2004 I/M Program Annual Report Executive Summary

Executive Summary

The United States Environmental Protection Agency (USEPA or EPA) has defined the reporting requirements for all state-run Inspection/Maintenance (I/M) programs in 40 CFR Part 51.366 (7-1-98 Edition). The I/M program for the State of New York (the State) is jointly administered by the New York State Department of Environmental Conservation (NYS DEC) and the Department of Motor Vehicles (NYS DMV). This report reflects the coordination between the two agencies and is being submitted to the EPA to fulfill the State's annual reporting requirements for the calendar year of 2004, as well as the biennial report addressing changes during the period of January 1, 2003 to December 31, 2004.

Since 1998, the State has implemented a high enhanced I/M program in the nine counties of the New York Metropolitan Area (NYMA). A mass emission transient test, referred to as the New York Transient Emission Short Test (NYTEST), is the cornerstone of this program. In 2004, about 3.7 million registered vehicles and trucks received an annual inspection and emissions test. In addition, a limited number of testing facilities have commenced OBDII inspections, in lieu of NYTEST, for model years 1996 and later light duty fleet.

A low enhanced I/M program has been implemented in the remaining fifty-three counties of New York (Upstate New York or UPSTATE) since 1998. Through coordination and cooperation, September 17, 2004 was marked as the operation starting date and December 1, 2004 the official startup of the New York Vehicle Inspection Program (NYVIP) for UPSTATE, with the use of a computerized network and database and the implementation of an OBDII inspection program for model years 1996 and later light duty fleet.

With the Consent Order filed on September 6, 1977, the taxi fleet in New York City is required to be emissions tested on a three times per year basis. These vehicles have been included in the NYMA enhanced I/M Program since 1998. Following upgrades to their Woodside testing facility, the New York City Taxi Limousine Commissions (TLC) commenced OBDII inspections for all Yellow Medallion taxi cabs on December 8, 2003.

The State's goal is to implement the OBDII inspection program for the entire State of New York in 2005 and to continue improving the performance of the many tasks that are already in place in the program. New York will maintain conformance with the I/M State Implementation Plan (SIP) and its intended goal: cleaner air for the residents of New York.

I. INTRODUCTION

In keeping with the Federal Clean Air Act Amendments (CAAA) of 1990, the NYS DEC and the NYS DMV in 1998 jointly implemented a high enhanced I/M program for NYMA and a low enhanced I/M program for UPSTATE, as outlined in the State's March 1996 I/M SIP.

In accordance with the reporting requirements described under 40 CFR Part 51.366 paragraphs (a) through (d), this report documents all the required annual information for the I/M program operations in the State of New York, including a high enhanced I/M program in NYMA, a low enhanced I/M program in UPSTATE, and a special New York City taxi OBDII inspection program. The reporting period is from January 1, 2004 to December 31, 2004.

Further, this report serves as the biennial report, required under 40 CFR Part 51.366 paragraph (e), addressing changes made in I/M program operations in the State of New York during the period of January 1, 2003 to December 31, 2004.

A. High Enhanced I/M Program in NYMA

A high enhanced I/M Program is applied in the following nine counties in NYMA:

Nassau and Suffolk counties in Long Island,
the five counties of New York City: Bronx, Kings, New York (or Manhattan), Queens, and Richmond, and,
Rockland and Westchester counties located immediately north of the New York City.

Under the 1990 CAAA, the entire NYMA and seven towns in southern Orange county were designated as a severe non-attainment area for the one-hour ozone National Ambient Air Quality Standard. The City of New York and the counties of Nassau and Westchester were designated as non-attainment for CO until 2002 when they were re-designated as a maintenance area. New York County is also a moderate non-attainment area for PM₁₀.

An idle test I/M program was implemented in NYMA in 1981. A high enhanced I/M program in the pre-existing decentralized test-and-repair network was proposed in the State's I/M SIP in March 1996, with the EPA's approval on June 7, 2001. The program is based on the New York Transient Emissions Short Test (NYTEST), a dynamometer-based mass emissions analyzer system (which includes a dynamometer, BAR 97 analyzer, VMAS^TM unit, NYTEST software, and camera) that utilizes the IM240 driving cycle. On January 1, 1998, the idle emissions test program was replaced by the high enhanced I/M program. By May of 1999, this enhanced I/M program was fully functional for the entire NYMA. During 2004, a total of 4,023 testing facilities participated in this enhanced I/M program.

Under this high enhanced I/M program, all vehicles registered to operate in NYMA are required to have a safety inspection annually as well as at the time of vehicle ownership change. Except for diesel-fueled vehicles, electric vehicles, motorcycles, historic vehicles, farm equipment, and two-cycle spark ignition vehicles, all registered vehicles between the ages of two and twenty-five inclusive are required to have an emissions test. The required emissions test includes:

a comprehensive visual inspection of a given list of emissions control devices (ECDs) when applicable,
a gas cap integrity (or pressure) check,
a mass-based emissions test, or NYTEST, for 1981+ light-duty vehicles (LDVs) and light-duty trucks (LDTs),
a one-speed idle test for pre-1981 light-duty fleet, 1981+ light-duty fleet equipped with an all wheel drive or non-disengageable traction control, and,
a one-speed idle test for heavy-duty vehicles (HDVs).

Since 2002, NYS DEC has been working with the three NYTEST equipment vendors (ESP, SPX, and Snap-On) to include an OBDII inspection for all 1996+ light duty fleet in lieu of the required NYTEST. On April 26, 2004, a limited number of testing facilities with ESP software commenced OBDII inspections. The SPX software for OBDII inspection was certified on August 9, 2004. As of December 31, 2004, 726 NYTEST testing facilities in NYMA have been performing OBDII inspections.

Note that a NYVIP-based OBD software (described in the next section) will be used for both Upstate and NYMA. Hence, as planned, this NYTEST-based OBD software certified by the State became obsolete in April 2005.

B. Low Enhanced I/M Program in UPSTATE

Being located within the Ozone Transport Region (OTR), a low enhanced I/M program was implemented in the remaining fifty-three counties of New York (UPSTATE) in January 1998, as outlined in the State's March 1996 SIP.

Under this program, all vehicles registered to operate in UPSTATE are required to have a safety inspection annually as well as at the time of vehicle ownership change. Except for diesel-fueled vehicles, electric vehicles, motorcycles, historic vehicles, farm equipment, and two-cycle spark ignition vehicles, all registered vehicles, between the ages of two and twenty-five inclusive are required to have an emissions test. The required emissions test includes:

a comprehensive visual inspection of a given list of ECDs when applicable, and,
a gas cap presence check.

Since 2002, NYS DMV and NYS DEC have been working together toward an eventually statewide implementation of an OBDII-based I/M program. The program, named New York Vehicle Inspection Program (NYVIP) started initially in UPSTATE. NYVIP includes the setup of an electronic database network for collecting vehicle inspection and emissions test data and the implementation of an OBDII inspection program for 1996 and later model year LDVs and LDTs.

The NYVIP data collection commenced on September 17, 2004, and the NYVIP officially started on December 1, 2004 with the participation of 5,726 testing facilities across the fifty-three Upstate counties. Graph 1 shows the distributions of the vehicle emission inspection stations in Upstate New York.

A NYMA version of the NYVIP software was approved in November 2004, and NYVIP expanded into the NYMA in April 2005.

C. New York City Taxi Limousine Commissions (TLC) OBDII Inspection Program

The New York City TLC, under terms of a Consent Order with the City and other parties filed on September 6, 1977, is required to provide emissions testing for all its medallion taxi fleet on a three times per year basis. Since 1998, the entire taxi fleet operating in NYMA has been included in the high enhanced I/M program.

In March 2003, TLC selected a contractor, SysTech International, and commenced working toward an OBDII inspection program for the Yellow Medallion taxi fleet. The contract required that SysTech upgrade the existing TLC Woodside inspection facility and design the computer software for data collection. On December 8, 2003, the first two lanes at the TLC's inspection facility began safety and OBDII inspections. By August of 2004 all six lanes were operational.

All of the TLC's 13,913 Yellow Medallion taxis are from 1996 and later model years. At four month intervals, all Yellow Medallion taxis, including those at age two years and newer, are required to undergo the following with no provision for waivers:

a comprehensive safety check on various components of the vehicle including headlight, suspension, side slip, and brake system,
visual inspections including ECD tampering check, and,
an OBDII inspection.

As of December 31, 2004, two issues remain related to the OBDII inspection program. The first issue was the fact that the OBDII inspection software did not include the failure criteria for either "no communication" or "readiness" (hence resulting in lower than expected OBDII failure rates). The other issue was that the gas cap presence check was not reported even though the check is included in the visual inspection procedure. It is anticipated that both issues should be resolved in 2005.

II. DATA ANALYSIS AND REPORTING

The collection of accurate data is essential to the management, evaluation, and enforcement of an efficient I/M program. The State's high enhanced I/M program in NYMA has been collecting vehicle inspection and emissions testing data since the onset of the program in January 1998. Quality control data related to NYTEST emissions testing equipment have also been collected since August 2001. The low enhanced I/M program for UPSTATE has been collecting computerized vehicle inspection and emissions test data since September 17, 2004. Computerized OBDII inspection data collected by the TLC since December 8, 2003 have also been provided to NYS DEC.

A. Computerized Network

Under contracts with NYS DMV, SGS Testcom, Inc. has been the Data Manager for the NYMA I/M program since 1998, and the Program Manager for the NYVIP since 2004. A computerized network is utilized by both programs for transmitting the real-time field data from all decentralized test-and-repair inspection stations to both NYS DMV and the Contractor's computer servers. The same data is then downloaded and provided to NYS DEC on a regular interval.

Data management meetings are held every month with full participation from NYS DMV, NYS DEC, and SGS Testcom. During these meetings, network performance and efficiency related issues are discussed based on various statistics compiled by the Contractor. Quarterly data management system statistics, provided by SGS TestCom, are summarized in Table II.A.

The computerized network for both NYMA and UPSTATE has also been utilized as a means for communications between the Contractor and the 9,000+ inspection facilities across the State. In addition, real-time inspection activities were also being monitored by NYS DMV and the Contractor based on various enforcement criteria. More effective enforcement actions have resulted and are presented in the Quality Assurance Report and Quality Control Report sections.

SysTech, International, under a contract with TLC, is the Program Manager for the TLC OBDII inspection program. Data has been provided to NYS DEC on a monthly basis and to NYS DMV on an annual basis.

B. Test Data Report

Overall statistics related to the registered vehicle fleet (based on unique vehicle identification numbers, or VINs), by model year and by fuel type, from both the NYMA and UPSTATE areas for year 2004 are provided in Appendix A. Note that certain vehicle types that are exempted from the I/M program (e.g., all-terrain vehicles, motorcycles, farm equipment, commercial semi-trailers, snowmobiles, and motorboats) have been excluded from the Appendix A statistics. In addition, vehicles under TLC's jurisdiction are included in the Appendix A statistics, since they are required to be registered in NYMA.

As can be seen from Appendix A, 97.9% of the vehicles registered in NYMA and 97.57% of those in UPSTATE were gasoline powered. Diesel-fueled vehicles represented 2.06% of the NYMA fleet and 2.41% of the UPSTATE fleet. Less than 0.05% of the vehicles were compressed natural gas, propane, flex fueled or electric.

Summary statistics related to the three types of emissions test programs -- a high enhanced I/M program in NYMA, a low enhanced I/M program in UPSTATE, and the TLC OBDII inspection program, are provided in Tables II.B.1 and II.B.2. It is noted that, as the use of a State-certified OBDII software was limited to 726 testing facilities in NYMA, only 6.17% of the model years 1996 to 2002 light duty fleet received OBDII inspections in 2004. Statistics from the UPSTATE program were based on NYVIP data collected during the period of 9/17/2004 to 12/31/2004 only. Statistics from the TLC taxi cab program were based on data collected from 12/8/2003 to 12/31/2004, with all vehicles tested every four months.

Detailed statistics based on the emissions tested light-duty fleet, by vehicle model year and vehicle type, are presented in Appendices B and C.

From a total of 2,435,020 LDVs operating in NYMA, 88,832 (3.65%) had OBDII inspections with a 9.34% failure rate and a 2.74% waiver rate; 2,185,223 (or 89.74%) were transient tested (NYTEST) with a 6.09% failure rate and a 1.46% waiver rate; and the remaining 160,965 vehicles (6.61%) had idle tests with a 1.69% failure rate and a 0.29% waiver rate. From a total of 1,235,925 LDTs operating in NYMA, 51,706 (4.18%) had OBDII inspections with a 10.40% failure rate and a 2.62% waiver rate; 829,781 (or 67.14%) were transient tested with a 6.16% failure rate and a 1.39% waiver rate; and the remaining 354,438 vehicles (28.68%) had idle tests with a 1.35% failure rate and a 0.36% waiver rate.
Based on the 3½ months of data received from UPSTATE in 2004, 292,023 (or 64.83%) of the vehicles were 1996+ model years. From 155,297 LDVs that had OBDII inspections, 8.35% failed with a 0.10% waiver rate. A total of 127,897 LDTs had OBDII inspections with a failure rate of 10.0% and a waiver rate of 0.08%.
With "no communication" and "readiness" not being included in the OBDII failure criteria in TLC's software, the failure rates were 19.61% for the LDVs and 12.75% for the LDTs.

Appendix C is a summary of the anti-tampering ECD check and gas cap test results. The NYMA vehicles had lower overall ECD check failure rates (0.04% for LDVs and 0.04% for LDTs) than those from UPSTATE (0.27% for LDVs and 0.24% for LDTs). The TLC taxi cabs had the highest ECD check failure rates (2.80% for LDVs and 0.96% for LDTs). However, the NYMA fleet gas cap failure rates (0.09% for LDVs and 0.10% for LDTs) were higher than those from UPSTATE fleet (0.07% for LDVs and 0.04% for LDTs). No gas cap check data were collected for the TLC data during this reporting period.

Appendix D describes the initial test volume and failure rate statistics by vehicle model year from each county and each vehicle type (LDVs and LDTs). Note that the TLC data is not included in the Appendix D statistics. In addition, there are three different types of emissions tests (OBDII, NYTEST, and idle) in NYMA counties, and only OBDII inspections in the UPSTATE. Therefore, Appendix D Tables 1.1 to 1.12 are statistics primarily for the counties with three different types of emissions tests, which include: the NYMA nine counties, two UPSTATE counties (Orange and Putnam) where a few testing facilities are licensed and equipped to perform NYTEST and idle tests, and "Other" that consists of testing facilities with unknown NYMA or UPSTATE designations and an inspection station located in Jersey City, New Jersey under the jurisdiction of Port Authority of New York and New Jersey. Statistics from the remaining fifty-one UPSTATE counties are being reported in Appendix D Tables 2.1 to 2.9.

Detailed average emission reductions due to repairs based on NYMA data are provided in Appendix E. The overall average emission reductions from 114,345 LDVs that failed the transient test were: 0.85/13.69/1.63 in g/mi for HC/CO/NOx, respectively. The overall average emission reductions from 42,816 LDTs that failed the transient test were: 1.09/15.03/2.24 in g/mi for HC/CO/NOx, respectively. The overall average emission reductions from 2,305 LDVs that failed the idle test were: 167 ppm for HC and 1.27% for CO. The overall average emission reductions from 4,140 LDTs that failed the idle test were: 283 ppm for HC and 1.58% for CO.

C. Quality Assurance Report

Considerable progress continues to be made in NYS DMV's quality assurance programs. Case development and hearing testimony training, based on a more refined and efficient procedure developed during previous years, has been in place for use by the enforcement personnel since 2002. The use of intranet-based query offerings on inspection data and inspection certificate data has resulted in more users accessing the system and shorter turnaround time in issuing administrative stops on inspection stations for failure to comply with the regulations. The electronic case-tracking management tool named CAPTAIN, developed in 2001, has also been fully functional since 2002. Refinements of the desk audit techniques and administrative stop capabilities are continuing.

1. NYMA

The results of the various NYS DMV compliance efforts in the NYMA I/M program are summarized in Table II.C.1. From a total of 4,032 certified inspection stations and a total of 13,929 inspectors licensed and certified to conduct safety inspections and emissions tests in NYMA, a total of 8,881 overt audits was performed. All inspection stations have received at least one overt audit, with most stations receiving two. Stations not receiving two overt audits were typically new facilities whose premises were recently (initially) inspected by field personnel for compliance with regulations prior to operation. In addition to these "regularly scheduled" overt audits, inspection stations were also specially targeted for overt audits based on their history of having high frequencies of idle tests performed and/or high numbers of gas cap tests bypassed. As a result of hearings related to overt audits, 12 inspection stations were suspended for a total number of 359 days.

A total of 18 covert vehicles and 23 covert auditors were made available for use in the undercover audit work in NYMA. A total of 1,848 covert audits and 16 inspection station surveillance audits were performed. As a result of hearings related to covert and surveillance audits, 32 inspection stations were suspended for a total of 753 days. Of the covert audits that were completed, 46 vehicles were set to fail on one component of the emissions tests and 53 were set to fail for two or more. Components set to fail included: 46 for catalyst, 53 for EGR, 53 for PCV, 53 for evaporative emission system, (none in 2004 for other components such as gas cap, ignition system, oxygen sensor, MAP, mass air flow, fuel pressure, and air filter), and numerous for safety inspection related failures. From these, 74 inspection stations correctly failed the vehicle, no inspection station false passed with vehicles set to fail on one component, 19 false passed with vehicles set to fail on two or more components, and 3 inspection stations did not do the inspections. Among the covert audits, the inspection stations were allowed to diagnose and repair the vehicles: three of the facilities diagnosed and repaired the vehicles properly.

Desk audits were primarily based on weekly queries of inspection data focused on some preset criteria such as intentionally bypassing the transient tests via incorrect vehicle weight code, vehicle type, and/or traction control/all wheel drive code. This desk audit work has proven to be more efficient in producing results than the costlier covert audits required by the EPA. In 2004, a total of 881 desk audits was performed, with 13 inspection stations suspended for 359 days. Consumer complaints are also being used as a source of enforcement action. Based on a total of 260 cases, 19 inspection stations were suspended for 435 days.

In addition, the use of administrative stops in NYS DMV's quality assurance program has been viewed as an extremely effective tool. Usually the administrative stops are the direct result of desk audits described above (via weekly queries of the database), telephone requests by the field staff, or from NYS DEC's NYTEST equipment audits. Administrative stops are placed on the facility file to prevent the inspection stations from performing inspections/emissions tests until they conform to the requirements of the license or registration they hold. These have been very effective in the NYTEST real-time environment. Table II.C.3 summarizes the statistics on administrative stops. As shown, during 2004, a total of 568 administrative stops was issued.

2. UPSTATE

Statistics on various elements in the UPSTATE quality assurance program are presented in Table II.C.2. There were 5,726 licensed inspection stations and a total of 15,725 inspectors certified to conduct safety and OBDII inspections in the UPSTATE area. A total of 9,780 overt audits was performed. As a result of hearings related to overt audits, two inspection stations were suspended for a total of 200 days. A total of 1,093 covert audits was performed. From hearings related to covert audits, 32 inspection stations were suspended for a total of 2,369 days.

A total of 13 covert vehicles and 32 covert auditors was made available for use in the undercover audit work for UPSTATE. A total of 318 cases of consumer complaints was received. As a result of hearings related to consumer complaints, 16 inspection stations were suspended for a total of 1,235 days.

During 2004, the administrative stop utilized in the UPSTATE paper-based program has been less effective than that in the NYMA program. Inspection facilities are unable to procure any additional stickers when they have a stop on their facility license. Statistics on administrative stops are presented in Table II.C.3. As shown, a total of 118 administrative stops was issued for UPSTATE during 2004.

D. Quality Control Report

For the high enhanced I/M program in NYMA, a fully decentralized test-and-repair network demands increased quality control resources when compared to the centralized test-only design. The NYTEST equipment utilizes three main components to analyze and evaluate vehicle exhaust emissions: Dynamometer, VMAS^TM sampler, and analyzer gas bench. Many of the analyzers check requirements defined in 40 CFR Part 51.359 were developed for high-volume centralized test programs using laboratory grade instruments, and therefore, are not directly applicable to the NYTEST environment. In addition, given the high number and geographic dispersion of the inspection facilities located in NYMA, it is not feasible for NYS DEC to conduct performance audits twice a year for each inspection station.

Procedures to conduct NYTEST equipment audits at the NYMA inspection stations were developed in 2001, and the full equipment audits commenced in August 2001. In 2004, NYS DEC visited 471 stations and conducted a total of 445 audits. Table II.D summarizes the NYTEST equipment audit statistics for 2004. Note that many inspection facilities failed the equipment audits for more than one reason. Therefore, the audit failure percentages in Table II.D would add up to more than 100%. The top three audit failures were: leak check, flow check, and gas audit.

The percentage of stations failing the NYTEST equipment audit was increased in 2004 due mainly to the "targeting" of stations. Stations were specifically selected for audit based on the reported performance data indicating potential problems: i.e., did not fail any vehicles, performed too many idle tests, had high frequency of bypassing the gas cap test, or had extremely high emissions.

Administrative stops (or a shutdown) are issued to inspection stations that fail the NYTEST equipment audits, per discussions in the Quality Assurance Report section. Note that an audit failure for any of the reasons listed in Table II.D did not necessarily lead to an administrative stop, since the majority of the audit failures were remedied/corrected within the required seventy-two hour time frame. As shown in Tables II.C.3 and II.D, a total of 255 failed NYTEST equipment audit cases was noted. Only two administrative stops/facility shutdowns were issued by NYS DMV, due to the fact that the other inspection stations made the necessary repairs in a timely manner.

Additionally, as part of the required NYTEST software update conducted by the vendors during 2001, certain analyzer quality assurance checks (i.e., periodic calibrations) are required on a daily and weekly basis. The software is designed to assure that acceptance criteria are met, otherwise the analyzer would be "locked out" and prevented from further testing until appropriate and necessary repairs are made. This quality control check information is automatically recorded and transferred to the NYS DEC in the form of calibration records. These records have also been used to target facilities for a NYTEST equipment audit. In 2004, a total of 108,299 calibration records was received. This number is only 44% of the calibration data NYS DEC received in 2003. It is estimated that 56% of the calibration data were lost due to Data Manager's insufficient data recovery plan.

A quality control program based on an OBDII scanning tool audit procedure is yet to be developed for use in both NYMA and UPSTATE.

E. Enforcement Program Report

The high enhanced I/M program in NYMA has provided mandatory annual safety inspections for all light-duty fleet and mandatory annual safety inspections with emission tests for an estimated 76.44% of the light-duty fleet. In 2004, a total of 5,316,180 inspection stickers was issued for NYMA. With the NYVIP data collection commenced on September 17, 2004, 74.51% of the light-duty fleet was required to be emissions-tested and a total of 431,587 inspection stickers were issued for UPSTATE. Under both programs, stickers are being generated by the computer with a security font. With the computerized network system, the number of stickers missing, stolen, or sold has decreased.

NYS DMV implemented a registration-based denial enforcement program in 2001. This program was phased in gradually based on a vehicle's model year. Full implementation was successfully reached in late 2002 for NYMA with all model years that require emissions testing being included in this enforcement program.

Under the program, motorists must have a valid inspection record on file within the previous 15 months upon registration renewal. Otherwise, a warning is printed on the registration renewal invitation. In the event that motorists provide sufficient proof (e.g., valid sticker number or receipt) later on, the denial would be overridden and renewal of registration would be allowed. During 2004, 127,584 motorists received a warning with their registration renewal invitation. Of the motorists who received the warning, 53,509 (41.94%) still attempted to renew their registration without correcting the problem and were denied renewal. The summary of this month by month registration denial enforcement program statistics is provided in Table II.E. This program is yet to be adapted to UPSTATE, as it is necessary to build up at least one year's inspection record database first.

Vehicle information, such as a registration expiration date, area of operation (i.e., NYMA or UPSTATE), vehicle weight class, provided by the motorists at the time of vehicle registration, has already been built into the bar-code entries which are required and transmitted to the database at the time of vehicle inspection/emissions testing. Both NYS DEC and NYS DMV have been utilizing the database as a computer matching-based enforcement program to monitor the vehicle information and check for validity. For example, a transient-tested vehicle must not be coded as a heavy-duty vehicle, or a model year 1996+ light duty vehicle must receive an OBDII inspection. In addition, issues related to clean scanning and repair waivers are also being examined. These rigorous studies and investigations are ongoing, and have resulted in record updates and data corrections.

From the inspection sticker compliance survey, NYS DMV inspected 9,600 stickers from vehicles in NYMA. An overall compliance rate of 98.29% was found. The results can be broken down by the following categories: 32 (0.33%) had no stickers, 8 (0.08%) had the wrong stickers, 86 (0.90%) with stickers expired for 60 days or less, and 38 (0.40%) with stickers expired over 60 days. This inspection sticker compliance survey has not been adapted for UPSTATE vehicles as yet.

Another enforcement activity utilized by NYS DMV is based on the traffic tickets issued by law enforcement from multiple sources such as state, county and local courts. There were 132,075 traffic tickets issued to motorists in 2004 for having a 306B violation (i.e., operating uninspected vehicles) 35,585 of them were issued within NYMA and 96,490 within UPSTATE.

With the implementation of NYVIP in UPSTATE, some of the programs such as the computer matching-based enforcement program and parking lot sticker audits that are currently operational in NYMA have been partially adapted for UPSTATE. Other programs such as registration-based denial enforcement program and inspection sticker compliance surveys have not been fully implemented to UPSTATE as yet.

III. BIENNIAL REPORTING

Changes made during 2003 and 2004 that affect the State of New York I/M program design, funding, personnel levels, procedures, regulations, and legal authorities are summarized in the following three sections:

OBDII inspection program implementation
NYVIP implementation for UPSTATE
More stringent cutpoints for NYTEST

Detailed discussions and evaluation of the impact on the program from all the changes are presented in the following sections.

A. OBDII Inspection Program Implementation

The State of New York began the process of implementing a statewide OBDII inspection program in 2002. The NYS DEC and NYS DMV have developed separate and parallel specifications for the NYMA NYTEST and UPSTATE OBDII inspection programs. Under both programs, OBDII inspection is applicable to all non-diesel, non-electric, model year 1996 and newer light-duty vehicles and trucks. New York regulations allow for the two newest model years to be exempt from OBDII inspection.

Based on the EPA final guidance document entitled "Performing On-Board Diagnostic System Checks as Part of the Vehicle Inspection and Maintenance Program" (EPA 420-R-01015, June 2001), NYS applies the following five criteria (or combinations thereof) to vehicles for failing an OBDII inspection:

the vehicle is unable to communicate with the OBDII inspection equipment,
the vehicle's Malfunction Indicator Light (MIL) does not illuminate when the ignition is in the key on/engine off (KO/EO) position,
the vehicle's MIL remains illuminated when the ignition is in the key on/engine running (KO/ER) position,
the vehicle has commanded the MIL and diagnostic trouble code(s) (DTCs) are stored in memory, and/or,
the vehicle fails the readiness evaluation.

During 2004, New York's OBDII inspection program is implemented by three approaches:

a NYTEST optional program in NYMA,
as a part of the statewide NYVIP but implemented initially for UPSTATE, and,
a centralized testing for the Yellow Medallion taxi cabs by the TLC.

Each of these programs is discussed in greater detail below.

1. NYTEST Optional OBD Inspection Program in NYMA

Since 2002, NYS DEC has been negotiating with the three NYTEST equipment providers (ESP, SPX, and Snap-On) regarding the inclusion of an "optional" OBDII inspection program. In a letter dated May 20, 2003, the vendors were requested to confirm their commitment to participate in the NYMA OBDII inspection program.

All three NYTEST equipment providers submitted software upgrades to include OBDII inspection for approval, but only ESP and SPX received authorization to market their upgrades. The optional ESP OBD upgrade was approved on July 2, 2004, and the optional SPX OBD upgrade was approved on October 18, 2004. As of December 31, 2004, 726 NYTEST testing facilities in NYMA performed OBDII inspections for 140,538 light-duty vehicles and trucks. Statistics for this optional NYTEST OBD program in NYMA are provided in Appendix B Table 1-a.

2. OBDII Inspection Program Included in NYVIP for the UPSTATE

On March 24, 2003, NYS DMV released a Request for Proposals for a Program Manager for an OBDII-based I/M program. Following the review of submitted proposals and the negotiation of terms, the NYS Comptroller's Office approved and awarded the NYVIP contract to SGS Testcom, Inc. on January 9, 2004. The contract requires SGS TestCom to complete the following tasks:

Develop, market, and install certified OBD inspection equipment to decentralized stations in UPSTATE, and eventually statewide,
Provide OBD equipment maintenance (break/fix services),
Provide data management and data transfer to both NYS DMV and NYS DEC,
Develop and maintain a public information website,
Maintain a Help Desk for NYVIP inspectors,
Develop computer-based inspector training and certification, and,
Develop and implement a public awareness program.

The NYVIP was designed to be implemented in several phases, starting initially with a program roll-out in the fifty-three UPSTATE counties and eventually leading to a statewide OBDII-based I/M program. Limited OBDII inspections, using alpha and beta versions of software, continued from January to August 2004 with approximately 30 to 40 UPSTATE stations participating. Installation of the approved final NYVIP software/equipment began on September 17, 2004 and the UPSTATE roll-out was deemed operational by December 1, 2004. As of December 31, 2004, 5,726 UPSTATE stations have submitted official NYVIP inspection records from 601,341 registered vehicles. The summary of NYVIP statistics is provided in Appendix B Table 2.

Following the development and approval of a NYMA version of the software, NYVIP delivery is scheduled to progress into the NYMA nine county area during 2005. The NYVIP NYMA roll-out was scheduled to be completed by May 2005.

3. TLC OBDII Inspection Program

On December 8, 2003, the first two inspection lanes at TLC's Woodside inspection facility started safety and OBDII inspections for the Yellow Medallions taxi fleet operating in New York City. In this special TLC OBDII inspection program, a total of 13,913 taxi cabs, including those at the age of two and under, are all required to be inspected at four month intervals with no provision for waivers. By August 2004, all six lanes were operational. Statistics from this TLC OBDII inspection program are summarized in Appendix B Table 3.

Shortly after the program start-up, TLC modified their OBDII inspection software to remove the readiness evaluation from the OBD pass/fail criteria. This change was made in an attempt to reduce excessive wait times until all inspection lanes became operational. The TLC was informed by a NYS DEC letter dated June 29, 2004 that the TLC's OBDII inspection software must be modified to include both the non-communication and the readiness criteria to be considered equivalent to the NYS OBDII inspection. Following software modifications and acceptance testing, on February 2005, NYS DEC determined that all of TLC's six OBDII inspection lanes complied with the NYS OBDII specifications. As of December 31, 2004, data reporting issues remain outstanding and are expected to be resolved in 2005.

B. NYVIP Implementation for UPSTATE

Since 2002, NYS DMV and NYS DEC have worked together toward the implementation of a statewide I/M program, NYVIP, commenced initially for UPSTATE. The objectives of this program for UPSTATE are twofold: establishing an electronic data collection network for the vehicle inspections and emission test (i.e., shifting from the previously existing paper-based program to a computer network-based system), and implementing an OBDII inspection program for 1996 and later model year LDVs and LDTs operating in UPSTATE.

On March 24, 2003, NYS released a Request for Proposals for a Program Manager. Following the review of submitted proposals and the negotiation of terms, the NYS Comptroller's Office approved and awarded the NYVIP contract to SGS TestCom, Inc. on January 9, 2004. The official NYVIP data collection commenced on September 17, 2004, and the official start of the program on December 1, 2004, with the participation of 5,726 testing facilities across the fifty-three UPSTATE counties.

The NYVIP (both the equipment and software) was scheduled to expand into the NYMA area by May of 2005.

C. More Stringent Cutpoints for NYTEST

On April 1, 2003, the final IM240 cutpoints (as shown in Table III.C) were put into effect. This implemented set of cutpoints included more stringent levels for the HC and NOx emissions of the pre-1996 LDVs and all 1981+ model year LDTs. The same set of IM240-NYTEST regression coefficients is used to convert the collected NYTEST emissions readings into the IM240 equivalent emissions values:

E_IM240 = c * E_NYTEST

where:

E_IM240 = Equivalent IM240 HC/CO/NO_x/CO₂ exhaust emissions in g/mi,
c = Regression coefficients, 1.450/0.819/0.870/0.870 for HC/CO/NO_x/CO₂, respectively, and,
E_NYTEST = Reported NYTEST HC/CO/NO_x/CO₂ exhaust emissions in g/mi.

The month by month NYTEST failure rates from January of 2003 through December of 2004 are displayed in Graph 2. As expected, the overall NYTEST failure rates increased, increases of 18.5% for LDVs and 52.2% for LDTs, between March and April of 2003. These overall increases are primarily due to the failure rate increases in both HC and NOx emissions while the CO failure rates remain relatively steady.

As these more stringent cutpoints may have more impact on the failure rates of the pre-1996 light-duty fleet, the month by month NYTEST failure rates from the pre-1996 fleet from January of 2003 through December of 2004 are shown in Graph 3. The overall failure rate increases, 24.9% for LDVs and 65.2% for LDTs, are more pronounced between March and April of 2003.

IV. CONCLUSIONS

During 2004, the State of New York implemented an OBDII inspection program as part of the I/M program for both the NYMA and UPSTATE I/M areas. For the NYMA area, OBDII inspections have commenced in a limited number of testing facilities using the upgraded NYTEST software provided by certified NYTEST equipment vendors. The NYVIP (with computerized vehicle inspections and emissions testing data and OBDII inspections for 1996 and later model years light duty fleet) commenced in UPSTATE on December 1, 2004, and presently had the full participation of testing facilities across all UPSTATE counties. The NYVIP also expanded into the NYMA in April 2005. A special TLC OBDII inspection program began on December 8, 2003, and the two unresolved issues are expected to be resolved by 2005.

More important, continuing efforts on the part of NYS DEC and NYS DMV will enable the State to maintain conformance with the SIP, and its intended goal: cleaner air for the residents of the State of New York.