Federal Register / Vol. 77, No. 3 / Thursday, January 5, 2012 / Notices 497 

1 69 FR 38958 (June 29, 2004). 

(e.g., dump trucks, concrete mixers, 

refuse trucks, and other centrally-fueled 

vehicles) are permitted a DEF tank 

maintenance interval no less than the 

vehicle’s fuel capacity (i.e., a 1:1 ratio of 

DEF refill to fuel refill). For all other 

heavy-duty vehicles, EPA approves a 

DEF tank refill interval no less than 

twice the range of the vehicle’s fuel 

capacity (i.e., a 2:1 ratio). 

C. Reasonable Likelihood of 

Maintenance Being Performed In Use 

As stated above, because DEF refills 

are considered ‘‘critical emission-related 

maintenance,’’ manufacturers must 

‘‘show the reasonable likelihood of such 

maintenance being performed in use.’’ 

40 CFR 86.094–25(b)(6)(ii) and 

86.1834(b)(6)(ii) provide a number of 

means by which manufacturers may 

demonstrate such a reasonable 

likelihood. Among those means of 

demonstration are visible signal systems 

to alert drivers and operators that 

maintenance is needed, or data 

demonstrating that drivers or operators 

are induced to perform maintenance. 

EPA intends to review specific 

manufacturer certification applications 

in order to review whether these 

regulatory requirements are met. 

D. Applicability 

The Agency, as stated above, has 

approved alternative maintenance 

requests to ensure the proper 

functioning of SCR systems by allowing 

an appropriately frequent refilling of 

DEF tanks. We approve these requests 

for all future model years. EPA 

expressly reserves its ability to review 

this approval at any time in the future, 

should any technological advances be 

made that would allow for more or less 

frequent DEF refilling or otherwise call 

this approval into question. 

VI. Procedures for Manufacturer 

Objections 

Any manufacturer may request a 

hearing on this determination. The 

request must be in writing and include 

a statement specifying the 

manufacturer’s objections to this 

determination, and data in support of 

such objections. If, after review of the 

manufacturer’s objections and 

supporting data, we find that the request 

raises a substantial factual issue, we 

shall provide the manufacturer with a 

hearing in accordance with 40 CFR 

86.1853–01 with respect to such issue. 

Dated: December 23, 2011. 

Gina McCarthy, 

Assistant Administrator for Air and 

Radiation. 

[FR Doc. 2011–33842 Filed 1–4–12; 8:45 am] 

BILLING CODE–P 

ENVIRONMENTAL PROTECTION 

AGENCY 

[FRL–9615–9] 

Control of Emissions From New 

Nonroad Compression-Ignition 

Engines: Approval of New Scheduled 

Maintenance for Selective Catalytic 

Reduction Technologies 

AGENCY: Environmental Protection 

Agency (EPA). 

ACTION: Notice. 

SUMMARY: This notice announces that 

EPA has granted manufacturers new 

emission-related scheduled 

maintenance and maintenance intervals 

for the replenishment of the nitrogencontaining reducing agent for selective 

catalytic reduction (SCR) technologies 

used with nonroad compressionignition (NRCI) engines for 2011 and 

later model years. Replenishment of 

reducing agent for SCR technologies is 

considered critical emission-related 

maintenance. 

FOR FURTHER INFORMATION CONTACT: 

David Dickinson, Compliance Division, 

U.S. Environmental Protection Agency, 

1200 Pennsylvania Ave. NW., (405J), 

Washington, DC 20460. Telephone: 

(202) 343–9256. Email address: 

Dickinson.David@epa.gov. 

SUPPLEMENTARY INFORMATION: 

I. Background 

EPA adopted new emission standards 

for NRCI engines on June 29, 2004.1 We 

expect that many manufacturers will 

use SCR systems to meet the final Tier 

IV NOX reduction requirements for their 

diesel engines. SCR systems use a 

nitrogen-containing reducing agent that 

usually contains urea and is known as 

diesel exhaust fluid (DEF). The DEF is 

injected into the exhaust gas upstream 

of a catalyst and requires periodic 

replenishment (maintenance) by 

refilling the DEF tank. 

NRCI engine manufacturers are 

required to provide written instructions 

for properly maintaining and using the 

engine, including the emission control 

system, to purchasers of new engines. 

These maintenance instructions, 

including the hours associated with the 

maintenance intervals, also apply to the 

engine during its service accumulation 

for emission testing purposes. 

Maintenance performed on NRCI 

engines is classified as critical emissionrelated maintenance if it includes any 

adjustment, cleaning, repair, or 

replacement of critical emission-related 

components. As set forth at 40 CFR 

1039.125(a)(1), 1039.125(a)(2), and 

1039.125(a)(3), a manufacturer may 

schedule critical emission-related 

maintenance on these types of 

components if certain conditions are 

met, including a demonstration that the 

maintenance is reasonably likely to be 

done at the recommended intervals, and 

depending upon the size of the engine 

and the type of emission-related 

component, an EPA-prescribed 

minimum hour maintenance interval. 

For example, a manufacturer of engines 

below 130 kW may not schedule 

maintenance more frequently than 3,000 

hours for catalytic converters and if the 

engines are at or above 130 kW then a 

manufacturer may not schedule the 

catalytic converter maintenance more 

frequently than 4,500 hours. 

In addition, should a manufacturer 

desire a new or shorter scheduled 

maintenance interval (that it wishes to 

recommend to purchasers and perform 

during service accumulation on 

emission-data engines) not found under 

§ 1039.125(a)(2) and 1039.125(a)(3), and 

instead utilize § 1039.125(a)(5), then the 

manufacturer must submit a request to 

EPA for approval. A request for a shorter 

maintenance interval includes new 

scheduled maintenance on emissionrelated components that were not in 

widespread use with NRCI engines 

before 2011. Requests from 

manufacturers for new scheduled 

maintenance intervals must include: (1) 

A description of the proposed 

maintenance step, (2) the recommended 

maximum feasible interval for this 

maintenance, (3) the rationale with 

supporting evidence to support the need 

for the maintenance at the 

recommended interval, and (4) a 

demonstration that the maintenance 

will be done at the recommended 

interval on in-use engines. 

In considering requests for new 

scheduled maintenance EPA will 

evaluate the information provided to 

EPA and any other available 

information to establish alternate 

specifications for maintenance intervals 

as deemed appropriate. 

EPA believes the existing allowable 

scheduled maintenance hour intervals 

applicable to catalytic converters are 

generally applicable to SCR systems 

which contain a catalyst, but that SCR 

systems are a new type of technology 

and that DEF refills are a new type of 


emcdonald on DSK5VPTVN1PROD with NOTICES
498 Federal Register / Vol. 77, No. 3 / Thursday, January 5, 2012 / Notices 

2The EMA members participating in nonroad 

diesel engine activities include: Caterpillar Inc., 

Cummins Inc., Deere & Company, Daimler Trucks 

North America LLC, Deutz Corporation, Fiat 

Powertrain Technologies S.p.A., Hino Motors, Ltd., 

Isuzu Manufacturing Services of America, Inc., 

Komatsu Ltd., Kubota Engine America Corporation, 

MTU Detroit Diesel Corporation, AB Volvo, and 

Yanmar America Corporation. 

3 40 CFR 1039.801 defines a critical emissionrelated component to include, in part, any 

component whose primary purpose is to reduce 

emissions. 

4Several of the requests also seek a 2:1 DEF refill 

ratio if there is no DEF level indicator. However, 

because EPA has already made clear that such DEF 

level indicator is otherwise necessary (see footnote 

8) the Agency is not evaluating the 2:1 ratio request 

at this time. Separately, a couple of the requests 

seek a DEF tank size that is capable of sustaining 

a minimum of 120 hours of operation for engines 

used in part-time and full-time stationary 

applications when the engine is provided with a 

very large, and possibly unlimited fuel supply. One 

of those requests has been withdrawn. The other 

does not provide sufficient evidence to support why 

the recommended interval is the appropriate 

maintenance interval for these particular 

applications. Thus, the Agency is not taking action 

to approve the requests at this time, but may act in 

the future if more detailed information on this issue 

is provided to EPA. 

5See CISD–07–07, p. 2. 

6 In EPA’s November 9, 2009 approval of new 

scheduled maintenance for SCR-equipped onhighway engines and vehicles, the Agency found 

that for vocational vehicles the DEF refill interval 

should equal the range of the vehicle operation that 

is no less than the vehicle’s fuel capacity (i.e. a 1:1 

ratio). 74 FR 57671. 

maintenance uniquely associated with 

SCR systems. Therefore, the 3,000 hour 

(engines below 130 kW) and 4,500 hour 

(engines at or above 130 kW) intervals 

are generally applicable to SCR systems, 

but are not controlling in determining 

the appropriate DEF refill interval. 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. 

II. Current Requests 

EPA has received information from 

the Engine Manufacturers Association,2

as well as AGCO, Caterpillar, and 

IVECO supporting their requests for new 

recommended scheduled maintenance 

intervals for their SCR systems. 

Several of the requests noted that the 

DEF is essential for the proper 

functioning of the SCR system, and 

thereby constitutes a ‘‘critical’’ 

maintenance component.3

The requests primarily seek EPA’s 

approval of a DEF tank that provides a 

range of operation that is equal to the 

engine or equipment’s fuel capacity— 

this is known as a 1:1 ratio—for 2011 

and later model year nonroad engines.4

In determining the recommended DEF 

refill intervals, several of the requestors 

applied ‘‘good engineering judgment’’ as 

described in the March 27, 2007 SCR 

certification guidance for on-highway 

engines.5 Some noted that since SCR 

systems may consume DEF at a rate of 

approximately 2% to 4% of the rate of 

diesel fuel consumption (consumption 

rates could be even higher as one 

requestor noted), it would be technically 

infeasible to equip a nonroad engine or 

piece of equipment with a DEF tank 

large enough to operate for the standard 

3,000- or 4,500-hour maintenance 

interval without DEF refill. For 

example, considering a representative 

range of construction and agricultural 

equipment, to meet the 3,000- to 4,500- 

hour maintenance requirements: 

• A skid steer loader with a 50 

kilowatt (kW) engine, that normally 

carries a maximum of 25 gallons of fuel, 

would require a DEF capacity of 

approximately 150 gallons, weighing 

over 1,400 pounds and requiring more 

than 20 cubic feet (ft3) of space. 

• A bulldozer with a 150 kW engine, 

that normally carries a maximum of 110 

gallons of fuel, would require a DEF 

capacity of approximately 900 gallons, 

weighing over 8,000 pounds and 

requiring more than 120 ft3 of space. 

• A combine harvester with a 250 kW 

engine, that normally carries a 

maximum of 250 gallons of fuel, would 

require a DEF capacity of approximately 

900 gallons, weighing over 8,000 

pounds—almost half as much as the 

combine’s grain tank capacity—and 

requiring more than 120 ft3 of space. 

• A large off-highway mining truck 

with a 900 kW engine, that normally 

carries a maximum of 500 gallons of 

fuel, would require a DEF capacity of 

approximately 5,500 gallons, weighing 

over 50,000 pounds and requiring more 

than 735 ft3 of space. 

Several of the requests suggested that 

in order to apply good engineering 

judgment EPA must strike the proper 

balance between the dictates of 

operating nonroad equipment (which 

requires DEF tanks of small enough 

weight and size so as not to hinder the 

engine’s or equipment’s function while 

also not causing too frequent stops or 

downtime) and what the requestors 

suggest is EPA’s need to ensure 

emission compliance in use. The 

requestors suggest that mobile nonroad 

engines and equipment are directly 

analogous to ‘‘vocational’’ on-highway 

vehicles, in that they typically are 

refueled on a daily basis from a central 

location and so are well-suited to the 

refilling of their DEF tanks on the same 

daily basis.6

The requestors also suggest that their 

recommended DEF refill intervals are 

the maximum intervals since longer 

intervals would require larger and 

heavier tanks, which may jeopardize the 

engine or equipment’s mission or 

functionality. One of the requestors 

noted, by way of example, that its 

average engines used in modern 

agriculture and construction machines 

would consume as much as 1,000 to 

2,200 gallons of DEF in order to meet 

the 4,500-hour regulated interval. Such 

tanks (weighing 9,000/20,000 pounds) 

would be essentially impossible to 

install given the limitations in available 

space and visibility for operators on 

machines, with impacts on safety, along 

with massive increases of machine 

weight which would pose serious 

problems in operability in agricultural 

lands along with worsening machine 

fuel consumption resulting in higher 

CO2 emissions. Such constraints include 

the need to work and pass in very 

narrow openings in orchards, safety and 

visibility concerns, and the operability 

of other components on the equipment 

(including clearance between the DEF 

tank on tires). This requestor also asks 

EPA to consider the shelf-life of DEF at 

normal ambient temperatures as 18 

months, much less than the 3- to 5-year 

period which roughly corresponds to 

the interval of 4,500 hours. 

A separate request noted the 

important relationship between DEF 

and fuel volume, packaging and 

serviceability concerns, along with tilt 

capability and weight concerns in 

support of its recommended 1:1 DEF 

refill ratio. A 1:1 ratio develops the 

correct machine operating habit to fill 

the DEF at each fuel fill interval, and 

from a vehicle design standpoint many 

of its applications are taking away fuel 

tank volume to create space for the DEF 

tank and provide instances where the 

DEF tank is nestled in the fuel tank area. 

In terms of serviceability, the optimal 

placement of the DEF tank is close to 

the fuel tank so both can be refueled 

conveniently at the same time. As the 

filler neck on the fuel tank is already 

accessible from ground level, placing 

the DEF tank nearby ensures that it is 

also accessible. Providing such 

accessibility increases the limitations on 

the design and placement of the DEF 

tank. Tanks sized for a 1:1 ratio are 

much more likely to fit within the 

allowable space on a piece of equipment 

than a larger tank. Examples were 

provided by the requestor noting where 

2:1 tanks would not fit. This requestor 

also noted that a 2:1 DEF tank would 

add 65 to 220 pounds to machines and 

would negatively affect the ability to 


emcdonald on DSK5VPTVN1PROD with NOTICES
Federal Register / Vol. 77, No. 3 / Thursday, January 5, 2012 / Notices 499 

7EMA suggests that a severe inducement would 

reduce the engine to 60% of the rated speed and 

50% rated torque. 

8EPA held a public webinar on July 26, 2011. 

Copies of the presentation used at this webinar can 

be found at: www.epa.gov/otaq/cert/documents/

nrci-scr-web-conf.2011-07-25.pdf. 

9 40 CFR 1039.125(a)(5). 

10 74 FR 57561 (November 9, 2009). 

carry payload, which is one of the 

primary functions of the majority of 

construction machines. Lastly, 

construction machines must operate in 

a variety of conditions and operate often 

on steep slopes. Equipment with 1:1 

DEF tanks of the correct design creates 

a lower risk of losing DEF fluid suction 

pickup when operating on extreme tilt 

as compared to larger tanks. 

In order to fulfill the obligation to 

demonstrate that the maintenance will 

be done at the recommended interval on 

in-use engines, requestors noted that 

manufacturers will deploy warnings and 

inducements should the DEF level 

become too low. In addition to these 

initial inducements, should the operator 

ignore them, then the requestors noted 

that manufacturers will employ ‘‘severe 

inducement’’ intended to disable the 

functionality of the engine or 

equipment.7

Furthermore, EPA notes that several 

current SCR systems include the final 

inducement of either having the engine 

shut down or idle only (with no power) 

when no DEF is present in the DEF tank 

(or the system is no longer able to dose 

with DEF), and such SCR systems meet 

EPA’s expectations of what is required 

for nonroad SCR systems.8 As an 

example, one manufacturer noted that 

‘‘To provide the necessary assurance 

that the DEF tank will be refilled, each 

vehicle will be equipped with a 

constant viewable DEF level indicator 

included in the vehicle dashboard 

display. * * * the operator display 

system includes a visible warning signal 

that indicates when the level of DEF in 

the tank is low and will need refilling. 

As a final inducement, the system also 

includes programmed engine derates 

that limit engine performance once the 

DEF level drops below certain levels, 

thereby limiting vehicle performance.’’ 

EMA, in its request, noted that should 

operators fail to notice audible or visible 

warning signals indicating low DEF, 

then the manufacturers may also use a 

reduction in engine power or equipment 

utility to provide more dramatic notice 

that the DEF tank needs refilling. This 

‘‘severe inducement’’ is intended to 

disable the functionality of the engine or 

equipment, and to substantially limit 

the likelihood that the engine or 

equipment could perform any useful 

work, but is not intended to prohibit the 

engine or equipment’s mobility or 

ability to idle. EMA also notes that it 

expects EPA to provide guidance on an 

appropriate final inducement once the 

SCR system runs out of DEF. 

III. Discussion 

EPA believes that SCR systems are a 

new technology and are properly 

considered a critical emission-related 

component since their primary purpose 

is to control emissions. In addition, the 

replenishment of DEF as part of 

maintaining the SCR system’s 

functionality is considered to be critical 

emission-related maintenance under 

1039.125(a). 

EPA believes it appropriate to 

evaluate the DEF refill rates by taking 

into consideration the space and weight 

constraints typically involved with the 

range of NRCI engines using SCR 

systems, including safety and impacts of 

weight and dosing rates on greenhouse 

gas emissions and fuel efficiency. EPA 

believes it must also take into 

consideration the likelihood that the 

maintenance of DEF refills will be 

performed by the owner or operator.9

In our 2009 Federal Register notice 

regarding heavy-duty on-highway 

engines and vehicles using SCR 

systems, we concluded that the 

requested intervals were appropriate 

because we determined that 

manufacturer-recommended DEF refill 

intervals approximated the maximum 

feasible maintenance intervals 

associated with reasonable DEF tank 

sizes. We also concluded that the 

maintenance intervals recommended 

ensure that the functions and 

operational efficiency of such vehicles 

are not overly compromised.10 EPA 

knows of no SCR technology for NRCI 

engines that is yet capable of attaining 

longer operation (generally beyond one 

tank full of diesel) without a DEF refill. 

As noted by the requests, there are 

significant space and weight constraints 

associated with increasing the DEF tank 

size in order to accommodate a 2:1 refill 

ratio. EPA believes it appropriate to take 

into consideration the need for locating 

the DEF tank in close proximity to the 

fuel tank and the remainder of the SCR 

system, as well as the increased 

likelihood that the DEF tank will be 

refilled if it becomes standard operating 

practice to refill the DEF tank at the 

same time as the fuel tank. EPA believes 

that such nonroad equipment is similar 

to centrally-fueled heavy-duty onhighway vehicles and that there is a 

sufficient basis and a reasonable 

expectation that DEF tank refills will 

occur on a timely basis. 

EPA notes that the regulations allow 

any manufacturer to petition EPA under 

the ‘‘paragraph (a)(5) process’’ for a new 

maintenance interval for a particular 

engine family or application than that 

approved for the industry if the 

manufacturer can show that a certain 

interval is the appropriate maintenance 

interval for the particular engine 

configuration being certified. 

EPA also notes that all critical 

emission-related maintenance must 

have a reasonable likelihood of being 

done at the recommended intervals on 

in-use engines. Paragraph 1039.125(a)(1) 

sets forth several methods by which 

such demonstration can be made, 

including data showing that if a lack of 

maintenance increases emissions, it also 

unacceptably degrades the engine’s 

performance. In the context of SCR 

systems and the potential of an empty 

DEF tank and an inoperable SCR 

system, EPA notes that equipment 

under such operating conditions are 

expected to shut down or idle only. 

Engine manufacturers employing such 

final inducements meet the 

requirements of (a)(1) and furthermore 

meet the requirement under (a)(5) for 

DEF refill intervals based on a 1:1 ratio. 

For the reasons set forth above, EPA 

approves a new scheduled maintenance 

interval for DEF refill that shall be no 

less than the equipment’s fuel capacity 

(i.e., a 1:1 ratio of DEF refill to fuel 

refill) for 2011 and later model year 

nonroad engines. 

IV. Procedures for Objections 

Anyone may request a hearing on this 

determination. The request must be in 

writing and include a description of 

your objection and any supporting data. 

The request must be made by February 

6, 2012. If, after review of any objection 

and supporting data, we find that the 

request raises a substantial factual issue, 

we will hold a hearing in accordance 

with 40 CFR Part 1068 Subpart G. 

Dated: December 23, 2011. 

Gina McCarthy, 

Assistant Administrator, Office of Air and 

Radiation. 

[FR Doc. 2011–33840 Filed 1–4–12; 8:45 am] 

BILLING CODE P 

FEDERAL HOUSING FINANCE 

AGENCY 

[No. 2011–N–14] 

Privacy Act of 1974; System of 

Records 

AGENCY: Federal Housing Finance 

Agency. 


emcdonald on DSK5VPTVN1PROD with NOTICES