[Code of Federal Regulations]
[Title 40, Volume 17]
[Revised as of July 1, 2003]
From the U.S. Government Printing Office via GPO Access
[CITE: 40CFR86.612-97]

[Page 37-40]
 
                   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 (CONTINUED)--Table of Contents
 
  Subpart G--Selective Enforcement Auditing of New Light-Duty Vehicles
 
Sec. 86.612-97  Suspension and revocation of certificates of conformity.

    (a) The certificate of conformity is immediately suspended with 
respect to any vehicle failing pursuant to Sec. 86.610(b) effective from 
the time that testing of that vehicle is completed.
    (b)(1) Selective Enforcement Audits. The Administrator may suspend 
the certificate of conformity for a configuration that does not pass a 
Selective Enforcement Audit pursuant to Sec. 86.610-98(c) based on the 
first test, or all tests, conducted on each vehicle. This suspension 
will not occur before ten days after failure to pass the audit.
    (2) California Assembly-Line Quality Audit Testing. The 
Administrator may suspend the certificate of conformity for a 50-state 
family or configuration tested in accordance with procedures prescribed 
under Sec. 86.608 that the Executive Officer has determined to be in 
non-compliance with one or more applicable pollutants based on the 
requirements specified in Chapter 1 or Chapter 2 of the California 
Regulatory Requirements Applicable to the National Low Emission Vehicle 
Program (October, 1996), if the results of vehicle testing conducted by 
the manufacturer do not meet the acceptable quality level criteria 
pursuant to Sec. 86.610. The California Regulatory Requirements 
Applicable to the National Low Emission Vehicle Program (October, 1996) 
are incorporated by reference (see Sec. 86.1). A vehicle that is tested 
by the manufacturer pursuant to California Assembly-Line Quality Audit 
Test Procedures, in accordance with procedures prescribed under 
Sec. 86.608, and determined to be a failing vehicle will be treated as a 
failed vehicle described in Sec. 86.610(b), unless the manufacturer can 
show that the vehicle would not be considered a failed vehicle using the 
test procedures specified in Sec. 86.608. This suspension will not occur 
before ten days after the manufacturer receives written notification 
that the Administrator has determined the 50-state family or 
configuration exceeds one or more applicable federal standards.
    (c)(1) Selective Enforcement Audits. If the results of vehicle 
testing pursuant to the requirements of this subpart indicates the 
vehicles of a particular configuration produced at more than one plant 
do not conform to the regulations with respect to which the certificate 
of conformity was issued, the Administrator may suspend the certificate 
of conformity with respect to that configuration for vehicles 
manufactured by the manufacturer in other plants of the manufacturer.
    (2) California Assembly-Line Quality Audit Testing. If the 
Administrator determines that the results of vehicle testing pursuant to 
the requirements specified in Chapter 1 or Chapter 2 of the California 
Regulatory Requirements Applicable to the National Low Emission Vehicle 
Program (October, 1996) and the procedures prescribed in Sec. 86.608 
indicate the vehicles of a particular 50-state engine family or 
configuration produced at more than one plant do not conform to 
applicable federal regulations with respect to which a certificate of 
conformity was issued, the Administrator may suspend, pursuant to 
paragraph (b)(2) of this section,

[[Page 38]]

the certificate of conformity with respect to that engine family or 
configuration for vehicles manufactured in other plants of the 
manufacturer. The California Regulatory Requirements Applicable to the 
National Low Emission Vehicle Program (October, 1996) are incorporated 
by reference (see Sec. 86.1).
    (d) The Administrator will notify the manufacturer in writing of any 
suspension or revocation of a certificate of conformity in whole or in 
part: Except, that the certificate of conformity is immediately 
suspended with respect to any vehicle failing pursuant to Sec. 86.610(b) 
and as provided for in paragraph (a) of this section.
    (e)(1) Selective Enforcement Audits. The Administrator may revoke a 
certificate of conformity for a configuration when the certificate has 
been suspended pursuant to paragraph (b)(1) or (c)(1) of this section if 
the proposed remedy for the nonconformity, as reported by the 
manufacturer to the Administrator, is one requiring a design change(s) 
to the engine and/or emission control system as described in the 
Application for Certification of the affected configuration.
    (2) California Assembly-Line Quality Audit Testing. The 
Administrator may revoke a certificate of conformity for an engine 
family or configuration when the certificate has been suspended pursuant 
to paragraph (b)(2) or (c)(2) of this section if the proposed remedy for 
the nonconformity, as reported by the manufacturer to the Executive 
Officer and/or the Administrator, is one requiring a design change(s) to 
the engine and/or emission control system as described in the 
Application for Certification of the affected engine family or 
configuration.
    (f) Once a certificate has been suspended for a failed vehicle as 
provided for in paragraph (a) of this section, the manufacturer must 
take the following actions:
    (1) Before the certificate is reinstated for that failed vehicle--
    (i) Remedy the nonconformity; and
    (ii) Demonstrate that the vehicle's final deteriorated test results 
conform to the applicable emission standards or family particulate 
emission limits, as defined in this part 86 by retesting the vehicle in 
accordance with the requirements of this subpart.
    (2) Submit a written report to the Administrator within thirty days 
after successful completion of testing on the failed vehicle, which 
contains a description of the remedy and test results for the vehicle in 
addition to other information that may be required by this subpart.
    (g) Once a certificate has been suspended pursuant to paragraph (b) 
or (c) of this section, the manufacturer must take the following actions 
before the Administrator will consider reinstating such certificate:
    (1) Submit a written report to the Administrator which identifies 
the reason for the noncompliance of the vehicles, describes the proposed 
remedy, including a description of any proposed quality control and/or 
quality assurance measures to be taken by the manufacturer to prevent 
the future occurrence of the problem, and states the date on which the 
remedies will be implemented.
    (2) Demonstrate that the engine family or configuration for which 
the certificate of conformity has been suspended does in fact comply 
with the requirements of this subpart by testing vehicles selected from 
normal production runs of that engine family or configuration at the 
plant(s) or the facilities specified by the Administrator, in accordance 
with:
    (i) The conditions specified in the initial test order pursuant to 
Sec. 86.603 for a configuration suspended pursuant to paragraph (b)(1) 
or (c)(1) of this section; or
    (ii) The conditions specified in a test order pursuant to 
Sec. 86.603 for an engine family or configuration suspended pursuant to 
paragraph (b)(2) or (c)(2) of this section.
    (3) If the Administrator has not revoked the certificate pursuant to 
paragraph (e) of this section and if the manufacturer elects to continue 
testing individual vehicles after suspension of a certificate, the 
certificate is reinstated for any vehicle actually determined to have 
its final deteriorated test results in conformance with the applicable 
standards through testing in accordance with the applicable test 
procedures.

[[Page 39]]

    (4) In cases where the Administrator has suspended a certificate of 
conformity for a 50-state engine family or configuration pursuant to 
paragraph (b)(2) or (c)(2) of this section, manufacturers may request in 
writing that the Administrator reinstate the certificate of an engine 
family or configuration when, in lieu of the actions described in 
paragraphs (g) (1) and (2) of this section, the manufacturer has agreed 
to comply with Chapter 3 of the California Regulatory Requirements 
Applicable to the National Low Emission Vehicle Program (October, 1996), 
provided an Executive Order is in place for the engine family or 
configuration. The California Regulatory Requirements Applicable to the 
National Low Emission Vehicle Program (October, 1996) are incorporated 
by reference (see Sec. 86.1).
    (h) Once a certificate for a failed engine family or configuration 
has been revoked under paragraph (e) (1) or (2) of this section and the 
manufacturer desires to introduce into commerce a modified version of 
that engine family or configuration, the following actions will be taken 
before the Administrator may issue a certificate for the new engine 
family or configuration:
    (1) If the Administrator determines that the proposed change(s) in 
vehicle design may have an effect on emission performance deterioration 
and/or fuel economy, he/she shall notify the manufacturer within five 
working days after receipt of the report in paragraph (g)(1) of this 
section or after receipt of information pursuant to paragraph (g)(4) of 
this section whether subsequent testing under this subpart will be 
sufficient to evaluate the proposed change(s) or whether additional 
testing will be required.
    (2) After implementing the change(s) intended to remedy the 
nonconformity, the manufacturer shall demonstrate:
    (i) If the certificate was revoked pursuant to paragraph (e)(1) of 
this section, that the modified vehicle configuration does in fact 
conform with the requirements of this subpart by testing vehicles 
selected from normal production runs of that modified vehicle 
configuration in accordance with the conditions specified in the initial 
test order pursuant to Sec. 86.603. The Administrator shall consider 
this testing to satisfy the testing requirements of Sec. 86.079-32 or 
Sec. 86.079-33 if the Administrator had so notified the manufacturer. If 
the subsequent testing results in a pass decision pursuant to the 
criteria in Sec. 86.610-96(c), the Administrator shall reissue or amend 
the certificate, if necessary, to include that configuration: Provided, 
that the manufacturer has satisfied the testing requirements specified 
in paragraph (h)(1) of this section. If the subsequent audit results in 
a fail decision pursuant to the criteria in Sec. 86.610(c), the 
revocation remains in effect. Any design change approvals under this 
subpart are limited to the modification of the configuration specified 
by the test order.
    (ii) If the certificate was revoked pursuant to paragraph (e)(2) of 
this section, that the modified engine family or configuration does in 
fact conform with the requirements of this subpart by testing vehicles 
selected from normal production runs of that modified engine family or 
configuration in accordance with the conditions specified in a test 
order pursuant to Sec. 86.603. The Administrator shall consider this 
testing to satisfy the testing requirements of Sec. 86.079-32 or 
Sec. 86.079-33 if the Administrator had so notified the manufacturer. If 
the subsequent testing results in a pass decision pursuant to 
Sec. 86.610(c), the Administrator shall reissue or amend the certificate 
as necessary: Provided, That the manufacturer has satisfied the testing 
requirements specified in paragraph (h)(1) of this section. If the 
subsequent testing results in a fail decision pursuant to 
Sec. 86.610(c), the revocation remains in effect. Any design change 
approvals under this subpart are limited to the modification of engine 
family or configuration specified by the test order.
    (3) In cases where the Administrator has revoked a certificate of 
conformity for a 50-state engine family or configuration pursuant to 
paragraph (e)(2) of this section, manufacturers may request in writing 
that the Administrator reissue the certificate of an engine family or 
configuration when, in lieu of the actions described in paragraphs (h) 
(1) and (2) of this section, the manufacturer has complied with Chapter 
3 of the California Regulatory

[[Page 40]]

Requirements Applicable to the National Low Emission Vehicle Program 
(October, 1996), provided an Executive Order is in place for the engine 
family or configuration. The California Regulatory Requirements 
Applicable to the National Low Emission Vehicle Program (October, 1996) 
are incorporated by reference (see Sec. 86.1).
    (i) A manufacturer may at any time subsequent to an initial 
suspension of a certificate of conformity with respect to a test vehicle 
pursuant to paragraph (a) of this section, but not later than fifteen 
(15) days or such other period as may be allowed by the Administrator 
after notification of the Administrator's decision to suspend or revoke 
a certificate of conformity in whole or in part pursuant to paragraph 
(b), (c) or (e) of this section, request that the Administrator grant 
such manufacturer a hearing as to whether the tests have been properly 
conducted or any sampling methods have been properly applied.
    (j) After the Administrator suspends or revokes a certificate of 
conformity pursuant to this section or notifies a manufacturer of his 
intent to suspend, revoke or void a certificate of conformity under 
Sec. 86.084-30(d), and prior to the commencement of a hearing under 
Sec. 86.614, if the manufacturer demonstrates to the Administrator's 
satisfaction that the decision to suspend, revoke or void the 
certificate was based on erroneous information, the Administrator shall 
reinstate the certificate.
    (k) To permit a manufacturer to avoid storing non-test vehicles when 
conducting testing of an engine family or configuration subsequent to 
suspension or revocation of the certificate of conformity for that 
engine family or configuration pursuant to paragraph (b), (c), or (e) of 
this section, the manufacturer may request that the Administrator 
conditionally reinstate the certificate for that engine family or 
configuration. The Administrator may reinstate the certificate subject 
to the condition that the manufacturer consents to recall all vehicles 
of that engine family or configuration produced from the time the 
certificate is conditionally reinstated if the engine family or 
configuration fails the subsequent testing and to remedy any 
nonconformity at no expense to the owner.

[62 FR 31236, June 6, 1997]