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e-CFR data is current as of August 6, 2020

Title 40Chapter ISubchapter UPart 1068 → Subpart G


Title 40: Protection of Environment
PART 1068—GENERAL COMPLIANCE PROVISIONS FOR HIGHWAY, STATIONARY, AND NONROAD PROGRAMS


Subpart G—Hearings


Contents
§1068.601   Overview.
§1068.610   Request for hearing—suspending, revoking, or voiding a certificate of conformity.
§1068.615   Request for hearing—denied application for certification, automatically suspended certificate, and determinations related to certification.
§1068.620   Request for hearing—recall.
§1068.625   Request for hearing—nonconformance penalties.
§1068.650   Procedures for informal hearings.
Appendix I to Part 1068—Emission-Related Components
Appendix II to Part 1068—Emission-Related Parameters and Specifications
Appendix III to Part 1068—High-Altitude Counties

Source: 81 FR 74233, Oct. 25, 2016, unless otherwise noted.

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§1068.601   Overview.

The regulations of this chapter involve numerous provisions that may result in EPA making a decision or judgment that you may consider adverse to your interests and that either limits your business activities or requires you to pay penalties. As specified in the regulations in this chapter, this might involve an opportunity for an informal hearing or a formal hearing that follows specific procedures and is directed by a Presiding Officer. The regulations in this chapter generally specify when we would hold a hearing. In limited circumstances, we may grant a request for a hearing related to adverse decisions regarding regulatory provisions for which we do not specifically describe the possibility of asking for a hearing.

(a) If you request a hearing regarding our decision to assess administrative penalties under §1068.125, we will hold a formal hearing according to the provisions of 40 CFR 22.1 through 22.32 and 22.34.

(b) For other issues where the regulation allows for a hearing in response to an adverse decision, you may request an informal hearing as described in §1068.650. Sections 1068.610 through 1068.625 describe when and how to request an informal hearing under various circumstances.

(c) The time limits we specify are calendar days and include weekends and holidays, except that a deadline falling on a Saturday, Sunday, or a federal holiday is understood to move to the next business day. Your filing will be considered timely based on the following criteria relative to the specified deadline:

(1) The postmarked date for items sent by U.S. mail must be on or before the specified date.

(2) The ship date for items sent from any location within the United States by commercial carriers must be on or before the specified date.

(3) Items sent by mail or courier from outside the United States must be received by the specified date.

(4) The time and date stamp on an email message must be at or before 5:00 p.m. on the specified date (in either the source or destination time zone).

(5) The time and date stamp on faxed pages must be at or before 5:00 p.m. on the specified date (in either the source or destination time zone).

(6) Hand-delivered items must be received by the appropriate personnel by 3:00 p.m. on the specified date.

(d) See the standard-setting part for additional information. If the standard-setting part specifies any provisions that are contrary to those described in this subpart, the provisions of the standard-setting part apply instead of those described in this subpart.

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§1068.610   Request for hearing—suspending, revoking, or voiding a certificate of conformity.

(a) You may request an informal hearing as described in §1068.650 if you disagree with our decision to suspend, revoke, or void a certificate of conformity.

(b) If you request a hearing regarding the outcome of a testing regimen with established evaluation criteria, such as selective enforcement audits or routine production-line testing, we will hold a hearing limited to the following issues that are relevant to your circumstances:

(1) Whether tests were conducted in accordance with applicable regulations.

(2) Whether test equipment was properly calibrated and functioning.

(3) Whether specified sampling procedures were followed to select engines/equipment for testing.

(4) Whether there is a basis for determining that the problems identified do not apply for engines/equipment produced at plants other than the one from which engines/equipment were selected for testing.

(c) You must send your hearing request in writing to the Designated Compliance Officer no later than 30 days after we notify you of our decision to suspend, revoke, or void your certificate, or by some later deadline we specify. If the deadline passes, we may nevertheless grant you a hearing at our discretion.

(d) Your hearing request must include the following information:

(1) Identify the classes or categories of engines/equipment that will be the subject of the hearing.

(2) State briefly which issues you will raise at the hearing for each affected class or category of engines/equipment.

(3) Specify why you believe the hearing will conclude in your favor for each of the issues you will raise.

(4) Summarize the evidence supporting your position on each of the issues you will raise and include any supporting data.

(e) We will approve your request for an informal hearing if we find that your request raises a substantial factual issue in the decision we made that, if addressed differently, could alter the outcome of that decision.

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§1068.615   Request for hearing—denied application for certification, automatically suspended certificate, and determinations related to certification.

(a) You may request an informal hearing as described in §1068.650 if we deny your application for a certificate of conformity, if your certificate of conformity is automatically suspended under the regulations, or if you disagree with determinations we make as part of the certification process. For example, you might disagree with our determinations regarding adjustable parameters under §1068.50 or regarding your good engineering judgment under §1068.5.

(b) You must send your hearing request in writing to the Designated Compliance Officer no later than 30 days after we notify you of our decision, or by some later deadline we specify. If the specified deadline passes, we may nevertheless grant you a hearing at our discretion.

(c) Your hearing request must include the information specified in §1068.610(d).

(d) We will approve your request for an informal hearing if we find that your request raises a substantial factual issue in the decision we made that, if addressed differently, could alter the outcome of that decision.

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§1068.620   Request for hearing—recall.

(a) You may request an informal hearing as described in §1068.650 if you disagree with our decision to order a recall.

(b) You must send your hearing request in writing to the Designated Compliance Officer no later than 45 days after we notify you of our decision, or by some later deadline we specify. If the specified deadline passes, we may nevertheless grant you a hearing at our discretion.

(c) Your hearing request must include the information specified in §1068.610(d).

(d) We will approve your request for an informal hearing if we find that your request raises a substantial factual issue in the decision we made that, if addressed differently, could alter the outcome of that decision.

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§1068.625   Request for hearing—nonconformance penalties.

(a) You may request an informal hearing as described in §1068.650 if you disagree with our determination of compliance level or penalty calculation or both. The hearing will address only whether the compliance level or penalty was determined in accordance with the regulations.

(b) Send a request for a hearing in writing to the Designated Compliance Officer within the following time frame, as applicable:

(1) No later than 15 days after we notify you that we have approved a nonconformance penalty under this subpart if the compliance level is in the allowable range of nonconformity.

(2) No later than 15 days after completion of the Production Compliance Audit if the compliance level exceeds the upper limit.

(3) No later than 15 days after we notify you of an adverse decision for all other cases.

(c) If you miss the specified deadline in paragraph (b) of this section, we may nevertheless grant youa hearing at our discretion.

(d) Your hearing request must include the information specified in §1068.610(d).

(e) We will approve your request for an informal hearing if we find that your request raises a substantial factual issue in the decision we made that, if addressed differently, could alter the outcome of that decision.

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§1068.650   Procedures for informal hearings.

(a) The following provisions apply for arranging the hearing:

(1) After granting your request for an informal hearing, we will designate a Presiding Officer for the hearing.

(2) The Presiding Officer will select the time and place for the hearing. The hearing must be held as soon as practicable for all parties involved.

(3) The Presiding Officer may require that all argument and presentation of evidence be concluded by a certain date after commencement of the hearing.

(b) The Presiding Officer will establish a paper or electronic hearing record, which may be made available for inspection. The hearing record includes, but is not limited to, the following materials:

(1) All documents relating to the application for certification, including the certificate of conformity itself, if applicable.

(2) Your request for a hearing and the accompanying supporting data.

(3) Correspondence and other data relevant to the hearing.

(4) The Presiding Officer's written decision regarding the subject of the hearing, together with any accompanying material.

(c) You may appear in person or you may be represented by counsel or by any other representative you designate.

(d) The Presiding Officer may arrange for a prehearing conference, either in response to a request from any party or at his or her own discretion. The Presiding Officer will select the time and place for the prehearing conference. The Presiding Officer will summarize the results of the conference and include the written summary as part of the record. The prehearing conference may involve consideration of the following items:

(1) Simplification of the issues.

(2) Stipulations, admissions of fact, and the introduction of documents.

(3) Limitation of the number of expert witnesses.

(4) Possibility of reaching an agreement to resolve any or all of the issues in dispute.

(5) Any other matters that may aid in expeditiously and successfully concluding the hearing.

(e) Hearings will be conducted as follows:

(1) The Presiding Officer will conduct informal hearings in an orderly and expeditious manner. The parties may offer oral or written evidence; however, the Presiding Officer may exclude evidence that is irrelevant, immaterial, or repetitious.

(2) Witnesses will not be required to testify under oath; however, the Presiding Officer must make clear that 18 U.S.C. 1001 specifies civil and criminal penalties for knowingly making false statements or representations or using false documents in any matter within the jurisdiction of EPA or any other department or agency of the United States.

(3) Any witness may be examined or cross-examined by the Presiding Officer, by you, or by any other parties.

(4) Written transcripts must be made for all hearings. Anyone may purchase copies of transcripts from the reporter.

(f) The Presiding Officer will make a final decision with written findings, conclusions and supporting rationale on all the substantial factual issues presented in the record. The findings, conclusions, and written decision must be provided to the parties and made a part of the record.

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Appendix I to Part 1068—Emission-Related Components

This appendix specifies emission-related components that we refer to for describing such things as emission-related warranty or requirements related to rebuilding engines. Note that inclusion of a component in Section III of this Appendix does not make it an emission-related component for engines/equipment that are not subject to evaporative emission standards.

I. For exhaust emissions, 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 for exhaust emissions:

1. Aftertreatment devices.

2. Crankcase ventilation valves.

3. Sensors.

4. Electronic control units.

III. The following parts are considered emission-related components for evaporative emissions:

1. Fuel Tank.

2. Fuel Cap.

3. Fuel Line.

4. Fuel Line Fittings.

5. Clamps*.

6. Pressure Relief Valves*.

7. Control Valves*.

8. Control Solenoids*.

9. Electronic Controls*.

10. Vacuum Control Diaphragms*.

11. Control Cables*.

12. Control Linkages*.

13. Purge Valves.

14. Vapor Hoses.

15. Liquid/Vapor Separator.

16. Carbon Canister.

17. Canister Mounting Brackets.

18. Carburetor Purge Port Connector.

*As related to the evaporative emission control system.

IV. Emission-related components also include any other part whose primary purpose is to reduce emissions or whose failure would commonly increase emissions without significantly degrading engine/equipment performance.

[73 FR 59344, Oct. 8, 2008, as amended at 81 FR 74235, Oct. 25, 2016]

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Appendix II to Part 1068—Emission-Related Parameters and Specifications

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 for 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.

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Appendix III to Part 1068—High-Altitude Counties

In some cases the standard-setting part includes requirements or other specifications that apply for high-altitude counties. The following counties have substantial populated areas above 4,000 feet above sea level and are therefore considered to be high-altitude counties:

STATE OF ARIZONA

Apache

Cochise

Coconino

Navajo

Yavapai

STATE OF COLORADO

Adams

Alamosa

Arapahoe

Archuleta

Boulder

Chaffee

Cheyenne

Clear Creek

Conejos

Costilla

Crowley

Custer

Delta

Denver

Dolores

Douglas

Eagle

Elbert

El Paso

Fremont

Garfield

Gilpin

Grand

Gunnison

Hinsdale

Huerfano

Jackson

Jefferson

Kit Carson

Lake

La Plata

Larimer

Las Animas

Lincoln

Mesa

Mineral

Moffat

Montezuma

Montrose

Morgan

Otero

Ouray

Park

Pitkin

Pueblo

Rio Blanco

Rio Grande

Routt

Saguache

San Juan

San Miguel

Summit

Teller

Washington

Weld

STATE OF IDAHO

Bannock

Bear Lake

Bingham

Blaine

Bonneville

Butte

Camas

Caribou

Cassia

Clark

Custer

Franklin

Fremont

Jefferson

Lemhi

Madison

Minidoka

Oneida

Power

Teton

Valley

STATE OF MONTANA

Beaverhead

Deer Lodge

Gallatin

Jefferson

Judith Basin

Powell

Madison

Meagher

Park

Silver Bow

Wheatland

STATE OF NEBRASKA

Banner

Cheyenne

Kimball

Sioux

STATE OF NEVADA

Carson City

Douglas

Elko

Esmeralda

Eureka

Humboldt

Lander

Lincoln

Lyon

Mineral

Nye

Pershing

Storey

Washoe

White Pine

STATE OF NEW MEXICO

Bernalillo

Catron

Colfax

Curry

De Baca

Grant

Guadalupe

Harding

Hidalgo

Lincoln

Los Alamos

Luna

McKinley

Mora

Otero

Rio Arriba

Roosevelt

Sandoval

San Juan

San Miguel

Santa Fe

Sierra

Socorro

Taos

Torrance

Union

Valencia

STATE OF OREGON

Harney

Lake

Klamath

STATE OF TEXAS

Jeff Davis

Judspeth

Parmer

STATE OF UTAH

Beaver

Box Elder

Cache

Carbon

Daggett

Davis

Duchesne

Emery

Garfield

Grand

Iron

Juab

Kane

Millard

Morgan

Piute

Rich

Salt Lake

San Juan

Sanpete

Sevier

Summit

Tooele

Uintah

Utah

Wasatch

Wayne

Weber

STATE OF WYOMING

Albany

Campbell

Carbon

Converse

Fremont

Goshen

Hot Springs

Johnson

Laramie

Lincoln

Natrona

Niobrara

Park

Platte

Sublette

Sweetwater

Teton

Uinta

Washakie

Weston

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