513(a).
            (15) ASTM D3237-12, Standard Test Method for Lead in Gasoline by Atomic Absorption Spectroscopy, approved June 1, 2012 (“ASTM D3237”), IBR approved for §§ 86.113-04(a), 86.213(a), and 86.513(a).
            (16) ASTM D4052-11, Standard Test Method for Density, Relative Density, and API Gravity of Liquids by Digital Density Meter, approved October 15, 2011 (“ASTM D4052”), IBR approved for § 86.113-94(b).
            (17) ASTM D5186-03 (Reapproved 2009), Standard Test Method for Determination of the Aromatic Content and Polynuclear Aromatic Content of Diesel Fuels and Aviation Turbine Fuels by Supercritical Fluid Chromatography, approved April 15, 2009 (“ASTM D5186”), IBR approved for § 86.113-94(b).
            (18) ASTM D5191-13, Standard Test Method for Vapor Pressure of Petroleum Products (Mini Method), approved December 1, 2013 (“ASTM D5191”), IBR approved for §§ 86.113-04(a), 86.213(a), and 86.513(a).
            (19) ASTM E29-93a, Standard Practice for Using Significant Digits in Test Data to Determine Conformance with Specifications, approved March 15, 1993 (“ASTM E29”), IBR approved for §§ 86.004-15(c), 86.007-11(a), 86.007-15(m), 86.1803-01, 86.1823-01(a), 86.1824-01(c), 86.1825-01(c).
            (20) ASTM E903-96, Standard Test Method for Solar Absorptance, Reflectance, and Transmittance of Materials Using Integrating Spheres, approved April 10, 1996 (“ASTM E903”), IBR approved for § 86.1869-12(b).
            (21) ASTM E1918-06, Standard Test Method for Measuring Solar Reflectance of Horizontal and Low-Sloped Surfaces in the Field, approved August 15, 2006 (“ASTM E1918”), IBR approved for § 86.1869-12(b).
            (c) ANSI material. The following standards are available from American National Standards Institute, 25 W 43rd Street, 4th Floor, New York, NY 10036, (212) 642-4900, or http://www.ansi.org:

            (1) ANSI NGV1-2006, Standard for Compressed Natural Gas Vehicle (NGV) Fueling Connection Devices, 2nd edition, reaffirmed and consolidated March 2, 2006, IBR approved for § 86.1813-17(f).
            (2) CSA IR-1-15, Compressed Natural Gas Vehicle (NGV) High Flow Fueling Connection Devices—Supplement to NGV 1-2006, ANSI approved August 26, 2015, IBR approved for § 86.1813-17(f),
            (d) California Air Resources Board. The following documents are available from the California Air Resources Board, 1001 I Street, Sacramento, CA 95812, (916) 322-2884, or http://www.arb.ca.gov:
            (1) California Requirements Applicable to the LEV III Program, including the following documents:
            (i) LEV III exhaust emission standards are in Title 13 Motor Vehicles, Division 3 Air Resources Board, Chapter 1 Motor Vehicle Pollution Control Devices, Article 2 Approval of Motor Vehicle Pollution Control Devices (New Vehicles), § 1961.2 Exhaust Emission Standards and Test Procedures—2015 and Subsequent Model Passenger Cars, Light-Duty Trucks, and Medium-Duty Vehicles, effective as of December 31, 2012, IBR approved for § 86.1803-01.

            (ii) LEV III evaporative emission standards for model year 2015 and later vehicles are in Title 13 Motor Vehicles, Division 3 Air Resources Board, Chapter 1 Motor Vehicle Pollution Control Devices, Article 2 Approval of Motor Vehicle Pollution Control Devices (New Vehicles) § 1976 Standards and Test Procedures for Motor Vehicle Fuel Evaporative Emissions, effective as of December 31, 2012, IBR approved for § 86.1803-01.
            (2) California Regulatory Requirements Applicable to the National Low Emission Vehicle Program, October 1996, IBR approved for § 86.113-04(a).
            (3) California Regulatory Requirements known as Onboard Diagnostics II (OBD-II), Approved on April 21, 2003, Title 13, California Code of 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(j).
            (4) California Regulatory Requirements known as Onboard Diagnostics II (OBD-II), Approved on November 9, 2007, Title 13, California Code of 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(j).
            (5) California Regulatory Requirements known as Onboard Diagnostics II (OBD-II), Title 13, Motor Vehicles, Division 3, Air Resources Board, Chapter 1, Motor Vehicle Pollution Control Devices, Article 2, Approval of Motor Vehicle Pollution Control Devices (New Vehicles), § 1968.2 Malfunction and Diagnostic System Requirements—2004 and Subsequent Model-Year Passenger Cars, Light-Duty Trucks, and Medium-Duty Vehicles and Engines, effective as of July 31, 2013, IBR approved for § 86.1806-17(a).
            (e) ISO material. The following standards are available from International Organization for Standardization, Case Postale 56, CH-1211 Geneva 20, Switzerland, 41-22-749-01-11, or http://www.iso.org:

            (1) ISO 13837:2008(E), Road Vehicles—Safety glazing materials—Method for the determination of solar transmittance, First edition, April 15, 2008, IBR approved for § 86.1869-12(b).
            (2) ISO 15765-4:2005(E), Road Vehicles—Diagnostics on Controller Area Networks (CAN)—Part 4: Requirements for emissions-related systems, January 15, 2005, IBR approved for §§ 86.010-18(k) and 86.1806-05(h).
            (f) NIST material. The following documents are available from National Institute of Standards and Technology, 100 Bureau Drive, Gaithersburg, MD 20899, or http://www.nist.gov:

            (1) NIST Special Publication 811, 2008 Edition, Guide for the Use of the International System of Units (SI), March 2008, IBR approved for § 86.1901(d).
            (2) [Reserved]
            (g) SAE International material. The following standards are available from SAE International, 400 Commonwealth Dr., Warrendale, PA 15096-0001, (877) 606-7323 (U.S. and Canada) or (724) 776-4970 (outside the U.S. and Canada), or http://www.sae.org:

            (1) SAE J1151, Methane Measurement Using Gas Chromatography, stabilized September 2011, IBR approved for § 86.111-94(b).
            (2) SAE J1349, Engine Power Test Code—Spark Ignition and Compression Ignition—As Installed Net Power Rating, revised September 2011, IBR approved for § 86.1803-01.
            (3) SAE J1850, Class B Data Communication Network Interface, Revised May 2001, IBR approved for § 86.1806-05(h).
            (4) SAE J1877, Recommended Practice for Bar-Coded Vehicle Identification Number Label, July 1994, IBR approved for § 86.1807-01(f).
            (5) [Reserved]
            (6) SAE J1930, Electrical/Electronic Systems Diagnostic Terms, Definitions, Abbreviations, and Acronyms, Revised May 1998, IBR approved for §§ 86.1808-01(f), 86.1808-07(f).
            (7) SAE J1930, Electrical/Electronic Systems Diagnostic Terms, Definitions, Abbreviations, and Acronyms—Equivalent to ISO/TR 15031-2: April 30, 2002, Revised April 2002, IBR approved for §§ 86.010-18(k) and 86.1806-05(h).
            (8) SAE J1939, Recommended Practice for a Serial Control and Communications Vehicle Network, Revised October 2007, IBR approved for § 86.010-18(k).

            (9) SAE J1939-11, Physical Layer—250K bits/s, Shielded Twisted Pair, Revised October 1999, IBR approved for § 86.1806-05(h).

            (10) SAE J1939-13, Off-Board Diagnostic Connector, July 1999, IBR approved for § 86.1806-05(h).
            (11) SAE J1939-13, Off-Board Diagnostic Connector, Revised March 2004, IBR approved for § 86.010-18(k).
            (12) SAE J1939-21, Data Link Layer, Revised April 2001, IBR approved for § 86.1806-05(h).
            (13) SAE J1939-31, Network Layer, Revised December 1997, IBR approved for § 86.1806-05(h).
            (14) SAE J1939-71, Vehicle Application Layer (Through February 2007), Revised January 2008, IBR approved for §§ 86.010-38(j) and 86.1806-05(h).
            (15) SAE J1939-73, Application Layer—Diagnostics, Revised September 2006, IBR approved for §§ 86.010-18(k), 86.010-38(j), and 86.1806-05(h).
            (16) SAE J1939-81, Network Management, Revised May 2003, IBR approved for §§ 86.010-38(j) and 86.1806-05(h).
            (17) SAE J1962, Diagnostic Connector Equivalent to ISO/DIS 15031-3; December 14, 2001, Revised April 2002, IBR approved for §§ 86.010-18(k) and 86.1806-05(h).
            (18) SAE J1978, OBD II Scan Tool—Equivalent to ISO/DIS 15031-4; December 14, 2001, Revised April 2002, IBR approved for §§ 86.010-18(k) and 86.1806-05(h).
            (19) SAE J1979, E/E Diagnostic Test Modes, Revised September 1997, IBR approved for §§ 86.1808-01(f) and 86.1808-07(f).
            (20) SAE J1979, (R) E/E Diagnostic Test Modes, Revised May 2007, IBR approved for §§ 86.010-18(k) and 86.1806-05(h).
            (21) SAE J2012, (R) Diagnostic Trouble Code Definitions Equivalent to ISO/DIS 15031-6: April 30, 2002, Revised April 2002, IBR approved for §§ 86.010-18(k) and 86.1806-05(h).
            (22) SAE J2064 FEB2011, R134a Refrigerant Automotive Air-Conditioned Hose, Revised February 2011, IBR approved for § 86.1867-12(a) and (b).
            (23) SAE J2284-3, High Speed CAN (HSC) for Vehicle Applications at 500 KBPS, May 2001, IBR approved for §§ 86.1808-01(f) and 86.1808-07(f).
            (24) SAE J2403, Medium/Heavy-Duty E/E Systems Diagnosis Nomenclature—Truck and Bus, Revised August 2007, IBR approved for §§ 86.010-18(k), 86.010-38(j), and 86.1806-05(h).
            (25) SAE J2534, Recommended Practice for Pass-Thru Vehicle Programming, February 2002, IBR approved for §§ 86.1808-01(f) and 86.1808-07(f).
            (26) SAE J2727 FEB2012, Mobile Air Conditioning System Refrigerant Emission Charts for R-134a and R-1234yf, Revised February 2012, IBR approved for § 86.1867-12(a) and (b).
            (27) SAE J2765 OCT2008, Procedure for Measuring System COP [Coefficient of Performance] of a Mobile Air Conditioning System on a Test Bench, issued October 2008, IBR approved for § 86.1868-12(h).
            (h) Truck and Maintenance Council material. The following documents are available from the Truck and Maintenance Council, 950 North Glebe Road, Suite 210, Arlington, VA 22203-4181, or (703) 838-1754:
            (1) TMC RP 1210B, Revised June 2007, WINDOWSTMCOMMUNICATION API, IBR approved for § 86.010-38(j).
            (2) [Reserved]
            [79 FR 23685, Apr. 28, 2014, as amended at 80 FR 9100, Feb. 19, 2015; 81 FR 73973, Oct. 25, 2016]

            Subpart A—General Provisions for Heavy-Duty Engines and Heavy-Duty Vehicles

              Source:
              42 FR 32907, June 28, 1977, unless otherwise noted.

              § 86.000-2
              Definitions.
              The definitions of § 86.098-2 continue to apply to 1998 and later model year vehicles. The definitions listed in this section apply beginning with the 2000 model year.

                AC1 means a test procedure as described in § 86.162-00 which simulates testing with air conditioning operating in an environmental test cell by adding the air conditioning compressor load to the normal dynamometer forces.

                AC2 means a test procedure as described in § 86.162-00 which simulates testing with air conditioning operating in an environmental test cell by adding a heat load to the passenger compartment.

                Alternative fuels means any fuel other than gasoline and diesel fuels, such as methanol, ethanol, and gaseous fuels.

                866 Cycle means the test cycle that consists of the last 866 seconds (seconds 505 to 1372) of the EPA Urban Dynamometer Driving Schedule, described in § 86.115-00 and listed in appendix I, paragraph (a), of this part.

                Environmental test cell means a test cell capable of wind-speed, solar thermal load, ambient temperature, and humidity control or simulation which meets the requirements of § 86.161-00 for running emission tests with the air conditioning operating.

                Federal Test Procedure, or FTP means the test procedure as described in § 86.130-00 (a) through (d) and (f) which is designed to measure urban driving tail pipe exhaust emissions and evaporative emissions over the Urban Dynamometer Driving Schedule as described in appendix I to this part.

                505 Cycle means the test cycle that consists of the first 505 seconds (seconds 1 to 505) of the EPA Urban Dynamometer Driving Schedule, described in § 86.115-00 and listed in appendix I, paragraph (a), of this part.

                SC03 means the test cycle, described in § 86.160-00 and listed in appendix I, paragraph (h), of this part, which is designed to represent driving immediately following startup.

                Supplemental FTP, or SFTP means the additional test procedures designed to measure emissions during aggressive and microtransient driving, as described in § 86.159-00 over the US06 cycle, and also the test procedure designed to measure urban driving emissions while the vehicle's air conditioning system is operating, as described in § 86.160-00 over the SC03 cycle.

                US06 means the test cycle, described in § 86.159-00 and listed in appendix I, paragraph (g), of this part, which is designed to evaluate emissions during aggressive and microtransient driving.
              [61 FR 54878, Oct. 22, 1996]

              § 86.000-3
              Abbreviations.

              The abbreviations in § 86.098-3 continue to apply to 1998 and later model year vehicles. The abbreviations in this section apply beginning with the 2000 model year:

                A/C—Air conditioning
                FTP—Federal Test Procedure
                SFTP—Supplemental Federal Test Procedure
                WOT—Wide Open Throttle

              [61 FR 54878, Oct. 22, 1996]

              § 86.000-7
              Maintenance of records; submittal of information; right of entry.
              Section 86.000-7 includes text that specifies requirements that differ from § 86.091-7 or § 86.094-7. Where a paragraph in § 86.091-7 or § 86.094-7 is identical and applicable to § 86.000-7, this may be indicated by specifying the corresponding paragraph and the statement “[Reserved]. For guidance see § 86.091-7.” or “[Reserved]. For guidance see § 86.094-7.”
              (a) introductory text through (a)(2) [Reserved]. For guidance see § 86.091-7.
              (a)(3) [Reserved]. For guidance see § 86.094-7.
              (b)-(c)(2) [Reserved]. For guidance see § 86.091-7.
              (c)(3) [Reserved]. For guidance see § 86.094-7.
              (c)(4)-(d)(1)(v) [Reserved]. For guidance see § 86.091-7.
              (d)(1)(vi)-(d)(2)(iv) [Reserved]. For guidance see § 86.094-7.
              (d)(3)-(g) [Reserved]. For guidance see § 86.091-7.
              (h)(1) [Reserved]
              (h)(2)-(h)(5) [Reserved]. For guidance see § 86.094-7.
              (6) EPA may void ab initio a certificate for a vehicle certified to Tier 1 certification standards or to the respective evaporative and/or refueling test procedure and accompanying evaporative and/or refueling standards as set forth or otherwise referenced in § 86.098-10 for which the manufacturer fails to retain the records required in this section or to provide such information to the Administrator upon request.
              [61 FR 54878, Oct. 22, 1996, as amended at 79 FR 23687, Apr. 28, 2014]

              § 86.000-24
              Test vehicles and engines.
              (a) [Reserved.
              (b) introductory text [Reserved]

              (b)(1)(i) Vehicles are chosen to be operated and tested for emission data based upon engine family groupings. Within each engine family, one test vehicle is selected. If air conditioning is projected to be available on any vehicles within the engine family, the Administrator will limit selections to engine codes which have air conditioning available and will require that any vehicle selected under this section has air conditioning installed and operational. The Administrator selects as the test vehicle the vehicle with the heaviest equivalent test weight (including options) within the family which meets the air conditioning eligibility requirement discussed earlier in this section. If more than one vehicle meets this criterion, then within that vehicle grouping, the Administrator selects, in the order listed, the highest road-load power, largest displacement, the transmission with the highest numerical final gear ratio (including overdrive), the highest numerical axle ratio offered in that engine family, and the maximum fuel flow calibration.
              (ii) The Administrator selects one additional test vehicle from within each engine family. The additional vehicle selected is the vehicle expected to exhibit the highest emissions of those vehicles remaining in the engine family. The selected vehicle will include an air conditioning engine code unless the Administrator chooses a worst vehicle configuration that is not available with air conditioning. If all vehicles within the engine family are similar, the Administrator may waive the requirements of this paragraph.
              (b)(1)(iii)-(b)(1)(vi) [Reserved]
              (c)-(f) [Reserved]
              (g)(1)-(2) [Reserved]
              (g)(3) Except for air conditioning, where it is expected that 33 percent or less of a carline, within an engine-system combination, will be equipped with an item (whether that item is standard equipment or an option) that can reasonably be expected to influence emissions, that item may not be installed on any emission data vehicle or durability data vehicle of that carline within that engine-system combination, unless that item is standard equipment on that vehicle or specifically required by the Administrator.
              (4) Air conditioning must be installed and operational on any emission data vehicle of any vehicle configuration that is projected to be available with air conditioning regardless of the rate of installation of air conditioning within the carline. Section 86.096-24(g) (1) and (2) and paragraph (g)(3) of this section will be used to determine whether the weight of the air conditioner will be included in equivalent test weight calculations for emission testing.
              [61 FR 54882, Oct. 22, 1996, as amended at 79 FR 23687, Apr. 28, 2014]

              § 86.001-2
              Definitions.
              The definitions of § 86.000-2 continue to apply to 2000 and later model year vehicles. The definitions listed in this section apply beginning with the 2001 model year.

                Useful life means:
              (1) For light-duty vehicles, and for light light-duty trucks not subject to the Tier 0 standards of § 86.094-9(a), intermediate useful life and/or full useful life. Intermediate useful life is a period of use of 5 years or 50,000 miles, whichever occurs first. Full useful life is a period of use of 10 years or 100,000 miles, whichever occurs first, except as otherwise noted in § 86.094-9. The useful life of evaporative and/or refueling emission control systems on the portion of these vehicles subject to the evaporative emission test requirements of § 86.130-96, and/or the refueling emission test requirements of § 86.151-2001, is defined as a period of use of 10 years or 100,000 miles, whichever occurs first.
              (2) For light light-duty trucks subject to the Tier 0 standards of § 86.094-9(a), and for heavy light-duty truck engine families, intermediate and/or full useful life. Intermediate useful life is a period of use of 5 years or 50,000 miles, whichever occurs first. Full useful life is a period of use of 11 years or 120,000 miles, whichever occurs first. The useful life of evaporative emission and/or refueling control systems on the portion of these vehicles subject to the evaporative emission test requirements of § 86.130-96, and/or the refueling emission test requirements of § 86.151-2001, is also defined as a period of 11 years or 120,000 miles, whichever occurs first.
              (3) For an Otto-cycle heavy-duty engine family:

              (i) For hydrocarbon and carbon monoxide standards, a period of use of 8 years or 110,000 miles, whichever first occurs.

              (ii) For the oxides of nitrogen standard, a period of use of 10 years or 110,000 miles, whichever first occurs.
              (iii) For the portion of evaporative emission control systems subject to the evaporative emission test requirements of § 86.1230-96, a period of use of 10 years or 110,000 miles, whichever occurs first.
              (4) For a diesel heavy-duty engine family:
              (i) For light heavy-duty diesel engines, for hydrocarbon, carbon monoxide, and particulate standards, a period of use of 8 years or 110,000 miles, whichever first occurs.
              (ii) For light heavy-duty diesel engines, for the oxides of nitrogen standard, a period of use of 10 years or 110,000 miles, whichever first occurs.
              (iii) For medium heavy-duty diesel engines, for hydrocarbon, carbon monoxide, and particulate standards, a period of use of 8 years or 185,000 miles, whichever first occurs.
              (iv) For medium heavy-duty diesel engines, for the oxides of nitrogen standard, a period of use of 10 years or 185,000 miles, whichever first occurs.
              (v) For heavy heavy-duty diesel engines, for hydrocarbon, carbon monoxide, and particulate standards, a period of use of 8 years or 290,000 miles, whichever first occurs, except as provided in paragraph (4)(vii) of this definition.
              (vi) For heavy heavy-duty diesel engines, for the oxides of nitrogen standard, a period of use of 10 years or 290,000 miles, whichever first occurs.
              (vii) For heavy heavy-duty diesel engines used in urban buses, for the particulate standard, a period of use of 10 years or 290,000 miles, whichever first occurs.
              [59 FR 16281, Apr. 6, 1994, as amended at 61 FR 54886, Oct. 22, 1996]

              § 86.001-21
              Application for certification.
              Section 86.001-21 includes text that specifies requirements that differ from § 86.094-21 or § 86.096-21. Where a paragraph in § 86.094-21 or § 86.096-21 is identical and applicable to § 86.001-21, this may be indicated by specifying the corresponding paragraph and the statement “[Reserved]. For guidance see § 86.094-21.” or “[Reserved]. For guidance see § 86.096-21.”
              (a)-(b)(1)(i)(B) [Reserved]. For guidance see § 86.094-21.
              (b)(1)(i)(C) The manufacturer must submit a Statement of Compliance in the application for certification which attests to the fact that they have assured themselves that the engine family is designed to comply with the intermediate temperature cold testing criteria of subpart C of this part, and does not unnecessarily reduce emission control effectiveness of vehicles operating at high altitude or other conditions not experienced within the US06 (aggressive driving) and SC03 (air conditioning) test cycles.
              (b)(1)(i)(C)(1)-(b)(1)(ii)(C) [Reserved]. For guidance see § 86.094-21.
              (b)(2) Projected U.S. sales data sufficient to enable the Administrator to select a test fleet representative of the vehicles (or engines) for which certification is requested, and data sufficient to determine projected compliance with the standards implementation schedules of § 86.000-8 and 86.000-9. Volume projected to be produced for U.S. sale may be used in lieu of projected U.S. sales.
              (b)(3) A description of the test equipment and fuel proposed to be used.
              (b)(4)(i) For light-duty vehicles and light-duty trucks, a description of the test procedures to be used to establish the evaporative emission and/or refueling emission deterioration factors, as appropriate, required to be determined and supplied in § 86.001-23(b)(2).
              (b)(4)(ii)-(b)(5)(iv) [Reserved]. For guidance see § 86.094-21.
              (b)(5)(v) For light-duty vehicles and applicable light-duty trucks with non-integrated refueling emission control systems, the number of continuous UDDS cycles, determined from the fuel economy on the UDDS applicable to the test vehicle of that evaporative/refueling emission family-emission control system combination, required to use a volume of fuel equal to 85% of fuel tank volume.
              (b)(6)-(b)(8) [Reserved]. For guidance see § 86.094-21.

              (b)(9) For each light-duty vehicle, light-duty truck, evaporative/refueling emission family or heavy-duty vehicle evaporative emission family, a description of any unique procedures required to perform evaporative and/or refueling emission tests, as applicable, (including canister working capacity, canister bed volume, and fuel temperature profile for the running loss test) for all vehicles in that evaporative and/or evaporative/refueling emission family, and a description of the method used to develop those unique procedures.
              (10) For each light-duty vehicle or applicable light-duty truck evaporative/refueling emission family, or each heavy-duty vehicle evaporative emission family:
              (i) Canister working capacity, according to the procedures specified in § 86.132-96(h)(1)(iv);
              (ii) Canister bed volume; and
              (iii) Fuel temperature profile for the running loss test, according to the procedures specified in § 86.129-94(d).
              (c)-(j) [Reserved]. For guidance see § 86.094-21.
              (k) and (l) [Reserved]. For guidance see § 86.096-21.
              [61 FR 54886, Oct. 22, 1996]

              § 86.001-23
              Required data.
              Section 86.001-23 includes text that specifies requirements that differ from § 86.098-23. Where a paragraph in § 86.098-23 is identical and applicable to § 86.001-23, this may be indicated by specifying the corresponding paragraph and the statement “[Reserved]. For guidance see § 86.098-23.”
              (a)-(b)(1) [Reserved]. For guidance see § 86.098-23.
              (b)(2) For light-duty vehicles and light-duty trucks, the manufacturer shall submit evaporative emission and/or refueling emission deterioration factors for each evaporative/refueling emission family-emission control system combination and all test data that are derived from testing described under § 86.001-21(b)(4)(i) designed and conducted in accordance with good engineering practice to assure that the vehicles covered by a certificate issued under § 86.001-30 will meet the evaporative and/or refueling emission standards in § 86.099-8 or § 86.001-9, as appropriate, for the useful life of the vehicle.
              (b)(3) and (b)(4) [Reserved]. For guidance see § 86.098-23.
              (c) Emission data (1) [Reserved]
              (c)(2)-(e)(1) [Reserved]. For guidance see § 86.098-23.
              (e)(2) For evaporative and refueling emissions durability, or light-duty truck or HDE exhaust emissions durability, a statement of compliance with paragraph (b)(2) of this section or § 86.098-23 (b)(1)(ii), (b)(3), or (b)(4) as applicable.
              (3) For certification of vehicles with non-integrated refueling systems, a statement that the drivedown used to purge the refueling canister was the same as described in the manufacturer's application for certification. Furthermore, a description of the procedures used to determine the number of equivalent UDDS miles required to purge the refueling canisters, as determined by the provisions of § 86.001-21(b)(5)(v) and subpart B of this part. Furthermore, a written statement to the Administrator that all data, analyses, test procedures, evaluations and other documents, on which the above statement is based, are available to the Administrator upon request.
              (f)-(g) [Reserved]
              (h)-(m) [Reserved]. For guidance see § 86.098-23.
              [61 FR 54887, Oct. 22, 1996, as amended at 62 FR 54720, Oct. 21, 1997; 79 FR 23687, Apr. 28, 2014]

              § 86.001-24
              Test vehicles and engines.
              Section 86.001-24 includes text that specifies requirements that differ from § 86.096-24, § 86.098-24 or § 86.000-24. Where a paragraph in § 86.096-24, § 86.098-24 or § 86.000-9 is identical and applicable to § 86.001-24, this may be indicated by specifying the corresponding paragraph and the statement “[Reserved]. For guidance see § 86.096-24.” or “[Reserved]. For guidance see § 86.098-24.” or “[Reserved]. For guidance see § 86.000-24.”
              (a)-(a)(4) [Reserved]. For guidance see § 86.096-24.
              (a)(5)-(a)(7) [Reserved]. For guidance see § 86.098-24.
              (a)(8)-(b)(1) introductory text [Reserved]. For guidance see § 86.096-24.
              (b)(1)(i)-(b)(1)(ii) [Reserved]. For guidance see § 86.000-24.
              (b)(1)(iii)-(b)(1)(vi) [Reserved]. For guidance see § 86.096-24.

              (b)(1)(vii)(A)-(b)(1)(viii)(A) [Reserved]. For guidance see § 86.098-24.

              (b)(1)(viii)(B)-(e)(2) [Reserved]. For guidance see § 86.096-24.
              (f) Carryover and carryacross of durability and emission data. In lieu of testing an emission-data or durability vehicle (or engine) selected under § 86.096-24(b)(1) introductory text, (b)(1)(iii)-(b)(1)(vi) and § 86.000-24(b)(1)(i)-(b)(1)(ii) and § 86.098-24(b)(1)(vii)(A)-(b)(1)(viii)(A) or § 86.096-24(c), and submitting data therefor, a manufacturer may, with the prior written approval of the Administrator, submit exhaust emission data, evaporative emission data and/or refueling emission data, as applicable, on a similar vehicle (or engine) for which certification has been obtained or for which all applicable data required under § 86.001-23 has previously been submitted.
              (g)(1)-(g)(2) [Reserved]. For guidance see § 86.096-24.
              (g)(3)-(g)(4) [Reserved]. For guidance see § 86-000-24.
              (h) [Reserved]. For guidance see § 86.096-24.
              [61 FR 54887, Oct. 22, 1996]

              § 86.004-2
              Definitions.
              The definitions of § 86.001-2 continue to apply to 2001 and later model year vehicles. The definitions listed in this section apply beginning with the 2004 model year.

                Ambulance has the meaning given in § 86.1803.

                Defeat device means an auxiliary emission control device (AECD) that reduces the effectiveness of the emission control system under conditions which may reasonably be expected to be encountered in normal vehicle operation and use, unless:
              (1) Such conditions are substantially included in the applicable Federal emission test procedure for heavy-duty vehicles and heavy-duty engines described in subpart N of this part;
              (2) The need for the AECD is justified in terms of protecting the vehicle against damage or accident;
              (3) The AECD does not go beyond the requirements of engine starting; or

              (4) The AECD applies only for engines that will be installed in emergency vehicles, and the need is justified in terms of preventing the engine from losing speed, torque, or power due abnormal conditions of the emission control system, or in terms of preventing such abnormal conditions from occurring, during operation related to emergency response. Examples of such abnormal conditions may include excessive exhaust backpressure from an overloaded particulate trap, and running out of diesel exhaust fluid for engines that rely on urea-based selective catalytic reduction.

                Diesel exhaust fluid (DEF) means a liquid reducing agent (other than the engine fuel) used in conjunction with selective catalytic reduction to reduce NOX emissions. Diesel exhaust fluid is generally understood to be an aqueous solution of urea conforming to the specifications of ISO 22241.

                Emergency vehicle has the meaning given in 40 CFR 1037.801.

                Fire truck has the meaning given in § 86.1803.

                U.S.-directed production means the engines and/or vehicles (as applicable) produced by a manufacturer for which the manufacturer has reasonable assurance that sale was or will be made to ultimate purchasers in the United States, excluding engines and/or vehicles that are certified to state emission standards different than the emission standards in this part.

                Useful life means:
              (1) For light-duty vehicles, and for light light-duty trucks not subject to the Tier 0 standards of § 86.094-9(a), intermediate useful life and/or full useful life. Intermediate useful life is a period of use of 5 years or 50,000 miles, whichever occurs first. Full useful life is a period of use of 10 years or 100,000 miles, whichever occurs first, except as otherwise noted in § 86.094-9. The useful life of evaporative and/or refueling emission control systems on the portion of these vehicles subject to the evaporative emission test requirements of § 86.130-96, and/or the refueling emission test requirements of § 86.151-98, is defined as a period of use of 10 years or 100,000 miles, whichever occurs first.

              (2) For light light-duty trucks subject to the Tier 0 standards of § 86.094-9(a), and for heavy light-duty truck engine families, intermediate and/or full useful life. Intermediate useful life is a period of use of 5 years or 50,000 miles, whichever occurs first. Full useful life is a period of use of 11 years or 120,000 miles, whichever occurs first. The useful life of evaporative emission and/or refueling control systems on the portion of these vehicles subject to the evaporative emission test requirements of § 86.130-96, and/or the refueling emission test requirements of § 86.151-98, is also defined as a period of 11 years or 120,000 miles, whichever occurs first.
              (3) For an Otto-cycle HDE family:
              (i) For hydrocarbon and carbon monoxide standards, a period of use of 10 years or 110,000 miles, whichever first occurs.
              (ii) For the oxides of nitrogen standard, a period of use of 10 years or 110,000 miles, whichever first occurs.
              (iii) For the portion of evaporative emission control systems subject to the evaporative emission test requirements of § 86.1230-96, a period of use of 10 years or 110,000 miles, whichever first occurs.
              (4) For a diesel HDE family:
              (i) For light heavy-duty diesel engines, for carbon monoxide, particulate, and oxides of nitrogen plus non-methane hydrocarbons emissions standards, a period of use of 10 years or 110,000 miles, whichever first occurs.
              (ii) For medium heavy-duty diesel engines, for carbon monoxide, particulate, and oxides of nitrogen plus non-methane hydrocarbons emission standards, a period of use of 10 years or 185,000 miles, whichever first occurs.
              (iii) For heavy heavy-duty diesel engines, for carbon monoxide, particulate, and oxides of nitrogen plus non-methane hydrocarbon emissions standards, a period of use of 10 years or 435,000 miles, or 22,000 hours, whichever first occurs, except as provided in paragraphs (4)(iv) and (4)(v) of this definition.
              (iv) The useful life limit of 22,000 hours in paragraph (4)(iii) of this definition is effective as a limit to the useful life only when an accurate hours meter is provided by the manufacturer with the engine and only when such hours meter can reasonably be expected to operate properly over the useful life of the engine.
              (v) For an individual engine, if the useful life hours limit of 22,000 hours is reached before the engine reaches 10 years or 100,000 miles, the useful life shall become 10 years or 100,000 miles, whichever occurs first, as required under Clean Air Act section 202(d).
              (5) As an option for both light-duty trucks under certain conditions and HDE families, an alternative useful life period may be assigned by the Administrator under the provisions of § 86.094-21(f).

                Warranty period, for purposes of HDE emissions defect warranty and emissions performance warranty, shall be a period of 5 years/50,000 miles, whichever occurs first, for Otto-cycle HDEs and light heavy-duty diesel engines. For all other heavy-duty diesel engines the aforementioned period shall be 5 years/100,000 miles, whichever occurs first. However, in no case may this period be less than the basic mechanical warranty period that the manufacturer provides (with or without additional charge) to the purchaser of the engine. Extended warranties on select parts do not extend the emissions warranty requirements for the entire engine but only for those parts. In cases where responsibility for an extended warranty is shared between the owner and the manufacturer, the emissions warranty shall also be shared in the same manner as specified in the warranty agreement.
              [62 FR 54720, Oct. 21, 1997, as amended at 65 FR 59945, Oct. 6, 2000; 66 FR 5159, Jan. 18, 2001; 77 FR 34145, June 8, 2012; 79 FR 46371, Aug. 8, 2014; 81 FR 73973, Oct. 25, 2016]

              § 86.004-11
              Emission standards for 2004 and later model year diesel heavy-duty engines and vehicles.
              This section applies to 2004 and later model year diesel HDEs.
              (a)(1) Exhaust emissions from new 2004 and later model year diesel HDEs shall not exceed the following:

              (i)(A) Oxides of Nitrogen plus Non-methane Hydrocarbons (NOX + NMHC) for engines fueled with either petroleum fuel, natural gas, or liquefied petroleum gas, 2.4 grams per brake horsepower-hour (0.89 gram per megajoule), as measured under transient operating conditions.

              (B) Oxides of Nitrogen plus Non-methane Hydrocarbon Equivalent (NOX + NMHCE) for engines fueled with methanol, 2.4 grams per brake horsepower-hour (0.89 gram per megajoule), as measured under transient operating conditions.
              (C) Optional standard. Manufacturers may elect to certify to an Oxides of Nitrogen plus Non-methane Hydrocarbons (or equivalent for methanol-fueled engines) standard of 2.5 grams per brake horsepower-hour (0.93 gram per megajoule), as measured under transient operating conditions, provided that Non-methane Hydrocarbons (or equivalent for methanol-fueled engines) do not exceed 0.5 grams per brake horsepower-hour (0.19 gram per megajoule) NMHC (or NMHCE for methanol-fueled engines), as measured under transient operating conditions.

              (D) A manufacturer may elect to include any or all of its diesel HDE families in any or all of the emissions ABT programs for HDEs, within the restrictions described in § 86.004-15 or superseding applicable sections. If the manufacturer elects to include engine families in any of these programs, the NOX plus NMHC (or NOX plus NMHCE for methanol-fueled engines) FELs may not exceed 4.5 grams per brake horsepower-hour (1.7 grams per megajoule). This ceiling value applies whether credits for the family are derived from averaging, banking, or trading programs. Additionally, families certified to the optional standard contained in paragraph (a)(1)(i)(C) of this section shall not exceed 0.50 grams per brake horsepower-hour (0.19 gram per megajoule) NMHC (or NMHCE for methanol-fueled engines) through the use of credits.
              (E) [Reserved]
              (ii) Carbon monoxide. (A) 15.5 grams per brake horsepower-hour (5.77 grams per megajoule), as measured under transient operating conditions.
              (B) 0.50 percent of exhaust gas flow at curb idle (methanol-, natural gas-, and liquefied petroleum gas-fueled diesel HDEs only).
              (iii) Particulate. (A) For diesel engines to be used in urban buses, 0.05 gram per brake horsepower-hour (0.019 gram per megajoule) for certification testing and selective enforcement audit testing, and 0.07 gram per brake horsepower-hour (0.026 gram per megajoule) for in-use testing, as measured under transient operating conditions.
              (B) For all other diesel engines, 0.10 gram per brake horsepower-hour (0.037 gram per megajoule), as measured under transient operating conditions.
              (C) A manufacturer may elect to include any or all of its diesel HDE families in any or all of the particulate ABT programs for HDEs, within the restrictions described in § 86.004-15 or superseding applicable sections. If the manufacturer elects to include engine families in any of these programs, the particulate FEL may not exceed 0.25 gram per brake horsepower-hour (0.093 gram per megajoule).
              (2) The standards set forth in paragraph (a)(1) of this section refer to the exhaust emitted over the operating schedule set forth in paragraph (f)(2) of appendix I to this part, and measured and calculated in accordance with the procedures set forth in subpart N or P of this part, except as noted in § 86.098-23(c)(2) or superceding sections.
              (b)(1) The opacity of smoke emission from new 2004 and later model year diesel HDEs shall not exceed:
              (i) 20 percent during the engine acceleration mode.
              (ii) 15 percent during the engine lugging mode.
              (iii) 50 percent during the peaks in either mode.
              (2) The standards set forth in paragraph (b)(1) of this section refer to exhaust smoke emissions generated under the conditions set forth in subpart I of this part and measured and calculated in accordance with those procedures.
              (3) This paragraph (b)(3) applies as specified in 40 CFR 1037.103. Evaporative emissions (total of non-oxygenated hydrocarbons plus methanol) from heavy-duty vehicles equipped with methanol-fueled diesel engines shall not exceed the following standards. The standards apply equally to certification and in-use vehicles. The spitback standard also applies to newly assembled vehicles.
              (i) For vehicles with a Gross Vehicle Weight Rating of up to 14,000 lbs:
              (A)(1) For the full three-diurnal test sequence described in § 86.1230-96, diurnal plus hot soak measurements: 3.0 grams per test.
              (2) For the supplemental two-diurnal test sequence described in § 86.1230-96, diurnal plus hot soak measurements: 3.5 grams per test.
              (B) Running loss test: 0.05 grams per mile.
              (C) Fuel dispensing spitback test: 1.0 gram per test.
              (ii) For vehicles with a Gross Vehicle Weight Rating of greater than 14,000 lbs:
              (A)(1) For the full three-diurnal test sequence described in § 86.1230-96, diurnal plus hot soak measurements: 4.0 grams per test.
              (2) For the supplemental two-diurnal test sequence described in § 86.1230-96, diurnal plus hot soak measurements: 4.5 grams per test.
              (B) Running loss test: 0.05 grams per mile.
              (iii)(A) For vehicles with a Gross Vehicle Weight Rating of up to 26,000 lbs, the standards set forth in paragraph (b)(3) of this section refer to a composite sample of evaporative emissions collected under the conditions and measured in accordance with the procedures set forth in subpart M of this part. For certification vehicles only, manufacturers may conduct testing to quantify a level of nonfuel background emissions for an individual test vehicle. Such a demonstration must include a description of the source(s) of emissions and an estimated decay rate. The demonstrated level of nonfuel background emissions may be subtracted from emission test results from certification vehicles if approved in advance by the Administrator.
              (B) For vehicles with a Gross Vehicle Weight Rating of greater than 26,000 lbs., the standards set forth in paragraph (b)(3)(ii) of this section refer to the manufacturer's engineering design evaluation using good engineering practice (a statement of which is required in § 86.091-23(b)(4)(ii)).
              (iv) All fuel vapor generated during in-use operations shall be routed exclusively to the evaporative control system (e.g., either canister or engine purge). The only exception to this requirement shall be for emergencies.
              (4) This paragraph (b)(4) applies as specified in 40 CFR 1037.103. Evaporative emissions from 2004 and later model year heavy-duty vehicles equipped with natural gas-fueled or liquefied petroleum gas-fueled HDEs shall not exceed the following standards. The standards apply equally to certification and in-use vehicles.
              (i) For vehicles with a Gross Vehicle Weight Rating of up to 14,000 pounds for the full three-diurnal test sequence described in § 86.1230-96, diurnal plus hot soak measurements: 3.0 grams per test.
              (ii) For vehicles with a Gross Vehicle Weight Rating of greater than 14,000 pounds for the full three-diurnal test sequence described in § 86.1230-96, diurnal plus hot soak measurements: 4.0 grams per test.
              (iii)(A) For vehicles with a Gross Vehicle Weight Rating of up to 26,000 pounds, the standards set forth in paragraph (b)(4) of this section refer to a composite sample of evaporative emissions collected under the conditions set forth in subpart M of this part and measured in accordance with those procedures.
              (B) For vehicles with a Gross Vehicle Weight Rating greater than 26,000 pounds, the standards set forth in paragraphs (b)(3)(ii) and (b)(4)(ii) of this section refer to the manufacturer's engineering design evaluation using good engineering practice (a statement of which is required in § 86.091-23(b)(4)(ii)).
              (iv) Compressed natural gas vehicles must meet the requirements for fueling connection devices as specified in § 86.1813-17(f)(1). Vehicles meeting these requirements are deemed to comply with evaporative emission standards.
              (c) No crankcase emissions shall be discharged into the ambient atmosphere from any new 2004 or later model year methanol-, natural gas-, or liquefied petroleum gas-fueled diesel, or any naturally-aspirated diesel HDE. For petroleum-fueled engines only, this provision does not apply to engines using turbochargers, pumps, blowers, or superchargers for air induction.

              (d) Every manufacturer of new motor vehicle engines subject to the standards prescribed in this section shall, prior to taking any of the actions specified in section 203(a)(1) of the Act, test or cause to be tested motor vehicle engines in accordance with applicable procedures in subpart I or N of this part to ascertain that such test engines meet the requirements of this section.

              (e) The standards described in this section do not apply to diesel-fueled medium-duty passenger vehicles (MDPVs) that are subject to regulation under subpart S of this part, except as specified in subpart S of this part. The standards described in this section also do not apply to diesel engines used in such MDPVs, except as specified in the regulations in subpart S of this part. The term “medium-duty passenger vehicle” is defined in § 86.1803.
              [62 FR 54721, Oct. 21, 1997, as amended at 65 FR 6848, Feb. 10, 2000; 65 FR 59945, Oct. 6, 2000; 79 FR 23688, Apr. 28, 2014]

              § 86.004-15
              NOX plus NMHC and particulate averaging, trading, and banking for heavy-duty engines.
              (a)(1) Heavy-duty engines eligible for NOX plus NMHC and particulate averaging, trading and banking programs are described in the applicable emission standards sections in this subpart. All heavy-duty engine families which include any engines labeled for use in clean-fuel vehicles as specified in 40 CFR part 88 are not eligible for these programs. For manufacturers not selecting Options 1 or 2 contained in § 86.005-10(f), the ABT program requirements contained in § 86.000-15 apply for 2004 model year Otto-cycle engines, rather than the provisions contained in this § 86.004-15. Participation in these programs is voluntary.
              (2)(i) Engine families with FELs exceeding the applicable standard shall obtain emission credits in a mass amount sufficient to address the shortfall. Credits may be obtained from averaging, trading, or banking, within the averaging set restrictions described in this section.
              (ii) Engine families with FELs below the applicable standard will have emission credits available to average, trade, bank or a combination thereof. Credits may not be used for averaging or trading to offset emissions that exceed an FEL. Credits may not be used to remedy an in-use nonconformity determined by a Selective Enforcement Audit or by recall testing. However, credits may be used to allow subsequent production of engines for the family in question if the manufacturer elects to recertify to a higher FEL.
              (b) Participation in the NOX plus NMHC and/or particulate averaging, trading, and banking programs shall be done as follows:
              (1) During certification, the manufacturer shall:

              (i) Declare its intent to include specific engine families in the averaging, trading and/or banking programs. Separate declarations are required for each program and for each pollutant (i.e., NOX plus NMHC, and particulate).
              (ii) Declare an FEL for each engine family participating in one or more of these two programs.

              (A) The FEL must be to the same level of significant digits as the emission standard (one-tenth of a gram per brake horsepower-hour for NOX plus NMHC emissions and one-hundredth of a gram per brake horsepower-hour for particulate emissions).

              (B) In no case may the FEL exceed the upper limit prescribed in the section concerning the applicable heavy-duty engine NOX plus NMHC and particulate emission standards.
              (iii) Calculate the projected emission credits (positive or negative) based on quarterly production projections for each participating family and for each pollutant, using the applicable equation in paragraph (c) of this section and the applicable factors for the specific engine family.
              (iv)(A) Determine and state the source of the needed credits according to quarterly projected production for engine families requiring credits for certification.
              (B) State where the quarterly projected credits will be applied for engine families generating credits.
              (C) Credits may be obtained from or applied to only engine families within the same averaging set as described in paragraph (d) or (e) of this section. Credits available for averaging, trading, or banking as defined in § 86.090-2, may be applied exclusively to a given engine family, or reserved as defined in § 86.091-2.
              (2) Based on this information each manufacturer's certification application must demonstrate:

              (i) That at the end of model year production, each engine family has a net emissions credit balance of zero or more using the methodology in paragraph (c) of this section with any credits obtained from averaging, trading or banking.
              (ii) The source of the credits to be used to comply with the emission standard if the FEL exceeds the standard, or where credits will be applied if the FEL is less than the emission standard. In cases where credits are being obtained, each engine family involved must state specifically the source (manufacturer/engine family) of the credits being used. In cases where credits are being generated/supplied, each engine family involved must state specifically the designated use (manufacturer/engine family or reserved) of the credits involved. All such reports shall include all credits involved in averaging, trading or banking.
              (3) During the model year manufacturers must:
              (i) Monitor projected versus actual production to be certain that compliance with the emission standards is achieved at the end of the model year.
              (ii) Provide the end-of-model year reports required under § 86.001-23.
              (iii) For manufacturers participating in emission credit trading, maintain the quarterly records required under § 86.091-7(c)(8).
              (4) Projected credits based on information supplied in the certification application may be used to obtain a certificate of conformity. However, any such credits may be revoked based on review of end-of-model year reports, follow-up audits, and any other compliance measures deemed appropriate by the Administrator.

              (5) Compliance under averaging, banking, and trading will be determined at the end of the model year. Engine families without an adequate amount of NOX. NOX plus NMHC, and/or particulate emission credits will violate the conditions of the certificate of conformity. The certificates of conformity may be voided ab initio for engine families exceeding the emission standard.
              (6) If EPA or the manufacturer determines that a reporting error occurred on an end-of-year report previously submitted to EPA under this section, the manufacturer's credits and credit calculations will be recalculated. Erroneous positive credits will be void. Erroneous negative balances may be adjusted by EPA for retroactive use.
              (i) If EPA review of a manufacturer's end-of-year report indicates a credit shortfall, the manufacturer will be permitted to purchase the necessary credits to bring the credit balance for that engine family to zero, using the discount specified in paragraph (c)(1) of this section on the ratio of credits purchased for every credit needed to bring the balance to zero. If sufficient credits are not available to bring the credit balance for the family in question to zero, EPA may void the certificate for that engine family ab initio.
              (ii) If within 180 days of receipt of the manufacturer's end-of-year report, EPA review determines a reporting error in the manufacturer's favor (i.e., resulting in a positive credit balance) or if the manufacturer discovers such an error within 180 days of EPA receipt of the end-of-year report, the credits will be restored for use by the manufacturer.
              (c)(1) For each participating engine family, NOX plus NMHC, and particulate emission credits (positive or negative) are to be calculated according to one of the following equations and rounded, in accordance with ASTM E29-93a (incorporated by reference at § 86.1), to the nearest one-tenth of a Megagram (Mg). Consistent units are to be used throughout the equation.

              (i) For determining credit need for all engine families and credit availability for engine families generating credits for averaging programs only:

              Emission credits = (Std − FEL) × (CF) × (UL) × (Production) × (10−6)

              (ii) For determining credit availability for engine families generating credits for trading or banking programs:

              Emission credits = (Std − FEL) × (CF) × (UL) × (Production) × (10−6) × (Discount)

              (iii) For purposes of the equation in paragraphs (c)(1)(i) and (ii) of this section:

                Std = the current and applicable heavy-duty engine NOX plus NMHC or particulate emission standard in grams per brake horsepower hour or grams per Megajoule.

                FEL = the NOX plus NMHC, or particulate family emission limit for the engine family in grams per brake horsepower hour or grams per Megajoule.
                CF = a transient cycle conversion factor in BHP-hr/mi or MJ/mi, as given in paragraph (c)(2) of this section.
                UL = the useful life described in § 86.004-2, or alternative life as described in § 86.004-21(f), for the given engine family in miles.
                Production = the number of engines produced for U.S. sales within the given engine family during the model year. Quarterly production projections are used for initial certification. Actual production is used for end-of-year compliance determination.
                Discount = a one-time discount applied to all credits to be banked or traded within the model year generated. Except as otherwise allowed in paragraphs (k) and (l) of this section, the discount applied here is 0.9. Banked credits traded in a subsequent model year will not be subject to an additional discount. Banked credits used in a subsequent model year's averaging program will not have the discount restored.

              (2)(i) The transient cycle conversion factor is the total (integrated) cycle brake horsepower-hour or Megajoules, divided by the equivalent mileage of the applicable transient cycle. For Otto-cycle heavy-duty engines, the equivalent mileage is 6.3 miles. For diesel heavy-duty engines, the equivalent mileage is 6.5 miles.
              (ii) When more than one configuration is chosen by EPA to be tested in the certification of an engine family (as described in § 86.085-24), the conversion factor used is to be based upon a production weighted average value of the configurations in an engine family to calculate the conversion factor.
              (d) Averaging sets for NO
                X
                plus NMHC emission credits. The averaging and trading of NOX plus NMHC emission credits will only be allowed between heavy-duty engine families in the same averaging set. The averaging sets for the averaging and trading of NOX plus NMHC emission credits for heavy-duty engines are defined as follows:
              (1) For NOX + NMHC credits from Otto-cycle heavy-duty engines:
              (i) Otto-cycle heavy-duty engines constitute an averaging set. Averaging and trading among all Otto-cycle heavy-duty engine families is allowed. There are no subclass restrictions.
              (ii) Otto-cycle heavy-duty vehicles certified under the chassis-based provisions of subpart S of this part may not average or trade with heavy-duty Otto-cycle engines except as allowed in § 86.1817-05(o).
              (2) For NOX plus NMHC credits from diesel-cycle heavy-duty engines:
              (i) Each of the three primary intended service classes for heavy-duty diesel engines, as defined in § 86.004-2, constitute an averaging set. Averaging and trading among all diesel-cycle engine families within the same primary service class is allowed.
              (ii) Urban buses are treated as members of the primary intended service class where they otherwise would fall.
              (e) Averaging sets for particulate emission credits. The averaging and trading of particulate emission credits will only be allowed between diesel cycle heavy-duty engine families in the same averaging set. The averaging sets for the averaging and trading of particulate emission credits for diesel cycle heavy-duty engines are defined as follows:
              (1) Engines intended for use in urban buses constitute a separate averaging set from all other heavy-duty engines. Averaging and trading between diesel cycle bus engine families is allowed.
              (2) For heavy-duty engines, exclusive of urban bus engines, each of the three primary intended service classes for heavy-duty diesel cycle engines, as defined in § 86.004-2, constitute an averaging set. Averaging and trading between diesel-cycle engine families within the same primary service class is allowed.
              (3) Otto cycle engines may not participate in particulate averaging, trading, or banking.
              (f) Banking of NO
                X
                plus NMHC, and particulate emission credits—(1) Credit deposits. (i) NOX plus NMHC, and particulate emission credits may be banked from engine families produced in any model year.

              (ii) Manufacturers may bank credits only after the end of the model year and after actual credits have been reported to EPA in the end-of-year report. During the model year and before submittal of the end-of-year report, credits originally designated in the certification process for banking will be considered reserved and may be redesignated for trading or averaging.
              (2) Credit withdrawals. (i) NOX plus NMHC and particulate credits generated in 2004 and later model years do not expire. NOX plus NMHC credits generated by Otto-cycle engines in the 2003 model year for manufacturers selecting Option 1 contained in § 86.005-10(f)(1) also do not expire.
              (ii) Manufacturers withdrawing banked NOX plus NMHC, and/or particulate credits shall indicate so during certification and in their credit reports, as described in § 86.091-23.
              (3) Use of banked emission credits. The use of banked credits shall be within the averaging set and other restrictions described in paragraphs (d) and (e) of this section, and only for the following purposes:
              (i) Banked credits may be used in averaging, or in trading, or in any combination thereof, during the certification period. Credits declared for banking from the previous model year but not reported to EPA may also be used. However, if EPA finds that the reported credits can not be proven, they will be revoked and unavailable for use.
              (ii) Banked credits may not be used for NOX plus NMHC or particulate averaging and trading to offset emissions that exceed an FEL. Banked credits may not be used to remedy an in-use nonconformity determined by a Selective Enforcement Audit or by recall testing. However, banked credits may be used for subsequent production of the engine family if the manufacturer elects to recertify to a higher FEL.
              (iii) NOX credits banked under paragraph § 86.098-15(j) or § 86.000-15(k) may be used in place of NOX plus NMHC credits in 2004 and later model years provided that they are used in the correct averaging set. NOX credits banked under paragraph § 86.000-15(k) may also be used in place of NOX plus NMHC credits in the 2003 model year for manufacturers selecting Option 1 contained in § 86.005-10(f)(1), provided that they are used in the correct averaging set.

              (iv) Except for early credits banked under § 86.000-15(k), NOX credits banked in accordance with § 86.000-15 may not be used to meet the Otto-cycle engine standards contained in § 86.005-10.
              (g)(1) This paragraph (g) assumes NOX plus NMHC, and particulate nonconformance penalties (NCPs) will be available for the 2004 and later model year HDEs.
              (2) Engine families using NOX plus NMHC and/or particulate NCPs but not involved in averaging:
              (i) May not generate NOX plus NMHC or particulate credits for banking and trading.
              (ii) May not use NOX plus NMHC or particulate credits from banking and trading.
              (3) If a manufacturer has any engine family to which application of NCPs and banking and trading credits is desired, that family must be separated into two distinct families. One family, whose FEL equals the standard, must use NCPs only while the other, whose FEL does not equal the standard, must use credits only.

              (4) If a manufacturer has any engine family in a given averaging set which is using NOX plus NMHC and/or particulate NCPs, none of that manufacturer's engine families in that averaging set may generate credits for banking and trading.
              (h) In the event of a negative credit balance in a trading situation, both the buyer and the seller would be liable.
              (i) Certification fuel used for credit generation must be of a type that is both available in use and expected to be used by the engine purchaser. Therefore, upon request by the Administrator, the engine manufacturer must provide information acceptable to the Administrator that the designated fuel is readily available commercially and would be used in customer service.
              (j) Credit apportionment. At the manufacturer's option, credits generated under the provisions described in this section may be sold to or otherwise provided to another party for use in programs other than the averaging, trading and banking program described in this section.

              (1) The manufacturer shall pre-identify two emission levels per engine family for the purposes of credit apportionment. One emission level shall be the FEL and the other shall be the level of the standard that the engine family is required to certify to under § 86.005-10 or § 86.004-11. For each engine family, the manufacturer may report engine sales in two categories, “ABT-only credits” and “nonmanufacturer-owned credits”.
              (i) For engine sales reported as “ABT-only credits”, the credits generated must be used solely in the ABT program described in this section.
              (ii) The engine manufacturer may declare a portion of engine sales “nonmanufacturer-owned credits” and this portion of the credits generated between the standard and the FEL, based on the calculation in (c)(1) of this section, would belong to the engine purchaser. For ABT, the manufacturer may not generate any credits for the engine sales reported as “nonmanufacturer-owned credits”. Engines reported as “nonmanufacturer-owned credits” shall comply with the FEL and the requirements of the ABT program in all other respects.
              (2) Only manufacturer-owned credits reported as “ABT-only credits” shall be used in the averaging, trading, and banking provisions described in this section.
              (3) Credits shall not be double-counted. Credits used in the ABT program may not be provided to an engine purchaser for use in another program.
              (4) Manufacturers shall determine and state the number of engines sold as “ABT-only credits” and “nonmanufacturer-owned credits” in the end-of-model year reports required under § 86.001-23.
              (k) Additional flexibility for diesel-cycle engines. If a diesel-cycle engine family meets the conditions of either paragraph (k)(1) or (2) of this section, a Discount of 1.0 may be used in the trading and banking calculation, for both NOX plus NMHC and for particulate, described in paragraph (c)(1) of this section.

              (1) The engine family certifies with a certification level of 1.9 g/bhp-hr NOX plus NMHC or lower for all diesel-cycle engine families.
              (2) All of the following must apply to the engine family:
              (i) Diesel-cycle engines only;
              (ii) 2004, 2005, and 2006 model years only;

              (iii) Must be an engine family using carry-over certification data from prior to model year 2004 where the NOX plus the HC certification level prior to model year 2004 is below the NOX plus NMHC or NOX plus NMHCE standard set forth in § 86.004-11. Under this option, the NOX credits generated from this engine family prior to model year 2004 may be used as NOX plus NMHC credits.
              (l) Additional flexibility for Otto-cycle engines. If an Otto-cycle engine family meets the conditions of paragraph (l)(1) or (2) of this section, a discount of 1.0 may be used in the trading and banking credits calculation for NOX plus NMHC described in paragraph (c)(1) of this section, as follows:
              (1) The engine family has a FEL of 0.5 g/bhp-hr NOX plus NMHC or lower;
              (2) All of the following conditions are met:

              (i) For first three consecutive model years that the engine family is certified to a NOX plus NMHC standard contained in § 86.005-10;

              (ii) The engine family is certified using carry-over data from an engine family which was used to generate early NOX credits per § 86.000-15(k) where the sum of the NOX FEL plus the HC (or hydrocarbon equivalent where applicable) certification level is below 1.0 g/bhp-hr.
              [62 FR 54722, Oct. 21, 1997, as amended at 65 FR 59946, Oct. 6, 2000]

              § 86.004-16
              Prohibition of defeat devices.
              (a) No new heavy-duty vehicle or heavy-duty engine shall be equipped with a defeat device.
              (b) The Administrator may test or require testing on any vehicle or engine at a designated location, using driving cycles and conditions which may reasonably be expected to be encountered in normal operation and use, for the purpose of investigating a potential defeat device.
              (c) [Reserved]
              (d) For vehicle and engine designs designated by the Administrator to be investigated for possible defeat devices:
              (1) General. The manufacturer must show to the satisfaction of the Administrator that the vehicle or engine design does not incorporate strategies that reduce emission control effectiveness exhibited during the applicable Federal emissions test procedures when the vehicle or engine is operated under conditions which may reasonably be expected to be encountered in normal operation and use, unless one of the specific exceptions set forth in the definition of “defeat device” in § 86.004-2 has been met.
              (2) Information submissions required. The manufacturer will provide an explanation containing detailed information (including information which the Administrator may request to be submitted) regarding test programs, engineering evaluations, design specifications, calibrations, on-board computer algorithms, and design strategies incorporated for operation both during and outside of the applicable Federal emission test procedure.
              [65 FR 59947, Oct. 6, 2000, as amended at 70 FR 40432, July 13, 2005]

              § 86.004-21
              Application for certification.
              Section 86.004-21 includes text that specifies requirements that differ from § 86.094-21. Where a paragraph in § 86.094-21 is identical and applicable to § 86.004-21, this may be indicated by specifying the corresponding paragraph and the statement “[Reserved]. For guidance see § 86.094-21.”
              (a)-(b)(3) [Reserved]. For guidance see § 86.094-21.
              (b)(4)(i) [Reserved]
              (b)(4)(ii)-(b)(5)(iv) [Reserved]. For guidance see § 86.094-21.
              (6) Participation in averaging programs—(i) Particulate averaging. (A) If the manufacturer elects to participate in the particulate averaging program for diesel light-duty vehicles and/or diesel light-duty trucks or the particulate averaging program for heavy-duty diesel engines, the application must list the family particulate emission limit and the projected U.S. production volume of the family for the model year.
              (B) The manufacturer shall choose the level of the family particulate emission limits, accurate to hundredth of a gram per mile or hundredth of a gram per brake horsepowerhour for HDEs.
              (C) The manufacturer may at any time during production elect to change the level of any family particulate emission limit(s) by submitting the new limit(s) to the Administrator and by demonstrating compliance with the limit(s) as described in §§ 86.090-2 and 86.094-28(b)(5)(i).
              (ii) NO
                X
                and NO
                X
                plus NMHC averaging. (A) If the manufacturer elects to participate in the NOX averaging program for light-duty trucks or otto-cycle HDEs or the NOX plus NMHC averaging program for diesel-cycle HDEs, the application must list the family emission limit and the projected U.S. production volume of the family for the model year.
              (B) The manufacturer shall choose the level of the family emission limits, accurate to one-tenth of a gram per mile or to one-tenth of a gram per brake horsepower-hour for HDEs.
              (C) The manufacturer may at any time during production elect to change the level of any family emission limit(s) by submitting the new limits to the Administrator and by demonstrating compliance with the limit(s) as described in §§ 86.088-2 and 86.094-28(b)(5)(ii).
              (b)(7) and (b)(8) [Reserved]. For guidance see § 86.094-21.
              (b)(9) For each light-duty vehicle, light-duty truck, evaporative/refueling emission family or heavy-duty vehicle evaporative emission family, a description of any unique procedures required to perform evaporative and/or refueling emission tests, as applicable, (including canister working capacity, canister bed volume, and fuel temperature profile for the running loss test) for all vehicles in that evaporative and/or evaporative/refueling emission family, and a description of the method used to develop those unique procedures.
              (10) For each light-duty vehicle or applicable light-duty truck evaporative/refueling emission family, or each heavy-duty vehicle evaporative emission family:
              (i) Canister working capacity, according to the procedures specified in § 86.132-96(h)(1)(iv);
              (ii) Canister bed volume; and
              (iii) Fuel temperature profile for the running loss test, according to the procedures specified in § 86.129-94(d).
              (c)-(j) [Reserved]. For guidance see § 86.094-21.
              (k)-(l) [Reserved]

              (m) For model years 2004 through 2007, within 180 days after submission of the application for certification of a heavy-duty diesel engine, the manufacturer must provide emission test results from the Load Response Test conducted according to § 86.1380-2004, including, at a minimum, test results conducted at each of the speeds identified in § 86.1380-2004. Load Response Test data submissions are not necessary for carry-over engine families for which Load Response Test data has been previously submitted. In addition, upon approval of the Administrator, manufacturers may carry Load Response Test data across from one engine family to other engine families, provided that the carry-across engine families use similar emission control technology hardware which would be expected to result in the generation of similar emission data when run over the Load Response Test.
              (n) Upon request from EPA, a manufacturer must provide to EPA any hardware (including scan tools), passwords, and/or documentation necessary for EPA to read, interpret, and store (in engineering units if applicable) any information broadcast by an engine's on-board computers and electronic control modules which relates in any way to emission control devices and auxiliary emission control devices, provided that such hardware, passwords, or documentation exists and is not otherwise commercially available. Passwords include any information necessary to enable generic scan tools or personal computers access to proprietary emission related information broadcast by an engine's on-board computer, if such passwords exist. This requirement includes access by EPA to any proprietary code information which may be broadcast by an engine's on-board computer and electronic control modules. Information which is confidential business information must be marked as such. Engineering units refers to the ability to read, interpret, and store information in commonly understood engineering units, for example, engine speed in revolutions per minute or per second, injection timing parameters such as start of injection in degree's before top-dead center, fueling rates in cubic centimeters per stroke, vehicle speed in miles per hour or kilometers per hour. This paragraph (n) does not restrict EPA authority to take any action authorized by section 208 of the Clean Air Act.
              [62 FR 54724, Oct. 21, 1997, as amended at 65 FR 59947, Oct. 6, 2000; 79 FR 23688, Apr. 28, 2014]

              § 86.004-25
              Maintenance.
              Section 86.004-25 includes text that specifies requirements that differ from § 86.094-25. Where a paragraph in § 86.094-25 is applicable to § 86.004-25, this may be indicated by specifying the corresponding paragraph and the statement “[Reserved]. For guidance see § 86.094-25.”.
              (a)(1) Applicability. This section applies to light-duty vehicles, light-duty trucks, and HDEs.
              (2) Maintenance performed on vehicles, engines, subsystems, or components used to determine exhaust, evaporative or refueling emission deterioration factors, as appropriate, is classified as either emission-related or non-emission-related and each of these can be classified as either scheduled or unscheduled. Further, some emission-related maintenance is also classified as critical emission-related maintenance.
              (b) Introductory text through (b)(3)(ii) [Reserved]. For guidance see § 86.094-25.
              (b)(3)(iii) For otto-cycle heavy-duty engines, the adjustment, cleaning, repair, or replacement of the items listed in paragraphs (b)(3)(iii) (A)-(E) of this section shall occur at 50,000 miles (or 1,500 hours) of use and at 50,000-mile (or 1,500-hour) intervals thereafter.
              (A) Crankcase ventilation valves and filters.
              (B) Emission-related hoses and tubes.
              (C) Ignition wires.
              (D) Idle mixture.
              (E) Exhaust gas recirculation system related filters and coolers.
              (iv) For otto-cycle light-duty vehicles, light-duty trucks and otto-cycle heavy-duty engines, the adjustment, cleaning, repair, or replacement of the oxygen sensor shall occur at 80,000 miles (or 2,400 hours) of use and at 80,000-mile (or 2,400-hour) intervals thereafter.

              (v) For otto-cycle heavy-duty engines, the adjustment, cleaning, repair, or replacement of the items listed in paragraphs (b)(3)(v) (A)-(H) of this section shall occur at 100,000 miles (or 3,000 hours) of use and at 100,000-mile (or 3,000-hour) intervals thereafter.
              (A) Catalytic converter.
              (B) Air injection system components.
              (C) Fuel injectors.
              (D) Electronic engine control unit and its associated sensors (except oxygen sensor) and actuators.
              (E) Evaporative emission canister.
              (F) Turbochargers.
              (G) Carburetors.
              (H) Exhaust gas recirculation system (including all related control valves and tubing) except as otherwise provided in paragraph (b)(3)(iii)(E) of this section.
              (4) For diesel-cycle heavy-duty engines, emission-related maintenance in addition to or at shorter intervals than the following specified values will not be accepted as technologically necessary, except as provided in paragraph (b)(7) of this section:
              (i) For diesel-cycle heavy-duty engines, the adjustment, cleaning, repair, or replacement of the following items shall occur at 50,000 miles (or 1,500 hours) of use and at 50,000-mile (or 1,500-hour) intervals thereafter:
              (A) Exhaust gas recirculation system related filters and coolers.
              (B) Crankcase ventilation valves and filters.
              (C) Fuel injector tips (cleaning only).
              (D) DEF filters.
              (ii) [Reserved]
              (iii) The adjustment, cleaning, repair, or replacement of items listed in paragraphs (b)(4)(iii) (A)-(G) of this section shall occur at 100,000 miles (or 3,000 hours) of use and at 100,000-mile (or 3,000-hour) intervals thereafter for light heavy-duty diesel engines, or, at 150,000 miles (or 4,500 hours) intervals thereafter for medium and heavy heavy-duty diesel engines.
              (A) Fuel injectors.
              (B) Turbocharger.
              (C) Electronic engine control unit and its associated sensors and actuators.
              (D) Particulate trap or trap oxidizer systems including related components (adjustment and cleaning only for filter element, replacement of the filter element is not allowed during the useful life).
              (E) Exhaust gas recirculation system (including all related control valves and tubing) except as otherwise provided in paragraph (b)(4)(i)(A) of this section.
              (F) Catalytic converter (adjustment and cleaning only for catalyst beds, replacement of the bed is not allowed during the useful life).
              (G) Any other add-on emissions-related component (i.e., a component whose sole or primary purpose is to reduce emissions or whose failure will significantly degrade emissions control and whose function is not integral to the design and performance of the engine.)
              (iv) [Reserved]
              (v) For engines that use selective catalytic reduction, the diesel exhaust fluid (DEF) tank must be sized so that DEF replenishment can occur at an interval, in miles or hours of vehicle operation, that is no less than the miles or hours of vehicle operation corresponding to the vehicle's fuel capacity. Use good engineering judgment to ensure that you meet this requirement for worst-case operation. For example, if the highest rate of DEF consumption (relative to fuel consumption) will occur under highway driving conditions (characterized by the SET), the DEF tank should be large enough that a single tankful of DEF would be enough to continue proper operation of the SCR system for the expected highway driving range with a single tank of fuel. Conversely, if the highest rate of DEF consumption (relative to fuel consumption) will occur under city or urban driving conditions (characterized by the transient FTP test), the DEF tank should be large enough that a single tank of DEF would be enough to continue proper operation of the SCR system for the expected city driving range with a single tank of fuel. For engine testing in a laboratory, any size DEF tank and fuel tank may be used; however, for our testing of engines, we may require you to provide us with a production-type DEF tank, including any associated sensors.
              (5) [Reserved]

              (6)(i) The following components are defined as critical emission-related components:
              (A) Catalytic converter.
              (B) Air injection system components.
              (C) Electronic engine control unit and its associated sensors (including oxygen sensor if installed) and actuators.
              (D) Exhaust gas recirculation system (including all related filters, coolers, control valves, and tubing).
              (E) Crankcase ventilation valves and filters.
              (F) Evaporative and refueling emission control system components (excluding canister air filter).
              (G) Particulate trap or trap-oxidizer system.
              (H) Components comprising the selective catalytic reduction system (including DEF tank).
              (I) Any other component whose primary purpose is to reduce emissions or whose failure would commonly increase emissions of any regulated pollutant without significantly degrading engine performance.
              (ii) All critical emission-related scheduled maintenance must have a reasonable likelihood of being performed in-use. The manufacturer shall be required to show the reasonable likelihood of such maintenance being performed in-use, and such showing shall be made prior to the performance of the maintenance on the durability data engine. Critical emission-related scheduled maintenance items which satisfy one of the conditions defined in paragraphs (b)(6)(ii) (A)-(F) of this section will be accepted as having a reasonable likelihood of the maintenance item being performed in-use, except that DEF replenishment must satisfy paragraph (b)(6)(ii)(A) or (F) of this section to be accepted as having a reasonable likelihood of the maintenance item being performed in-use.
              (A) Data are presented which establish for the Administrator a connection between emissions and vehicle performance such that as emissions increase due to lack of maintenance, vehicle performance will simultaneously deteriorate to a point unacceptable for typical driving.
              (B) Survey data are submitted which adequately demonstrate to the Administrator that, at an 80 percent confidence level, 80 percent of such engines already have this critical maintenance item performed in-use at the recommended interval(s).
              (C) A clearly displayed visible signal system approved by the Administrator is installed to alert the vehicle driver that maintenance is due. A signal bearing the message “maintenance needed” or “check engine”, or a similar message approved by the Administrator, shall be actuated at the appropriate mileage point or by component failure. This signal must be continuous while the engine is in operation and not be easily eliminated without performance of the required maintenance. Resetting the signal shall be a required step in the maintenance operation. The method for resetting the signal system shall be approved by the Administrator. For HDEs, the system must not be designed to deactivate upon the end of the useful life of the engine or thereafter.
              (D) A manufacturer may desire to demonstrate through a survey that a critical maintenance item is likely to be performed without a visible signal on a maintenance item for which there is no prior in-use experience without the signal. To that end, the manufacturer may in a given model year market up to 200 randomly selected vehicles per critical emission-related maintenance item without such visible signals, and monitor the performance of the critical maintenance item by the owners to show compliance with paragraph (b)(6)(ii)(B) of this section. This option is restricted to two consecutive model years and may not be repeated until any previous survey has been completed. If the critical maintenance involves more than one engine family, the sample will be sales weighted to ensure that it is representative of all the families in question.
              (E) The manufacturer provides the maintenance free of charge, and clearly informs the customer that the maintenance is free in the instructions provided under § 86.087-38.

              (F) Any other method which the Administrator approves as establishing a reasonable likelihood that the critical maintenance will be performed in-use.

              (iii) Visible signal systems used under paragraph (b)(6)(ii)(C) of this section are considered an element of design of the emission control system. Therefore, disabling, resetting, or otherwise rendering such signals inoperative without also performing the indicated maintenance procedure is a prohibited act under section 203(a)(3) of the Clean Air Act (42 U.S.C. 7522(a)(3)).
              (b)(7)-(h) [Reserved]. For guidance see § 86.094-25.

              (i) Notwithstanding the provisions of paragraph (b)(4) and (6) of this section, manufacturers may schedule replacement or repair of particulate trap (or trap oxidizer) systems or catalytic converters (including NOX adsorbers), provided that the manufacturer demonstrates to the Administrator's satisfaction that the repair or replacement will be performed according to the schedule and the manufacturer pays for the repair or replacement.
              [62 FR 54725, Oct. 21, 1997, as amended at 79 FR 23688, Apr. 28, 2014; 79 FR 46371, Aug. 8, 2014; 81 FR 73973, Oct. 25, 2016]

              § 86.004-26
              Mileage and service accumulation; emission measurements.
              (a)-(b) [Reserved]
              (c)(1) Paragraph (c) of this section applies to heavy-duty engines.
              (2) Two types of service accumulation are applicable to heavy-duty engines, as described in paragraphs (c)(2)(i) and (ii) of this section. For Otto-cycle heavy-duty engines exhaust emissions, the service accumulation method used by a manufacturer must be designed to effectively predict the deterioration of emissions in actual use over the full useful life of the of the candidate in-use vehicles and must cover the breadth of the manufacturer's product line that will be covered by the durability procedure. Manufacturers not selecting Options 1 or 2 described in § 86.005-10(f) may certify Otto-cycle engines using the provisions contained in § 86.094-26(c)(2) rather than those contained in this paragraph (c)(2) for 2004 model year engine families certified using carry-over durability data, except for those engines used for early credit banking as allowed in § 86.000-15(k).
              (i) Service accumulation on engines, subsystems, or components selected by the manufacturer under § 86.094-24(c)(3)(i). The manufacturer determines the form and extent of this service accumulation, consistent with good engineering practice, and describes it in the application for certification.
              (ii) Dynamometer service accumulation on emission data engines selected under § 86.094-24(b)(2) or (3). The manufacturer determines the engine operating schedule to be used for dynamometer service accumulation, consistent with good engineering practice. A single engine operating schedule shall be used for all engines in an engine family-control system combination. Operating schedules may be different for different combinations.
              (3) Exhaust emission deterioration factors will be determined on the basis of the service accumulation described in § 86.000-26(b)(2)(i) and related testing, according to the manufacturer's procedures.
              (4) The manufacturer shall determine, for each engine family, the number of hours at which the engine system combination is stabilized for emission-data testing. The manufacturer shall maintain, and provide to the Administrator if requested, a record of the rationale used in making this determination. The manufacturer may elect to accumulate 125 hours on each test engine within an engine family without making a determination. Any engine used to represent emission-data engine selections under § 86.094-24(b)(2) shall be equipped with an engine system combination that has accumulated at least the number of hours determined under this paragraph. Complete exhaust emission tests shall be conducted for each emission-data engine selection under § 86.094-24(b)(2). Evaporative emission controls must be connected, as described in 40 CFR part 1065, subpart F. The Administrator may determine under § 86.094-24(f) that no testing is required.
              (d)(1) This paragraph (d) applies for heavy-duty engines.

              (2)(i) The results of all emission testing shall be supplied to the Administrator. The manufacturer shall furnish to the Administrator explanation for voiding any test. The Administrator will determine if voiding the test was appropriate based upon the explanation given by the manufacturer for the voided test. Tests between test points may be conducted as required by the Administrator. Data from all tests (including voided tests) may be submitted weekly to the Administrator, but shall be delivered to the Administrator within 7 days after completion of the test. In addition, all test data shall be compiled and provided to the Administrator in accordance with § 86.007-23. Where the Administrator conducts a test on a durability data vehicle at a prescribed test point, the results of that test will be used in the calculation of the deterioration factor.
              (ii) The results of all emission tests shall be recorded and reported to the Administrator. These test results shall be rounded as specified in 40 CFR part 1065 to the number of decimal places contained in the applicable emission standard expressed to one additional significant figure.
              (3) Whenever a manufacturer intends to operate and test a vehicle (or engine) that may be used for emission data, the manufacturer shall retain in its records all information concerning all emission tests and maintenance, including vehicle (or engine) alterations to represent other vehicle (or engine) selections. This information shall be submitted, including the vehicle (or engine) description and specification information required by the Administrator, to the Administrator following the emission test.
              (4) Emission testing of any type with respect to any certification vehicle or engine other than that specified in this subpart is not allowed except as such testing may be specifically authorized by the Administrator.
              [65 FR 59947, Oct. 6, 2000, as amended at 70 FR 40432, July 13, 2005; 79 FR 23688, Apr. 28, 2014]

              § 86.004-28
              Compliance with emission standards.
              (a)-(b) [Reserved]
              (c)(1) Paragraph (c) of this section applies to heavy-duty engines.
              (2) The applicable exhaust emission standards (or family emission limits, as appropriate) for Otto-cycle engines and for diesel-cycle engines apply to the emissions of engines for their useful life.
              (3) Since emission control efficiency generally decreases with the accumulation of service on the engine, deterioration factors will be used in combination with emission data engine test results as the basis for determining compliance with the standards.

              (4)(i) Paragraph (c)(4) of this section describes the procedure for determining compliance of an engine with emission standards (or family emission limits, as appropriate), based on deterioration factors supplied by the manufacturer. Deterioration factors shall be established using applicable emissions test procedures. NOX plus NMHC deterioration factors shall be established based on the sum of the pollutants. When establishing deterioration factors for NOX plus NMHC, a negative deterioration (emissions decrease from the official exhaust emissions test result) for one pollutant may not offset deterioration of the other pollutant. Where negative deterioration occurs for NOX and/or NMHC, the official exhaust emission test result shall be used for purposes of determining the NOX plus NMHC deterioration factor.

              (ii) Separate exhaust emission deterioration factors, determined from tests of engines, subsystems, or components conducted by the manufacturer, shall be supplied for each engine-system combination. For Otto-cycle engines, separate factors shall be established for transient NMHC (NMHCE), CO, NOX. NOX plus NMHC, and idle CO, for those engines utilizing aftertreatment technology (e.g., catalytic converters). For diesel-cycle engines, separate factors shall be established for transient NMHC (NMHCE), CO, NOX. NOX plus NMHC and exhaust particulate. For diesel-cycle smoke testing, separate factors shall also be established for the acceleration mode (designated as “A”), the lugging mode (designated as “B”), and peak opacity (designated as “C”).
              (iii)(A) Paragraphs (c)(4)(iii)(A) (1) and (2) of this section apply to Otto-cycle HDEs.
              (1) Otto-cycle HDEs not utilizing aftertreatment technology (e.g., catalytic converters). For transient NMHC (NMHCE), CO, NOX. the official exhaust emission results for each emission data engine at the selected test point shall be adjusted by the addition of the appropriate deterioration factor. However, if the deterioration factor supplied by the manufacturer is less than zero, it shall be zero for the purposes of this paragraph.
              (2) Otto-cycle HDEs utilizing aftertreatment technology (e.g., catalytic converters). For transient NMHC (NMHCE), CO, NOX. and for idle CO, the official exhaust emission results for each emission data engine at the selected test point shall be adjusted by multiplication by the appropriate deterioration factor, except as otherwise provided in paragraph (c)(4)(iii)(A)(3) of this section. The deterioration factor must be calculated by dividing the exhaust emissions at full useful life by the stabilized mileage emission level (reference § 86.096-26(c)(4), e.g., 125 hours). However, if the deterioration factor supplied by the manufacturer is less than one, it shall be one for purposes of this paragraph (c)(4)(iii)(A)(2).
              (3) An Otto-cycle heavy-duty engine manufacturer who believes that a deterioration factor derived using the calculation methodology described in paragraph (c)(4)(iii)(4)(A)(2) of this section are significantly unrepresentative for one or more engine families (either too high or too low) may petition the Administrator to allow for the use of an additive rather than a multiplicative deterioration factor. This petition must include full rationale behind the request together with any supporting data or other evidence. Based on this or other information the Administration may allow for an alternative procedure. Any petition should be submitted in a timely manner, to allow adequate time for a thorough evaluation. Manufacturers using an additive deterioration factor under this paragraph (c)(4)(iii)(A)(3) must perform in-use verification testing to determine if the additive deterioration factor reasonably predicts actual in-use emissions. The plan for the in-use verification testing must be approved by the Administrator as part of the approval process described in this paragraph (c)(4)(iii)(4)(A)(3) prior to the use of the additive deterioration factor. The Administrator may consider the results of the in-use verification testing both in certification and in-use compliance programs.
              (B) Paragraph (c)(4)(iii)(B) of this section applies to diesel-cycle HDEs.
              (1) Additive deterioration factor for exhaust emissions. Except as specified in paragraph (c)(4)(iii)(B)(2) of this section, use an additive deterioration factor for exhaust emissions. An additive deterioration factor for a pollutant is the difference between exhaust emissions at the end of the useful life and exhaust emissions at the low-hour test point. In these cases, adjust the official emission results for each tested engine at the selected test point by adding the factor to the measured emissions. If the factor is less than zero, use zero. Additive deterioration factors must be specified to one more decimal place than the applicable standard.
              (2) Multiplicative deterioration factor for exhaust emissions. Use a multiplicative deterioration factor if good engineering judgment calls for the deterioration factor for a pollutant to be the ratio of exhaust emissions at the end of the useful life to exhaust emissions at the low-hour test point. For example, if you use aftertreatment technology that controls emissions of a pollutant proportionally to engine-out emissions, it is often appropriate to use a multiplicative deterioration factor. Adjust the official emission results for each tested engine at the selected test point by multiplying the measured emissions by the deterioration factor. If the factor is less than one, use one. A multiplicative deterioration factor may not be appropriate in cases where testing variability is significantly greater than engine-to-engine variability. Multiplicative deterioration factors must be specified to one more significant figure than the applicable standard.
              (3) Diesel-cycle HDEs only. For acceleration smoke (“A”), lugging smoke (“B”), and peak smoke (“C”), the official exhaust emission results for each emission data engine at the selected test point shall be adjusted by the addition of the appropriate deterioration factor. However, if the deterioration factor supplied by the manufacturer is less than zero, it shall be zero for the purposes of this paragraph.

              (4) The emission values to compare with the standards (or family emission limits, as appropriate) shall be the adjusted emission values of paragraph (c)(4)(iii) of this section, rounded to the same number of significant figures as contained in the applicable standard in accordance with ASTM E 29-93a (as referenced in § 86.094-28 (a)(4)(i)(B)(2)(ii)), for each emission data engine.
              (5) and (6) [Reserved]
              (7) Every test engine of an engine family must comply with all applicable standards (or family emission limits, as appropriate), as determined in paragraph (c)(4)(iv) of this section, before any engine in that family will be certified.
              (8) For the purposes of setting an NMHC plus NOX certification level or FEL for a diesel-fueled engine family, the manufacturer may use one of the following options for the determination of NMHC for an engine family. The manufacturer must declare which option is used in its application for certification of that engine family.
              (i) THC may be used in lieu of NMHC for the standards set forth in § 86.004-11.
              (ii) The manufacturer may choose its own method to analyze methane with prior approval of the Administrator.
              (iii) The manufacturer may assume that two percent of the measured THC is methane (NMHC = 0.98 × THC).
              (d)(1) Paragraph (d) of this section applies to heavy-duty vehicles equipped with gasoline-fueled or methanol-fueled engines.
              (2) The applicable evaporative emission standards in this subpart apply to the emissions of vehicles for their useful life.
              (3)(i) For vehicles with a GVWR of up to 26,000 pounds, because it is expected that emission control efficiency will change during the useful life of the vehicle, an evaporative emission deterioration factor shall be determined from the testing described in § 86.098-23(b)(3) for each evaporative emission family-evaporative emission control system combination to indicate the evaporative emission control system deterioration during the useful life of the vehicle (minimum 50,000 miles). The factor shall be established to a minimum of two places to the right of the decimal.
              (ii) For vehicles with a GVWR of greater than 26,000 pounds, because it is expected that emission control efficiency will change during the useful life of the vehicle, each manufacturer's statement as required in § 86.098-23(b)(4)(ii) shall include, in accordance with good engineering practice, consideration of control system deterioration.
              (4) The evaporative emission test results, if any, shall be adjusted by the addition of the appropriate deterioration factor, provided that if the deterioration factor as computed in paragraph (d)(3) of this section is less than zero, that deterioration factor shall be zero for the purposes of this paragraph.
              (5) The emission level to compare with the standard shall be the adjusted emission level of paragraph (d)(4) of this section. Before any emission value is compared with the standard, it shall be rounded, in accordance with ASTM E 29-93a (as referenced in § 86.094-28 (a)(4)(i)(B)(2)(ii)), to two significant figures. The rounded emission values may not exceed the standard.
              (6) Every test vehicle of an evaporative emission family must comply with the evaporative emission standard, as determined in paragraph (d)(5) of this section, before any vehicle in that family may be certified.
              (e) [Reserved]
              (f)-(g) [Reserved]
              (h) [Reserved]. For guidance see § 86.001-28.

              (i) This paragraph (i) describes how to adjust emission results from model year 2020 and earlier heavy-duty engines equipped with exhaust aftertreatment to account for regeneration events. This provision only applies for engines equipped with emission controls that are regenerated on an infrequent basis. For the purpose of this paragraph (i), the term “regeneration” means an event during which emission levels change while the aftertreatment performance is being restored by design. Examples of regenerations are increasing exhaust gas temperature to remove sulfur from an adsorber or increasing exhaust gas temperature to oxidize PM in a trap. For the purpose of this paragraph (i), the term “infrequent” means having an expected frequency of less than once per transient test cycle. Calculation and use of adjustment factors are described in paragraphs (i)(1) through (5) of this section. If your engine family includes engines with one or more AECDs for emergency vehicle applications approved under paragraph (4) of the definition of defeat device in § 86.004-2, do not consider additional regenerations resulting from those AECDs when calculating emission factors or frequencies under this paragraph (i).
              (1) Development of adjustment factors. Manufacturers must develop separate pairs of adjustment factors (an upward adjustment factor and a downward adjustment factor) for each pollutant based on measured emission data and observed regeneration frequency. Adjustment factors may be carried-over to subsequent model years or carried-across to other engine families only where the Administrator determines that such carry-over or carry-across is consistent with good engineering judgment. Adjustment factors should generally apply to an entire engine family, but manufacturers may develop separate adjustment factors for different engine configurations within an engine family. All adjustment factors for regeneration are additive.
              (2) Calculation of adjustment factors. The adjustment factors are calculated from the following parameters: the measured emissions from a test in which the regeneration occurs (EFH), the measured emissions from a test in which the regeneration does not occur (EFL), and the frequency of the regeneration event in terms of fraction of tests during which the regeneration occurs (F). The average emission rate (EFA) is calculated as:

              EFA = (F)(EFH) + (1 − F)(EFL)

              (i) The upward adjustment factor (UAF) is calculated as: UAF = EFA − EFL.

              (ii) The downward adjustment factor (DAF) is calculated as: DAF = EFA − EFH.
              (3) Use of adjustment factors. Upward adjustment factors are added to measured emission rates for all tests in which the regeneration does not occur. Downward adjustment factors are added to measured emission rates for all tests in which the regeneration occurs. The occurrence of the regeneration must be identified in a manner that is readily apparent during all testing. Where no regeneration is identified, the upward adjustment factor shall be applied.
              (4) Sample calculation. If EFL is 0.10 g/bhp-hr, EFH is 0.50 g/bhp-hr, and F is 0.1 (i.e., the regeneration occurs once for each ten tests), then:

              EFA = (0.1)(0.5 g/bhp-hr) + (1.0 − 0.1)(0.1 g/bhp-hr) = 0.14 g/bhp-hr
              UAF = 0.14 g/bhp-hr − 0.10 g/bhp-hr = 0.04 g/bhp-hr
              DAF = 0.14 g/bhp-hr − 0.50 g/bhp-hr = −0.36 g/bhp-hr

              (5) Options. (i) A manufacturer may elect to omit adjustment factors for one or more of its engine families (or configurations) because the effect of the regeneration is small, or because it is not practical to identify when regenerations occur. In these cases, no upward or downward adjustment factor shall be added, and the manufacturer is liable for compliance with the emission standards for all tests, without regard to whether a regeneration occurs.
              (ii) Upon request by the manufacturer, the Administrator may account for regeneration events differently than is provided in this paragraph (i). However, this option only applies for events that occur extremely infrequently, and which cannot be practically addressed using the adjustment factors described in this paragraph (i).
              (j) For model year 2021 and later engines using aftertreatment technology with infrequent regeneration events that may occur during testing, take one of the following approaches to account for the emission impact of regeneration:
              (1) You may use the calculation methodology described in 40 CFR 1065.680 to adjust measured emission results. Do this by developing an upward adjustment factor and a downward adjustment factor for each pollutant based on measured emission data and observed regeneration frequency as follows:

              (i) Adjustment factors should generally apply to an entire engine family, but you may develop separate adjustment factors for different configurations within an engine family. Use the adjustment factors from this section for all testing for the engine family.
              (ii) You may use carryover or carry-across data to establish adjustment factors for an engine family as described in § 86.001-24(f), consistent with good engineering judgment.
              (iii) Identify the value of F in each application for the certification for which it applies.
              (2) You may ask us to approve an alternate methodology to account for regeneration events. We will generally limit approval to cases where your engines use aftertreatment technology with extremely infrequent regeneration and you are unable to apply the provisions of this section.
              (3) You may choose to make no adjustments to measured emission results if you determine that regeneration does not significantly affect emission levels for an engine family (or configuration) or if it is not practical to identify when regeneration occurs. If you choose not to make adjustments under paragraph (j)(1) or (2) of this section, your engines must meet emission standards for all testing, without regard to regeneration.
              [61 FR 54890, Oct. 22, 1996, as amended at 62 FR 54726, Oct. 21, 1997; 65 FR 59948, Oct. 6, 2000; 66 FR 5159, Jan. 18, 2001; 71 FR 31486, Aug. 30, 2006; 77 FR 34145, June 8, 2012; 79 FR 23688, Apr. 28, 2014; 81 FR 73974, Oct. 25, 2016]

              § 86.004-38
              Maintenance instructions.
              (a) The manufacturer shall furnish or cause to be furnished to the purchaser of each new motor vehicle (or motor vehicle engine) subject to the standards prescribed in § 86.099-8, § 86.004-9, § 86.004-10, or § 86.004-11, as applicable, written instructions for the proper maintenance and use of the vehicle (or engine), by the purchaser consistent with the provisions of § 86.004-25, which establishes what scheduled maintenance the Administrator approves as being reasonable and necessary.
              (1) The maintenance instructions required by this section shall be in clear, and to the extent practicable, nontechnical language.
              (2) The maintenance instructions required by this section shall contain a general description of the documentation which the manufacturer will require from the ultimate purchaser or any subsequent purchaser as evidence of compliance with the instructions.
              (b) Instructions provided to purchasers under paragraph (a) of this section shall specify the performance of all scheduled maintenance performed by the manufacturer on certification durability vehicles and, in cases where the manufacturer performs less maintenance on certification durability vehicles than the allowed limit, may specify the performance of any scheduled maintenance allowed under § 86.004-25.
              (c) Scheduled emission-related maintenance in addition to that performed under § 86.004-25(b) may only be recommended to offset the effects of abnormal in-use operating conditions, except as provided in paragraph (d) of this section. The manufacturer shall be required to demonstrate, subject to the approval of the Administrator, that such maintenance is reasonable and technologically necessary to assure the proper functioning of the emission control system. Such additional recommended maintenance shall be clearly differentiated, in a form approved by the Administrator, from that approved under § 86.004-25(b).

              (d) Inspections of emission-related parts or systems with instructions to replace, repair, clean, or adjust the parts or systems if necessary, are not considered to be items of scheduled maintenance which insure the proper functioning of the emission control system. Such inspections, and any recommended maintenance beyond that approved by the Administrator as reasonable and necessary under paragraphs (a), (b), and (c) of this section, may be included in the written instructions furnished to vehicle owners under paragraph (a) of this section: Provided, That such instructions clearly state, in a form approved by the Administrator, that the owner need not perform such inspections or recommended maintenance in order to maintain the emissions defect and emissions performance warranty or manufacturer recall liability.

              (e) The manufacturer may choose to include in such instructions an explanation of any distinction between the useful life specified on the label, and the emissions defect and emissions performance warranty period. The explanation must clearly state that the useful life period specified on the label represents the average period of use up to retirement or rebuild for the engine family represented by the engine used in the vehicle. An explanation of how the actual useful lives of engines used in various applications are expected to differ from the average useful life may be included. The explanation(s) shall be in clear, non-technical language that is understandable to the ultimate purchaser.
              (f) If approved by the Administrator, the instructions provided to purchasers under paragraph (a) of this section shall indicate what adjustments or modifications, if any, are necessary to allow the vehicle to meet applicable emission standards at elevations above 4,000 feet, or at elevations of 4,000 feet or less.
              (g) [Reserved]
              (h) The manufacturer shall furnish or cause to be furnished to the purchaser of each new motor engine subject to the standards prescribed in § 86.004-10 or § 86.004-11, as applicable, the following:
              (1) Instructions for all maintenance needed after the end of the useful life of the engine for critical emissions-related components as provided in § 86.004-25(b), including recommended practices for diagnosis, cleaning, adjustment, repair, and replacement of the component (or a statement that such component is maintenance free for the life of the engine) and instructions for accessing and responding to any emissions-related diagnostic codes that may be stored in on-board monitoring systems;
              (2) A copy of the engine rebuild provisions contained in § 86.004-40.
              (i) For each new diesel-fueled engine subject to the standards prescribed in § 86.007-11, as applicable, the manufacturer shall furnish or cause to be furnished to the ultimate purchaser a statement that “This engine must be operated only with ultra low-sulfur diesel fuel (meeting EPA specifications for highway diesel fuel, including a 15 ppm sulfur cap).”
              [62 FR 54728, Oct. 21, 1997, as amended at 68 FR 38455, June 27, 2003; 79 FR 23688, Apr. 28, 2014]

              § 86.004-40
              Heavy-duty engine rebuilding practices.
              The provisions of this section are applicable to heavy-duty engines subject to model year 2004 or later standards and are applicable to the process of engine rebuilding (or rebuilding a portion of an engine or engine system). The process of engine rebuilding generally includes disassembly, replacement of multiple parts due to wear, and reassembly, and also may include the removal of the engine from the vehicle and other acts associated with rebuilding an engine. Any deviation from the provisions contained in this section is a prohibited act under section 203(a)(3) of the Clean Air Act (42 U.S.C. 7522(a)(3)).
              (a) When rebuilding an engine, portions of an engine, or an engine system, there must be a reasonable technical basis for knowing that the resultant engine is equivalent, from an emissions standpoint, to a certified configuration (i.e., tolerances, calibrations, specifications) and the model year(s) of the resulting engine configuration must be identified. A reasonable basis would exist if:
              (1) Parts installed, whether the parts are new, used, or rebuilt, are such that a person familiar with the design and function of motor vehicle engines would reasonably believe that the parts perform the same function with respect to emissions control as the original parts; and
              (2) Any parameter adjustment or design element change is made only:
              (i) In accordance with the original engine manufacturer's instructions; or
              (ii) Where data or other reasonable technical basis exists that such parameter adjustment or design element change, when performed on the engine or similar engines, is not expected to adversely affect in-use emissions.

              (b) When an engine is being rebuilt and remains installed or is reinstalled in the same vehicle, it must be rebuilt to a configuration of the same or later model year as the original engine. When an engine is being replaced, the replacement engine must be an engine of (or rebuilt to) a configuration of the same or later model year as the original engine.
              (c) At time of rebuild, emissions-related codes or signals from on-board monitoring systems may not be erased or reset without diagnosing and responding appropriately to the diagnostic codes, regardless of whether the systems are installed to satisfy requirements in § 86.004-25 or for other reasons and regardless of form or interface. Diagnostic systems must be free of all such codes when the rebuilt engine is returned to service. Such signals may not be rendered inoperative during the rebuilding process.
              (d) When conducting a rebuild without removing the engine from the vehicle, or during the installation of a rebuilt engine, all critical emissions-related components listed in § 86.004-25(b) not otherwise addressed by paragraphs (a) through (c) of this section must be checked and cleaned, adjusted, repaired, or replaced as necessary, following manufacturer recommended practices.
              (e) Records shall be kept by parties conducting activities included in paragraphs (a) through (d) of this section. The records shall include at minimum the mileage and/or hours at time of rebuild, a listing of work performed on the engine and emissions-related control components including a listing of parts and components used, engine parameter adjustments, emissions-related codes or signals responded to and reset, and work performed under paragraph (d) of this section.
              (1) Parties may keep records in whatever format or system they choose as long as the records are understandable to an EPA enforcement officer or can be otherwise provided to an EPA enforcement officer in an understandable format when requested.
              (2) Parties are not required to keep records of information that is not reasonably available through normal business practices including information on activities not conducted by themselves or information that they cannot reasonably access.
              (3) Parties may keep records of their rebuilding practices for an engine family rather than on each individual engine rebuilt in cases where those rebuild practices are followed routinely.
              (4) Records must be kept for a minimum of two years after the engine is rebuilt.
              [62 FR 54729, Oct. 21, 1997, as amended at 66 FR 5160, Jan. 18, 2001]

              § 86.005-1
              General applicability.
              Section 86.005-1 includes text that specifies requirements that differ from § 86.001-1. Where a paragraph in § 86.001-1 is identical and applicable to § 86.005-1, this may be indicated by specifying the corresponding paragraph and the statement “[Reserved]. For guidance see § 86.001-1.”.
              (a) Applicability. The provisions of this subpart generally apply to 2005 and later model year new Otto-cycle heavy-duty engines used in incomplete vehicles and vehicles above 14,000 pounds GVWR and 2005 and later model year new diesel-cycle heavy-duty engines. In cases where a provision applies only to a certain vehicle group based on its model year, vehicle class, motor fuel, engine type, or other distinguishing characteristics, the limited applicability is cited in the appropriate section or paragraph. The provisions of this subpart continue to generally apply to 2000 and earlier model year new Otto-cycle and diesel-cycle light-duty vehicles, 2000 and earlier model year new Otto-cycle and diesel-cycle light-duty trucks, and 2004 and earlier model year new Otto-cycle complete heavy-duty vehicles at or below 14,000 pounds GVWR. Provisions generally applicable to 2001 and later model year new Otto-cycle and diesel-cycle light-duty vehicles, 2001 and later model year new Otto-cycle and diesel-cycle light-duty trucks, and 2005 and later model year Otto-cycle complete heavy-duty vehicles at or below 14,000 pounds GVWR are located in subpart S of this part.
              (b) Optional applicability. (1) A manufacturer may request to certify any 2003 or 2004 model year heavy-duty vehicle of 14,000 pounds Gross Vehicle Weight Rating or less in accordance with the light-duty truck provisions located in subpart S of this part. Heavy-duty engine or vehicle provisions of this subpart A do not apply to such a vehicle. This option is not available in the 2003 model year for manufacturers choosing Otto-cycle HDE option 1 in paragraph (c)(1) of this section, or in the 2004 model year for manufacturers choosing Otto-cycle HDE option 2 in paragraph (c)(2) of this section.
              (2) For 2005 and later model years, a manufacturer may request to certify any incomplete Otto-cycle heavy-duty vehicle of 14,000 pounds Gross Vehicle Weight Rating or less in accordance with the provisions for Otto-cycle complete heavy-duty vehicles located in subpart S of this part. Heavy-duty engine or heavy-duty vehicle provisions of this subpart A do not apply to such a vehicle. This option is available starting with the 2003 model year to manufacturers choosing Otto-cycle HDE option 1 in paragraph (c)(1) of this section. This option is available starting with the 2004 model year to manufacturers choosing Otto-cycle HDE option 2 in paragraph (c)(1) of this section.
              (c) Otto-cycle heavy-duty engines and vehicles. The manufacturer must select one of the three options for Otto-cycle heavy-duty engines and vehicles in paragraphs (c)(1) through (c)(3) of this section. The emission standards and other requirements that apply under a given option shall apply to all Otto-cycle heavy-duty engines and vehicles certified by the manufacturer (e.g., a manufacturer may not select one option for certain engine families and the other option for other engine families). The requirements under each option shall remain effective, once selected, for subsequent model years, until superceded or otherwise revised by the Administrator (e.g., a manufacturer may not select one option prior to the 2004 model year and change to another option in the 2006 model year). The complete requirements under each option are contained in subparts A and S of this part.
              (1) Otto-cycle HDE Option 1. The following requirements apply to Otto-cycle heavy-duty engines and vehicles certified by manufacturers selecting this option:
              (i) Emission standards for 2003 and later model year Otto-cycle heavy-duty engines, according to the provisions of § 86.005-10(f)(1).
              (ii) Emission standards for 2003 and later model year Otto-cycle complete heavy-duty vehicles, according to the provisions of § 86.1816-05, except that, for 2003 through 2006 model year Otto-cycle complete heavy-duty vehicles, manufacturers may optionally comply with the standards in either 86.005-10 or 86.1816-05.
              (iii) Averaging, banking, and trading provisions that allow transfer of credits between a manufacturer's complete vehicle averaging set and their heavy-duty Otto-cycle engine averaging set, according to the provisions of § 86.1817-05(o).
              (iv) On-board diagnostics requirements effective starting with the 2004 model year for Otto-cycle engines and complete vehicles, according to the provisions of §§ 86.005-17 and 86.1806-05.
              (v) Refueling emissions requirements effective starting with the 2004 model year for Otto-cycle complete vehicles, according to the provisions of §§ 86.1810-01 and 86.1816-05.
              (2) Otto-cycle HDE Option 2. The following requirements apply to Otto-cycle heavy-duty engines and vehicles certified by manufacturers selecting this option:
              (i) Emission standards for 2004 and later model year Otto-cycle heavy-duty engines, according to the provisions of § 86.005-10(f)(2).
              (ii) Emission standards for 2004 and later model year Otto-cycle complete heavy-duty vehicles, according to the provisions of § 86.1816-05.
              (iii) Averaging, banking, and trading provisions that allow transfer of credits between a manufacturer's complete vehicle averaging set and their heavy-duty Otto-cycle engine averaging set, according to the provisions of § 86.1817-05(o).
              (iv) On-board diagnostics requirements effective starting with the 2004 model year for Otto-cycle engines and complete vehicles, according to the provisions of §§ 86.005-17 and 86.1806-05.
              (v) Refueling emissions requirements effective starting with the 2004 model year for Otto-cycle complete vehicles, according to the provisions of §§ 86.1810-01 and 86.1816-05.
              (3) Otto-cycle HDE Option 3. The following requirements apply to Otto-cycle heavy-duty engines and vehicles certified by manufacturers that do not select one of the options for 2003 or 2004 model year compliance in paragraph (c)(1) or (c)(2) of this section:
              (i) Emission standards for 2005 and later model year Otto-cycle heavy-duty engines, according to the provisions of § 86.005-10.
              (ii) Emission standards for 2005 and later model year Otto-cycle complete heavy-duty vehicles, according to the provisions of § 86.1816-05.
              (iii) On-board diagnostics requirements effective starting with the 2005 model year for Otto-cycle engines and complete vehicles, according to the provisions of §§ 86.005-17 and 86.1806-05.
              (iv) Refueling emissions requirements effective starting with the 2005 model year for Otto-cycle complete vehicles, according to the provisions of §§ 86.1810-01 and 86.1816-05.
              (v) Manufacturers selecting this option may exempt 2005 model year Otto-cycle heavy-duty engines and vehicles whose model year commences before July 31, 2004 from the requirements in paragraphs (c)(3)(i) through (iv) of this section.
              (vi) For 2005 model year engines or vehicles exempted under paragraph (c)(3)(v) of this section, a manufacturer shall certify such Otto-cycle heavy-duty engines and vehicles to all requirements in this subpart applicable to 2004 model year Otto-cycle heavy-duty engines. The averaging, banking, and trading provisions contained in § 86.000-15 remain effective for these engines.
              (d) [Reserved]
              (e)-(f) [Reserved]. For guidance see § 86.001-1.
              [65 FR 59949, Oct. 6, 2000]

              § 86.005-10
              Emission standards for 2005 and later model year Otto-cycle heavy-duty engines and vehicles.
              Section 86.005-10 includes text that specifies requirements that differ from § 86.099-10. Where a paragraph in § 86.099-10 is identical and applicable to § 86.005-10, this may be indicated by specifying the corresponding paragraph and the statement “[Reserved]. For guidance see § 86.099-10.”
              (a)(1) Exhaust emissions from new 2005 and later model year Otto-cycle HDEs, except for Otto-cycle HDEs subject to the alternative standards in paragraph (f) of this section, shall not exceed:
              (i)(A) Oxides of Nitrogen plus Non-methane Hydrocarbons (NO
                X
                 + NMHC) for engines fueled with either gasoline, natural gas, or liquefied petroleum gas. 1.0 grams per brake horsepower-hour (0.37 grams per megajoule).
              (B) Oxides of Nitrogen plus Non-methane Hydrocarbon Equivalent (NO
                X
                 + NMHCE) for engines fueled with methanol. 1.0 grams per brake horsepower-hour (0.37 grams per megajoule).

              (C) A manufacturer may elect to include any or all of its Otto-cycle HDE families in any or all of the emissions ABT programs for HDEs, within the restrictions described in § 86.098-15. If the manufacturer elects to include engine families in any of these programs, the NOX plus NMHC (or NOX plus NMHCE for methanol-fueled engines) FELs may not exceed 4.5 grams per brake horsepower-hour (1.7 grams per megajoule). This ceiling value applies whether credits for the family are derived from averaging, banking, or trading programs.
              (ii)(A) Carbon monoxide for engines intended for use in all vehicles, except as provided in paragraph (a)(3) of this section. 14.4 grams per brake horsepower-hour (5.36 grams per megajoule), as measured under transient operating conditions.
              (B) Carbon monoxide for engines intended for use only in vehicles with a Gross Vehicle Weight Rating of greater than 14,000 pounds. 37.1 grams per brake horsepower-hour (13.8 grams per megajoule), as measured under transient operating conditions.
              (C) Idle carbon monoxide. For all Otto-cycle HDEs utilizing aftertreatment technology, and not certified to the onboard diagnostics requirements of § 86.005-17: 0.50 percent of exhaust gas flow at curb idle.

              (2) The standards set forth in paragraphs (a)(1) and (f) of this section refer to the exhaust emitted over the operating schedule set forth in paragraph (f)(1) of appendix I to this part, and measured and calculated in accordance with the procedures set forth in subpart N or P of this part.

              (3)(i) A manufacturer may certify one or more Otto-cycle HDE configurations intended for use in all vehicles to the emission standard set forth in paragraph (a)(1)(ii)(B) of this section: Provided, that the total model year sales of such configuration(s), segregated by fuel type, being certified to the emission standard in paragraph (a)(1)(ii)(B) of this section represent no more than five percent of total model year sales of each fuel type Otto-cycle HDE intended for use in vehicles with a Gross Vehicle Weight Rating of up to 14,000 pounds by the manufacturer.
              (ii) The configurations certified to the emission standards of paragraph (a)(1)(ii)(B) of this section under the provisions of paragraph (a)(3)(i) of this section shall still be required to meet the evaporative emission standards set forth in § 86.099-10(b)(1)(i), (b)(2)(i) and (b)(3)(i).
              (4) The manufacturer may exempt 2005 model year HDE engine families whose model year begins before July, 31, 2004 from the requirements in this paragraph (a). Exempted engine families shall be subject to the requirements in § 86.099-10.
              (5) For certification purposes, where the applicable California evaporative emission standard is as stringent or more stringent than the applicable federal evaporative emission standard, the Administrator may accept California certification test data indicating compliance with the California standard to demonstrate compliance with the appropriate federal certification evaporative emission standard. The Administrator may require the manufacturer to provide comparative test data which clearly demonstrates that a vehicle meeting the California evaporative standard (when tested under California test conditions/test procedures) will also meet the appropriate federal evaporative emission standard when tested under federal test conditions/test procedures described in this part 86.
              (b) [Reserved]. For guidance see § 86.099-10.
              (c) No crankcase emissions shall be discharged into the ambient atmosphere from any new 1998 or later model year Otto-cycle heavy-duty engine.
              (d) Every manufacturer of new motor vehicle engines subject to the standards prescribed in this section shall, prior to taking any of the actions specified in section 203(a)(1) of the Act, test or cause to be tested motor vehicle engines in accordance with applicable procedures in subpart N or P of this part to ascertain that such test engines meet the requirements of this section.
              (e) [Reserved]. For guidance see § 86.099-10.
              (f) Alternative exhaust emission standards. In lieu of the exhaust emission standards in paragraph (a)(1)(i)(A) or (B) of this section, the manufacturer may select the standards and provisions in either paragraph (f)(1) or (f)(2) of this section.
              (1) Otto-cycle HDE Option 1. The alternative exhaust emission standards in this paragraph (f)(1) shall apply to new 2003 through 2007 model year Otto-cycle HDEs and, at the manufacturers option, to new 2003 through 2006 model year Otto-cycle complete heavy-duty vehicles less than or equal to 14,000 pounds GVWR
              (i) Oxides of Nitrogen plus Non-methane Hydrocarbons (NO
                X
                 + NMHC) for engines fueled with either gasoline, natural gas, or liquefied petroleum gas. 1.5 grams per brake horsepower-hour (0.55 grams per megajoule).
              (ii) Oxides of Nitrogen plus Non-methane Hydrocarbon Equivalent (NO
                X
                 + NMHCE) for engines fueled with methanol. 1.5 grams per brake horsepower-hour (0.55 grams per megajoule).
              (2) Otto-cycle HDE Option 2. The alternative exhaust emission standards in this paragraph (f)(2) shall apply to new 2004 through 2007 model year Otto-cycle HDEs.
              (i) Oxides of Nitrogen plus Non-methane Hydrocarbons (NO,
                X
                 + NMHC) for engines fueled with either gasoline, natural gas, or liquefied petroleum gas. 1.5 grams per brake horsepower-hour (0.55 grams per megajoule).
              (ii) Oxides of Nitrogen plus Non-methane Hydrocarbon Equivalent (NO
                X
                 + NMHCE) for engines fueled with methanol. 1.5 grams per brake horsepower-hour (0.55 grams per megajoule).
              [65 FR 59950, Oct. 6, 2000, as amended at 66 FR 5160, Jan. 18, 2001; 70 FR 72927, Dec. 8, 2005; 79 FR 23688, Apr. 28, 2014]

              § 86.007-11
              Emission standards and supplemental requirements for 2007 and later model year diesel heavy-duty engines and vehicles.
              This section applies to new 2007 and later model year diesel heavy-duty engines and vehicles. Starting in model year 2021, this section also applies to all heavy HDE, regardless of fuel or combustion cycle (see 40 CFR 1036.140(a) and 1036.150(c)). Section 86.007-11 includes text that specifies requirements that differ from § 86.004-11. Where a paragraph in § 86.004-11 is identical and applicable to § 86.007-11, this may be indicated by specifying the corresponding paragraph and the statement “[Reserved]. For guidance see § 86.004-11.”
              (a)(1) Exhaust emissions from new 2007 and later model year diesel HDEs shall not exceed the following:
              (i) Oxides of Nitrogen (NO
                X
                ). (A) 0.20 grams per brake horsepower-hour (0.075 grams per megajoule).

              (B) A manufacturer may elect to include any or all of its diesel HDE families in any or all of the NOX and NOX plus NMHC emissions ABT programs for HDEs, within the restrictions described in § 86.007-15 or § 86.004-15. If the manufacturer elects to include engine families in any of these programs, the NOX FELs may not exceed the following FEL caps: 2.00 grams per brake horsepower-hour (0.75 grams per megajoule) for model years before 2010; 0.50 grams per brake horsepower-hour (0.19 grams per megajoule) for model years 2010 and later. This ceiling value applies whether credits for the family are derived from averaging, banking, or trading programs.
              (ii)(A) Nonmethane hydrocarbon (NMHC) for engines fueled with diesel fuel. 0.14 grams per brake horsepower-hour (0.052 grams per megajoule).
              (B) Nonmethane-nonethane hydrocarbon (NMNEHC) for engines fueled with natural gas or liquefied petroleum gas. 0.14 grams per brake horsepower-hour (0.052 grams per megajoule).
              (C) Nonmethane hydrocarbon equivalent (NMHCE) for engines fueled with methanol. 0.14 grams per brake horsepower-hour (0.052 grams per megajoule).
              (iii) Carbon monoxide. 15.5 grams per brake horsepower-hour (5.77 grams per megajoule).
              (iv) Particulate. (A) 0.01 grams per brake horsepower-hour (0.0037 grams per megajoule).
              (B) A manufacturer may elect to include any or all of its diesel HDE families in any or all of the particulate ABT programs for HDEs, within the restrictions described in § 86.007-15 or other applicable sections. If the manufacturer elects to include engine families in any of these programs, the particulate FEL may not exceed 0.02 grams per brake horsepower-hour (0.0075 grams per megajoule).
              (2) The standards set forth in paragraph (a)(1) of this section refer to the exhaust emitted over the duty cycle specified in paragraphs (a)(2)(i) through (iii) of this section, where exhaust emissions are measured and calculated as specified in paragraphs (a)(2)(iv) and (v) of this section in accordance with the procedures set forth in subpart N of this part, except as noted in § 86.007-23(c)(2):
              (i) Perform the test interval set forth in paragraph (f)(2) of appendix I of this part with a cold-start according to 40 CFR part 1065, subpart F. This is the cold-start test interval.
              (ii) Shut down the engine after completing the test interval and allow 20±1 minutes to elapse. This is the hot soak.
              (iii) Repeat the test interval. This is the hot-start test interval.
              (iv) Calculate the total emission mass of each constituent, m, and the total work, W, over each test interval according to 40 CFR 1065.650.
              (v) Determine your engine's brake-specific emissions using the following calculation, which weights the emissions from the cold-start and hot-start test intervals:

                ER30AU06.001

              (3) SET (i) Exhaust emissions, as determined under § 86.1360-2007(b) pertaining to the supplemental emission test cycle, for each regulated pollutant shall not exceed 1.0 times the applicable emission standards or FELs specified in paragraph (a)(1) of this section.
              (ii) For engines not having a NOX FEL less than1.5 g/bhp-hr, gaseous exhaust emissions shall not exceed the steady-state interpolated values determined by the Maximum Allowable Emission Limits (for the corresponding speed and load), as determined under § 86.1360-2007(f), when the engine is operated in the steady-state control area defined under § 86.1360-2007(d).
              (4) NTE (i)(A) The brake-specific exhaust NMHC or NOX emissions in g/bhp-hr, as determined under § 86.1370-2007 pertaining to the not-to-exceed test procedures, shall not exceed 1.5 times the applicable NMHC or NOX emission standards or FELs specified in paragraph (a)(1) of this section, during engine and vehicle operation specified in paragraph (a)(4)(ii) of this section except as noted in paragraph (a)(4)(iii) of this section.
              (B) For engines not having a NOX FEL less than1.50 g/bhp-hr, the brake-specific NOX and NMHC exhaust emissions in g/bhp-hr, as determined under § 86.1370-2007 pertaining to the not-to-exceed test procedures, shall not exceed 1.25 times the applicable emission standards or FELs specified in paragraph (a)(1) of this section (or of § 86.004-11, as allowed by paragraph (g) of this section), during engine and vehicle operation specified in paragraph (a)(4)(ii) of this section except as noted in paragraph (a)(4)(iii) of this section.
              (C) The brake-specific exhaust PM emissions in g/bhp-hr, as determined under § 86.1370-2007 pertaining to the not-to-exceed test procedures, shall not exceed 1.5 times the applicable PM emission standards or FEL (for FELs above the standard only) specified in paragraph (a)(1) of this section, during engine and vehicle operation specified in paragraph (a)(4)(ii) of this section except as noted in paragraph (a)(4)(iii) of this section.
              (D) The brake-specific exhaust CO emissions in g/bhp-hr, as determined under § 86.1370-2007 pertaining to the not-to-exceed test procedures, shall not exceed 1.25 times the applicable CO emission standards or FEL specified in paragraph (a)(1) of this section, during engine and vehicle operation specified in paragraph (a)(4)(ii) of this section except as noted in paragraph (a)(4)(iii) of this section.
              (ii) For each engine family, the not-to-exceed emission limits must apply during one of the following two ambient operating regions:
              (A) The not-to-exceed limits apply for all altitudes less than or equal to 5,500 feet above sea-level, during all ambient conditions (temperature and humidity). Temperature and humidity ranges for which correction factors are allowed are specified in § 86.1370-2007(e); or
              (B)(1) The not-to-exceed emission limits apply at all altitudes less than or equal to 5,500 feet above sea-level, for temperatures less than or equal to the temperature determined by the following equation at the specified altitude:

              T = −0.00254 × A + 100

                Where:

                T = ambient air temperature in degrees Fahrenheit.
                A = altitude in feet above sea-level (A is negative for altitudes below sea-level).

              (2) Temperature and humidity ranges for which correction factors are allowed are specified in § 86.1370-2007(e);
              (iii) For engines equipped with exhaust gas recirculation, the not-to-exceed emission limits specified in paragraph (a)(4)(i) of this section do not apply to engine or vehicle operation during cold operating conditions as specified in § 86.1370-2007(f).
              (iv) Deficiencies for NTE emission standards. (A) For model years 2007 through 2009, upon application by the manufacturer, the Administrator may accept a HDDE as compliant with the NTE standards even though specific requirements are not fully met. Such compliances without meeting specific requirements, or deficiencies, will be granted only if compliance would be infeasible or unreasonable considering such factors as, but not limited to: Technical feasibility of the given hardware and lead time and production cycles including phase-in or phase-out of engines or vehicle designs and programmed upgrades of computers. Deficiencies will be approved on an engine model and/or horsepower rating basis within an engine family, and each approval is applicable for a single model year. A manufacturer's application must include a description of the auxiliary emission control device(s) which will be used to maintain emissions to the lowest practical level, considering the deficiency being requested, if applicable. An application for a deficiency must be made during the certification process; no deficiency will be granted to retroactively cover engines already certified.
              (B) Unmet requirements should not be carried over from the previous model year except where unreasonable hardware or software modifications would be necessary to correct the deficiency, and the manufacturer has demonstrated an acceptable level of effort toward compliance as determined by the Administrator. The NTE deficiency should only be seen as an allowance for minor deviations from the NTE requirements. The NTE deficiency provisions allow a manufacturer to apply for relief from the NTE emission requirements under limited conditions. EPA expects that manufacturers should have the necessary functioning emission control hardware in place to comply with the NTE.
              (C) For model years 2010 through 2013, the Administrator may allow up to three deficiencies per engine family. The provisions of paragraphs (a)(4)(iv)(A) and (B) of this section apply for deficiencies allowed by this paragraph (a)(4)(iv)(C). In determining whether to allow the additional deficiencies, the Administrator may consider any relevant factors, including the factors identified in paragraph (a)(4)(iv)(A) of this section. If additional deficiencies are approved, the Administrator may set any additional conditions that he/she determines to be appropriate.
              (v) The emission limits specified in paragraphs (a)(3) and (a)(4) of this section shall be rounded to the same number of significant figures as the applicable standards in paragraph (a)(1) of this section using ASTM E29-93a (Incorporated by reference at § 86.1).
              (vi) Manufacturers are not required to provide engine information exclusively related to in-use testing as part of initial certification. However, upon request from EPA the manufacturers must provide the information which clearly identifies parameters defining all NTE deficiencies described under paragraph (a)(4)(iv) of this section and parameters defining all NTE limited testing regions described under § 86.1370-2007(b)(6) and (7) that are requested. When requested, deficiencies and limited testing regions must be reported for all engine families and power ratings in English with sufficient detail for us to determine if a particular deficiency or limited testing region will be encountered in the emission test data from the portable emission-sampling equipment and field-testing procedures referenced in § 86.1375. Such information is to be provided within 60 days of the request from EPA.
              (b)(1) introductory text through (b)(1)(iii) [Reserved]. For guidance see § 86.004-11.
              (b)(1)(iv) Operation within the NTE zone (defined in § 86.1370-2007) must comply with a filter smoke number of 1.0 under steady-state operation, or the following alternate opacity limits:
              (A) A 30 second transient test average opacity limit of 4% for a 5 inch path; and
              (B) A 10 second steady state test average opacity limit of 4% for a 5 inch path.
              (2)(i) The standards set forth in § 86.004-11 (b)(1)(i)-(iii) refer to exhaust smoke emissions generated under the conditions set forth in subpart I of this part and measured and calculated in accordance with those procedures.
              (ii) The standards set forth in paragraph (b)(1)(iv) of this section refer to exhaust smoke emissions generated under the conditions set forth in § 86.1370-2007 and calculated in accordance with the procedures set forth in § 86.1372-2007.
              (b)(3) and (b)(4) [Reserved]. For guidance see § 86.004-11.

              (c) No crankcase emissions shall be discharged directly into the ambient atmosphere from any new 2007 or later model year diesel HDE, with the following exception: HDEs equipped with turbochargers, pumps, blowers, or superchargers for air induction may discharge crankcase emissions to the ambient atmosphere if the emissions are added to the exhaust emissions (either physically or mathematically) during all emission testing. Manufacturers taking advantage of this exception must manufacture the engines so that all crankcase emission can be routed into a dilution tunnel (or other sampling system approved in advance by the Administrator), and must account for deterioration in crankcase emissions when determining exhaust deterioration factors. For the purpose of this paragraph (c), crankcase emissions that are routed to the exhaust upstream of exhaust aftertreatment during all operation are not considered to be “discharged directly into the ambient atmosphere.”
              (d) Every manufacturer of new motor vehicle engines subject to the standards prescribed in this section shall, prior to taking any of the actions specified in section 203(a)(1) of the Act, test or cause to be tested motor vehicle engines in accordance with applicable procedures in subpart I or N of this part to ascertain that such test engines meet the requirements of paragraphs (a), (b), (c), and (d) of this section.
              (e) [Reserved]. For guidance see § 86.004-11.

              (f) (1) Model year 2007 and later diesel-fueled heavy-duty engines and vehicles for sale in Guam, American Samoa, or the Commonwealth of the Northern Mariana Islands shall be subject to the same standards and requirements as apply to 2006 model year diesel heavy-duty engines and vehicles, but only if the vehicle or engine bears a permanently affixed label stating:

                THIS ENGINE (or VEHICLE, as applicable) CONFORMS TO US EPA EMISSION STANDARDS APPLICABLE TO MODEL YEAR 2006. THIS ENGINE (or VEHICLE, as applicable) DOES NOT CONFORM TO US EPA EMISSION REQUIREMENTS IN EFFECT AT TIME OF PRODUCTION AND MAY NOT BE IMPORTED INTO THE UNITED STATES OR ANY TERRITORY OF THE UNITED STATES EXCEPT GUAM, AMERICAN SAMOA, OR THE COMMONWEALTH OF THE NORTHERN MARIANA ISLANDS.

              (2) The importation or sale of such a vehicle or engine for use at any location U.S. other than Guam, American Samoa, or the Commonwealth of the Northern Mariana Islands shall be considered a violation of section 203(a)(1) of the Clean Air Act. In addition, vehicles or vehicle engines subject to this exemption may not subsequently be imported or sold into any state or territory of the United States other than Guam, American Samoa, or Commonwealth of the Northern Mariana Islands.
              (g) Model year 2018 and later engines at or above 56 kW that will be installed in specialty vehicles as allowed by 40 CFR 1037.605 may meet alternate emission standards as follows:
              (1) The engines must be of a configuration that is identical to one that is certified under 40 CFR part 1039, and meet the following additional standards using the same duty cycles that apply under 40 CFR part 1039:
              (i) The engines must be certified with a Family Emission Limit for PM of 0.020 g/kW-hr.

              (ii) Diesel-fueled engines using selective catalytic reduction must meet an emission standard of 0.1 g/kW-hr for N2O.
              (2) Except as specified in this paragraph (g), engines certified under this paragraph (g) must meet all the requirements that apply under 40 CFR part 1039 instead of the comparable provisions in this subpart A. Before shipping engines under this section, you must have written assurance from the vehicle manufacturers that they need a certain number of exempted engines under this section. In your annual production report under 40 CFR 1039.250, count these engines separately and identify the vehicle manufacturers that will be installing them. Treat these engines as part of the corresponding engine family under 40 CFR part 1039 for compliance purposes such as selective enforcement audits, in-use testing, defect reporting, and recall.

              (3) The engines must be labeled as described in § 86.095-35, with the following statement instead of the one specified in § 86.095-35(a)(3)(iii)(H): “This engine conforms to alternate standards for specialty vehicles under 40 CFR 86.007-11(g)”. Engines certified under this paragraph (g) may not have the label specified for nonroad engines in 40 CFR part 1039 or any other label identifying them as nonroad engines.
              (4) In a separate application for a certificate of conformity, identify the corresponding nonroad engine family, describe the label required under this paragraph (g), state that you meet applicable diagnostic requirements under 40 CFR part 1039, and identify your projected U.S.-directed production volume.
              (5) No additional certification fee applies for engines certified under this paragraph (g).
              (6) Engines certified under this paragraph (g) may not generate or use emission credits under this part or under 40 CFR part 1039. The vehicles in which these engines are installed may generate or use emission credits as described in 40 CFR part 1037.
              (7) Engines may instead meet standards for heavy-duty highway engines in California, as demonstrated by an Executive Order issued by the California Air Resources Board.

              (h)(1) For model years prior to 2012, for purposes of determining compliance after title or custody has transferred to the ultimate purchaser, for engines having a NOX FEL no higher than 1.30 g/bhp-hr, the applicable compliance limit shall be determined by adding the applicable adjustment from paragraph (h)(2) of this section to the otherwise applicable standard or FEL for NOX.
              (2)(i) For engines with 110,000 or fewer miles, the adjustment is 0.10 g/bhp-hr.
              (ii) For engines with 110,001 to 185,000 miles, the adjustment is 0.15 g/bhp-hr.
              (iii) For engines with 185,001 or more miles, the adjustment is 0.20 g/bhp-hr.
              (3) For model years prior to 2012, for purposes of determining compliance after title or custody has transferred to the ultimate purchaser, the applicable compliance limit shall be determined by adding 0.01 g/bhp-hr to the otherwise applicable standard or FEL for PM.
              (i) [Reserved]
              (j) Engines installed in new glider vehicles are subject to the standards of this section as specified in 40 CFR part 1037.
              [65 FR 59954, Oct. 6, 2000, as amended at 66 FR 5161, Jan. 18, 2001; 70 FR 34619, June 14, 2005; 70 FR 40432, July 13, 2005; 71 FR 51486, Aug. 30, 2006; 73 FR 37192, June 30, 2008; 81 FR 73974, Oct. 25, 2016]

              § 86.007-15
              NOX and particulate averaging, trading, and banking for heavy-duty engines.
              Section 86.007-15 includes text that specifies requirements that differ from § 86.004-15. Where a paragraph in § 86.004-15 is identical and applicable to § 86.007-15, this may be indicated by specifying the corresponding paragraph and the statement “[Reserved]. For guidance see § 86.004-15.”
              (a)-(l) [Reserved]. For guidance see § 86.004-15.
              (m) The following provisions apply for model year 2007 and later engines (including engines certified during years 2007-2009 under the phase-in provisions of § 86.007-11(g)(1), § 86.005-10(a), or § 86.008-10(f)(1)). These provisions apply instead of the provisions of paragraphs § 86.004-15 (a) through (k) to the extent that they are in conflict.

              (1) Manufacturers of Otto-cycle engines may participate in an NMHC averaging, banking and trading program to show compliance with the standards specified in § 86.008-10. The generation and use of NMHC credits are subject to the same provisions in paragraphs § 86.004-15 (a) through (k) that apply for NOX plus NMHC credits, except as otherwise specified in this section.
              (2) Credits are calculated as NOX or NMHC credits for engines certified to separate NOX and NMHC standards. NOX plus NMHC credits (including banked credits and credits that are generated during years 2007-2009 under the phase-in provisions of § 86.007-11(g)(1), § 86.005-10(a), or § 86.008-10(f)(1)) may be used to show compliance with 2007 or later NOX standards (NOX or NMHC standards for Otto-cycle engines), subject to an 0.8 discount factor (e.g., 100 grams of NOX plus NMHC credits is equivalent to 80 grams of NOX credits).
              (3) NOX or NMHC (or NOX plus NMHC) credits may be exchanged between heavy-duty Otto-cycle engine families certified to the engine standards of this subpart and heavy-duty Otto-cycle engine families certified to the chassis standards of subpart S of this part, subject to an 0.8 discount factor (e.g., 100 grams of NOX (or NOX plus NMHC) credits generated from engines would be equivalent to 80 grams of NOX credits if they are used in the vehicle program of subpart S, and vice versa).
              (4) Credits that were previously discounted when they were banked according to paragraph (c) of § 86.004-15, are subject to an additional discount factor of 0.888 instead of the 0.8 discount factor otherwise required by paragraph (m)(2) or (m)(3) of this section. This results in a total discount factor of 0.8 (0.9 × 0.888 = 0.8).

              (5) For diesel engine families, the combined number of engines certified to FELs higher than 0.50 g/bhp-hr using banked NOX (and/or NOX plus NMHC) credits in any given model year may not exceed 10 percent of the manufacturer's U.S.-directed production of engines in all heavy-duty diesel engine families for that model year.
              (6) The FEL must be expressed to the same number of decimal places as the standard (generally, one-hundredth of a gram per brake horsepower-hour). For engines certified to standards expressed only one-tenth of a gram per brake horsepower-hour, if the FEL is below 1.0, then add a zero to the standard in the second decimal place and express the FEL to nearest one-hundredth of a gram per brake horsepower-hour.
              (7) Credits are to be rounded to the nearest one-hundredth of a Megagram using ASTM E29-93a (Incorporated by reference at § 86.1).
              (8) Credits generated for 2007 and later model year diesel engine families, or generated for 2008 and later model year Otto-cycle engine families are not discounted (except as specified in paragraph (m)(2) or (m)(3) of this section), and do not expire.
              (9) For the purpose of using or generating credits during a phase-in of new standards, a manufacturer may elect to split an engine family into two subfamilies (e.g., one which uses credits and one which generates credits). The manufacturer must indicate in the application for certification that the engine family is to be split, and may assign the numbers and configurations of engines within the respective subfamilies at any time prior to the submission of the end-of-year report required by § 86.001-23.

              (i) Manufacturers certifying a split diesel engine family to both the Phase 1 and Phase 2 standards with equally sized subfamilies may exclude the engines within that split family from end-of-year NOX (or NOX + NMHC) ABT calculations, provided that neither subfamily generates credits for use by other engine families, or uses banked credits, or uses averaging credits from other engine families. All of the engines in that split family must be excluded from the phase-in calculations of § 86.007-11(g)(1) (both from the number of engines complying with the standards being phased-in and from the total number of U.S.-directed production engines.)

              (ii) Manufacturers certifying a split Otto-cycle engine family to both the Phase 1 and Phase 2 standards with equally sized subfamilies may exclude the engines within that split family from end-of-year NOX (or NOX + NMHC) ABT calculations, provided that neither subfamily generates credits for use by other engine families, or uses banked credits, or uses averaging credits from other engine families. All of the engines in that split family must be excluded from the phase-in calculations of § 86.008-10(f)(1) (both from the number of engines complying with the standards being phased-in and from the total number of U.S.-directed production engines.)

              (iii) Manufacturers certifying a split engine family may label all of the engines within that family with a single NOX or NOX + NMHC FEL. The FEL on the label will apply for all SEA or other compliance testing.

              (iv) Notwithstanding the provisions of paragraph (m)(9)(iii) of this section, for split families, the NOX FEL shall be used to determine applicability of the provisions of §§ 86.007-11(a)(3)(ii), (a)(4)(i)(B), and (h)(1), and 86.008-10(g).

              (10) For model years 2007 through 2009, to be consistent with the phase-in provisions of § 86.007-11(g)(1), credits generated from engines in one diesel engine service class (e.g., light-heavy duty diesel engines) may be used for averaging by engines in a different diesel engine service class, provided the credits are calculated for both engine families using the conversion factor and useful life of the engine family using the credits, and the engine family using the credits is certified to the standards listed in § 86.007-11(a)(1). Banked or traded credits may not be used by any engine family in a different service class than the service class of the engine family generating the credits.
              [66 FR 5163, Jan. 18, 2001]

              § 86.007-17
              Onboard diagnostics for engines used in applications less than or equal to 14,000 pounds GVWR.
              Heavy-duty engines intended to be installed in heavy duty vehicles at or below 14,000 pounds GVWR that are subject to standards under this subpart must meet onboard diagnostic requirements as specified in § 86.1806.
              [79 FR 23688, Apr. 28, 2014]

              § 86.007-21
              Application for certification.
              Section 86.007-21 includes text that specifies requirements that differ from § 86.004-21, 86.094-21 or 86.096-21. Where a paragraph in § 86.004-21, 86.094-21 or 86.096-21 is identical and applicable to § 86.007-21, this may be indicated by specifying the corresponding paragraph and the statement “[Reserved]. For guidance see § 86.004-21.”, “[Reserved]. For guidance see § 86.094-21.”, or “[Reserved]. For guidance see § 86.096-21.”.
              (a)-(b)(3) [Reserved]. For guidance see § 86.094-21.
              (b)(4)(i) [Reserved]
              (b)(4)(ii)-(b)(5)(iv) [Reserved]. For guidance see § 86.094-21.
              (b)(5)(v)-(b)(6) [Reserved]. For guidance see § 86.004-21.
              (b)(7)-(b)(8) [Reserved]. For guidance see § 86.094-21.
              (c)-(j) [Reserved]. For guidance see § 86.094-21.
              (k)-(l) [Reserved]
              (m)-(n) [Reserved]. For guidance see § 86.004-21.
              (o) For diesel heavy-duty engines, the manufacturer must provide the following additional information pertaining to the supplemental emission test conducted under § 86.1360-2007:
              (1) Weighted brake-specific emissions data (i.e., in units of g/bhp-hr), calculated according to 40 CFR 1065.650 for all pollutants for which a brake-specific emission standard is established in this subpart;
              (2) For engines subject to the MAEL (see § 86.007-11(a)(3)(ii)), brake specific gaseous emission data for each of the 12 non-idle test points (identified under § 86.1360-2007(b)(1)) and the 3 EPA-selected test points (identified under § 86.1360-2007(b)(2));
              (3) For engines subject to the MAEL (see § 86.007-11(a)(3)(ii)), concentrations and mass flow rates of all regulated gaseous emissions plus carbon dioxide;
              (4) Values of all emission-related engine control variables at each test point;
              (5) A statement that the test results correspond to the test engine selection criteria in 40 CFR 1065.401. The manufacturer also must maintain records at the manufacturer's facility which contain all test data, engineering analyses, and other information which provides the basis for this statement, where such information exists. The manufacturer must provide such information to the Administrator upon request;
              (6) For engines subject to the MAEL (see § 86.007-11(a)(3)(ii)), a statement that the engines will comply with the weighted average emissions standard and interpolated values comply with the Maximum Allowable Emission Limits specified in § 86.007-11(a)(3) for the useful life of the engine where applicable. The manufacturer also must maintain records at the manufacturer's facility which contain a detailed description of all test data, engineering analyses, and other information which provides the basis for this statement, where such information exists. The manufacturer must provide such information to the Administrator upon request.
              (7) [Reserved]

              (p)(1) The manufacturer must provide a statement in the application for certification that the diesel heavy-duty engine for which certification is being requested will comply with the applicable Not-To-Exceed Limits specified in § 86.007-11(a)(4) when operated under all conditions which may reasonably be expected to be encountered in normal vehicle operation and use. The manufacturer also must maintain records at the manufacturers facility which contain all test data, engineering analyses, and other information which provides the basis for this statement, where such information exists. The manufacturer must provide such information to the Administrator upon request.
              (2) For engines equipped with exhaust gas recirculation, the manufacturer must provide a detailed description of the control system the engine will use to comply with the requirements of §§ 86.007-11(a)(4)(iii) and 86.1370-2007(f) for NTE cold temperature operating exclusion, including but not limited to the method the manufacturer will use to access this exclusion during normal vehicle operation.
              (3) For each engine model and/or horsepower rating within an engine family for which a manufacturer is applying for an NTE deficiency(ies) under the provisions of § 86.007-11(a)(4)(iv), the manufacturer's application for an NTE deficiency(ies) must include a complete description of the deficiency, including but not limited to: the specific description of the deficiency; what pollutant the deficiency is being applied for, all engineering efforts the manufacturer has made to overcome the deficiency, what specific operating conditions the deficiency is being requested for (i.e., temperature ranges, humidity ranges, altitude ranges, etc.), a full description of the auxiliary emission control device(s) which will be used to maintain emissions to the lowest practical level; and what the lowest practical emission level will be.
              (q) The manufacturer must name an agent for service of process located in the United States. Service on this agent constitutes service on you or any of your officers or employees for any action by EPA or otherwise by the United States related to the requirements of this part.
              [65 FR 59954, Oct. 6, 2000, as amended at 70 FR 40433, July 13, 2005; 71 FR 51487, Aug. 30, 2006; 79 FR 23689, Apr. 28, 2014]

              § 86.007-23
              Required data.
              Section 86.007-23 includes text that specifies requirements that differ from § 86.098-23 or § 86.001-23. Where a paragraph in § 86.098-23 or § 86.001-23 is identical and applicable to § 86.007-23, this may be indicated by specifying the corresponding paragraph and the statement “[Reserved]. For guidance see § 86.098-23.” or “[Reserved]. For guidance see § 86.001-23.”.
              (a)-(b)(1) [Reserved]. For guidance see § 86.098-23.
              (b)(2) [Reserved]
              (b)(3) and (b)(4) [Reserved]. For guidance see § 86.098-23.
              (c) Emission data from certification vehicles and engines. The manufacturer shall submit emission data for each applicable emission standard from vehicles and engines tested in accordance with applicable test procedures and in such numbers as specified. These data shall include zero-mile or zero-hour data, if generated, and emission data generated for certification as required under § 86.004-26. However, manufacturers may provide a statement in the application for certification that vehicles and engines comply with the following standards instead of submitting test data, provided that the statement is supported by previous emission tests, development tests, or other appropriate information, and good engineering judgment:
              (1) Idle CO, smoke, or particulate matter emissions from methanol-fueled or gaseous-fueled diesel-cycle certification engines.
              (2) Particulate matter emissions from Otto-cycle certification engines or gaseous-fueled certification engines.
              (3) CO emissions from diesel-cycle certification engines.
              (4) Formaldehyde emissions from petroleum-fueled engines.
              (5) Particulate matter and formaldehyde emissions when conducting Selective Enforcement Audit testing of Otto-cycle engines.
              (6) Smoke from methanol-fueled or petroleum-fueled diesel-cycle certification engines.

              (7) Smoke when conducting Selective Enforcement Audit testing of diesel-cycle engines.

              (8) Evaporative emissions from vehicles fueled by natural gas, liquefied petroleum gas, or hydrogen.
              (d)-(e)(1) [Reserved]. For guidance see § 86.098-23.
              (e)(2) and (e)(3) [Reserved]. For guidance see § 86.001-23.
              (f)-(g) [Reserved]
              (h)-(k) [Reserved]. For guidance see § 86.098-23.
              (l) [Reserved]
              (m) [Reserved]. For guidance see § 86.098-23.
              [66 FR 5164, Jan. 18, 2001, as amended at 74 FR 56373, Oct. 30, 2009; 78 FR 36388, June 17, 2013; 79 FR 23689, Apr. 28, 2014]

              § 86.007-30
              Certification.
              (a)(1)(i) If, after a review of the test reports and data submitted by the manufacturer, data derived from any inspection carried out under § 86.091-7(c) and any other pertinent data or information, the Administrator determines that a test vehicle(s) (or test engine(s)) meets the requirements of the Act and of this subpart, he will issue a certificate of conformity with respect to such vehicle(s) (or engine(s)) except in cases covered by paragraphs (a)(1)(ii) and (c) of this section.
              (ii) Gasoline-fueled and methanol-fueled heavy-duty vehicles. If, after a review of the statement(s) of compliance submitted by the manufacturer under § 86.094-23(b)(4) and any other pertinent data or information, the Administrator determines that the requirements of the Act and this subpart have been met, he will issue one certificate of conformity per manufacturer with respect to the evaporative emission family(ies) covered by paragraph (c) of this section.
              (2) Such certificate will be issued for such period not to exceed one model year as the Administrator may determine and upon such terms as he may deem necessary or appropriate to assure that any new motor vehicle (or new motor vehicle engine) covered by the certificate will meet the requirements of the Act and of this part.
              (3)(i) One such certificate will be issued for each engine family. For gasoline-fueled and methanol-fueled light-duty vehicles and light-duty trucks, and petroleum-fueled diesel cycle light-duty vehicles and light-duty trucks not certified under § 86.098-28(g), one such certificate will be issued for each engine family-evaporative/refueling emission family combination. Each certificate will certify compliance with no more than one set of in-use and certification standards (or family emission limits, as appropriate).
              (ii) For gasoline-fueled and methanol fueled heavy-duty vehicles, one such certificate will be issued for each manufacturer and will certify compliance for those vehicles previously identified in that manufacturer's statement(s) of compliance as required in § 86.098-23(b)(4)(i) and (ii).
              (iii) For diesel light-duty vehicles and light-duty trucks, or diesel HDEs, included in the applicable particulate averaging program, the manufacturer may at any time during production elect to change the level of any family particulate emission limit by demonstrating compliance with the new limit as described in § 86.094-28(a)(6), § 86.094-28(b)(5)(i), or § 86.004-28(c)(5)(i). New certificates issued under this paragraph will be applicable only for vehicles (or engines) produced subsequent to the date of issuance.

              (iv) For light-duty trucks or HDEs included in the applicable 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)-(5) [Reserved]

              (6) Catalyst-equipped vehicles, otherwise covered by a certificate, which are driven outside the United States, Canada, and Mexico will be presumed to have been operated on leaded gasoline resulting in deactivation of the catalysts. If these vehicles are imported or offered for importation without retrofit of the catalyst, they will be considered not to be within the coverage of the certificate unless included in a catalyst control program operated by a manufacturer or a United States Government agency and approved by the Administrator.

              (7) [Reserved]
              (8) For heavy-duty engines, a certificate covers only those new motor vehicle engines installed in heavy-duty vehicles which conform to the minimum gross vehicle weight rating, curb weight, or frontal area limitations for heavyduty vehicles described in § 86.082-2.
              (9) For incomplete gasoline-fueled and methanol-fueled heavy-duty vehicles a certificate covers only those new motor vehicles which, when completed, conform to the nominal maximum fuel tank capacity limitations as described in the application for certification as required in § 86.094-21(e).
              (10)(i) [Reserved]
              (ii) For all heavy-duty diesel-cycle engines which are included in the particulate ABT programs under § 86.098-15 or superseding ABT sections as applicable, the provisions of paragraphs (a)(10)(ii)(A)-(C) of this section apply.
              (A) All certificates issued are conditional upon the manufacturer complying with the provisions of § 86.098-15 or superseding ABT sections as applicable and the ABT related provisions of other applicable sections, both during and after the model year production.

              (B) Failure to comply with all provisions of § 86.098-15 or superseding ABT sections as applicable will be considered to be a failure to satisfy the conditions upon which the certificate was issued, and the certificate may be deemed void ab initio.

              (C) The manufacturer shall bear the burden of establishing to the satisfaction of the Administrator that the conditions upon which the certificate was issued were satisfied or excused.
              (11)(i) [Reserved]
              (ii) For all HDEs which are included in the 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)-(16) [Reserved]
              (17) For all heavy-duty vehicles certified to evaporative test procedures and accompanying standards specified under § 86.096-10:
              (i) All certificates issued are conditional upon the manufacturer complying with all provisions of § 86.096-10 both during and after model year production.
              (ii) Failure to meet the required implementation schedule sales percentages as specified in § 86.096-10 will be considered to be a failure to satisfy the conditions upon which the certificate was issued and the vehicles sold in violation of the implementation schedule shall not be covered by the certificate.
              (iii) The manufacturer shall bear the burden of establishing to the satisfaction of the Administrator that the conditions upon which the certificate was issued were satisfied.
              (18) For all heavy-duty vehicles certified to evaporative test procedures and accompanying standards specified under § 86.098-11:
              (i) All certificates issued are conditional upon the manufacturer complying with all provisions of § 86.098-11 both during and after model year production.
              (ii) Failure to meet the required implementation schedule sales percentages as specified in § 86.098-11 will be considered to be a failure to satisfy the conditions upon which the certificate was issued and the vehicles sold in violation of the implementation schedule shall not be covered by the certificate.
              (iii) The manufacturer shall bear the burden of establishing to the satisfaction of the Administrator that the conditions upon which the certificate was issued were satisfied.

              (b)(1) The Administrator will determine whether a vehicle (or engine) covered by the application complies with applicable standards (or family emission limits, as appropriate) by observing the following relationships: in paragraphs (b)(1)(i) through (iv) of this section:
              (i)-(ii) [Reserved]
              (iii) Heavy-duty engines. (A) An Otto-cycle emission data test engine selected under § 86.094-24(b)(2)(iv) shall represent all engines in the same family of the same engine displacement-exhaust emission control system combination.
              (B) An Otto-cycle emission data test engine selected under § 86.094-24(b)(2)(iii) shall represent all engines in the same engine family of the
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