Emergency Vehicle Rule--SCR Maintenance and Regulatory Flexibility for Nonroad Equipment |
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Gina McCarthy
Environmental Protection Agency
August 8, 2014
[Federal Register Volume 79, Number 153 (Friday, August 8, 2014)]
[Rules and Regulations]
[Pages 46356-46375]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-18738]
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ENVIRONMENTAL PROTECTION AGENCY
40 CFR Parts 86 and 1039
[EPA-HQ-OAR-2011-1032; FRL-9914-63-OAR]
RIN 2060-AR46
Emergency Vehicle Rule--SCR Maintenance and Regulatory
Flexibility for Nonroad Equipment
AGENCY: Environmental Protection Agency (EPA).
ACTION: Final rule.
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SUMMARY: This rule consists of three parts. First, the Environmental
Protection Agency (EPA) is adopting minimum maintenance intervals for
replenishment of consumable chemical reductant (commonly known as
diesel exhaust fluid, or DEF) in connection with the use of selective
catalytic reduction (SCR) technologies. Second, EPA is adopting
provisions allowing manufacturers of nonroad engines to give operators
the means to obtain short-term relief from emission controls while
operating in emergency situations, such as those where operation of a
nonroad engine or equipment is needed to protect human life, and where
obtaining short-term relief from emission controls enables such
operation. Third, EPA is adopting minor revisions to the direct final
rule for emergency vehicles that became effective August 7, 2012, in
response to comments received on the parallel Notice of Proposed
Rulemaking.
DATES: This rule is effective on September 8, 2014.
ADDRESSES: EPA has established a docket for this action under Docket ID
No. EPA-HQ-OAR-2011-1032. All documents in the docket are listed on the
www.regulations.gov Web site. Although listed in the index, some
information is not publicly available, e.g., CBI or other information
whose disclosure is restricted by statute. Certain other material, such
as copyrighted material, is not placed on the Internet and will be
publicly available only in hard copy form. Publicly available docket
materials are available either electronically through
www.regulations.gov or in hard copy at the EPA Docket Center, EPA/DC,
EPA West, Room 3334, 1301 Constitution Ave. NW., Washington, DC. The
Public Reading Room is open from 8:30 a.m. to
[[Page 46357]]
4:30 p.m., Monday through Friday, excluding legal holidays. The
telephone number for the Public Reading Room is (202) 566-1744, and the
telephone number for the Air Docket is (202) 566-1742.
FOR FURTHER INFORMATION CONTACT: Lauren Steele, Environmental
Protection Agency, Office of Transportation and Air Quality, Assessment
and Standards Division, 2000 Traverwood Drive, Ann Arbor, Michigan
48105; telephone number: 734-214-4788; fax number: 734-214-4816; email
address: steele.lauren@epa.gov.
SUPPLEMENTARY INFORMATION:
Does this action apply to me?
This action may affect you if you produce or import diesel engines
that make use of a consumable chemical reductant to comply with
emissions standards for nitrogen oxides.\1\ You may also be affected by
this action if you produce or import diesel engines for nonroad
applications, or if you produce or import new on-road or nonroad diesel
engines that are intended for use in vehicles that serve the emergency
response industry.
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\1\ References in this preamble to ``diesel'' engines (and the
vehicles or equipment powered by them) generally include
compression-ignition engines, including those fueled by natural gas,
as well as other alternative fuel engines that are derived from
diesel engines.
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The following table gives some examples of entities that may be
affected by this action. Because these are only examples, you should
carefully examine the regulations in 40 CFR parts 85, 86 and 1039. If
you have questions regarding how or whether this rule applies to you,
you may call the person listed in FOR FURTHER INFORMATION CONTACT.
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Examples of
Category NAICS Codes \a\ potentially regulated
entities
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Industry...................... 336111........... Engine and Truck
Manufacturers.
336112........... .....................
333618........... .....................
336120........... .....................
Industry...................... 541514........... Commercial Importers
of Vehicles and
Vehicle Components.
811112........... .....................
811198........... .....................
Industry...................... 811310........... Engine Repair,
Remanufacture, and
Maintenance.
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Note:
\a\ North American Industry Classification System (NAICS)
Table of Contents
I. Overview
A. Maintenance Intervals for Replenishment of Diesel Exhaust
Fluid
B. Nonroad Equipment Used Temporarily in Emergency Service
C. Emergency Vehicle Provisions: Amendments to Direct Final Rule
II. Statutory Authority and Regulatory Background
A. Statutory Authority
B. Regulatory Background
III. Scheduled Maintenance and Maintenance Interval for Replacement
of Diesel Exhaust Fluid
A. Background
B. Summary of the NPRM and Comments
C. Regulatory Action
IV. Nonroad Engines in Temporary Emergency Service
A. Scope of this Flexibility
B. Regulatory Action
V. Emergency Vehicle Provisions: Amendments to Direct Final Rule
A. On-Highway Vehicles
B. Nonroad Equipment
VI. Economic, Environmental, and Health Impacts of Final Rule
A. Economic Impacts
B. Environmental Impacts
VII. Public Participation
VIII. Statutory and Executive Order Reviews
A. Executive Order 12866: Regulatory Planning and Review and
Executive Order 13563: Improving Regulation and Regulatory Review
B. Paperwork Reduction Act
C. Regulatory Flexibility Act
D. Unfunded Mandates Reform Act
E. Executive Order 13132: Federalism
F. Executive Order 13175: Consultation and Coordination With
Indian Tribal Governments
G. Executive Order 13045: Protection of Children From
Environmental Health and Safety Risks
H. Executive Order 13211: Energy Effects
I. National Technology Transfer Advancement Act
J. Executive Order 12898: Federal Actions To Address
Environmental Justice in Minority Populations and Low-Income
Populations
K. Congressional Review Act
I. Overview
A. Maintenance Intervals for Replenishment of Diesel Exhaust Fluid
EPA is amending its regulations for diesel engines to add
provisions specifying emission-related maintenance and scheduled
maintenance intervals for replenishment of consumable chemical
reductant in connection with engines and vehicles that use selective
catalytic reduction (SCR) technologies. This action improves the
clarity and transparency of EPA's requirements for SCR systems.
Most manufacturers of diesel engines and vehicles subject to EPA's
standards regulating oxides of nitrogen (NOX) have chosen to
use SCR as a NOX reduction technology in order to meet these
requirements. SCR systems use a chemical reductant that usually
contains urea and is known as diesel exhaust fluid (DEF). The DEF is
injected into the exhaust gas and requires periodic replenishment by
refilling the DEF tank.
Given that SCR use is now common in the transportation sector and
replenishment of DEF is necessary for SCR to be effective, in this
final rule EPA is adding DEF replenishment to the list of scheduled
emission-related maintenance published in the Code of Federal
Regulations (CFR), and is adopting minimum replenishment intervals for
this fluid, rather than relying on a case-by-case approval as was done
under the previous regulations. We are adopting, as proposed, a minimum
DEF replenishment interval for centrally fueled vocational vehicles
equivalent in miles to the range provided by the fuel tank size; that
is, a 1:1 distance ratio of DEF refill to fuel refill. In response to
comments, we are adopting a minimum DEF replenishment interval for
other heavy-duty vehicles equivalent to the fuel range (1:1), and a
minimum interval of 4,000 miles for light-duty vehicles. See Section
III for a complete description of comments received and explanations of
the Agency's decisions.
B. Nonroad Equipment Used Temporarily in Emergency Service
EPA is adopting provisions allowing manufacturers of compression-
ignition nonroad engines (generally, those fueled with diesel fuel) to
give operators the means to obtain short-term relief from emission
controls while operating in
[[Page 46358]]
emergency situations. For purposes of this rule, an emergency situation
would be one where the disruption in the operation of a nonroad engine
or equipment would pose a risk to human life, and obtaining temporary
relief from emission controls enables operation needed to protect human
life. This relief addresses concerns about rare circumstances where
unusual conditions of the emission control system could reduce the
power, torque, or speed of engines on nonroad equipment when needed in
emergency situations. We are adopting provisions for a short-term
emergency deactivation of the normal emission controls, where such
strategies could prevent the equipment from performing emergency-
related work, such as recovery from a natural disaster. See Section IV
for a complete description of comments received and explanations of the
Agency's decisions on this provision.
C. Emergency Vehicle Provisions: Amendments to Direct Final Rule
On June 8, 2012, EPA published a direct final rule (DFR) for
dedicated emergency vehicles that went into effect on August 7, 2012
(77 FR 34130). Under the June 8, 2012, rule, engine manufacturers were
permitted to request to deploy specific emission controls or settings
approved as Auxiliary Emission Control Devices (AECDs) for new engines,
and Emergency Vehicle Field Modifications (EVFMs) for in-use engines
that are sold for use only in emergency vehicles, defined as ambulances
and fire trucks at 40 CFR 86.1803-01. EPA adopted that rule to enable
dedicated emergency vehicles with diesel engines to perform mission-
critical life- and property-saving work without risk of losing power,
speed or torque due to abnormal conditions of the emission control
systems. In this final action, EPA is revising some provisions of that
final rule, consistent with comments received.
Specifically, EPA is allowing for case-by-case review of
applications for AECDs or EVFMs for vehicles that EPA determines will
be used in emergency situations where emission control function or
malfunction may cause a significant risk to human life. With this
amendment, it is EPA's intent to include vehicles other than fire
trucks or ambulances that will be used for performing other public
safety, rescue or emergency personnel or equipment transport functions
related to saving lives and reducing injuries coincident with fires and
other hazardous situations.
EPA is also modifying the definition of emergency equipment at 40
CFR 1039.801. We are clarifying which nonroad engines meet this
definition, and we are allowing for case-by-case review of applications
for AECDs or Emergency Equipment Field Modifications (EEFMs) for other
emergency equipment. See Section V for a complete description of
comments received and explanations of the Agency's amendments to this
rule.
II. Statutory Authority and Regulatory Background
A. Statutory Authority
Section 202(a)(1) of the Clean Air Act (CAA or the Act) directs EPA
to establish standards regulating the emission of any air pollutant
from any class or classes of new motor vehicles or new motor vehicle
engines that, in the Administrator's judgment, causes or contributes to
air pollution which may reasonably be anticipated to endanger public
health or welfare. Such standards apply for the useful life of the
vehicles or engines. Section 202(a)(3) requires that EPA set standards
applicable to emissions of hydrocarbons, carbon monoxide,
NOX and particulate matter (PM) from heavy-duty trucks that
reflect the greatest degree of emission reduction achievable through
the application of technology which we determine will be available for
the model year to which the standards apply. We are to give appropriate
consideration to cost, energy, and safety factors associated with the
application of such technology. We may revise such technology-based
standards, taking costs into account, on the basis of information
concerning the effects of air pollution from heavy-duty vehicles or
engines and other sources of mobile source related pollutants on the
public health and welfare.
Section 202(a)(4)(A) of the Act requires the Administrator to
consider risks to public health, welfare or safety in determining
whether an emission control device, system or element of design shall
be used in a new motor vehicle or new motor vehicle engine. Under
section 202(a)(4)(B), the Administrator shall consider available
methods for reducing risk to public health, welfare or safety
associated with use of such device, system or element of design, as
well as the availability of other devices, systems or elements of
design which may be used to conform to requirements prescribed by (this
subchapter) without causing or contributing to such unreasonable risk.
Section 206(a) of the Act requires EPA to test, or require to be
tested in such manner as it deems appropriate, motor vehicles or motor
vehicle engines submitted by a manufacturer to determine whether such
vehicle or engine conforms to the regulations promulgated under section
202. Section 206(d) provides that EPA shall by regulation establish
methods and procedures for making tests under section 206.
Section 213 of the Act gives EPA the authority to establish
emissions standards for nonroad engines and vehicles (42 U.S.C. 7547).
Sections 213(a)(3) and (a)(4) authorize the Administrator to set
standards and require EPA to give appropriate consideration to cost,
lead time, noise, energy, and safety factors associated with the
application of technology. Section 213(a)(4) authorizes the
Administrator to establish standards to control emissions of pollutants
(other than those covered by section 213(a)(3)) which ``may reasonably
be anticipated to endanger public health and welfare.'' Section 213(d)
requires the standards under section 213 to be subject to sections 206-
209 of the Act and to be enforced in the same manner as standards
prescribed under section 202 of the Act.
B. Regulatory Background
1. On-Highway NOX and PM Standards
On January 18, 2001, EPA published a rule promulgating more
stringent standards for NOX and PM for heavy-duty highway
engines (``the heavy-duty highway rule'').\2\ The 0.20 gram per brake-
horsepower-hour (g/bhp-hr) NOX standard in the heavy-duty
highway rule first applied in model year (MY) 2007. However, because of
phase-in flexibility provisions adopted in that rule and use of
emission credits generated by manufacturers for early compliance, there
was a transition period where manufacturers were able to continue to
produce engines with NOX emissions greater than 0.20 g/bhp-
hr. The phase-in provisions ended after model year (MY) 2009 so that
the 0.20 g/bhp-hr NOX standard was fully phased-in for MY
2010. Because of these changes that occurred in MY 2010, the 0.20 g/
bhp-hr NOX emission standard is often referred to as the
2010 NOX emission standard, even though it applied to
engines as early as MY 2007.
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\2\ Control of Air Pollution from New Motor Vehicles: Heavy-Duty
Engine and Vehicle Standards and Highway Diesel Fuel Sulfur Control
Requirements (66 FR 5001).
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The heavy-duty highway rule adopted in 2001 also included a PM
emissions standard for new heavy-duty diesel engines of 0.01 g/bhp-hr,
effective for engines beginning with MY 2007. To meet this stringent PM
standard,
[[Page 46359]]
manufacturers have relied on high-efficiency diesel particulate filter
after-treatment to clean the exhaust.
2. Nonroad NOX and PM Standards
On June 29, 2004, EPA adopted technology-forcing standards for
nonroad diesel engines, phasing in from the 2011 to 2015 model
years.\3\ These are known as the Tier 4 standards. This program
includes requirements that are generally driving the use of
NOX after-treatment for engines above 75 hp and, in many
cases, diesel particulate filters, for engines above 25 hp.
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\3\ Control of Emissions of Air Pollution from Nonroad Diesel
Engines and Fuel (69 FR 38958).
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3. Related Regulations With Emergency Vehicle Provisions
a. Light-Duty GHG Standards
On October 15, 2012, in a final rule issued jointly with the
National Highway Traffic Safety Administration (NHTSA), EPA excluded
light-duty emergency and police vehicles from all phases of greenhouse
gas (GHG) emissions standards, in part due to concerns related to
technical feasibility, and in part to harmonize with NHTSA's program.
Consistent with authority under the Energy Policy and Conservation Act,
NHTSA's corporate average fuel economy program provides manufacturers
with the option to exclude emergency vehicles.\4\ In that final Light-
Duty GHG rule, EPA amended 40 CFR 86.1803-01 to clarify that emergency
vehicle for purposes of the greenhouse gas emissions standards is
different than emergency vehicle for provisions related to defeat
devices and AECDs (See 77 FR 63155).
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\4\ See 49 U.S.C. 32902(e).
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b. Marine Diesel Engine Standards
In addition to the exemption for on-highway engines from GHG
standards, EPA has provided limited regulatory relief for other types
of emergency-use engines. First, EPA's May 6, 2008, final rule adopting
Tier 3 and Tier 4 standards for marine diesel engines allows for
emergency and rescue vessels to meet an earlier, less stringent tier of
standards under 40 CFR parts 89, 94 and 1042.\5\ We adopted these
provisions to avoid compromising engine performance during emergency
operation, and to ensure that more stringent emission standards did not
cause a situation where there were no certified engines available for
emergency vessels. Such engines are not subject to the Tier 4
standards, which generally involve SCR and diesel particulate filters.
The regulations also allow for meeting a less stringent standard if
there are no suitable engines that are certified to the current
standards.
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\5\ Final Rule: Control of Emissions of Air Pollution from
Locomotives and Marine Compression-Ignition Engines Less Than 30
Liters per Cylinder, 73 FR 25098, May 6, 2008, and republished to
correct typographical errors on June 30, 2008, 73 FR 37096.
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c. On-Road and Nonroad Diesel Engine Standards
On June 8, 2012, EPA published a direct final rule for dedicated
emergency vehicles, which became effective on August 7, 2012 (77 FR
34129). This rule revised the definition of defeat device to exclude
EPA-approved Auxiliary Emission Control Devices (AECDs) for new
engines, and Emergency Vehicle Field Modifications (EVFMs) for in-use
engines that are sold for use only in fire trucks, ambulances, and
dedicated nonroad emergency equipment. This rule maintains the
applicability of the criteria pollutant emissions standards to
emergency vehicles, while providing flexibility to manufacturers to
design emission control systems that are appropriate for the extreme
duty cycles of some trucks.
III. Scheduled Maintenance and Maintenance Interval for Replacement of
Diesel Exhaust Fluid
In this action, EPA is adding new provisions in its regulations
that explicitly address replacement of DEF as part of approved
emission-related scheduled maintenance and set out the permitted
maintenance intervals for replacement of DEF on diesel-fueled new motor
vehicles, new motor vehicle engines and new nonroad compression-
ignition (NRCI) engines. The DEF refill regulations being finalized in
this action allow for shorter intervals between maintenance in certain
cases, compared to EPA's previous scheduled maintenance intervals, as
described in Section III.C. EPA has previously applied the scheduled
maintenance requirements for DEF refill through its alternate
maintenance authority in 40 CFR 86.094-25(b)(7) and 40 CFR 86.1834-
01(b)(7), which allows EPA to approve either a new scheduled
maintenance interval or a change to an existing scheduled maintenance
interval, based on a manufacturer's demonstration.
A. Background
EPA's regulations limit the emission-related scheduled maintenance
that may be performed for purposes of durability testing and for
inclusion in maintenance instructions provided to purchasers of new
motor vehicles and new motor vehicle engines. See 40 CFR 86.004-25(b);
40 CFR 86.094-25(b); 40 CFR 86.1834-01(b). The regulations include
lists of specific types of emission-related maintenance and establish
minimum allowable intervals for this maintenance. See 40 CFR 86.004-
25(b)(4); 40 CFR 86.1834-01(b)(4). For example, in general, the
maintenance interval is in miles for the adjustment, cleaning, or
repair of fuel injectors, turbochargers, electronic engine control
units, particulate trap or trap-oxidizers, exhaust gas recirculation
systems, and catalytic converters. The minimum allowable limit is
100,000 miles of use (and then at 100,000 mile intervals thereafter)
for diesel cycle light-duty vehicles, diesel cycle light-duty trucks,
and light heavy-duty diesel engines and 150,000 miles for medium and
heavy heavy-duty diesel engines. The regulations also allow
manufacturers to request a different maintenance schedule or to request
new scheduled maintenance, which includes maintenance that is a direct
result of the implementation of new technology not found in production
prior to MY 1980. This allowance is specified in 40 CFR 86.094-25(b)(7)
and 40 CFR 86.1834-01(b)(7), and it is sometimes known as the (b)(7)
process. This process requires manufacturers to justify that the
additional maintenance is necessary and to demonstrate, for critical
emission-related scheduled maintenance, that it is likely to be
performed in use.
Similarly, EPA's regulations for NRCI engines (40 CFR 1039.125)
limit the emission-related maintenance that may be performed for
purposes of emissions testing and providing ultimate purchasers written
instructions for properly maintaining and using the engine. For
example, the maintenance interval for adjustment, cleaning, repair or
replacement for catalytic converters generally may not occur more
frequently than after 3,000 hours of use for engines below 130 kilowatt
(kW) and 4,500 hours for engines at or above 130 kW. This regulation
also allows manufacturers to request a different maintenance schedule
or to request new scheduled maintenance, which includes maintenance on
emission-related components that were not in widespread use on NRCI
engines prior to MY 2011.
EPA adopted new emission standards applicable to emissions of
NOX from light-duty vehicles and trucks on February 10, 2000
(65 FR 6698). Similarly, EPA adopted new standards applicable to
emissions of NOX from heavy-duty highway engines and
vehicles on January 18, 2001 (66 FR 5002). These standards phased in
beginning with MY 2004 and all were
[[Page 46360]]
fully phased-in by MY 2010. Most manufacturers of affected diesel
engines and vehicles have chosen to use SCR in order to meet these
requirements. SCR systems require a reducing agent, and those on mobile
sources use a solution of urea in water known as diesel exhaust fluid
(DEF). The DEF is injected into the exhaust gas and requires periodic
replenishment by refilling the DEF tank.
EPA adopted similar new emission standards applicable to emissions
of NOX from NRCI engines on June 29, 2004 (69 FR 38958).
These standards have begun to be implemented pursuant to a phase-in
that began in MY 2011, and most manufacturers have chosen to use SCR to
meet them. The SCR systems being incorporated into nonroad engines are
a carryover from the motor vehicle systems, and thus they also require
DEF to function properly. EPA conducted a webinar workshop on July 26,
2011, with NRCI engine manufacturers to address the application of SCR
emission technology.\6\
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\6\ See EPA's July 26, 2011 Webinar Presentation, Nonroad SCR
Certification, available at http://www.epa.gov/otaq/cert/documents/nrci-scr-web-conf.2011-07-25.pdf.
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In a guidance document signed on March 27, 2007 (CISD-07-07), EPA
indicated its belief that the requirements for critical emission-
related maintenance would apply to replenishment of the DEF tank and
that manufacturers wanting to use SCR technology would likely have to
request a change to scheduled maintenance per 40 CFR 86.094-25(b)(7) or
86.1834-01(b)(7).\7\
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\7\ USEPA Office of Air and Radiation, Certification Procedure
for Light-Duty and Heavy-Duty Diesel Vehicles and Heavy-Duty Diesel
Engines Using Selective Catalyst Reduction (SCR) Technologies, CISD-
07-07, March 27, 2007, available at http://iaspub.epa.gov/otaqpub/display_file.jsp?docid=16677&flag=1.
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Following the completion of the guidance, EPA received several
requests for new maintenance intervals for SCR-equipped motor vehicles
and motor vehicle engines.\8\ EPA granted these requests for model
years 2009 through 2010 for light-duty vehicles and 2009 through 2011
for heavy-duty engines, in a notice that was published in the Federal
Register (74 FR 57671, November 9, 2009). In granting the requests, EPA
stated that it:
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\8\ See letter dated March 31, 2009 from Giedrius Ambrozaitis,
Alliance of Automobile Manufacturers, Director, Environmental
Affairs to Karl Simon, EPA, Director, Compliance and Innovative
Strategies Division; Letter dated May 8, 2009 from Jed Mandel,
Engine Manufacturers Ass'n to Karl Simon, EPA, Director, Compliance
and Innovative Strategies Division; Letters dated June 29, 2009 and
October 8, 2009 from Steven C. Berry, Director Government Relations
Volvo Powertrain.
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. . . believes the maintenance of performing DEF refills on SCR
systems should be considered as `critical emission-related scheduled
maintenance.' EPA believes the existing allowable schedule
maintenance mileage intervals applicable to catalytic converters are
generally applicable to SCR systems which contain a catalyst, but
that the DEF refills are a new type of maintenance uniquely
associated with SCR systems. Therefore, the 100,000-mile interval at
40 CFR Sec. 86.1834-01(b)(4)(ii) for catalytic converters on
diesel-cycle light-duty vehicles and light-duty trucks (and any
other chassis-certified vehicles) and the 100,000-mile interval (and
100,000 mile intervals thereafter) for light heavy-duty diesel
engines and the 100,000-mile interval (and 150,000 mile intervals
thereafter) for medium and heavy heavy-duty diesel engines at 40 CFR
Sec. 86.004-25(b)(4)(iii) are generally applicable to SCR systems.
As noted, the SCR systems are a new type of technology designed to
meet the newest emission standards and the DEF refill intervals
represent a new type of scheduled maintenance; therefore, EPA
believes that manufacturers may request from EPA the ability to
perform the new scheduled maintenance of DEF refills.
Consistent with that statement, EPA approved a minimum maintenance
interval for refill of DEF tanks equal to the applicable vehicle's
scheduled oil change interval for light-duty vehicles and light-duty
trucks. For heavy-duty engines, EPA approved a maintenance interval
equal to the range (in miles or hours) of the vehicle operation that is
no less than the vehicle's fuel capacity (i.e., a 1:1 ratio) for
vocational vehicles such as dump trucks, concrete mixers, refuse trucks
and similar typically centrally fueled applications. For all other
vehicles equipped with a constantly viewable DEF level indicator (e.g.
a gauge or other mechanism on the dashboard that will notify the driver
of the DEF fill level and the ability to warn the driver of the need to
refill the DEF tank before other inducements occur), EPA approved a DEF
tank refill interval equal to no less than twice the distance provided
by the vehicle's fuel capacity (i.e., a 2:1 ratio). For all other
vehicles that did not have a constantly viewable DEF level indicator,
EPA approved a DEF tank refill interval equal to no less than three
times the range of the vehicle's fuel capacity (i.e., a 3:1 ratio).
After the first year, engine and vehicle manufacturers provided
additional requests for new maintenance intervals for vehicles and
engines in model years not covered by the November 9, 2009 Federal
Register notice.\9\ On January 5, 2012 (77 FR 488), EPA updated and
extended its approval of maintenance intervals for the refill of DEF
tanks applicable to light-duty vehicles and light-duty trucks, as well
as for heavy-duty engines for 2011 and later model years. For light-
duty vehicles and light-duty trucks the approved interval for DEF
refill remained at the scheduled oil change interval. For chassis-
certified heavy-duty vehicles, EPA has required DEF refill intervals
approximately as long as oil changes, although some approvals have
allowed levels slightly shorter than the oil change interval. For
heavy-duty engines the approved maintenance interval for centrally
fueled vocational vehicles remained at 1:1 and for all other types of
heavy-duty vehicles the approved maintenance interval has been 2:1.
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\9\ See letter dated July 20, 2010 from Giedrius Ambrozaitis,
Alliance of Automobile Manufacturers, Director, Environmental
Affairs to Karl Simon, EPA, Director, Compliance and Innovative
Strategies Division; Letter dated June 13, 2011 from Timothy A.
French, Engine Manufacturers Ass'n to Justin G. Greuel, EPA,
Compliance and Innovative Strategies Division; Letter dated April
28, 2011 from Steve Berry, Volvo Powertrain; Letters dated August
18, 2011 and September 27, 2011 to Karl Simon, EPA, Director,
Compliance and Innovative Strategies Division from R. Latane
Montague, Hogan Lovells.
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In addition to the approvals for highway engines, EPA also
established a similar approach for nonroad engines. During EPA's July
26, 2011, webinar workshop for NRCI engine manufacturers, EPA discussed
the issue of maintenance intervals for the refill of DEF and instructed
manufacturers to follow the regulatory provisions in order to petition
EPA for what it thought were appropriate intervals.\10\ Following the
workshop, EPA received several requests for new maintenance intervals
for SCR-equipped NRCI engines. EPA granted these requests for 2011 and
later model years in a notice that was published in the Federal
Register (77 FR 497, January 5, 2012). In granting the requests, EPA
stated that it:
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\10\ See Note 6, above.
. . . believes that SCR systems are a new technology and are
properly considered a critical emission-related component. EPA
believes the existing allowable schedule maintenance mileage
intervals applicable to catalytic converters are generally
applicable to SCR systems which contain a catalyst, but that the SCR
systems are a new type of technology and that DEF refills are a new
type of maintenance uniquely associated with SCR systems. Therefore,
the 3,000 hour (engines below 130 kW) and 4,500 hour (engines at or
above 130kW) intervals are generally applicable to SCR systems. As
noted, the SCR systems are a new type of technology designed to meet
the newest emission standards and the DEF refill intervals represent
a new type of scheduled maintenance; therefore, EPA believes that
manufacturers may request from EPA the ability to perform the new
scheduled maintenance of DEF refills.
[[Page 46361]]
EPA established a minimum maintenance interval for refill of NRCI
DEF tanks, requiring that it be no less than the range in operating
hours provided by the equipment's fuel capacity (i.e., a 1:1 engine-
hour ratio of DEF refill to fuel refill).
All engines that have received approval for DEF refill maintenance
intervals have been equipped with engine design elements to ensure that
the DEF will be refilled in use. These design elements generally
include warning lights, possible engine power derate, and possible
engine shutdown for operation without DEF. This action does not change
the need for such design elements.
B. Summary of the NPRM and Comments
In the NPRM published June 8, 2012 (77 FR 34149), EPA proposed to
codify into the regulations the minimum DEF refill intervals being
applied under the most recent administrative approvals (see previous
section). However, we requested comment on the possibility of shorter
intervals.
Commenters generally supported the proposal, and none argued to
extend the minimum intervals beyond what was proposed. Moreover, none
of the comments responding to EPA's request about shorter intervals
expressed opposition to the possibility of shorter intervals. Most of
the substantive comments on DEF refills were from engine and vehicle
manufacturers, who generally asked for the following changes for the
Final Rule:
DEF refills for light-duty and light heavy-duty vehicles
should be de-linked from oil change intervals.
DEF refills for light-duty and light heavy-duty vehicles
should be less than current recommended oil change intervals.
The minimum DEF to fuel range ratio should be 1:1 for all
heavy-duty motor vehicle engines.
The merits of these comments are discussed in the following
sections. See the Summary and Analysis of Comments document in the
rulemaking docket for a more complete discussion of the comments.
C. Regulatory Action
In this final action, EPA is adding DEF replenishment to the list
of scheduled emission-related maintenance for diesel-fueled motor
vehicles and motor vehicle engines, as well as for NRCI engines that
use SCR, as proposed. These regulatory provisions are in 40 CFR 86.004-
25(b)(4) and 40 CFR 86.1834-01(b)(4) for diesel-fueled motor vehicles
and motor vehicle engines and 40 CFR 1039.125(a)(2) and (a)(3) for NRCI
engines that use SCR. EPA is also incorporating appropriate maintenance
intervals for this scheduled maintenance. Manufacturers complying with
these new regulatory provisions will no longer be required to seek
separate approval from EPA. The intervals being finalized are the same
or shorter than those proposed, and are an outcome of the public
comments we received following the proposal.
The comments emphasized the benefits of shorter minimum maintenance
intervals, in particular the beneficial result that shorter intervals
could have on the ability of manufacturers to comply with new standards
related to greenhouse gases and fuel economy. Manufacturers also
emphasized that the greater availability of DEF as well as design
features used on current SCR-equipped vehicles and engines, including
features that warn operators when DEF levels start to become low and
reduce engine performance when DEF levels are very low or tanks are
empty (``performance inducements''), make it highly likely that
operators would refill their DEF tanks prior to DEF depletion.
We believe the general availability of DEF, along with current SCR
engine design features, are sufficiently compelling reasons for EPA to
finalize shorter DEF refill intervals than proposed. Longer intervals
were previously approved, in part, due to concerns about operators'
access to DEF as well as concerns that drivers were not yet familiar
with this new maintenance practice. Now, design features such as
performance inducements are sufficiently motivating operators to
properly refill DEF, and DEF is easily obtainable. The final
regulations do not change the current requirement that manufacturers
employ the design features currently being used, or other methods with
similar effectiveness, to ensure that DEF tanks are not likely to be
depleted in use. The final regulations identify DEF refill as essential
emission-related maintenance, which requires manufacturers to show that
the maintenance is likely to be performed in use. Moreover, EPA has
identified DEF tank level as a potentially adjustable parameter, and
has provided guidance for manufacturers to show that they meet the
regulatory requirement to ensure that DEF tank levels outside the
acceptable range are unlikely to occur on in-use vehicles or engines,
including discussion of the design features currently being used.\11\
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\11\ See USEPA Guidance CISD-07-07, at Note 7, above.
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EPA also notes that the regulations will continue to allow any
manufacturer to petition EPA under the ``paragraph (b)(7) process'' for
a shorter maintenance interval than that promulgated for DEF refills if
the manufacturer can show that a shorter interval is technologically
necessary for the particular engine or vehicle configuration being
certified.
While DEF replenishment will be treated similar to other allowable
maintenance in most respects, there will be some differences. First,
EPA will not restrict DEF refills for laboratory testing of engines to
enable testers to use non-production DEF tanks and fuel tanks for
testing. Since neither the DEF tank size nor the fuel tank size would
affect measured emissions, it would be an unnecessary burden to place
restrictions on tank size or refill rate during laboratory testing of
engines (other than to require that the tanks be large enough for the
test to be completed). Second, the highway and nonroad regulations both
allow critical emissions-related maintenance to be performed if
manufacturers can make one of several demonstrations to show that there
is a reasonable likelihood the maintenance will be performed in use.
For some of the possible demonstrations, we do not believe that the
specified criteria are sufficiently robust for DEF replenishment, which
is a critical element for the operation of the SCR system, and the 90%
NOX reductions expected from SCR systems. Specifically we
are concerned about the adequacy of:
Showing that the maintenance is performed at least 80
percent of the time in use.
Relying on visible signals.
Providing the maintenance free of charge.\12\
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\12\ See 40 CFR 86.004-25(b)(6)(ii)(B)-(E).
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Therefore, we are stating in the regulations that those
demonstrations are not sufficient for demonstration that DEF
replenishment will occur in use. Unless we approve an alternate method,
we will require that manufacturers demonstrate ``a connection between
emissions and vehicle performance such that as emissions increase due
to lack of maintenance, vehicle performance will simultaneously
deteriorate to a point unacceptable for typical driving.'' This
requirement generally reinforces EPA's current guidance requiring
performance inducements when DEF levels become very low or tanks are
empty. We note that while these specific provisions
[[Page 46362]]
were not explicitly discussed in the NPRM, they reflect the broader
principle that was discussed--that this action is generally codifying
the existing approach to addressing DEF refills. Both the flexibility
for DEF tank size during engine testing and the more stringent
requirements for demonstrating that DEF refills will actually occur in
use have applied under EPA's preexisting certification procedures.
1. Light-Duty Vehicles and Light-Duty Trucks
For light-duty vehicles and light-duty trucks (LDVs and LDTs), we
are adopting a minimum interval of 4,000 miles. Under the (b)(7)
process, we typically had been requiring DEF refill intervals at least
equal to the scheduled oil change interval for the vehicle, which is
typically more than 4,000 miles. Thus, for LDVs and LDTs, the final
regulations differ in two ways from the previous policy: The DEF refill
interval is being decoupled from the oil change interval, and the
minimum interval is being shortened.
Regarding the first issue, manufacturer comments expressed the
concern that tying DEF intervals to oil change intervals provides a
disincentive to extend oil change intervals, and in fact, may create an
incentive to actually shorten oil change intervals. Manufacturers were
particularly concerned that the benefits of new automotive and motor
oil technologies that allow consumers to drive for greater miles
between oil changes would be reduced if mandated minimum DEF
maintenance intervals are tied to oil change intervals. DEF maintenance
intervals do not change as a result of the changes in technologies
related to motor oil, so there would be a continuing mismatch between
maintenance intervals. EPA agrees with manufacturers that longer oil
change intervals are beneficial, in that they provide a cost savings
for the consumer and generally also provide an environmental benefit by
reducing the amount of waste oil generated.
In addition, one of the initial reasons for tying DEF refills to
oil changes for light-duty vehicles as the new technology was
introduced was to substantially increase the likelihood of proper
refills for consumers who were unfamiliar with DEF. However, as SCR
technology has become more conventional and DEF has become more
available, operators are much more likely to be familiar with DEF. For
those few who may be initially unfamiliar with the need to refill DEF,
the warning lights and performance inducements will be sufficient to
ensure proper refills. The second change from the prior policy is to
set a 4,000 mile minimum interval, which will allow manufacturers to
design their vehicles and engines for more frequent DEF refills than we
have generally allowed to date. (Light-duty (b)(7) approvals have tied
the DEF refill directly to the manufacturer's recommended oil change
interval, which is typically 6,000 to 10,000 miles.) We are allowing
this reduced maintenance interval to address manufacturer concerns
about the size and weight of DEF tanks needed to achieve longer refill
intervals, which could result in concerns with using limited packaging
space, greater GHG emissions, and reduced fuel economy. Automobile
manufacturers have stated that it takes approximately an 8 gallon DEF
tank to assure the DEF will last for the length of a typical scheduled
oil change interval. Requiring tanks this size may impede the space
that is typical for the light-duty vehicle design and transportation
needs of the consumer. Interior cabin volume and cargo space are highly
valued attributes in light-duty vehicles and trucks. Manufacturers have
historically strived to optimize these attributes, even to the point of
switching a vehicle from rear-wheel drive to front-wheel drive to gain
the extra interior cabin space taken up by where the drive shaft tunnel
existed, or switching the size of the spare tire from a conventional
sized tire to a small temporary tire to gain additional trunk space.
Thus any significant interior, cargo or trunk space used to store a DEF
tank would be unacceptable to customers. There are also packaging
concerns with placing a large DEF tank in the engine compartment or in
the vehicle's undercarriage. Most vehicle undercarriages are already
crowded with the engine, exhaust system, including catalytic converters
and mufflers, fuel tank, etc. limiting any available space for a DEF
tank.
In addition to the practical impacts of devoting additional space
to larger DEF tanks, the addition of the weight associated with larger
DEF tanks presents other engineering challenges related to performance
and efficiency. With a density of about 9 lb/gallon, an 8 gallon DEF
tank would add 72 lbs to the weight of the vehicle. Changing this
weight by even ten pounds would have a small but important fuel
consumption impact. Thus any requirement for a larger DEF tank may have
an adverse effect on the ability of a manufacturer to meet greenhouse
gas emission standards and fuel economy standards.
Given the widespread retail availability of DEF and the inducements
against operating the vehicle without DEF, we see little if any
environmental benefit from requiring intervals greater than 4,000
miles.
To put this 4,000 mile interval in context, a vehicle with a 400
mile fuel range would need to refill the DEF tank no more frequently
than every tenth fuel fill up. For operators who change oil every 7,500
miles and fill the DEF tank when they do, no more than one DEF refill
would be needed between oil changes. We still believe it is necessary
to require substantially longer DEF intervals for LDVs and LDTs than
for commercial heavy-duty vehicles because of the wider range of usage
patterns of light-duty vehicles. Most significantly, these light-duty
vehicles are more likely to refuel at neighborhood refueling stations
that may not have DEF. Ensuring that these vehicles can go through
several tanks of fuel before needing to refill the DEF tanks reduces
the likelihood that operators will allow the DEF tank to become
completely empty.
2. Complete Heavy-Duty Pickups and Vans
EPA has treated heavy-duty complete trucks in the same manner as
light-duty trucks; generally requiring DEF refill intervals
approximately as long as oil change intervals. For the same reasons
given above, we believe that tying DEF refills to oil changes is no
more appropriate for complete heavy-duty pickups and vans than for LDVs
or LDTs. Thus, the final regulations set the minimum DEF refill
interval for complete heavy-duty pickups and vans to the same 4,000
mile level as for LDVs and LDTs.
3. Heavy-Duty Highway Engines
EPA believes it is reasonable to base the DEF refilling intervals
for heavy-duty on diesel refueling intervals (rather than oil change
intervals or a specific number of miles) because DEF refill for heavy-
duty trucks is most commonly undertaken at the time of fuel refill due
to the DEF infrastructure, which has developed at diesel refueling
stations, in particular, highway truck stops. For heavy-duty engines
(other than those used in light heavy duty vehicles subject to the
4,000 mile interval), we are finalizing a DEF tank refill interval
equal to the range (in miles) of the vehicle operation that is no less
than that provided by the vehicle's fuel capacity (i.e., a 1:1 distance
ratio). This is what we proposed for vocational vehicles such as dump
trucks, concrete mixers, refuse trucks and similar typically centrally
fueled applications. For all other vehicles, we proposed the DEF tank
refill interval must provide a
[[Page 46363]]
range of vehicle operation that is no less than twice the range of
vehicle's fuel capacity (i.e., a 2:1 ratio). However, based on
comments, we now believe that requiring a 2:1 ratio for vehicles that
are not centrally-fueled is unnecessary. Commenters noted that because
DEF is now widely available and the design features currently used in
heavy duty engines, including performance inducements, are sufficiently
severe, EPA should leave it to the market to decide whether larger DEF
tanks are appropriate for non-centrally-fueled vehicles.
To assist manufacturers in designing this minimum refill interval,
EPA is requiring that designs be evaluated under operating conditions
reasonably representing worst case conditions, so that a vehicle would
not be expected to run out of DEF before running out of fuel. For
example, if the highest rate of DEF consumption (relative to fuel
consumption) will occur under highway driving conditions, the DEF tank
should be large enough that a single tank of DEF would be enough to
continue proper operation of the SCR system for whatever number of
highway miles is possible with a single tank of fuel. Conversely, if
the highest rate of DEF consumption (relative to fuel consumption) will
occur under city or urban driving conditions, the DEF tank should be
large enough that a single tank of DEF would be enough to continue
proper operation of the SCR system for whatever number of city or urban
miles is possible with a single tank of fuel. As an approximation,
manufacturers may choose to consider the DEF to fuel consumption ratio
as observed over the Supplemental Emissions Test (SET) and the
transient Federal Test Procedure (FTP) cycles, as appropriate.
Manufacturers may also consider other cycles if they are more
appropriate.
EPA has determined that allowing for refilling of DEF at lower
intervals than required for other scheduled maintenance is
technologically necessary. As discussed in the notice of proposed
rulemaking, EPA knows of no SCR technology for any heavy-duty engine
application that is capable of operating in a practical way without a
DEF refill for the high mileage levels associated with otherwise
applicable aftertreatment maintenance intervals. Moreover, there are
several factors that support allowing DEF refill intervals to be in the
range of a single tank of fuel. Manufacturers report that vehicle
operators generally have been refilling DEF at the same time and
location that they refill the fuel tanks. Also, manufacturers have
incorporated warning signals and performance-related inducements on
their SCR-equipped vehicles to ensure the substantial likelihood that
DEF refilling will occur, and there is considerable evidence that
heavy-duty vehicle operators in the United States have in practice been
refilling their DEF tanks prior to the tanks becoming empty in
virtually all situations.\13\
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\13\ See 76 FR 32886 (June 7, 2011) and the studies cited at
32889-32891.
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Prior to the NPRM, several manufacturers indicated that EPA should
set the minimum required DEF refill interval at an interval equal to
the range of distance provided by the vehicle's fuel tank (i.e., a 1:1
distance ratio) for all heavy-duty engines, not only those that are
centrally-fueled.\14\ They claimed that this shorter maintenance
interval is ``necessary and appropriate to reflect current and
anticipated changes in vehicle designs, significant changes in
inducement strategies, and the increased availability of DEF.'' In
particular, they noted that EPA's inducement requirements for SCR-
equipped engines make it ``essentially impossible for an SCR vehicle to
operate without regular DEF replenishment'' and the severity of
inducements related to DEF levels (e.g., severe reduction in engine
power and/or vehicle speed) is ``extraordinary and must be taken into
account'' when EPA is determining appropriate maintenance intervals. We
agree that, given the disruptions that could happen if power or speed
restrictions occur, it is reasonable to expect that a driver with a 1:1
tank ratio will operate under a firm discipline that the DEF tank must
be refilled every time the fuel tanks are filled, and is therefore
likely to rely on gauge levels and warnings to trigger refills, in
order to avoid these inducements.
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\14\ See letters dated August 18, 2011 and September 27, 2011 to
Karl Simon, EPA, Director, Compliance and Innovative Strategies
Division from R. Latane Montague and Hogan Lovells.
---------------------------------------------------------------------------
Moreover, as commenters note, EPA has adopted new greenhouse gas
standards for heavy-duty on-highway trucks,\15\ and manufacturers are
working to increase the fuel efficiency of their vehicles in advance of
the effective dates of those regulations. Within these regulations, EPA
recognizes the impact of weight savings on fuel efficiency and GHG
emissions.\16\ In addition, manufacturer comments note that they are
developing new DEF dosing strategies that will result in reduced
CO2 emissions, which may involve increasing the DEF dosing
rate. Increasing the DEF dosing rate also makes it more difficult to
satisfy a 2:1 tank size ratio without increasing the size of the DEF
tank above the size EPA considered appropriate in the context of the
(b)(7) process.\17\ For this reason, if the application of the 2:1 tank
ratio remains in place, the interaction of the new greenhouse gas
standards and the DEF tank size requirement may lead to larger DEF
tanks, with their accompanying weight increase, in order to accommodate
technology advancements developed to reduce CO2 emissions,
which conversely make it more difficult to meet the greenhouse gas
requirements.
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\15\ 76 FR 57106, September 15, 2011.
\16\ 76 FR 57202, September 15, 2011.
\17\ The size of the DEF tank is directly proportional to the
rate at which DEF is used. For example, for a truck with a 100
gallon fuel tank, meeting a 2:1 ratio would require a 10 gallon DEF
tank for a dosing rate of 0.05 gallons of DEF per gallon of fuel,
but a 14 gallon tank for a dosing rate of 0.07 gallons of DEF per
gallon of fuel.
---------------------------------------------------------------------------
EPA proposed to not allow 1:1 DEF intervals for heavy-duty engines
that are not centrally fueled. EPA noted that manufacturers had not
provided sufficient evidence that any change in the maintenance
interval is necessary or appropriate throughout the heavy-duty engine
category, rather than for particular applications. While we
acknowledged that the warnings and inducements in place for failure to
replenish DEF will restrict the ability of operators to run without
DEF, EPA was concerned that DEF tank ratios of 1:1 may place a greater
burden on the operator in terms of the frequency of DEF refills.
However, we received no comments from operators to support our concern.
We now believe this is an issue better left to market forces to
address.
4. Maintenance Intervals for Nonroad Compression-Ignition Engines
EPA is also incorporating minimum maintenance intervals for the
scheduled maintenance of DEF refills on SCR-equipped NRCI engines.
Specifically, we are finalizing the proposed 1:1 ratio (DEF tank range
to fuel tank range), which is the same as was approved under the Sec.
1039.125(a)(5) process. We received few comments on NRCI DEF refill
rates, and those we did receive supported the proposed interval.
As noted in the NPRM, in evaluating minimum DEF refill intervals
for NRCI engines, we took into consideration the space and weight
constraints typically involved with the range of nonroad compression-
ignition engines using SCR systems, including safety and impacts of
weight and dosing rates on greenhouse gas emissions and fuel
consumption. EPA also took into consideration the likelihood that the
maintenance of DEF
[[Page 46364]]
refills will be performed by the owner or operator.
As with heavy-duty highway engines, the performance inducements
related to DEF tank levels make it virtually impossible for engines to
operate without DEF. Moreover, the usage patterns for nonroad equipment
make them sufficiently similar to centrally-fueled heavy-duty on-
highway vehicles that we have a reasonable expectation that DEF tank
refills will occur on a timely basis, just as we have observed with
highway engines.
IV. Nonroad Engines in Temporary Emergency Service
In the NPRM published on June 8, 2012 (77 FR 34149), EPA proposed
revisions to allow general purpose nonroad engines to obtain temporary
relief so that emission controls do not hinder the engine's performance
in limited emergency situations. We believe that in such situations,
temporary flexibilities are appropriate because the possibility of risk
to human life would outweigh the temporary emissions increases that may
occur if SCR-equipped engines are operated without emission controls.
Our existing nonroad engine compliance regulations in 40 CFR
1068.101(b)(1)(ii) allow operators to temporarily disable or remove
emission controls to address emergency situations, with a limited
exemption from the prohibition that normally applies for tampering with
certified engines.\18\ However, the existing regulations do not allow
manufacturers to design the emission controls to be disabled or removed
in emergency situations. With modern electronically controlled engines,
many emission controls are integrated into the engine's control
software. By adopting revisions in this rule, we are effectively
extending the ability of operators to avoid situations where nonroad
engine emission controls could impede the engine from providing life-
saving emergency service, subject to the conditions described below.
The flexibility we are adopting is very narrow and contains several
provisions to ensure the need for the relief. We do not believe it will
commonly be used in situations where there is no critical need for such
relief.
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\18\ ``This [tampering] prohibition does not apply in any of the
following situations: . . . (ii) You need to modify the engine/
equipment to respond to a temporary emergency and you restore it to
proper functioning as soon as possible.'' 40 CFR 1068.101(b)(1)(ii).
---------------------------------------------------------------------------
We received public comments regarding the need for this temporary
relief, the definition of emergency situation, the means of triggering
the relief, and the duration of the allowed relief. Below, EPA
describes the flexibilities that we are adopting for these engines, and
the changes from the proposed rule that we have made to address the
public comments. Commenters generally supported the proposal, and none
argued against allowing such flexibility. Most of the substantive
comments on these nonroad emergency AECDs were those of the engine
manufacturers who asked for additional flexibility to improve the
effectiveness of the allowance under actual emergency situations. See
the Summary and Analysis of Comments document in the rulemaking docket
for a more complete discussion of the comments.
EPA's Tier 4 NOX emission standards have resulted in an
increasing volume of nonroad equipment designed with SCR, which is a
NOX reduction technology for mobile sources. Nonroad SCR
applications are expected to expand significantly in the coming years,
and these are highly sophisticated emission control systems that
sometimes work in very harsh conditions.
The consumable reductant in an SCR system is typically supplied as
a solution of urea in water known as DEF. SCR-equipped engines
generally include controls that limit the function of the engines if
they are operated without urea, or if the engine's electronic control
module (ECM) cannot otherwise confirm that the SCR system is properly
operating. Such controls are generally called ``inducements,'' because
they induce the operator to properly maintain the SCR emission control
system. ``Performance inducements'' are inducements that affect
performance of the engine, and do not include other inducements such as
warning lights. EPA has provided information on aspects of SCR system
maintenance that discusses possible warnings and other inducements that
motivate an operator to ensure continued NOX emissions
reductions occur.\19\ Among the primary system faults that can lead to
warnings and performance inducements are: Low DEF quantity; poor DEF
quality; and a DEF freeze warning. In order for engine ECMs to detect
these faults, various monitors and sensors are installed on nonroad
equipment. Some examples of such monitored conditions include: A
blocked DEF line or dosing valve; a disconnected or faulty DEF pump;
and a disconnected or faulty DEF temperature sensor. It is important to
emphasize that these inducements can be triggered because of an actual
emission problem (such as a blocked DEF line or an empty DEF tank), or
because of a sensor problem that reports a false positive problem even
though the emission controls are still functioning properly. While we
are confident that DEF is now widely available and easily obtainable
across the United States, we are concerned that in emergency
circumstances there may be a possibility of temporary disruptions in
DEF supply, disruptions in communications between operators and service
centers, or delays in response time for engine repair service.
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\19\ See EPA's July 26, 2011 Webinar Presentation, Nonroad SCR
Certification, available at http://www.epa.gov/otaq/cert/documents/nrci-scr-web-conf.2011-07-25.pdf
---------------------------------------------------------------------------
While manufacturers have raised concerns primarily about SCR
systems, it is also possible that other advanced emission controls,
such as PM traps, could affect performance during emergencies. Since PM
traps do not require any secondary fluid (like DEF), EPA did not
anticipate that manufacturers would employ performance inducements to
assure this technology would function properly in use. However, many
manufacturers include engine-protection strategies for trap problems
that can have effects on engine performance. While manufacturers have
made great progress in eliminating trap-related performance issues, to
whatever extent PM traps are used on nonroad engines, there is at least
the possibility that they could lead to problems during emergencies.
A. Scope of This Flexibility
1. What is an emergency situation?
For purposes of this rule, EPA proposed that an emergency situation
would be one in which the functioning (or malfunctioning) of an
engine's emission controls poses a significant risk to human life. Our
proposal further explained that two rare conditions would have to be
present for a situation to be the type of emergency where these
provisions could apply. First, the engine would be needed to perform
work related to reducing risk to human life. Second, the functioning
(or malfunctioning) of an engine's emission control system would
inhibit operation of the engine, and only a bypass of the normal
emission controls would enable the equipment to continue operating
temporarily to perform this emergency-related work. While SCR and PM
trap systems for nonroad engines are designed to be hardy and robust in
the wide range of possible operating environments for nonroad
equipment, there is no guarantee that all of these sensors and system
components will function properly at all times. In our
[[Page 46365]]
proposed rule, we focused solely on the system's detection of adequate
quantities of DEF and the operator's ability to timely refill DEF.
However, as we heard from commenters, a nonroad engine can lose power
if any of the emission control system faults that are programmed to
trigger performance inducements are detected by the engine's ECM (or an
equivalent event for technologies other than SCR).
We received comments asking us to expand our definition of
emergency situation to include cases where the emergency was indirectly
related to a risk to human life, or where a delayed risk was posed, or
where property, welfare, or national security was at risk. We agree
there may be a reasonable use of this flexibility where the threat
avoided by continued operation of the engine is indirectly tied to
human life, such as providing temporary power to a 911 call center. In
response to comments, we are adopting regulations that describe an
emergency situation as one where the condition of an engine's emission
controls poses a significant direct or indirect risk to human life. EPA
is not finalizing a more precise definition because we know we can not
foresee all possible emergency situations, and we understand that the
exact threats posed by various situations are rarely known at the time
that decisions must be made about activating emissions control over-
rides. As for the other examples of potential risks that could be
avoided by continued operation of an engine, EPA is not further
expanding the definition of emergency situation. Nonroad engines are
generally operated for some beneficial reason. The purpose of the
emergency operation provision was not to allow operation of nonroad
engines in all situations where there may be benefits for property or
welfare, but to have a narrow provision to allow operation of nonroad
engines without emission controls where the danger of harm to human
life outweighs the also-critical benefits of emission control.
Expanding the definition of emergency situation could arguably allow
use of uncontrolled nonroad engines in most or all situations for which
nonroad engines are normally used, which could severely undercut the
benefits of the emission controls.
2. What engines are covered?
The provisions we are adopting are intended primarily to address
portable engines used for emergency backup power generation, flood
control pumps, or in construction equipment (such as a bulldozer
repairing a levee or a crane removing debris). For example, portable
diesel-powered generators are often used to provide electrical power
after natural disasters. If the generator is providing backup power to
a medical facility during an emergency situation, then any interruption
in service could risk the lives of the patients. Similarly, if a
portable generator is providing backup power to a 911 call center
during an emergency situation, then any interruption in service could
indirectly pose a risk to human life. However, it is important to note
that we are not limiting this flexibility to power generating units,
flood control pumps, or construction equipment. These are just a few
examples of how an ordinary piece of nonroad equipment could be used in
an emergency situation.
While EPA proposed to apply this flexibility to nonroad engines,
some commenters asked about the extent to which this allowance would
apply for stationary engines. Currently, many NRCI engines are cross-
certified for both nonroad (under 40 CFR part 1039) and stationary
(under 40 CFR part 60) use because many of the requirements are the
same, even though they are covered by different regulatory parts.
However, EPA did not propose to apply this provision to stationary
engines, and the legal requirements as well as the programmatic
treatment of emergency situations, are different for stationary engines
than for nonroad engines. Therefore, this final rule does not amend the
regulations for stationary engines; dual certification will not be
allowed for engines that include these emergency AECDs.
B. Regulatory Action
We are adopting a new section 1039.665 that specifies provisions
allowing for AECDs that help to ensure proper function of engines and
equipment in emergency situations. It is important to emphasize that
EPA is confident that Tier 4 engines will function properly in the vast
majority of emergency situations. Thus, we expect the AECDs allowed
under this new provision will rarely be activated. We are adopting this
provision merely as a precaution to ensure that emission controls do
not put any person at risk during an emergency situation. The new
regulations are clear that AECDs approved under this section are not
defeat devices.
The proposed regulatory changes were intended to allow
manufacturers to design into their nonroad engines a dormant AECD that
could be activated during an emergency by contacting the engine
manufacturer, including an engine dealership or service center. This
AECD would act to suspend performance inducements or otherwise disable
emission controls. Once active, the proposed AECD would have been
allowed to function for 24 engine operating hours. Operators would have
been allowed to reactivate the AECD by contacting the engine
manufacturers again. The proposal also included reporting and
recordkeeping requirements for operators and manufacturers.
In response to comments, we are finalizing the proposed allowance
with some additional flexibility for manufacturers and operators.
However, the basic structure remains the same as the proposed
structure. The final rule allows EPA to certify a nonroad engine that
contains a dormant but pre-armed AECD that can be activated for up to
120 engine hours per use during an emergency to prevent emission
controls from interfering with engine operation. As proposed, we are
finalizing a provision that enables manufacturers to offer, and
operators to request, re-activations of this AECD for additional time
in increments of 120 engine hours in cases of a prolonged emergency
situation. Operators activating the AECD will be required to report the
incident to the manufacturer, and manufacturers will submit an annual
report to EPA summarizing the use of the AECD during the prior year.
The Summary and Analysis of Comments document in the rulemaking docket
provides a more complete discussion of changes from the proposed rule.
The details of this allowance are described below.
3. What must manufacturers do for these Requirements?
a. Basic AECD Criteria
The new section 1039.665 specifies provisions allowing for AECDs
that are necessary to ensure proper function of engines and equipment
in emergency situations. It also includes specific criteria that the
manufacturer must meet to ensure that any adverse environmental impacts
are minimized. These criteria are:
The AECD must be designed so that it cannot be activated
more than once without the specific permission of the certificate
holder. Reactivation of the AECD must require the input of a temporary
code or equivalent security feature.
The AECD must become inactive within 120 engine hours of
becoming active. The engine must also include a feature that allows the
operator to deactivate the AECD once the emergency is over.
The manufacturer must show that the AECD deactivates
emission controls
[[Page 46366]]
(such as inducement strategies) only to the extent necessary to address
the expected emergency situation.
The engine controls must be configured to record in non-
volatile electronic memory the total number of activations of the AECD
for each engine.
The manufacturer must take appropriate additional steps to
induce operators to report AECD activation and request resetting of the
AECD. We recommend including one or more persistent visible and/or
audible alarms that are active from the point when the AECD is
activated to the point when it is reset.
The manufacturer must provide purchasers with instructions
on how to activate the AECD in emergency situations, as well as
information about penalties for abuse.
Approval of AECDs under the final regulations will also be based on
a general criterion that the AECD be consistent with good engineering
judgment. When used in our regulations, the phrase ``good engineering
judgment'' has a specific meaning as described in 40 CFR 1068.5. By
specifying that the AECD be consistent with good engineering judgment,
we address unforeseen technical details that may arise.
b. Changes From the Proposal Related to AECD Activation
Compared to the proposal, the provisions being finalized allow for
AECD activation with less involvement from the manufacturer. First,
under the final regulations, manufacturers may pre-arm the AECD so that
operators can activate it initially without first contacting the
manufacturer. Under the proposal, operators would have been required to
contact the manufacturer to initially activate the AECD. Second, we are
allowing the AECD to remain active for up to 120 hours instead of the
proposed 24 hours. These two changes are the most significant changes
from the proposal. Both of these changes reflect information received
during the comment period that demonstrated the potential for delays in
getting technical assistance from manufacturers during emergencies,
especially for widespread events like hurricanes. Manufacturers
indicated that for many engines (perhaps most engines) the type of
initial activation envisioned in the proposal could not be done
remotely. Our expectation was that operators would be able to activate
the AECD by calling the manufacturer to obtain an activation code and
then entering the code into the engine's onboard computer. However,
manufacturers indicated that not all engines allow operators to
interact with the onboard computer (other than to read trouble codes).
Rather, for the engines without interactive control panels, it would be
necessary for a technician to make a service call to activate the AECD.
Even under the best circumstances, this could take a few hours.
However, during a natural disaster, this could take several days.
Information provided by manufacturers has demonstrated that in order to
ensure that reduced performance related to emission controls does not
create a significant risk to human life, the operator must be able to
access the AECD without manufacturer involvement. We agree with the
manufacturers' suggestion to allow initial arming of the AECD so that
operators can activate it by taking a relatively simple action such as
connecting a jumper in the wiring harness. Manufacturers do not
disagree that rearming should require contacting the manufacturer.
It is also not clear that manufacturers will enable any of their
engines to be rearmed remotely without a technician. Concerns about the
potential for incorrect arming and/or abuse may lead manufacturers to
require service calls even for engines that have interactive control
panels that could theoretically be rearmed by entering a code provided
by the manufacturer. Computer controls to enable remote rearming would
need to be both reliable and secure, and manufacturers may determine
that the developmental work necessary for this is not justified, given
the small number of engines expected to actually activate the AECD even
once.
Manufacturers also commented that in some emergencies, it could
take several days before technicians could get to all engines needing
service. In particular, manufacturers summarized their experience
during Hurricane Sandy, which caused major damage in the northeastern
United States, including damage to telecommunication, transportation,
and power infrastructure. The combination of an increase in the number
of engines requiring service (due in part to the number of backup
generators being placed into long-term service) and the difficulty for
technicians to travel to these engines scattered over such a large area
caused long delays for operators needing service. In addition,
manufacturers noted that the difficulty experienced by relief workers
providing food and water to residents suggests the likelihood of delays
in providing DEF for engines during major emergencies since the DEF
infrastructure is far less developed than the food and water supply
chain. For these reasons, manufacturers argued that limiting the AECD
to 24 engine hours could result in engines shutting down before
technicians could fix the engine or reset the AECDs. Based on their
experience during Hurricane Sandy, manufacturers recommended extending
this period to 120 engine hours. For backup generators that run
continuously, this would allow manufacturers up to five days to reach
each engines needing to have the AECD rearmed, and longer for engines
running intermittently. We agree that limiting the AECD to 24 hours of
operation would be insufficient to ensure that emission controls do not
inhibit engine operation during prolonged disasters like hurricanes and
major storms. Even two or three days may not be enough time to allow a
storm to dissipate and roads to be cleared to the point where
technicians could reach every engine needing emergency service. In
response to this new information, we believe it is prudent to extend
this allowance to 120 engine hours, which is equivalent to five
operating days for engines running continuously.
We are also adopting two related provisions directed to
manufacturers to minimize any abuse of this expended allowance. First,
we are requiring manufacturers to include a method of deactivating the
AECD after emergencies of short duration. This was not essential under
the proposed approach because the AECD would deactivate itself after 24
engine hours. However, now the AECD can remain active for up to 120
engine hours, which could easily be longer than the actual emergency
condition. Thus it is necessary to have some way for the operator to
deactivate the AECD. Second, we are requiring the manufacturer to take
appropriate additional steps to motivate operators to report AECD
activation, at which time they may request resetting of the AECD. For
example, a manufacturer could include persistent visible and/or audible
alarms that are active from the point when the AECD is activated to the
point when it is reset. We are also recommending that manufacturers add
a secondary time limit for operation in which the AECD is deactivated
before the 120-hour time limit is reached. Such a limit could be based
on either on a set number of days (for engines that can track time when
the engine is not running) or total engine hours including engine hours
for which the AECD is not active.
c. Approval, Recordkeeping, and Reporting for Manufacturers
We are addressing such AECDs as part of engine certification and
will only authorize the certifying manufacturer to
[[Page 46367]]
incorporate them into engine controls. In unusual circumstances, we
could allow manufacturers to apply an approved emergency AECD to
engines and equipment that have already been placed into service as a
``field fix''.
Manufacturers may ask for approval at any time. Still, we encourage
manufacturers to obtain preliminary approval before submitting an
application for certification. Otherwise, our review of the AECD, which
may include many unique features, may delay the approval of the
application for certification.
The manufacturer is required to keep records to document requests
for and use of emergency AECDs under this section and submit a report
to EPA within 90 days of the end of each calendar year in which it
authorizes use of the AECD.
4. Operator Requirements
Operators who purchase equipment with this dormant feature will
receive instructions on how to activate the AECD in emergency
situations, as well as information about penalties for abuse. EPA would
consider appropriate use of this feature to be during a situation where
operation of a nonroad engine or equipment is needed to protect human
life (or where impaired operation poses a significant direct or
indirect risk to human life), and obtaining short-term relief from
emission controls enables full operation of the equipment. EPA is
adopting this provision to give operators the means to obtain short-
term relief one time without the need to contact the manufacturer or
EPA. In virtually any true emergency situation, delaying the activation
to obtain approval could put lives at risk, and would be unacceptable.
However, EPA retains the authority to evaluate, after the fact, whether
it was reasonable to judge that there was a significant risk to human
life to justify the activation of the AECD. Where we determine that it
was not reasonable to judge (1) that there was a significant risk to
human life; or (2) that the emission control strategy was curtailing
the ability of the engine to perform, the operator may be subject to
penalties for tampering with emission controls. The operator may also
be subject to penalties for tampering if he continues to operate the
engine with the AECD once the emergency situation has ended or the
problem causing the emission control strategy to interfere with the
performance of the engine has been or can reasonably be fixed.
Nevertheless, we will consider the totality of the circumstances when
assessing penalties, and retain discretion to reduce penalties where we
determine that an operator acted in good faith. In addition, failure of
an operator to notify the manufacturer as required by the regulations
can also subject the operator to penalties for tampering.
We are finalizing operator requirements largely as proposed. The
primary difference between the proposal and FRM is that, as a result of
the longer period of time permitted for use of the AECD, we have added
a specific prohibition on operating the engine with the AECD beyond the
time reasonably needed for such operation. In addition, we have
extended the deadline for operators to fully report the AECD activation
to the manufacturer. The deadline was 30 calendar days from the
incident under the proposal, but is 60 calendar days from the incident
(from the day the AECD is first activated) under the final regulations
due to concerns about operators' ability to gather the necessary
information during the aftermath of a major emergency. If any
consecutive re-activations occur, this report is due 60 calendar days
from the first activation. The report must include:
Contact information.
A description of the emergency situation, including its
duration, and supporting information.
The reason for the activation of the AECD during the
emergency situation. For example, lack of DEF or the failure of an
emission-related sensor when the engine was needed to respond to an
emergency situation.
Contact information for an official capable of verifying
the conditions of the emergency situation (such as a county sheriff,
fire marshal, or hospital administrator).
The engine serial number (or equivalent).
A description of the extent and duration of the engine
operation while the AECD was active, including steps taken to reduce
the time of operation with the AECD.
While operators activating the AECD would be required to ultimately
provide all of this information, they would be able to have the AECD
reset simply by providing the contact information. Failure to provide
this information to the manufacturer within the deadline would
constitute a violation of the tampering prohibition.
V. Emergency Vehicle Provisions: Amendments to Direct Final Rule
On June 8, 2012, EPA published a direct final rule (DFR) for
dedicated emergency vehicles, allowing engine manufacturers to request
specific emission controls or settings, approved as Auxiliary Emission
Control Devices (AECDs) for new engines, and Emergency Vehicle Field
Modifications (EVFMs) for in-use engines that are installed in
ambulances and fire trucks. EPA adopted that rule to enable these
dedicated emergency vehicles with diesel engines to perform mission-
critical life- and property-saving work without risk of losing power,
speed or torque due to abnormal conditions of the emission control
systems.
EPA received favorable and constructive comments on that DFR and
the identical provisions published in the parallel notice of proposed
rulemaking. Because EPA determined that none of the comments on the
emergency vehicle provisions were adverse, the rule became effective
August 7, 2012. We have considered all of the constructive comments
received, and we are adopting some minor revisions in response to those
comments.
In this action, EPA is revising the definition of emergency vehicle
to allow for case-by-case review of applications for AECDs or EVFMs for
vehicles in dedicated emergency service that are not ambulances or fire
trucks. EPA is also modifying the definition of emergency equipment at
40 CFR 1039.801, clarifying the rule's application to nonroad engines
and wildland fire apparatus.
A. On-Highway Vehicles
In the June 2012 proposed rule, EPA requested comment on our
definition of emergency vehicle, specifically whether we should include
those equipped with heavy-duty diesel engines that serve other civilian
rescue, law enforcement or emergency response functions. We
specifically requested information regarding instances of such vehicles
experiencing or risking loss of power, speed or torque due to abnormal
conditions of the emission control system, and how that may inhibit
mission-critical life- and property-saving work. EPA received comments
requesting an expansion of the definition of emergency vehicle to
include search and rescue trucks, command and communication apparatus,
law enforcement vehicles, or other vocational vehicles used for
emergency response, but not directly associated with fire suppression
or patient transport. In contrast, we received comments asking us to
retain the current definition. We did not receive any specific evidence
that any of these other vehicles have experienced in-use DPF
regeneration difficulties or have duty cycles similar to fire trucks
and ambulances. Therefore, EPA is not able to directly expand the AECDs
and
[[Page 46368]]
EVFMs currently available to ambulances and fire trucks to all these
other vehicle types in this action. However, to provide for the
occasion where one of these vehicle types, or another vehicle type,
might warrant similar treatment in the future, this final rule revises
the definition of emergency vehicle at 40 CFR 86.1803-01, to allow for
case-by-case approval of AECDs or EVFMs.
Specifically, if an engine manufacturer wishes to receive EPA's
approval to install an emergency vehicle AECD in a vehicle other than a
fire truck or ambulance, then the manufacturer must demonstrate that
the vehicle will regularly be used in emergency situations, and that
the functioning or malfunctioning of its standard emission control
system may prevent the vehicle from performing as necessary when the
vehicle is needed to perform work related to reducing risk to human
life.
Where we determine that a new vehicle meets these criteria, the
manufacturer may submit an application for an emergency vehicle AECD,
subject to review and approval under 40 CFR 86.094-21(b). Where we
determine that an in-use vehicle other than a fire truck or ambulance
meets the above criteria, a manufacturer may apply for, and EPA may
approve, an EVFM for that vehicle, subject to review and approval under
40 CFR 85.1716.
In the DFR, EPA explained that, with our definition of emergency
vehicle, it was EPA's intent to include vehicles that are purpose-built
and exclusively dedicated to firefighting, emergency/rescue medical
transport, and/or performing other rescue or emergency personnel or
equipment transport functions related to saving lives and reducing
injuries coincident with fires and other hazardous situations.
However, in this final rule EPA is allowing for case-by-case review
of applications for AECDs or EVFMs for vehicles that EPA determines
will be used in emergency situations where emission control function or
malfunction may cause a significant risk to human life. With this
revision, it is EPA's intent to include other vehicles that will
regularly be used for firefighting, emergency/rescue medical transport,
and/or performing other public safety, rescue or emergency personnel or
equipment transport functions related to saving lives and reducing
injuries coincident with fires and other hazardous situations where the
manufacturer can make the requisite showing. The Summary and Analysis
of Comments document in the rulemaking docket provides a more detailed
discussion of the comments received and our rationale for the changes
adopted.
B. Nonroad Equipment
In the direct final rule, EPA adopted provisions for emergency
equipment similar to those adopted for fire trucks and ambulances,
where manufacturers of nonroad engines powering equipment in dedicated
emergency service could apply for, and EPA could approve, AECDs or
field modifications to prevent the equipment from losing speed or power
due to abnormal conditions of the emission control system, or in terms
of preventing such abnormal conditions from occurring during operation
related to emergency response. EPA received comments requesting a
clarification or expansion of the definition of emergency equipment to
include wildfire suppression dozers and dozer transport trucks. We also
received comments asking us to retain the current definition. EPA
understands that this rule may have had the unintended effect of unduly
alarming some equipment operators. EPA has received no information with
examples of any in-use nonroad dedicated emergency equipment having
reduced performance due to the emission control system. We adopted
these provisions as a precaution in the event that regulatory
flexibilities are needed in the future.
Under the regulations published in the DFR, EPA believes that,
under the current definition of emergency equipment, EPA may approve
requests from manufacturers for AECDs and emergency equipment field
modifications (EEFMs) for dedicated fire plows, which are specialty
bulldozers designed to assist in suppression of wildfires. This is
because we defined emergency equipment to include wildland fire
apparatus, which includes ``any apparatus . . . designed primarily to
support wildland fire suppression operations.''
Since publication of the proposed rule, we have learned from
stakeholders that the term ``wildland fire apparatus'' includes trucks
typically registered as motor vehicles, which would be covered under
our definition of emergency vehicle and the provisions of 40 CFR part
86, rather than part 1039. Therefore in this action we are revising the
definition of emergency equipment to exclude any wildland fire
apparatus or aircraft rescue/fire apparatus that are registered as
motor vehicles, as they are covered separately under our on-highway
provisions. In response to comments, we are revising the definition to
include any other equipment that is used in regular emergency service
where it has a demonstrated need for power to perform work directly
related to protecting human life, and where the functioning or
malfunctioning of its standard emission control system may prevent the
equipment from performing as necessary when the equipment is needed to
perform such work. Because we are making revisions in response to
comments, we are taking this opportunity to also add clarifying
regulatory text regarding coverage of fire plows. The Summary and
Analysis of Comments document in the rulemaking docket provides a more
detailed discussion of the comments received and our rationale for the
changes adopted.
VI. Economic, Environmental, and Health Impacts of Final Rule
A. Economic Impacts
1. Economic Impacts of Emergency Vehicle Rule Revisions
EPA expects the economic effects of this action to be small, and to
potentially have benefits that are a natural result of easing
constraints.
Due to the optional and voluntary nature of the emergency vehicle
provisions, there are no mandatory direct regulatory compliance costs
to engine manufacturers. To the extent manufacturers elect to develop
and deploy upgrades to engines for emergency vehicles, they may
voluntarily incur some degree of costs.
Because this revision further eases constraints on which vehicles
may benefit from these provisions, the economic impacts can only
improve with this action. It is presumed that the benefits to society
of enabling first responders to act quickly when needed outweigh the
costs to society of any temporary increase in emissions from this small
segment of vehicles.
2. Economic Impacts of SCR Maintenance Provisions
This action adopts minimum maintenance intervals that may be
exceeded without preauthorization. No new regulatory burdens are being
imposed. EPA is providing regulatory certainty that will allow affected
manufacturers to plan their product development accordingly.
3. Economic Impacts for Nonroad Engines Used in Emergency Situations
EPA expects the economic effects of this final rule to be small,
and to potentially have benefits that are a natural result of easing
constraints. Due to the optional and voluntary nature of this action,
direct regulatory compliance costs would only be incurred by engine
[[Page 46369]]
manufacturers to obtain or retain a benefit. To the extent
manufacturers elect to develop and deploy upgrades to engines for use
in emergency situations, they may incur some costs associated with
engine certification and annual reporting. We do not expect there to be
any operator costs for this allowance other than the costs associated
with sending written confirmation of use of an optional AECD during an
emergency situation to the certificate holder. Since we expect this
option will be activated rarely (or perhaps not at all), total costs to
operators will be small. Nonetheless, we are preparing a revised
Information Collection Request (ICR) to estimate the anticipated
reporting burden, as described in Section VIII.B.
B. Environmental Impacts
1. Environmental Impacts of Emergency Vehicle Rule Revisions
We expect any environmental impacts from these revisions will be
small. By promulgating these amendments, it is expected that the
emissions from this segment of the heavy-duty fleet will not change
significantly.
2. Environmental Impacts of SCR Maintenance Provisions
EPA believes that any change in the incidence of emissions-related
maintenance occurring in use as a result of this action will not have
an effect on emissions. Therefore, there are no anticipated adverse
environmental impacts.
3. Environmental Impacts for Nonroad Engines Used in Emergency
Situations
EPA does not expect any significant environmental effects as a
result of this final rule. This option will be activated rarely (or
perhaps not at all) and will only affect emissions for a very short
period.
VII. Public Participation
On May 23, 2012, the EPA Administrator signed a Notice of Proposed
Rulemaking (NPRM) for the Emergency Vehicle and SCR Maintenance rule.
Also on May 23, the NPRM was posted on EPA's Web site. Also on that
day, EPA contacted interested stakeholders by phone and email,
notifying them of the availability of this material for review and
comment. On June 8, 2012, the NPRM was published in the Federal
Register. EPA held a public hearing on the NPRM in Ann Arbor, Michigan
on June 27, 2012. At that hearing, oral comments on the NPRM were
received and recorded. The comment period officially remained open
through July 27, 2012. 16 separate written comments were received
during that period, in addition to the oral testimony. A complete list
of organizations and individuals that provided comments on the NPRM is
contained in the Summary and Analysis of Comments, available in the
docket for this rule (Docket ID EPA-HQ-OAR-2011-1032).
EPA received several comments that did not result in a regulatory
change, and that have not otherwise been described in this preamble. In
the Summary and Analysis of Comments, EPA addresses these other
comments, including comments about the degree of relief offered by the
emergency vehicle AECDs and the timing of the AECD approval process.
VIII. Statutory and Executive Order Reviews
A. Executive Order 12866: Regulatory Planning and Review and Executive
Order 13563: Improving Regulation and Regulatory Review
This action is not a ``significant regulatory action'' under the
terms of Executive Order 12866 (58 FR 51735, October 4, 1993) and is
therefore not subject to review under Executive Orders 12866 and 13563
(76 FR 3821, January 21, 2011).
B. Paperwork Reduction Act
The information collection requirements in this rule will be
submitted for approval to the Office of Management and Budget (OMB)
under the Paperwork Reduction Act, 44 U.S.C. 3501 et seq. The
information collection requirements are not enforceable until OMB
approves them. OMB has previously approved the information collection
requirements contained in the existing regulations under the provisions
of the Paperwork Reduction Act, 44 U.S.C. 3501 et seq. and has assigned
OMB Control Numbers 2060-0104 and 2060-0287. The OMB control numbers
for EPA's regulations are listed in 40 CFR part 9. Although the
flexibilities described in Section IV are voluntary, we will be
proposing to amend our estimates of the information collection burden,
based on our estimates of those likely to take advantage of this
relief.
The information collection described in this rule is recordkeeping
and reporting pertaining to instances of use of a voluntary flexibility
provision for nonroad engines. The Agency wishes to track use of this
provision, as well as have access to information that can help identify
fraudulent use. Engine owners or operators would report information
directly to engine manufacturers within a short period after use of
this provision, and engine manufacturers would report a summary of this
information to EPA on an annual basis. If owners or operators do not
report the requested information to manufacturers, they may not retain
access to this flexibility provision and may be in violation of the
regulations. Section 208(a) of the CAA requires that engine
manufacturers provide information the Administrator may reasonably
require to determine compliance with the regulations; submission of the
information is therefore required to obtain or retain a benefit. We
will consider confidential all information meeting the requirements of
section 208(c) of the CAA.
The information that is subject to this collection would be
collected whenever an equipment operator activates an engine feature
that disables emission controls or performance inducement features
associated with emission controls. The burden to the manufacturers
affected by this rule is hard to estimate because this provision would
only be lawfully activated during an emergency situation in the rare
instances when the engine's emission controls or performance inducement
features may cause a significant risk to human life. It is therefore
estimated that, in any given year, this collection may affect
approximately 12 engine manufacturers, reporting to EPA summaries
representing 100 individual instances of use of this provision. We
estimate the total burden associated with this rule is 110 hours
annually (See Table VIII-1). This estimated burden for engine
manufacturers is a total estimate for new reporting requirements.
Burden is defined at 5 CFR 1320.3(b).
Table VIII-1--Burden for Reporting and Recordkeeping Requirements
------------------------------------------------------------------------
------------------------------------------------------------------------
Number of owners/operators expected may <100.
report to manufacturers.
Number of manufacturers expected may <12.
report to EPA.
Annual labor hours to prepare and submit < 5 each.
information.
-----------------------------
Total Annual Information Collection 110 Hours.
Burden.
------------------------------------------------------------------------
An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a
currently valid OMB control number. The OMB control numbers for EPA's
regulations are listed in 40 CFR part 9. When this ICR amendment is
approved by OMB, the Agency will publish a technical
[[Page 46370]]
amendment to 40 CFR part 9 in the Federal Register to display the OMB
control number for the approved information collection requirements
contained in this final rule.
C. Regulatory Flexibility Act
The Regulatory Flexibility Act (RFA) generally requires an agency
to prepare a regulatory flexibility analysis of any rule subject to
notice and comment rulemaking requirements under the Administrative
Procedures Act or any other statute unless the agency certifies that
the rule will not have a significant economic impact on a substantial
number of small entities. Small entities include small businesses,
small organizations, and small governmental jurisdictions.
For purposes of assessing the impacts of this rule on small
entities, small entity is defined as: (1) A small business primarily
engaged in shipbuilding and repairing as defined by NAICS code 336611
with 1,000 or fewer employees (based on Small Business Administration
size standards); (2) a small business that is primarily engaged in
freight or passenger transportation on the Great Lakes as defined by
NAICS codes 483113 and 483114 with 500 or fewer employees (based on
Small Business Administration size standards); (3) a small business
primarily engaged in commercial and industrial machinery and equipment
repair and maintenance as defined by NAICS code 811310 with annual
receipts less than $7.5 million (based on Small Business Administration
size standards); (4) a small governmental jurisdiction that is a
government of a city, county, town, school district or special district
with a population of less than 50,000; and (5) a small organization
that is any not-for-profit enterprise which is independently owned and
operated and is not dominant in its field.
After considering the economic impacts of this final rule on small
entities, I certify that rule will not have a significant economic
impact on a substantial number of small entities.
In determining whether a rule has a significant economic impact on
a substantial number of small entities, the impact of concern is any
significant adverse economic impact on small entities, since the
primary purpose of the regulatory flexibility analyses is to identify
and address regulatory alternatives ``which minimize any significant
economic impact of the rule on small entities.'' 5 U.S.C. 603 and 604.
Thus, an agency may certify that a rule will not have a significant
economic impact on a substantial number of small entities if the rule
relieves regulatory burden, or otherwise has a positive economic effect
on all of the small entities subject to the rule.
This final rule revises regulatory relief provided in the direct
final rule for emergency vehicles and provides regulatory certainty
related to engine and vehicle maintenance. As such, we anticipate no
costs and therefore no regulatory burden associated with this rule. We
have concluded that this rule will not increase regulatory burden for
affected small entities.
D. Unfunded Mandates Reform Act
This final rule contains no Federal mandates under the regulatory
provisions of Title II of the Unfunded Mandates Reform Act (UMRA) for
State, local, or tribal governments. The rule imposes no enforceable
duty on any State, local or tribal governments. EPA has determined that
this rule contains no regulatory requirements that might significantly
or uniquely affect small governments. The agency has determined that
this rule does not contain a Federal mandate that may result in
expenditures of $100 million or more for the private sector in any one
year. Manufacturers have the flexibility and will likely choose whether
or not to use optional AECDs based on their strategies for complying
with the applicable emissions standards. Similarly, manufacturers may
choose to use DEF maintenance intervals longer than the minimums
adopted in this action, and manufacturers may elect to use SCR
strategies that consume lower amounts of DEF. Thus, this final rule is
not subject to the requirements of sections 202 and 205 of the UMRA.
E. Executive Order 13132: Federalism
Executive Order 13132, entitled ``Federalism'' (64 FR 43255, August
10, 1999), requires EPA to develop an accountable process to ensure
``meaningful and timely input by State and local officials in the
development of regulatory policies that have federalism implications.''
``Policies that have federalism implications'' is defined in the
Executive Order to include regulations that have ``substantial direct
effects on the States, on the relationship between the national
government and the States, or on the distribution of power and
responsibilities among the various levels of government.''
This final action does not have federalism implications. It will
not have substantial direct effects on the States, on the relationship
between the national government and the States, or on the distribution
of power and responsibilities among the various levels of government,
as specified in Executive Order 13132. This rule will apply to
manufacturers of heavy-duty diesel engines and not to state or local
governments. Thus, Executive Order 13132 does not apply to this action.
F. Executive Order 13175: Consultation and Coordination With Indian
Tribal Governments
This action does not have tribal implications, as specified in
Executive Order 13175 (65 FR 67249, November 9, 2000). This rule will
be implemented at the Federal level and will impose compliance costs
only on affected engine manufacturers depending on the extent to which
they take advantage of the flexibilities offered. Tribal governments
will be affected only to the extent they purchase and use vehicles with
regulated engines. Thus, Executive Order 13175 does not apply to this
final rule.
G. Executive Order 13045: Protection of Children From Environmental
Health and Safety Risks
Executive Order 13045: ``Protection of Children from Environmental
Health Risks and Safety Risks'' (62 FR 19885, April 23, 1997) applies
to any rule that: (1) Is determined to be ``economically significant''
as defined under Executive Order 12866, and (2) concerns an
environmental health or safety risk that EPA has reason to believe may
have a disproportionate effect on children. If the regulatory action
meets both criteria, the agency must evaluate the environmental health
or safety effects of the planned rule on children, and explain why the
planned regulation is preferable to other potentially effective and
reasonably feasible alternatives considered by the agency.
EPA interprets Executive Order 13045 as applying only to those
regulatory actions that are based on health or safety risks, such that
the analysis required under section 5-501 of the Order has the
potential to influence the regulation. This final rule is not subject
to Executive Order 13045 because it does not establish an environmental
standard intended to mitigate health or safety risks.
H. Executive Order 13211: Energy Effects
This final action is not subject to Executive Order 13211 (66 FR
28355, May 22, 2001), because it is not a significant regulatory action
under Executive Order 12866.
[[Page 46371]]
I. National Technology Transfer Advancement Act
Section 12(d) of the National Technology Transfer and Advancement
Act of 1995 (``NTTAA''), Public Law 104-113, 12(d) (15 U.S.C. 272 note)
directs EPA to use voluntary consensus standards in its regulatory
activities unless to do so would be inconsistent with applicable law or
otherwise impractical. Voluntary consensus standards are technical
standards (e.g., materials, specifications, test methods, sampling
procedures, and business practices) that are developed or adopted by
voluntary consensus standards bodies. NTTAA directs EPA to provide
Congress, through OMB, explanations when the Agency decides not to use
available and applicable voluntary consensus standards.
This action does not involve technical standards. Therefore, EPA is
not considering the use of any voluntary consensus standards.
J. Executive Order 12898: Federal Actions To Address Environmental
Justice in Minority Populations and Low-Income Populations
Executive Order 12898 (59 FR 7629, Feb. 16, 1994) establishes
federal executive policy on environmental justice. Its main provision
directs federal agencies, to the greatest extent practicable and
permitted by law, to make environmental justice part of their mission
by identifying and addressing, as appropriate, disproportionately high
and adverse human health or environmental effects of their programs,
policies, and activities on minority populations and low-income
populations in the United States.
EPA has determined that this final rule will not have
disproportionately high and adverse human health or environmental
effects on minority or low-income populations.
K. Congressional Review Act
The Congressional Review Act, 5 U.S.C. 801 et seq., as added by the
Small Business Regulatory Enforcement Fairness Act of 1996, generally
provides that before a rule may take effect, the agency promulgating
the rule must submit a rule report, which includes a copy of the rule,
to each House of the Congress and to the Comptroller General of the
United States. EPA will submit a report containing this rule and other
required information to the U.S. Senate, the U.S. House of
Representatives, and the Comptroller General of the United States prior
to publication of the rule in the Federal Register. A major rule cannot
take effect until 60 days after it is published in the Federal
Register. This action is not a ``major rule'' as defined by 5 U.S.C.
804(2). This rule will be effective on September 8, 2014.
List of Subjects
40 CFR Part 86
Environmental protection, Administrative practice and procedure,
Confidential business information, Motor vehicle pollution, Reporting
and recordkeeping requirements.
40 CFR Part 1039
Environmental protection, Administrative practice and procedure,
Air pollution control, Confidential business information, Imports,
Labeling, Penalties, Reporting and recordkeeping requirements,
Warranties.
Dated: July 31, 2014.
Gina McCarthy,
Administrator.
For the reasons set forth in the preamble, the Environmental
Protection Agency amends title 40, chapter I of the Code of Federal
Regulations as follows:
PART 86--CONTROL OF EMISSIONS FROM NEW AND IN-USE HIGHWAY VEHICLES
AND ENGINES
0
1. The authority citation for part 86 continues to read as follows:
Authority: 42 U.S.C. 7401-7671q.
Subpart A--General Provisions for Emission Regulations for 1977 and
Later Model Year New Light-Duty Vehicles, Light-Duty Trucks and
Heavy-Duty Engines, and for 1985 and Later Model Year New Gasoline
Fueled, Natural Gas-Fueled, Liquefied Petroleum Gas-Fueled and
Methanol-Fueled Heavy-Duty Vehicles
0
2. Section 86.004-2 is amended by revising the definitions for ``Diesel
exhaust fluid (DEF)'' and ``Emergency vehicle'' to read as follows:
Sec. 86.004-2 Definitions.
* * * * *
Diesel exhaust fluid (DEF) means a liquid reducing agent (other
than the engine fuel) used in conjunction with selective catalytic
reduction to reduce NOX emissions. Diesel exhaust fluid is
generally understood to be an aqueous solution of urea conforming to
the specifications of ISO 22241.
Emergency vehicle means a vehicle that meets one of the following
criteria:
(1) It is an ambulance or a fire truck.
(2) It is a vehicle that we have determined will likely be used in
emergency situations where emission control function or malfunction may
cause a significant risk to human life. For example, we would consider
a pickup truck that is certain to be retrofitted with a slip-on
firefighting module to become an emergency vehicle, even though it was
not initially designed to be a fire truck. Also, a mobile command
center that is unable to manually regenerate its DPF while on duty
could be an emergency vehicle. In making this determination, we may
consider any factor that has an effect on the totality of the actual
risk to human life. For example, we may consider how frequently a
vehicle will be used in emergency situations or how likely it is that
the emission controls will cause a significant risk to human life when
the vehicle is used in emergency situations. We would not consider the
pickup truck in the example above to be an emergency vehicle if there
is merely a possibility (rather than a certainty) that the vehicle will
be retrofitted with a slip-on firefighting module.
* * * * *
0
3. Section 86.004-25 is amended by:
0
a. Revising paragraph (b)(4) introductory text;
0
b. Adding paragraph (b)(4)(v);
0
c. Revising paragraphs (b)(6)(i) introductory text and (b)(6)(i)(H);
0
d. Adding paragraph (b)(6)(i)(I); and
0
e. Revising paragraph (b)(6)(ii) introductory text.
The revisions and additions read as follows:
Sec. 86.004-25 Maintenance.
* * * * *
(b) * * *
(4) For diesel-cycle heavy-duty engines, emission-related
maintenance in addition to or at shorter intervals than the following
specified values will not be accepted as technologically necessary,
except as provided in paragraph (b)(7) of this section:
* * * * *
(v) For engines that use selective catalytic reduction, the diesel
exhaust fluid (DEF) tank must be sized so that DEF replenishment can
occur at an interval, in miles or hours of vehicle operation, that is
no less than the miles or hours of vehicle operation corresponding to
the vehicle's fuel capacity. Use good engineering judgment to ensure
that you meet this requirement for worst-case operation. For example,
if the highest rate of DEF consumption (relative to fuel consumption)
will occur under highway driving conditions (characterized by the SET),
the DEF tank should be large enough that a single tankful of DEF would
be enough to continue proper operation of the SCR system for the
[[Page 46372]]
expected highway driving range with a single tank of fuel. Conversely,
if the highest rate of DEF consumption (relative to fuel consumption)
will occur under city or urban driving conditions (characterized by the
transient FTP test), the DEF tank should be large enough that a single
tank of DEF would be enough to continue proper operation of the SCR
system for the expected city driving range with a single tank of fuel.
For engine testing in a laboratory, any size DEF tank and fuel tank may
be used; however, for our testing of engines, we may require you to
provide us with a production-type DEF tank, including any associated
sensors.
* * * * *
(6)(i) The following components are defined as critical emission-
related components:
* * * * *
(H) Components comprising the selective catalytic reduction system
(including DEF tank).
(I) Any other component whose primary purpose is to reduce
emissions or whose failure would commonly increase emissions of any
regulated pollutant without significantly degrading engine performance.
(ii) All critical emission-related scheduled maintenance must have
a reasonable likelihood of being performed in-use. The manufacturer
shall be required to show the reasonable likelihood of such maintenance
being performed in-use, and such showing shall be made prior to the
performance of the maintenance on the durability data engine. Critical
emission-related scheduled maintenance items which satisfy one of the
conditions defined in paragraphs (b)(6)(ii) (A)-(F) of this section
will be accepted as having a reasonable likelihood of the maintenance
item being performed in-use, except that DEF replenishment must satisfy
paragraph (b)(6)(ii)(A) or (F) of this section to be accepted as having
a reasonable likelihood of the maintenance item being performed in-use.
* * * * *
Subpart N- Exhaust Test Procedures for Heavy-Duty Engines
0
4. Section 86.1305 is amended by adding paragraph (i) to read as
follows.
Sec. 86.1305 Introduction; structure of subpart.
* * * * *
(i) You may disable any AECDs that have been approved solely for
emergency vehicle applications under paragraph (4) of the definition of
``Defeat device'' in Sec. 86.004-2. The emission standards do not
apply when any of these AECDs are active.
Subpart S--General Compliance Provisions for Control of Air
Pollution From New and In-Use Light-Duty Vehicles, Light-Duty
Trucks, and Complete Otto-Cycle Heavy-Duty Vehicles
0
5. Section 86.1803-01 is amended by revising the definitions for
``Diesel exhaust fluid (DEF)'' and ``Emergency vehicle'' to read as
follows.
Sec. 86.1803-01 Definitions.
* * * * *
Diesel exhaust fluid (DEF) means a liquid reducing agent (other
than the engine fuel) used in conjunction with selective catalytic
reduction to reduce NOX emissions. Diesel exhaust fluid is
generally understood to be an aqueous solution of urea conforming to
the specifications of ISO 22241.
* * * * *
Emergency vehicle means one of the following:
(1) For the greenhouse gas emission standards in Sec. 86.1818,
emergency vehicle means a motor vehicle manufactured primarily for use
as an ambulance or combination ambulance-hearse or for use by the
United States Government or a State or local government for law
enforcement.
(2) For the OBD requirements in Sec. 86.1806, emergency vehicle
means a motor vehicle manufactured primarily for use in medical
response or for use by the U.S. Government or a State or local
government for law enforcement or fire protection.
(3) For other provisions under this subpart, emergency vehicle
means a motor vehicle that is either--
(i) An ambulance or a fire truck; or
(ii) A vehicle that we have determined will likely be used in
emergency situations where emission control function or malfunction may
cause a significant risk to human life. For example, we would consider
a pickup truck that is certain to be retrofitted with a slip-on
firefighting module to be an emergency vehicle, even though it was not
initially designed to be a fire truck. Also, a mobile command center
that is unable to manually regenerate its DPF while on duty could be an
emergency vehicle. In making this determination, we may consider any
factor that has an effect on the totality of the actual risk to human
life. For example, we may consider how frequently a vehicle will be
used in emergency situations or how likely it is that the emission
controls will cause a significant risk to human life when the vehicle
is used in emergency situations. We would not consider the pickup truck
in the example above to be an emergency vehicle if there is merely a
possibility (rather than a certainty) that the vehicle will be
retrofitted with a slip-on firefighting module.
* * * * *
0
6. Section 86.1834-01 is amended by:
0
a. Revising paragraph (b)(4) introductory text ;
0
b. Adding paragraph (b)(4)(iii);
0
c. Revising paragraph (b)(6)(i)(H);
0
d. Adding paragraph (b)(6)(i)(I); and
0
e. Revising paragraph (b)(6)(ii) introductory text.
The revisions and additions read as follows:
Sec. 86.1834-01 Allowable maintenance.
* * * * *
(b) * * *
(4) For diesel-cycle vehicles, emission-related maintenance in
addition to, or at shorter intervals than the following will not be
accepted as technologically necessary, except as provided in paragraph
(b)(7) of this section:
* * * * *
(iii) For vehicles that use selective catalytic reduction, the
replenishment of diesel exhaust fluid shall occur at an interval that
is no less than 4,000 miles for typical operation.
* * * * *
(6) * * *
(i) * * *
(H) Components comprising the selective catalytic reduction system
(including diesel exhaust fluid tank).
(I) Any other component whose primary purpose is to reduce
emissions or whose failure would commonly increase emissions of any
regulated pollutant without significantly degrading engine performance.
(ii) All critical emission-related scheduled maintenance must have
a reasonable likelihood of being performed in-use. The manufacturer
shall be required to show the reasonable likelihood of such maintenance
being performed in-use, and such showing shall be made prior to the
performance of the maintenance on the durability data vehicle. Critical
emission-related scheduled maintenance items which satisfy one of the
conditions defined in paragraphs (b)(6)(ii) (A) through (F) of this
section will be accepted as having a reasonable likelihood of the
maintenance item being performed in-use, except that DEF replenishment
must satisfy paragraph (b)(6)(ii)(A) or (b)(6)(ii)(F) of this section
to be accepted as having a reasonable likelihood of the
[[Page 46373]]
maintenance item being performed in-use.
* * * * *
PART 1039--CONTROL OF EMISSIONS FROM NEW AND IN-USE NONROAD
COMPRESSION-IGNITION ENGINES
0
7. The authority citation for part 1039 continues to read as follows:
Authority: 42 U.S.C. 7401-7671q.
Subpart B--Emission Standards and Related Requirements
0
8. Section 1039.125 is amended by revising paragraph (a)(1)
introductory text and adding paragraphs (a)(2)(iii) and (a)(3)(iii) to
read as follows:
Sec. 1039.125 What maintenance instructions must I give to buyers?
* * * * *
(a) * * *
(1) You demonstrate that the maintenance is reasonably likely to be
done at the recommended intervals on in-use engines. We will accept
scheduled maintenance as reasonably likely to occur if you satisfy any
of the following conditions, with the exception that paragraphs
(a)(1)(ii) and (iii) of this section do not apply for DEF
replenishment:
* * * * *
(2) * * *
(iii) For SCR systems, the minimum interval for replenishing the
diesel exhaust fluid (DEF) is the number of engine operating hours
necessary to consume a full tank of fuel based on normal usage starting
from full fuel capacity for the equipment. Use good engineering
judgment to ensure that equipment manufacturers will meet this
requirement for worst-case operation by following your installation
instructions. For example, if your highest rate of DEF consumption
(relative to fuel consumption) will occur under a steady state
operating conditions characterized by one of the modes of the
applicable steady-state certification test (to the extent that
continuous operation at such mode is representative of real-world
conditions), the DEF tank should be large enough that a single tank of
DEF would be enough to continue proper operation of the SCR system for
the expected operating range with a single tank of fuel at that mode.
For engine testing in a laboratory, any size DEF tank and fuel tank may
be used; however, for our testing of engines, we may require you to
provide us with a production-type DEF tank, including any associated
sensors.
(3) * * *
(iii) The provisions of paragraph (a)(2)(iii) of this section apply
for SCR systems.
* * * * *
0
9. Section 1039.130 is amended by revising paragraph (b)(3) to read as
follows:
Sec. 1039.130 What installation instructions must I give to equipment
manufacturers?
* * * * *
(b) * * *
(3) Describe the instructions needed to properly install the
exhaust system and any other components. Include instructions
consistent with the requirements of Sec. 1039.205(u). Also describe
how to properly size the DEF tank consistent with the specifications in
Sec. 1039.125(a), if applicable.
* * * * *
0
10. Section 1039.135 is amended by revising paragraph (c)(15) to read
as follows:
Sec. 1039.135 How must I label and identify the engines I produce?
* * * * *
(c) * * *
(15) For engines with one or more approved auxiliary emission
control devices for emergency equipment applications under Sec.
1039.115(g)(4), the statement: ``THIS ENGINE IS FOR INSTALLATION IN
EMERGENCY EQUIPMENT ONLY.'' Note that this label requirement does not
apply for engines that include emergency AECDs under Sec. 1039.665
rather than Sec. 1039.115(g)(4).
* * * * *
Subpart F--Test Procedures
0
11. Section 1039.501 is amended by revising paragraph (g) to read as
follows:
Sec. 1039.501 How do I run a valid emission test?
* * * * *
(g) You may disable any AECDs that have been approved solely for
emergency equipment applications under Sec. 1039.115(g)(4). The
emission standards do not apply when any of these AECDs are active.
Subpart G--Special Compliance Provisions
0
12. A new Sec. 1039.665 is added to subpart G to read as follows:
Sec. 1039.665 Special provisions for use of engines in emergency
situations.
This section specifies provisions that allow for temporarily
disabling emission controls during qualified emergency situations. For
purposes of this section, a qualified emergency situation is one in
which the condition of an engine's emission controls poses a
significant direct or indirect risk to human life. An example of a
direct risk would be an emission control condition that inhibits the
performance of an engine being used to rescue a person from a life-
threatening situation. An example of an indirect risk would be an
emission control condition that inhibits the performance of an engine
being used to provide electrical power to a data center that routes
``911'' emergency response telecommunications.
(a) Scope. To facilitate temporarily disabling emission controls
during a qualified emergency situation, manufacturers may apply for
approval of auxiliary emission control devices (AECDs) under this
section. Once activated, an AECD approved under this section may
disable any emission controls as necessary to address a qualified
emergency situation, subject to the limitations in this section. For
the purposes of this section, automatically limiting engine performance
to induce an operator to perform emission-related maintenance--such as
refilling a DEF tank--is considered an emission control. AECDs approved
under this section are not defeat devices, and their proper use during
a qualified emergency situation is not prohibited under Clean Air Act
section 203 (42 U.S.C. 7522). Manufacturers may apply for AECD approval
at any time; however, we encourage manufacturers to obtain preliminary
approval before submitting an application for certification. We may
allow manufacturers to apply an approved AECD to engines and equipment
that have already been placed into service.
(b) AECD approval criteria. We will approve an AECD where we
determine that the following criteria have been met:
(1) The AECD's design must be consistent with good engineering
judgment and the manufacturer must show that the AECD deactivates
emission controls only to the extent necessary to address the expected
emergency situation.
(2) Manufacturers must discourage improper activation of the AECD
by displaying information where it is clearly visible to the equipment
operator when the operator is in a position to activate the AECD.
Unless we approve alternate language, state the following: ``EMERGENCY
USE ONLY. SEE OWNERS MANUAL. PENALTIES APPLY FOR MISUSE.''
(3) Manufacturers may design and produce their engines with the
AECD initially armed to allow operators to activate the AECD one time
per engine
[[Page 46374]]
without any further input or permission from the manufacturer. The AECD
may be subsequently reset as specified in paragraph (b)(8) of this
section.
(4) Except as allowed by paragraph (b)(3) of this section, AECD
activation must require either input of a temporary code,
reconfiguration of the engine's electronic control module by a
qualified service technician, or an equivalent security feature that is
unique to each engine.
(5) The engine controls must be configured to record the total
number of AECD activations in that engine's nonvolatile electronic
memory.
(6) The engine controls must include an operator-activated switch
or other element of design to allow the operator to manually deactivate
the AECD once a qualified emergency situation has ended. This manual
control may include a ``confirm-delete'' function, as needed, to
prevent unintentionally deactivating the AECD. This control may allow
for manual reactivation of the AECD provided that the AECD's automatic
deactivation limits in paragraph (b)(7) of this section have not yet
been reached, but such reactivation by operators would be allowed only
under emergency situations. This manual deactivation control must not
deactivate operator inducements required by paragraph (b)(9) of this
section.
(7) The AECD must automatically deactivate within a cumulative
engine run time of 120 hours after the AECD was initially activated
(excluding any time the AECD was deactivated). The AECD may be
subsequently reset as specified in paragraph (b)(8) of this section.
For emission controls that involve a sequence of increasingly severe
engine performance limits to induce operators to perform emission-
related maintenance, the emission controls may be reset to the initial
point of that sequence when the AECD is deactivated.
(8) The manufacturer must ensure that resetting the AECD cannot
occur without the manufacturer's specific permission, and that
resetting the AECD requires either input of a temporary code,
reconfiguration of the engine's electronic control module by a
qualified service technician, or an equivalent security feature that is
unique to each engine. AECD resets may not occur unless either the
manufacturer has evidence that the emergency situation is continuing or
the operator provides the information required in paragraph (e) of this
section, in writing or by any other means.
(9) The manufacturer must take appropriate additional steps to
induce operators to report AECD activation and request resetting the
AECD. We recommend including one or more persistent visible and/or
audible alarms that are active from the point when the AECD is
activated to the point when it is reset.
(c) Required information. Manufacturers producing engines equipped
with an AECD approved under this section must communicate at least the
following information in writing to the operator:
(1) Instructions for activating, deactivating, and reactivating the
AECD; reporting AECD use; and requesting AECD resets.
(2) A warning that federal regulations prohibit activating the
emergency AECD for something other than a qualified emergency
situation, failing to disable the emergency AECD after a qualified
emergency situation ends, and failing to notify the manufacturer and
send reports as required under paragraph (e) of this section. The
warning must also identify the maximum civil penalty for such
violations as described in 40 CFR 1068.101.
(3) Notification that the manufacturer will send the information
from the operator's report under paragraph (e) of this section to EPA
and that federal regulation separately prohibits submitting false
information.
(d) Resetting AECDs. The operator (or other person responsible for
the engine/equipment) may request resetting the AECD at any time. The
manufacturer may reset the AECD only if the manufacturer has evidence
that the emergency situation is continuing, or after the operator
provides the information required in paragraph (e) of this section, in
writing or by any other means.
(e) Operator reporting of AECD use. The operator (or other person
responsible for the engine/equipment) must send a written report to the
manufacturer within 60 calendar days after activating an AECD approved
under this section. The report must include the following:
(1) Contact name, mail and email addresses, and telephone number
for the responsible company or entity.
(2) A description of the emergency situation, the location of the
engine during the emergency, and the contact information for an
official who can verify the emergency situation (such as a county
sheriff, fire marshal, or hospital administrator).
(3) The reason for AECD activation during the emergency situation,
such as the lack of DEF, or the failure of an emission-related sensor
when the engine was needed to respond to an emergency situation.
(4) The engine's serial number (or equivalent).
(5) A description of the extent and duration of the engine
operation while the AECD was active, including a statement describing
whether or not the AECD was manually deactivated after the emergency
situation ended.
(f) Operator failure to report. If the operator fails to submit the
report required by paragraph (e) of this section to the manufacturer
within 60 days of activating an AECD approved under this section, the
manufacturer, to the extent it has been made aware of the AECD
activation, must send written notification to the operator that failure
to meet the submission requirements may subject the operator to
penalties under 40 CFR 1068.101.
(g) Prohibited acts. The following actions by the operator are
improper use of the AECD and are prohibited under Clean Air Act section
203 (42 U.S.C. 7522):
(1) Activating the emergency AECD for any use other than a
qualified emergency situation where the emission control strategy would
curtail engine performance.
(2) Failing to disable the emergency AECD after a qualified
emergency situation has ended.
(3) Failing to disable the emergency AECD after the problem causing
the emission control strategy to interfere with engine performance has
been or can reasonably be fixed.
(4) Failing to provide the information required under paragraph (e)
of this section within 60 days of AECD activation.
(h) Manufacturer reporting to EPA. Within 90 days after each
calendar year, the manufacturer must send an annual report to the
Designated Compliance Officer describing the use of AECDs approved
under this section. A manufacturer may request an extension if it is
impractical to meet this deadline as the result of an emergency
situation occurring late in a given calendar year. The annual report
must include a description of each emergency situation leading to each
AECD activation and copies of the reports submitted by operators (or
statements that an operator did not submit a report, to the extent of
the manufacturer's knowledge).
(i) Submissions to EPA. Notifications and reports submitted to
comply with this section are deemed to be submissions to EPA.
(j) Recordkeeping. The manufacturer must keep records to document
the use of AECDs approved under this section until the end of the
calendar year five
[[Page 46375]]
years after the onset of the relevant emergency situation. We may
approve alternate recordkeeping and reporting requirements.
(k) Anti-circumvention. We may set other reasonable conditions to
ensure that the provisions in this section are not used to circumvent
the emission standards of this part.
0
13. Section 1039.670 is amended by revising paragraphs (b) and
(c)(3)(ii) to read as follows:
Sec. 1039.670 Approval of an emergency equipment field modification
(EEFM).
* * * * *
(b) Include in your notification a full description of the EEFM and
any documentation to support your determination that the EEFM is
necessary to prevent the equipment from losing speed, torque, or power
due to abnormal conditions of its emission control system during
operation related to emergency response, or to prevent such abnormal
conditions from occurring during operation related to emergency
response. Examples of such abnormal conditions may include excessive
exhaust backpressure from an overloaded particulate trap, or running
out of diesel exhaust fluid (DEF) for engines that rely on urea-based
selective catalytic reduction. Your determination must be based on an
engineering evaluation or testing or both.
(c) * * *
(3) * * *
(ii) We will deny your request if we determine that the EEFM is not
necessary to prevent the equipment from losing speed, torque, or power
due to abnormal conditions of the emission control system during
operation related to emergency response, or to prevent such abnormal
conditions from occurring during operation related to emergency
response.
* * * * *
Subpart I--Definitions and Other Reference Information
0
14. Section 1039.801 is amended by revising the definitions for
``Diesel exhaust fluid (DEF)'' and ``Emergency equipment'' to read as
follows:
Sec. 1039.801 What definitions apply to this part?
* * * * *
Diesel exhaust fluid (DEF) means a liquid reducing agent (other
than the engine fuel) used in conjunction with selective catalytic
reduction to reduce NOX emissions. Diesel exhaust fluid is
generally understood to be an aqueous solution of urea conforming to
the specifications of ISO 22241.
* * * * *
Emergency equipment means any of the following types of equipment
that is not a motor vehicle:
(1) Specialized vehicles used to perform aircraft rescue and/or
fire-fighting functions at airports, with particular emphasis on saving
lives and reducing injuries coincident with aircraft fires following
impact, or aircraft ground fires.
(2) Wildland firefighting equipment designed primarily to support
wildland fire suppression operations. For example, a bulldozer designed
with special features for fighting wildfires would be a piece of
emergency equipment.
(3) Any other equipment that we have determined will likely be used
in emergency situations where emission control function or malfunction
may cause a significant risk to human life. For example, we would
consider nonroad equipment that is certain to be retrofitted with a
slip-on firefighting module to be emergency equipment, irrespective of
the equipment manufacturer's original design. In making this
determination, we may consider any factor that has an effect on the
totality of the actual risk to human life. For example, we may consider
how frequently the equipment will be used in emergency situations or
how likely it is that the emission controls will cause a significant
risk to human life when the equipment is used in emergency situations.
We will consider to what extent the flexibility provisions of Sec.
1039.665 already address the risk. In the example above, we would not
consider equipment to be emergency equipment if there is merely a
possibility (rather than a certainty) that the equipment will be
retrofitted with a slip-on firefighting module.
* * * * *
[FR Doc. 2014-18738 Filed 8-7-14; 8:45 am]
BILLING CODE 6560-50-P