Draft
April
7,
2005
1
For
the
reasons
set
out
in
the
preamble,
title
40,
chapter
I
of
the
Code
of
Federal
Regulations
is
amended
as
set
forth
below.

PART
86
 
CONTROL
OF
EMISSIONS
FROM
NEW
AND
IN­
USE
HIGHWAY
VEHICLES
AND
ENGINES
1.
The
authority
citation
for
part
86
continues
to
read
as
follows:

Authority:
42
U.
S.
C.
7401
­
7671q.

2.
Section
86.1
is
amended
by
adding
paragraph
(
b)(
6)
to
read
as
follows:

§
86.1
Reference
materials.

*
*
*
*
*

(
b)*
*
*

(
6)
NIST
material.
The
following
table
lists
material
from
the
National
Institute
of
Standards
and
Technology
that
we
have
incorporated
by
reference.
The
first
column
lists
the
number
and
name
of
the
material.
The
second
column
lists
the
sections
of
this
part
where
we
reference
it.
Anyone
may
purchase
copies
of
these
materials
from
the
Government
Printing
Office,
Washington,
DC
20402
or
download
them
from
the
Internet
at
http://
physics.
nist.
gov/
Pubs/
SP811/.

Document
number
and
name
Part
86
reference
NIST
Special
Publication
811,
Guide
for
the
Use
of
the
International
System
of
Units
(
SI),
1995
Edition.
86.1901
(
7)
ASTM
material.
The
following
table
lists
material
from
the
American
Society
of
Testing
and
Materials
that
we
have
incorporated
by
reference.
The
first
column
lists
the
number
and
name
of
the
material.
The
second
column
lists
the
sections
of
this
part
where
we
reference
it.

Anyone
may
purchase
copies
of
these
materials
from
the
ASTM,
100
Bar
Harbor
Drive,
West
Conshohocken,
PA
19428­
2959
or
download
them
from
the
Internet
at
http://
www.
astm.
org
Document
number
and
name
Part
86
reference
ASTMD975­
04
Standard
Specification
for
Diesel
Fuel
Oils
86.1910
Draft
April
7,
2005
2
Subpart
A
­
[
Amended]

3.
Section
86.007­
11
is
amended
by
adding
paragraph
(
a)(
4)(
vi)
to
read
as
follows:

§
86.007­
11
Emission
Standards
and
Supplemental
Requirements
for
2007
and
Later
Model
Year
Diesel
Heavy­
Duty
Engines
and
Vehicles.

*
*
*
*
*

(
a)
*
*
*

(
4)*
*
*

(
vi)
The
manufacturer's
certification
application
must
clearly
identify
all
NTE
deficiencies
described
under
§
86.007­
11(
a)(
4)(
iv)
and
all
NTE
carve
outs
described
under
§
§
86.1370­

2007(
b)(
6)
and
(
7)
that
are
requested
for
approval
during
certification.
Deficiencies
and
carve
outs
must
be
reported
for
all
engine
families
and
power
ratings
with
sufficient
detail
for
us
to
easily
determine
if
a
particular
deficiency
or
carve­
out
was
encountered
in
the
emission
test
data
from
the
portable
emission­
sampling
equipment
and
field­
testing
procedures
referenced
in
§
86.1375.

Subpart
N
­
[
Amended]

4.
A
new
§
86.1375­
2007
is
added
to
read
as
follows:

§
86.1375­
2007
Equipment
Specifications
for
Field
Testing
For
field
testing
conducted
pursuant
to
the
requirements
of
this
part,
including
field
testing
conducted
to
measure
emissions
under
Not­
To­
Exceed
test
procedures,
use
the
test
procedures
and
equipment
specified
in
40
CFR
part
1065.

5.
A
new
subpart
T
is
added
to
read
as
follows:

Subpart
T
 
Manufacturer­
Run
In­
Use
Testing
Program
for
Heavy­
Duty
Diesel
Engines
Sec.

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
Draft
April
7,
2005
3
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
2007?

86.1935
What
special
provisions
may
apply
as
a
consequence
of
a
delay
in
the
accuracy
margin
report
for
portable
emission
measurement
systems?

Appendix
I
to
Subpart
T
 
Sample
Graphical
Summary
of
NTE
Emission
Results
§
86.1901
What
testing
requirements
apply
to
my
engines
that
have
gone
into
service?

(
a)
If
you
manufacture
diesel
heavy­
duty
engines
above
8500
lbs.
GVWR
that
are
subject
to
engine­
based
exhaust
emission
standards
under
this
part,
you
must
test
them
as
described
in
this
subpart.
You
must
measure
all
emissions
listed
in
§
86.1910(
d)
other
than
PM
beginning
in
calendar
year
2005
and
you
must
measure
PM
emissions
beginning
in
calendar
year
2006.
See
§
§
86.1930
and
86.1935
for
special
provisions
that
may
apply
to
manufacturers
in
the
early
years
of
this
program.

(
b)
We
may
void
your
certificate
of
conformity
for
an
engine
family
if
you
do
not
meet
your
obligations
under
this
subpart.
We
may
also
void
individual
tests
and
require
you
to
retest
those
vehicles
or
take
other
appropriate
measures
in
instances
where
you
have
not
performed
the
testing
in
accordance
with
the
requirements
described
in
this
subpart.

(
c)
Independent
of
your
responsibility
to
test
in­
use
engines
under
this
subpart,
we
may
choose
to
do
our
own
testing
of
your
in­
use
engines.

(
d)
In
this
subpart,
the
term
"
you"
refers
to
the
certificate­
holder
for
any
engines
subject
to
the
requirements
of
this
subpart.

(
e)
In
this
subpart,
round
means
to
round
numbers
according
to
NIST
Special
Publication
811(
incorporated
by
reference
in
§
86.1).

§
86.1905
How
does
this
program
work?

(
a)
You
must
test
in­
use
engines
from
the
families
we
select.
We
may
select
the
following
number
of
engine
families
for
testing,
except
as
specified
in
paragraph
(
b)
of
this
section:

(
1)
We
may
select
up
to
25
percent
of
your
engine
families
in
any
calendar
year,
calculated
by
dividing
the
number
of
engine
families
you
certified
in
the
model
year
corresponding
to
the
calendar
year
by
four
and
rounding
to
the
nearest
whole
number.
We
will
consider
only
engine
families
with
annual
U.
S.­
directed
production
volumes
above
1,500
units
in
calculating
the
number
of
engine
families
subject
to
testing
each
calendar
year
under
the
annual
25
Draft
April
7,
2005
4
percent
engine
family
limit.
In
addition,
for
model
year
2007
through
2009,
identical
engine
families
that
are
split
into
two
families
under
§
86.007­
15(
m)(
9)
will
count
as
only
one
engine
family.
If
you
have
only
three
or
fewer
families
that
each
exceed
an
annual
U.
S.­
directed
production
volume
of
1,500
units,
or
if
you
have
no
engine
families
above
this
limit,
we
may
select
one
engine
family
per
calendar
year
for
testing.

(
2)
Over
any
four­
year
period,
we
will
not
select
more
than
the
average
number
of
engine
families
that
you
have
certified
over
that
four­
year
period
(
the
model
year
when
the
selection
is
made
and
the
preceding
three
model
years),
based
on
rounding
the
average
value
to
the
nearest
whole
number.

(
b)
If
there
is
clear
evidence
of
a
nonconformity
with
regard
to
an
engine
family,
we
may
select
that
engine
family
without
counting
it
as
a
selected
engine
family
under
paragraph
(
a)
of
this
section.
We
will
consult
with
you
in
reaching
a
conclusion
whether
clear
evidence
of
a
nonconformity
exists
for
any
engine
family.
In
general,
there
is
clear
evidence
of
a
nonconformity
regarding
an
engine
family
under
this
subpart
in
any
of
the
following
cases:

(
1)
The
engine
family
is
a
carry­
over
from
an
engine
family
you
tested
under
this
subpart
and
was
subsequently
remedied
based
at
least
in
part
on
the
Phase
1
or
Phase
2
testing
outcomes
described
in
§
86.1915.

(
2)
The
engine
family
is
a
carry­
over
from
an
engine
family
that
was
remedied
based
on
an
EPA
in­
use
testing
program.

(
c)
We
may
select
any
individual
engine
family
for
testing,
regardless
of
its
production
volume,
as
long
as
we
do
not
select
more
than
the
number
of
engine
families
described
in
paragraph
(
a)
of
this
section.
We
may
select
an
engine
family
from
the
current
model
year
or
any
previous
model
year
except
that
we
will
not
select
any
engine
families
from
model
years
before
2007
beginning
in
calendar
year
2007
for
all
emissions
testing
other
than
PM
testing
and
beginning
in
calendar
year
2008
for
PM
emissions
testing.

(
d)
You
must
complete
all
the
required
testing
and
reporting
under
this
subpart
within
18
months
after
we
direct
you
to
test
a
particular
engine
family.
We
will
typically
select
engine
families
for
testing
and
notify
you
in
writing
by
June
1
of
the
applicable
calendar
year.
You
may
ask
for
up
to
six
months
longer
to
complete
Phase
2
testing
if
you
can
justify
the
need
for
more
time.

(
e)
If
you
make
a
good­
faith
effort
to
access
enough
test
vehicles
to
complete
Phase
1
or
Phase
2
testing
requirements
under
this
subpart
for
an
engine
family,
but
are
unable
to
do
so,
you
must
ask
us
either
to
modify
the
testing
requirements
for
the
selected
engine
family
or,
in
the
case
of
Phase
1
testing,
to
select
a
different
engine
family.

(
f)
After
you
complete
the
in­
use
testing
requirements
for
an
engine
family
that
we
selected
for
Draft
April
7,
2005
5
testing
in
a
given
calendar
year,
we
may
select
that
same
family
in
a
later
year
to
evaluate
the
engine
family's
compliance
closer
to
the
end
of
its
useful
life.
This
would
count
as
an
additional
engine­
family
selection
under
paragraph
(
a)
of
this
section,
except
as
described
in
paragraph
(
b)
of
this
section.

(
g)
For
any
communication
related
to
this
subpart,
contact
the
Engine
Programs
Group
Manager
(
6405­
J),
U.
S.
Environmental
Protection
Agency,
1200
Pennsylvania
Ave.,
NW.,
Washington,

DC
20460.

§
86.1908
How
must
I
select
and
screen
my
in­
use
engines?

(
a)
Once
we
direct
you
to
do
testing
under
this
subpart,
you
must
make
arrangements
to
select
test
vehicles
and
engines
that
meet
the
following
criteria:

(
1)
The
engines
must
be
representative
of
the
engine
family.

(
2)
The
usage
of
the
vehicles
must
be
representative
of
typical
usage
for
the
vehicles'

particular
application.

(
3)
The
vehicles
come
from
at
least
two
independent
sources.

(
4)
The
engines
have
been
properly
maintained
and
used.

(
5)
The
engines
have
not
been
tampered
with,
rebuilt
or
undergone
major
repair
that
could
be
expected
to
affect
emissions.

(
6)
The
engines
have
not
been
misfueled.
For
example,
an
engine
may
be
misfueled
if
operated
on
a
biodiesel
fuel
blend
that
is
both
expressly
prohibited
by
the
manufacturer
and
identified
as
voiding
the
manufacturer's
warranty,
as
described
in
the
vehicle's
owner
or
operator
manual.
An
engine
is
not
misfueled
if
operated
on
any
other
biodiesel
fuel
blend.

(
7)
The
engines
do
not
have
an
illuminated
MIL
or
stored
OBD
trouble
code
that
lead
you
to
reject
the
vehicle
from
the
test
program
as
described
in
§
86.1910(
b)(
2).

(
8)
The
vehicles
are
likely
to
operate
for
at
least
three
hours
(
excluding
idle)
over
a
complete
shift­
day,
as
described
in
§
86.1910(
g).

(
9)
The
vehicles
have
not
exceeded
the
applicable
useful
life,
in
miles
or
years
(
see
subpart
A
of
this
part);
you
may
otherwise
not
exclude
engines
from
testing
based
on
their
age
or
mileage.

(
b)
You
must
keep
any
records
of
a
vehicle's
maintenance
and
use
history
you
obtain
from
the
owner
or
operator,
as
required
by
§
86.1925.
You
must
report
the
engine's
maintenance
and
use
history
and
information
related
to
the
OBD
system,
as
described
in
§
86.1920.

(
c)
You
must
notify
us
before
rejecting
a
candidate
vehicle
for
reasons
other
than
failing
to
meet
the
acceptance
criteria
in
paragraph
(
a)
of
this
section.
A
candidate
vehicle
is
any
prospective
Draft
April
7,
2005
6
vehicle
you
have
identified
to
potentially
fulfill
your
testing
requirements
under
this
subpart.

Include
your
reasons
for
rejecting
each
vehicle.
We
may
allow
you
to
replace
the
rejected
vehicle
with
another
candidate
vehicle
to
meet
your
testing
requirements
for
the
specific
engine
family.

(
d)
You
must
report
when,
how,
and
why
you
reject
candidate
vehicles,
as
described
in
§
86.1920.

§
86.1910
How
must
I
prepare
and
test
my
in­
use
engines?

(
a)
You
must
limit
maintenance
to
what
is
in
the
owners
manual
for
engines
with
that
amount
of
service
and
age.
For
anything
we
consider
an
adjustable
parameter
(
see
§
86.094­
21(
b)(
1)(
ii)
and
§
86.094­
22(
e)),
you
may
adjust
that
parameter
only
if
it
is
outside
of
its
adjustable
range.
You
must
then
set
the
adjustable
parameter
to
the
mid­
point
of
its
adjustable
range
or
your
recommended
setting,
unless
we
approve
your
request
to
do
otherwise.
You
must
receive
permission
from
us
before
adjusting
anything
not
considered
to
be
an
adjustable
parameter.
You
must
keep
records
of
all
maintenance
and
adjustments,
as
required
by
§
86.1925.
You
must
send
us
these
records,
as
described
in
§
86.1920(
a)(
3)(
x),
unless
we
instruct
you
not
to
send
them.

(
b)
You
may
treat
a
prospective
test
vehicle
with
an
illuminated
MIL
or
stored
trouble
code
as
follows:

(
1)
If
the
length
of
MIL
illumination
or
trouble
code
storage
is
consistent
with
proper
maintenance
and
use,
either
test
the
vehicle
as
received
or
repair
the
vehicle
before
testing.
If
you
repair
the
vehicle,
you
must
describe
the
MIL
or
trouble
code
information
in
your
report
under
§
86.1920.

(
2)
If
the
length
of
MIL
illumination
or
trouble
code
storage
is
inconsistent
with
proper
maintenance
and
use,
either
test
the
vehicle
as
received
or
reject
the
vehicle
from
the
test
program
and
replace
it
with
another
vehicle.
If
you
reject
the
vehicle,
you
must
describe
the
MIL
or
trouble
code
information
in
your
report
under
§
86.1920.

(
3)
If
a
MIL
is
illuminated
or
a
trouble
code
is
set
during
an
in­
use
test,
do
one
of
the
following:

(
i)
Stop
the
test,
repair
the
vehicle,
and
restart
the
testing.
In
this
case,
only
the
portion
of
the
full
test
results
without
the
MIL
illuminated
or
trouble
code
set
would
be
used
in
the
vehicle
pass
determination
as
described
in
§
86.1912.

(
ii)
Stop
the
test,
repair
the
vehicle,
and
initiate
a
new
test.
In
this
case,
only
the
postrepair
test
results
would
be
used
in
the
vehicle
pass
determination
as
described
in
§
86.1912.

(
c)
You
should
use
appropriate
fuels
for
testing
as
follows:
Draft
April
7,
2005
7
(
1)
Any
diesel
fuel
that
meets
the
ASTM
D975
specifications
for
No.
2­
D
S500
or
No.
2­
D
S15,
as
required
in
the
calendar
year
that
in­
use
testing
occurs
(
incorporated
by
reference
in
§
86.1).

(
2)
Any
biodiesel
fuel
blend
that
is
not
both
expressly
prohibited
by
the
manufacturer
and
identified
as
voiding
the
manufacturer's
warranty,
as
described
in
the
vehicle's
owner
or
operator
manual.

(
3)
Any
fuel
that
is
added
to
the
fuel
tank(
s)
of
a
prospective
test
vehicle
must
be
purchased
at
a
local
retail
establishment
near
the
site
of
vehicle
procurement
or
screening,
or
along
the
test
route.

(
4)
No
post
refinery
fuel
additives
are
allowed
except
that
one
or
more
specific
fuel
additives
may
be
used
during
in­
use
testing
if
you
can
document
that
the
owner/
operator
of
the
prospective
test
vehicle
normally
uses
the
fuel
treatment(
s),
and
the
fuel
additive(
s)
is
not
prohibited
in
the
vehicle's
owner
or
operator
manual.

(
d)
You
must
test
the
selected
engines
while
they
remain
installed
in
the
vehicle.
Use
portable
emission­
sampling
equipment
and
field­
testing
procedures
referenced
in
§
86.1375.
Measure
emissions
of
THC;
NMHC
by
any
method
specified
in
40
CFR
part
1065,
subpart
J;
CO;
NOx;

PM
(
as
appropriate);
O
2;
and
CO
2.
(
e)
For
Phase
1
testing,
you
must
test
the
engine
under
conditions
reasonably
expected
to
be
encountered
during
normal
vehicle
operation
and
use
consistent
with
the
general
NTE
requirements
described
in
§
86.1370­
2007(
a).
For
the
purposes
of
this
subpart,
normal
operation
and
use
would
generally
include
consideration
of
the
vehicle's
normal
routes
and
loads
(
including
auxiliary
loads
such
as
air
conditioning
in
the
cab),
normal
ambient
conditions,
and
the
normal
driver.

(
f)
For
Phase
2
testing,
we
may
give
specific
directions,
as
described
in
§
86.1915(
c)(
2).

(
g)
Once
an
engine
is
set
up
for
testing,
test
the
engine
for
at
least
one
shift­
day.
To
complete
a
shift­
day's
worth
of
testing,
start
sampling
at
the
beginning
of
a
shift
and
continue
sampling
for
the
whole
shift.
A
shift­
day
is
the
period
of
a
normal
workday
for
an
individual
employee.
If
the
first
shift­
day
of
testing
does
not
involve
at
least
3
hours
of
accumulated
non­
idle
operation,

repeat
the
testing
for
a
second
shift­
day.
If
the
second
shift­
day
of
testing
also
does
not
result
in
least
3
hours
of
accumulated
non­
idle
operation,
you
may
choose
whether
or
not
to
continue
testing
with
that
vehicle.
If
after
2
shift­
days
you
discontinue
testing
before
accumulating
3
hours
of
non­
idle
operation,
evaluate
the
valid
NTE
samples
as
described
in
§
86.1912
and
include
the
data
in
the
reporting
and
recordkeeping
requirements
specified
in
§
§
86.1920
and
1925.
Count
the
Draft
April
7,
2005
8
engine
toward
meeting
your
testing
requirements
under
this
subpart
and
use
the
data
for
deciding
whether
additional
engines
must
be
tested
under
the
applicable
Phase
1
or
Phase
2
test
plan.

(
h)
You
may
count
a
vehicle
as
meeting
the
vehicle­
pass
criteria
described
in
§
86.1912
if
two
shift­
days
of
testing
does
not
generate
a
single
valid
NTE
sampling
event,
as
described
in
§
86.1912
(
c).
Count
the
engine
towards
meeting
your
testing
requirements
under
this
subpart.

(
i)
You
may
ask
us
to
waive
measurement
of
particular
pollutants
if
you
can
show
that
in­
use
testing
for
such
pollutants
is
not
necessary.

§
86.1912
How
do
I
determine
whether
an
engine
meets
the
vehicle­
pass
criteria?

In
general,
the
average
emissions
for
each
regulated
pollutant
must
remain
at
or
below
the
NTE
threshold
in
paragraph
(
a)
of
this
section
for
at
least
90
percent
of
the
valid
NTE
sampling
events,

as
defined
in
paragraph
(
b)
of
this
section.
For
2007
through
2009
model
year
engines,
the
average
emissions
from
every
NTE
sampling
event
must
also
remain
below
the
NTE
thresholds
in
paragraph
(
f)(
2)
of
this
section.
Perform
the
following
steps
to
determine
whether
an
engine
meets
the
vehicle­
pass
criteria:

(
a)
Determine
the
NTE
threshold
for
each
pollutant
subject
to
an
NTE
standard
by
adding
all
three
of
the
following
terms
and
rounding
the
result
to
the
same
number
of
decimal
places
as
the
applicable
NTE
standard:

(
1)
The
applicable
NTE
standard.

(
2)
The
in­
use
compliance
testing
margin
specified
in
§
86.007­
11(
h),
if
any.

(
3)
An
accuracy
margin
for
portable
in­
use
equipment
depending
on
the
pollutant
as
follows:

(
i)
NMHC.
0.17
grams
per
brake
horsepower­
hour.

(
ii)
CO.
0.60
grams
per
brake
horsepower­
hour.

(
iii)
NOx.
0.5
grams
per
brake
horsepower­
hour.

(
iv)
PM.
0.10
grams
per
brake
horsepower­
hour.

(
b)
For
the
purposes
of
this
subpart,
a
valid
NTE
sampling
event
consists
of
at
least
30
seconds
of
continuous
operation
in
the
NTE
control
area.
An
NTE
event
begins
when
the
engine
starts
to
operate
in
the
NTE
control
area
and
continues
as
long
as
engine
operation
remains
in
this
area
(
see
§
86.1370).
When
determining
a
valid
NTE
sampling
event,
exclude
all
engine
operation
in
approved
NTE
carve­
outs
under
§
86.1370­
2007(
b)(
6)
and
any
approved
NTE
deficiencies
under
§
86.007­
11(
a)(
4)(
iv).
Exclude
any
portion
of
a
sampling
event
that
would
otherwise
exceed
the
5.0
percent
limit
for
the
time­
weighted
carve­
out
defined
in
§
86.1370­
2007(
b)(
7).
For
EGRequipped
engines,
exclude
any
operation
that
occurs
during
the
cold­
temperature
operation
defined
by
the
equations
in
§
86.1370­
2007(
f)(
1).
Draft
April
7,
2005
9
(
c)
Calculate
the
average
emission
level
for
each
pollutant
over
each
valid
NTE
sampling
event
(
in
g/
bhp­
hr)
by
dividing
the
mass
of
emissions
(
grams)
by
the
work
done
during
that
period
E
i
ave
of
operation
(
brake
horsepower­
hour).
Round
the
resulting
value
to
the
same
number
of
decimal
places
as
the
applicable
NTE
threshold.
Calculate
the
average
emission
level
as
follows:

E
E
w
i
j
j
t
j
j
t
ave
=
=

=


1
1
Where:

E
j
=
an
individual
emissions
measurement
at
measurement
interval
j
within
sampling
event
I
(
g),

w
j
=
an
individual
measurement
of
work
output
(
bhp­
hr)
at
measurement
interval
j
within
sampling
event
i,
and
t
=
the
duration
of
the
NTE
sampling
event
I
(
sec).

(
d)
Calculate
a
time­
weighted
vehicle­
pass
ratio
(
R
pass).
To
do
this,
first
sum
the
time
from
each
valid
NTE
sampling
event
whose
average
emission
level
is
at
or
below
the
NTE
threshold
for
any
pollutant,
then
divide
this
value
by
the
sum
of
the
engine
operating
time
from
all
valid
NTE
samples.
Round
the
resulting
vehicle­
pass
ratio
to
two
decimal
places.

(
1)
Calculate
the
time­
weighted
vehicle­
pass
ratio
as
follows:

R
t
t
m
n
k
n
pass
pass
=
=

=


1
1
total
Where:

n
pass
=
the
number
of
sampling
events
for
which
the
average
emission
level
is
at
or
below
the
NTE
threshold,
and
n
total
=
the
total
number
of
valid
sampling
events.

(
2)
For
both
the
numerator
and
the
denominator
of
the
vehicle­
pass
ratio,
use
the
smallest
of
the
following
values
for
determining
the
duration
of
any
NTE
sampling
event:

(
i)
The
measured
time
of
operation
in
the
NTE
control
area
for
that
NTE
sampling
event.

(
ii)
600
seconds.

(
iii)
10
times
the
length
of
the
shortest
valid
NTE
sample
for
all
testing
with
that
engine.
Draft
April
7,
2005
10
(
e)
The
following
example
illustrates
how
to
select
the
duration
of
NTE
sampling
events
for
calculations,
as
described
in
paragraph
(
d)
of
this
section:

NTE
sample
Duration
of
NTE
sample
(
seconds)
Duration
Limit
Applied?
Duration
used
in
calculations
(
seconds)

1
45
No
45
2
168
No
168
3
605
Yes.
Use
10
times
shortest
valid
NTE.
450
4
490
Yes.
Use
10
times
shortest
valid
NTE.
450
5
65
No
65
(
f)
Engines
meet
the
vehicle­
pass
criteria
under
this
section
if
they
meet
both
of
the
following
criteria:

(
1)
The
vehicle­
pass
ratio
calculated
according
to
paragraph
(
d)
of
this
section
must
be
at
least
0.90.

(
2)
For
model
year
2007
through
2009
engines,
emission
levels
from
all
valid
NTE
sampling
events
must
be
less
than
2.0
times
the
NTE
thresholds
calculated
according
to
paragraph
(
b)

of
this
section
for
all
pollutants,
except
that
engines
certified
to
a
NOx
FEL
at
or
below
0.50
g/
bhp­
hr
may
meet
the
vehicle­
pass
criteria
for
NOx
if
measured
NOx
emissions
from
all
valid
NTE
samples
are
less
than
either
2.0
times
the
NTE
threshold
for
NOx
or
2.0
g/
bhp­
hr.

§
86.1915
What
are
the
requirements
for
Phase
1
and
Phase
2
testing?

For
all
selected
engine
families,
you
must
do
the
following:

(
a)
To
determine
the
number
of
engines
you
must
test
from
each
selected
engine
family
under
Phase
1
testing,
use
the
following
criteria:

(
1)
Start
by
measuring
emissions
from
five
engines
using
the
procedures
described
in
§
86.1375.
If
all
five
engines
comply
fully
with
the
vehicle­
pass
criteria
in
§
86.1912
for
all
Draft
April
7,
2005
11
pollutants,
you
may
stop
testing.
This
completes
your
testing
requirements
under
this
subpart
for
the
applicable
calendar
year
for
that
engine
family.

(
2)
If
one
of
the
engines
tested
under
paragraph
(
a)(
1)
of
this
section
fails
to
comply
fully
with
the
vehicle­
pass
criteria
in
§
86.1912
for
one
or
more
pollutants,
test
one
more
engine.
If
this
additional
engine
complies
fully
with
the
vehicle­
pass
criteria
in
§
86.1912
for
all
pollutants,

you
may
stop
testing.
This
completes
your
testing
requirements
under
this
subpart
for
the
applicable
calendar
year
for
that
engine
family.

(
3)
If
your
testing
results
under
paragraphs
(
a)(
1)
and
(
2)
of
this
section
do
not
satisfy
the
criteria
for
completing
your
testing
requirements
under
those
paragraphs
for
all
pollutants,
test
four
additional
engines
so
you
have
tested
a
total
of
ten
engines.

(
4)
An
engine
that
fails
to
fully
comply
with
the
vehicle
pass
criteria
in
§
86.1912
for
any
pollutant
does
not
comply
with
the
vehicle­
pass
criteria
in
§
86.1912
for
the
purposes
of
determining
the
number
of
engines
to
test
from
each
selected
engine
family
under
this
paragraph.

(
b)
For
situations
where
a
total
of
ten
engines
must
be
tested
under
paragraph
(
a)(
3)
of
this
section,
the
results
of
Phase
1
testing
lead
to
the
following
outcomes:

(
1)
If
at
least
eight
of
the
ten
engines
comply
fully
with
the
vehicle­
pass
criteria
in
§
86.1912
for
all
pollutants,
you
may
stop
testing.
This
completes
your
testing
requirements
under
this
subpart
for
the
applicable
calendar
year
for
that
engine
family.

(
2)
If
six
or
seven
vehicles
from
the
Phase
1
sample
of
test
vehicles
comply
fully
with
the
vehicle­
pass
criteria
in
§
86.1912
for
all
pollutants,
then
you
must
engage
in
follow­
up
discussions
with
us
to
determine
whether
any
further
testing
(
including
Phase
2
testing),
data
submissions,
or
other
actions
may
be
warranted.

(
3)
If
fewer
than
six
of
the
ten
engines
tested
under
paragraph
(
a)
of
this
section
comply
fully
with
the
vehicle­
pass
criteria
in
§
86.1912
for
all
pollutants,
we
may
require
you
to
initiate
Phase
2
testing,
as
described
in
paragraph
(
c)
of
this
section.

(
4)
You
may
under
any
circumstances
elect
to
conduct
Phase
2
testing
following
the
completion
of
Phase
1
testing.
All
the
provisions
of
paragraph
(
c)
of
this
section
apply
to
this
Phase
2
testing.

(
c)
If
you
perform
Phase
2
testing
for
any
reason,
test
your
engines
as
follows:

(
1)
You
must
test
ten
engines
using
the
test
procedures
described
in
§
86.1375­
2007,
unless
we
require
you
to
test
fewer
vehicles.

(
2)
We
may
give
you
any
of
the
following
additional
directions
in
selecting
and
testing
engines:
Draft
April
7,
2005
12
(
i)
We
may
require
you
to
select
a
certain
subset
of
your
engine
family.
This
may
include,

for
example,
engines
within
a
specific
power
range,
engines
used
in
particular
applications,

or
engines
installed
in
vehicles
from
a
particular
manufacturer.

(
ii)
We
may
direct
you
to
test
engines
in
a
way
that
simulates
the
type
of
driving
and
ambient
conditions
associated
with
high
emissions
experienced
during
Phase
1
testing.

(
iii)
We
may
direct
you
to
test
engines
in
a
specific
state
or
any
number
of
contiguous
states.

(
iv)
We
may
direct
you
to
select
engines
from
the
same
sources
used
for
previous
testing,

or
from
different
sources.

(
v)
We
may
require
that
you
complete
your
testing
and
reporting
under
Phase
2
within
a
certain
period.
This
period
may
not
be
shorter
than
three
months
and
must
allow
a
reasonable
amount
of
time
to
identify
and
test
enough
vehicles.

§
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?

(
a)
An
exceedance
of
the
NTE
found
through
the
in­
use
testing
program
under
this
subpart
is
not
by
itself
sufficient
to
show
a
breach
of
warranty
under
Clean
Air
Act
section
207(
a)(
1)
(
42
U.
S.
C.

7541(
a)(
1)).
A
breach
of
warranty
would
also
require
one
of
the
following
things:

(
1)
That,
at
the
time
of
sale,
the
engine
or
vehicle
was
designed,
built,
and
equipped
in
a
manner
that
does
not
conform
in
all
material
respects
reasonably
related
to
emission
controls
to
the
engine
as
described
in
the
application
for
certification
and
covered
by
the
certificate;
or
(
2)
A
defect
in
materials
or
workmanship
of
a
component
causes
the
vehicle
or
engine
to
fail
to
conform
to
the
applicable
regulations
for
its
useful
life.

(
b)
To
the
extent
that
in­
use
NTE
testing
does
not
reveal
such
a
material
deficiency
at
the
time
of
sale
in
the
design
or
manufacture
of
an
engine
compared
with
the
certified
engine,
or
a
defect
in
the
materials
and
workmanship
of
a
component
or
part,
test
results
showing
an
exceedence
of
the
NTE
by
itself
would
not
show
a
breach
of
the
warranty
under
42
U.
S.
C.
7541(
a)(
1).

§
86.1920
What
in­
use
testing
information
must
I
report
to
EPA?

(
a)
Send
us
an
electronic
notification
at
application­
ci_
cert@
epa.
gov
describing
any
voluntarily
testing
you
intend
to
conduct
with
portable
in­
use
measurement
systems
on
the
same
engine
families
that
are
being
tested
under
this
subpart,
from
the
time
that
engine
family
was
selected
for
in­
use
testing
under
§
86.1905
until
the
final
results
of
all
testing
for
that
engine
family
are
reported
to
us
under
this
section.
Draft
April
7,
2005
13
(
b)
Send
us
an
electronic
notification
at
application­
ci_
cert@
epa.
gov
within
15
days
after
your
initial
review
of
the
test
data
for
a
selected
engine
family
indicates
that
the
third
engine
in
Phase
1
testing
failed
to
comply
with
the
vehicle
pass
criteria.
Similarly,
send
us
an
electronic
notification
at
the
above
electronic
address
within
3
days
after
your
initial
review
of
the
test
data
for
a
selected
engine
family
indicates
that
any
engine
in
Phase
2
testing
failed
to
comply
with
the
vehicle
pass
criteria.

(
c)
Within
30
days
after
the
end
of
each
calendar
quarter,
send
us
reports
containing
the
test
data
from
each
engine
for
which
testing
was
completed
during
the
calendar
quarter.
Alternatively,
you
may
separately
send
us
the
test
data
within
30
days
after
you
complete
testing
for
an
engine.

Once
you
send
us
information
under
this
section,
you
need
not
send
that
information
again
in
later
reports.
Prepare
your
test
reports
as
follows:

(
1)
For
each
engine
family,
describe
how
you
recruited
vehicles.
Describe
how
you
used
any
criteria
or
thresholds
to
narrow
your
search
or
to
screen
individual
vehicles.

(
2)
Include
a
summary
of
the
candidate
vehicles
you
have
rejected
and
the
reasons
you
rejected
them,
whether
you
base
the
rejection
on
the
criteria
in
§
86.1908(
a)
or
anything
else.

If
you
rejected
a
candidate
vehicle
due
to
misfueling,
included
the
results
of
any
fuel
sample
tests.

(
3)
For
the
test
vehicle,
include
the
following
background
information:

(
i)
The
EPA
engine­
family
designation,
and
the
engine's
model
number,
total
displacement,
and
power
rating.

(
ii)
The
applicable
test
phase
(
Phase
1
or
Phase
2).

(
iii)
The
date
EPA
selected
the
engine
family
for
testing.

(
iv)
The
vehicle's
make
and
model
and
the
year
it
was
built.

(
v)
The
vehicle's
type
or
application
(
such
as
delivery,
line
haul,
or
dump
truck).
Also,

identify
the
type
of
trailer,
if
applicable.

(
vi)
The
vehicle
owner's
name,
address,
phone
number,
and
e­
mail
address.

(
vii)
The
vehicle's
maintenance
and
use
history.

(
viii)
The
known
status
history
of
the
vehicle's
OBD
system
and
any
actions
the
owner
or
operator
took
to
address
OBD
trouble
codes
or
MIL
illumination
over
the
vehicle's
lifetime.

(
ix)
Any
OBD
codes
or
MIL
illumination
that
occur
after
you
accept
the
vehicle
for
in­
use
testing
under
this
subpart.

(
x)
Any
steps
you
take
to
maintain,
adjust,
modify,
or
repair
the
vehicle
or
its
engine
to
prepare
for
testing,
including
actions
to
address
OBD
trouble
codes
or
MIL
illumination.
Draft
April
7,
2005
14
Include
any
steps
you
took
to
drain
and
refill
the
vehicle's
fuel
tank(
s)
to
correct
misfueling,
and
the
results
of
any
fuel
test
conducted
to
identify
misfueling.

(
4)
For
each
test,
include
the
following
data
and
measurements:

(
i)
The
date
and
time
of
testing,
and
the
test
number.

(
ii)
Shift­
days
of
testing
(
see
§
86.1910
(
g)),
duration
of
testing,
and
the
total
hours
of
nonidle
operation.

(
iii)
Route
and
location
of
testing.
You
may
base
this
description
on
the
output
from
a
global­
positioning
system.

(
iv)
The
steps
you
took
to
ensure
that
vehicle
operation
during
testing
was
consistent
with
normal
operation
and
use,
as
described
in
§
86.1910(
e).

(
v)
Fuel
specifications,
if
available.

(
vi)
The
vehicle's
mileage
at
the
start
of
the
test.
Include
the
engine's
total
lifetime
hours
of
operation,
if
available.

(
vii)
Ambient
temperature,
dewpoint,
and
barometric
pressure
at
the
start
and
finish
of
each
valid
NTE
event.

(
viii)
The
number
of
valid
NTE
events
(
see
§
86.1912(
c)),
and
the
percent
of
measured
operating
time
in
the
NTE
zone
(
both
for
valid
NTE
events
and
for
instantaneous
excursions).

(
ix)
Average
emissions
for
each
pollutant
over
each
valid
NTE
event.
Describe
the
method
you
used
to
determine
NMHC
as
specified
in
40
CFR
part
1065,
subpart
J.
See
Appendix
I
of
this
subpart
for
an
example
of
graphically
summarizing
NTE
emission
results.

(
x)
Exhaust­
flow
measurements.

(
xi)
Vehicle­
pass
ratio
(
see
§
86.1912(
d)).

(
xii)
Recorded
one­
hertz
test
data
for
all
the
parameters
specified
in
40
CFR
part
1065,

subpart
J.
Report
results
for
methane
if
it
was
measured
and
you
used
it
to
determine
NMHC.
Also,
include
any
other
relevant
parameters
electronically
sensed,
measured,

calculated,
or
otherwise
stored
by
the
engine's
onboard
computer
such
as
any
parameters
used
to
modulate
the
emission­
control
system.

(
5)
For
each
engine
family,
identify
the
applicable
requirements,
as
follows:

(
i)
Identify
the
applicable
NTE
thresholds.

(
ii)
Identify
the
approved
NTE
carve­
outs
under
§
86.1370­
2007(
b)(
6)
and
§
86.1370­

2007(
b)(
7).

(
iii)
Identify
any
approved
NTE
deficiencies
under
§
86.007­
11(
a)(
4)(
iv).
Draft
April
7,
2005
15
(
6)
Include
the
following
summary
information
after
you
complete
testing
with
the
engine:

(
i)
State
whether
the
engine
meets
the
vehicle­
pass
criteria
in
§
86.1912(
f).

(
ii)
Identify
how
many
engines
you
have
tested
from
the
applicable
engine
family
and
how
many
engines
still
need
to
be
tested.

(
iii)
Identify
how
many
engines
from
an
engine
family
have
passed
the
vehicle­
pass
criteria
and
the
number
that
have
failed
the
vehicle­
pass
criteria
(
see
§
86.1912(
f)).

(
iv)
If
possible,
state
the
outcome
of
Phase
1
testing
for
the
engine
family
based
on
the
criteria
in
§
86.1915(
b).

(
d)
In
your
reports
under
this
section,
you
must
do
all
the
following:

(
1)
Include
results
from
all
emission
testing
required
under
this
subpart.

(
2)
Describe
if
any
testing
or
evaluations
were
conducted
to
determine
why
a
vehicle
failed
the
vehicle­
pass
criteria
in
§
86.1912.

(
3)
Describe
the
purpose
of
any
diagnostic
procedures
you
conduct.

(
4)
Describe
any
instances
in
which
the
OBD
system
illuminated
the
MIL
or
set
trouble
codes.

Also
describe
any
approved
actions
taken
to
address
the
trouble
codes
or
MIL.

(
5)
Describe
any
instances
of
misfueling,
the
approved
actions
taken
to
address
the
problem,

and
the
results
of
any
associated
fuel
sample
testing.

(
6)
Describe
any
incomplete
or
invalid
tests
that
were
conducted
under
this
subpart.

(
e)
We
may
ask
you
to
send
us
less
information
in
your
reports
under
this
section.

(
f)
Send
us
electronic
reports
at
application­
ci_
cert@
epa.
gov
using
an
approved
information
format.
If
you
want
to
use
a
different
format,
send
us
a
written
request
with
justification.

(
g)
We
may
require
you
to
send
us
more
information
to
evaluate
whether
your
engine
family
meets
the
requirements
of
this
part.

§
86.1925
What
records
must
I
keep?

(
a)
Organize
and
maintain
your
records
as
described
in
this
section.
We
may
review
your
records
at
any
time,
so
it
is
important
to
keep
required
information
readily
available.

(
b)
Keep
the
following
paper
or
electronic
records
of
your
in­
use
testing
for
five
years
after
you
complete
all
the
testing
required
for
an
engine
family:

(
1)
Keep
a
copy
of
the
reports
described
in
§
86.1920.

(
2)
Keep
any
additional
records,
including
forms
you
create,
related
to
any
of
the
following:

(
i)
The
procurement
and
vehicle­
selection
process
described
in
§
86.1908.

(
ii)
Pre­
test
maintenance
and
adjustments
to
the
engine
performed
under
§
86.1910.

(
iii)
Test
results
for
all
void,
incomplete,
and
voluntary
testing
described
in
§
86.1920
Draft
April
7,
2005
16
(
iv)
Evaluations
to
determine
why
a
vehicle
failed
the
vehicle­
pass
criteria
described
in
§
86.1912.

(
3)
Keep
a
copy
of
the
relevant
calibration
results
required
by
40
CFR
part
1065.

§
86.1930
What
special
provisions
apply
from
2005
through
2007?

We
may
direct
you
to
test
engines
under
this
subpart
for
emissions
other
than
PM
in
2005
and
2006,
and
for
PM
emissions
in
2006
and
2007.
In
these
interim
periods,
all
the
provisions
of
this
subpart
apply,
with
the
following
exceptions:

(
a)
We
will
only
select
engine
families
for
testing
of
emissions
other
than
PM
when
the
manufacturer's
Statement
of
Compliance
specifically
describes
the
family
as
being
designed
to
comply
with
NTE
requirements.

(
b)
We
will
not
direct
you
to
do
the
Phase
2
testing
in
§
86.1915(
c),
regardless
of
measured
emission
levels.

(
c)
For
purposes
of
calculating
the
NTE
thresholds
under
§
86.1912(
a)
for
any
2006
and
earlier
model
year
engine,
determine
the
applicable
NTE
standards
as
follows:

(
1)
Any
numerical
NTE
requirements
specified
in
the
terms
of
any
consent
decree
that
apply
to
the
engine
family
under
this
subpart.

(
2)
If
a
numerical
NTE
requirement
is
not
specified
in
a
consent
decree
for
the
engine
family,

the
NTE
standards
are
1.25
times
the
applicable
FELs
or
the
applicable
emission
standards
specified
in
§
86.004­
11(
a)(
1)
or
§
86.098­
11(
a)(
1).

(
d)
You
must
submit
the
deficiencies
and
carve
outs
report
described
in
§
86.007­
11(
a)(
4)(
vi)
for
2006
and
earlier
model
year
engines
tested
under
this
section.
You
must
submit
this
information
in
the
report
required
in
§
86.1920(
c).

§
86.1935
What
special
provisions
may
apply
as
a
consequence
of
a
delay
in
the
accuracy
margin
report
for
portable
emission
measurement
systems?

(
a)
A
memorandum
entitled,
"
Memorandum
of
Agreement,
Program
to
Develop
Emission
Measurement
Accuracy
Margins
for
Heavy­
Duty
In­
Use
Testing"
is
incorporated
by
reference.

(
b)
If
one
or
more
engine
manufacturers
fail
to
meet
commitments
under
the
agreement
described
in
paragraph
(
a)
of
this
section
and
such
a
failure
results
in
a
delay
in
the
final
written
report
for
either
gaseous
emissions
(
NOx,
NMHC
and
CO)
or
PM
emissions
described
in
the
agreement,
the
following
provisions
apply
for
the
respective
pollutant
type
(
gaseous
or
PM
emissions):
Draft
April
7,
2005
17
(
1)
If
the
delay
is
3
months
or
less,
we
will
delay
the
designation
of
engine
families
for
testing
in
the
applicable
calendar
year,
as
described
in
§
86.1905(
d),
by
the
same
number
of
additional
whole
months
(
rounded
up)
needed
to
complete
the
report.

(
2)
If
the
delay
is
more
than
3
months,
the
provisions
of
this
subpart
will
not
apply
for
the
otherwise
applicable
calendar
year
(
2007
for
gaseous
emissions
and
2008
for
PM
emissions),

subject
to
the
following
provisions:

(
i)
We
may
identify
the
number
of
engine
families
that
would
otherwise
have
been
designated
for
testing
in
that
calendar
year
for
the
delayed
pollutant
type
and
direct
manufacturers
to
test
that
number
of
engine
families
in
any
later
calendar
year
once
the
provisions
of
this
subpart
begin
for
that
pollutant
type,
without
counting
these
accumulated
engine
families
toward
the
allowable
annual
cap
on
the
number
of
engine
families
specified
in
§
86.1905.

(
ii)
A
delay
for
PM
emissions
would
not
be
a
sufficient
basis
for
delaying
the
program
for
gaseous
emissions.
Similarly,
a
delay
for
gaseous
emissions
would
not
be
a
sufficient
basis
for
delaying
the
program
for
PM
emissions.

(
iii)
The
normal
18­
month
period
for
testing
and
reporting
results
specified
in
§
86.1905(
d)

is
extended
to
24
months
for
any
accumulated
engine­
family
designation
described
in
paragraph
(
b)(
2)(
i)
of
this
section.

(
3)
If
the
delay
is
longer
than
12
months,
follow
the
approach
established
under
paragraphs
(
b)(
1)
and
(
2)
of
this
section
for
the
applicable
calendar
year.

(
c)
We
may
determine
that
any
individual
manufacturer's
failure
under
paragraph
(
b)
of
this
section
constitutes
a
failure
by
all
engine
manufacturers.

(
d)
If
there
is
a
delay
in
receiving
the
written
final
report
for
either
gaseous
emissions
or
PM
emissions
described
in
the
agreement
referenced
in
paragraph
(
a)
of
this
section,
and
that
delay
is
not
attributable
to
engine
manufacturers
failing
to
meet
their
commitments
under
that
agreement,

the
following
provisions
apply
for
the
respective
pollutant
type
(
gaseous
or
PM
emissions):

(
1)
If
the
delay
is
3
months
or
less,
we
will
delay
the
designation
of
engine
families
for
testing
in
the
applicable
calendar
year,
as
described
in
§
86.1905(
d),
by
the
same
number
of
additional
whole
months
(
rounded
up)
needed
to
complete
the
report.

(
2)
If
the
delay
is
more
than
3
months,
we
may
continue
to
designate
engine
families
for
testing
under
the
special
provisions
described
in
§
86.1930.

(
3)
If
the
delay
is
longer
than
12
months,
follow
the
approach
established
under
paragraphs
(
d)(
1)
and
(
2)
of
this
section
for
the
applicable
calendar
year.
Draft
April
7,
2005
18
(
e)
Nothing
in
this
section
affects
our
ability
to
select
engines
from
any
model
year
beginning
with
model
year
2007.

(
f)
If
we
determine
that
fundamental
technical
problems
with
portable
in­
use
PM
measurement
systems
are
not
resolvable
in
a
reasonable
time,
the
provisions
of
this
subpart,
as
they
apply
to
PM,
will
go
into
abeyance
until
we
determine
that
suitable
emission­
measurement
devices
are
available
for
in­
use
testing.

(
g)
Engine
manufacturers
contributing
to
the
test
programs
described
in
the
agreement
referenced
in
paragraph
(
a)
of
this
section
may
limit
their
testing
under
the
special
provisions
described
in
§
86.1930
to
five
engines
in
each
designated
engine
family.

Appendix
I
to
Subpart
T
 
Sample
Graphical
Summary
of
NTE
Emission
Results
The
following
figure
shows
an
example
of
a
graphical
summary
of
NTE
emission
results:
Draft
April
7,
2005
19
