[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: 40CFR86.092-14]

[Page 185-190]
 
                   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. 86.092-14  Small-volume manufacturers certification procedures.

    (a) The small-volume manufacturers certification procedures 
described in paragraphs (b) and (c) of this section are optional. Small-
volume manufacturers may use these optional procedures to demonstrate 
compliance with the general standards and specific emission requirements 
contained in this subpart.
    (b)(1) The optional small-volume manufacturers certification 
procedures apply to light-duty vehicles, light-duty trucks, heavy-duty 
vehicles, and heavy-duty engines produced by manufacturers with U.S. 
sales, including all vehicles and engines imported under the provisions 
of 40 CFR 85.1505 and 40 CFR 85.1509 (for the model year in which 
certification is sought) of fewer than 10,000 units (Light-Duty 
Vehicles, Light-Duty Trucks, Heavy-Duty Vehicles and Heavy-Duty Engines 
combined).
    (2) For the purpose of determining the applicability of paragraph 
(b)(1) of this section, the sales the Administrator shall use shall be 
the aggregate of the projected or actual sales of those vehicles and/or 
engines in any of the groupings identified below in this subparagraph.
    (i) Vehicles and/or engines produced by two or more firms, one of 
which is 10 percent or greater part owned by another;
    (ii) Vehicles and/or engines produced by any two or more firms if a 
third party has equity ownership of 10 percent or more in each of the 
firms;
    (iii) Vehicles and/or engines produced by two or more firms having a 
common corporate officer(s) who is(are) responsible for the overall 
direction of the companies;
    (iv) Vehicles and/or engines imported or distributed by all firms 
where the vehicles and/or engines are manufactured by the same entity 
and the importer or distributer is an authorized agent of the entity.
    (3) If the aggregated sales, as determined in paragraph (b)(2) of 
this section are less than 301 units, the manufacturers in the 
aggregated relationship may certify under the provisions in this section 
that apply to manufacturers with sales of less than 301 units.
    (4) If the aggregated sales, as determined in paragraph (b)(2) of 
this section are greater than 300 but fewer than 10,000 units, the 
manufacturers in the aggregated relationship may certify under the 
provisions in this section that apply to manufacturers with sales from 
and including 301 through 9,999 motor vehicles and motor vehicles 
engines per year.
    (5) If the aggregated sales, as determined in paragraph (b)(2) of 
this section are equal to or greater than 10,000 units, then the 
manufacturers involved in the aggregated relationship will be allowed to 
certify a number of units under the small-volume engine family 
certification procedures (40 CFR 86.092-24(e)) in accordance with the 
criteria identified below in this subparagraph.
    (i) If a manufacturer purchases less than 50 percent of another 
manufacturer, each manufacturer retains its right to certify 9,999 units 
using the small-volume engine family certification procedures.
    (ii) If a manufacturer purchases 50 percent or more of another 
manufacturer, the manufacturer with the over 50 percent interest must 
share, with the manufacturer it purchased, its 9,999 units under the 
small-volume engine family certification procedures.
    (iii) In a joint venture arrangement (50/50 ownership) between two 
manufacturers, each manufacturer retains its eligibility for 9,999 units 
under the small-volume engine family certification procedures, but the 
joint venture must draw its maximum 9,999

[[Page 186]]

units from the units allocated to its parent manufacturers.
    (c) Small-volume manufacturers shall demonstrate compliance with the 
applicable sections of this subpart. The appropriate model year of the 
following applicable sections shall be determined in accordance with 
Sec. 86.084-4:
    (1) Sections 86.092-1, 86.092-2, 86.090-3, 86.084-4, 86.090-5, 
86.078-6, 86.078-7, and 86.090-8 through 86.090-11 of this subpart are 
applicable.
    (2) Section 86.080-12 of this subpart is not applicable.
    (3) Section 86.085-13, 86.092-14, 86.084-15, and 86.085-20 of this 
subpart are applicable.
    (4) Small-volume manufacturers shall include in their records all of 
the information that EPA requires in Sec. 86.090-21 of this subpart. 
This information will be considered part of the manufacturer's 
application for certification. However, the manufacturer is not required 
to submit the information to the Administrator unless the Administrator 
requests it.
    (5) Section 86.085-22 of this subpart is applicable except as noted 
below.
    (i) Small-volume light-duty vehicle and light-duty truck 
manufacturers may satisfy the requirements of paragraph (e) of Sec. 
86.085-22 by including a statement of compliance on adjustable 
parameters in the application for certification. In the statement of 
compliance the manufacturer shall state that the limits, stops, seals, 
or other means used to inhibit adjustment have been designed to 
accomplish their intended purpose based on good engineering practice and 
past experience. If the vehicle parameter is adjustable the vehicle must 
meet emission standards with the parameter set any place within the 
adjustable range (Reference Sec. 86.090-21 of this subpart).
    (6) Section 86.090-23 of this subpart is applicable.
    (7) Section 86.092-24 of this subpart is applicable except as noted 
below.
    (i) Small-volume manufacturers may satisfy the requirements of 
paragraph (b) and (c) of Sec. 86.092-24 of this subpart by:
    (A) Emission-data--Selecting one emission-data test vehicle (engine) 
per engine family by the worst-case emissions criteria as follows:
    (1) Light-duty vehicles and light-duty trucks. The manufacturer 
shall select the vehicle with the heaviest equivalent test weight 
(including options) within the engine family. Then within that vehicle 
the manufacturer shall select, 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 the engine family, and the maximum fuel flow 
calibration.
    (2) Heavy-duty Otto-cycle engines. The manufacturer shall select one 
emission-data engine first based on the largest displacement within the 
engine family. Then within the largest displacement the manufacturer 
shall select, in the order listed, highest fuel flow at the speed of 
maximum rated torque, the engine with the most advanced spark timing, no 
EGR or lowest EGR flow, and no air pump or lowest actual flow air pump.
    (3) Heavy-duty diesel engines. The manufacturer shall select one 
emission-data engine based on the highest fuel feed per stroke, 
primarily at the speed of maximum rated torque and secondarily at rated 
speed.
    (B) Testing light-duty vehicles or light-duty truck emission-data 
vehicles at any service accumulation distance of at least 2,000 miles 
(3,219 kilometers) or, catalyst equipped heavy-duty emission-data 
engines at any service accumulation time of at least 62 hours, or non-
catalyst equipped heavy-duty engine emission-data engines at any service 
accumulation time determined by the manufacturer to result in stabilized 
emissions. The emission performance of the emission-data vehicle or 
engine must be stabilized prior to emission testing.
    (C) Durability data--Satisfying the durability-data requirements by 
complying with the applicable procedures below:
    (1) Manufacturers with aggregated sales of less than 301 motor 
vehicles and motor vehicle engines per year may use assigned 
deterioration factors that the Administrator determines and prescribes. 
The factors will be the Administrator's estimate, periodically updated 
and published in an advisory letter or advisory circular, of the 70th

[[Page 187]]

percentile deterioration factors calculated using the industrywide data 
base of previously completed durability-data vehicles or engines used 
for certification. However, the manufacturer may, at its option, 
accumulate miles (hours) on a durability-data vehicle (engine) and 
complete emission tests for the purpose of establishing its own 
deterioration factors.
    (2) Manufacturers with aggregated sales from and including 301 
through 9,999 motor vehicles and motor vehicle engines per year 
certifying light-duty vehicle exhaust emissions from vehicles equipped 
with proven emission control systems shall use assigned deterioration 
factors that the manufacturer determines based on its good engineering 
judgment. However, the manufacturer may not use deterioration factors 
less than either the average or 70th percentile of all of that 
manufacturer's deterioration factor data, whichever is less. These 
minimum deterioration factors shall be calculated according to 
procedures in paragraph (c)(7)(i)(C)(2)(i), of this section. If the 
manufacturer does not have at least two data points to calculate these 
manufacturer specific average deterioration factors, then the 
deterioration factors shall be no less than the EPA supplied 
industrywide deterioration factors. However, the manufacturer may, at 
its option, accumulate miles on a durability-data vehicle and complete 
emission tests for the purpose of establishing its own deterioration 
factors.
    (i) The manufacturer's minimum deterioration factors shall be 
calculated using the deterioration factors from all engine families, 
within the same vehicle/engine-fuel usage category (e.g., gasoline-
fueled light-duty vehicle, etc.) previously certified to the same 
emission standards. The manufacturer shall use only deterioration 
factors engine families previously certified by the manufacturer and the 
deterioration factors shall not be included in the calculation more than 
once. The deterioration factors for each pollutant shall be calculated 
separately. The manufacturer may, at its option, limit the deterioration 
factors used in the calculation of the manufacturer's minimum 
deterioration factors to those from all similar systems to the system 
being certified if sufficient data (i.e., from at least two certified 
systems) exists. All data eligible to be grouped as similar system data 
shall be used in calculating similar system deterioration factors. Any 
deterioration factors used in calculating similar system deterioration 
factors shall not be included in calculating the manufacturer's minimum 
deterioration factors used to certify any of the manufacturer's 
remaining vehicle systems.
    (3) Manufacturers with aggregated sales from 301 through 9,999 motor 
vehicles and motor vehicle engines and certifying light-duty vehicle 
exhaust emissions from vehicles equipped with unproven emission control 
systems shall use deterioration factors that the manufacturer determines 
from official certification durability data generated by vehicles from 
engine families representing a minimum of 25 percent of the 
manufacturer's sales equipped with unproven emission control systems. 
The sales projections are to be based on total sales projected for each 
engine/system combination. The durability-data vehicle (engine) mileage 
accumulation and emission tests are to be conducted according Sec. 
86.092-26 of this subpart. The manufacturer must develop deterioration 
factors by generating durability data in accordance with Sec. 86.092-26 
of this subpart on a minimum of 25 percent of the manufacturer's 
projected sales (by engine/system combination) that is equipped with 
unproven emission control systems. The manufacturer must complete the 25 
percent durability requirement before the remainder of the 
manufacturer's sales equipped with unproven emission control systems is 
certified using manufacturer-determined assigned deterioration factors. 
Alternatively, any of these manufacturers may, at their option, 
accumulate miles on durability-data vehicles and complete emission tests 
for the purpose of establishing their own deterioration factors on the 
remaining sales.
    (4) For light-duty vehicle, light-duty truck, and heavy-duty vehicle 
evaporative emissions and light-duty truck,

[[Page 188]]

and heavy-duty engine exhaust emissions, deterioration factors shall be 
determined in accordance with Sec. 86.092-24 of this subpart.
    (ii) Paragraphs (d) and (e) of Sec. 86.092-24 of this subpart are 
not applicable.
    (8) Section 86.090-25 of this subpart is applicable to maintenance 
performed on durability-data light-duty vehicles, light-duty trucks, 
heavy-duty vehicles, and heavy-duty engines when the manufacturer 
completes durability-data vehicles or engines; section 86.087-38 of this 
subpart is applicable to the recommended maintenance the manufacturer 
includes in the maintenance instructions furnished the purchasers of new 
motor vehicles and new motor vehicle engines under Sec. 86.087-38 of 
this subpart.
    (9)(i) Section 86.092-26 of this subpart is applicable if the 
manufacturer completes durability-data vehicles or engines.
    (ii) Section 86.085-27 of this subpart is applicable.
    (10) Sections 86.090-28 and 86.090-29 of this subpart are 
applicable.
    (11)(i) Section 86.090-30 of this subpart is applicable, except for 
paragraph (a)(2) and (b) of that section. In the place of these 
paragraphs, small-volume manufacturer shall comply with paragraphs 
(c)(11)(ii) through (v) of this section, as shown below.
    (ii) Small-volume manufacturers shall submit an application for 
certification containing the following:
    (A) The names, addresses, and telephone numbers of the persons the 
manufacturer authorizes to communicate with us.
    (B) A brief description of the vehicles (or engines) covered by the 
certificate (the manufacturers' sales data book or advertising, 
including specifications, may satisfy this requirement for most 
manufacturers). The description shall include, as a minimum, the 
following items as applicable:
    (1) Engine evaporative family names and vehicle (or engine) 
configurations.
    (2) Vehicle carlines or engine models to be listed on the 
certificate of conformity.
    (3) The test weight and horsepower setting for each vehicle or 
engine configuration.
    (4) Projected sales.
    (5) Combustion cycle.
    (6) Cooling mechanism.
    (7) Number of cylinders.
    (8) Displacement.
    (9) Fuel system type.
    (10) Number of catalytic converters, type, volume, composition, 
surface area, and total precious metal loading.
    (11) Method of air aspiration.
    (12) Thermal reactor characteristics.
    (13) Suppliers' and/or manufacturers' name and model number of any 
emission related items of the above, if purchased from a supplier who 
uses the items in its own certified vehicles(s) or engine(s).
    (14) A list of emission component part numbers.
    (15) Drawings, calibration curves, and descriptions of emission 
related components, including those components regulated under paragraph 
(e) of Sec. 86.085-22 of this subpart, and schematics of hoses and 
other devices connecting these components.
    (16) Vehicle adjustments or modifications necessary for light-duty 
trucks to assure that they conform to high-altitude standards.
    (17) A description of the light-duty vehicles and light-duty trucks 
which are exempted from the high-altitude emission standards.
    (18) Proof that the manufacturer has obtained or entered an 
agreement to purchase, when applicable, the insurance policy, required 
by Sec. 85.1510(b). The manufacturer may submit a copy of the insurance 
policy or purchase agreement as proof that the manufacturer has obtained 
or entered an agreement to purchase the insurance policy.
    (C) The results of all emission tests the manufacturer performs to 
demonstrate compliance with the applicable standards.
    (D)(1) The following statement signed by the authorized 
representative of the manufacturer: ``The vehicles (or engines) 
described herein have been tested in accordance with (list of the 
applicable subparts A, B, D, I, M, N, or P) of part 86, title 40, United 
States Code of Federal Regulations, and on the basis of those tests are 
in conformance with that subpart. All of the data and records required 
by that subpart are on file and are available for inspection by the EPA 
Administrator. We project the

[[Page 189]]

total U.S. sales of vehicles (engines) subject to this subpart 
(including all vehicles and engines imported under the provisions of 40 
CFR 85.1505 and 40 CFR 85.1509 to be fewer than 10,000 units.''
    (2) A statement as required by and contained in paragraph (c)(5) of 
this section signed by the authorized representative of the 
manufacturer.
    (3) A statement that the vehicles or engines described in the 
manufacturer's application for certification are not equipped with 
auxiliary emission control devices which can be classified as a defeat 
device as defined in Sec. 86.092-2 of this subpart.
    (4) A statement of compliance with section 206(a)(3) of the Clean 
Air Act.
    (5) A statement that, based on the manufacturer's engineering 
evaluation and/or emission testing, the light-duty vehicles comply with 
emission standards at high altitude unless exempt under paragraph (h) of 
Sec. 86.090-8 of this subpart.
    (6) A statement that, based on the manufacturer's engineering 
evaluation and/or emission testing, the light-duty trucks sold for 
principle use at designated high-altitude locations comply with the 
high-altitude emission requirements and that all other light-duty trucks 
are at least capable of being modified to meet high-altitude standards 
unless exempt under paragraph (g)(2) of Sec. 86.090-9 of this subpart.
    (7) A statement affirming that the manufacturer will provide a list 
of emission and emission-related service parts, including part number 
designations and sources of parts, to the vehicle purchaser for all 
emission and emission-related parts which might affect vehicle emission 
performance throughout the useful life of the vehicle. Secondly, it must 
state that qualified service facilities and emission-related repair 
parts will be conveniently available to serve its vehicles. In addition, 
if service facilities are not available at the point of sale or 
distribution, the manufacturer must indicate that the vehicle purchaser 
will be provided information identifying the closest authorized service 
facility to the point of sale, if in the United States, or the closest 
authorized service facility to the point of distribution to the ultimate 
purchaser if the vehicle was purchased outside of the United States by 
the ultimate purchaser. Such information should also be made available 
to the Administrator upon request.
    (E) Manufacturers utilizing deterioration factors determined by the 
manufacturer based on its good engineering judgment (re: paragraph 
(c)(7)(i)(C)(2) of this section) shall provide a description of the 
method(s) used by the manufacturer to determine the deterioration 
factors.
    (iii) If the manufacturer meets requirements of this subpart, the 
Administrator will issue a certificate of conformity for the vehicles or 
engines described in the application for certification.
    (iv) The certificate will be issued for such a period not to exceed 
one model year as the Administrator may determine and upon such terms as 
he may deem necessary to assure that any vehicle or engine covered by 
the certificate will meet the requirements of the Act and of this 
subpart.
    (v)(A) If, after a review of the statements and descriptions 
submitted by the manufacturer, the Administrator determines that the 
manufacturer has not met the applicable requirements, the Administrator 
shall notify the manufacturer in writing of his intention to deny 
certification, setting forth the basis for his determination. The 
manufacturer may request a hearing on the Administrator's determination.
    (B) If the manufacturer does not request a hearing or present the 
required information the Administrator will deny certification.
    (12) Sections 86.079-31 and 86.079-32 of this subpart are not 
applicable.
    (13) Under Sec. 86.079-33 of this subpart, small-volume 
manufacturers are covered by the following.
    (i) Small-volume manufacturers may make production changes (running 
changes) without receiving the Administrator's prior approval. The 
manufacturer shall assure (by conducting emission tests as it deems 
necessary) that the affected vehicles (engines) remain in compliance 
with the requirements of this part.
    (ii) The manufacturer shall notify the Administrator within seven 
days

[[Page 190]]

after implementing any production related change (running change) that 
would affect vehicle emissions. This notification shall include any 
changes to the information required under paragraph (c)(11)(ii) of this 
section. The manufacturer shall also amend as necessary its records 
required under paragraph (c)(4) of this section to confirm with the 
production design change.
    (14) Section 86.082-34 of this subpart is not applicable.
    (15) Sections 86.092-35, 86.079-36, 86.082-37, 86.087-38 and 86.084-
39 of this subpart are applicable.

[55 FR 7187, Feb. 28, 1990]