From: Moulis, Charles

Sent: Thursday, May 30, 2013 4:15 PM To: Jed R. Mandel Subject: DELIBERATIVE potential revisions for 1039_665 4th draft .docx Attachments: DELIBERATIVE potential revisions for 1039_665 4th draft .docx

Jed,

As you know, we have made a number of revisions to the draft 1039.665 text based on our meeting earlier this month. I think the attached draft addresses most of EMA’s concerns. The few issues that remain ar e flagged in the document so that we can continue to consider them as we go through internal EPA review.

ChuckDRAFT AND DELIBERATIVE, DO NOT CITE OR QUOTE

The pot ential revisions in this document are based on initial thoughts that have been developed by ASD staff only, and these potential revisions have not been reviewed by EPA’s Office of General Counsel or any other EPA office

. The intended use of this document is to facilitate an informal discussion of the issues with EMA.

§1039.665 Temporarily disabling emissions controls during qualified emergency situations

. This section specifies provisions that allow for the temporary disabling of emissions contr ols 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 direct or indirect significant risk to human life . An example of a direct risk would be a n emission control s 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. For the purposes of this sec tion, 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 emission controls. AECDs approved under this section ar e not defeat devices, and their proper use during a qualified emergency situation is not considered a prohibited act under Section 202 of the Clean Air Act. Manufacturers may apply for AECD approval at any time; however, we encourage manufacturers to obta in 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. (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: “EMERGEN CY USE ONLY, SEE OWNERS MANUAL, PENALTIES APPLY FOR MISUSE.” ( 3 ) Manufacturers may design and produce their e ngines 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, a ctivation 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 i s 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. ( 6 ) The engine controls mus t include an operator

- activated switch or other device or element of design to allow the operator to manually deactivate the AECD once a qualified emergency situation has clearly ended

. This manual control may include a “confirm

- delete” function, asDRAFT AND DELIBERATIVE, DO NOT CITE OR QUOTE

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 condit ions . This manual deactivation control must not deactivate operator inducements required by paragraph (b)( 9 ) of this section. ( 7 ) The AECD must automatically deactivate after reaching the limits specified in this paragraph (b)( 7 ). 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 ma y be re set to the initial point of that sequence when the AECD is deactivated. (i) The provisions of this paragraph (b)(7)(i) apply for engine s used only to power an electrical power generator or a flood control pump, where the generator or pump is the sol e source of electrical or shaft power when the normal source of power is interrupted during a qualified emergency situation . For such engines, the emergency AECD must automatically deactivate within a time period of 30 days after the AECD was initially

ac tivated, independent of the amount of time the engine was operated . The provisions of paragraph (b)(7)(ii) of this section do not apply , provided all the following are also true: (A) The engine and equipment are intended t o operate unattended; that is, wi thout human input or observation, and (B) The engine controls have the ability to record elapsed time from the point of AECD activation to the time of automatic deactivation , without regard to wh ether the engine is operating. (C) The engine is labeled for use only in electrical power generation or flood control pump applications. Unless we approve alternate language, state the following: “THIS ENGINE IS FOR INSTALLATION IN ELECTRICAL POWER GENERATION OR FLOOD CONTROL PUMP APPLICATIONS ONLY.” (ii) For al l other engines, the emergency AECD must automatically deactivate within a cumulative engine run time period of [24

- 120] hours after the AECD was initially activated (excluding any time the AECD was deactivated)

, and the AECD must automatically deactivate within a time period of [ 72

- 240] hours after its activation

, independent of the amount of time the engine was operated

. We may waive the [72

- 240] time period limit for the first [1

- 2] model years to which this section applies. (iii) W e may allow reconfiguring the AECD to remain active for longer intervals where we determine that a particular emergency situation warrants

. ( 8 ) Except as allowed under paragraph (b)( 3 ) of this section, the manufacturer must ensure that resetting of the AECD cannot oc cur 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. ( 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 alarm s that are active from the point when the AECD is activated to the point when it is reset

. Comment [CM1]: EMA’s preferred text:

(A) The engine and equipment are intended to operate unattended; that is, without in

- person human input or observation, and

Comment [CM2]: EMA’s preferred text:

and the AECD must automatically deactivate within

a cumulative engine run time period of [72

- 240] hours afte r its activation, independent of the amount of time the AECD was active

. engine was operated. W e may waive the [72

- 240] time period limit for the first [1

- 2] model years to which this section applies.DRAFT AND DELIBERATIVE, DO NOT CITE OR QUOTE

(c) Required Information

. Manufacturers producing engines equipped with an AECD approved under this section must communicate at least the following information in wri ting 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 informa tion from the operator’s report under paragraph (e) of this section to EPA and that federal regulation separat ely 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 after the operator provides by any means the information required in paragraph ( e )( 1 ) of this section. ( 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 . Th e 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 engin e during the
emergency , and a signature from an official acknowledging the emergency situation (such as a county sheriff, fire marshal, or hospital administrator)

. ( 3 ) T he 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 activ e, including a statement whether or not the AECD was manually deactivated after the
emergency situation had clearly ended

. (f) Operator Failure to R eport

. If the operator fails to submit to the manufacturer the applicable report 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) Manufacturer Reporting to EPA

. With in 90 days of the end of each calendar year, the manufacturer must send a n annual report of the use of AECDs approved under this section to the Designated Compliance Officer

. A manuf acturer 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 d escription of each emergency situation precipitating each AECD a ctivation and copies of the report s submitted by operators (or statements that an operator did not submit a report, to the extent known by the manufacturer ). ( h ) Submissions to EPA

. Notifications and reports submitted to comply with this section are deemed to be submissions to EPA.DRAFT AND DELIBERATIVE, DO NOT CITE OR QUOTE

( i ) Recordkeeping

. The manufacturer must keep records to document use of AECDs approved under this section. ( j ) Anti

- circumvention

. We may set other reasonable conditions to ensure that the provision s in this section are not used to circumvent the emission standards of this part.