[Code of Federal Regulations] [Title 40, Volume 31] [Revised as of July 1, 2007] From the U.S. Government Printing Office via GPO Access [CITE: 40CFR1068.455] [Page 847-849] TITLE 40--PROTECTION OF ENVIRONMENT CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY (CONTINUED) PART 1068_GENERAL COMPLIANCE PROVISIONS FOR NONROAD PROGRAMS--Table of Contents Subpart E_Selective Enforcement Auditing Sec. 1068.455 What records must I keep? (a) We may review your records at any time, so it is important to keep required information readily available. Organize and maintain your records as described in this section. (b) Keep paper records for testing under this subpart for one full year after you complete all the testing required for the selective enforcement audit. For additional storage, you may use any format or media. (c) Keep a copy of the written reports described in Sec. 1068.450. (d) Keep the following additional records: (1) The names of supervisors involved in each test. (2) The name of anyone who authorizes adjusting, repairing, preparing, or modifying a test engine and the names of all supervisors who oversee this work. (3) If you shipped the engine for testing, the date you shipped it, the associated storage or port facility, and the date the engine arrived at the testing facility. (4) Any records related to your audit that are not in the written report. (5) A brief description of any significant events during testing not otherwise described in the written report or in this section. (e) If we ask, you must give us projected or actual production for an engine family. Include each assembly plant if you produce engines at more than one plant. (f) We may ask you to keep or send other information necessary to implement this subpart. Appendix A to Subpart E of Part 1068--Plans for Selective Enforcement Auditing The following tables describe sampling plans for selective enforcement audits, as described in Sec. 1068.420: Table A-1--Sampling Plan Code Letter ---------------------------------------------------------------------------------------------------------------- Minimum number of tests Maximum Projected engine family sales Code letter ---------------------------- number of \1\ To pass To fail tests ---------------------------------------------------------------------------------------------------------------- 20 - 50................................................. AA 3 5 20 20 - 99................................................. A 4 6 30 100 - 299............................................... B 5 6 40 300 - 499............................................... C 5 6 50 500 +................................................... D 5 6 60 ---------------------------------------------------------------------------------------------------------------- \1\ A manufacturer may optionally use either the sampling plan for code letter ``AA'' or sampling plan for code letter ``A'' for Selective enforcement Audits of engine families with annual sales between 20 and 50 engines. Additionally, the manufacturer may switch between these plans during the audit. Table A-2--Sampling Plans for Different Engine Family Sales Volumes -------------------------------------------------------------------------------------------------------------------------------------------------------- AA A B C D ------------------------------------------------------------------------------------------------------------- Stage \a\ Pass Fail Pass Fail Pass Fail Pass Fail Pass Fail -------------------------------------------------------------------------------------------------------------------------------------------------------- 1......................................... -------------------------------------------------------------------------------------------------------------------------------------------------------- 2......................................... -------------------------------------------------------------------------------------------------------------------------------------------------------- 3......................................... 0 -------------------------------------------------------------------------------------------------------------------------------------------------------- [[Page 848]] 4......................................... ......... ......... 0 -------------------------------------------------------------------------------------------------------------------------------------------------------- 5......................................... 1 5 0 ......... 0 ......... 0 ......... 0 -------------------------------------------------------------------------------------------------------------------------------------------------------- 6......................................... 1 6 1 6 1 6 0 6 0 6 -------------------------------------------------------------------------------------------------------------------------------------------------------- 7......................................... 2 6 1 7 1 7 1 7 1 7 -------------------------------------------------------------------------------------------------------------------------------------------------------- 8......................................... 2 7 2 7 2 7 2 7 2 8 -------------------------------------------------------------------------------------------------------------------------------------------------------- 9......................................... 3 7 2 8 2 8 2 8 2 8 -------------------------------------------------------------------------------------------------------------------------------------------------------- 10........................................ 3 8 3 8 3 8 3 9 3 9 -------------------------------------------------------------------------------------------------------------------------------------------------------- 11........................................ 4 8 3 8 3 9 3 9 3 9 -------------------------------------------------------------------------------------------------------------------------------------------------------- 12........................................ 4 9 4 9 4 9 4 10 4 10 -------------------------------------------------------------------------------------------------------------------------------------------------------- 13........................................ 5 9 5 10 4 10 4 10 4 10 -------------------------------------------------------------------------------------------------------------------------------------------------------- 14........................................ 5 10 5 10 5 10 5 11 5 11 -------------------------------------------------------------------------------------------------------------------------------------------------------- 15........................................ 6 10 6 11 5 11 5 11 5 11 -------------------------------------------------------------------------------------------------------------------------------------------------------- 16........................................ 6 10 6 11 6 12 6 12 6 12 -------------------------------------------------------------------------------------------------------------------------------------------------------- 17........................................ 7 10 7 12 6 12 6 12 6 12 -------------------------------------------------------------------------------------------------------------------------------------------------------- 18........................................ 8 10 7 12 7 13 7 13 7 13 -------------------------------------------------------------------------------------------------------------------------------------------------------- 19........................................ 8 10 8 13 8 13 7 13 7 13 -------------------------------------------------------------------------------------------------------------------------------------------------------- 20........................................ 9 10 8 13 8 14 8 14 8 14 -------------------------------------------------------------------------------------------------------------------------------------------------------- 21........................................ ......... ......... 9 14 9 14 8 14 8 14 -------------------------------------------------------------------------------------------------------------------------------------------------------- 22........................................ ......... ......... 10 14 9 15 9 15 9 15 -------------------------------------------------------------------------------------------------------------------------------------------------------- 23........................................ ......... ......... 10 15 10 15 10 15 9 15 -------------------------------------------------------------------------------------------------------------------------------------------------------- 24........................................ ......... ......... 11 15 10 16 10 16 10 16 -------------------------------------------------------------------------------------------------------------------------------------------------------- 25........................................ ......... ......... 11 16 11 16 11 16 11 16 -------------------------------------------------------------------------------------------------------------------------------------------------------- 26........................................ ......... ......... 12 16 11 17 11 17 11 17 -------------------------------------------------------------------------------------------------------------------------------------------------------- 27........................................ ......... ......... 12 17 12 17 12 17 12 17 -------------------------------------------------------------------------------------------------------------------------------------------------------- 28........................................ ......... ......... 13 17 12 18 12 18 12 18 -------------------------------------------------------------------------------------------------------------------------------------------------------- 29........................................ ......... ......... 14 17 13 18 13 18 13 19 -------------------------------------------------------------------------------------------------------------------------------------------------------- 30........................................ ......... ......... 16 17 13 19 13 19 13 19 -------------------------------------------------------------------------------------------------------------------------------------------------------- 31........................................ ......... ......... ......... ......... 14 19 14 19 14 20 -------------------------------------------------------------------------------------------------------------------------------------------------------- 32........................................ ......... ......... ......... ......... 14 20 14 20 14 20 -------------------------------------------------------------------------------------------------------------------------------------------------------- 33........................................ ......... ......... ......... ......... 15 20 15 20 15 21 -------------------------------------------------------------------------------------------------------------------------------------------------------- 34........................................ ......... ......... ......... ......... 16 21 15 21 15 21 -------------------------------------------------------------------------------------------------------------------------------------------------------- [[Page 849]] 35........................................ ......... ......... ......... ......... 16 21 16 21 16 22 -------------------------------------------------------------------------------------------------------------------------------------------------------- 36........................................ ......... ......... ......... ......... 17 22 16 22 16 22 -------------------------------------------------------------------------------------------------------------------------------------------------------- 37........................................ ......... ......... ......... ......... 17 22 17 22 17 23 -------------------------------------------------------------------------------------------------------------------------------------------------------- 38........................................ ......... ......... ......... ......... 18 22 18 23 17 23 -------------------------------------------------------------------------------------------------------------------------------------------------------- 39........................................ ......... ......... ......... ......... 18 22 18 23 18 24 -------------------------------------------------------------------------------------------------------------------------------------------------------- 40........................................ ......... ......... ......... ......... 21 22 19 24 18 24 -------------------------------------------------------------------------------------------------------------------------------------------------------- 41........................................ ......... ......... ......... ......... ......... ......... 19 24 19 25 -------------------------------------------------------------------------------------------------------------------------------------------------------- 42........................................ ......... ......... ......... ......... ......... ......... 20 25 19 26 -------------------------------------------------------------------------------------------------------------------------------------------------------- 43........................................ ......... ......... ......... ......... ......... ......... 20 25 20 26 -------------------------------------------------------------------------------------------------------------------------------------------------------- 44........................................ ......... ......... ......... ......... ......... ......... 21 26 21 27 -------------------------------------------------------------------------------------------------------------------------------------------------------- 45........................................ ......... ......... ......... ......... ......... ......... 21 27 21 27 -------------------------------------------------------------------------------------------------------------------------------------------------------- 46........................................ ......... ......... ......... ......... ......... ......... 22 27 22 28 -------------------------------------------------------------------------------------------------------------------------------------------------------- 47........................................ ......... ......... ......... ......... ......... ......... 22 27 22 28 -------------------------------------------------------------------------------------------------------------------------------------------------------- 48........................................ ......... ......... ......... ......... ......... ......... 23 27 23 29 -------------------------------------------------------------------------------------------------------------------------------------------------------- 49........................................ ......... ......... ......... ......... ......... ......... 23 27 23 29 -------------------------------------------------------------------------------------------------------------------------------------------------------- 50........................................ ......... ......... ......... ......... ......... ......... 26 27 24 30 -------------------------------------------------------------------------------------------------------------------------------------------------------- 51........................................ ......... ......... ......... ......... ......... ......... ......... ......... 24 30 -------------------------------------------------------------------------------------------------------------------------------------------------------- 52........................................ ......... ......... ......... ......... ......... ......... ......... ......... 25 31 -------------------------------------------------------------------------------------------------------------------------------------------------------- 53........................................ ......... ......... ......... ......... ......... ......... ......... ......... 25 31 -------------------------------------------------------------------------------------------------------------------------------------------------------- 54........................................ ......... ......... ......... ......... ......... ......... ......... ......... 26 32 -------------------------------------------------------------------------------------------------------------------------------------------------------- 55........................................ ......... ......... ......... ......... ......... ......... ......... ......... 26 32 -------------------------------------------------------------------------------------------------------------------------------------------------------- 56........................................ ......... ......... ......... ......... ......... ......... ......... ......... 27 33 -------------------------------------------------------------------------------------------------------------------------------------------------------- 57........................................ ......... ......... ......... ......... ......... ......... ......... ......... 27 33 -------------------------------------------------------------------------------------------------------------------------------------------------------- 58........................................ ......... ......... ......... ......... ......... ......... ......... ......... 28 33 -------------------------------------------------------------------------------------------------------------------------------------------------------- 59........................................ ......... ......... ......... ......... ......... ......... ......... ......... 28 33 -------------------------------------------------------------------------------------------------------------------------------------------------------- 60 ......... ......... ......... ......... ......... ......... ......... ......... 32 33 -------------------------------------------------------------------------------------------------------------------------------------------------------- \a\ Stage refers to the cumulative number of engines tested. 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