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Daily Rules, Proposed Rules, and Notices of the Federal Government

ENVIRONMENTAL PROTECTION AGENCY

40 CFR Part 86

[OAR-2005-0047; FRL-8256-9]

RIN 2060-AL92

Control of Air Pollution From New Motor Vehicles and New Motor Vehicle Engines; Regulations Requiring Onboard Diagnostic Systems on 2010 and Later Heavy-Duty Engines Used in Highway Applications Over 14,000 Pounds; Revisions to Onboard Diagnostic Requirements for Diesel Highway Heavy-Duty Vehicles Under 14,000 Pounds

AGENCY: Environmental Protection Agency (EPA).
ACTION: Notice of proposed rulemaking.
SUMMARY: In 2001, EPA finalized a new, major program for highway heavy-duty engines. That program, the Clean Diesel Trucks and Buses program, will result in the introduction of advanced emissions control systems such as catalyzed diesel particulate filters (DPF) and catalysts capable of reducing harmful nitrogen oxide (NOX) emissions. This proposal would require that these advanced emissions control systems be monitored for malfunctions via an onboard diagnostic system (OBD), similar to those systems that have been required on passenger cars since the mid-1990s. This proposal would require manufacturers to install OBD systems that monitor the functioning of emission control components and alert the vehicle operator to any detected need for emission related repair. This proposal would also require that manufacturers make available to the service and repair industry information necessary to perform repair and maintenance service on OBD systems and other emission related engine components. Lastly, this proposal would revise certain existing OBD requirements for diesel engines used in heavy-duty vehicles under 14,000 pounds.
DATES: If we do not receive a request for a public hearing, written comments are due March 26, 2007. Requests for a public hearing must be received by February 8, 2007. If we do receive a request for a public hearing, we will publish a notice in theFederal Registerand on the Web athttp://www.epa.gov/obd/regtech/heavy.htmcontaining details regarding the location, date, and time of the public hearing. In that case, the public comment period would close 30 days after the public hearing. Under the Paperwork Reduction Act, comments on the information collection provisions must be received by OMB on or before February 23, 2007.
ADDRESSES: *http://www.regulations.gov:Follow the on-line instructions for submitting comments.

*Mail:Onboard Diagnostic (OBD) Systems on 2010 and Later Heavy-Duty Highway Vehicles and Engines, Environmental Protection Agency, Mailcode: 6102T, 1200 Pennsylvania Ave., NW., Washington, DC, 20460, Attention Docket ID No. EPA-HQ-OAR-2005-0047. In addition, please mail a copy of your comments on the information collection provisions to the Office of Information and Regulatory Affairs, Office of Management and Budget (OMB), Attn: Desk Officer for EPA, 725 17th St. NW., Washington, DC 20503.

Instructions:Direct your comments to Docket ID No. EPA-HQ-OAR-2005-0047. EPA's policy is that all comments received will be included in the public docket without change and may be made available online athttp://www.regulations.gov,including any personal information provided, unless the comment includes information claimed to be Confidential Business Information (CBI) or other information whose disclosure is restricted by statute. Do not submit information that you consider to be CBI or otherwise protected throughhttp://www.regulations.govor e-mail. Thehttp://www.regulations.govWeb site is an "anonymous access" system, which means EPA will not know your identity or contact information unless you provide it in the body of your comment. If you send an e-mail comment directly to EPA without going throughhttp://www.regulations.govyour e-mail address will be automatically captured and included as part of the comment that is placed in the public docket and made available on the Internet. If you submit an electronic comment, EPA recommends that you include your name and other contact information in the body of your comment and with any disk or CD-ROM you submit. If EPA cannot read your comment due to technical difficulties and cannot contact you for clarification, EPA may not be able to consider your comment. Electronic files should avoid the use of special characters, any form of encryption, and be free of any defects or viruses.

Docket:All documents in the docket are listed in thehttp://www.regulations.govindex. Although listed in the index, some information is not publicly available, e.g., CBI or other information whose disclosure is restricted by statute. Certain other material, such as copyrighted material, will be publicly available only in hard copy. Publicly available docket materials are available either electronically inhttp://www.regulations.govor in hard copy at the Air Docket, EPA/DC, EPA West, Room B102, 1301 Constitution Ave., NW., Washington, DC. The Public Reading Room is open from 8:30 a.m. to 4:30 p.m., Monday through Friday, excluding legal holidays. The telephone number for the Public Reading Room is (202) 566-1744, and the telephone number for the Air Docket is (202) 566-1742.

FOR FURTHER INFORMATION CONTACT: U.S. EPA, National Vehicle and Fuel Emissions Laboratory, Assessment and Standards Division, 2000 Traverwood Drive, Ann Arbor, MI 48105; telephone (734) 214-4405, fax (734) 214-4816, emailsherwood.todd@epa.gov.
SUPPLEMENTARY INFORMATION: Regulated Entities

This action will affect you if you produce or import new heavy-duty engines which are intended for use in highway vehicles such as trucks and buses, or produce or import such highway vehicles, or convert heavy-duty vehicles or heavy-duty engines used in highway vehicles to use alternative fuels.

The following table gives some examples of entities that may have to follow the regulations. But because these are only examples, you should carefully examine the regulations in 40 CFR part 86. If you have questions, call the person listed in theFOR FURTHER INFORMATION CONTACTsection of this preamble:

Category NAICS Codesa SIC Codesb Examples of potentially regulated
  • entities
  • Industry 336111
  • 336112
  • 336120
  • 3711 Motor Vehicle Manufacturers; Engine and Truck Manufacturers.
    Industry 811112
  • 811198
  • 541514
  • 7533
  • 7549
  • 8742
  • Commercial Importers of Vehicles and Vehicle Components.
    Industry 336111 3592 Alternative fuel vehicle converters. 336312 3714 422720 5172 454312 5984 811198 7549 541514 8742 541690 8931 aNorth American Industry Classification Systems (NAICS). bStandard Industrial Classification (SIC) system code.
    What Should I Consider as I Prepare My Comments for EPA?

    Submitting CBI.Do not submit this information to EPA throughwww.regulations.govor e-mail. Clearly mark the part or all of the information that you claim to be CBI. For CBI information in a disk or CD ROM that you mail to EPA, mark the outside of the disk or CD ROM as CBI and then identify electronically within the disk or CD ROM the specific information that is claimed as CBI). In addition to one complete version of the comment that includes information claimed as CBI, a copy of the comment that does not contain the information claimed as CBI must be submitted for inclusion in the public docket. Information so marked will not be disclosed except in accordance with procedures set forth in 40 CFR part 2.

    Tips for Preparing Your Comments.When submitting comments, remember to:

    • Identify the rulemaking by docket number and other identifying information (subject heading,Federal Registerdate and page number).

    • Follow directions—The agency may ask you to respond to specific questions or organize comments by referencing a Code of Federal Regulations (CFR) part or section number.

    • Explain why you agree or disagree; suggest alternatives and substitute language for your requested changes.

    • Describe any assumptions and provide any technical information and/or data that you used.

    • If you estimate potential costs or burdens, explain how you arrived at your estimate in sufficient detail to allow for it to be reproduced.

    • Provide specific examples to illustrate your concerns, and suggest alternatives.

    • Explain your views as clearly as possible, avoiding the use of profanity or personal threats.

    • Make sure to submit your comments by the comment period deadline identified.

    Outline of this Preamble I. Overview A. Background B. What Is EPA Proposing? 1. OBD Requirements for Engines Used in Highway Vehicles Over 14,000 Pounds GVWR 2. Requirements That Service Information Be Made Available 3. OBD Requirements for Diesel Heavy-Duty Vehicles and Engines Used in Vehicles Under 14,000 Pounds C. Why Is EPA Making This Proposal? 1. Highway Engines and Vehicles Contribute to Serious Air Pollution Problems 2. Emissions Control of Highway Engines and Vehicles Depends on Properly Operating Emissions Control Systems 3. Basis for Action Under the Clean Air Act D. How Has EPA Chosen the Level of the Proposed Emissions Thresholds? E. World Wide Harmonized OBD (WWH-OBD) F. Onboard Diagnostics for Diesel Engines Used in Nonroad Land-Based Equipment 1. What Is the Baseline Nonroad OBD System? 2. What Is The Appropriate Level of OBD Monitoring for Nonroad Diesel Engines? 3. What Should the OBD Standardization Features Be? 4. What Are the Prospects and/or Desires for International Harmonization of Nonroad OBD? II. What Are the Proposed OBD Requirements and When Would They Be Implemented? A. General OBD System Requirements 1. The OBD System 2. Malfunction Indicator Light (MIL) and Diagnostic Trouble Codes (DTC) 3. Monitoring Conditions 4. Determining the Proper OBD Malfunction Criteria B. Monitoring Requirements and Timelines for Diesel-Fueled/Compression-Ignition Engines 1. Fuel System Monitoring 2. Engine Misfire Monitoring 3. Exhaust Gas Recirculation (EGR) System Monitoring 4. Turbo Boost Control System Monitoring 5. Non-Methane Hydrocarbon (NMHC) Converting Catalyst Monitoring 6. Selective Catalytic Reduction (SCR) and Lean NOXCatalyst Monitoring 7. NOXAdsorber System Monitoring 8. Diesel Particulate Filter (DPF) System Monitoring 9. Exhaust Gas Sensor Monitoring C. Monitoring Requirements and Timelines for Gasoline/Spark-Ignition Engines 1. Fuel System Monitoring 2. Engine Misfire Monitoring 3. Exhaust Gas Recirculation (EGR) Monitoring 4. Cold Start Emission Reduction Strategy Monitoring 5. Secondary Air System Monitoring 6. Catalytic Converter Monitoring 7. Evaporative Emission Control System Monitoring 8. Exhaust Gas Sensor Monitoring D. Monitoring Requirements and Timelines for Other Diesel and Gasoline Systems 1. Variable Valve Timing and/or Control (VVT) System Monitoring 2. Engine Cooling System Monitoring 3. Crankcase Ventilation System Monitoring 4. Comprehensive Component Monitors 5. Other Emissions Control System Monitoring 6. Exceptions to Monitoring Requirements E. A Standardized Method To Measure Real World Monitoring Performance 1. Description of Software Counters To Track Real World Performance 2. Proposed Performance Tracking Requirements F. Standardization Requirements 1. Reference Documents 2. Diagnostic Connector Requirements 3. Communications to a Scan Tool 4. Required Emissions Related Functions 5. In-Use Performance Ratio Tracking Requirements 6. Exceptions to Standardization Requirements G. Implementation Schedule, In-Use Liability, and In-Use Enforcement 1. Implementation Schedule and In-Use Liability Provisions 2. In-Use Enforcement H. Proposed Changes to the Existing 8,500 to 14,000 Pound Diesel OBD Requirements 1. Selective Catalytic Reduction and Lean NOXCatalyst Monitoring 2. NOXAdsorber System Monitoring 3. Diesel Particulate Filter System Monitoring 4. NMHC Converting Catalyst Monitoring 5. Other Monitors 6. CARB OBDII Compliance Option and Deficiencies I. How Do the Proposed Requirements Compare to California's? III. Are the Proposed Monitoring Requirements Feasible? A. Feasibility of the Monitoring Requirements for Diesel/Compression-Ignition Engines 1. Fuel System Monitoring 2. Engine Misfire Monitoring 3. Exhaust Gas Recirculation (EGR) Monitoring 4. Turbo Boost Control System Monitoring 5. Non-Methane Hydrocarbon (NMHC) Converting Catalyst Monitoring 6. Selective Catalytic Reduction (SCR) and NOXConversion Catalyst Monitoring 7. NOXAdsorber Monitoring 8. Diesel Particulate Filter (DPF) Monitoring 9. Exhaust Gas Sensor Monitoring B. Feasibility of the Monitoring Requirements for Gasoline/Spark-Ignition Engines 1. Fuel System Monitoring 2. Engine Misfire Monitoring 3. Exhaust Gas Recirculation (EGR) Monitoring 4. Cold Start Emission Reduction Strategy Monitoring 5. Secondary Air System Monitoring 6. Catalytic Converter Monitoring 7. Evaporative System Monitoring 8. Exhaust Gas Sensor Monitoring C. Feasibility of the Monitoring Requirements for Other Diesel and Gasoline Systems 1. Variable Valve Timing and/or Control (VVT) System Monitoring 2. Engine Cooling System Monitoring 3. Crankcase Ventilation System Monitoring 4. Comprehensive Component Monitoring IV. What Are the Service Information Availability Requirements? A. What Is the Important Background Information for the Proposed Service Information Provisions? B. How Do the Below 14,000 Pound and Above 14,000 Pounds Aftermarket Service Industry Compare? C. What Provisions Are Being Proposed for Service Information Availability? 1. What Information Is Proposed To Be Made Available by OEMs? 2. What Are the Proposed Requirements for Web-Based Delivery of the Required Information? 3. What Provisions Are Being Proposed for Service Information for Third Party Information Providers? 4. What Requirements Are Being Proposed for the Availability of Training Information? 5. What Requirements Are Being Proposed for Reprogramming of Vehicles? 6. What Requirements Are Being Proposed for the Availability of Enhanced Information for Scan Tools for Equipment and Tool Companies? 7. What Requirements Are Being Proposed for the Availability of OEM—Specific Diagnostic Scan Tools and Other Special Tools? 8. Which Reference Materials Are Being Proposed for Incorporation by Reference? V. What Are the Emissions Reductions Associated With the Proposed OBD Requirements? VI. What Are the Costs Associated With the Proposed OBD Requirements? A. Variable Costs for Engines Used in Vehicles Over 14,000 Pounds B. Fixed Costs for Engines Used in Vehicles Over 14,000 Pounds C. Total Costs for Engines Used in Vehicles Over 14,000 Pounds D. Costs for Diesel Heavy-Duty Vehicles and Engines Used in Heavy-Duty Vehicles Under 14,000 Pounds VII. What are the Updated Annual Costs and Costs per Ton Associated With the 2007/2010 Heavy-Duty Highway Program? A. Updated 2007 Heavy-Duty Highway Rule Costs Including OBD B. Updated 2007 Heavy-Duty Highway Rule Costs Per Ton Including OBD VIII. What Are the Requirements for Engine Manufacturers? A. Documentation Requirements B. Catalyst Aging Procedures C. Demonstration Testing 1. Selection of Test Engines 2. Required Testing 3. Testing Protocol 4. Evaluation Protocol 5. Confirmatory Testing D. Deficiencies E. Production Evaluation Testing 1. Verification of Standardization Requirements 2. Verification of Monitoring Requirements 3. Verification of In-Use Monitoring Performance Ratios IX. What Are the Issues Concerning Inspection and Maintenance Programs? A. Current Heavy-Duty I/M Programs B. Challenges for Heavy-Duty I/M C. Heavy-Duty OBD and I/M X. Statutory and Executive Order Reviews A. Executive Order 12866: Regulatory Planning and Review B. Paperwork Reduction Act C. Regulatory Flexibility Act (RFA), as Amended by the Small Business Regulatory Enforcement Fairness Act of 1996 (SBREFA), 5 U.S.C. 601 et. seq. D. Unfunded Mandates Reform Act E. Executive Order 13132: Federalism F. Executive Order 13175: Consultation and Coordination With Indian Tribal Governments G. Executive Order 13045: Protection of Children From Environmental Health and Safety Risks H. Executive Order 13211: Actions That Significantly Affect Energy Supply, Distribution, or Use I. National Technology Transfer Advancement Act XI. Statutory Provisions and Legal Authority I. Overview A. Background

    Section 202(m) of the CAA, 42 U.S.C. 7521(m), directs EPA to promulgate regulations requiring 1994 and later model year light-duty vehicles (LDVs) and light-duty trucks (LDTs) to contain an OBD system that monitors emission-related components for malfunctions or deterioration “which could cause or result in failure of the vehicles to comply with emission standards established” for such vehicles. Section 202(m) also states that, “The Administrator may, in the Administrator's discretion, promulgate regulations requiring manufacturers to install such onboard diagnostic systems on heavy-duty vehicles and engines.”

    On February 19, 1993, we published a final rule requiring manufacturers of light-duty applications to install such OBD systems on their vehicles beginning with the 1994 model year (58 FR 9468). The OBD systems must monitor emission control components for any malfunction or deterioration that could cause exceedance of certain emission thresholds. The regulation also required that the driver be notified of any need for repair via a dashboard light, or malfunction indicator light (MIL), when the diagnostic system detected a problem. We also allowed optional compliance with California's second phase OBD requirements, referred to as OBDII (13 CCR 1968.1), for purposes of satisfying the EPA OBD requirements. Since publishing the 1993 OBD final rule, EPA has made several revisions to the OBD requirements, most of which served to align the EPA OBD requirements with revisions to the California OBDII requirements (13 CCR 1968.2).

    On August 9, 1995, EPA published a final rulemaking that set forth service information regulations for light-duty vehicles and light-duty trucks (60 FR 40474). These regulations, in part, required each Original Equipment Manufacturer (OEM) to do the following: (1) List all of its emission-related service and repair information on a Web site called FedWorld (including the cost of each item and where it could be purchased); (2) either provide enhanced information to equipment and tool companies or make its OEM-specific diagnostic tool available for purchase by aftermarket technicians, and (3) make reprogramming capability available to independent service and repair professionals if its franchised dealerships had such capability. These requirements are intended to ensure that aftermarket service and repair facilitieshave access to the same emission-related service information, in the same or similar manner, as that provided by OEMs to their franchised dealerships. These service information availability requirements have been revised since that first final rule in response to changing technology among other reasons. (68 FR 38428)

    In October of 2000, we published a final rule requiring OBD systems on heavy-duty vehicles and engines up to 14,000 pounds GVWR (65 FR 59896). In that rule, we expressed our intention of developing OBD requirements in a future rule for vehicles and engines used in vehicles over 14,000 pounds. We expressed this same intention in our 2007HD highway final rule (66 FR 5002) which established new heavy-duty highway emissions standards for 2007 and later model year engines. In June of 2003, we published a final rule extending service information availability requirements to heavy-duty vehicles and engines weighing up to 14,000 pounds GVWR. We declined extending these requirements to engines above 14,000 pounds GVWR at least until such engines are subject to OBD requirements.

    On January 18, 2001, EPA established a comprehensive national control program—the Clean Diesel Truck and Bus program—that regulates the heavy-duty vehicle and its fuel as a single system. (66 FR 5002) As part of this program, new emission standards will begin to take effect in model year 2007 and will apply to heavy-duty highway engines and vehicles. These standards are based on the use of high-efficiency catalytic exhaust emission control devices or comparably effective advanced technologies. Because these devices are damaged by sulfur, the regulation also requires the level of sulfur in highway diesel fuel be reduced by 97 percent.1

    1Note that the 2007HD highway rule contained new emissions standards for gasoline engines as well as diesel engines.

    Today's action proposes new OBD requirements for highway engines used in vehicles greater than 14,000 pounds. Today's action also proposes new availability requirements for emission-related service information that will make this information more widely available to the industry servicing vehicles over 14,000 pounds.

    In addition to these proposed requirements and changes, we are seeking comment on possible future regulations that would require OBD systems on heavy-duty diesel engines used in nonroad equipment. Diesel engines used in nonroad equipment are, like highway engines, a major source of NOXand particulate matter (PM) emissions, and the diesel engines used in nonroad equipment are essentially the same as those used in heavy-duty highway trucks. Further, new regulations applicable to nonroad diesel engines will result in the introduction of advanced emissions control systems like those expected for highway diesel engines. (69 FR 38958) Therefore, having OBD systems and OBD regulations for nonroad engines seems to be a natural progression from the proposed requirements for heavy-duty highway engines. We discuss this issue in greater detail in section I of this preamble with the goal of soliciting public comment regarding how we should proceed with respect to nonroad OBD.

    B. What Is EPA Proposing? 1. OBD Requirements for Engines Used in Highway Vehicles Over 14,000 Pounds GVWR

    We believe that OBD requirements should be extended to include over 14,000 pound heavy-duty vehicles and engines for many reasons. In the past, heavy-duty diesel engines have relied primarily on in-cylinder modifications to meet emission standards. For example, emission standards have been met through changes in fuel timing, piston design, combustion chamber design, charge air cooling, use of four valves per cylinder rather than two valves, and piston ring pack design and location improvements. In contrast, the 2004 and 2007 emission standards represent a different sort of technological challenge that are being met with the addition of exhaust gas recirculation (EGR) systems and the addition of exhaust aftertreatment devices such as diesel particulate filters (DPF), sometimes called PM traps, and NOXcatalysts. Such “add on” devices can experience deterioration and malfunction that, unlike the engine design elements listed earlier, may go unnoticed by the driver. Because deterioration and malfunction of these devices can go unnoticed by the driver, and because their primary purpose is emissions control, and because the level of emission control is on the order of 50 to 99 percent, some form of diagnosis and malfunction detection is crucial. We believe that such detection can be effectively achieved by employing a well designed OBD system.

    The same is true for gasoline heavy-duty vehicles and engines. While emission control is managed with both engine design elements and aftertreatment devices, the catalytic converter is the primary emission control feature accounting for over 95 percent of the emission control. We believe that monitoring the emission control system for proper operation is critical to ensure that new vehicles and engines certified to the very low emission standards set in recent years continue to meet those standards throughout their full useful life.

    Further, the industry trend is clearly toward increasing use of computer and electronic controls for both engine and powertrain management, and for emission control. In fact, the heavy-duty industry has already gone a long way, absent any government regulation, to standardize computer communication protocols.2 Computer and electronic control systems, as opposed to mechanical systems, provide improvements in many areas including, but not limited to, improved precision and control, reduced weight, and lower cost. However, electronic and computer controls also create increased difficulty in diagnosing and repairing the malfunctions that inevitably occur in any engine or powertrain system. Today's proposed OBD requirements would build on the efforts already undertaken by the industry to ensure that key emissions related components will be monitored in future heavy-duty vehicles and engines and that the diagnosis and repair of those components will be as efficient and cost effective as possible.

    2See “On-Board Diagnostics, A Heavy-Duty Perspective,” SAE 951947; “Recommended Practice for a Serial Control and Communications Vehicle Network,” SAE J1939 which may be obtained from Society of Automotive Engineers International, 400 Commonwealth Dr., Warrendale, PA, 15096-0001; and “Road Vehicles-Diagnostics on Controller Area Network (CAN)—Part 4: Requirements for emission-related systems,” ISO 15765-4:2001 which may be obtained from the International Organization for Standardization, Case Postale 56, CH-1211 Geneva 20, Switzerland.

    Lastly, heavy-duty engines and, in particular, diesel engines tend to have very long useful lives. With age comes deterioration and a tendency toward increasing emissions. With the OBD systems proposed today, we expect that these engines will continue to be properly maintained and therefore will continue to emit at low emissions levels even after accumulating hundreds of thousands and even a million miles.

    For the reasons laid out above, most manufacturers of vehicles, trucks, and engines have incorporated some type of OBD system into their products that are capable of identifying when certain types of malfunctions occur, and in what systems. In the heavy-duty industry, those OBD systems traditionally have been geared towarddetecting malfunctions causing drivability and/or fuel economy related problems. Without specific requirements for manufacturers to include OBD mechanisms to detect emission-related problems, those types of malfunctions that could result in high emissions without a corresponding adverse drivability or fuel economy impact could go unnoticed by both the driver and the repair technician. The resulting increase in emissions and detrimental impact on air quality could be avoided by incorporating an OBD system capable of detecting emission control system malfunctions.

    2. Requirements That Service Information Be Made Available

    We are proposing that makers of engines that go into vehicles over 14,000 pounds make available to any person engaged in repair or service all information necessary to make use of the OBD systems and for making emission-related repairs, including any emissions-related information that is provided by the OEM to franchised dealers. This information includes, but is not limited to, manuals, technical service bulletins (TSBs), a general description of the operation of each OBD monitor, etc. We discuss the proposed requirements further in section IV of this preamble.

    The proposed requirements are similar to those required currently for all 1996 and newer light-duty vehicles and light-duty trucks and 2005 and newer heavy-duty applications up to 14,000 pounds. While EPA understands that there may be some differences between aftermarket service for the under 14,000 pound and over 14,000 pound applications, we believe that any such differences would not substantially affect the implementation of such requirements and that, therefore, it is reasonable to use EPA's existing service information regulations as a basis for proposing service information requirements for the over 14,000 pound arena. See section IV for a complete discussion of the service information provisions being proposed for the availability of over 14,000 pound service information.

    Note that information for making emission-related repairs does not include information used to design and manufacture parts, but it may include OEM changes to internal calibrations and other indirect information, as discussed in section IV.

    3. OBD Requirements for Diesel Heavy-Duty Vehicles and Engines Used in Vehicles Under 14,000 Pounds

    We are also proposing some changes to the existing diesel OBD requirements for heavy-duty applications under 14,000 pounds (i.e., 8,500 to 14,000 pounds). Some of these changes are being proposed for the 2007 and later model years (i.e., for immediate implementation) because we believe that some of the requirements that we currently have in place for 8,500 to 14,000 pound applications cannot be met by diesels without granting widespread deficiencies to industry. Other changes are being proposed for the 2010 and later model years since they represent an increase in the stringency of our current OBD requirements and, therefore, some leadtime is necessary for manufacturers to comply. All of the changes being proposed for 8,500 to 14,000 pound diesel applications would result in OBD emissions thresholds identical, for all practical purposes, to the OBD thresholds being proposed for over 14,000 pound applications.

    C. Why Is EPA Making This Proposal? 1. Highway Engines and Vehicles Contribute to Serious Air Pollution Problems

    The pollution emitted by heavy-duty highway engines contributes greatly to our nation's continuing air quality problems. Our 2007HD highway rule was designed to address these serious air quality problems. These problems include premature mortality, aggravation of respiratory and cardiovascular disease, aggravation of existing asthma, acute respiratory symptoms, chronic bronchitis, and decreased lung function. Numerous studies also link diesel exhaust to increased incidence of lung cancer. We believe that diesel exhaust is likely to be carcinogenic to humans by inhalation and that this cancer hazard exists for occupational and environmental levels of exposure.

    Our 2007HD highway rule will regulate the heavy-duty vehicle and its fuel as a single system. As part of this program, new emission standards will begin to take effect in model year 2007 and phase-in through model year 2010, and will apply to heavy-duty highway engines and vehicles. These standards are based on the use of high-efficiency catalytic exhaust emission control devices or comparably effective advanced technologies and a cap on the allowable sulfur content in both diesel fuel and gasoline.

    In the 2007HD highway final rule, we estimated that, by 2007, heavy-duty trucks and buses would account for about 28 percent of nitrogen oxides emissions and 20 percent of particulate matter emissions from mobile sources. In some urban areas, the contribution is even greater. The 2007HD highway program will reduce particulate matter and oxides of nitrogen emissions from heavy-duty engines by 90 percent and 95 percent below current standard levels, respectively. In order to meet these more stringent standards for diesel engines, the program calls for a 97 percent reduction in the sulfur content of diesel fuel. As a result, diesel vehicles will achieve gasoline-like exhaust emission levels. We have also established more stringent standards for heavy-duty gasoline vehicles, based in part on the use of the low sulfur gasoline that will be available when the standards go into effect.

    2. Emissions Control of Highway Engines and Vehicles Depends on Properly Operating Emissions Control Systems

    The emissions reductions and resulting health and welfare benefits of the 2007HD highway program will be dramatic when fully implemented. By 2030, the program will reduce annual emissions of nitrogen oxides, nonmethane hydrocarbons, and particulate matter by a projected 2.6 million, 115,000 and 109,000 tons, respectively. However, to realize those large emission reductions and health benefits, the emission control systems on heavy-duty highway engines and vehicles must continue to provide the 90 to 95 percent emission control effectiveness throughout their operating life. Today's proposed OBD requirements will help to ensure that emission control systems continue to operate properly by detecting when those systems malfunction, by then notifying the driver that a problem exists that requires service and, lastly, by informing the service technician what the problem is so that it can be properly repaired.

    3. Basis for Action Under the Clean Air Act

    Section 202(m) of the CAA, 42 U.S.C. 7521(m), directs EPA to promulgate regulations requiring 1994 and later model year light-duty vehicles (LDVs) and light-duty trucks (LDTs) to contain an OBD system that monitors emission-related components for malfunctions or deterioration “which could cause or result in failure of the vehicles to comply with emission standards established” for such vehicles. Section202(m) also states that, “The Administrator may, in the Administrator's discretion, promulgate regulations requiring manufacturers to install such onboard diagnostic systems on heavy-duty vehicles and engines.”

    Section 202(m)(5) of the CAA states that the Administrator shall require manufacturers to, “provide promptly to any person engaged in the repairing or servicing of motor vehicles or motor vehicle engines * * * with any and all information needed to make use of the emission control diagnostics system prescribed under this subsection and such other information including instructions for making emission related diagnosis and repairs.”

    D. How Has EPA Chosen the Level of the Proposed Emissions Thresholds?

    The OBD emissions thresholds that we are proposing are summarized in Tables II.B-1, II.C-1, II.H-1 and II.H-2. These tables show the actual threshold levels and how they relate to current emissions standards. Here, we wish to summarize how we chose those proposed thresholds. First, it is important to note that OBD is more than emissions thresholds. In fact, most OBD monitors are not actually tied to an emissions threshold. Instead, they monitor the performance of a given component or system and evaluate that performance based on electrical information (e.g., voltage within proper range) or temperature information (e.g., temperature within range), etc. Such monitors often detect malfunctions well before emissions are seriously compromised. Nonetheless, emissions thresholds are a critical element to OBD requirements since some components and systems, most notably any aftertreatment devices, cannot be monitored in simple electrical or temperature related terms. Instead, their operating characteristics can be measured and correlated to an emissions impact. This way, when those operating characteristics are detected, an unacceptable emissions increase can be inferred and a malfunction can be noted to the driver.

    Part of the challenge in establishing OBD requirements is determining the point—the OBD threshold—at which an unacceptable emissions increase has occurred that is detectable by the best available OBD technology. Two factors have gone into our determination of the emissions thresholds we are proposing: technological feasibility; and the costs and emissions reductions associated with repairs initiated as a result of malfunctions found by OBD systems. The first of these factors is discussed in more detail in section III where we present our case for the technological feasibility of the thresholds. In summary, we believe that the thresholds we are proposing are, while challenging, technologically feasible in the 2010 and later timeframe. We have carefully considered monitoring system capability, sensor capability, emissions measurement capability, test-to-test variability and, perhaps most importantly, the manufacturers' engineering and test cell resources and have arrived at thresholds we believe can be met on one engine family per manufacturer in the 2010 model year and on all engine families by the 2013 model year.

    We believe that the proposed thresholds strike the proper balance between environmental protection, OBD and various sensor capabilities, and avoidance of repairs whose costs could be high compared to their emission control results. One must keep in mind that increasingly stringent OBD thresholds (i.e., OBD detection at lower emissions levels) may lead to more durable emission controls due to a manufacturer's desire to avoid the negative impression given their product upon an OBD detection. Such an outcome would result in lower fleetwide emissions while increasing costs to manufacturers. However, increasingly stringent OBD thresholds may also lead to more OBD detections and more OBD induced repairs and, perhaps, many OBD induced repairs for malfunctions having little impact on emissions. Such an outcome would result in lower fleetwide emissions while increasing costs to both manufacturers and truck owners.

    E. World Wide Harmonized OBD (WWH-OBD)

    Within the United Nations (UN), the World Forum for Harmonization of Vehicle Regulations (WP.29) administers the 1958 Geneva Agreement (1958 Agreement) to facilitate the adoption of uniform conditions of approval and reciprocal recognition of approval for motor vehicle equipment and parts. As a result, WP.29 has responsibility for vehicle regulations within Europe and, indirectly, many countries outside of Europe that have voluntarily adopted the WP.29 regulations. The United States was never a party to the 1958 Agreement, but EPA has monitored the WP.29 regulations developed under the 1958 Agreement and we have benefited from a reciprocal consultative relationship with our European counterparts. More recently, WP.29 took on the responsibility of administering the 1998 Global Agreement that established a process to permit all regions of the world to jointly develop global technical regulations without required mutual recognition of approvals or designated compliance and enforcement. The United States is a signatory of the 1998 Global Agreement (1998 Agreement), and EPA has responsibility for representing the U.S. with respect to environmental issues within WP.29 as they pertain to the 1998 Agreement.

    During the one-hundred-and-twenty-sixth session of WP.29 of March 2002, the Executive Committee (AC.3) of the 1998 Global Agreement (1998 Agreement) adopted a Programme of Work, which includes the development of a Global Technical Regulation (GTR) concerning onboard diagnostic systems for heavy-duty vehicles and engines. An informal working group—the WWH-OBD working group—was established to develop the GTR. The working group was instructed that the OBD system should detect failures from the engine itself, as well as from the exhaust aftertreatment systems fitted downstream of the engine, and from the package of information exchanged between the engine electronic control unit(s) and the rest of vehicle and/or powertrain. The working group was also instructed to base the OBD requirements on the technologies expected to be industrially available at the time the GTR would be enforced, and to take into account both the expected state of electronics in the years 2005-2008 and the expected newest engine and aftertreatment technologies.

    In November 2003, AC.3 further directed the working group to structure the GTR in such a manner as to enable its future extension to other functions of the vehicle. In so doing, AC.3 did not revise the scope of the task given to the working group (i.e., the scope remained emissions-related heavy-duty OBD). As a result, the GTR is structured such that OBD monitoring and communications could be extended to other systems such as vehicle safety systems. This has been achieved by dividing the GTR into a set of generic OBD requirements to be followed by specific OBD requirements concerning any future desired OBD systems. The generic OBD requirements contain definitions and other OBD regulatory elements that are meant to be applicable throughout the GTR and all of its modules, annexes, and appendices. This generic section is followed by the first specific OBD section—emission-related OBD—which contains definitions and OBD regulatory elements specific to emissions-related OBD.

    EPA has been active in the WWH-OBD working group for more than threeyears. Because that group has been developing a regulation at the same time that we have been developing the requirements in this proposal, our proposed OBD requirements are consistent, for the most part, with the current efforts of the WWH-OBD group.

    The WWH-OBD working group submitted a draft GTR as a formal document in March of 2006. During the months immediately following, the WWH-OBD working group has made final revisions to the GTR and will submit it to WP.29 for consideration. If approved by WP.29 and adopted as a formal global technical regulation, we would intend to propose any revisions to our OBD regulations that might be necessary to make them consistent with WWH-OBD.3

    3Note that, while the WWH-OBD GTR is consistent with many of the specific requirements we are proposing, it is not currently as comprehensive as our proposal (e.g., it does not contain the same level of detail with respect to certification requirements and enforcement provisions). For that reason, at this time, we do not believe that the GTR would fully replace what we are proposing today.

    The latest version of the draft WWH-OBD GTR has been placed in the docket for this rule.4 While it is not yet a final document, we are nonetheless interested in comments regarding the current version. More specifically, we are interested in comments regarding any possible inconsistencies between the requirements of the draft GTR and the requirements being proposed today. We believe that if such inconsistencies exist, they are minor. WWH-OBD provides a framework for nations to establish a heavy-duty OBD program. It has the potential to result in similar OBD systems, but the WWH-OBD GTR must fit into the context of any country's existing heavy-duty emissions regulations. For example, at this time, the draft GTR does not specify emissions threshold levels, implementation dates, or phase-in schedules. As such, our proposal today is much more detailed than the draft WWH-OBD GTR, but we believe there exist no major inconsistencies between the two regulations.

    4“Revised Proposal for New Draft Global Technical Regulation (gtr): Technical Requirements for On-Board Diagnostic Systems (OBD) for Road Vehicles;” ECE/TRANS/WP.29/GRPE/2006/8/Rev.1; March 27, 2006, Docket ID# EPA-HQ-OAR-2005-0047-0004.

    F. Onboard Diagnostics for Diesel Engines Used in Nonroad Land-Based Equipment

    We are also considering regulations—although we are not making any proposals today—that would require OBD systems on heavy-duty diesel engines used in nonroad land-based equipment. The pollution emitted by diesel nonroad engines contributes greatly to our nation's continuing air quality problems. Our recent Nonroad Tier 4 rulemaking was designed to address these serious air quality problems from land-based diesel engines. (69 FR 38958) Like with diesel highway emissions, these problems include premature mortality, aggravation of respiratory and cardiovascular disease, aggravation of existing asthma, acute respiratory symptoms, chronic bronchitis, and decreased lung function. And, as noted above, we believe that diesel exhaust is likely to be carcinogenic to humans by inhalation and that this cancer hazard exists for occupational and environmental levels of exposure.

    In our preamble to the Nonroad Tier 4 final rule, we estimated that, absent the nonroad Tier 4 standards, by 2020, land based nonroad diesel engines would account for as much as 70 percent of the diesel mobile source PM inventory. As part of our nonroad Tier 4 program, new emission standards will begin to take effect in calendar year 2011 that are based on the use of high-efficiency catalytic exhaust emission control devices or comparably effective advanced technologies. As with our 2007HD highway program, a cap is also included on the allowable sulfur content in nonroad diesel fuel.

    The diesel engines used in nonroad land-based equipment are, in certain horsepower ranges, often essentially the same as those used in heavy-duty highway trucks. In other horsepower ranges—e.g., very large nonroad machines with engines having more than 1,500 horsepower—the engine is quite different. Such differences can include the addition of cylinders and turbo chargers among other things. Notably, the new nonroad Tier 4 regulations will result in the introduction of advanced emissions control systems on nonroad land-based equipment; those advanced emissions control systems will be the same type of systems as those expected for highway diesel engines.

    Therefore, having OBD systems and OBD regulations for nonroad diesel engines seems to be a natural progression from the proposed requirements for heavy-duty highway engines. Nonetheless, we believe that there are differences between nonroad equipment and highway applications, and differences between the nonroad market and the highway market such that proposing the same OBD requirements for nonroad as for highway may not be appropriate. Therefore, we are providing advance notice to the public with the goal of soliciting public comment regarding how we should proceed with respect to nonroad OBD. This section presents issues we have identified and solicits comment. We also welcome comment with respect to other issues we have not addressed here, such as service information availability.

    1. What Is the Baseline Nonroad OBD System?

    We know that highway diesel engines already use a sophisticated level of OBD system. For nonroad diesel engines in the 200 to 600 horsepower range—i.e., the typical range of highway engines—are the current OBD system identical to their highway counterparts? How would the proposed highway OBD requirements change this, if at all? Do diesel engines outside the range typical of highway engines use OBD?

    2. What Is the Appropriate Level of OBD Monitoring for Nonroad Diesel Engines?

    The proposed OBD requirements for highway engines are very comprehensive and would result in virtually every element of the emissions control system being monitored. Is this appropriate for nonroad diesel engines? And to what degree should such monitoring be required? The emissions thresholds proposed for highway engines will push OBD and sensor technology beyond where it is today because of their stringency. Is a similar level of stringency appropriate for nonroad engines? Should emissions thresholds analogous to those presented in Table II.B-1 of this preamble even be a part of any potential nonroad OBD requirements or should nonroad OBD rely more heavily on comprehensive component monitoring as discussed in section II.D.4 of this preamble? This latter question is particularly compelling given the incredibly broad range of operating characteristics for nonroad equipment. Similar to the issue of emissions thresholds, certain aspects of the proposed highway OBD requirements carry with them serious concerns given the range of use for heavy-duty highway trucks (line-haul trucks versus garbage trucks versus urban delivery trucks, etc.). As discussed in various places in section II of this preamble, this broad range of uses makes it difficult for manufacturers to design a single approach that would, for example, ensure frequent monitoring events on all possible applications. This difficulty could be even more pronounced in the nonroad industry given the greater number of possible applications.

    We request comment regarding what any potential nonroad OBD monitoring requirements should look like. More specifically, we request comment regarding the inclusion of emissions thresholds versus relying solely on comprehensive component monitoring. From commenters in favor of emissions thresholds, we request details regarding the appropriate level of emissions thresholds including data and strong engineering analyses for/against the suggested level. We request comment regarding the comprehensiveness of monitoring (i.e., the entire emissions control system, aftertreatement devices only, feedback control systems only, etc.).

    3. What Should the OBD Standardization Features Be?

    Should nonroad OBD include a requirement for a dedicated, OBD-only malfunction indicator light? Should nonroad OBD require specific communication protocols for communication of onboard information to offboard devices and scan tools? What should those protocols be? What are the needs of the nonroad service industry with respect to standardization of onboard to offboard communications?

    4. What Are the Prospects and/or Desires for International Harmonization of Nonroad OBD?

    Nonroad equipment is perhaps the most international of all mobile source equipment. Land based nonroad equipment, while not as much so as marine equipment, tends to be designed, produced, marketed, and sold to a world market to a greater extent than is highway equipment. Given that, is there a sense within the nonroad industry that international harmonization is important? Imperative? Is the proper avenue for putting into place nonroad OBD regulations the WWH-OBD process discussed above? If so, is industry prepared to play a role in developing a nonroad OBD element to the WWH-OBD document? Are other government representatives prepared to do so?

    II. What Are the Proposed OBD Requirements and When Would They Be Implemented?

    The following subsections describe our proposed OBD monitoring requirements and the timelines for their implementation. The requirements are indicative of our goal for the program which is a set of OBD monitors that provide robust diagnosis of the emission control system. Our intention is to provide industry sufficient time and experience with satisfying the demands of the proposed OBD program. While their engines already incorporate OBD systems, those systems are generally less comprehensive and do not monitor the emission control system in the ways we are proposing. Additionally, the proposed OBD requirements represent a new set of technological requirements and a new set of certification requirements for the industry in addition to the 2007HD highway program and its challenging emission standards for PM and NOXand other pollutants. As a result, we believe the monitoring requirements and timelines outlined in this section appropriately weigh the need for OBD monitors on the emission control system and the need to gain experience with not only those monitors but also the newly or recently added emission control hardware.

    We request comment on all aspects of the requirements laid out in this section and throughout this preamble. As discussed in Section IX, we are also interested in comments concerning state run HDOBD-based inspection and maintenance (I/M) programs, the level of interest in such programs, and comments concerning the suitability of today's proposed OBD requirements toward facilitating potential HDOBD I/M programs in the future.

    A. General OBD System Requirements 1. The OBD System

    We are proposing that the OBD system be designed to operate for the actual life of the engine in which it is installed. Further, the OBD system cannot be programmed or otherwise designed to deactivate based on age and/or mileage of the vehicle during the actual life of the engine. This requirement is not intended to alter existing law and enforcement practice regarding a manufacturer's liability for an engine beyond its regulatory useful life, except where an engine has been programmed or otherwise designed so that an OBD system deactivates based on age and/or mileage of the engine.

    We are also proposing that computer coded engine operating parameters not be changeable without the use of specialized tools and procedures (e.g. soldered or potted computer components or sealed (or soldered) computer enclosures). Upon Administrator approval, certain product lines may be exempted from this requirement if those product lines can be shown to not need such protections. In making the approval decision, the Administrator will consider such things as the current availability of performance chips, performance capability of the engine, and sales volume.

    2. Malfunction Indicator Light (MIL) and Diagnostic Trouble Codes (DTC)

    Upon detecting a malfunction within the emission control system,5 the OBD system must make some indication to the driver so that the driver can take action to get the problem repaired. The proposal would require that a dashboard malfunction indicator light (MIL) be illuminated to inform the driver that a problem exists that needs attention. Upon illumination of the MIL, the proposal would require that a diagnostic trouble code (DTC) be stored in the engine's computer that identifies the detected malfunction. This DTC would then be read by a service technician to assist in making the necessary repair.

    5What constitutes a “malfunction” for over 14,000 pound applications under today's proposal is covered in section II.B for diesel engines, section II.C for gasoline engines, and section II.D for all engines.

    Because the MIL is meant to inform the driver of a detected malfunction, we are proposing that the MIL be located on the driver's side instrument panel and be of sufficient illumination and location to be readily visible under all lighting conditions. We are proposing that the MIL be amber (yellow) in color when illuminated because yellow is synonymous with the notion of a “cautionary warning”; the use of red for the MIL would be strictly prohibited because red signifies “danger” which is not the proper message for malfunctions detected according to today's proposal. Further, we are proposing that, when illuminated, the MIL display the International Standards Organization (ISO) engine symbol because this symbol has become accepted after 10 years of light-duty OBD as a communicator of engine and emissions system related problems. We are also proposing that there be only one MIL used to indicate all malfunctions detected by the OBD system on a single vehicle. We believe this is important to avoid confusion over multiple lights and, potentially, multiple interpretations of those lights. Nonetheless, we seek comment on this limitation to one dedicated MIL to communicate emissions-related malfunctions. We also seek comment on the requirement that the MIL be amber in color since some trucks may use liquid crystal display (LCD) panels to display dashboard information and some such panels are monochromic and unable to display color.

    We are also interested in comments regarding the malfunction indicator light and the symbol displayed tocommunicate that there is an engine and/or emission-related malfunction. As noted, we are proposing use of the ISO engine symbol as shown in Table II.A-1. The U.S. Department of Transportation has proposed use of an alternative ISO symbol to denote, specifically, an emission-related malfunction. (68 FR 55217) That symbol is also shown in Table II.A-1. While we are not proposing that this alternative symbol be used, comments are solicited regarding whether this alternative symbol provides a clearer message to the driver.

    Generally, a manufacturer would be allowed sufficient time to be certain that a malfunction truly exists before illuminating the MIL. No one benefits if the MIL illuminates spuriously when a real malfunction does not exist. Thus, for most OBD monitoring strategies, manufacturers would not be required to illuminate the MIL until a malfunction clearly exists which will be considered to be the case when the same problem has occurred on two sequential driving cycles.6

    6Generally, a “driving cycle” or “drive cycle” consists of engine startup and engine shutoff or consists of four hours of continuous engine operation.

    EP24JA07.000

    To keep this clear in the onboard computer, we are proposing that the OBD system make certain distinctions between the problems it has detected, and that the system maintain a strict logic for diagnostic trouble code (DTC) storage/erasure and for MIL illumination/extinguishment. Whenever the enable criteria for a given monitor are met, we would expect that monitor to run. For continuous monitors, this would be during essentially all engine operation.7 For non-continuous monitors, it would be during only a subset of engine operation.8 In general, we are proposing that monitors make a diagnostic decision just once per drive cycle that contains operation satisfying the enable criteria for the given monitor.

    7A “continuous” monitor—if used in the context of monitoring conditions for circuit continuity, lack of circuit continuity, circuit faults, and out-of-range values—means sampling at a rate no less than two samples per second. If a computer input component is sampled less frequently for engine control purposes, the signal of the component may instead be evaluated each time sampling occurs.

    8A “non-continuous” monitor being a monitor that runs only when a limited set of operating conditions occurs.

    When a problem is first detected, we are proposing that a “pending” DTC be stored. If, during the subsequent drive cycle that contains operation satisfying the enable criteria for the given monitor, a problem in the components/system is not again detected, the OBD system would declare that a malfunction does not exist and would, therefore, erase the pending DTC. However, if, during the subsequent drive cycle that contains operation satisfying the enable criteria for the given monitor, a problem in the component/system is again detected, a malfunction has been confirmed and, hence, a “confirmed” or “MIL-on” DTC would be stored.9 Section II.F presents the requirements for standardization of OBD information and communications. Upon storage of a MIL-on DTC and, depending on the communication protocol used—ISO 15765-4 or SAE J1939—the pending DTC would either remain stored or be erased, respectively. Today's proposal neither stipulates which communication protocol nor which pending DTC logic be used. We are proposing to allow the use of either of the existing protocols as is discussed in more detail in section II.F. Upon storage of the MIL-on DTC, the MIL must be illuminated.10 Also at this time, a “permanent” DTC would be stored (see section II.F.4 for more details regarding permanent DTCs and our rationale for proposing them).11

    9Different industry standards organizations—the Society of Automotive Engineers (SAE) and the International Standards Organization (ISO)—use different terminology to refer to a “MIL-on” DTC. For clarity, we use the term “MIL-on” DTC throughout this preamble to convey the concept and not any requirement that standard making bodies use the term in their standards.

    10Throughout this proposal, we refer to MIL illumination to mean a steady, continuous illumination during engine operation unless stated otherwise. This contrasts with the MIL illumination logic used by many engine manufacturers today by which the MIL would illuminate upon detection of a malfunction but would remain illuminated only while the malfunction was actually occurring. Under this latter logic, an intermittent malfunction or one that occurs under only limited operating conditions may result in a MIL that illuminates, extinguishes, illuminates, etc., as operating conditions change.

    11A permanent DTC must be stored in a manner such that electrical disconnections do not result in their erasure (i.e., they must be stored in non-volatile random access memory (NVRAM)).

    We are also proposing that, after three subsequent drive cycles that contain operation satisfying the enable criteria for the given monitor without any recurrence of the previously detected malfunction, the MIL should be extinguished (unless there are other MIL-on DTCs stored for which the MIL must also be illuminated), the permanent DTC should be erased, but a “previous-MIL-on” DTC should remain stored.12 We are proposing that the previous MIL-on DTC remain stored for 40 engine warmup cycles after which time, provided the identified malfunction has not been detected again and the MIL is presently not illuminated for that malfunction, the previous-MI