Loading (50 kb)...'
(continued) n explanation of how you calculated this estimate and a summary of any emission data demonstrating the impact of the defect, if available.
(6) A description of your plan for addressing the defect or an explanation of your reasons for not believing the defects must be addressed.
(e) Thresholds for conducting a defect investigation. You must begin a defect investigation based on the following number of engines that may have the defect:
(1) For engines with maximum engine power at or below 560 kW:
(i) For engine families with annual sales below 500 units: 50 or more engines.
(ii) For engine families with annual sales from 500 to 50,000 units: more than 10.0 percent of the total number of engines in the engine family.
(iii) For engine families with annual sales above 50,000 units: 5,000 or more engines.
(2) For engines with maximum engine power greater than 560 kW:
(i) For engine families with annual sales below 250 units: 25 or more engines.
(ii) For engine families with annual sales at or above 250 units: more than 10.0 percent of the total number of engines in the engine family.
(f) Thresholds for filing a defect report. You must send a defect report based on the following number of engines that have the defect:
(1) For engines with maximum engine power at or below 560 kW:
(i) For engine families with annual sales below 1,000 units: 20 or more engines.
(ii) For engine families with annual sales from 1,000 to 50,000 units: more than 2.0 percent of the total number of engines in the engine family.
(iii) For engine families with annual sales above 50,000 units: 1,000 or more engines.
(2) For engines with maximum engine power greater than 560 kW:
(i) For engine families with annual sales below 150 units: 10 or more engines.
(ii) For engine families with annual sales from 150 to 750 units: 15 or more engines.
(iii) For engine families with annual sales above 750 units: more than 2.0 percent of the total number of engines in the engine family.
(g) How to count defects. (1) Track defects separately for each model year and engine family as much as possible. If information is not identifiable by model year or engine family, use good engineering judgment to evaluate whether you exceed a threshold in paragraph (e) or (f) of this section. Consider only your U.S.-directed production volume.
(2) Within an engine family, track defects together for all components or systems that are the same in all material respects. If multiple companies separately supply a particular component or system, treat each company's component or system as unique.
(3) If a possible defect is not attributed to any specific part of the engine, consider the complete engine a distinct component for evaluating whether you exceed a threshold in paragraph (e) of this section.
(4) If you correct defects before they reach the ultimate purchaser as a result of your quality-assurance procedures, count these against the investigation thresholds in paragraph (e) of this section unless you routinely check every engine in the engine family. Do not count any corrected defects as actual defects under paragraph (f) of this section.
(5) Use aggregated data from all the different sources identified in paragraph (b)(1) of this section to determine whether you exceed a threshold in paragraphs (e) and (f) of this section.
(6) If information is readily available to conclude that the possible defects identified in paragraph (b)(1) of this section are actual defects, count these toward the reporting thresholds in paragraph (f) of this section.
(7) During an investigation, use appropriate statistical methods to project defect rates for engines that you are not otherwise able to evaluate. For example, if 75 percent of the components replaced under warranty are available for evaluation, it would be appropriate to extrapolate known information on failure rates to the components that are unavailable for evaluation. Take steps as necessary to prevent bias in sampled data. Make adjusted calculations to take into account any bias that may remain.
(h) Investigation reports. Once you trigger an investigation threshold under paragraph (e) of this section, you must report your progress and conclusions. In your reports, include the information specified in paragraph (d) of this section, or explain why the information is not relevant. Send us the following reports:
(1) While you are investigating, send us mid-year and end-of-year reports to describe the methods you are using and the status of the investigation. Send these status reports no later than June 30 and December 31 of each year.
(2) If you find that the number of components or systems with an emission-related defect exceeds a threshold specified in paragraph (f) of this section, send us a report describing your findings within 21 days after the date you reach this conclusion.
(3) If you find that the number of components or systems with an emission-related defect does not exceed any of the thresholds specified in paragraph (f) of this section, send us a final report supporting this conclusion. For example, you may exclude warranty claims that resulted from misdiagnosis and you may exclude defects caused by improper maintenance, improper use, or misfueling. Send this report within 21 days after the date you reach this conclusion.
(i) Future production. If you identify a design or manufacturing defect that prevents engines from meeting the requirements of this part, you must correct the defect as soon as possible for future production of engines in every family affected by the defect. This applies without regard to whether you are required to conduct a defect investigation or submit a defect report under this section.
[69 FR 39270, June 29, 2004]
§ 1068.505 How does the recall program work?
top
(a) If we make a determination that a substantial number of properly maintained and used engines do not conform to the regulations of this chapter during their useful life, you must submit a plan to remedy the nonconformity of your engines. We will notify you of our determination in writing. Our notice will identify the class or category of engines affected and describe how we reached our conclusion. If this happens, you must meet the requirements and follow the instructions in this subpart. You must remedy at your expense noncompliant engines that have been properly maintained and used, as described in §1068.510(a)(7). You may not transfer this expense to a dealer or equipment manufacturer through a franchise or other agreement.
(b) You may ask for a hearing if you disagree with our determination (see subpart G of this part).
(c) Unless we withdraw the determination of noncompliance, you must respond to it by sending a remedial plan to the Designated Officer by the later of these two deadlines:
(1) Within 60 days after we notify you.
(2) Within 60 days after a hearing.
(d) Once you have sold an engine to the ultimate purchaser, we may inspect or test the engine only if he or she permits it, or if state or local inspection programs separately provide for it.
(e) You may ask us to allow you to conduct your recall differently than specified in this subpart, consistent with section 207(c) of the Act (42 U.S.C. 7541(c)).
(f) You may do a voluntary recall under §1068.535, unless we have made the determination described in §1068.535(a).
(g) For purposes of recall, owner means someone who owns an engine affected by a remedial plan or someone who owns a piece of equipment that has one of these engines.
[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 39272, June 29, 2004; 70 FR 40516, July 13, 2005]
§ 1068.510 How do I prepare and apply my remedial plan?
top
(a) In your remedial plan, describe all of the following:
(1) The class or category of engines to be recalled, including the number of engines involved and the model year or other information needed to identify the engines.
(2) The modifications, alterations, repairs, corrections, adjustments, or other changes you will make to correct the affected engines.
(3) A brief description of the studies, tests, and data that support the effectiveness of the remedy you propose to use.
(4) The instructions you will send to those who will repair the engines under the remedial plan.
(5) How you will determine the owners' names and addresses.
(6) How you will notify owners; include copies of any notification letters.
(7) The proper maintenance or use you will specify, if any, as a condition to be eligible for repair under the remedial plan. Describe how these specifications meet the provisions of paragraph (e) of this section. Describe how the owners should show they meet your conditions.
(8) The steps owners must take for you to do the repair. You may set a date or a range of dates, specify the amount of time you need, and designate certain facilities to do the repairs.
(9) Which company (or group) you will assign to do or manage the repairs.
(10) If your employees or authorized warranty agents will not be doing the work, state who will and describe their qualifications.
(11) How you will ensure an adequate and timely supply of parts.
(12) The effect of proposed changes on fuel consumption, driveability, and safety of the engines you will recall; include a brief summary of the information supporting these conclusions.
(13) How you intend to label the engines you repair and where you will place the label on the engine (see §1068.515).
(b) We may require you to add information to your remedial plan.
(c) We may require you to test the proposed repair to show it will remedy the noncompliance.
(d) Use all reasonable means to locate owners. We may require you to use government or commercial registration lists to get owners' names and addresses, so your notice will be effective.
(e) The maintenance or use that you specify as a condition for eligibility under the remedial plan may include only things you can show would cause noncompliance. Do not require use of a component or service identified by brand, trade, or corporate name, unless we approved this approach with your original certificate of conformity. Also, do not place conditions on who maintained the engine.
(f) We may require you to adjust your repair plan if we determine owners would be without their engines or equipment for an unreasonably long time.
(g) We will tell you in writing within 15 days of receiving your remedial plan whether we have approved or disapproved it. We will explain our reasons for any disapproval.
(h) Begin notifying owners within 15 days after we approve your remedial plan. If we hold a hearing, but do not change our position about the noncompliance, you must begin notifying owners within 60 days after we complete the hearing, unless we specify otherwise.
[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 39273, June 29, 2004; 70 FR 40516, July 13, 2005]]
§ 1068.515 How do I mark or label repaired engines?
top
(a) Attach a label to each engine you repair under the remedial plan. At your discretion, you may label or mark engines you inspect but do not repair.
(b) Make the label from a durable material suitable for its planned location. Make sure no one can remove the label without destroying or defacing it.
(c) On the label, designate the specific recall campaign and state where you repaired or inspected the engine.
(d) We may waive or modify the labeling requirements if we determine they are overly burdensome.
§ 1068.520 How do I notify affected owners?
top
(a) Notify owners by first class mail, unless we say otherwise. We may require you to use certified mail. Include the following in your notice:
(1) State: “The U.S. Environmental Protection Agency has determined that your engine may be emitting pollutants in excess of the Federal emission standards, as defined in Title 40 of the Code of Federal Regulations. These emission standards were established to protect the public health or welfare from air pollution”.
(2) State that you (or someone you designate) will repair these engines at your expense.
(3) If we approved maintenance and use conditions in your remedial plan, state that you will make these repairs only if owners show their engines meet the conditions for proper maintenance and use. Describe these conditions and how owners should prove their engines are eligible for repair.
(4) Describe the components your repair will affect and say generally how you will repair the engines.
(5) State that the engine, if not repaired, may fail an emission inspection test if state or local law requires one.
(6) Describe any adverse effects on its performance or driveability that would be caused by not repairing the engine.
(7) Describe any adverse effects on the functions of other engine components that would be caused by not repairing the engine.
(8) Specify the date you will start the repairs, the amount of time you will need to do them, and where you will do them. Include any other information owners may need to know.
(9) Include a self-addressed card that owners can mail back if they have sold the engine (or equipment in which the engine is installed); include a space for owners to write the name and address of a buyer.
(10) State that owners should call you at a phone number you give to report any difficulty in obtaining repairs.
(11) State: “To ensure your full protection under the emission warranty on your engine by federal law, and your right to participate in future recalls, we recommend you have your engine serviced as soon as possible. We may consider your not servicing it to be improper maintenance”.
(b) We may require you to add information to your notice or to send more notices.
(c) You may not in any communication with owners or dealers say or imply that your noncompliance does not exist or that it will not degrade air quality.
§ 1068.525 What records must I send to EPA?
top
(a) Send us a copy of all communications related to the remedial plan you sent to dealers and others doing the repairs. Mail or e-mail us the information at the same time you send it to others.
(b) From the time you begin to notify owners, send us a report within 25 days of the end of each calendar quarter. Send reports for six consecutive quarters or until all the engines are inspected, whichever comes first. In these reports, identify the following:
(1) The range of dates you needed to notify owners.
(2) The total number of notices sent.
(3) The number of engines you estimate fall under the remedial plan (explain how you determined this number).
(4) The cumulative number of engines you inspected under the remedial plan.
(5) The cumulative number of these engines you found needed the specified repair.
(6) The cumulative number of these engines you have repaired.
(7) The cumulative number of engines you determined to be unavailable due to exportation, theft, retirement, or other reasons (specify).
(8) The cumulative number of engines you disqualified for not being properly maintained or used.
(c) If your estimated number of engines falling under the remedial plan changes, change the estimate in your next report and add an explanation for the change.
(d) We may ask for more information.
(e) We may waive reporting requirements or adjust the reporting schedule.
(f) If anyone asks to see the information in your reports, we will follow the provisions of §1068.10 for handling confidential information.
§ 1068.530 What records must I keep?
top
We may review your records at any time, so it is important that you keep required information readily available. Keep records associated with your recall campaign for three years after you send the last report we require under §1068.525(b). Organize and maintain your records as described in this section.
(a) Keep a paper copy of the written reports described in §1068.525.
(b) Keep a record of the names and addresses of owners you notified. For each engine, state whether you did any of the following:
(1) Inspected the engine.
(2) Disqualified the engine for not being properly maintained or used.
(3) Completed the prescribed repairs.
(c) You may keep the records in paragraph (b) of this section in any form we can inspect, including computer databases.
[69 FR 39273, June 29, 2004]
§ 1068.535 How can I do a voluntary recall for emission-related problems?
top
If we have made a determination that a substantial number of properly maintained and used engines do not conform to the regulations of this chapter during their useful life, you may not use a voluntary recall or other alternate means to meet your obligation to remedy the noncompliance. Thus, this section only applies where you learn that your engine family does not meet the requirements of this chapter and we have not made such a determination.
(a) To do a voluntary recall under this section, first send the Designated Officer a plan, following the guidelines in §1068.510. Within 15 days, we will send you our comments on your plan.
(b) Once we approve your plan, start notifying owners and carrying out the specified repairs.
(c) From the time you start the recall campaign, send us a report within 25 days of the end of each calendar quarter, following the guidelines in §1068.525(b). Send reports for six consecutive quarters or until all the engines are inspected, whichever comes first.
(d) Keep your reports and the supporting information as described in §1068.530.
Subpart G—Hearings
top
§ 1068.601 What are the procedures for hearings?
top
If we agree to hold a hearing related to our decision to order a recall under §1068.505, we will hold the hearing according to the provisions of 40 CFR 85.1807. For any other issues, you may request an informal hearing, as described in 40 CFR 86.1853–01.
Appendix I to Part 1068—Emission-Related Components
top
This appendix specifies emission-related components that we refer to for describing such things as emission-related warranty or requirements related to rebuilding engines.
I. Emission-related components include any engine parts related to the following systems:
1. Air-induction system.
2. Fuel system.
3. Ignition system.
4. Exhaust gas recirculation systems.
II. The following parts are also considered emission-related components:
1. Aftertreatment devices.
2. Crankcase ventilation valves.
3. Sensors.
4. Electronic control units.
III. Emission-related components also include any other part whose only purpose is to reduce emissions or whose failure will increase emissions without significantly degrading engine performance.
[69 FR 39273, June 29, 2004]
Appendix II to Part 1068—Emission-Related Parameters and Specifications
top
This appendix specifies emission-related parameters and specifications that we refer to for describing such things as emission-related defects or requirements related to rebuilding engines.
I. Basic Engine Parameters—Reciprocating Engines.
1. Compression ratio.
2. Type of air aspiration (natural, Roots-blown, supercharged, turbocharged).
3. Valves (intake and exhaust).
a. Head diameter dimension.
b. Valve lifter or actuator type and valve lash dimension.
4. Camshaft timing.
a. Valve opening—intake exhaust (degrees from top-dead center or bottom-dead center).
b. Valve closing—intake exhaust (degrees from top-dead center or bottom-dead center).
c. Valve overlap (degrees).
5. Ports—two stroke engines (intake and/or exhaust).
a. Flow area.
b. Opening timing (degrees from top-dead center or bottom-dead center).
c. Closing timing (degrees from top-dead center or bottom-dead center).
II. Intake Air System.
1. Roots blower/supercharger/turbocharger calibration.
2. Charge air cooling.
a. Type (air-to-air; air-to-liquid).
b. Type of liquid cooling (engine coolant, dedicated cooling system).
c. Performance.
3. Temperature control system calibration.
4. Maximum allowable inlet air restriction.
III. Fuel System.
1. General.
a. Engine idle speed.
b. Engine idle mixture.
2. Carburetion.
a. Air-fuel flow calibration.
b. Idle mixture.
c. Transient enrichment system calibration.
d. Starting enrichment system calibration.
e. Altitude compensation system calibration.
f. Hot idle compensation system calibration.
3. Fuel injection for spark-ignition engines.
a. Control parameters and calibrations.
b. Idle mixture.
c. Fuel shutoff system calibration.
d. Starting enrichment system calibration.
e. Transient enrichment system calibration.
f. Air-fuel flow calibration.
g. Altitude compensation system calibration.
h. Operating pressure(s).
i. Injector timing calibration.
4. Fuel injection for compression-ignition engines.
a. Control parameters and calibrations.
b. Transient enrichment system calibration.
c. Air-fuel flow calibration.
d. Altitude compensation system calibration.
e. Operating pressure(s).
f. Injector timing calibration.
IV. Ignition System for Spark-ignition Engines.
1. Control parameters and calibration.
2. Initial timing setting.
3. Dwell setting.
4. Altitude compensation system calibration.
5. Spark plug voltage.
V. Engine Cooling System—thermostat calibration.
VI. Exhaust System—maximum allowable back pressure.
VII. System for Controlling Exhaust Emissions.
1. Air injection system.
a. Control parameters and calibrations.
b. Pump flow rate.
2. EGR system.
a. Control parameters and calibrations.
b. EGR valve flow calibration.
3. Catalytic converter system.
a. Active surface area.
b. Volume of catalyst.
c. Conversion efficiency.
4. Backpressure.
VIII. System for Controlling Crankcase Emissions.
1. Control parameters and calibrations.
2. Valve calibrations.
IX. Auxiliary Emission Control Devices (AECD).
1. Control parameters and calibrations.
2. Component calibration(s).
X. System for Controlling Evaporative Emissions.
1. Control parameters and calibrations.
2. Fuel tank.
a. Volume.
b. Pressure and vacuum relief settings.
XI. Warning Systems Related to Emission Controls.
1. Control parameters and calibrations.
2. Component calibrations.