EPA420-B-14-058
July 2014
Small Entity Compliance Guide for
"Control of Air Pollution From Motor Vehicles:
Tier 3 Motor Vehicle Emission and Fuel
Standards"
(79 FR 23414, April 28, 2014)
Assessment and Standards Division
Office of Transportation and Air Quality
U.S. Environmental Protection Agency
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Table of Contents
1. Introduction 1-1
2. Entities Subject to the Rule 2-1
3. What Does the Regulation Require? 3-1
4. Provisions for Small Entities 4-1
5. Registration, Reporting, Recordkeeping and Other Compliance
Requirements 5-1
6. For More Information 6-1
NOTICE
This guide was prepared pursuant to section 212 of the Small Business
Regulatory Enforcement Fairness Act of 1996 ("SBREFA"), Public Law 104-121. The
statements in this document are intended solely to aid regulated entities in complying
with the published national regulation " Control of Air Pollution From Motor Vehicles: Tier
3 Motor Vehicle Emission and Fuel Standards" (79 FR 23414, April 28, 2014).
Final authority rests with the regulation and this guide is not intended to replace,
and may not cover all parts of, the regulation. However, in any civil or administrative
action against a small business, small government, or small non-profit organization for
violation of any parts of the aforementioned regulation, the content of this guide may be
considered as evidence of the reasonableness or appropriateness of proposed fines,
penalties, or damages. EPA may decide to revise this guide without public notice to
reflect changes in EPA's approach to the Tier 3 Program requirements or to clarify and
update text. To determine whether EPA has revised this guide and/or to obtain copies,
contact EPA's Tia Sutton at (734) 214-4018, sutton.tia@epa.gov.
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Acronyms used throughout this guide:
§
BPCD
CAA
GARB
CBOB
CFR
CG
DFE
EO
E10
E15
EPA
FR
FTP
GHG
GVWR
HDGV
HDV
LOT
LDV
LEVIN
MDPV
MVNRLM
MY
NAICS
NMOG
NOx
OBD
OMB
PADD
PM
ppm
PTD
RBOB
RFA
RFC
SBA
SBAR Panel
SBREFA
SER
SFTP
Section
Barrels Per Calendar Day
Clean Air Act
California Air Resources Board
Conventional Blendstock for Oxygenate Blending
Code of Federal Regulations
Conventional Gasoline
Denatured Fuel Ethanol
Ethanol-free gasoline
Gasoline containing 10 percent ethanol by volume
Gasoline containing 15 percent ethanol by volume
U.S. Environmental Protection Agency
Federal Register
Federal Test Procedure
Greenhouse Gas
Gross Vehicle Weight Rating
Heavy-Duty Gasoline Vehicle
Heavy-Duty Vehicle
Light-Duty Truck
Light-Duty Vehicle
(California's) Low Emission Vehicle program
Medium-Duty Passenger Vehicle
Motor Vehicle, Nonroad, Locomotive, and Marine
Model Year
North American Industry Classification System
Non-methane Organic Gases
Nitrogen Oxides
On-board Diagnostics
Office of Management and Budget
Petroleum Administration Districts for Defense
Particulate Matter
Parts Per Million
Product Transfer Document
Reformulated Blendstock for Oxygenate Blending
Regulatory Flexibility Act
Reformulated Gasoline
Small Business Administration
Small Business Advocacy Review Panel
Small Business Regulatory Enforcement Fairness Act of 1996
Small Entity Representative
Supplemental Federal Test Procedure
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SIC
SVM
WPC
Standard Industrial Classification
Small Volume Manufacturer
Wholesale Purchaser-Consumer
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Tier 3 Vehicle Emission and Fuel Standards Rule Small Entity Compliance Guide
1.0 Introduction
This document was published by the Environmental Protection Agency (EPA) as our official
compliance guide for small entities subject to the Tier 3 Vehicle and Fuel Standards rule, as required
by the Small Business Regulatory Enforcement Fairness Act of 1996 (SBREFA). Before you begin
using the guide you should know that the information in this guide was compiled and published on
April 28, 2014 (79 FR 23414). EPA is continually improving and updating its rules, policies,
compliance programs, and outreach efforts. You can determine whether EPA has revised or
supplemented the information in this guide by checking the Tier 3 program web page
(www.epa.gov/otaq/tier3.htm) for the rule, any technical amendments, and related information.
The Tier 3 rulemaking establishes more stringent vehicle emissions standards and will reduce
the sulfur content of gasoline beginning in 2017, as part of a systems approach to addressing the
impacts of motor vehicles and fuels on air quality and public health. The gasoline sulfur standard will
make emission control systems more effective for both new and existing vehicles, and will enable
vehicle emissions standards more stringent than today's Tier 2 standards. The vehicle standards will
reduce both tailpipe and evaporative emissions from passenger cars, light-duty trucks, medium-duty
passenger vehicles, and some heavy-duty vehicles. This will result in significant reductions in
pollutants such as ozone, particulate matter, and air toxics across the country and help state and
local agencies in their efforts to attain and maintain health-based National Ambient Air Quality
Standards. Motor vehicles are an important source of exposure to air pollution both regionally and
near roads. These vehicle standards are intended to harmonize with California's Low Emission
Vehicle program, thus creating a federal vehicle emissions program that will allow automakers to sell
the same vehicles in all 50 states. The vehicle standards will be implemented over the same
timeframe as the greenhouse gas/fuel efficiency standards for light-duty vehicles (issued by EPA and
the National Highway Transportation Safety Administration in 2012), as part of a comprehensive
approach toward regulating emissions from motor vehicles.
1.1 Who should use this guide?
This guide is mainly for those entities regulated by the Tier 3 vehicle and gasoline program that
qualify as small entities under the small business size standards as stated in the rulemaking. If you
are not sure whether or not you qualify as a small entity, or meet the small refinery or small volume
producer/importer requirements, please refer to section 2 of this guide.
The Small Business Regulatory Enforcement Act (SBREFA) requires that EPA prepare Small
Entity Compliance Guides to help small businesses comply with the regulation. The regulation also
has flexibility provisions specific to small entities in the covered industries, and this guide should help
to clarify those provisions.
1.2 How do I obtain a complete copy of the rule?
A complete copy of the rule can be found in the Federal Register Volume 79, p. 23414
(published April 28, 2014): www.gpo.gov/fdsvs/pkg/FR-2014-04-28/pdf/2014-06954.pdf. A copy of
the final rule can also be found on the Tier 3 Rule webpage (under "Regulations and Standards",
"Final Rule"): www.epa.gov/otag/tier3.htm.
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1.0 Introduction
1.3 How do I use this guide?
This guide is organized as follows:
1. Introduction and general information
2. Description of entities that are subject to the rule
3. Overview of the Tier 3 regulatory requirements
4. Specific provisions for small entities
5. Registration, reporting, recordkeeping, and other compliance requirements
6. More information for further assistance
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Tier 3 Vehicle Emission and Fuel Standards Rule Small Entity Compliance Guide
2.0 Entities Subject to the Rule
2.1 Entities subject to the Tier 3 regulations
Table 1, below, lists the NAICS and SIC codes of those entities that may be subject to
the Tier 3 rule:
Table 1.
NAICS and SIC Codes
Industry
Petroleum refineries (including importers)
Butane and pentane manufacturers
Ethyl alcohol manufacturing
Ethanol denaturant manufacturers
Natural gas liquids extraction and
fractionation
Other basic organic chemical manufacturing
Natural gas liquids pipelines, refined
petroleum products pipelines
Chemical and allied products merchant
wholesalers
Manufacturers of gasoline additives
Petroleum bulk stations and terminals
Other warehousing and storage-bulk
petroleum storage
Light-duty vehicle and light-duty truck
manufacturers
Independent commercial importers
Alternative fuel converters
On-highway heavy-duty engine & vehicle
(>8,500 Ibs GVWR) manufacturers
NAICS1 Codes
324110
325110
325193
324110,211112
211112
325199
486910
424690
325199
424710
493190
336111,336112
811111,811112,811198
335312, 336312, 336322,
336399,811198
333618,336120,36211,
336312
SIC2 Codes
2911
2869
2869
2911, 1321
1321
2869
4613
5169
2869
5171
4226
3711
7538, 7533, 7534
3621,3714,3519,
3599, 7534
3699,3711,3713,
3714
1 NAICS- North American Industry Classification System
2 SIC- Standard Industrial Classification
2.2 Criteria for qualification as a small entity
Table 2 below lists the small business size standards SBA has established for
each type of business activity under the SIC/NAICS system. For the small refinery and
small volume producer criteria (as these are not SBA-defined sectors), please refer to
Section 5 of this guide for the criteria.
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3.0 What Does the Regulation Require?
Table 2.
Small Business Definitions
Industry
Gasoline fuel refiners and importers
Ethanol producers
Gasoline additive manufacturers
Transmix processors
Petroleum bulk stations and terminals
Other warehousing and storage-bulk
petroleum storage
Light-duty vehicle and light-duty truck
manufacturers
Independent commercial importers
Alternative fuel converters
On-highway heavy-duty engine & vehicle
(>8,500 Ibs GVWR) manufacturers
NAICS codes
324110
325193
325199
325998
424690
Varied
424710
493190
336111,336112
811111,811112,
811198
335312
336312
336322
336399
811198
333618
336120
36211
336312
Defined as small entity by
SBA if less than or equal to:
1,500 employees3
1,000 employees
1 ,000 employees
500 employees
100 employees
1 ,500 employees
100 employees
$25.5 million (annual receipts)
1,000 employees
$7 million (annual receipts)
1,000 employees
750 employees
750 employees
750 employees
$7 million (annual receipts)
1 ,000 employees
1 ,000 employees
1,000 employees
750 employees
3 ERA has included in past fuels rulemakings a provision that, in order to qualify for the small refiner
flexibilities, a refiner must also produce no greater than 155,000 bpcd crude capacity
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Tier 3 Vehicle Emission and Fuel Standards Rule Small Entity Compliance Guide
3.0 What Does the Regulation Require?
3.1 Gasoline Refiners
The final Tier 3 fuel program requires that all gasoline (and any ethanol-gasoline
blend) must meet an average sulfur level of 10 ppm or less annually, beginning January
1, 2017. The 10 ppm average will apply to a refiner or importer's annual gasoline
production. The existing Tier 2 per-gallon sulfur caps of 80 ppm at the refinery gate and
95 ppm downstream (e.g., at terminals, retail stations, etc.) will still apply in the Tier 3
program.
3.2 Gasoline Additive Manufacturers
Manufacturers of gasoline additives that are used downstream of the refinery at
1.0 volume percent or less must limit the additive's sulfur contribution to the finished
gasoline to less than 3 ppm when used at the maximum recommended treatment rate.
Parties that introduce additives to gasoline at over 1.0 volume percent will be required
to meet all of the requirements and obligations of a refiner and fuel manufacturer,
including demonstrating that the finished blend meets the applicable sulfur specification.
3.3 Producers of Denatured Fuel Ethanol and Other Gasoline Oxygenates
Denatured fuel ethanol (DFE) and other gasoline oxygenates are required to
meet a 10 ppm sulfur cap beginning January 1, 2017. The Tier 3 program also requires
a 3.0 volume percent limit on ethanol denaturant concentration. EPA also adopted the
current ASTM International specifications that only natural gasoline, gasoline
blendstocks, or gasoline may be used as denaturants for DFE. The final rule further
requires that DFE must be composed solely of carbon, hydrogen, oxygen, and sulfur.
3.4 Butane and Pentane Blender Requirements
The Tier 3 program requires a 10 ppm sulfur cap for butane blended into
gasoline, beginning January 1, 2017.
Additionally, effective June 27, 2014, the Tier 3 rule finalized provisions to allow
pentane to be blended into gasoline downstream of the refinery (similar to the existing
provisions for butane blending). With these provisions, a 30 ppm sulfur cap will apply to
pentane blended into gasoline until December 31, 2016 (consistent with the existing
sulfur cap for butane under the Tier 2 program), beginning January 1, 2017, a 10 ppm
sulfur cap will apply for butane blending.
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3.0 What Does the Regulation Require?
3.5 Tier 3 Tailpipe Emission Standards for Light-Duty Vehicles, Light-Duty
Trucks, and Medium-Duty Passenger Vehicles
The Tier 3 program for vehicle manufacturers is a comprehensive program that
includes new fleet-average standards for the sum of NMOG and NOx tailpipe emissions
(presented as NMOG+NOx) as well as new per-vehicle standards for PM. These
standards, when applied in conjunction with reduced gasoline sulfur content, will result
in very significant improvements in vehicle emissions from the levels of the Tier 2
program. For these pollutants, the standards are measured on test procedures that
represent a range of vehicle operation, including the Federal Test Procedure (or FTP,
simulating typical driving) and the Supplemental Federal Test Procedure (or SFTP, a
composite test simulating higher ambient temperatures, higher vehicle speeds, and
quicker accelerations). In addition to the standards, we are extending the regulatory
useful life period during which the standards apply (see Section IV.A.7.C of the
preamble to the final rule, page 23475 of the April 28, 2014 Federal Register) and
making test fuel more representative of expected real-world fuel (see Section I.B.2.e of
the preamble, page 23424). The final standards are in most cases identical to those of
California's LEVIN program, which provides the 50-state harmonization strongly
supported by the auto industry.
The new Tier 3 FTP and SFTP NMOG+NOx standards are fleet-average
standards, meaning that a manufacturer calculates the average emissions of the
vehicles it sells in each model year and compares that average to the applicable
standard for that model year. The manufacturer certifies each of its vehicles to a per-
vehicle "bin" standard (see Section IV.A.2, page 24450) and sales-weights these values
to calculate its fleet-average NMOG+NOx emissions for each model year. Table 1-1
(page 23421) summarizes the fleet average standards for NMOG+NOx evaluated over
the FTP. The standards for light-duty vehicles begin in MY 2017 at a level representing
a 46 percent reduction from the Tier 2 requirements. For the light-duty fleet over 6000
Ibs gross vehicle weight rating (GVWR), and medium-duty passenger vehicles
(MDPVs), the standards apply beginning in MY 2018. As shown in the table, these fleet-
average standards decline during the first several years of the program, becoming
increasingly stringent until ultimately reaching an 81 percent reduction when the
transition is complete. The FTP NMOG+NOx program includes two separate sets of
declining fleet-average standards, with light-duty vehicles (LDVs) and small light trucks
in one grouping and heavier light trucks and MDPVs in a second grouping, that
converge at 30 milligrams per mile (mg/mi) in MY 2025 and later.
In addition to this primary schedule for the fleet-average standards, the program
includes optional implementation schedules (Section IV.G, page 23534) that
manufacturers that are small businesses or Small Volume Manufacturers (SVMs) may
find preferable.
Similarly, the NMOG+NOx standards measured over the SFTP are fleet-average
standards, declining from MY 2017 until MY 2025, as shown in Table I-2 (also page
23421). In this case, the same standards apply to both lighter and heavier vehicles in
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Tier 3 Vehicle Emission and Fuel Standards Rule Small Entity Compliance Guide
the light-duty fleet. In MY 2025, the SFTP NMOG+NOx standard reaches its final fleet
average level of 50 mg/mi.
PM standards are also part of the Tier 3 program, for both the FTP and US06
cycles (US06 is a component of the SFTP test). Research has demonstrated that the
level of PM from gasoline light-duty vehicles is more significant than previously thought.
The new FTP PM standard ensures that all new vehicles perform at the level already
being achieved by well-designed Tier 2 vehicles. The PM standards apply to each
vehicle separately (i.e., not as a fleet average). Also, in contrast to the declining
NMOG+NOx standards, the PM standard on the FTP for certification testing is 3 mg/mi
for all vehicles and for all model years. As for the NMOG+NOx standards, for vehicles
over 6000 Ibs GVWR, the FTP PM standard applies beginning in MY 2018.
Manufacturers can phase in their vehicle models as a percent of U.S. sales
through MY 2022. Most vehicles are already performing at this stringent PM level, and
the primary intent of the standard is to bring all light-duty vehicles to the typical level of
PM performance being demonstrated by many of today's vehicles. The Tier 3 program
also includes a temporary in-use FTP PM standard of 6 mg/mi for the testing of in-use
vehicles that applies during the percent phase-in period only. This in-use standard will
address the in-use variability and durability uncertainties that accompany the
introduction of new technologies. Table I-3 (page 23422) presents the FTP certification
and in-use PM standards and the phase-in percentages.
Finally, the Tier 3 program includes PM standards evaluated over the US06
driving cycle of 10 mg/mi through MY 2018 and of 6 mg/mi for 2019 and later model
years, for light-duty vehicles. As in the case of the FTP PM standards, the intent of the
US06 PM standard is to bring the emission performance of all vehicles to that already
being demonstrated by many vehicles in the current light-duty fleet.
3.6 Tailpipe Emissions Standards for Heavy-Duty Vehicles
Tier 3 also includes exhaust emissions standards for complete heavy-duty vehicles
(HDVs) between 8,501 and 14,000 Ibs GVWR. Vehicles in this GVWR range are often
referred to as Class 2b (8,501-10,000 Ibs) and Class 3 (10,001-14,000 Ibs) vehicles,
and are typically heavy-duty pickup trucks and work or shuttle vans.
The key elements of the Tier 3 program for HDVs parallel those being adopted
for passenger cars and light-duty trucks (LDTs), with adjustments in standard levels,
emission test requirements, and implementation schedules appropriate to this sector.
These key elements include combined NMOG+NOx declining fleet average standards, a
phase-in of PM standards, adoption of a new emissions test fuel for gasoline-fueled
vehicles, extension of the regulatory useful life to 150,000 miles or 15 years (whichever
occurs first), and a first-ever requirement for HDVs to meet standards over an SFTP
drive cycle that addresses real-world driving modes not well-represented by the FTP
cycles. The Class 2b and Class 3 fleet average NMOG+NOx standards are shown in
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3.0 What Does the Regulation Require?
Table 1-4, page 23422. The program is described in more detail in Section IV.B, page
23481.
3.7 Evaporative Emissions Standards
Gasoline vapor emissions from vehicle fuel systems occur when a vehicle is in
operation, when it is parked, and when it is being refueled. These evaporative
emissions, which occur on a daily basis from gasoline-powered vehicles, are primarily
functions of temperature, fuel vapor pressure, and activity. Tier 3 establishes more
stringent standards that will require covered vehicles to have essentially zero fuel vapor
emissions in use. These include more stringent evaporative emissions standards, new
test procedures, and a new fuel/evaporative system leak emission standard. The
program also includes phase-in flexibilities as well as credit and allowance programs.
The level of the standard remains above zero to account for nonfuel background
emissions from the vehicle hardware. Requirements to meet the Tier 3 evaporative
emission regulations phase in over a six model year period. We are finalizing three
options for the 2017 model year, but after that the sales percentage requirements are
60 percent for MYs 2018 and 2019, 80 percent for model years 2020 and 2021, and 100
percent for model years 2022 and later. Table I-5, page 23423, presents the Tier 3
evaporative hot soak plus diurnal emission standards by vehicle class.
3.8 In-Use Performance of Fuel Vapor Control Systems
Data from in-use evaporative emissions testing indicates that vapor leaks from
vehicle fuel/evaporative systems are found in the fleet and that even very small leaks
have the potential to make significant contributions to the mobile source VOC inventory.
To help address this issue, Tier 3 also adds a new standard and test procedure to
control vapor leaks from vehicle fuel and vapor control systems. The standard will
prohibit leaks with a cumulative equivalent diameter of 0.02 inches or greater. This
simple and inexpensive test and emission standard helps ensure vehicles maintain zero
fuel vapor emissions over their full useful life. New LDV, LOT, MDPV, and heavy-duty
gasoline vehicle (HDGV) equal to or less than 14,000 Ibs GVWR meeting the Tier 3
evaporative emission regulations are also required to meet the leak standard beginning
in the 2018 model year. Manufacturers must comply with the leak standard phase-in on
the same percentage of sales schedule as that for the Tier 3 evaporative emission
standards. Manufacturers will comply with the leak emission standard during
certification and in use.
3.9 Onboard Diagnostic System (OBD)
In order to promote harmonization with the California Air Resources Board
program, the final Tier 3 rule adopted and incorporated by reference the existing GARB
OBD regulations, effective for the 2017 model year, with a few minor differences
including phase-in flexibility provisions and specific additions to enhance the
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Tier 3 Vehicle Emission and Fuel Standards Rule Small Entity Compliance Guide
implementation of the leak standard. The rule also retained the provision that certifying
with CARB's program would permit manufacturers to seek a separate EPA certificate on
that basis.
3.10 Emissions Test Fuel
The Tier 3 final rule set E10 as the ethanol blend level in emissions test gasoline
for Tier 3 light-duty and heavy-duty gasoline vehicles. EPA is also making additional
changes that are consistent with CARB's LEV III emissions test fuel specifications,
including new specifications for octane, distillation temperatures, aromatics, olefins,
sulfur and benzene. (See Section IV. F of the preamble to the final Tier 3 rule, page
23525, for a detailed discussion of all the revised emission test fuel parameters.)
Further, the rule requires (tailpipe emission testing and evaporative emission testing,
preamble Sections IV.A.7.d (page 23476) and IV.C.S.b (page 23511), respectively)
certification of all Tier 3 light- duty and chassis-certified heavy-duty gasoline vehicles on
Federal E10 test fuel. These new test fuel specifications will apply to new vehicle
certification, assembly line, and in-use testing. Manufacturers are also permitted to
request approval for an alternative certification fuel, such as a high-octane 30 percent
ethanol-by-volume blend (E30), for vehicles that may be optimized for such fuel.
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Tier 3 Vehicle Emission and Fuel Standards Rule Small Entity Compliance Guide
4.0 Provisions for Small Entities
4.1 Small refiners and small volume refineries
What are the regulatory options that are available to small refiners and small
volume refineries?
The following provisions were finalized in the Tier 3 final rule to assist small
refiners and small volume refineries with compliance:
Small Refiner and Small Volume Refinery Delay. The Tier 3 final rule
allows small refiners and small refineries to postpone their compliance
with the Tier 3 program for up to three years. Approved small refiners and
small refineries will have from January 1, 2017 through December 31,
2019 to continue production of gasoline with an average sulfur level of 30
ppm (the Tier 2 gasoline sulfur standard). Compliance with the Tier 3 10
ppm sulfur standard will begin on January 1, 2020. Since small refiners
and small refineries will still be subject to the 30 ppm sulfur standard when
the Tier 3 program begins on January 1, 2017, we are finalizing that small
refiners may continue to generate credits relative to 30 ppm through
December 31, 2019—however, these credits may only be traded to and
used by other small refiners or small refineries through December 31,
2019. Also, from January 1, 2017 through December 1, 2019, small
refiners may split their credit generation between both the 10 ppm and 30
ppm standards, as long as there is no double-counting of credits. For
example, during this time, a small refiner with an average gasoline sulfur
level of 8 ppm could generate 20 credits relative to the Tier 2 sulfur
standard (30 ppm minus 10 ppm) plus 2 credits relative to the Tier 3 sulfur
standard (10 ppm minus 8 ppm).
Case-by-Case Hardship. Similar to existing EPA fuel programs under 40
CFR Part 80, the Tier 3 program includes an extreme unforeseen
circumstances hardship provision and an extreme hardship provision for
all gasoline refiners and importers. Hardship relief will be granted on a
case-by-case basis following a showing that a refiner is not able to comply
especially through the use of credits. Any hardship waiver granted will not
be a total waiver of compliance with the standards; rather, a hardship
waiver will consist of short-term relief to help a refiner facing a hardship
situation comply (for example by receiving additional time to comply, or an
extended deficit carryforward for up to three years). If a hardship waiver is
granted, EPA will determine appropriate hardship relief based on the
refiner's hardship application and an assessment of the credit market at
that time. The unforeseen circumstances hardship is intended to provide
relief in circumstances, such as a refinery fire or a natural disaster, that
could not be reasonably foreseen. The extreme hardship provision is
intended to provide relief for situations of severe economic or physical
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4.0 Provisions for Small Entities
lead time limitations of a refiner to comply with the Tier 3 standards at the
start of the program. For more information on the requirements of
hardship applications, please see Section V.E.2 of the preamble (79 FR
23550) and 40 CFR 80.1625 in the regulations (79 FR 23663).
4.2 Vehicle small businesses and small volume manufacturers (SVMs)
What are the regulatory flexibility options available to vehicle small businesses
and Small Volume Manufacturers?
The Tier 3 final rule includes the following special provisions designed to ease
the compliance burden for small businesses certifying vehicles under the Tier 3 program
and for SVMs. Eligibility for these provisions is covered in 40 CFR 86.8138-01 (page
23728).
• An alternative NMOG+NOx light-duty fleet average standard phase-in
schedule for small businesses and SVMs: 125 mg/mi for MYs 2017-2021,
51 mg/mi for MYs 2022-2027, and 30 mg/mi thereafter. Also, the
program includes an optional delay of Tier 3 requirements until MY 2022
for small businesses and SVMs. Section IV. G, page 23534 of the
preamble, has a full discussion of the implementation provisions available
to manufacturers that are small businesses or Small Volume
Manufacturers.
o The regulatory language for these optional implementation
provisions is at 40 CFR 86. 1811-1 7(h).
• EPA-assigned deterioration factors for small businesses and SVMs (as
well as for small volume test groups). 40 CFR 86. 1 826-01 .
• Reduced in-use testing requirements for SVMs with annual sales under
15,000, including no required testing for those with annual sales under
5,000. 40 CFR 86. 1 837-01 (b)(1 )(B).
• ARM testing waiver for small businesses and SVMs. 40 CFR 86. 1 829-
An allowance for small alternative fuel vehicle converters to meet existing
OBD requirements instead of new Tier 3 requirements. 40 CFR 86.1806-
17.
Provisions for small businesses and SVMs in hardship situations to apply
for additional time to meet the Tier 3 standards. 40 CFR 86. 1811-1 7(h)
and 86. 181 3-1 7(h).
An extension of eligibility for the Tier 3 SVM provisions to small
manufacturers that are owned by large manufacturers but are able to
demonstrate that they are operationally independent. 40 CFR 86.8138-
01 (d).
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Tier 3 Vehicle Emission and Fuel Standards Rule Small Entity Compliance Guide
5. Registration, Reporting, Recordkeeping and Other
Compliance Requirements
5.1 Requirements for Fuel-related Entities
5.1.1. Registration Requirements for Gasoline Refiners and Importers;
Oxygenate Producers, Importers, and Blenders; and Producers or
Importers of Certified Ethanol Denaturant
As stated in the regulations at 40 CFR 80.1650(a), any gasoline refiner/importer,
oxygenate producer/importer/blender, or any producer/importer of certified ethanol
denaturant must provide EPA with the information specified for registration under 40
CFR 80.76 (and listed in Table 5 below), if they are not already registered with EPA.
Both a company ID number and a facility ID number will be issued, both of which shall
be used in all reporting.
Registration deadlines:
• Gasoline refiners and importers'. Must register by December 1, 2016, or at
least 30 days before producing or importing reformulated gasoline (RFC),
conventional gasoline (CG), RBOB, or CBOB, whichever is earlier.
Previously unregistered refiners or importers who plan to generate credits
before January 1, 2017 must register at least 90 days before submitting an
annual compliance report with credit generation information.
• Oxygenate producers and importers: Must register by November 1, 2016,
or at least 60 days before producing or importing oxygenate, whichever is
earlier.
• Oxygenate blenders: Must register by November 1, 2016, or at least 90
days before blending oxygenate into RBOB, whichever is earlier.
• Ethanol denaturant producers and importers: Must register by November
1, 2016, or at least 60 days before producing or importing ethanol
denaturant, whichever is earlier.
Table 5
Registration Requirements (40 CFR 80.1650 and 80.76)
Requirements for gasoline refiners, gasoline importers, oxygenate producers, oxygenate
importers, oxygenate blenders, producers of certified ethanol denaturant, and importers of
certified ethanol denaturant:
o Name
o Business address
o Contact name
o Telephone number
o Email address
For each separate refinery, import facility, oxygenate production, import, or blending facility, and
ethanol denaturant production or import facility:
o Facility name
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5.0 Registration, Reporting, Recordkeeping and Other Compliance Requirements
o Physical location
o Contact name
o Telephone number
o Type of facility
o For oxygenate production, import, and blending facilities - the type and chemical
composition of the oxygenate
For each separate refinery/import facility that produces/imports RFG and/or RBOB, oxygenate
blending facility, ethanol denaturant production facility, and for each gasoline, oxygenate, or
ethanol denaturant importer's operations in a single PADD:
o Whether records are kept on-site or off-site of the refinery or facility
o If records are kept off-site, the primary off-site storage facility name, physical location,
contact name, and telephone number
o The name, address, contact name and telephone number of the independent laboratory
used to meet the independent analysis requirements of 40 CFR 80.65(f)
If the registration information that was submitted becomes incomplete or inaccurate, updated
registration information must be submitted within 30 days, except in the case of a change in the
designated independent laboratory
o For gasoline refiners and importers, changes in designated independent laboratories
must be submitted to EPA in writing at least 30 days prior to such change
Registration must be submitted to:
U.S. Environmental Protection Agency
Fuels Programs Registration (6406J)
1200 Pennsylvania Avenue, NW
5.1.2 Product Transfer Document Requirements
Product transfer documents (PTDs) are required at any time that custody or title
to any gasoline, RBOB, CBOB or oxygenate is transferred (except when gasoline is
sold or dispensed for use in a motor vehicle at a retail or wholesale purchaser-
consumer (WPC) facility). The requirements for PTDs under the Tier 3 program are
detailed in 40 CFR 80.1651, and summarized below in Table 6.
Table 6.
PTD Requirements (40 CFR 80.1651)
For transfers of custody or title to any gasoline, RBOB, CBOB, ethanol denaturant or oxygenate,
PTDs must include all of the following information:
o The name and address of the transferor
o The name and address of the transferee
o The volume of gasoline, RBOB, CBOB, ethanol denaturant, or oxygenate being
transferred
o The location of the gasoline, RBOB, CBOB, ethanol denaturant, or oxygenate at the time
of the transfer
o The date of the transfer
o
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Required PTD statements for export gasoline, California gasoline, or gasoline with an
exemption:
o Gasoline with a national security exemption (40 CFR 80.1655): "This gasoline is for use
in vehicles, engines, or equipment under an EPA-approved national security exemption
only."
o Gasoline with a research, development, or testing exemption (40 CFR 80.1656): "This
gasoline is for research, development, or testing purposes only."
o Gasoline for use in American Samoa, Guam, and the Commonwealth of the Northern
Mariana Islands (40 CFR 80.1658): "This is gasoline for use only in Guam, American
Samoa, or the Northern Mariana Islands."
o Gasoline for export purposes: "This gasoline is for export only."
o Gasoline for racing purposes: "This gasoline is for racing purposes only."
o California gasoline (40 CFR 80.1654): "California gasoline"
Gasoline additive PTD requirements:
o Transfers of custody or title to any gasoline additive that is intended to be used at less
than 1 volume percent (except when the additive is sold or dispensed for use in motor
vehicles at a retail outlet or wholesale purchaser-consumer facility), the transferor must
provide documents to the transferor that include information on the maximum
recommended treatment level
Additional requirements for ethanol denaturant:
o A statement identifying the batch as "Ethanol denaturant suitable for the manufacture of
denatured fuel ethanol meeting federal quality requirements", or anther identifying
statement as approved by EPA consistent with the requirements of 40 CFR 80.1611.
o Information on the sulfur content of the ethanol denaturant, as applicable (per the
requirements of 40 CFR 80.1611)
Additional requirements for oxygenate:
o For denatured fuel ethanol, a statement identifying the batch as "Denatured fuel ethanol,
maximum 10 ppm sulfur" (alternative language may be used, with prior approval from
EPA consistent with the requirements of 40 CFR 80.1610)
o For oxygenates other than DFE, the name of the specific oxygenate must be identified
on the PTD, followed by "maximum 10 ppm sulfur" (alternative language may be used,
with prior approval from EPA consistent with the requirements of 40 CFR 80.1610)
5.1.3 Reporting Requirements
Gasoline refiners and importers, and oxygenate producers and importers must
submit annual reports to EPA containing all of the information listed in Table 7, below.
Annual reports are required beginning with the 2017 annual averaging period (report
deadline of March 31, 2018), or the first year that credits are generated. Please note
that Table 7 merely provides a summary of the reporting requirements; see 40 CFR
80.1652 of the regulations for a complete list of reporting requirements for all regulated
entities under the Tier 3 program.
Table 7.
Reporting Requirements (40 CFR 80.1652)
General requirements:
o Annual compliance reports are due by March 31 of each year for the previous calendar
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year (e.g., the 2017 annual compliance report is due by March 31, 2018)
o Annual reports must be signed and certified as meeting all of the applicable
requirements of 40 CFR Part 80 Subpart O (the Tier 3 program) by the owner or a
responsible corporate officer of the refiner, gasoline importer, oxygenate producer,
oxygenate importer, denaturant producer, or denaturant importer
o All values measured or calculated must be in accordance with the rounding procedure
specified in 40 CFR 80.9
o Attest reports for refiner and importer attest engagements (required under 40 CFR
80.1667) must be submitted by June 1 of each year for the prior calendar year
Annual reporting requirements for gasoline refiners and importers:
o The EPA importer, or refiner and refinery facility registration numbers
o The average standard under 40 CFR 80.1603, reported to two decimal places
o The total volume of gasoline produced or imported, reported to the nearest whole
number
o The annual average sulfur level of the gasoline produced or imported, reported to two
decimal places
o The annual average sulfur level after inclusion of any credits, reported to two decimal
places
o The following information for credits, separately by year of creation and reported to the
nearest whole number:
The number of credits at the beginning of the averaging period
The number of credits generated
The number of credits used
If any credits were obtained from or transferred to other parties; and for each other
party, its name and EPA refiner or importer registration number, and the number of
credits obtained from or transferred to the other party
The number of credits that expired at the end of the averaging period
The number of credits that will carry over into the subsequent averaging period
o The following information for each batch of gasoline produced or imported during the
averaging period:
The batch number assigned under 40 CFR 80.65(d)(3), except that if composite
samples of conventional gasoline representing multiple batches produced
subsequent to December 31, 2003, are tested under 40 CFR 80.101 (i)(2) for anti-
dumping compliance purposes, for purposes of this subpart a separate batch
number must be assigned to each batch using the batch numbering procedures
under 40 CFR 80.65(d)(3)
The date the batch was produced
The volume of the batch, reported to the nearest whole number
The sulfur content of the batch, reported to two decimal places, along with
identification of the test method used to determine the sulfur content of the batch (as
determined under 40 CFR 80.1630)
o When reports are submitted from January 1, 2017 through December 31, 2019,
importers must exclude Certified Sulfur-FRGAS
Additional reporting requirements for gasoline importers from January 1, 2017 through
December 31, 2019, for Sulfur-FRGAS imported during an annual averaging period:
o The EPA refiner and refinery registration numbers of each foreign refiner and refinery
where the Certified Sulfur-FRGAS was produced
o The total gallons of Certified Sulfur-FRGAS and Non-Certified Sulfur-FRGAS imported
from each foreign refiner and refinery, reported to one decimal place
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Annual reporting requirements for oxygenate refiners and importers (for each production/import
facility):
o The EPA oxygenate importer, or producer and producer facility registration numbers
o The total volume of oxygenate produced or imported, reported to the nearest whole
number
o The following items for each batch of oxygenate produced or imported during the
calendar year:
The batch number assigned under 40 CFR 80.1610(d)
The date the batch was produced
The volume of the batch, reported to the nearest whole number
The sulfur content of the batch, reported to two decimal places
For oxygenates other than DFE—identification of the test method used to determine
the sulfur content of the batch, per the requirements of 40 CFR 80.1642(c)
For denatured fuel ethanol—either the identification of the test method used to
determine the sulfur content of the batch per 40 CFR 80.1642, or the information
used to calculate the sulfur content per 40 CFR 80.1642(c)
5.1.4 Recordkeeping Requirements
As with all existing EPA fuels programs, parties subject to the Tier 3 program are
subject to recordkeeping requirements. Beginning January 1, 2017 or January 1 of the
first year that credits are generated (whichever is earlier) all of the records listed in
Table 8 below must be retained. Note that Table 8 merely provides a summary of the
recordkeeping requirements; please see 40 CFR 80.1653 for an entire list of
recordkeeping requirements for all regulated entities under the Tier 3 program.
Table 8.
Recordkeeping Requirements (40 CFR 80.1653)
General recordkeeping requirements:
o All records, including PTDs, must be kept for five years from the date of creation
o On request by EPA, all required records must be made available to EPA; for records that
are electronically generated and/or maintained, the equipment or software necessary to
read the records must be made available or electronic records shall be converted to
paper documents if requested by EPA
Records that must be kept by gasoline refiners, importers, and parties in the gasoline
distribution system who produce, import, sell, offer for sale, dispense, distribute, supply, offer for
supply, store, or transport gasoline:
o PTD information required under 40 CFR 80.1651
o The following sampling and testing-related information:
Location, date, time, and storage tank or truck identification for each sample
collected
Name and title of the person who collected the sample and the person who
performed the test
The results of the test as originally printed by the testing apparatus, or where no
printed result is produced, the results as originally recorded by the person who
performed the test
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Any record that contains a test result for the sample that is not identical to the result
recorded under 40 CFR 80.1653(a)(2)(iii)
The test methodology used
Additional recordkeeping requirements for refiners and importers (for each refinery/import
facility):
o For each batch of gasoline produced or imported:
The batch volume
The batch number assigned under 40 CFR 80.65(d)(3) and the appropriate
designation under 40 CFR 80.1653(b)(1)(iv); except that for composite samples of
conventional gasoline representing multiple batches, that are tested under 40 CFR
80.101(i)(2), a separate batch number must be assigned to each batch using the
batch numbering procedures under 40 CFR 80.65(d)(3)
The date of production or importation
When applicable: the designation of the batch as California gasoline (40 CFR
80.1654), exempt gasoline for national security purposes (40 CFR 80.1655), exempt
gasoline for research and development (40 CFR 80.1656), or for export outside the
United States
The test methodology used
o Information regarding credits, kept separately by year of generation (and for credit
generation or use starting in 2014):
The number of credits in the refiner's or importer's possession at the beginning of
the averaging period
The number of credits generated
The number of credits used
If any credits were obtained from or transferred to other parties, all the following for
each other party: the party's name; the party's EPA refiner or importer registration
number; the number of credits obtained from or transferred to the party
The number of credits that expired at the end of the averaging period
The number of credits in the refiner's or importer's possession that will carry over
into the subsequent averaging period
Contracts or other commercial documents that establish each transfer of credits
from the transferor to the transferee
o The calculations used to determine compliance with the applicable sulfur average
standards of 40 CFR 80.1603 or 80.1604
o The calculations used to determine the number of credits generated
o A copy of all reports submitted to EPA under 40 CFR 80.1652
o For transmix processors, records of any sampling and testing required under 40 CFR
80.1607
o Gasoline importers must also keep records that identify and verify the source of each
batch of certified Sulfur-FRGAS and non-certified Sulfur-FRGAS imported and
demonstrate compliance with the requirements for importers under 40 CFR 80.1666
Recordkeeping requirements for producers and importers of denatured fuel ethanol and other
oxygenates (beginning January 1, 2017, or the first date when DFE meeting the standards of 40
CFR 80.1610 is introduced into commerce (whichever is earlier)), for each batch of oxygenate
produced or imported:
o The date the batch was produced
o The batch number
o The batch volume
o The product transfer document for the batch
o The sulfur content of the batch as determined per the requirements of 40 CFR 80.1642
o The following records shall be kept if the sulfur content of the batch was determined by
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analytical testing:
The location, date, time, and storage tank or truck identification for each sample
collected
The name and title of the person who collected the sample and the person who
performed the test
The results of the test as originally printed by the testing apparatus, or where no
printed result is produced, the results as originally recorded by the person who
performed the test
Any record that contains a test result for the sample that is not identical to the result
recorded under 40 CFR 80.1653(d)(5)(iii)
The test methodology used
o For DFE, if the sulfur content of the batch was determined by the alternative means of
demonstrating compliance with the sulfur requirements per the requirements of 40 CFR
80.1642(c):
The name and title of the person who calculated the sulfur content of the batch
The date the calculation was performed
The calculated sulfur content
The sulfur content of the neat (un-denatured) ethanol
The date each batch of neat ethanol was produced
The neat ethanol batch number
The neat ethanol batch volume
As applicable, the neat ethanol production quality control records, or the test results
on the neat ethanol including: location, date, time, and storage tank or truck
identification for each sample collected; name and title of the person who collected
the sample and the person who performed the test; results of the test as originally
printed by the testing apparatus, or where no printed result is produced, the results
as originally recorded by the person who performed the test; any record that
contains a test result for the sample that is not identical to the result recorded; test
methodology used
The sulfur content of the denaturant(s) used, and the volume percent at which the
denaturant(s) were added to neat (un-denatured) ethanol to produce denatured fuel
ethanol
The product transfer documents for the denaturants used
Requirements for parties who take custody of oxygenates in the oxygenate distribution system:
o Beginning January 1, 2017, or the first date when a party takes custody of oxygenate
that is represented on the PTD as meeting the standards in 40 CFR 80.1610 (whichever
is earlier), all parties who take custody of oxygenate—from the oxygenate producer
through to the oxygenate blender—must keep a copy of the PTD for each batch of
oxygenate
Requirements for producers and importers of ethanol denaturant for each batch ofdenaturant
produced or imported (beginning January 1, 2017, or the first date when a producer or importer
of ethanol denaturant designated as suitable for use in the manufacturer of DFE meeting federal
quality requirements under 40 CFR 80.1611 introduces such denaturant into commerce):
o The date each batch was produced
o The batch number
o The batch volume
o The product transfer document for the batch
o The sulfur content of the batch
o The location, date, time, and storage tank or truck identification for each sample
collected
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o The name and title of the person who collected the sample and the person who
performed the test
o The results of the test as originally printed by the testing apparatus, or where no printed
result is produced, the results as originally recorded by the person who performed the
test
o Any record that contains a test result for the sample that is not identical to the result
recorded under 40 CFR 80.1653(f)(5)
o The test methodology used
Requirements for parties who take custody ofethanol denaturants designated as suitable for
use in the manufacturer of DFE per 40 CFR 80.1611 (beginning January 1, 2017):
o The product transfer document for the denaturant
o As applicable, the volume percent at which the denaturant was added to neat ethanol
Requirements for producers and importers of gasoline additives (as defined in 40 CFR 79.2(f)),
beginning January 1, 2017:
o The date the batch was produced
o The volume of the batch
o The product transfer document for the batch
o The maximum recommended treatment rate
o Records of the additive manufacturer's control practices which demonstrate that the
additive will contribute no more than 3 ppm on a per gallon basis to the sulfur content of
gasoline when used at the maximum recommended treatment rate
Requirements for parties who take custody of gasoline additives, beginning January 1, 2017 (for
bulk addition to gasoline from the producer through to the party who adds the additive to
gasoline):
o The product transfer document for each batch of gasoline additive
o As applicable, the treatment at which the additive was added to gasoline
o As applicable, the volume of gasoline that was treated with the additive; a new record
shall be initiated in cases where a new batch of additives is mixed into a storage tank
from which the additive is drawn to be injected into gasoline
o NOTE- these requirements of do not apply for gasoline additives packaged for addition
to gasoline in the vehicle fuel tank
Records regarding credits:
o The records required by the Tier 3 program must be kept for 5 years from the date
created; except in the following cases—
o Except as noted below, records relating to credit transfers shall be kept by the transferor
for 5 years from the date the credits are transferred; and shall be kept by the transferee
for 5 years from the date the credits were transferred, used, or terminated (whichever is
later)
o Credits generated prior to January 1, 2017
Where the party generating the credits does not transfer the credits, records must
be kept for five years from the date of creation, use, or termination, whichever is
later
When credits generated prior to January 1, 2017 are transferred, records relating to
such credits shall be kept by the transferor for 5 years from the date the credits are
transferred; and shall be kept by the transferee for 5 years from the date the credits
were transferred, used, or terminated (whichever is later)
5.1.5 Attest Engagement Requirements
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The requirements regarding annual attest engagements in 40 CFR 80.125
through 80.130 also apply to any attest engagement procedures required under the Tier
3 program. In addition to any other applicable attest engagement procedures, such as
the requirements in 40 CFR 80.1666 (requirements for foreign small refiners, foreign
small volume refineries), the annual attest engagement procedures listed below in Table
9 are required by the Tier 3 program. Note that this is merely a summary of attest
engagement requirements that apply to parties subject to the Tier 3 program. Please
refer to the regulations for a complete description of the attest engagement
requirements for all regulated entities under the Tier 3 program.
Table 9.
Attest Engagement Requirements (40 CFR 80.1667)
Requirements for refiners subject to national standards and Small Refiner and Small Volume
Refinery Status:
o If the refiner asserts small refinery status or small volume refinery status for the refinery,
obtain the EPA approval letter for the refinery to determine the refinery's applicable
annual average standard and credit generation status
o Determine whether the refinery applied the correct annual average sulfur standard and
whether it was eligible to generate credits and report the finding
o If the annual average sulfur standard is incorrect or credit generation was inappropriate,
recalculate compliance using the appropriate sulfur standard and using appropriate
credits and report as a finding
Requirements for refiners subject to national standards and Small Refiner and Small Volume
Refinery Status:
o If the refiner asserts small refinery status or small volume refinery status for the refinery,
obtain the EPA approval letter for the refinery to determine the refinery's applicable
annual average standard and credit generation status
o Determine whether the refinery applied the correct annual average sulfur standard and
whether it was eligible to generate credits and report the finding
If the annual average sulfur standard is incorrect or credit generation was inappropriate,
recalculate compliance using the appropriate sulfur standard and using appropriate credits and
report as a finding
EPA reports:
o Obtain and read a copy of the refinery's or importer's annual sulfur reports filed with EPA
for the year
o Agree the yearly volume of gasoline reported to EPA in the sulfur reports with the
inventory reconciliation analysis under the attest engagement provisions of 40 CFR
80.128
o Calculate the annual average sulfur level for all gasoline and agree that value with the
value reported to EPA
o Obtain and read a copy of the refinery's or importer's sulfur credit report
o Agree the information in the refinery's or importer's batch reports filed with EPA under 40
CFR 80.75 and 80.105, and any laboratory test results, with the information contained in
the annual sulfur report required under 40 CFR 80.1652
o Obtain documentation of any volumes of renewable fuel used in products listed in 40
CFR 80.1407(c) and (e) at the refinery or import facility or exported during the reporting
year; compute and report the total volumes of renewable fuel represented in these
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5.0 Registration, Reporting, Recordkeeping and Other Compliance Requirements
documents
Credit generation before 2017:
o Obtain a written representation from the company representative stating the refinery
produces gasoline from crude oil
o Obtain the annual average sulfur level from 40 CFR 80.1667(b)(3)
o Compute and report as a finding the total number of sulfur credits generated, and agree
this value with the value reported to EPA
Credit generation in 2017 and after:
o Obtain the annual average sulfur level for gasoline from 40 CFR 80.1667(b)(3)
o If the sulfur value under 40 CFR 80.1667(d)(1) is less than 10 ppm, compute and report
as a finding the difference between the sulfur level under 40 CFR 80.1667(d)(1) and 10
ppm
o Compute and report as a finding the total number of sulfur credits generated, and agree
this number with the number reported to EPA
Credit purchases and sales - must be completed for a refinery or importer that is a transferor or
transferee of credits during an averaging period:
o Obtain contracts or other documents for all credits transferred to another refinery or
importer during the year being reviewed; compute and report as a finding the number
and year of creation of credits represented in these documents as being transferred
away; and agree with the report to EPA
o Obtain contracts or other documents for all credits received during the year being
reviewed; compute and report as a finding the number and year of creation of credits
represented in these documents as being received; and agree with the report to EPA
Credit expiration requirements:
o A refinery or importer that possesses credits during an averaging period must obtain a
list of all credits in the refiner's or importer's possession at any time during the year
being reviewed, identified by the year of creation of the credits
Credit reconciliation requirements - must be completed each year credits were in the refiner's or
importer's possession at any time during the year:
o Obtain the credits remaining or the credit deficit from the previous year from the refiner's
or importer's report to EPA for the previous year
o Compute and report as a finding the net credits remaining at the conclusion of the year
being reviewed by totaling:
Credits remaining from the previous year; plus
Credits generated under in an averaging period; plus
Credits purchased; minus
Credits sold; minus
Credits used; minus
Credits expiring; minus
Credit deficit from the previous year
o Agree the credits remaining or the credit deficit at the conclusion of the year being
reviewed with the report to EPA
o If the refinery or importer had a credit deficit for both the previous year and the year
being reviewed, report this fact as a finding
5.1.6 Small Refiner and Small Volume Refinery Applications
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Applications for small refiner and small volume refinery status must be submitted
to EPA by January 1, 2015 and contain the information provided in Table 10.
Table 10.
Small Refiner/Small Volume Refinery Application Requirements (40 CFR 80.1622)
General:
o If EPA finds that a refiner provided false or inaccurate information in its small refiner
status or small volume refinery status application under this subpart, the refiner's small
refiner or small volume refinery status will be void as of the effective date of this subpart
o Small refiner and small volume refinery status applications, and any other
correspondence required by 40 CFR 80.1620 through 80.1622 must be sent to the
following address:
U.S. EPA—Attn: Tier 3 Program (Small Refiner/Small Volume Refinery Application)
6406J
1200 Pennsylvania Avenue NW
Washington, DC 20460
Application requirements for small refiner status - submitted for the refiner and for all subsidiary
companies, parent companies, subsidiaries of the parent companies, and joint venture partners:
o A listing of the name and address of all company locations for the period January 1,
2012 through December 31, 2012
o The average number of employees at each location, based on the number of employees
for each pay period for the period January 1, 2012 through December 31, 2012
o The type of business activities carried out at each location
o For joint ventures, the total number of employees includes the combined employee
count of all corporate entities in the venture
o For government-owned refiners, the total employee count includes all government
employees
o The total corporate crude oil capacity of each refinery as reported to the Energy
Information Administration (EIA) of the U.S. Department of Energy (DOE), for the period
January 1, 2012 through December 31, 2012 (NOTE—the information submitted to EIA
is presumed to be correct; in cases where a company disagrees with this information,
the company may petition EPA with appropriate data to correct the record when the
company submits its application)
Foreign small refiners applying for approval under this section must send the total
corporate crude oil capacity of each refinery for the period January 1, 2012 through
December 31, 2012, to the address listed in 40 CFR 80.1622(g)
o The application must be signed by the president, chief operating or chief executive
officer of the company, or his/her designee, stating that the information is true to the best
of his/her knowledge, and that the company owned the refinery as of December 31,
2012
o Name, address, phone number, facsimile number, and email address of a corporate
contact person
Application requirements for small volume refinery status - submitted for each refinery applying
for small refinery status:
o A listing of the name and address of each small volume refinery owned by the company
o The total crude throughput of each small volume refinery, defined as the total crude oil
feedstock input into the refinery less the volumes injected into the crude oil supply after
refinery processing, as reported to EIA, for the period January 1, 2012 through
December 31, 2012. The information submitted to EIA is presumed to be correct. In
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5.0 Registration, Reporting, Recordkeeping and Other Compliance Requirements
cases where a company disagrees with this information, the company may petition EPA
with appropriate data to correct the record when the company submits its application.
Foreign refiners applying for small volume refinery approval under this section must
send the total crude throughput of each small volume refinery, defined as the total
crude oil feedstock input into the refinery less the volumes injected into the crude oil
supply after refinery processing of each refinery for the period January 1, 2012
through December 31, 2012, to the address listed in 40 CFR 80.1622(g)
o The application must be signed by the president, chief operating or chief executive
officer of the company, or his/ her designee, stating that the information is true to the
best of his/her knowledge, and that the company owned the refinery as of December 31,
2012
o Name, address, phone number, facsimile number, and email address of a corporate
contact person, officer of the company, or his/her designee, stating that the information
is true to the best of his/her knowledge, and that the company owned the refinery as of
December 31, 2012
Additional application requirements for foreign refiners:
o Small refiner or small volume refinery status applications must:
Contain all of the elements required in 40 CFR 80.1622(b) or (c), as applicable
Demonstrate compliance with 40 CFR 80.1620
Be submitted by June 1, 2016
Small refiner Qualification criteria
The criteria for consideration as a small business are listed in Table 2. In
addition to the information in the table, entities eligible for qualification as a small refiner
must demonstrate that they meet the following criteria:
produced transportation fuel at its refineries by processing crude oil
through refinery processing units from January 1, 2012 through December
31,2012;
had an average of no more than 1,500 employees corporate-wide, based
on the average number of employees for all pay periods from January 1,
2012, to January 1, 2012 for all subsidiary companies, all parent
companies, all subsidiaries of the parent companies, and all joint venture
partners1; and
had a corporate-average crude oil capacity less than or equal to 155,000
barrels per calendar day (bpcd) for 20122.
The following are not eligible for consideration as a small business under the
rule: entities that do not own or operate a refinery; entities that do not produce gasoline
from crude; and refiners who qualify as small refiners and who subsequently employ
more than 1,500 people as a result of merger with, or acquisition of, another entity.
1 As with all prior and existing 40 CFR part 80 fuel programs, the effective dates for the determination of
employee count and for calculation of the crude capacity represent the most recent complete year prior to
the issuing of the proposed rulemaking (2012, in this case).
2 Ibid.
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In determining its total number of employees and crude oil capacity, a refiner
must include the number of employees and crude oil capacity of any subsidiary
companies, any parent company and subsidiaries of the parent company, and any joint
venture partners.
Small volume refinery Qualification criteria
To be approved as a small refinery for the Tier 3 program, a refiner must show
that the refinery meets the following criteria:
net crude throughput threshold of no more than 75,000 bpcd, based on
the highest throughput in calendar years 2011 or 2012 as the basis for
receiving small volume refinery status;
produced gasoline from crude oil during the 2012 calendar year;
the refiner must have owned and operated the refinery during the period
from January 1, 2012 through December 31, 2012.
In the case of small volume refineries, the application process for qualification is
similar to that of a small refiner. A refiner that is both a small refiner and owns a small
volume refinery need not apply for small volume refinery status; the small refiner
application is all that is needed.
What is the difference between a small refiner and a small volume refinery?
A small refinery (per the Energy Policy Act of 2005, or EPAct) is "...a refinery for
which the average aggregate daily crude oil throughput for a calendar year...does not
exceed 75,000 barrels."3 As shown in Table 2 above, this term is different than SBA's
small business category for refiners, which is what the Regulatory Flexibility Act (RFA)
and SBREFA are concerned with. EPA is required under RFA to consider impacts on
small entities meeting SBA's small business definition—these entities are referred to as
"small refiners"—for our regulatory flexibility analysis under SBREFA. A small refinery,
per EPAct, is a refinery where the annual crude throughput is less than or equal to
75,000 barrels (i.e., a small-capacity refinery), and could be owned by a larger refiner
that exceeds SBA's small entity size standards. The small refinery definition is facility-
based, whereas the small refiner definition is company-wide. The small business
employee criteria were established for SBA's small business definition to set apart those
companies which are most likely to be at an inherent economic disadvantage relative to
larger businesses due to their size.
Loss of small refiner or small volume refinery status
If a refiner qualifies for small refiner or small volume refinery status, and
subsequently fails to meet all the qualifying criteria as set out in 40 CFR 80.1620
through 80.1622, as applicable, the refiner will be disqualified as a small refiner/small
volume refinery and will be subject to the general program requirements. In the event of
a disqualification, the refiner must notify EPA in writing no later than 20 days following
the disqualifying event. However, disqualification shall not apply:
! As defined in 42 U.S.C. 7545(o)(1)(D) and 42 U.S.C. 7545(o)(1)(K).
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5.0 Registration, Reporting, Recordkeeping and Other Compliance Requirements
In the case where a small refiner exceeds the employee count or crude capacity
by normal business practice, rather than through merger or acquisition
In the case of a merger between two approved small refiners
If a refinery that is owned by an approved small refiner, or that has approved
small volume refinery status, is acquired by another refiner, the refinery will be given an
additional 30 months from the purchase date to come into compliance with the Tier 3
standards. The refiner who acquired the refinery must also notify EPA in writing no later
than 20 days following the acquisition.
5.2 Requirements for Small Certifiers of Tier 3 Vehicles
40 CFR 86.1860-17, 86.1861-17, and 86.1862-14 in the regulatory language
associated with the Tier 3 final rule (pages 23734-23736) cover the exhaust and
evaporative emissions compliance requirements and recordkeeping requirements for all
certifiers of Tier 3 vehicles, including small entities and Small Volume Manufacturers.
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Tier 3 Vehicle Emission and Fuel Standards Rule Small Entity Compliance Guide
6. For More Information
Where can I go If I have questions or need further assistance?
For questions related to the Tier 3 program, please contact the EPA Fuels
Support Line at:
support (S)epamts-support. com
Where can I find rulemakinci documents?
The final Tier 3 rulemaking (79 FR 23414, April 28, 2014) can be found on the
Government Printing Office webpage at:
www.apo.gov/fdsvs/pka/FR-2014-04-28/pdf/2014-06954.pdf
All rulemaking documents and information regarding the Tier 3 rule can be found
on the Tier 3 webpage at:
www. epa. gov/otag/tier3. htm
The Tier 3 regulations can be found via the Electronic Code of Federal
Regulations, Title 40 (Parts 79, 80, 85, 86, 600, 1036, 1037, 1039, 1042, 1048,
1054, 1065, and 1066):
http://www.ecfr.gov/cgi-bin/text-
idx?SID=1b30dd64b37ca13b6378002afaOa5755&tpl=/ecfrbrowse/Title40/40tab
O2.tpl
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