[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: 40CFR86.098-23]
[Page 381-385]
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. 86.098-23 Required data.
Section 86.098-23 includes text that specifies requirements that
differ from Sec. 86.095-23. Where a paragraph in Sec. 86.095-23 is
identical and applicable to Sec. 86.098-23, this may be indicated by
specifying the corresponding paragraph and the statement ``[Reserved].
For guidance see Sec. 86.095-23.''
(a) The manufacturer shall perform the tests required by the
applicable test procedures and submit to the Administrator the
information described in paragraphs (b) through (m) of this section,
provided, however, that if requested by the manufacturer, the
Administrator may waive any requirement of this section for testing of a
vehicle (or engine) for which emission data are available or will be
made available under the provisions of Sec. 86.091-29.
(b) Durability data. (1)(i) The manufacturer shall submit exhaust
emission durability data on such light-duty vehicles tested in
accordance with applicable test procedures and in such numbers as
specified, which will show the performance of the systems installed on
or incorporated in the vehicle for extended mileage, as well as a record
of all pertinent maintenance performed on the test vehicles.
(ii) The manufacturer shall submit exhaust emission deterioration
factors for light-duty trucks and HDEs and all test data that are
derived from the testing described under Sec. 86.094-21(b)(5)(i)(A), as
well as a record of all pertinent maintenance. Such testing shall be
designed and conducted in accordance with good engineering practice to
assure that the engines covered by a certificate issued under Sec.
86.098-30 will meet each emission standard (or family emission limit, as
appropriate) in Sec. 86.094-9, Sec. 86.098-10, Sec. 86.098-11 or
superseding emissions standards sections as appropriate, in actual use
for the useful life applicable to that standard.
(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 Sec. 86.098-21(b)(4)(i) designed and
conducted in accordance with good engineering practice to assure that
the vehicles covered by a certificate issued
[[Page 382]]
under Sec. 86.098-30 will meet the evaporative and/or refueling
emission standards in Sec. 86.098-8 or Sec. 86.098-9, as appropriate,
for the useful life of the vehicle.
(3) For heavy-duty vehicles equipped with gasoline-fueled or
methanol-fueled engines, the manufacturer shall submit evaporative
emission deterioration factors for each evaporative emission family-
evaporative emission control system combination identified in accordance
with Sec. 86.094-21(b)(4)(ii). Furthermore, a statement that the test
procedure(s) used to derive the deterioration factors includes, but need
not be limited to, a consideration of the ambient effects of ozone and
temperature fluctuations, and the service accumulation effects of
vibration, time, and vapor saturation and purge cycling. The
deterioration factor test procedure shall be designed and conducted in
accordance with good engineering practice to assure that the vehicles
covered by a certificate issued under Sec. 86.098-30 will meet the
evaporative emission standards in Sec. Sec. 86.096-10 and 86.098-11 or
superseding emissions standards sections as applicable in actual use for
the useful life of the engine. Furthermore, a statement that a
description of the test procedure, as well as all data, analyses, and
evaluations, is available to the Administrator upon request.
(4)(i) For heavy-duty vehicles with a Gross Vehicle Weight Rating of
up to 26,000 lbs and equipped with gasoline-fueled or methanol-fueled
engines, the manufacturer shall submit a written statement to the
Administrator certifying that the manufacturer's vehicles meet the
standards of Sec. 86.098-10 or Sec. 86.098-11 or superseding emissions
standards sections as applicable as determined by the provisions of
Sec. 86.098-28. Furthermore, the manufacturer shall submit a written
statement to the Administrator that all data, analyses, test procedures,
evaluations, and other documents, on which the requested statement is
based, are available to the Administrator upon request.
(ii) For heavy-duty vehicles with a Gross Vehicle Weight Rating of
greater than 26,000 lbs and equipped with gasoline-fueled or methanol-
fueled engines, the manufacturer shall submit a written statement to the
Administrator certifying that the manufacturer's evaporative emission
control systems are designed, using good engineering practice, to meet
the standards of Sec. 86.096-10 or Sec. 86.098-11 or superseding
emissions standards sections as applicable as determined by the
provisions of Sec. 86.098-28. Furthermore, the manufacturer shall
submit a written statement to the Administrator that all data, analyses,
test procedures, evaluations, and other documents, on which the
requested statement is based, are available to the Administrator upon
request.
(b)(4)(iii) For petroleum-fueled diesel-cycle vehicles certifying
under the waiver provisions of Sec. 86.098-28, the certifications and
representations specified in Sec. 86.098-28.
(c)(1) [Reserved]. For guidance see Sec. 86.095-23.
(c)(2) Certification engines. (i) The manufacturer shall submit
emission data on such engines tested in accordance with applicable
emission test procedures of this subpart and in such numbers as
specified. These data shall include zero-hour data, if generated, and
emission data generated for certification as required under Sec.
86.098-26(c)(4). These data shall also include, where there is a
combined standard (e.g., NMHC + NOX), emissions data for the
individual pollutants as well as for the pollutants when combined. In
lieu of providing emission data on idle CO emissions or particulate
emissions from methanol-fueled diesel-cycle certification engines, or on
CO emissions from petroleum-fueled or methanol-fueled diesel
certification engines the Administrator may, on request of the
manufacturer, allow the manufacturer to demonstrate (on the basis of
previous emission tests, development tests, or other information) that
the engine will conform with the applicable emission standards of Sec.
86.094-11 or superseding emissions standards sections as applicable. In
lieu of providing emission data on smoke emissions from methanol-fueled
or petroleum-fueled diesel certification engines, the Administrator may,
on the request of the manufacturer, allow the manufacturer to
demonstrate (on the basis of previous emission tests, development tests,
or other information) that the
[[Page 383]]
engine will conform with the applicable emissions standards of Sec.
86.098-11 or superseding emissions standards sections as applicable,
except for engines with a particulate matter certification level
exceeding 0.25 grams per brake horsepower-hour. In lieu of providing
emissions data on smoke emissions from petroleum-fueled or methanol-
fueled diesel engines when conducting Selective Enforcement Audit
testing under 40 CFR part 86, subpart K, the Administrator may, on
separate request of the manufacturer, allow the manufacturer to
demonstrate (on the basis of previous emission tests, development tests,
or other information) that the engine will conform with the applicable
smoke emissions standards of Sec. 86.098-11 or superseding emissions
standards sections as applicable, except for engines with a particulate
matter certification level exceeding 0.25 grams per brake horsepower-
hour.
(ii) For heavy-duty diesel engines, a manufacturer may submit hot-
start data only, in accordance with subpart N of this part, when making
application for certification. However, for confirmatory, Selective
Enforcement Audit, and recall testing by the Agency, both the cold-start
and hot-start test data, as specified in subpart N of this part, will be
included in the official results.
(d) The manufacturer shall submit a statement that the vehicles (or
engines) for which certification is requested conform to the
requirements in Sec. 86.090-5(b), and that the descriptions of tests
performed to ascertain compliance with the general standards in Sec.
86.090-5(b), and that the data derived from such tests, are available to
the Administrator upon request.
(e)(1) The manufacturer shall submit a statement that the test
vehicles (or test engines) for which data are submitted to demonstrate
compliance with the applicable standards (or family emission limits, as
appropriate) of this subpart are in all material respects as described
in the manufacturer's application for certification, that they have been
tested in accordance with the applicable test procedures utilizing the
fuels and equipment described in the application for certification, and
that on the basis of such tests the vehicles (or engines) conform to the
requirements of this part. If such statements cannot be made with
respect to any vehicle (or engine) tested, the vehicle (or engine) shall
be identified, and all pertinent data relating thereto shall be supplied
to the Administrator. If, on the basis of the data supplied and any
additional data as required by the Administrator, the Administrator
determines that the test vehicles (or test engine) were not as described
in the application for certification or were not tested in accordance
with the applicable test procedures utilizing the fuels and equipment as
described in the application for certification, the Administrator may
make the determination that the vehicle (or engine) does not meet the
applicable standards (or family emission limits, as appropriate). The
provisions of Sec. 86.098-30(b) shall then be followed.
(2) For evaporative and refueling emission durability, or light-duty
truck or HDE exhaust emission durability, the manufacturer shall submit
a statement of compliance with paragraph (b)(1)(ii),(b)(2), (b)(3) or
(b)(4) of this section, 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 manufacturers' 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 Sec. 86.098-
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]. For guidance see Sec. 86.095-23.
(h) Additionally, manufacturers participating in any of the
emissions ABT programs under Sec. 86.098-15 or superseding ABT sections
for HDEs shall submit for each participating family the items listed in
paragraphs (h) (1) through (3) of this section.
[[Page 384]]
(1) Application for certification. (i) The application for
certification will include a statement that the engines for which
certification is requested will not, to the best of the manufacturer's
belief, when included in any of the ABT programs, cause the applicable
emissions standard(s) to be exceeded.
(ii) The application for certification will also include
identification of the section of this subpart under which the family is
participating in ABT (i.e., Sec. 86.098-15 or superseding ABT
sections), the type (NOX, NOX+NMHC, or particulate) and the
projected number of credits generated/needed for this family, the
applicable averaging set, the projected U.S. (49-state or 50 state, as
applicable) production volumes, by quarter, NCPs in use on a similar
family and the values required to calculate credits as given in the
applicable ABT section. Manufacturers shall also submit how and where
credit surpluses are to be dispersed and how and through what means
credit deficits are to be met, as explained in the applicable ABT
section. The application must project that each engine family will be in
compliance with the applicable emission standards based on the engine
mass emissions and credits from averaging, trading and banking.
(2) [Reserved]
(3) End-of-year report. The manufacturer shall submit end-of-year
reports for each engine family participating in any of the ABT programs,
as described in paragraphs (h)(3)(i) through (iv) of this section.
(i) These reports shall be submitted within 90 days of the end of
the model year to: Director, Engine Programs and Compliance Division
(6405J), U.S. Environmental Protection Agency, 1200 Pennsylvania Ave.,
NW., Washington, DC 20460.
(ii) These reports shall indicate the engine family, the averaging
set, the actual U.S. (49-state or 50-state, as applicable) production
volume, the values required to calculate credits as given in the
applicable ABT section, the resulting type and number of credits
generated/required, and the NCPs in use on a similar NCP family.
Manufacturers shall also submit how and where credit surpluses were
dispersed (or are to be banked) and how and through what means credit
deficits were met. Copies of contracts related to credit trading must
also be included or supplied by the broker if applicable. The report
shall also include a calculation of credit balances to show that net
mass emissions balances are within those allowed by the emission
standards (equal to or greater than a zero credit balance). Any credit
discount factor described in the applicable ABT section must be included
as required.
(iii) The production counts for end-of-year reports shall be based
on the location of the first point of retail sale (e.g., customer,
dealer, secondary manufacturer) by the manufacturer.
(iv) Errors discovered by EPA or the manufacturer in the end-of-year
report, including changes in the production counts, may be corrected up
to 180 days subsequent to submission of the end-of-year report. Errors
discovered by EPA after 180 days shall be corrected if credits are
reduced. Errors in the manufacturer's favor will not be corrected if
discovered after the 180 day correction period allowed.
(i) Failure by a manufacturer participating in the ABT programs to
submit any quarterly or end-of-year report (as applicable) in the
specified time for all vehicles and engines that are part of an
averaging set is a violation of section 203(a)(1) of the Clean Air Act
(42 U.S.C. 7522(a)(1)) for each such vehicle and engine.
(j) Failure by a manufacturer generating credits for deposit only in
the HDE banking programs to submit their end-of-year reports in the
applicable specified time period (i.e., 90 days after the end of the
model year) shall result in the credits not being available for use
until such reports are received and reviewed by EPA. Use of projected
credits pending EPA review will not be permitted in these circumstances.
(k) Engine families certified using NCPs are not required to meet
the requirements outlined in paragraphs (f) through (j) of this section.
(l) [Reserved]. For guidance see Sec. 86.095-23.
(m) Additionally, except for small-volume manufacturers,
manufacturers certifying vehicles shall submit for each model year 1998
light-duty vehicle, light-duty truck, and gasoline- and
[[Page 385]]
methanol-fueled heavy-duty vehicle evaporative family:
(1) In the application for certification the projected sales volume
of evaporative families certifying to the respective evaporative test
procedure and accompanying standards as set forth or otherwise
referenced in Sec. Sec. 86.090-8, 86.090-9, 86.091-10 and 86.094-11 or
as set forth or otherwise referenced in Sec. Sec. 86.096-8, 86.096-9,
86.096-10 and 86.098-11 or as set forth or otherwise referenced in
superseding emissions standards sections. Volume projected to be
produced for U.S. sale may be used in lieu of projected U.S. sales.
(2) End-of-year reports for each evaporative family.
(i) These end-of-year reports shall be submitted within 90 days of
the end of the model year to: For heavy-duty engines--Director, Engine
Programs and Compliance Divisions (6403J), For vehicles--Director,
Vehicle Compliance and Programs Division (6405J), U.S. Environmental
Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460.
(ii) These reports shall indicate the model year, evaporative family
and the actual U.S. sales volume. The manufacturer may petition the
Administrator to allow volume produced for U.S. sale to be used in lieu
of U.S. sales. Such petition shall be submitted within 30 days of the
end of the model year to the Manufacturers Operations Division. For the
petition to be granted, the manufacturer must establish to the
satisfaction of the Administrator that production volume is functionally
equivalent to sales volume.
(iii) The U.S. sales volume for end-of-year reports shall be based
on the location of the point of sale to a dealer, distributor, fleet
operator, broker, or any other entity that comprises the point of first
sale.
(iv) Failure by a manufacturer to submit the end-of-year report
within the specified time may result in certificate(s) for the
evaporative family(ies) being voided ab initio plus any applicable civil
penalties for failure to submit the required information to the Agency.
(v) The information shall be organized in such a way as to allow the
Administrator to determine compliance with the Evaporative Emission
Testing implementation schedules of Sec. Sec. 86.096-8, 86.096-9,
86.096-10 and 86.098-11.
[58 FR 16025, Mar. 24, 1993, as amended at 58 FR 34536, June 28, 1993;
59 FR 16290, Apr. 6, 1994; 62 FR 54717, Oct. 21, 1997]