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From: Moulis, Charles

Sent: Friday, March 07, 2014 3:45 PM

To: Lowry, Jeff, ARB

Subject: EPA DEF Refill and Nonroad Emergency Draft Regulations

Attachments: Review Draft - SCR-Emergency Regs - 030714.docx

Attached is the current staff draft of regulatory amendments for DEF refill intervals and 

nonroad emergency operation.
Starter - Regs as published in the NPRM

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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 85— CONTROL OF AIR POLLUTION FROM MOBILE SOURCES

1. The authority citation for part 85 continues to read as follows:

Authority: 42 U.S.C. 7401-7671q.

Subpart R–[Amended]

PART 86--CONTROL OF EMISSIONS FROM NEW AND IN-USE HIGHWAY 

VEHICLES AND ENGINES

2. The authority citation for part 86 continues to read as follows:

Authority: 42 U.S.C. 7401-7671q.

Subpart A–[Amended]

3. Section 86.004-2 is amended by revising the definition for “Diesel exhaust fluid” 

and “Emergency vehicle” to read as follows:.

§ 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 conform to the specifications of ISO 22241.

Emergency vehicle means a vehicle that meets one of the following criteria:
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(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, or a mobile command center that is unable to 

manually regenerate its DPF while on duty. 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 is to be retrofitted with a slip-on firefighting 

module.

* * * * *

4. Section 86.004-25 is amended as follows:

a. By revising paragraph (b)(4) introductory text.

b. By adding paragraph (b)(4)(v).

c. By revising paragraphs (b)(6)(i) introductory text and (b)(6)(i)(H).

d. By adding paragraph (b)(6)(i)(I).

e. By revising paragraph (b)(6)(ii).
Starter - Regs as published in the NPRM

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§ 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 the replenishment of diesel exhaust fluid 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 your 

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 tankful 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. For laboratory engine testing, any 

size DEF tank and/or fuel tank may be used. 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:

* * * * *
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(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)-(F) of this section will be accepted as 

having a reasonable likelihood of the maintenance item being performed in-use, except 

that for 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 S–[Amended]

5. Section 86.1803-01 is amended by revising the definitions for “Diesel exhaust fluid”

and “Emergency vehicle” to read as follows.

§ 86.1803-01 Definitions.

* * * * *
Starter - Regs as published in the NPRM

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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

conform to the specifications of ISO 22241.

* * * * *

Emergency vehicle means one of the following:

(1) For the greenhouse gas emission standards in §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 other provisions under this subpart, emergency vehicle means a motor vehicle 

that is:

(i) An ambulance or a fire truck.

(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, or a mobile command center that is unable to manually regenerate its

DPF while on duty. 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 
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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 is to be retrofitted with a slip-on firefighting module.

* * * * *

6. Section 86.1807-01 is amended by adding paragraphs (h) and (i) to read as follows:

§ 86.1807-01 Vehicle labeling.

* * * * *

(h) Vehicles powered by model year 2007 through 2013 diesel-fueled engines must 

include permanent readily visible labels on the dashboard (or instrument panel) and near 

all fuel inlets that state “Use Ultra Low Sulfur Diesel Fuel Only” or “Ultra Low Sulfur 

Diesel Fuel Only”.

(i) For vehicles with one or more approved AECDs for emergency vehicles under 

paragraph (4) of the definition of defeat device, include the following statement on the 

emission control information label: “THIS VEHICLE HAS A LIMITED EXEMPTION 

AS AN EMERGENCY VEHICLE.”

7. Subpart S is amended by removing §86.1807-07.

§86.1807-07 – [Removed]

8. Section 86.1834-01 is amended as follows:

a. By revising paragraph (b)(4) introductory text .

b. By adding paragraph (b)(4)(iii).
Starter - Regs as published in the NPRM

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c. By revising paragraph (b)(6)(i)(H).

d. By adding paragraph (b)(6)(i)(I)

e. By revising paragraph (b)(6)(ii).

§ 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.

* * * * *
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(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)-(F) of this section will be accepted as 

having a reasonable likelihood of the maintenance item being performed in-use, except 

that for 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.

* * * * *

PART 1039–CONTROL OF EMISSIONS FROM NEW AND IN-USE NONROAD 

COMPRESSION-IGNITION ENGINES

9. The authority citation for part 1039 continues to read as follows:

Authority: 42 U.S.C. 7401-7671q.

Subpart B–[Amended]

10. 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:

§ 1039.125 What maintenance instructions must I give to buyers?

* * * * *

(a) * * *
Starter - Regs as published in the NPRM

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(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 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 you meet this requirement for worst case operation. For 

laboratory engine testing, any size DEF tank and/or fuel tank may be used. For our 

testing of engines, we may require you to provide us with a production type DEF tank, 

including any associated sensors.

(3) * * *

(iii) For SCR systems, the minimum interval for replenishing the diesel exhaust fluid 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 you meet this requirement for worst case operation. For 

laboratory engine testing, any size DEF tank and/or fuel tank may be used. For our 

testing of engines, we may require you to provide us with a production type DEF tank, 

including any associated sensors.

* * * * *
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11. Section 1039.130 is amended by revising paragraph (b)(3) to read as follows:

§ 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 §1039.205(u). Also 

describe how to properly size diesel exhaust fluid reservoirs consistent with the 

specifications in §1039.125(a) if applicable.

* * * * *

12. Section 1039.135 is amended by revising paragraph (c)(15) to read as follows:

§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 §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 §1039.665 rather than §1039.115(g)(4).

* * * * *

Subpart G–[Amended]

13. A new §1039.665 is added to subpart G to read as follows:
Starter - Regs as published in the NPRM

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§1039.665 Special provisions for use of engines in emergency situations.

This section specifies provisions that allow for the temporary disabling of 

emissions 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 controls 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 controls 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 the temporary disabling of emissions controls during a 

qualified emergency situation, manufacturers may apply for the approval of Auxiliary 

Emissions 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, the automatic limiting of engine performance to induce an operator to 

perform emissions-related maintenance—such as refilling the DEF tank of an SCR 

emissions control system—is considered to be an emission control. AECDs approved 

under this section are not defeat devices, and their proper use during a qualified 

emergency situation is not considered a prohibited act under Section 203 of the Clean Air 

Act. Manufacturers may apply for AECD approval at any time; however, we encourage 

manufacturers to obtain preliminary approval before submitting an application for 
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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 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, activation of the 

AECD must require either the 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 in non-volatile electronic 

memory the total number of activations of the AECD for that engine.
Starter - Regs as published in the NPRM

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(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 period 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 more severe engine performance limits to induce operators to perform 

emissions-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 of the AECD cannot occur 

without the specific permission of the manufacturer, and that resetting the AECD 

must require either the 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. Resetting of the AECD cannot occur unless 

either the manufacturer has evidence that the emergency situation is continuing or if 

the operator has provided the information required in paragraph (e) of this section.
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(9) 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.

(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, reactivating, reporting AECD use, 

and requesting resetting of the AECD.

(2) Warning that activating the emergency AECD for something other than a 

qualified emergency situation, failing to disable the emergency AECD after a 

qualified emergency situation has clearly ended, or failing to notify and report to the 

manufacturer as required under paragraph (e) of this section, are prohibited acts under 

federal regulations. The warning must also identify the maximum civil penalty for 

such violations, according to 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 of 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 by any means the information required in 

paragraph (e) of this section.
Starter - Regs as published in the NPRM

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(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 days 

after activating an AECD approved under this section. The report must include the 

following: 

(1) Contact name, mail and e-mail 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 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.

(4) The engine serial number (or equivalent).

(5) A description of the extent and duration of the engine operation while the AECD 

was active, including a statement whether or not the AECD was manually 

deactivated after the emergency situation had clearly ended. 

(f) Operator Failure to Report. 

If the operator fails to submit to the manufacturer the applicable report required 

by paragraph (e) of this section 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.
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(g) Prohibited Acts. The following actions by the operator are improper use of the 

AECD and are prohibited acts under section 203 of the Clean Air Act:

(1) Activating the emergency AECD for any use other than a qualified emergency 

situation emission where the emission control strategy was curtailing the ability of the 

engine to perform:

(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 the performance of the engine has been or can 

reasonably be fixed; 

(4) Failing to provide the information required under paragraph (e) of this section 

within 60 days of the activation of the AECD. 

(h)Manufacturer Reporting to EPA. Within 90 days of the end of each calendar 

year, the manufacturer must send an annual report of the use of AECDs approved under 

this section to the Designated Compliance Officer. 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 precipitating each AECD activation and copies of the reports 

submitted by operators (or statements that an operator did not submit a report, to the 

extent known by the manufacturer). 

(i) Submissions to EPA. Notifications and reports submitted to comply with this 

section are deemed to be submissions to EPA.
Starter - Regs as published in the NPRM

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(j) Recordkeeping. The manufacturer must keep records to document use of 

AECDs approved under this section [for at least 5 years?]. We may approve alternate 

recordkeeping and/or 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.

Subpart I–[Amended]

14. Section 1039.801 is amended by revising definitions for “Diesel exhaust fluid” and 

“Emergency equipment” to read as follows:

§ 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.
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(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 §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 is to be retrofitted with a slip-on 

firefighting module.

* * * * *