[Code of Federal Regulations]
[Title 40, Volume 17]
[Revised as of July 1, 2004]
From the U.S. Government Printing Office via GPO Access
[CITE: 40CFR86.091-7]
[Page 137-142]
TITLE 40--PROTECTION OF ENVIRONMENT
CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY (CONTINUED)
PART 86_CONTROL OF EMISSIONS FROM NEW AND IN-USE HIGHWAY VEHICLES AND
ENGINES--Table of Contents
Subpart A_General Provisions for Emission Regulations for 1977 and Later
Sec. 86.091-7 Maintenance of records; submittal of information; right of
entry.
(a) The manufacturer of any new motor vehicle (or new motor vehicle
engine) subject to any of the standards or procedures prescribed in this
subpart shall establish, maintain and retain the following adequately
organized and indexed records.
(1) General records. (i) The records required to be maintained by
this paragraph shall consist of:
(A) Identification and description of all certification vehicles (or
certification engines) for which testing is required under this subpart.
(B) A description of all emission control systems which are
installed on or incorporated in each certification vehicle (or
certification engine).
(C) A description of all procedures used to test each such
certification vehicle (or certification engine).
[[Page 138]]
(ii) A properly filed application for certification, following the
format prescribed by the US EPA for the appropriate model year, fulfills
each of the requirements of this paragraph (a)(1).
(2) Individual records. (i) A brief history of each motor vehicle
(or motor vehicle engine) used for certification under this subpart
including:
(A) In the case where a current production engine is modified for
use in a certification vehicle (or as a certification engine), a
description of the process by which the engine was selected and of the
modifications made. In the case where the engine for a certification
vehicle (or certification engine) is not derived from a current
production engine, a general description of the buildup of the engine
(e.g., experimental heads were cast and machined according to supplied
drawings, etc.). In both cases above, a description of the origin and
selection process for carburetor, distributor, fuel system components,
fuel injection components, emission control system components, smoke
exhaust emission control system components, and exhaust aftertreatment
devices as applicable, shall be included. The required descriptions
shall specify the steps taken to assure that the certification vehicle
(or certification engine) with respect to its engine, drivetrain, fuel
system, emission control system components, exhaust aftertreatment
devices, smoke exhaust emission control system components, vehicle
weight or any other devices or components, as applicable, that can
reasonably be expected to influence exhaust or evaporative emissions, as
applicable, will be representative of production vehicles (or engines)
and that either all components and/or vehicles (or engine) construction
processed, component inspection and selection techniques, and assembly
techniques employed in constructing such vehicles (or engines) are
reasonably likely to be implemented for production vehicles (or engines)
or that they are as closely analogous as practicable to planned
construction and assembly processed.
(B) A complete record of all emission tests performed (except tests
performed by EPA directly), including test results, the date and purpose
of each test, and the number of miles accumulated on the vehicle (or the
number of hours accumulated on the engine).
(C) The date of each mileage (or service) accumulation run, listing
the mileage (or number of operating hours) accumulated.
(D) [Reserved]
(E) A record and description of all maintenance and other servicing
performed, giving the date of the maintenance or service and the reason
for it.
(F) A record and description of each test performed to diagnose
engine or emission control system performance, giving the date and time
of the test and the reason for it.
(G) [Reserved]
(H) A brief description of any significant events affecting the
vehicle (or engine) during any time in the period covered by the history
not described by an entry under one of the previous headings including
such extraordinary events as vehicle accidents (or accidents involving
the engine) or dynamometer runaway.
(ii) Each such history shall be started on the date that the first
of any of the selection or buildup activities in paragraph (a)(2)(i)(A)
of this section occurred with respect to the certification vehicle (or
engine) changes or additional work is done on it, and shall be kept in a
designated location.
(3) All records, other than routine emission test records, required
to be maintained under this subpart shall be retained by the
manufacturer for a period of six (6) years after issuance of all
certificates of conformity to which they relate. Routine emission test
records shall be retained by the manufacturer for a period of one (1)
year after issuance of all certificates of conformity to which they
relate. Records may be retained as hard copy or reduced to microfilm,
ADP diskettes, etc., depending on the record retention procedures of the
manufacturer; Provided, That in every case all the information contained
in the hard copy shall be retained.
(b) The manufacturer of any new motor vehicle (or new motor vehicle
engine) subject to any of the standards prescribed in this subpart shall
submit to the Administrator at the time of issuance by the manufacturer
copies of
[[Page 139]]
all instructions or explanations regarding the use, repair, adjustment,
maintenance, or testing of such vehicle (or engine) relevant to the
control of crankcase, exhaust or evaporative emissions, as applicable,
issued by the manufacturer for use by other manufacturers, assembly
plants, distributors, dealers, and ultimate purchasers, Provided, That
any material not translated into the English language need not be
submitted unless specifically requested by the Administrator.
(c)(1) The manufacturer (or contractor for the manufacturer, if
applicable) of any new vehicle or engine that is certified under
averaging, trading, or banking programs (as applicable) shall establish,
maintain, and retain the following adequately organized and indexed
records for each such vehicle or heavy-duty engine produced:
(i) EPA engine family.
(ii) Vehicle (or engine) identification number.
(iii) Vehicle (or engine) model year and build date.
(iv) BHP rating (heavy-duty engines only).
(v) Purchaser and destination.
(vi) Assembly plant.
(2) The manufacturer (or contractor for the manufacturer, if
applicable) of any new vehicle or engine family that is certified under
averaging, trading, or banking programs (as applicable) shall establish,
maintain, and retain the following adequately organized and indexed
records for each such family:
(i) EPA engine family.
(ii) FEL.
(iii) BHP conversion factor and the transient test BHP for each
configuration tested (heavy-duty engines only).
(iv) Useful life.
(v) Projected U.S. production volume for the model year.
(vi) Actual U.S. production volume for the model year.
(3) The manufacturer (or contractor for the manufacturer, if
applicable) shall retain all records required to be maintained under
this section for a period of six years from the due date for the end-of-
model year averaging, trading, and banking reports. Records may be
retained as hard copy or reduced to microfilm, ADP files, etc.,
depending on the manufacturer's record retention procedure; Provided,
That in every case all the information contained in the hard copy is
retained.
(4) Nothing in this section limits the Administrator's discretion in
requiring the manufacturer to retain additional records or submit
information not specifically required by this section.
(5) Pursuant to a request made by the Administrator, the
manufacturer shall submit to him the information that is required to be
retained.
(6) EPA may void ab initio a certificate of conformity for a vehicle
or engine family for which the manufacturer fails to retain the records
required in this section or to provide such information to the
Administrator upon request.
(7) Any engine family using NCPs must comply with the provisions
established in the NCP program provided by 40 CFR part 86, subpart L.
(8) Any manufacturer, producing an engine family participating in
trading using reserved credits, shall maintain the following records on
a quarterly basis for each engine family in the trading subclass:
(i) The engine family,
(ii) The averaging set,
(iii) The actual quarterly and cumulative U.S. production volumes,
(iv) The value required to calculate credits as given in Sec.
86.091-15,
(v) The resulting type [NOX or particulate] and number of
credits generated/required,
(vi) How and where credit surpluses are dispersed, and
(vii) How and through what means credit deficits are met.
(d)(1) Any manufacturer who has applied for certification of a new
motor vehicle (or new motor vehicle engine) subject to certification
test under this subpart shall admit or cause to be admitted any EPA
Enforcement Officer or any EPA authorized representative during
operating hours on presentation of credentials to any of the following:
(i) Any facility where any such tests or any procedures or
activities connected with such test are or were performed.
(ii) Any facility where any new motor vehicle (or new motor vehicle
engine) which is being, was, or is to be tested is present.
[[Page 140]]
(iii) Any facility where any construction process or assembly
process used in the modification or build up of such a vehicle (or
engine) into a certification vehicle (or certification engine) is taking
place or has taken place.
(iv) Any facility where any record or other document relating to any
of the above is located.
(v) Any facility where any record or other document relating to the
information specified in paragraph (c) of this section is located.
(2) Upon admission to any facility referred to in paragraph (d)(1)
of this section, any EPA Enforcement Officer or any EPA authorized
representative shall be allowed:
(i) To inspect and monitor any part or aspect of such procedures,
activities, and testing facilities, including, but not limited to,
monitoring vehicle (or engine) preconditioning, emissions tests and
mileage (or service) accumulation, maintenance, and vehicle soak and
storage procedures (or engine storage procedures), and to verify
correlation or calibration of test equipment;
(ii) To inspect and make copies of any such records, designs, or
other documents, including those records specified in paragraph (c) of
this section; and
(iii) To inspect and/or photograph any part or aspect of any such
certification vehicle (or certification engine) and any components to be
used in the construction thereof.
(3) In order to allow the Administrator to determine whether or not
production motor vehicles (or production motor vehicle engines) conform
to the conditions upon which a certificate of conformity has been
issued, or conform in all material respects to the design specifications
which applied to those vehicles (or engines) described in the
application for certification for which a certificate of conformity has
been issued to standards prescribed under section 202 of the Act, any
manufacturer shall admit any EPA Enforcement Officer or any EPA
authorized representative on presentation of credentials to both:
(i) Any facility where any document, design, or procedure relating
to the translation of the design and construction of engines and
emission related components described in the application for
certification or used for certification testing into production vehicles
(or production engines) is located or carried on;
(ii) Any facility where any motor vehicles (or motor vehicle
engines) to be introduced into commerce are manufactured or assembled;
and
(iii) Any facility where records specified in paragraph (c) of this
section are located.
(4) On admission to any such facility referred to in paragraph
(d)(4) of this section, any EPA Enforcement Officer or any EPA
authorized representative shall be allowed:
(i) To inspect and monitor any aspects of such manufacture or
assembly and other procedures;
(ii) To inspect and make copies of any such records, documents or
designs;
(iii) To inspect and photograph any part or aspect of any such new
motor vehicles (or new motor vehicle engines) and any component used in
the assembly thereof that are reasonably related to the purpose of his
entry; and
(iv) To inspect and make copies of any records and documents
specified in paragraph (c) of this section.
(5) Any EPA Enforcement Officer or EPA authorized representative
shall be furnished by those in charge of a facility being inspected with
such reasonable assistance as he may request to help him discharge any
function listed in this paragraph. Each applicant for or recipient of
certification is required to cause those in charge of a facility
operated for its benefit to furnish such reasonable assistance without
charge to EPA whether or not the applicant controls the facility.
(6) The duty to admit or cause to be admitted any EPA Enforcement
Officer or EPA authorized representative applies whether or not the
applicant owns or controls the facility in question and applies both to
domestic and to foreign manufacturers and facilities. EPA will not
attempt to make any inspections which it has been informed that local
law forbids. However, if local law makes it impossible to do what is
necessary to insure the accuracy of data generated at a facility, no
informed judgment that a vehicle or engine is
[[Page 141]]
certifiable or is covered by a certificate can properly be based on
those data. It is the responsibility of the manufacturer to locate its
testing and manufacturing facilities in jurisdictions where this
situation will not arise.
(7) For purposes of this paragraph:
(i) Presentation of credentials shall mean display of the document
designating a person as an EPA Enforcement Officer or EPA authorized
representative.
(ii) Where vehicle, component, or engine storage areas or facilities
are concerned, operating hours shall mean 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.
(iii) Where facilities or areas other than those covered by
paragraph (d)(7)(ii) of this section are concerned, operating hours
shall mean all times during which an assembly line is in operation or
all times during which testing, maintenance, mileage (or service)
accumulation, production or compilation of records, or any other
procedure or activity related to certification testing, to translation
of designs from the test stage to the production stage, or to vehicle
(or engine) manufacture or assembly is being carried out in a facility.
(iv) Reasonable assistance includes, but is not limited to,
clerical, copying, interpretation and translation services, the making
available on request of personnel of the facility being inspected during
their working hours to inform the EPA Enforcement Officer or EPA
authorized representative of how the facility operates and to answer his
questions, and the performance on request of emissions tests on any
vehicle (or engine) which is being, has been, or will be used for
certification testing. Such tests shall be nondestructive, but may
require appropriate mileage (or service) accumulation. A manufacturer
may be compelled to cause the personal appearance of any employee at
such a facility before an EPA Enforcement Officer or EPA authorized
representative by written request for his appearance, signed by the
Assistant Administrator for Air and Radiation, served on the
manufacturer. Any such employee who has been instructed by the
manufacturer to appear will be entitled to be accompanied, represented,
and advised by counsel.
(v) Any entry without 24 hour prior written or oral notification to
the affected manufacturer shall be authorized in writing by the
Assistant Administrator for Air and Radiation.
(8) EPA may void ab initio a certificate of conformity for vehicle
or engine families introduced into commerce if the manufacturer (or
contractor for the manufacturer, if applicable) fails to comply with any
provision of this section.
(e) EPA Enforcement Officers or EPA authorized representatives are
authorized to seek a warrant or court order authorizing the EPA
Enforcement Officers or EPA authorized representatives to conduct
activities related to entry and access as authorized in this section, as
appropriate, to execute the functions specified in this section. EPA
Enforcement Officers or EPA authorized representatives may proceed ex
parte to obtain a warrant whether or not the Enforcement Officers first
attempted to seek permission of the manufacturer or the party in charge
of the facilities in question to conduct activities related to entry and
access as authorized in this section.
(f) A manufacturer shall permit EPA Enforcement Officers or EPA
authorized representatives who present a warrant or court order as
described in paragraph (e) of this section to conduct activities related
to entry and access as authorized in this section and as described in
the warrant or court order. The manufacturer shall cause those in charge
of its facility or facility operated for its benefit to permit EPA
Enforcement Officers or EPA authorized representatives to conduct
activities related to entry and access as authorized in this section
pursuant to a warrant or court order whether or not the manufacturer
controls the facility. In the absence of such a warrant or court order,
EPA Enforcement Officers or EPA authorized representatives may conduct
activities related to entry and access as authorized in this section
only upon the consent of the manufacturer or the party in charge of the
facilities in question.
[[Page 142]]
(g) It is not a violation of this part or the Clean Air Act for any
person to refuse to permit EPA Enforcement Officers or EPA authorized
representatives to conduct activities related to entry and access as
authorized in this section without a warrant or court order.
[55 FR 30619, July 26, 1990]