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Introduction'
The United States asserts that GM equipped approximately
470,000 model year 1991 through model year 1995 4.9 liter
Cadillacs with a fueling strategy that reduces the effectiveness
of the vehicles' emission controls in normal urban driving, and
that GM did not adequately disclose to the U.S. Environmental
Protection Agency its use of emissions-related fueling strategies
on model year 1989 through 1992 heavy duty truck engines and on
certain additional model year 1991 through 1995 passenger cars.
GM denies this, but has agreed to modify -the fueling strategy for
these 4.9L Cadillac vehicles in a way that reduces the emissions
of air pollutants from the vehicles without compromising
driveability. GM has also agreed to pay a civil penalty and to
implement programs to reduce the emission of certain air
pollutants to the environment.
1 This introduction is a general description of this
settlement and not a substantive part of this Consent Decree. To
the extent that any inconsistency exists between this intro-
duction and^the specific provisions of the Consent Decree, the
specific provisions control.
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TABLE OF CONTENTS
I. JURISDICTION AND VENUE ......... 6
II. DEFINITIONS 6
III. APPLICABILITY 9
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IV. FACTUAL BACKGROUND 9
V. OBJECTIVES 12
VI. REMEDIAL PROGRAM 12
A. Remedial Campaign 12
B. Emission Remedial Projects 25
C. Emission Testing Program 30
D. Alternate Mapping 32
VII. CIVIL PENALTY 32
VIII. STIPULATED PENALTIES 33
IX. FORCE MAJEURE . . 35
X. DISPUTE RESOLUTION 38
XI. GENERAL PROVISIONS 39
A. Effect of Settlement 39
B. Third Parties ........ 41
c. costs . : 41
D. Public Documents 41
E. Public Comments 42
F. Reports, Submissions, Notices, Communications ... 42
G. Modification 45
H. Continuing Jurisdiction .... 45
I. Confidential Business Information 46
J. Other Laws 46
XII. TERMINATION 46
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WHEREAS, plaintiff, the United States of America, at
the request of the Administrator of the United States
' Environmental Protection Agency and by authority of the Attorney
General, filed the Complaint herein against defendant General
Motors Corporation ("GM") alleging violations of the Clean Air
Act, as amended, 42 U.S.C. §§ 7401 et seq. in connection with
certain light duty vehicles, and heavy duty gasoline engines
manufactured and sold by GM;
WHEREAS, GM has denied and continues to deny the
violations alleged in the Complaint;
WHEREAS, GM has developed a recalibration of the
programmable read-only memory chips used in the approximately
470,000 4.9 liter Cadillacs that are a focus of the United
States' Complaint; the recalibrated memory chip would result in
significant emission reductions from such vehicles if installed
on the 4.9 liter vehicles; and GM has completed warm-weather
validation of the recalibrated chips; and will continue and
complete cold-weather validation of the recalibrated chips;
WHEREAS, the United States and GM have consented to
entry of .this Consent Decree without trial of any issues;
WHEREAS, the United States and GM assert, and the Court
by entering this Consent Decree finds, that this Consent Decree
has been negotiated by the United States and GM in good faith and
implementation of this Consent Decree will avoid prolonged and
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complicated litigation between the United States and GM, and that
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this Consent Decree is fair, reasonable, and in the public
interest;
NOW, THEREFORE, it is hereby ORDERED AND DECREED as follows;
I. JURISDICTION AND VENUE
1. This Court has jurisdiction of the subject matter
of this'action and the parties pursuant to 28 U.S.C. §§ 1331,
1345, 1355, and Title II of the Clean Air Act, 42 U.S.C. §§ 7521-
7590. Venue in this District is proper.
II. DEFINITIONS
2. Unless specifically defined in this section or
elsewhere in this Consent Decree, terms used herein shall have
the meanings currently set forth in Sections 216 and 302 of the
Act, 42 U.S.C. §.§ 7550 and 7602, and any regulations promulgated
under Title II of the Act, 42 U.S.C. §§ 7521-7590.
3. "Act" means the Clean Air Act, as amended, 42
U.S.C. §§ 7401 et seq.
4. "California" means the State of California.
5. "GARB" means the California Air Resources Board.
6. "California 4.9L vehicles" means those 4.9 liter
vehicles certified to California emissions standards and
registered in the State of California.
7. "Certificate of Conformity" means a certificate
issued by the U.S. Environmental Protection Agency pursuant to
Section 206 of the Act, 42 U.S.C. § 7525.
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8. "Consent Decree" or "Decree" means this Consent
Decree, including the Appendices identified herein.
/ 9. "Day" means a calendar day. In computing any
period of time under this Consent Decree, where the last day
would fall on a Saturday, Sunday, or Federal Holiday, the period
shall run until the close of business of the next working day.
10. "EPA" means the United States Environmental
Protection Agency.
11. "4.9L vehicles" means 1) vehicles in engine
families P1G4.9V8X6AO, P1G4.9W8XTAX, R1G4.9V8GAEB, R1G4.9V8G1EA,
S1G4.9V8GAEB, and S1G4.9V8G1EA; 2) vehicles with engine codes
1D-1F, 2C-2E, 3C-3E, 4C-4E, 5C-5E, and 6C-6E of engine family
N2G4.9V8X6A8; 3) vehicles with engine codes 1C-1E, 2D-2F, 3C-3E,
4C-4E, and 5C-5E of engine family N2G4.9W8XTA7; and 4) those
vehicles in engine families M2G4.9V8X6A7, M2G4.9W8XTA6,
N2G4.9V8X6A8, and N2G4.9W8XTA7 that received a service PROM
incorporating the accessory-based transient enrichment
calibration pursuant to running change N2-070 (August 9, 1991}
and Technical Service Bulletins T-91-81B {October 1991), T-92-87
(April 1992), and T-93-44 (January 1993).
12. "GM" means General Motors Corporation.
13. "HDGEs" means GM heavy-duty gasoline engines.
14. "Interest" means interest at the rate specified
for debts owed to departments or agencies of the United States
pursuant to 31 U.S.C. § 3717.
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15. "Jumper TPS" means the inoperative or partially
inoperative throttle position sensor employed by GM when
conducting engine mapping on model-year 1989 through 1996 HDGEs
in connection with applications for certificates of conformity.
16. "LDVs" means light duty vehicles.
17. "MY" means model year as defined in 40 C.F.R. §
86.082-2.
18. "Other LDVs" means vehicles in engine families
M2G4.5V8X2W2 , N2G4.5V8X2W3, P4G1.9W8JPD9, P4G1.9V9JPD4,
v
P4G1.9W5J817, P4G1.9V5J8H9, P1G4.6V8X8V1, P1G4.6W8XEB8,
P1G4 . 6V8X8B9 , R4G1.9VHG1EA, R4G1. 9VHGBEA, R4G1. 9V5G1EA, ,«,
R4G1.9VSGEEA, R1G3.4V8GOEA, R1G3.4V8GAEA, R1G4.6VJG1EA,
R1G4. 6VJGAEA, S4G1.9VHGFEA, S4G1.9V7G2EA, S4G1.9V7GFEA,
S1G3.4V8GAEA, and S1G4.6VJGFEA.
19. "Paragraph" means a portion of this Consent Decree
identified by an arabic numeral.
20. "Remedy PROMs" means the programmable read-only
memory chips incorporating the software and calibration changes
described in Appendices A and/or B hereto.
21. "Section" shall mean a portion of this Consent
Decree identified by a roman numeral.
22. "Subject HDGEs" means vehicles or engines in
engine families KGM05.7BLA4, LGM4.3BLA3, LGM05.7BLA3,
LGM06.OAGA8, LGM07.4BLA3, MGM04.3BLA2, MGM05.7BLA2, MGM07.OBLA8,
MGM07.4ENA6, NGM04.3BLA1, NGM05.7BLA1, NGM07.OBLA7, NGM07.4BNA5,
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PGM04.3BLAX, PGM05.7BLAX, PGM07.OBLA5, PGM07.4BNA3, RGM4.3C5GAAA,
RGM5. 7C5GAAA, RGM7. OC5GAAA, RGM7.4C5GAEA, SGM4.3C5GAAA,
. SGM5.7C5GAAA, SGM7.0C5GAAA, SGM7. 4C5GAEA, TGM5. 7C5GAAA,
TGM7.0C5GAAA, and TGM7.4C5GAEA.
23. "Subject Vehicles/Engines" means, collectively,
4.9L vehicles, the Other LDVs, and the Subject HDGEs.
24. "US06" means the "high speed and/or high
acceleration" driving cycle proposed in 60 Fed. Reg. 7404 {Feb.
7, 1995), or as such may be finally adopted.
25. "United States" means the United States of
America, acting on behalf of EPA.
III. APPLICABILITY
26. This Consent Decree applies to and is binding upon
the United States, its employees and contractors, and upon GM and
its agents, successors and assigns. Any change in GM's ownership
or corporate status shall in no way alter GM's responsibilities
under this Consent Decree. In any action to enforce-this Consent
Decree, GM shall not raise as a defense the failure of its
officers, directors, agents, servants, contractors, or employees
to take actions necessary to comply with the provisions hereof.
IV. FACTUAL BACKGROUND
27. GM has manufactured and sold, offered for sale, or
introduced or delivered for introduction into commerce in the
United States new motor vehicles and new motor vehicle engines,
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including 4.9L Cadillacs, Other LDVs and Subject HDGEs.
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28. Each certificate of conformity issued to GM by EPA
during the time period relevant to the claims alleged in the
Complaint provides that the certificate covers only those new
motor vehicles or new motor vehicle engines which conform in all
material respects to the vehicle or engine design specifications
provided to EPA in the certificate application for such vehicle
or engine; except that each certificate of conformity issued by
SPA for vehicles or engines that GM proposed or proposes to sell
only in California, or other states that have adopted the
California emission standards, provides that the certificate
covers only those new motor vehicles or new motor vehicle engines
which conform, in all material respects, to the vehicle or engine
design specifications described in the application submitted to
the California Air Resources Board.
~?s
29. In August 1991, GM implemented a change in its
production MY 1992 4.9L Cadillac vehicles that introduced an
enrichment calibration to the fueling strategy. This calibration
was subsequently included in production MY 1993-1995 4.9L
Cadillacs and in service parts received by certain MY 1991-1992
4.9L Cadillacs. The United States alleges in its Complaint that
this calibration has a detrimental effect on a vehicle's emission
control system and that this calibration was not adequately
reported to EPA.
30. GM also equipped the Other LDVs with enrichment
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calibrations relating to the operation of certain accessories
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(the "accessory calibrations"). The United States alleges.in its
Complaint that GM's applications for certificates of conformity
for the Other LDVs did not fully describe the accessory
calibrations installed on the Other LDVs.
31. GM equipped its MY 1989 through 1996 Subject HDGEs
with timer-based enrichment calibrations (the "timer
calibrations"). The United States alleges in its Complaint that
GM's applications for certificates of conformity for the MY 1989
through 1992 Subject HDGEs did not adequately describe the
timer-based enrichment calibration installed on the engines.
32. As required by EPA's regulations, GM conducted
emission tests of its MY 1989 through 1992 Subject HDGEs prior to
submitting applications to EPA for certificates of conformity for
those engines. In connection with such testing, GM used an
engine mapping procedure that differed from the engine mapping
procedure found in 40 C.F.R. §§ 86.1332-84(a)-(e) and 86.1332-
90(a)-(e). The United States alleges in its Complaint that GM
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did not disclose to EPA its use of an alternate mapping procedure
for the Subject HDGEs.
33. GM also used the alternate mapping procedure on
two Subject HDGEs audited by EPA in July and August '19.91 pursuant
to Section 206(b) of the Act. The United States alleges in its
Complaint that GM did not adequately disclose the use of the
alternate mapping procedure during such tests.
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34. GM denies the material allegations of the
Complaint and denies that it has violated the Act or failed to
comply with. EPA' s regulations as alleged in the Complaint.
V. OBJECTIVES
35. The objectives of this Consent Decree are (a) to
implement an emission remedial campaign to reduce emissions
associated with the enrichment strategy on the 4.9L Cadillac
vehicles without creating unreasonable safety risks; (b) to
implement one or more emission remedial projects and an emission
test program to remedy and/or assess the past and future emission
of air pollutants from the vehicles and engines covered by this
Consent Decree; and (c) to resolve the United States' claims for
civil penalties and injunctive relief described in Paragraph 96
below.
VI . pBMEDIAL PROGRAM
A. Ro
36. For those vehicles that are not California 4.9L
vehicles, GM shall submit to EPA for review and approval a plan
or plans for the conduct of a remedial campaign with respect to
each class (as determined by the specific Remedy PROM a group of
vehicles will receive) of the 4.9L vehicles. Such plan shall be
submitted within 30 days of either the entry of this Consent
Decree or the completion of validation of a particular package of
calibration and software changes, whichever is later. The
remedial campaign plan shall include:
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a. A description of the vehicles to receive the
Remedy PROM, including the method or methods by which GM
identified the vehicles serviced pursuant to Technical Service
Bulletin T-91-81B and its updates;
b. A description of the method by which GM will
determine the names and addresses of vehicle owners;
c. A description of the procedure to be followed
by vehicle owners to have the Remedy PROMs installed. This shall
include designation of the date on or after which the owner can
have the Remedy PROMs installed, the time reasonably necessary to
perform the labor required to install the Remedy PROMs, and the
designation of facilities at which the Remedy PROMs can be
installed;
d. If any vehicles are to be remedied by persons
other than dealers or authorized warranty agents of the
manufacturer, a description of the class of persons other than
dealers and authorized warranty agents of the manufacturer who
will remedy the vehicles, and a statement indicating that the
participating members of the class will be properly qualified and
equipped to perform such remedial action;
e. Copies of the letters of notification to be
sent to vehicle owners;
f. A description of the system by which GM will
assure that an adequate supply of parts will be available to
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perform-the remedy under the remedial campaign plan including the
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date by which an adequate supply of parts will be available to
initiate the remedial campaign, the percentage of the total
number of parts required by each repair facility performing the
remedy that will be shipped to such facility to initiate.the
campaign, and the method to be used to assure the supply remains
both adequate and responsive to owner demand;
g. A copy of all necessary instructions to be
sent to those persons who are to perform the repair under the
remedial campaign plan, including instructions for rendering the
old PROMs inoperative and the means by which a service technician
determines the correct PROM to be installed in each vehicle
subject to this remedial campaign; and
h. A description of the impact of the proposed
ta-^
changes on fuel consumption, safety, and driveability of each
class or category of vehicles to be recalled and a brief summary
of the data, technical studies, or engineering evaluations which
support these conclusions.
37. Notification to vehicle owners shall be made by
first class mail.
38. The notification of vehicle owners shall contain
the following:
a. The statement: "The Administrator of the U.S.
Environmental Protection Agency has determined that MY 199X GM
Cadillacs equipped with 4.9L engines may require modifications in
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order to comply with requirements of the Clean Air Act designed
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to protect public health and welfare. GM has determined that the
modifications required by EPA will help reduce emissions of
carbon monoxide and hydrocarbons, which are regulated by EPA
under the Clean Air Act. Because GM has achieved this improved
emissions performance without compromising driveability, EPA and
GM strongly encourage you to bring your car to a dealer to
perform the modification."
b. A statement that the vehicles will be remedied
at GM's expense;
c. A clear description of the components that
will be affected by the remedy and a general statement of the
measures to be taken to implement the remedy;
d. A description of the procedure which the
vehicle owner should follow to obtain installation of the Remedy
PROMS. This shall include designation of the date on or after
which the owner can have the Remedy PROMs installed, the time
reasonably necessary to perform the labor required to install the
Remedy PROMs, and the designation of facilities at which the
Remedy PROMs can be obtained;
e. A card to be used by a vehicle owner in the
event the vehicle to be recalled has been sold, retired, or
'otherwise removed from service. -Such card should be addressed to
the manufacturer and shall provide a space in which the owner may
indicate the name and address of the person to whom the vehicle
was sold.
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39. GM shall take appropriate steps to locate vehicle
owners, including obtaining motor vehicle registration lists as
available from State or commercial sources, as necessary to
obtain the names and addresses of vehicle owners to ensure an
effective notification.
40. EPA may require GM to send a subsequent
notification to vehicle owners by first class mail.
41. The remedial campaign plan shall provide that
those who perform the repair shall be required to affix a label
to each vehicle repaired under the remedial campaign plan. The
label shall be placed in such location as approved by EPA
consistent with State law and shall be fabricated of a material
suitable for the location in which it is installed and.which is
not readily removable intact. The label shall contain:
a. The recall campaign number; and
b. A code designating the campaign facility at
which the repair was performed.
42. GM shall arrange under its existing agreements
with repair facilities to ensure that vehicles brought^to such
facilities in response to the remedial campaign are equipped with
Remedy PROMs and that old PROMs are rendered inoperative. The
Remedy PROMs for MY 1991-1993 vehicles shall include the
calibration and software changes described in both Appendices A
and B. The Remedy PROMs for MY 1994-1995 vehicles shall include
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only the calibration and software changes described in
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Appendix A. GM shall direct repair facilities to render
inoperative each old PROM removed from a 4.9L vehicle. GM shall
give notice to such repair facilities that any reuse of an old
PROM in any vehicle would be regarded by EPA as tampering under
the Clean Air Act that could subject the repair facility to
penalties of up to $2500 per violation.
43. EPA shall provide GM with notice of approval or
disapproval of the remedial campaign plan(s) within 30 days of
its submittal to the Agency. If the plan is disapproved, EPA
shall provide the reasons for disapproval, and GM shall have 30
days to submit a revised remedial campaign plan for approval.
Any disagreements between GM and EPA regarding the remedial
campaign plan shall be resolved through the dispute resolution
provisions in Section X of this Consent Decree.
44. Within 30 days of signing this Consent Decree, GM
shall submit to the United States documents or a complete
narrative description reflecting the validation testing conducted
with respect to the Remedy PROMs through the date of such
submission and its plan for further testing. GM shall complete
cold-weather validation testing by March 1, 1996. The United
States recognizes, however, that a need for additional testing
may be identified during such testing. For this reason GM will
report on the progress of its cold weather validation testing on
February 1, 1996 and advise the United States and the Court of
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any additional testing that it has identified and the reasons for
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such additional testing. If a need for such additional testing
arises after February 1, 1996, GM will notify the United States
and the Court within 5 days of its determination to conduct
additional testing. In either event, GM shall be afforded such
time as is reasonably necessary to complete such testing.
45. If GM determines, based on its customary
cold-weather validation testing for vehicles of the same kind,
that an element of any set of the software and/or calibration
changes described in Appendices A and/or B causes a vehicle to
perform unsatisfactorily during validation, GM will provide the
United States with all records relating to the validation of the
software and calibration changes for the relevant class of
vehicles. GM may, subject to the review and approval of the
United States, revise or delete that element to achieve
satisfactory performance of the recalibration during validation.
In such circumstances, GM shall employ best efforts to identify
alternate software or calibration changes that would provide
emission reductions that EPA agrees are equivalent to those
projected to result from the Remedy PROMs and that would not pose
unacceptable safety or driveability risks.
46. If GM, despite its best efforts, concludes that it
cannot identify software or calibration changes providing the
emission reductions that EPA agrees are equivalent to those
projected to result from the Remedy PROMs, GM shall notify EPA
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and shall propose software or calibration changes for the
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affected vehicles which would provide the greatest achievable
level of emission reductions while avoiding unreasonable safety
or driveability risks. GM will provide emissions data on the
proposed revised calibration within 30 days of proposing any
revision. If EPA approves GM's proposal, GM shall implement the
remedial program using the alternate software or calibration
changes for the affected vehicles in lieu of those set out in
Appendices A and/or B.
47. In the event that GM and the United States cannot
agree on the revision or deletion of an element to achieve
satisfactory performance of a particular recalibration during
validation and GM considers the United States' recalibration
remedy to pose unacceptable risks for vehicle safety and/or
driveability, the affected vehicles shall be withdrawn from the
remedial emissions campaign. If vehicles are withdrawn, GM shall
contribute to the emission remedial project the amount of money
saved by withdrawing these vehicles from the campaign, based on
the assumption,-for this purpose, that 100 percent of the
vehicles withdrawn from the remedial emissions campaign (rather
than some lower percentage based on historical campaign capture
rate) would have responded to the campaign. Such amount will be
calculated as $78 times the total number of vehicles withdrawn
from the remedial campaign and provides a financial disincentive
to GM for withdrawal of vehicles from the campaign.
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48. Subject to Paragraph 49 of this Consent Decree
with respect to California 4.9L vehicles, GM shall commence the
remedial program by sending notifications to 4.9L vehicle owners
pursuant to the remedial campaign plan(s)'and shall implement the
plan(a) based on the schedule set out therein.
49. At the same time as GM submits to EPA remedial
campaign plans for 4.9L vehicles other than California 4.9L
vehicles, GM shall submit to EPA the remedial campaign plan(s)
for California 4.9L vehicles of the same model and model year.
The remedial campaign plan for the California 4.9L vehicles shall
conform to the applicable requirements of Paragraph 36 of this
Decree and Article 2.1 of Title 13, California Code of
Regulations, which requires, inter alia, that any manufacturer
proposing to initiate an emission remedial campaign shall submit
a plan for approval to CARB. If any delay occurs in obtaining
CARB approval of one or more remedial campaign plans for
California 4.9L vehicles, GM will be entitled to relief urider the
Force Majeure provisions of Section IX of this Consent Decree
from the requirement to implement the remedial campaign with
respect to the affected class or classes of California 4.9L
vehicles, for so long as GM is undertaking diligent efforts to
secure approval of such remedial campaign plan(s). Such efforts
to avoid delay include:
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(a) the prompt initiation of discussions with GARB regarding
the installation of the Remedy PROMs on California 4.9L vehicles
pursuant to the remedial campaign plan; and
(b) timely compliance with reasonable information requests
from California regarding the remedial campaign plan.
In the event that, notwithstanding diligent efforts by GM to
secure CARB's approval of the Remedy PROMs on California 4.9L
vehicles, GM and CARS have failed to reach and reduce to writing
substantial agreement within six months of lodging of this
Consent Decree concerning the appropriate remedy for California
4.9L vehicles GM shall file, within 15 days after the close of
such six-month period, an emission remedial campaign plan with
CARB pursuant to 13 C.C.R. § 2113 and shall use best efforts to
obtain approval of such plan. Such plan shall provide for
implementation of the remedial calibration and software changes
described in Appendices A and B to this Consent Decree.
50. In the event that CARB approves the implementation
of the remedial calibration and software changes described in
Appendices A and B, GM will implement those changes in a remedial
emissions campaign for California 4.9L vehicles. If GM's plan as
filed with CARB pursuant to 13 C.C.R. § 2113 is ultimately
determined to conform to applicable requirements of California
law, GM shall implement the final, validated federal calibration
and software changes on California 4.9L vehicles. If CARB
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determines that the current calibration is more appropriate for
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California 4.9L vehicles than an alternate calibration in some or
all California 4.9L vehicles owing to environmental conditions
existing in California, no remedial campaign will be required by
this Decree for those California 4.9L vehicles, and those
vehicles will not be counted in the calculation of the Campaign
Capture Rate used to determine the level of the Emission Remedial
Project funding pursuant to Section VLB of this Consent Decree.
51. GM's implementation of any remedy agreed to,
approved by, or ordered by CARB under its authority pursuant to
Article 2.1, California Code of Regulations for a class of
California 4.9L vehicles, will serve as full satisfaction of its
remedial campaign obligations under this Decree regarding such
class of California 4.9L vehicles. The United States agrees that
any agreement or order regarding the scope of a remedy applied to
California 4.9L vehicles will not affect the remedy for other
4.9L vehicles, the amount of the civil penalty, or the level of
funding of the emission remedial projects. Nothing herein,
however, shall be construed to allow GM to delay commencement of
the remedial campaign plan with respect to other 4.9L vehicles.
52. If, through validation, GM determines that an
element of any set of the software and/or calibration changes
described in Appendices A or B would cause unreasonable
driveability and/or safety risks for all or some class of
California 4.9L vehicles, the provisions of Paragraphs 45-47
.-«
shall apply with respect to those California 4.9L vehicles,
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except that changes to GARB-approved Remedy PROMs shall be
subject to the review and approval of CARS instead of EPA.
53. GM shall send to EPA a copy of all communications
which relate to the remedial campaign plan directed to dealers
and other persons who are to perform the repair under the
remedial campaign plan. , Such copies shall be mailed to EPA
contemporaneous'ly with their transmission to dealers and other
persons who are to perform the repair under the remedial campaign
plan.
54. GM shall provide for the establishment and
maintenance of records to enable the parties to monitor the
implementation of the remedial campaign. The records shall
include the following:
a. the remedial campaign number as designated by
GM;
b. the date owner notification was begun, and
date completed;
c. the number of 4.9L vehicles referenced in
Paragraph 11 of this Consent Decree;
d. the number of vehicles determined to be
unavailable for repair under the remedial campaign plan due to
exportation, theft, scrapping, or other reasons specifically
described and supported by GM; and
e. the number of vehicles in each class of 4.9L
vehicles actually receiving repair under the remedial campaign plan.
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If GM determines that information provided to EPA pursuant to
subparagraph c and d of this Paragraph is incorrect, GM shall
maintain revised figures together with an explanation of the
discrepancy. Figures maintained pursuant to subparagraph e of
this Paragraph shall be cumulative totals.
55. GM shall maintain in a form suitable for
inspection, such as computer information storage devices or card
files, lists of the names and addresses of vehicle owners to whom
notification was given and who received the Remedy PROM under the
remedial campaign plan. The records described in this Paragraph
shall be made available to EPA upon request.
56. The records required by this section shall be
retained until termination of this Consent Decree pursuant to
Paragraph 112 of this Consent Decree.
57. Within 30 days of the signing of this Consent
Decree, GM shall provide to EPA three PROMs incorporating the
remedial calibration and software changes described in
Appendices A and B to this Consent Decree, one each for 1992
Seville, 1992 DeVille and 1993 DeVille configurations. Upon
request of EPA, GM shall.provide to EPA a PROM representing each
nonidentical recalibration employed for purposes of the remedial
campaign within 30 days of commencement of production of each
such PROM.
58. Not later than 180 days after the close of the
six-quarter period for the last emission remedial campaign, GM
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shall conduct an audit to verify the extent to which vehicles
that have been brought in for service under the emissions
remedial campaign, have had the correct Remedy PROMs installed.
The audit will consist of an appropriate representative sampling
of 50 vehicles selected from the general public that have the
repair label required by Paragraph 41 of this Consent Decree.
The audit report shall'be maintained by GM until termination of
this Decree pursuant to Paragraph 112 and shall be made available
to EPA for its review upon request.
59. GM shall submit the proposed remedial campaign
plan and reports required by this Consent Decree and the approved
remedial campaign plan to:
Director, Air Enforcement Division (2242A)
Office of Enforcement and Compliance Assurance
U.S. Environmental Protection Agency
401 M Street, S.W. '
Washington, D.C.-20460
Chief, Environmental Enforcement Section
Environment and Natural Resources Division
U.S. Department of Justice
P.O. Box 7611 Ben Franklin Station
Washington, D.C. 20044-7611
by first class mail.
B. Emission Remedial Prelects
60. GM shall establish an emission remedial project
fund of at least $7.05 million and (except as may be required
pursuant to Paragraph 47 of this Consent Decree) not more that
$8.75 million for the implementation of projects to reduce
emissions of regulated air pollutants. GM shall propose at least
24
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two of the projects identified in Appendix C to this Consent
Decree. Either party may suggest additional projects for
inclusion in Appendix C.
61. The amount to be spent on the emission remedial
projects shall be as follows: if GM achieves a campaign capture
rate of 70 percent or less, then the fund shall be $8.75 million;
if GM achieves a campaign capture rate of 75 percent or greater,
then the fund shall be .$7.05 million; and if GM achieves a
campaign capture rate of 70 percent or greater, but less than 75
percent, then the fund shall be $7.05 million plus $34,000 for
each tenth of a percentage point in the campaign capture rate
below 75 percent, up to a maximum of $8.75 million.
62. For purposes of the preceding Paragraph, the
campaign capture rate shall be determined at the end of six
quarters from the mailing of owner notification letters. The
campaign capture rate shall be determined by dividing the number
of subject 4.9L vehiclesthat receive Remedy PROMs during the six
quarter period from the mailing of the initial owner notification
by the simple average of the number of vehicles subject to the
remedial campaign at the time of owner notification and at the
close of the six quarter period, as evidenced by data obtained by
GM from R.L. Polk & Co. (or a comparably reliable third party
source if R.L. Polk data is not available). Any California 4.9L
vehicles required to be excluded from the remedial campaign in
«* '
California, as described in Paragraph 50 of this Consent Decree,
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shall be wholly excluded from such computation. The campaign
capture rate shall be calculated to two decimal points and
rounded to one decimal point, using the rounding procedures set
forth in ASTM E 29-67 (Reapproved in 1980) (cited in 40 C.F.R.
§ 86.088-28(a)(4)(i)(B)) and shall be reported to EPA.in a
campaign capture rate determination report within 180 days of the
close of the six-quarter period for the last emission remedial
campaign.
63. GM shall commence implementation of emission
remedial- projects consistent with the schedules contained in the
plans approved pursuant to Paragraph 65 at the $7.05 million
level and shall supplement the funding of the projects, if
required by Paragraph 61 of this Consent Decree, promptly after
the campaign capture rate has been determined.
64. Within 30 days of entry of this Consent Decree, GM
shall submit to the United States an emission remedial project
plan describing in detail the steps to be taken to implement the
emission remedial projects. The emission remedial project plan
shall contain a detailed description of the program, including
<
the expected reductions in the emission of air pollutants, the
amount of money to be spent on administrative and other costs not
directly related to reducing the emission of air pollutants, and
the expected time frames for commencing and completing projects.
Each date for commencement of a remedial project included in the
,i*
remedial project plan shall be the earliest practicable date,
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given the nature of the project, for commencement of the project
after EPA approval of the emission remedial project plan.
65. The United States shall review and approve or
disapprove the proposed emission remedial project plan within 30
days of receiving it. If the emission remedial project plan is
disapproved, the United States shall provide an explanation as to
why it is being disapproved along with suggestions for
modifications to the plan. GM shall have 30 days to revise its
emission remedial project plan to incorporate those suggestions
or to request that the matter be resolved through the dispute
resolution provisions in Section X of this Consent Decree.
66. Any modification to the emission remedial project
plan after it has been approved by the United States must receive
the written consent of both parties.
67. The emission remedial projects shall be completed
consistent with the schedule set out in the emission remedial
project plans approved pursuant to Paragraph 65 of this Consent
Decree, but in no event shall completion of any program be
scheduled to occur after November 30, 1999.
68. GM shall not use or rely on the emission
reductions generated as a result of projects undertaken pursuant
to the emission remedial project plan in any Federal or State
emission averaging, banking, trading or other emission compliance
program.
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69. GM shall: (1) allow EPA access, at reasonable
times and with reasonable advance notice, to any GM facilities
where emission remedial projects are being implemented pursuant
to this Consent Decree; and (2) respond to reasonable requests by
EPA for information on the implementation of such emission
remedial projects.
70. GM shall maintain legible copies of documentation
underlying research and data for all documents submitted to the
United States pursuant to the approved emission remedial project
plan until termination of this Consent Decree pursuant to
Paragraph 112, and GM shall provide the documentation of any such
underlying research and data to the United States within fifteen
days of a request for such information.
71. GM shall submit to EPA an emission remedial
project completion report with respect to each project in an
approved plan within 120 days of completion of the project. Each
completion report shall identify the completed project, describe
the results achieved in implementing the approved emission
remedial^project plan, estimate the reductions in the emission of
air pollutants achieved by the project, and describe funding of
the project, including a break-out of administrative and other
costs not directly related to reducing the emission of air
pollutants.
72. In any pre-prepared written materials intended for
public dissemination and any pre-prepared broadcast announcements
28
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made by GM in reference to any emission remedial project
undertaken pursuant to this Consent Decree, GM shall include the
following language "[tjhis program is required by an agreement
with the United States Environmental Protection Agency." In
addition, GM shall make best efforts to include this statement in
other public announcements regarding any emission remedial
project.
73. GM shall submit the proposed plan and all notices
and reports required by this Consent Decree related to the
emission remedial projects to:
Director, Air Enforcement Division (2242A)
Office of Enforcement and Compliance Assurance
U.S. Environmental Protection Agency
401 M Street, S.W.
Washington, D.C. ,20460
Chief, Environmental Enforcement Section
Environment and Natural Resources Division
U.S. Department of Justice
1425 New York Avenue, N.W.
Washington, D.C. 20005
by first class mail.
C. Emission Testing Program
74. GM shall implement the emission testing program
set forth in Appendix D to this Consent Decree. The program will
apply to future configurations of the Subject Vehicle/Engines for
model years 1997, 1998, and 1999, as the term "model year" is
defined in 40 C.F.R. § 86.082-2. After the initial testing of
model year 1997 engine families, further testing (to be conducted
.""
only once a year, if necessary) under this Paragraph of a
29
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particular engine family will be required only in the following
circumstances: (l) addition of an accessory or timer-based
enrichment strategy; (2) changes to accessory or timer-based
enrichment strategies, as applicable, present in the vehicles or
engines involved in the initial testing that would increase the
degree, extent or likelihood of enrichment; or (3) other changes
to engine fueling strategy or emissions control systems employed
on vehicles involved in the initial testing that would, pursuant
to best engineering judgment, increase the impact on exhaust
emissions of carbon monoxide or hydrocarbons of a previously-
tested enrichment strategy. Further testing under this Paragraph
required by such other changes to engine fueling strategies or
emission control systems employed by engine families that were
initially tested under this Paragraph shall be limited to the
applicable engine and chassis dynamometer testing procedures
required for a specific enrichment timer- and/or accessory-based
strategy pursuant to Appendix D, including any custom dynamometer
schedules prepared in connection with the on-road testing
described in Appendix D, unless the other changes referred to
above increase emissions of carbon monoxide or hydrocarbons over
the prior vehicle configuration by more than 30 percent.
In determining whether such other changes increase emissions
from light-duty vehicles or heavy-duty vehicles subject to
chassis dynamometer testing under Appendix D, GM shall compare
the average results of US06 tests conducted for the vehicles or
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engines in the two relevant configurations. In determining
whether such other changes increase emissions by more than 30 per
cent from heavy-duty engines subject to engine dynamometer
testing under Appendix D, GM shall compare the average results of
FTP transient tests conducted for-the vehicle or engines in the
two relevant configurations.
Any further annual testing required under any portion of
this Paragraph shall be commenced at a time consistent with the
requirements of Appendix D relating to on-road vehicle or engine
testing in the month of July or August.
D. Alternate Mapping
75. GM shall not make any unauthorized modification to
any HDGE used for mapping when testing the engine for the purpose
of seeking a certificate of conformity. GM shall report to EPA
the information regarding alternate mapping used in certification
or selective enforcement audit testing that is required to be
maintained pursuant to EPA regulations. GM shall not use the
^
jumper TPS when mapping engine's during certification or auditing
of HDGEs after model year 1996.
76. Nothing in these provisions shall alter, in any
way, GM's obligations to comply with all applicable'reporting
requirements found in the EPA regulations under Title II of the
Act, 42 U.S.C. §§ 7521-7590.
-------
VII. CIVIL PENALTY
77. GM shall pay to the United States $11 million
($11,000,000) in civil penalties within 15 days of entry of this
Consent Decree. Late payment of the civil penalty is .subject to
interest and fees as specified in 31 U.S.C. §3717.
78. Payment shall be made by Electronic Funds
Transfers by 4:00 p.m. Eastern Time on the due date to the
Department of Justice lockbox bank in accordance with specific
instructions to be provided to GM upon entry of this Consent
Decree and shall reference Department of Justice Case No.
90-5-2-1-2011 and the civil action number of this matter. GM
shall transmit notice of such payments to the United States and
EPA.
79. Penalty payments made pursuant Paragraph 77 of
this Consent Decree are civil penalties within the meaning of
Section 162(f) of the Internal Revenue Code, 26 U.S.C. § 162(f)
and are not tax deductible for the purposes of Federal Law.
VIII. STIPULATED PENALTIES
80. GM will pay stipulated penalties to the United
States for failure by GM to comply with the terms of this Consent
Decree as follows:
a. for failure to certify commencement of the
remedial campaign plan by the date specified in the approved
remedial campaign plan, $2,500 per day.
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b. for failure to certify substantial completion
of the remedial campaign {including submission of a campaign
capture rate determination report) to the United States by the
date within the time specified in Paragraph 62 of this Consent
Decree, $2,500 per day.
c. for failure to submit an emission remedial
project plan proposal to the United States within the time
required by Paragraph 64 of this Consent Decree, $2,500 per day.
d. for failure to certify substantial completion
of emission remedial project plans (including submission of an
emission remedial project completion report) within the time
required by Paragraph 71 of this Consent Decree, $2,500 per day.
e. for failure to submit a quarterly report
within the time required by Paragraph 103, $500 per day;
f. for failure to supplement a quarterly report
within 30 days after receiving notice from EPA that information
required to be included in any quarterly report by Paragraph 103
of this Consent Decree was omitted from such report, $500 per
day.
81. Stipulated penalties are not the United States'
exclusive remedy for GM's violation of this Consent "Decree. The
United States reserves the right to pursue any other remedies to
which it is entitled, including, but not limited to, additional
injunctive relief for GM's violations of the Consent Decree or
**
the Actr.
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82. GM will pay stipulated penalties upon written
demand by the United States Department of Justice within 30 days
after GM receives such demand, or if the dispute resolution
provisions of Section X are invoked and GM is determined to be
liable at the conclusion of that process, GM will pay stipulated
penalties within 31 days after completion of the Section X
dispute resolution process. Stipulated penalties shall be paid
by cashier's or certified check, payable to the "Treasurer,
United States of America," and sent to the United States Attorney
for the District of Columbia, Judiciary Center Building, 555
Fourth Street, N.W., Washington, D.C. 20001, referencing the
civil action number of this matter. A copy of the transmittal
letter and check shall be sent to the United States and EPA.
83. Stipulated penalties shall continue to accrue
during any dispute resolution process. Should GM dispute its
obligation to pay part or all of a stipulated penalty, it may
place the disputed amount demanded by the United States in a
commercial escrow account pending resolution of the matter and
request that the matter be resolved through the' dispute
resolution provisions in Section X of this Consent Decree. In
the event that the Court resolves the dispute in GM's favor, the
escrowed amount plus accrued interest shall be returned to GM.
IX. FORCE MAJEURE
84. A Force Majeure event is an event resulting from
circumstances beyond the control of GM or any entity controlled
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by GM that causes or may cause a delay in compliance with any
provision of this Consent Decree. For purposes of Paragraphs 48-
52, inclusive, of this Consent Decree, with respect to GM's
.<*.
obligation to implement the remedial campaign for California 4.9L
vehicles, CARS's failure to approve, or delay in approving, the
remedial campaign plan for California 4.9L vehicles shall be
deemed a Force Majeure event for so long as GM is complying with
the requirements of those Paragraphs of this Consent Decree. If
a Force Majeure event occurs, GM shall notify the United States
in writing as soon as practicable, but in any event within 30
days of when GM first knew of the event or should have known of
the event by the exercise of due diligence. In this notice GM
shall specifically invoke the Force Majeure provisions of this
Consent Decree and describe the anticipated length of time the
delay may persist, the cause or causes of the delay, and the
measures taken or to be taken by GM to prevent or minimize the
delay and the schedule by which those measures will be
implemented. GM shall adopt all reasonable measures to avoid and
minimize such delays.
85. The United States may render GM's force majeure
rights voidable as to the specific event for which GM has failed
to comply with such notice requirement, and, if voided, such
rights shall be of no effect as to the particular event involved.
All issues between the parties respecting the timeliness or
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adequacy of the notice required by this Section are subject to
the Dispute Resolution provisions in Section X of this Decree.
86. The United States shall notify GM in writing of
its agreement or disagreement with GM's claim of a delay or
impediment to performance within 30 days of receipt of the force
majeure notice required by this Section. If the United States
agrees, the parties shall stipulate to an extension of the
particular compliance requirement(s) affected by the delay. Such
stipulation shall be submitted as a modification to this Consent
Decree pursuant to the modification procedures established in
this Consent Decree. GM shall not be liable for stipulated
penalties for the period of any such delay.
87. If the United States does not agree with GM's
claim of a delay or impediment to performance, either party may
submit the matter to the Court for resolution through the dispute
resolution provisions in Section X of this Decree. If the Court
determines that the violation has been or will be caused by
circumstances beyond the control of GM or any entity controlled
. by GM, including its contractors, GM shall be excused as to that
violation and delay (including stipulated penalties for that
period).
88. In any dispute before the Court pursuant to the
Dispute Resolution provisions of Section X of this Decree, GM
shall bear the burden of proving the existence and duration of
.-^
the claimed force majeure. An extension of the compliance date
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based on a particular event shall result in extension of
subsequent compliance dates to the extent that the delay in
subsequent compliance is caused by the delay resulting from the
Force Majeure event.
89. Unanticipated or increased costs or expenses
associated with the performance of GM's obligations under this
Decree, in and of themselves, do not constitute Force Majeure
events.
X. DISPUTE RESOLUTION
90. The dispute resolution procedures provided by this
section shall be available to resolve all disputes arising under
this Consent Decree, provided that the party making such
application has made a good faith attempt to resolve the matter
with the other party.
91. The dispute resolution procedure required herein
is invoked upon written notice by one of the parties to this
Decree to the other advising of a dispute pursuant to this~
Section. The notice shall describe the nature of the dispute,
and shall state the noticing party's position with regard to such
dispute. The party receiving such a notice shall acknowledge
receipt of the notice and the parties shall expeditiously
schedule a meeting, to occur not later than seven days from the
receipt of such notice, to discuss the dispute informally in
accordance with this Section.
37
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92. Disputes submitted to dispute resolution shall, in
the first instance, be the subject of informal negotiations
between the parties. Such period of informal negotiations shall
not extend beyond 30 calendar days from the date of the first
meeting between representatives of the United States and GM,
unless the parties' representatives agree to extend this period.
93. In the event that the parties are unable to reach
agreement during the informal negotiation period, either party
may file with the Court a petition which describes the nature of
the dispute. The other party shall respond to the petition
within 30 calendar days of filing. Where the nature of the
dispute is such that a more timely resolution of the issue is
required, the time periods set out in this section may be
shortened upon mutual agreement by the parties to the dispute.
Additionally, if mutual agreement cannot be achieved, the notice
and informal negotiation periods set out in this section may be
shortened upon notice of one of the parties. In such event the
response date shall be as provided by Federal Rules of Civil
Procedure or as provided by the Court.
94. As part of the resolution of any dispute submitted
to dispute resolution, the parties may ask the Court to extend or
modify the schedule for meeting any deadlines under this Consent
Decree, the approved remedial campaign plan, or the approved
emission remedial project to account for the delay that occurred
.*»
as a result of dispute resolution.
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XI. GENERAL PROVISIONS
A. Effect of Settlement
95. Compliance with the terms of this Consent Decree
does not guarantee compliance or excuse noncompliance with any
applicable Federal, State or local law or regulation, except as
set forth below.
96. Satisfaction of all of the requirements of this
Consent Decree constitutes full settlement of and shall resolve
all civil liability of GM to the United States for (l) the claims
alleged in the Complaint and (2) all claims under Title II of the
Act, 42 U.S.C. §§ 7521-7590, and-regulations promulgated
thereunder based on alleged violations occurring prior to lodging
of this Consent Decree (i) that the heavy-duty engines covered by
this Decree are equipped with timer-based fuel strategies that
are prohibited parts or components under Section 203(a)(3) of the
Act, 42 U.S.C. § 7522 or defeat devices as defined in 40 C.F.R.
§§ 86.082-2 or 86.094-2; (ii) that the LDVs covered by this
Decree are equipped with climate control or air
conditioning-based fueling strategies that are prohibited parts
or components under Section 203(a){3} of the Act, 42 U.S.C.
§ 7522 or defeat devices as defined in 40 C.F.R. §§'86.082-2 or
86.094-2; and (iii) that arise from the certification and/or
auditing of, responses to information requests regarding, or the
incorporation in, and/or reporting of, alleged accessory or
***
timer-based AECDs and/or defeat devices in, GM's MY 1993-1995
39
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1.9L vehicles, MY 1994-1995 3.4L vehicles, MY 1993-1995 4.0/4.6L
vehicles, MY 1991-1992 4.5L vehicles, MY 1991-1995 4.9L vehicles
and MY 1989-1996 Subject HDGEs.
97. EPA shall not base a determination under Section
207(c)(1) of the Act, 42 U.S.C. § 7541, that any class or
category of the Subject Vehicles/Engines does not conform to the
regulations prescribed under Section 202 of the Act, 42 U.S.C. §
7521, or a determination under Section 206 of the Act, 42 U.S.C.
§ 7525, to suspend or revoke a certificate of conformity, on the
observed or projected emission performance of the 4.9L vehicles
or the Other LDVs with air conditioning or climate control
accessories engaged, or on the observed or projected emission
performance of the MY 1989 through 1996 Subject HDGEs except by
using the mapping procedure used by GM during certification of
those engines.
98. GM has indicated its intention to proceed
expeditiously to satisfy the requirements of the Act and of this
Consent Decree and may have taken certain measures, such as
completing validation testing, submitting a remedial campaign
plan, and submitting an emission remedial project plan, prior to
the date of entry of this Consent Decree. Nothing herein is
intended to require that such actions be repeated after entry of
the Consent Decree, provided that such measures fully comply with
the requirements of this Consent Decree.
40
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B. Third Parties
99. This Consent Decree does not.limit, enlarge or
affect the rights of any party to the Consent Decree as against
any third parties.
C. Costs
100. Each party to this action shall bear its own
costs and attorneys' fees.
D . p^H Ij. c pQC'V1**" t S
101. All information and documents submitted by GM to
the United States pursuant to this Consent Decree shall be
subject to public inspection, unless identified and supported as
confidential business information by GM in accordance with 40
C.F.R. Part 2.
E. Public P""""*"*-**? Protection of Public Interest
102. The parties agree and acknowledge that final
approval by the United States and entry of this Consent Decree is
subject to the requirements of 28 C.F.R. § 50.7.' The United
States also may withdraw or withhold its consent if the United
States receives information during the public comment period that
leads it to believe that GM has not acted in good faith in
performing or evaluating validation testing of the Remedy PROMs
or in proposing any modification of the Remedy PROMs pursuant to
Paragraphs 44-47 and 52 of this Consent Decree. GM consents to
the entry of this Consent Decree without further notice.
41
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103. In addition to any other requirement of this
Consent Decree, GM shall submit to EPA written quarterly progress
reports that: (a) describe the actions which have been taken
toward achieving compliance with this Consent Decree during the
previous quarter; (b) include a summary of any validation testing
conducted by GM; (c) include the information required by
Paragraphs 53 and 54 of this Consent Decree; (d) include a
summary of any tests conducted pursuant to the emissions test
program and the results thereof; (e) describe all actions,
including, but not limited to, actions relating to implementation
of the remedial campaign plan, the emission remedial project
plan, and the emissions test program, which are scheduled for the
next six weeks; and (f) include the current remedial campaign
capture rate. GM shall submit an initial progress report to EPA
within 45 days of the close of the quarter during which this
Consent Decree is entered and within 15 days of the close of each
quarter thereafter, through and including the quarter in which
this Consent Decree is terminated pursuant to Section XII of this
Consent Decree. If requested by EPA, GM shall provide briefings
for EPA to discuss the progress ,of implementation of this Consent
Decree.
104. Each submission, report, and plan required by
this Consent Decree shall be accompanied by a transmittal letter
refereneing'the appropriate Paragraph of this Consent Decree or
42
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the appropriate portion of an applicable plan. GM shall, through
a duly authorized representative having knowledge of the report's
or submission's contents, sign and certify under 28 U.S.C. § 1746
that the information contained in the report or submission is to
the best of the representative's knowledge and belief true,
accurate, and complete. GM shall not object to the admissibility
in evidence of any such reports in any proceeding to enforce this
Consent Decree.
105. Compliance with the reporting and notification
requirements of this Consent Decree shall not relieve GM of its
obligation to comply with any other reporting and notification
requirements imposed by any applicable federal, state, or local
laws, regulations, or permits.
106. Unless otherwise provided herein, reports,
submissions, notifications to, or communications with the United
States, EPA, or GM shall be deemed submitted on the date they are
postmarked and sent by first class mail, overnight receipt mail
service or by certified or registered mail, return receipt
requested. Except as otherwise provided herein, when written
notification to or communication with the United States, EPA, or
GM is required by the terms of this Consent Decree, it shall be
addressed as follows:
43
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As to the United States:
Chief
Environmental Enforcement Section
Environment and Natural Resources Division
U.S. Department of Justice
P.O. Box 7611, Ben Franklin Station
Washington, D.C. 20044
As to the U.S. EPAr
"Director, Air Enforcement Division (2242A)
U.S. Environmental Protection Agency
401 M Street, S.w.
Washington, D.C. 20460
As to General Motors Corporation;
Practice Area Manager
Environmental and Energy Section
Legal Staff
General Motors Corporation
Room 12-149 (Mail Code: 482-112-149)
3044 West Grand Boulevard
Detroit, Michigan 48202
Director
Vehicle Emissions and Fuel Efficiency
Environmental and Energy Staff
General Motors Corporation
Room 12-268 {Mail Code 482-112-267)
3044 West Grand Boulevard
Detroit, Michigan 48202
107. Any party may change the address for providing
notices to it by serving all other addressees identified above
with a notice setting forth such new address.
G. Modification
44
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108. There shall be no modification of this Consent
Decree without written approval by both parties to this Consent
Decree and Order of the Court.
H. Continuing Jurisdiction
109. The Court retains jurisdiction of this case after
entry of this Consent Decree to enforce compliance with the terms
and conditions of this Consent Decree and to take any action
necessary or appropriate for its interpretation, construction,
execution, or modification. Any party may apply to the Court for
any relief necessary to construe or effectuate this Consent
Decree.
I.. Confidential Business Information
110. The United States agrees to lodge Appendices A
and B (each reflecting the software and calibration changes to be
included in the Remedy PROMs) under seal to protect GM's claim to
protection of the information contained therein as confidential
business information pending the Court's determination that
sealing these documents is appropriate. The United States agrees
that these documents contain confidential business information
under applicable law and will not object to GM's motion for
filing of Appendices A and B under seal upon entry of this
Consent Decree by the Court. The parties agree that general
descriptions of the contents of documents lodged or filed under
seal shall be included in publicly filed or available materials
45
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as necessary to fully describe the settlement set forth in this
Consent Decree.
J. Other Laws
111. Except as provided in Paragraph 96 of this
Decree, (1) nothing in this Consent Decree shall relieve GM of
its obligation to comply with applicable Federal, State and.local
laws and regulations and (2) this Consent Decree is not intended
to release the liability, if any, of any person under criminal
law or under any Federal, State, or local law or regulation.
XII. TERMINATION
112.. This Consent Decree may terminate upon further
order of this Court six months after GM certifies that it has (a)
paid in full the civil penalties and any accrued interest imposed
by this Consent Decree; (b) paid in full any stipulated penalties
imposed by this Consent Decree; and (c) completed all other
requirements of this Consent Decree. If the United States does
not dispute GM's certification, then the parties shall", within 90
days, jointly petition the Court for termination of this Consent
Decree. If the United States disputes GM's certification, then
the parties shall, within 30 days of certification, enter dispute
resolution under Section X.
46
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United. States v. General Motors Corporation Consent Decree --
Signature Page
FOR PLAINTIFF, UNITED STATES OF AMERICA
///rV*r
Dated:
Lois 3. Jschiffer
Assistant Attorney General
Environment and Natural Resources Division
U.S. Department of Justice
10th & Pennsylvania Avenue, N.W.
Washington, D.C. 20530
Bruce C. Buckheit
Senior Counsel
Environment and Natural Resources Division
U.S. Department of Justice
1425 New York Avenue, N.W.
Washington, D.C. 20005
Dated
Dated:
Thomas P. Carroll (Bar No. 388593)
Trial Attorney, Environmental Enforcement Section
Environment and Natural Resources Division
U.S. Department of Justice
1425 New York Avenue, N.W,
Washington, D.C. 20005
47
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United States v. General Motors Corporation Consent Decree
Signature Page _
ERIC H. HOLDER, JR.
United States Attorney
District of Columbia
Dated:
Mark Nagle (Bar No. 416364)
Dan Van Horn (Bar No. 324092)
Assistant United States Attorneys
Judiciary Center Building
555 Fourth Street, N.W.
Washington, D.C. 20001
(202) 514-7700
48
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United States v. General Motors Corporation Consent Decree --
Signature Facie
Dated:
Steven
Assistant"Administrator
Office of Enforcement
and Compliance Assurance
U.S. Environmental Protection Agency
401 M Street, S.W.
Washington,/DTCx 20460
Dated:
E. Bruce Fergifsson
Attorney-Advisor
Air Enforcement Division
Office of Regulatory Enforcement
U.S. Environmental Protection Agency
401 M Street, S.W.
Washington, D.C. 20460
Dated: ///?0
David J. 'Gottfried (Bar No. 420801)
Attorney-Advisor
Air Enforcement Division
Office of Regulatory Enforcement
U.S. Environmental Protection Agency
401 M Street, S.W.
Washington, D.C. 20460
49
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NOV-30-95 THU 16:02 LEGAL STAFF FAX NO. 13135562199 P. 02/02
KU-38-1995 12:11- GD8C URSHINOTON EC 202 off? 0539 P.a5Bx*E0
United States v. General Motors Corporation Consent Decree
Signature Page _
FOR DEFENDANT, GENERAL MOTORS CORPORATION
Dated:
A. Hester
Legal Staff
General Motors Corporation
304« w. Grand Blvd.
Detroit. Michigan 48202
David w. Schnut^jf f
Legal Staff U
General Motors Corporation
3044 w. Grand Blvd.
Detroit, Michigan 43202
So entered in accordance with the foregoing this day of
, 1996.
United States District Judge
50
TOTAL P.£350
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Description of Appendix A and Appendix B to Consent Decree
The Appendices describe in excess of two dozen specific
changes to the software and calibration in different sets of 4.9L
Cadillacs. These changes include:
(a) elimination of the previously employed enrichment based on
whether the climate control button has been engaged. To prevent
the possibility of low speed stalls, some enrichment is retained
when the air conditioning is actually engaged and the vehicle is
operating at low speeds;
(b) reducing the amount of enrichment added when the air
conditioning is operating and the vehicle speed is low, but under
conditions of temperature and load where the full enrichment is
not needed; and
(c) reducing the amount and duration of a fuel enrichment that
had been added just prior to engagement of the air conditioner
compressor.
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11/28/95 19:03 Q202 879 5200 4202 KIRKLAND&ELLIS @ 002/005
Appendix C Emissions Remedial Projects
Following is the list of possible emissions remedial
projects developed by General Motors, and the United States during
preparation of the Consent Decree. Pursuant to paragraph 60 of the
Decree, either party may suggest additional projects for inclusion
in this Appendix.
l. Accelerated vehicle retirement projects. Accelerated
vehicle retirement projects would involve the purchase and
scrappage of older model-year vehicles. Eligibility for
participation in the program would not be limited to GM vehicles.
Criteria for purchasing the vehicles would ensure that the vehicles
retired were from the current in-use vehicle population.
2. Off-hiohwav alternative-fual_p_r_Qpul9ion systems. Under
this project, off-highway alternative-fuel technologies would be
developed and produced for use on vehicles that are currently not
regulated in the -same manner as other mobile sources, such as
airport service vehicles.
3. High-mileaae emissions control sya±eni_^repairs. This
project would provide free replacement of certain emissions control
components on high-mileage vehicles at dealerships. The free
replacements would be performed at the same time the vehicles were
brought in for service for other reasons. The replacements would
be made at the vehicles owners' option. The costs of the
replacement would be paid by GM.
4, Noble-metal catalytic coatings r for vehicle radiators*
Under this project, vehicles would be equipped with radiators that
had been treated with noble-metal formulations designed to promote
ozone reduction. The vehicles that would be included in the
program would be vehicles registered or normally operating in ozone
nonattainment areas.
5. Accelerated o£f-road engine retirement projects. Under
this project, older model-year equipment powered by small gasoline
engines (such as lawnmowers and generator sets) would be purchased
for scrappage. Equipment owners would receive cash payments for
old equipment or credit towards hew equipment meeting the emissions
standards for such equipment that begin to take effect in 1997.
6. Alternative-fuel achool buses or vehicles.. Under this
project, funds would be provided to local governments to obtain
alternative-fuel school buses or other vehicles. The program would
be focussed on ozone or carbon monoxide nonattainment areas.
7, Advanced vehicle battery technology project. under this
project, vehicles equipped with battery technologies that meet or
exceed the U.S. Advanced Battery Consortium criteria for electric
vehicle powerplant systems would be deployed in ozone nonattainment
areas." The batteries would employ technologies other than lead-
acid battery technology.
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United States v. General Motors Corporation Consent Decree
Appendix D
Overview
This document outlines the test program to be utilized to evaluate
the emissions ' impact of any accessory- or timer-based fuel
enrichment calibration strategies that are used in the following. GM
light duty vehicle engine families from the 1997 to 1999 model
years:
VGM1.9V8GKEK (1997 MY Engine Family Name)
VGM1.9VJGKEK (1997 MY Engine Family Name)
VGM4.6VJGFEK (1997 MY Engine Family Name)
The general form of this proposal is a process for:
1. Defining the timer- based fuel enrichment strategies used
in each of the engine families which are subject to this
agreement.
2. Selecting the test vehicles and test process to be used
to determine the emissions impact of each of the
accessory- and timer- based enrichment strategies.
3. Conducting the vehicle tests and analyzing and reporting
the results to the EPA.
The detailed requirements for each of the above deliverables are
defined in the following sections of the document.
Defining Timer-Based Fuel Enrichment Strategies
For the purpose of distinguishing the relevant timer-based fuel
enrichment strategies which are included in this test plan from the
wide range of time-based or time-correlated features and algorithms
necessarily existent in a real-time computer based control system,
GM will use the following definition of timer based fuel enrichment
strategies:
1. The strategy has the effect of shifting the control of
fuel delivery from a stoichiometric or closed loop mode
to a mode of commanded enrichment from the otherwise
applicable A/F ratio, where additional fuel will be
delivered, but does not include periodic closed loop
variations in commanded A/F ratio that are a part of
normal closed loop operation.
2. The strategy uses as an integral component of its design
the monitoring and accumulation of time intervals or
counts during which one or more other sensed parameters,
. including throttle position, manifold pressure, engine
speed, vehicle speed, transmission ratio, engine airflow
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Light Duty Vehicle Evaluation Program
rate, and coolant temperature, transition to or remain
within calibrated operating ranges.
3. The strategy links the enablement or disablement of the
commanded enrichment mode to a timer counting up to or
down from a calibrated threshold value for the timer or
counter being monitored or accumulated.
GM will meet with designated EPA representatives to review the
pertinent timer-based fuel enrichment calibration strategies
included in each of the engine families which are subject to this
agreement. At least one month prior to this meeting, GM will
provide to EPA the Fuel Control Definition section of the Software
Functional Definition (if such exists) or the nearest equivalent
thereto and the corresponding software code and calibrations for
each of the subject engine families. The rules pertaining to
confidential business information found at 40 CFR Part 2, Subpart
B shall be applicable to such information provided by GM. GM will
provide a copy of all material presented to EPA at the meeting.
To the extent that GM implements new accessory or timer-based fuel
enrichment calibration strategies on 1997, 1998 or 1999 model year
engine families covered by this agreement, GM will provide the
above information to EPA at the time of certification or running
change application.
Selecting the Test Vehicles and Test Processes
For each of the subject engine families, at the completion of the
EPA review of GM's material defining the accessory- and timer-based
fuel enrichment strategies, GM will procure one (1) production
vehicle to conduct the testing required under this agreement. The
vehicle will be selected on the basis of the configuration expected
to have the largest increase in emissions from accessory- and
timer-based fuel enrichment strategies based on an engineering
evaluation of each individual enrichment strategy. Where there is
no anticipated difference in emissions impact within an engine
family, or where a family has multiple enrichment strategies that
lead to different vehicle selections based on the criterion
outlined above, the configuration employed will be one that
represents the expected worst case emissions configuration based on
certification protocols.
GM will-select the particular test vehicle which satisfies these
requirements on a random basis from regular production to the
extent that the vehicle configuration selected is available from
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Ltoht Duty Vehicle Evaluation Program
regular production, as is done for Selective Enforcement Audit test
orders. GM will then transport the selected vehicle to the GM
Milford Proving Grounds and conduct a minimum of 4,000 miles (and
no more than 4,500 miles) of AMA mileage accumulation on the test
vehicle for break-in purposes.
Prior to any mileage accumulation, GM will provide EPA with a copy
of the vehicle build manifest which describes the vehicle, engine,
emission-control, system and drive train. EPA will be allowed ten
(10) working days to review this document.
No maintenance or adjustment to any engine or vehicle component and
no emission or other parameter interrogation/evaluation will be
permitted without the advanced approval of EPA.
Evaluation of the accessory- and timer-based fuel enrichment
calibration strategies shall be based on chassis dynamometer and
on-road emissions testing, using the same vehicle for each engine
family. GM will commence LDV dynamometer testing under this
agreement within 28 days of the completion of all on-road testing.
On-Road Testing
The following on-road test process will be used for each vehicle in
the test program:
Testing will be conducted during the months of July or
August at daytime periods of peak temperature and
relatively unimpeded traffic flow (nominally 10:30 am to
3:30 pm) with no visible moisture on pavement.
A video of the test run will be recorded which shows the
prevailing traffic conditions ahead of the test vehicle.
The test vehicle will be driven over the road route
described in Attachment I.
Prior to conducting the road test, the vehicle will be
driven over the road route (preconditioned) and soaked
for 12 to 36 hours to incorporate a cold start in the
emission test. The onboard measurement system may be
operated during the preconditioning drive to verify
proper operation of the system and the onboard system
should not be altered after preconditioning. A copy of
"* any data recorded during preconditioning must be provided
to EPA.
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Light Duty Vehicle Evaluation Program
For vehicles .with accessory-based enrichment
calibrations, one run over the test route will be made
with accessories off and one run will be made with the
relevant accessory engaged. Vehicles without accessory-
related enrichment strategies will make one run through
the test route.
The vehicle will be driven to match prevailing traffic
flow at the time of the test, and will be operated in
compliance with all applicable motor vehicle codes and
regulations. Traffic permitting, the vehicle will
maintain the posted speed limits or be operated at wide-
open throttle in an attempt to maintain the posted speed
limits.
The driver is not to have access to any displays or other
feedback of vehicle operating parameters during the road
testing except those normally provided to the purchaser
of the vehicle.
Driving of test vehicles may be conducted by GM employees
or GM contractors, at GM's option.
On-road emissions will be measured using a system
comparable to the EPA portable emissions testing system,
as defined in Attachment II. The system assembled by GM,
or its contractors, will be subject to review and
approval by EPA.
The engine data and emission measurements will be
simultaneously recorded at 1 second intervals in an
electronic format {e.g., floppy disk) and made available
to EPA on the internet by midnight of the same day (may
be accomplished by posting information on a GM web
accessible to EPA) or by providing it to a designated EPA
representative if present on the test site.
For all on-road testing, GM or its contractor will
document the date, start time, GVW, humidity and starting
ambient temperature (humidity and temperature as measured
at the nearest airport) ; and record at l Hz or a multiple
integral of l Hz the throttle position, engine speed,
vehicle speed, MAP, MAT, measured A/F ratio, the block
learn cell, timer counts, and standard data format from
the EPA portable emissions testing system, and catalyst
front bed temperature.
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Light Duty Vehicle Evaluation Program
An EPA representative will be available to approve
variances from the test plan (in writing) and to verify
that-the times and ambient conditions are acceptable.
GM may, at its option, hire a contractor to perform any of its on-
road testing requirements under this agreement. In such a case, GM
will incorporate this test plan into the scope of work and provide
a copy of this Consent Decree and this appendix to the contractor.
GM will provide EPA with a scope of work document setting out in
detail all test procedures, equipment to be used, and other
information necessary to assure compliance with this agreement.
SPA shall have 15 :days to review and approve the scope of work
document. If EPA disagrees, it will notify GM within 15 days and
submit proposed modifications. If GM accepts these modifications
it may contract the on-road testing out to a third-party
contractor. Any further disagreement regarding this issue may be
submitted by either party to dispute resolution under Section IX of
the Consent Decree.
Substantial completion of the EPA-approved work plan by GM or its
contractors or both shall satisfy GM's obligations with respect to
the on-road testing under this portion of the Decree.
- Dynamometer Testing of Accessory-Based Enrichment
The following evaluation process will be used to evaluate accessory
based fuel enrichment calibration strategies:
For all accessory-based fuel enrichment strategies,
conduct one (l) standard FTP baseline test pursuant to 40
C.F.R. Part 86 and one (1) cold US06 at 76°F +/- 2
degrees.
For air conditioning accessory-based fuel enrichment
strategies, conduct a standard FTP and one (1) cold US06
at 76°F +/- 2 degrees, except that the air conditioning
system controls will be set as follows: vehicles
equipped with climate control systems, mode setting to
"MAX" cooling, temperature setting to lowest temperature,
and fan speed to "AUTO"; vehicles equipped with manual
air conditioning systems, mode setting to "MAX" cooling,
temperature set to lowest temperature, and fan speed set
to second-lowest speed setting on fan switch or higher.
."*
" For accessory-based fuel enrichment strategies other than
air conditioning, an engine family subject to this
agreement equipped with one or more driver selectable
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Light Duty Vehicle Evaluation Program
accessories that have been defined as an enabling
component in the accessory-based fuel enrichment
strategies for the engine family will be evaluated. An
additional standard FTP will be conducted for each of the
accessories meeting the above condition, except that the
accessory will be operated in a representative fashion
during the emissions test.
At least two replicates of each of the baseline and "A/C-
on" or other "accessory-on" tests will be conducted.
During all emissions tests, second by second measurements
of HC, CO, NOx, measured A/F ratio, MAP and MAT and
monitoring of throttle position and engine speed shall be
recorded in addition to bag samples taken. All tests
conducted will simultaneously use the portable data
acquisition system.
Dynamometer Testing of Timer-Based Enrichment
For those vehicles with timer-related enrichment strategies, GM
will conduct testing over the US06 cycle. Where US06 data on the
relevant engine families exists through the FTP revision process,
that data will be substituted for this testing requirement and
provided to EPA at the same time the review outlined above is
provided.
The following general chassis dynamometer test sequence will be
used to conduct the timer-related based fuel enrichment calibration
strategy testing:
Conduct an FTP in accordance with 40 CFR Part 86
(baseline test).
Drain the vehicle fuel tank.
Fill to 40% capacity with 9 psi RVP Federal certification
fuel.
Soak vehicle for 12 to 36 hours at 68°F to 86°F.
Drive one LA4 warmup cycle.
Drive one US06 preconditioning cycle.
,*
" Drive two US06 emissions test cycles.
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Light Duty Vehicle Evaluation Program
During all emission tests'; second by second measurements
of HC, CO, NOx, A:F ratio, MAP, and MAT and monitoring of
throttle position and engine speed shall be recorded in
addition to bag samples taken.
Dynamometer Simulation of On-Road Testing
GM will prepare one custom test cycle representing the speed,
normal road loading, acceleration and grade conditions encountered
during the 1-75 on-road testing for the 4.0/4.6L vehicle and one
1.9L vehicle tested on-road. For those vehicles with accessory-
related enrichment calibrations, the custom test cycle will be
based on the test route run made with the relevant accessory
engaged. GM will provide EPA with a copy of its test cycles seven
days prior to conducting tests over such a cycle.
GM will conduct three tests for each vehicle over the custom "1-75"
test cycle designed for each vehicle, except that an additional
test of the 1.9L shall also be done with the A/C off . GM will
follow the following guidelines for such testing:
For those vehicles with accessory-related calibrations,
the relevant accessory or accessories will be operated
over the cycle.
During the chassis dynamometer testing over the custom
cycles representing the 1-75 road route, GM will
simultaneously measure modal emissions using its standard
modal bench equipment and EPA's portable testing system
outlined in Attachment II.
GM will document the date, start time, test weight,
humidity and starting ambient temperature; and record at
1 Hz or an integral multiple of 1 Hz the throttle
position, engine speed, vehicle speed, MAP, MAT, measured
A/F ratio, the block learn cell, timer counts, and
standard data format from the EPA portable emissions
testing system, and catalyst front bed temperature, in
addition to bag samples taken.
For future accessory- or timer-based fuel enrichment strategies
where the above test processes would be inappropriate, GM will
develop and conduct an analogous test process to determine the
emissions impact of these strategies.
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Light Duty Vehicle Evaluation Program
:incr the Tests and Analyzing and
Review of GM's material defining the accessory- and timer-based
fuel enrichment calibration strategies and vehicle procurement
shall occur in time to allow on-road testing during the first
Summer after the start of production of all covered vehicle
families. Dynamometer testing shall be completed within 60 days of
the end of road "testing, but may be done anytime prior to the end
of 60 days. Vehicle procurement will proceed within one month of
the completion of the EPA review of GM' s material defining the
accessory based and fuel enrichment calibration strategies. At the
time of vehicle selection at the assembly plant, GM will provide
EPA representatives with a proposed schedule for the mileage
accumulation and testing phases of the process.
EPA representatives may make arrangements to observe any portion of
the mileage accumulation, any maintenance conducted or testing
process, scheduling such observations one week in advance of the
..observation date.
All testing shall be done using good engineering practice to ensure
the accuracy of test results. All on-road and dynamometer testing
shall be conducted using Federal certification fuel. If state or
local regulations prohibit or substantially interfere with the
dispensing of Federal certification fuel into the test vehicles, GM
shall promptly advise the United States, and the parties shall meet
to discuss how to resolve the issue.
All data shall be made available to EPA by midnight of the same day
on the internet (may be accomplished by posting information on a GM
web accessible to EPA) or by providing it to a designated EPA
representative if present on the test site.
Except as described in paragraph 74 of the Consent Decree,, this
will complete GM's obligations under the terms of this test plan.
After all testing is completed, if requested by EPA within ten
working days of GM's submittal of test data, GM shall loan any test
vehicles to EPA for up to four weeks. Otherwise, GM will be free
to reconfigure or dispose of the test vehicles.
8
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Heavy Duty Vehicle Evaluation Program
Overview
This document outlines the test program to be utilized to evaluate
the emissions impact of any time based fuel enrichment calibration
strategies that are used in the following GM heavy duty vehicle
engine families for model years 1997, 1998 and 1999:
VGM4.3CPGEAE (1997 MY Engine Family Name)
VGM5.7CPGEAE (1997 MY Engine Family Name)
VGM7.0CC5GAA (1997 MY Engine Family Name)
VGM7.4C5GAEA {1997 MY Engine Family Name)
VGM7.4C8GAEA (1997 MY Engine Family Name)
GM will certify that none of the HDGE families covered by the
Consent Decree has accessory based fuel enrichment strategies.
GM's future product plans may result in some of these engine
families being dropped from production or combined prior to the end
of this agreement.
The general form of this program is a process for:
1. Defining the timer-based fuel enrichment strategies used
in each of the engine families which are subject to this
agreement.
2. Selecting the test engines and test processes to be used
to determine the emissions impact of each of the counter
or timer-based enrichment strategies.
3. Conducting the tests and analyzing and reporting the
results to the EPA.
The detailed requirements of each of the above deliverables are
defined in the following sections of this document.
Defining the Timer Based Fuel Enrichment Strategies
For the purpose of distinguishing the relevant timer-based fuel
enrichment strategies which are included in this test plan from the
wide range of time-based or time-correlated features and algorithms
necessarily existent in a real-time computer based control system,
GM will^use -the following definition of timer based fuel enrichment
strategies:
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Heavy Duty Vehicle Evaluation Program
1. The strategy has the effect of shifting the control of
fuel delivery from a stoichiometric or closed loop mode
to a mode of commanded enrichment from the otherwise
applicable A/F ratio, where additional fuel will be
delivered, but does not include periodic closed loop
variations in commanded A/F ratio that are a part of
normal closed-loop operation.
2. The strategy uses as an integral component of its design
the monitoring and accumulation of time intervals or
counts during which one or more other sensed parameters,
including throttle position, manifold pressure, engine
speed, vehicle speed, transmission ratio, engine airflow
rate, and coolant temperature, transition to or remain
within calibrated operating ranges.
3. The strategy links the enablement or disablement of the
commanded enrichment mode to a timer counting up to or
down from a calibrated threshold value for the timer or
counter being monitored or accumulated.
GM will meet with designated EPA representatives to review the
pertinent timer-based fuel enrichment calibration strategies
included in each of the engine families which are subject to this
agreement. At least one month prior to this meeting, GM will
provide to EPA the Fuel Control Definition section of the Software
Functional Definition (if such exists) or the nearest equivalent
thereto and the corresponding software code and calibrations for
each of the subject engine families. The rules pertaining to
confidential business information found at 40 CFR Part 2, Subpart
B will be applicable to any information provided by GM. GM will
provide a copy of all material presented to EPA at the meeting.
To the extent that GM implements new timer-based fuel enrichment
strategies on future model year engines covered by this agreement,
GM will provide the above information to EPA at the time of
certification or running change application.
Selecting the Test Vehicles and Test Processes
For each of the subject engine families, GM will procure one (1)
production .-vehicle to conduct the testing required under this
agreement. For the VGM5.7CPGEAE engine family, GM will provide two
(2) production- vehicles, one equipped with an automatic
transmissions and one equipped with a manual transmission. For
10
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Heavy Duty Vehicle Evaluation Program
those engine families which are sold by 6M in complete vehicles, GM
will select a complete vehicle to represent the engine family. For
those engine families which are only sold by GM in incomplete
chassis or cab-chassis configurations for completion by a body
builder, GM will procure a complete vehicle incorporating the
selected engine family. The complete vehicle selected will be a
configuration suitable for the on-road testing required under this
agreement. Selection will be subject to review and approval by
EPA.
The vehicle for each family to be tested will be selected on the
basis of the configuration expected to have the largest increase in
emissions from timer-based enrichments based on an engineering
evaluation of each individual enrichment strategy, including an
assessment of the impact of transmission type (except for the
VGM5.7CPGEAE engine family). Where there is no anticipated
difference in emissions impact within an engine family, or where a
family has multiple enrichment strategies that lead to different
vehicle selections based on the criterion outlined above, the
configuration employed will be one that represents the expected
worst case emissions configuration based on. vehicle and engine
certification protocols.
GM will transport to or take delivery of the selected vehicle at
the GM Milford Proving Grounds and conduct a minimum of 4,000 miles
of AMA mileage accumulation for break-in purposes. Prior to any
mileage accumulation, GM will provide EPA with the build manifests
for the vehicle or incomplete chassis, which describes the vehicle,
engine, emission control system, and drive train, and all engine
and emission-control performance data acquired by GM for the test
engine. EPA will be allowed ten (10) working days to review this
document.
Evaluation of the timer-based fuel enrichment strategies in the
vehicles shall be done on the basis of on-road and, where
applicable, chassis dynamometer testing of the selected vehicle.
On-Road Vehicle Testing
The following on-road test process will be used for each vehicle in
the test program:
Testing will be conducted during the months of July or
August at daytime periods of peak temperature and
relatively unimpeded traffic flow (nominally 10:30 am to
3:30 pm) with no visible moisture on pavement.
11
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Heavy Duty Vehicle Evaluation Program
The vehicle will be loaded to at least 95% GVWR. If the
worst case vehicle selected is available with air
conditioning, the vehicle shall be tested with the air
conditioner in operation.
A video of the test run will be recorded which shows the
prevailing traffic conditions ahead of the test vehicle.
The test vehicle will be driven over the road route
described in Attachment I.
Prior to"conducting the road test, the vehicle will be
driven over the road route (preconditioned) and soaked
for 12 to 36 hours to incorporate a cold start in the
emission test. The onboard measurement system may be
operated during the preconditioning drive to verify
proper operation of the system and the onboard system
should not be altered after preconditioning. A copy of
any data recorded during preconditioning must be provided
to EPA.
Four tests will be run over the road route per vehicle,
with at least one from a cold start.
The vehicle will be driven to match prevailing traffic
flow at the time of the test, and will be operated in
compliance with all applicable motor vehicle codes and
regulations. Traffic permitting, the vehicle will
maintain the posted speed limits or be operated at wide-
open throttle in an attempt to maintain the posted speed
limits.
The driver is not to have access to any displays or other
feedback of vehicle operating parameters during the road
testing except those normally provided to the purchaser
of the vehicle.
Driving of test vehicles may be conducted by GM employees
or GM contractors, at GM's option.
On-road emissions will be measured using a system
comparable to the EPA portable emissions testing system,
as defined in Attachment II. The system assembled by GM,
or its contractors, will be subject to review and
approval by EPA.
12
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Heavy Duty Vehicle Evaluation Program
The engine data and emission' measurements will be
recorded at 1 second intervals in an electronic format
(e.g., floppy disk) and made available to EPA by midnight
of the same day on the internet (may be accomplished by
posting information on a GM web accessible to EPA) or by
providing it to a designated EPA representative if
present on the test site.
For all on-road testing, GM or its contractor will
document the date, start time, GVW, humidity and starting
ambient temperature (humidity and temperature as measured
at the nearest airport) ; and record at 1 Hz or a multiple
integral of 1 Hz the throttle position, engine speed,
vehicle speed, MAP, MAT, measured A/F ratio, the block
learn cell, timer counts, and standard data format from
the EPA portable emissions testing system, and catalyst
front bed temperature.
«
An EPA representative will be available to approve
variances from the test plan (in writing) and to verify
that the times and ambient conditions are acceptable.
GM may, at its option, hire a contractor to perform any of its on-
road testing requirements under this agreement. In such a case, GM
will incorporate this test plan into the scope of work and provide
a copy of the Consent Decree and this appendix to the contractor.
GM will provide EPA with a scope of work document setting out in
detail all test procedures, equipment to be used, and other
information necessary to assure compliance with this agreement.
EPA shall have 15 days to review and approve the scope of work
document. If EPA disagrees, it will notify GM within 15 days and
submit proposed modifications. If GM accepts these modifications
it may contract the on-road testing out to a . third-party
contractor. Any further disagreement regarding this issue may be
submitted by either party to dispute resolution under Section IX of
the Consent Decree.
Substantial completion of the EPA approved work plan by GM or its
contractors or both shall satisfy GM's testing obligations with
respect to the on-road testing under this portion of the Decree.
13
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Heavy Dutv Vehicle Evaluation Program
Chassis Dynamometer Testing
For the 4.3L, the one of the two 5.7L engines which will not be
engine dynamometer tested, and the one of the two 7.4L vehicles
which the parties have agreed to be chassis tested, GM will conduct
three tests over the US06 cycle. The dynamometer will be set to a
loading equivalent to 95% of GVWR, and the vehicle will be tested
at that condition, with brief exceptions where the loading exceeds
the capability of the dynamometer for either .of the test cycles.
During those periods, the dynamometer load will be at the maximum
capability. In that case, the vehicles will be loaded to the point
of the dynamometer's road-force capability. In addition, for each
chassis-testable engine family, GM will prepare one custom test
cycle representing the speed, normal road loading, acceleration and
grade conditions encountered on the highest CO run on the 1-75 on-
road testing. GM will provide EPA with a copy of its test cycles
seven days prior to conducting tests over such a cycle. GM will
conduct three tests for each chassis-testable vehicle over the
custom "1-75" test cycle designed for each engine family. GM will
simultaneously measure modal emissions using its standard modal
bench equipment and EPA's portable testing system outlined in
Attachment II. GM will document the date, start time, test weight,
humidity and starting ambient temperature (humidity and temperature
as measured at the nearest local airport) ; and record at 1 Hz or a
multiple integral of IHz the throttle position, engine speed,
vehicle speed, MAP, MAT, measured A/F ratio, the block learn cell,
timer counts, and standard data format, from the EPA portable
emissions testing system, and catalyst front bed temperature, in
addition to bag samples taken.
Engine Dynamometer Testing;
For the 7.OL engine, the 7.4L engine which is not chassis testable,
as well as for one engine from the VGM5.7CPGAE family, which EPA
will choose, GM will conduct engine dynamometer testing on one (1)
engine from each family. GM will conduct one run of the FTP
transient HDGE test cycle for each engine family as a baseline. GM
will document the date, start time, humidity and starting ambient
temperature; and record at 1 Hz or a multiple integral of IHz the
throttle position, engine speed, MAP, MAT, measured A/F ratio, the
block learn cell, timer counts, and catalyst front bed temperature,
in addition to bag samples taken.
_-
Immediately following the FTP transient test, GM will conduct
a series of steady state tests that will, for each timer-based
enrichment strategy identified by GM during its review with EPA,
14
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Heavy Duty Vehicle Evaluation Program
trigger the timer-based enrichment and hold this state until the
timer has timed-out and for 30 seconds after the time has elapsed.
If multiple time-down rates exist, the above-procedure is to be
replicated for each time down rate. GM will provide a plan of the
test cycle necessary to achieve the steady state conditions that
will trigger these enrichments at the time of the enrichment
strategy review. EPA will have 15 days in which to review this
cycle and either approve GM's plan or deny the plan with suggested
modifications. During the engine dynamometer testing, GM will
simultaneously measure modal emissions using its standard modal
bench equipment and EPA's portable testing system outlined in
Attachment II. GM may test certification or FETS engines for the
purposes of this dynamometer testing, but shall choose the "worst"
case engine of all such engines available at the time of testing.
GM.will document the date, start time, test weight, humidity and
starting ambient temperature {humidity and temperature as measured
at the nearest local airport) ; and record at 1 Hz or a multiple
integral of IHz the throttle position, engine speed, vehicle speed,
MAP, MAT, measured A/F ratio, the block learn cell, timer counts,
and catalyst front bed temperature,, in addition to bag samples
taken.
For future timer-based fuel enrichment strategies where the above
test processes would be inappropriate, GM will develop and conduct
an analogous test process to determine the emissions impact of
these strategies.
Conducting the Tests and Analyzing and Reporting the Results
Review of GM's material defining timer-based fuel enrichment
strategies and vehicle procurement shall occur in time to allow on-
road testing during the first Summer after the start of production
of all subject engine families. Chassis and engine dynamometer
testing shall be completed within 60 days of the end of road
testing. For each of the subject engine families at the
completion of the EPA review of GM's material defining the timer-
based fuel enrichment calibration strategies, GM will order one (1)
production vehicle to conduct the testing required under this
agreement within a month of that review, except for the 5.7 engine
family where GM will order two (2) engines as specified earlier.
At the time~the vehicle is delivered to the Milford Proving Ground,
GM wilf provide EPA representatives with a proposed schedule for
the mileage accumulation and testing phases of the process. EPA
representatives may make arrangements to observe any portion of the
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mileage accumulation or testing process, scheduling such
observations one week in advance of the observation date.
All testing shall be done using good engineering practice to ensure
the accuracy of test results. All on-road and dynamometer testing
shall be conducted using Federal certification fuel. If local
regulations prohibit or substantially interferw with the dispensing
of Federal certification fuel into the test vehicles, GM shall
promptly advise the United States,, and the parties shall meet to
discuss how to resolve the issue.
All data shall be made available to EPA by midnight of the same day
testing is completed on the internet {may be accomplished by
posting information on a GM web accessible to EPA) or by providing
it to a designated EPA representative if present on the test site.
Except as described in paragraph 74 of the Consent Decree, this
will complete GM's obligations under the terms of this test plan.
.After all testing is completed, if requested by EPA within ten
working days of GM's submittal of test data, GM shall loan any test
vehicles to EPA for up to two weeks. Otherwise, GM will be free to
reconfigure or dispose of the test vehicles.
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Attachment I: Cincinnati to Kentucky Welcome Center Rest Stop
Road Route
Begin Route in an available indoor facility near
Riverfront Stadium Parking Lot
Exit parking lot onto Pete Rose Way Westbound
Follow Pete Rose Way bearing right onto Control to STOP
Left onto Third Street and over suspension bridge
Turn right onto Fourth Street and bear left into entrance
to 1-75 Southbound north of milepost 190
Follow 1-75 Southbound to first Kentucky rest stop just
past milepost 178
Exit 1-75 at rest stop -- end of route
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Attachment II:EPA's Portable Emissions Testing Svatem
For the purposes of this agreement, the test equipment for
conducting the on-road emissions sampling of the vehicles consists
of the following equipment:
1) A "Snap-On" Five-Gas Analyzer-- Part Number MT35Q5;
2) An OTC scan tool with domestic software cartridge;
3) A flow transducer mounted at the tailpipe exit with analog
output;
4) An exhaust gas thermocouple - "K" type;
5) A flow dampener;
6} An analog to digital converter with a parallel port interface;
7) A NTK or Horiba wide-range air/fuel sensor with analog output;
8) A notebook computer for data collection;
9) Software from EPA;
10) PCMCIA serial port card; and,
11) Hardware to connect all of the above.
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