Draft v5.0 April 26, 2005 1 For the reasons set out in the preamble, title 40, chapter I of the Code of Federal Regulations is amended as set forth below.

PART 86   CONTROL OF EMISSIONS FROM NEW AND IN USE HIGHWAY VEHICLES AND ENGINES 1. The authority citation for part 86 continues to read as follows:

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

2. Section 86.1 is amended by adding paragraph ( b)( 6) to read as follows:

§ 86.1 Reference materials.

* * * * *

( b)* * *

( 6) NIST material. The following table lists material from the National Institute of Standards and Technology that we have incorporated by reference. The first column lists the number and name of the material. The second column lists the sections of this part where we reference it. Anyone may purchase copies of these materials from the Government Printing Office, Washington, DC 20402 or download them from the Internet at http:// physics. nist. gov/ Pubs/ SP811/.

Document number and name Part 86 reference NIST Special Publication 811, Guide for the Use of the International System of Units ( SI), 1995 Edition. 86.1901 ( 7) ASTM material. The following table lists material from the American Society of Testing and Materials that we have incorporated by reference. The first column lists the number and name of the material. The second column lists the sections of this part where we reference it.

Anyone may purchase copies of these materials from the ASTM, 100 Bar Harbor Drive, West Conshohocken, PA 19428 2959 or download them from the Internet at http:// www. astm. org Document number and name Part 86 reference ASTMD975 04 Standard Specification for Diesel Fuel Oils 86.1910 Draft v5.0 April 26, 2005 2 Subpart A  [ Amended]

3. Section 86.007 11 is amended by adding paragraph ( a)( 4)( vi) to read as follows:

§ 86.007 11 Emission Standards and Supplemental Requirements for 2007 and Later Model Year Diesel Heavy Duty Engines and Vehicles.

* * * * *

( a) * * *

( 4)* * *

( vi) Manufacturers's are not required to provide engine information exclusively related to in use testing as part of initial certification. However, upon request from EPA the manufacturers must provide the information which clearly identifies parameters defining all NTE deficiencies described under § 86.007 11( a)( 4)( iv) and parameters defining all NTE carve outs described under § § 86.1370 2007( b)( 6) and ( 7) that are requested. When requested, deficiencies and carve outs must be reported for all engine families and power ratings in English with sufficient detail for us to determine if a particular deficiency or carve out will be encountered in the emission test data from the portable emission sampling equipment and field testing procedures referenced in § 86.1375.

Such information is to be provided within 60 days of the request from EPA.

* * * * *

Subpart N  [ Amended]

4. A new § 86.1375 2007 is added to read as follows:

§ 86.1375 2007 Equipment Specifications for Field Testing For field testing conducted pursuant to the requirements of this part, including field testing conducted to measure emissions under Not To Exceed test procedures, use the test procedures and equipment specified in 40 CFR part 1065, subpart J.

5. A new subpart T is added to read as follows:

Subpart T   Manufacturer Run In Use Testing Program for Heavy Duty Diesel Engines Sec.

86.1901 What testing requirements apply to my engines that have gone into service?

86.1905 How does this program work?

86.1908 How must I select and screen my in use engines? Draft v5.0 April 26, 2005 3 86.1910 How must I prepare and test my in use engines?

86.1912 How do I determine whether an engine meets the vehicle pass criteria?

86.1915 What are the requirements for Phase 1 and Phase 2 testing?

86.1917 How does in use testing under this subpart relate to the emission related warranty in Section 207( a)( 1) of the Clean Air Act?

86.1920 What in use testing information must I report to EPA?

86.1925 What records must I keep?

86.1930 What special provisions apply from 2005 through 2007?

86.1935 What special provisions may apply as a consequence of a delay in the accuracy margin report for portable emission measurement systems?

Appendix I to Subpart T   Sample Graphical Summary of NTE Emission Results § 86.1901 What testing requirements apply to my engines that have gone into service?

( a) If you manufacture diesel heavy duty engines above 8500 lbs. GVWR that are subject to engine based exhaust emission standards under this part, you must test them as described in this subpart. You must measure all emissions listed in § 86.1910( d) other than PM beginning in calendar year 2005 and you must measure PM emissions beginning in calendar year 2006. See § § 86.1930 and 86.1935 for special provisions that may apply to manufacturers in the early years of this program.

( b) We may void your certificate of conformity for an engine family if you do not meet your obligations under this subpart. We may also void individual tests and require you to retest those vehicles or take other appropriate measures in instances where you have not performed the testing in accordance with the requirements described in this subpart.

( c) In this subpart, the term " you" refers to the certificate holder for any engines subject to the requirements of this subpart.

( d) In this subpart, round means to round numbers according to NIST Special Publication 811( incorporated by reference in § 86.1).

§ 86.1905 How does this program work?

( a) You must test in use engines from the families we select. We may select the following number of engine families for testing, except as specified in paragraph ( b) of this section:

( 1) We may select up to 25 percent of your engine families in any calendar year, calculated by dividing the number of engine families you certified in the model year corresponding to the calendar year by four and rounding to the nearest whole number. We will consider only Draft v5.0 April 26, 2005 4 engine families with annual U. S. directed production volumes above 1,500 units in calculating the number of engine families subject to testing each calendar year under the annual 25 percent engine family limit. In addition, for model year 2007 through 2009, identical engine families that are split into two families under § 86.007 15( m)( 9) will count as only one engine family. If you have only three or fewer families that each exceed an annual U. S. directed production volume of 1,500 units, or if you have no engine families above this limit, we may select one engine family per calendar year for testing.

( 2) Over any four year period, we will not select more than the average number of engine families that you have certified over that four year period ( the model year when the selection is made and the preceding three model years), based on rounding the average value to the nearest whole number.

( b) If there is clear evidence of a nonconformity with regard to an engine family, we may select that engine family without counting it as a selected engine family under paragraph ( a) of this section. We will consult with you in reaching a conclusion whether clear evidence of a nonconformity exists for any engine family. In general, there is clear evidence of a nonconformity regarding an engine family under this subpart in any of the following cases:

( 1) The engine family is a carry over from an engine family you tested under this subpart and was subsequently remedied based at least in part on the Phase 1 or Phase 2 testing outcomes described in § 86.1915.

( 2) The engine family is a carry over from an engine family that was remedied based on an EPA in use testing program.

( c) We may select any individual engine family for testing, regardless of its production volume, as long as we do not select more than the number of engine families described in paragraph ( a) of this section. We may select an engine family from the current model year or any previous model year except that we will not select any engine families from model years before 2007 beginning in calendar year 2007 for all emissions testing other than PM testing and beginning in calendar year 2008 for PM emissions testing.

( d) You must complete all the required testing and reporting under this subpart within 18 months after we direct you to test a particular engine family. We will typically select engine families for testing and notify you in writing by June30 of the applicable calendar year. You may ask for up to six months longer to complete Phase 2 testing if there is a reasonable basis for needing more time.

In very unusual circumstances you may request an additional six months to complete Phase II testing.

( e) If you make a good faith effort to access enough test vehicles to complete Phase 1 or Phase 2 Draft v5.0 April 26, 2005 5 testing requirements under this subpart for an engine family, but are unable to do so, you must ask us either to modify the testing requirements for the selected engine family or, in the case of Phase 1 testing, to select a different engine family.

( f) After you complete the in use testing requirements for an engine family that we selected for testing in a given calendar year, we may select that same family in a later year to evaluate the engine family's compliance closer to the end of its useful life. This would count as an additional engine family selection under paragraph ( a) of this section, except as described in paragraph ( b) of this section.

( g) For any communication related to this subpart, contact the Engine Programs Group Manager ( 6405 J), U. S. Environmental Protection Agency, 1200 Pennsylvania Ave., NW., Washington,

DC 20460.

§ 86.1908 How must I select and screen my in use engines?

( a) Once we direct you to do testing under this subpart, you must make arrangements to select test vehicles and engines that meet the following criteria:

( 1) The engines must be representative of the engine family.

( 2) The usage of the vehicles must be representative of typical usage for the vehicles'

particular application.

( 3) The vehicles come from at least two independent sources.

( 4) The key vehicle/ engine systems ( e. g., power train, drive train, emission control) have been properly maintained and used.

( 5) The engines have not been tampered with, rebuilt or undergone major repair that could be expected to affect emissions.

( 6) The engines have not been misfueled. For example, an engine may be considered misfueled if operated on a biodiesel fuel blend that is either not listed as allowed or otherwise indicated to be an unacceptable fuel in the vehicle's owner or operator manual.

( 7) The engines do not have an illuminated MIL or stored OBD trouble code that lead you to reject the vehicle from the test program as described in § 86.1910( b)( 2).

( 8) The vehicles are likely to operate for at least three hours ( excluding idle) over a complete shift day, as described in § 86.1910( g).

( 9) The vehicles have not exceeded the applicable useful life, in miles or years ( see subpart A of this part); you may otherwise not exclude engines from testing based on their age or mileage.

( 10) The vehicle has appropriate space for safe and proper mounting of the PEMS equipment. Draft v5.0 April 26, 2005 6 ( b) You must keep any records of a vehicle's maintenance and use history you obtain from the owner or operator, as required by § 86.1925. You must report the engine's maintenance and use history and information related to the OBD system, as described in § 86.1920.

( c) You must notify us before rejecting a candidate vehicle for reasons other than failing to meet the acceptance criteria in paragraph ( a) of this section. A candidate vehicle is any prospective vehicle you have identified to potentially fulfill your testing requirements under this subpart.

Include your reasons for rejecting each vehicle. We may allow you to replace the rejected vehicle with another candidate vehicle to meet your testing requirements for the specific engine family.

( d) You must report when, how, and why you reject candidate vehicles, as described in § 86.1920.

§ 86.1910 How must I prepare and test my in use engines?

( a) You must limit maintenance to what is in the owners manual for engines with that amount of service and age. For anything we consider an adjustable parameter ( see § 86.094 21( b)( 1)( ii) and § 86.094 22( e)), you may adjust that parameter only if it is outside of its adjustable range. You must then set the adjustable parameter to the mid point of its adjustable range or your recommended setting, unless we approve your request to do otherwise. You must receive permission from us before adjusting anything not considered to be an adjustable parameter. You must keep records of all maintenance and adjustments, as required by § 86.1925. You must send us these records, as described in § 86.1920( a)( 3)( x), unless we instruct you not to send them.

( b) You may treat a vehicle with an illuminated MIL or stored trouble code as follows:

( 1) If the length of MIL illumination or trouble code storage is consistent with proper maintenance and use, either test the prospective test vehicle as received or repair the vehicle before testing. If you repair the vehicle, you must describe the MIL or trouble code information in your report under § 86.1920.

( 2) If the length of MIL illumination or trouble code storage is inconsistent with proper maintenance and use, either test the prospective test vehicle as received, repair the vehicle before testing, or reject the vehicle from the test program and replace it with another vehicle.

If you reject the vehicle, you must describe the MIL or trouble code information in your report under § 86.1920.

( 3) If a MIL is illuminated or a trouble code is set during an in use test, do one of the following:

( i) Stop the test, repair the vehicle, and restart the testing. In this case, only the portion of the full test results without the MIL illuminated or trouble code set would be used in the Draft v5.0 April 26, 2005 7 vehicle pass determination as described in § 86.1912. Describe the MIL or trouble code information in your report under § 86.1920.

( ii) Stop the test, repair the vehicle, and initiate a new test. In this case, only the postrepair test results would be used in the vehicle pass determination as described in § 86.1912. Describe the MIL or trouble code information in your report under § 86.1920.

( c) You should use appropriate fuels for testing as follows:

( 1) Any diesel fuel that meets the ASTM D975 specifications for No. 2 D S500 or No. 2 D S15, as required in the calendar year that in use testing occurs ( incorporated by reference in § 86.1).

( 2) Any biodiesel fuel blend that is either expressly allowed or not otherwise indicated as an unacceptable fuel in the vehicle's owner or operator manual.

( 3) You may drain a prospective test vehicle's fuel tank( s) and refill the tank( s) with diesel fuel conforming to ASTM D975 specifications described in paragraph ( c)( 1) of this section.

( 4) Any fuel that is added to the fuel tank( s) of a prospective test vehicle, or during an in use test, must be purchased at a local retail establishment near the site of vehicle procurement or screening, or along the test route. Alternatively, the fuel may be drawn from a central fueling source provided that the fuel used is representative of that which is commercially available in the area where the vehicle is operated.

( 5) No post refinery fuel additives are allowed except that one or more specific fuel additives may be used during in use testing if you can document that the owner/ operator of the prospective test vehicle has a history of normally using the fuel treatment( s), and the fuel additive( s) is not prohibited in the vehicle's owner or operator manual.

( 6) You may take fuel samples from test vehicles to ensure that appropriate fuels were used during in use testing. If a vehicle fails the vehicle pass criteria and you can show that an inappropriate fuel was used during the failed test, that particular test may be voided. You may drain the vehicle's fuel tank( s) and refill the tank( s) with diesel fuel conforming to the ASTM D975 specifications described in paragraph ( c)( 1) of this section. You must report any fuel tests that are the basis of voiding a test in your report under § 86.1920.

( d) You must test the selected engines while they remain installed in the vehicle. Use portable emission sampling equipment and field testing procedures referenced in § 86.1375. Measure emissions of THC; NMHC by any method specified in 40 CFR part 1065, subpart J; CO; NOx;

PM ( as appropriate); O 2; and CO 2.

( e) For Phase 1 testing, you must test the engine under conditions reasonably expected to be encountered during normal vehicle operation and use consistent with the general NTE Draft v5.0 April 26, 2005 8 requirements described in § 86.1370 2007( a). For the purposes of this subpart, normal operation and use would generally include consideration of the vehicle's normal routes and loads ( including auxiliary loads such as air conditioning in the cab), normal ambient conditions, and the normal driver.

( f) For Phase 2 testing, we may give specific directions, as described in § 86.1915( c)( 2).

( g) Once an engine is set up for testing, test the engine for at least one shift day. To complete a shift day's worth of testing, start sampling at the beginning of a shift and continue sampling for the whole shift, subject to the calibration requirements of the portable emissions measurement systems. A shift day is the period of a normal workday for an individual employee. If the first shift day of testing does not involve at least 3 hours of accumulated non idle operation, repeat the testing for a second shift day. If the second shift day of testing also does not result in least 3 hours of accumulated non idle operation, you may choose whether or not to continue testing with that vehicle. If after 2 shift days you discontinue testing before accumulating 3 hours of non idle operation, evaluate the valid NTE samples as described in § 86.1912 and include the data in the reporting and record keeping requirements specified in § § 86.1920 and 1925. Count the engine toward meeting your testing requirements under this subpart and use the data for deciding whether additional engines must be tested under the applicable Phase 1 or Phase 2 test plan.

( h) You have the option to test longer than the 2 shift day period described in paragraph ( g) of this section.

( i) You may count a vehicle as meeting the vehicle pass criteria described in § 86.1912 if a shift day of testing or two shift days of testing ( with the requisite non idle/ idle operation time as in ( g)

above), or if the extended testing you elected under paragraph ( h) of this section, does not generate a single valid NTE sampling event, as described in § 86.1912 ( b). Count the engine towards meeting your testing requirements under this subpart.

( j) You may ask us to waive measurement of particular emissions if you can show that in use testing for such emissions is not necessary.

§ 86.1912 How do I determine whether an engine meets the vehicle pass criteria?

In general, the average emissions for each regulated pollutant must remain at or below the NTE threshold in paragraph ( a) of this section for at least 90 percent of the valid NTE sampling events,

as defined in paragraph ( b) of this section. For 2007 through 2009 model year engines, the average emissions from every NTE sampling event must also remain below the NTE thresholds in paragraph ( f)( 2) of this section. Perform the following steps to determine whether an engine meets the vehicle pass criteria: Draft v5.0 April 26, 2005 9 ( a) Determine the NTE threshold for each pollutant subject to an NTE standard by adding all three of the following terms and rounding the result to the same number of decimal places as the applicable NTE standard:

( 1) The applicable NTE standard.

( 2) The in use compliance testing margin specified in § 86.007 11( h), if any.

( 3) An accuracy margin for portable in use equipment when testing is performed under the special provisions of § 86.1930 depending on the pollutant as follows:

( i) NMHC. 0.17 grams per brake horsepower hour.

( ii) CO. 0.60 grams per brake horsepower hour.

( iii) NOx. 0.50 grams per brake horsepower hour.

( iv) PM. 0.10 grams per brake horsepower hour.

( 4) Accuracy margins for portable in use equipment for testing not performed under the special provisions of § 86.1930, to be determined by rulemaking as indicated in § 86.1935.

( b) For the purposes of this subpart, a valid NTE sampling event consists of at least 30 seconds of continuous operation in the NTE control area. An NTE event begins when the engine starts to operate in the NTE control area and continues as long as engine operation remains in this area ( see § 86.1370). When determining a valid NTE sampling event, exclude all engine operation in approved NTE carve outs under § 86.1370 2007( b)( 6) and any approved NTE deficiencies under § 86.007 11( a)( 4)( iv). Engine operation in the NTE control area of less than 30 contiguous seconds does not count as a valid NTE sampling event; operating periods of less than 30 seconds in the NTE control area will not be added together to make a 30 second or longer event. Exclude any portion of a sampling event that would otherwise exceed the 5.0 percent limit for the timeweighted carve out defined in § 86.1370 2007( b)( 7). For EGR equipped engines, exclude any operation that occurs during the cold temperature operation defined by the equations in § 86.1370 2007( f)( 1).

( c) Calculate the average emission level for each pollutant over each valid NTE sampling event as specified in 40 CFR part 1065, subpart G, using each NTE event as an individual test interval.

This should include valid NTE events from all days of testing.

( d) Calculate a time weighted vehicle pass ratio ( R pass). To do this, first sum the time from each valid NTE sampling event whose average emission level is at or below the NTE threshold for each and all pollutants, then divide this value by the sum of the engine operating time from all valid NTE events. Round the resulting vehicle pass ratio to two decimal places.

( 1) Calculate the time weighted vehicle pass ratio as follows: Draft v5.0 April 26, 2005 10 R t t m n k n pass pass = =

=

1 1 total Where:

n pass = the number of valid sampling events for which the average emission level is at or below the NTE threshold for each and all pollutants, and n total = the total number of valid NTE sampling events.

( 2) For both the numerator and the denominator of the vehicle pass ratio, use the smallest of the following values for determining the duration ( t) of any NTE sampling event:

( i) The measured time of operation in the NTE control area for that NTE sampling event.

( ii) 600 seconds.

( iii) 10 times the length of the shortest valid NTE sample for all testing with that engine.

( e) The following example illustrates how to select the duration of NTE sampling events for calculations, as described in paragraph ( d) of this section:

NTE sample Duration of NTE sample ( seconds) Duration Limit Applied? Duration used in calculations ( seconds)

1 45 No 45 2 168 No 168 3 605 Yes. Use 10 times shortest valid NTE. 450 4 490 Yes. Use 10 times shortest valid NTE. 450 5 65 No 65 ( f) Engines meet the vehicle pass criteria under this section if they meet both of the following criteria:

( 1) The vehicle pass ratio calculated according to paragraph ( d) of this section must be at least 0.90. Draft v5.0 April 26, 2005 11 ( 2) For model year 2007 through 2009 engines, emission levels from all valid NTE sampling events must be less than 2.0 times the NTE thresholds calculated according to paragraph ( a)

of this section for all pollutants, except that engines certified to a NOx FEL at or below 0.50 g/ bhp hr may meet the vehicle pass criteria for NOx if measured NOx emissions from all valid NTE samples are less than either 2.0 times the NTE threshold for NOx or 2.0 g/ bhp hr,

whichever is greater.

§ 86.1915 What are the requirements for Phase 1 and Phase 2 testing?

For all selected engine families, you must do the following:

( a) To determine the number of engines you must test from each selected engine family under Phase 1 testing, use the following criteria:

( 1) Start by measuring emissions from five engines using the procedures described in § 86.1375. If all five engines comply fully with the vehicle pass criteria in § 86.1912 for all pollutants, you may stop testing. This completes your testing requirements under this subpart for the applicable calendar year for that engine family.

( 2) If one of the engines tested under paragraph ( a)( 1) of this section fails to comply fully with the vehicle pass criteria in § 86.1912 for one or more pollutants, test one more engine. If this additional engine complies fully with the vehicle pass criteria in § 86.1912 for all pollutants,

you may stop testing. This completes your testing requirements under this subpart for the applicable calendar year for that engine family.

( 3) If your testing results under paragraphs ( a)( 1) and ( 2) of this section do not satisfy the criteria for completing your testing requirements under those paragraphs for all pollutants, test four additional engines so you have tested a total of ten engines.

( 4) An engine that fails to fully comply with the vehicle pass criteria in § 86.1912 for any pollutant does not comply with the vehicle pass criteria in § 86.1912 for the purposes of determining the number of engines to test from each selected engine family under this paragraph.

( b) For situations where a total of ten engines must be tested under paragraph ( a)( 3) of this section, the results of Phase 1 testing lead to the following outcomes:

( 1) If at least eight of the ten engines comply fully with the vehicle pass criteria in § 86.1912 for all pollutants, you may stop testing. This completes your testing requirements under this subpart for the applicable calendar year for that engine family.

( 2) If six or seven vehicles from the Phase 1 sample of test vehicles comply fully with the vehicle pass criteria in § 86.1912 for all pollutants, then you must engage in follow up Draft v5.0 April 26, 2005 12 discussions with us to determine whether any further testing ( including Phase 2 testing), data submissions, or other actions may be warranted.

( 3) If fewer than six of the ten engines tested under paragraph ( a) of this section comply fully with the vehicle pass criteria in § 86.1912 for all pollutants, we may require you to initiate Phase 2 testing, as described in paragraph ( c) of this section.

( 4) You may under any circumstances elect to conduct Phase 2 testing following the completion of Phase 1 testing. All the provisions of paragraph ( c) of this section apply to this Phase 2 testing.

( c) If you perform Phase 2 testing for any reason, test your engines as follows:

( 1) You must test ten engines using the test procedures described in § 86.1375 2007, unless we require you to test fewer vehicles.

( 2) We may give you any of the following additional directions in selecting and testing engines:

( i) We may require you to select a certain subset of your engine family. This may include,

for example, engines within a specific power range, engines used in particular applications,

or engines installed in vehicles from a particular manufacturer.

( ii) We may direct you to test engines in a way that simulates the type of driving and ambient conditions associated with high emissions experienced during Phase 1 testing.

( iii) We may direct you to test engines in a specific state or any number of contiguous states.

( iv) We may direct you to select engines from the same sources used for previous testing,

or from different sources.

( v) We may require that you complete your testing and reporting under Phase 2 within a certain period. This period may not be shorter than three months and must allow a reasonable amount of time to identify and test enough vehicles. We would generally expect this testing to be completed within the overall time period specified in § 86.1905( d).

§ 86.1917 How does in use testing under this subpart relate to the emission related warranty in Section 207( a)( 1) of the Clean Air Act?

( a) An exceedance of the NTE found through the in use testing program under this subpart is not by itself sufficient to show a breach of warranty under Clean Air Act section 207( a)( 1) ( 42 U. S. C.

7541( a)( 1)). A breach of warranty would also require one of the following things: Draft v5.0 April 26, 2005 13 ( 1) That, at the time of sale, the engine or vehicle was designed, built, and equipped in a manner that does not conform in all material respects reasonably related to emission controls to the engine as described in the application for certification and covered by the certificate; or ( 2) A defect in materials or workmanship of a component causes the vehicle or engine to fail to conform to the applicable regulations for its useful life.

( b) To the extent that in use NTE testing does not reveal such a material deficiency at the time of sale in the design or manufacture of an engine compared with the certified engine, or a defect in the materials and workmanship of a component or part, test results showing an exceedence of the NTE by itself would not show a breach of the warranty under 42 U. S. C. 7541( a)( 1).

§ 86.1920 What in use testing information must I report to EPA?

( a) Send us an electronic notification at application ci_ cert@ epa. gov describing any voluntarily testing you intend to conduct with portable in use measurement systems on the same engine families that are being tested under this subpart, from the time that engine family was selected for in use testing under § 86.1905 until the final results of all testing for that engine family are reported to us under this section.

( b) Send us an electronic notification at application ci_ cert@ epa. gov within 15 days after your initial review of the test data for a selected engine family indicates that the third engine in Phase 1 testing failed to comply with the vehicle pass criteria. Similarly, send us an electronic notification at the above electronic address within 3 days after your initial review of the test data for a selected engine family indicates that any engine in Phase 2 testing failed to comply with the vehicle pass criteria.

( c) Within 30 days after the end of each calendar quarter, send us reports containing the test data from each engine for which testing was completed during the calendar quarter. Alternatively, you may separately send us the test data within 30 days after you complete testing for an engine.

Once you send us information under this section, you need not send that information again in later reports. Prepare your test reports as follows:

( 1) For each engine family, describe how you recruited vehicles. Describe how you used any criteria or thresholds to narrow your search or to screen individual vehicles.

( 2) Include a summary of the candidate vehicles you have rejected and the reasons you rejected them, whether you base the rejection on the criteria in § 86.1908( a) or anything else.

If you rejected a candidate vehicle due to misfueling, included the results of any fuel sample tests.

( 3) For the test vehicle, include the following background information: Draft v5.0 April 26, 2005 14 ( i) The EPA engine family designation, and the engine's model number, total displacement, and power rating.

( ii) The applicable test phase ( Phase 1 or Phase 2).

( iii) The date EPA selected the engine family for testing.

( iv) The vehicle's make and model and the year it was built.

( v) The vehicle's type or application ( such as delivery, line haul, or dump truck). Also,

identify the type of trailer, if applicable.

( vi) The vehicle's maintenance and use history.

( vii) The known status history of the vehicle's OBD system and any actions the owner or operator took to address OBD trouble codes or MIL illumination over the vehicle's lifetime.

( viii) Any OBD codes or MIL illumination that occur after you accept the vehicle for inuse testing under this subpart.

( ix) Any steps you take to maintain, adjust, modify, or repair the vehicle or its engine to prepare for or continue testing, including actions to address OBD trouble codes or MIL illumination. Include any steps you took to drain and refill the vehicle's fuel tank( s) to correct misfueling, and the results of any fuel test conducted to identify misfueling.

( 4) For each test, include the following data and measurements:

( i) The date and time of testing, and the test number.

( ii) Shift days of testing ( see § 86.1910 ( g)), duration of testing, and the total hours of nonidle operation.

( iii) Route and location of testing. You may base this description on the output from a global positioning system.

( iv) The steps you took to ensure that vehicle operation during testing was consistent with normal operation and use, as described in § 86.1910( e).

( v) Fuel test results if conducted under § § 86.1908 and 86.1910.

( vi) The vehicle's mileage at the start of the test. Include the engine's total lifetime hours of operation, if available.

( vii) Ambient temperature, dewpoint, and barometric pressure at the start and finish of each valid NTE event.

( viii) The number of valid NTE events ( see § 86.1912( c)).

( ix) Average emissions for each pollutant over each valid NTE event. Describe the method you used to determine NMHC as specified in 40 CFR part 1065, subpart J. See Appendix I of this subpart for an example of graphically summarizing NTE emission results. Draft v5.0 April 26, 2005 15 ( x) Exhaust flow measurements.

( xi) Vehicle pass ratio ( see § 86.1912( d)).

( xii) Recorded one hertz test data for all the parameters specified in 40 CFR part 1065,

subpart J. Report results for methane if it was measured and you used it to determine NMHC. Also, include any other relevant parameters electronically sensed, measured,

calculated, or otherwise stored by the engine's onboard computer such as any parameters used to modulate the emission control system.

( 5) For each engine family, identify the applicable requirements, as follows:

( i) Identify the applicable NTE thresholds.

( ii) Vehicle and engine information needed to identify the approved NTE carve outs under § 86.1370 2007( b)( 6) and § 86.1370 2007( b)( 7).

( iii) Vehicle and engine information needed to identify any approved NTE deficiencies under § 86.007 11( a)( 4)( iv).

( 6) Include the following summary information after you complete testing with the engine:

( i) State whether the engine meets the vehicle pass criteria in § 86.1912( f).

( ii) Identify how many engines you have tested from the applicable engine family and how many engines still need to be tested.

( iii) Identify how many engines from an engine family have passed the vehicle pass criteria and the number that have failed the vehicle pass criteria ( see § 86.1912( f)).

( iv) If possible, state the outcome of Phase 1 testing for the engine family based on the criteria in § 86.1915( b).

( d) In your reports under this section, you must do all the following:

( 1) Include results from all emission testing required under this subpart.

( 2) Describe if any testing or evaluations were conducted to determine why a vehicle failed the vehicle pass criteria in § 86.1912.

( 3) Describe the purpose of any diagnostic procedures you conduct.

( 4) Describe any instances in which the OBD system illuminated the MIL or set trouble codes.

Also describe any approved actions taken to address the trouble codes or MIL.

( 5) Describe any instances of misfueling, the approved actions taken to address the problem,

and the results of any associated fuel sample testing.

( 6) Describe any incomplete or invalid tests that were conducted under this subpart.

( e) We may ask you to send us less information in your reports under this section.

( f) Send us electronic reports at application ci_ cert@ epa. gov using an approved information format. If you want to use a different format, send us a written request with justification. Draft v5.0 April 26, 2005 16 ( g) We may require you to send us more information to evaluate whether your engine family meets the requirements of this part.

§ 86.1925 What records must I keep?

( a) Organize and maintain your records as described in this section. We may review your records at any time, so it is important to keep required information readily available.

( b) Keep the following paper or electronic records of your in use testing for five years after you complete all the testing required for an engine family:

( 1) Keep a copy of the reports described in § 86.1920.

( 2) Keep any additional records, including forms you create, related to any of the following:

( i) The procurement and vehicle selection process described in § 86.1908, including the vehicle owner's name, address, phone number, and e mail address.

( ii) Pre test maintenance and adjustments to the engine performed under § 86.1910.

( iii) Test results for all void, incomplete, and voluntary testing described in § 86.1920 ( iv) Evaluations to determine why a vehicle failed the vehicle pass criteria described in § 86.1912.

( 3) Keep a copy of the relevant calibration results required by 40 CFR part 1065.

§ 86.1930 What special provisions apply from 2005 through 2007?

We may direct you to test engines under this subpart for emissions other than PM in 2005 and 2006, and for PM emissions in 2006 and 2007. In these interim periods, all the provisions of this subpart apply, with the following exceptions:

( a) We will only select engine families for testing of emissions other than PM when the manufacturer's Statement of Compliance specifically describes the family as being designed to comply with NTE requirements.

( b) You may limit your testing under Phase 1 to a maximum of five vehicles per selected engine family only if you participate in the test program described in § 86.1935( a).

( c) We will not direct you to do the Phase 2 testing in § 86.1915( c), regardless of measured emission levels.

( d) For purposes of calculating the NTE thresholds under § 86.1912( a) for any 2006 and earlier model year engine, determine the applicable NTE standards as follows:

( 1) Any numerical NTE requirements specified in the terms of any consent decree that apply to the engine family under this subpart. Draft v5.0 April 26, 2005 17 ( 2) If a numerical NTE requirement is not specified in a consent decree for the engine family,

the NTE standards are 1.25 times the applicable FELs or the applicable emission standards specified in § 86.004 11( a)( 1) or § 86.098 11( a)( 1).

( e) You must submit the deficiencies and carve outs report described in § 86.007 11( a)( 4)( vi) for 2006 and earlier model year engines tested under this section. You must submit this information in the report required in § 86.1920( c).

( f) Testing under this section may be extended as described in § 86.1935( d).

§ 86.1935 What special provisions may apply as a consequence of a delay in the accuracy margin report for portable emission measurement systems?

( a) A memorandum entitled, " Memorandum of Agreement, Program to Develop Emission Measurement Accuracy Margins for Heavy Duty In Use Testing" describes a test program for establishing measurement accuracy margins related to testing under § 86.1912( a)( 4) which will be used for testing under this subpart. This document is available at http:// www. epa. gov/ otaq/

hdhwy htm or at the mailing address specified in § 86.1905( g).

( b) If there is a delay in receiving the written final report for either gaseous emissions or PM emissions described in the agreement referenced in paragraph ( a) of this section, and that delay is not attributable to engine manufacturers failing to meet their commitments under that agreement,

the following provisions apply for the respective pollutant type ( gaseous or PM emissions):

( 1) If the delay is 3 months or less, we will delay the designation of engine families for testing in the applicable calendar year, as described in § 86.1905( d), by the same number of additional whole months ( rounded up) needed to complete the report.

( 2) If the delay is more than 3 months, we may continue to designate engine families for testing under the special provisions described in § 86.1930.

( 3) If the delay is longer than 12 months, the following approach is established for the applicable calendar year.

( i) If the delay is longer than 12 months but less than 15 months see ( b)( 1) above.

( ii) If the delay exceeds 15 months, but is less than 24 months then see ( b) ( 2) of this section for the applicable calendar year.

( iii) If the delay exceeds 24 months, then the applicable gaseous or PM emission testing program goes into abeyance.

( c) If one or more engine manufacturers fail to meet commitments under the agreement described in paragraph ( a) of this section and such a failure results in a delay in the final written report for either gaseous emissions ( NOx, NMHC and CO) or PM emissions described in the agreement, the following provisions apply for the respective pollutant type ( gaseous or PM emissions): Draft v5.0 April 26, 2005 18 ( 1) If the delay is 3 months or less, we will delay the designation of engine families for testing in the applicable calendar year, as described in § 86.1905( d), by the same number of additional whole months ( rounded up) needed to complete the report.

( 2) If the delay is more than 3 months, the provisions of this subpart will not apply for the otherwise applicable calendar year ( 2007 for gaseous emissions and 2008 for PM emissions),

subject to the following provisions:

( i) We may identify the number of engine families that would otherwise have been designated for testing in that calendar year for the delayed pollutant type and direct manufacturers to test that number of engine families under the special provisions described in § 86.1930 and in any later calendar year once the provisions of this subpart begin for that pollutant type, without counting these accumulated engine families toward the allowable annual cap on the number of engine families specified in § 86.1905.

( ii) A delay for PM emissions would not be a sufficient basis for delaying the program for gaseous emissions. Similarly, a delay for gaseous emissions would not be a sufficient basis for delaying the program for PM emissions.

( iii) The normal 18 month period for testing and reporting results specified in § 86.1905( d)

is extended to 24 months for any accumulated engine family designation described in paragraph ( c)( 2)( i) of this section. The additional time extensions for testing and reporting results as specified in § 86.1905( d) also apply ( 3) If the delay is longer than 12 months, follow the approach established under paragraphs ( c)( 1) and ( 2) of this section for the applicable calendar year.

( i) If the delay is longer than 12 months but less than 15 months see ( c)( 1) above.

( ii) If the delay exceeds 15 months, but is less than 24 months then see ( c) ( 2) of this section for the applicable calendar year.

( iii) If the delay exceeds 24 months, then the cycle in ( c)( 1) and ( c)( 2) including accumulation of engine families for testing continues until the report is received and the normal program commences.

( d) We may determine that any individual manufacturer's failure under paragraph ( c) of this section constitutes a failure by all engine manufacturers.

( e) Nothing in this section affects our ability to select engines from any model year beginning with model year 2007.

( f) If we determine that fundamental technical problems with portable in use PM measurement systems are not resolvable in a reasonable time, the provisions of this subpart, as they apply to PM, will go into abeyance until we determine that suitable emission measurement devices are available for in use testing. Draft v5.0 April 26, 2005 19 ( g) Engine manufacturers contributing to the test programs described in the agreement referenced in paragraph ( a) of this section may limit their testing under the special provisions described in § 86.1930 to five engines in each selected engine family.

Appendix I to Subpart T   Sample Graphical Summary of NTE Emission Results The following figure shows an example of a graphical summary of NTE emission results:

[ NOTE: Add the graphic back to the final version.]


[Federal Register Volume 78, Number 175 (Tuesday, September 10, 2013)]
[Proposed Rules]
[Pages 55230-55234]
[FR Doc No: 2013-21938]

-----------------------------------------------------------------------

DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Parts 140, 141, 142, 143, 144, 145, 146, and 147

[Docket No. USCG-2012-0779]
RIN 1625-AC05

Safety and Environmental Management System Requirements for
Vessels on the U.S. Outer Continental Shelf

AGENCY: Coast Guard, DHS.

ACTION: Advance notice of proposed rulemaking.

-----------------------------------------------------------------------

SUMMARY: The Coast Guard intends to promulgate regulations that will
require vessels engaged in OCS activities (defined in 33 CFR Chapter I,
Subchapter N) to develop, implement, and maintain a vessel-specific
Safety and Environmental Management System (SEMS) that incorporates the
management program and principles of the American Petroleum Institute's
Recommended Practice for Development of a Safety and Environmental
Management Program for Offshore Operations and Facilities, Third
Edition, May 2004 (API RP 75). The Coast Guard intends for this SEMS to
be developed and implemented by the vessel's owner or operator and
compatible with a designated lease operator's SEMS required under
Bureau of Safety and Environmental Enforcement (BSEE) regulations. The
Coast Guard seeks comments on whether a SEMS that incorporates the
management program and principles of API RP 75 is appropriate for
vessels engaged in OCS activities, would reduce risk and casualties,
and improve safety on the OCS. Comments should address the feasibility
of implementing a SEMS that incorporates API RP 75, the compatibility
with BSEE SEMS regulations, potential methods of oversight, safety
issues, costs and regulatory burdens, and other issues of concern to
the regulated community and general public. The Coast Guard would use
such comments to assist in developing these new regulations.

DATES: Comments and related material must either be submitted to our
online docket via http://www.regulations.gov on or before December 9,
2013 or reach the Docket Management Facility by that date.

ADDRESSES: You may submit comments identified by docket number USCG-
2012-0779 using any one of the following methods:
    (1) Federal eRulemaking Portal: http://www.regulations.gov.
    (2) Fax:<PHONE_NUMBER>.
    (3) Mail: Docket Management Facility (M-30), U.S. Department of
Transportation, West Building Ground Floor, Room W12-140, 1200 New
Jersey Avenue SE., Washington, DC 20590-0001.
    (4) Hand delivery: Same as mail address above, between 9 a.m. and 5
p.m., Monday through Friday, except Federal holidays. The telephone
number is<PHONE_NUMBER>.
    To avoid duplication, please use only one of these four methods.
See the ``Public Participation and Request for Comments'' portion of
the SUPPLEMENTARY INFORMATION section below for instructions on
submitting comments.

FOR FURTHER INFORMATION CONTACT: If you have questions on this advance
notice of proposed rulemaking, call or email LCDR Marc J. Montemerlo,
U.S. Coast Guard; telephone<PHONE_NUMBER>, email
<EMAIL_ADDRESS>If you have questions on viewing or
submitting material to the docket, call Barbara Hairston, Program
Manager, Docket Operations, telephone<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Table of Contents for Preamble

I. Public Participation and Request for Comments
    A. Submitting Comments
    B. Viewing Comments and Documents

    C. Privacy Act
    D. Public Meeting
II. Abbreviations
III. Background
    A. General
    B. Relationship to BSEE Regulations
IV. Advance Notice of Proposed Rulemaking Discussion
V. Information Requested

I. Public Participation and Request for Comments

    We encourage you to respond to this advance notice of proposed
rulemaking by submitting comments and related materials. All comments
received will be posted, without change, to http://www.regulations.gov
and will include any personal information you have provided.

A. Submitting Comments

    If you submit a comment, please include the docket number for this
rulemaking (USCG-2012-0779), indicate the specific question number
under Section V. of this document to which each comment applies, and
provide a reason for each suggestion or recommendation. You may submit
your comments and material online or by fax, mail, or hand delivery,
but please use only one of these means. We recommend that you include
your name and a mailing address, an email address, or a phone number in
the body of your document so that we can contact you if we have
questions regarding your submission.
    To submit your comment online, go to http://www.regulations.gov,
insert ``USCG-2012-0779'' in the ``Search'' box, and click ``Search.''
Filter the search results by placing a check in the box next to
``notice'' under the ``Document Type'' filter on the left side of the
page. A link to this notice will appear in the results list. Click the
``Comment Now'' box next to the entry for this notice to submit your
comment online. If you submit your comments by mail or hand delivery,
submit them in an unbound format, no larger than 8\1/2\ by 11 inches,
suitable for copying and electronic filing. If you submit them by mail
and would like to know that they reached the Facility, please enclose a
stamped, self-addressed postcard or envelope. We will consider all
comments and material received during the comment period.

B. Viewing Comments and Documents

    To view comments, as well as documents mentioned in this preamble
as being available in the docket, go to http://www.regulations.gov,
insert ``USCG-2012-0779'' in the ``Search'' box, and click ``Search.''
You can filter the results by document type using the filter options on
the left side of the page. If you do not have access to the Internet,
you may view the docket online by visiting the Docket Management
Facility in Room W12-140 on the ground floor of the Department of
Transportation West Building, 1200 New Jersey Avenue SE., Washington,
DC 20590, between 9 a.m. and 5 p.m., Monday through Friday, except
Federal holidays. We have an agreement with the Department of
Transportation to use the Docket Management Facility.

C. Privacy Act

    Anyone can search the electronic form of comments received into any
of our dockets by the name of the individual submitting the comment (or
signing the comment, if submitted on behalf of an association,
business, labor union, etc.). You may review a Privacy Act notice
regarding our public dockets in the January 17, 2008, issue of the
Federal Register (73 FR 3316).

D. Public Meeting

    We do not now plan to hold a public meeting, but you may submit a
request for one to the docket using one of the methods specified under
ADDRESSES. In your request, explain why you believe a public meeting
would be beneficial. If we determine that one would aid this
rulemaking, we will hold one at a time and place announced by a later
notice in the Federal Register.

II. Abbreviations

API RP 75 American Petroleum Institute's Recommended Practice for
Development of a Safety and Environmental Management Program for
Offshore Operations and Facilities, Third Edition, May 2004
BOEM Bureau of Ocean Energy Management
BSEE Bureau of Safety and Environmental Enforcement
CFR Code of Federal Regulations
DHS Department of Homeland Security
FOI Floating Offshore Installation
FPSO Floating Production and Storage Offload Units
FR Federal Register
ISM Code International Safety Management Code
MODU Mobile Offshore Drilling Unit
OCS Outer Continental Shelf
OCSLA Outer Continental Shelf Lands Act
OSV Offshore Supply Vessel
SEMS Safety and Environmental Management System
SMS Safety Management System
SOLAS International Convention for the Safety of Life at Sea 1974,
as amended
USCG United States Coast Guard

III. Background

A. General

    Under the Outer Continental Shelf Lands Act (43 U.S.C. 1331-1356a)
(OCSLA), the Coast Guard is responsible for developing and implementing
regulations to protect the safety of life, property, and the
environment on Outer Continental Shelf (OCS) installations, vessels,
and units engaged in OCS activities,\1\ including the regulation of
workplace safety and health.\2\ The Coast Guard's regulatory authority
extends to matters relating to safety of life and property on OCS units
attached to the seabed for the purpose of engaging in OCS activities,
as well as units on the waters adjacent thereto (i.e., units, whether
attached or unattached), that are engaged in OCS activities in support
of attached units.\3\
---------------------------------------------------------------------------

    \1\ An OCS activity is any offshore activity associated with the
exploration for, or development or production of, the minerals of
the Outer Continental Shelf (33 CFR 140.10).
    \2\ 43 U.S.C. 1347(c).
    \3\ 43 U.S.C. 1333(d)(1).
---------------------------------------------------------------------------

    The exploration, development, and production of oil and gas on the
OCS require the careful coordination of multiple phases of complex
activities. These activities are typically accomplished by a network of
technical experts and specialists working for different companies,
using a variety of technologies and procedures on vessels and
facilities that are often operating simultaneously in close proximity
to one another. For example, a floating offshore installation (FOI)
producing oil and gas, a mobile offshore drilling unit (MODU) drilling
a well, and other service vessels providing well stimulation and
logistical support might work in close proximity to one another, and
can create significant risk to personnel, the environment, property,
and infrastructure. As illustrated by the Deepwater Horizon incident on
April 20, 2010, the consequences of accidents and mishaps, though
infrequent, can be severe. The Coast Guard believes that vessels
engaged in OCS activities (whether attached to the seabed or in the
waters adjacent thereto) should be required to develop, implement and
maintain a vessel-specific SEMS program that proactively manages the
risks inherent in OCS activities. This approach should be overseen by
the Coast Guard and be compatible with the designated lease operator's
SEMS program that BSEE requires.
    In 1991, the Coast Guard, along with the Minerals Management
Service (MMS, now BSEE) promoted the concept of a management system
called a Safety Environmental Management Program. This concept was
further developed by API, which, with assistance from the Coast Guard
and MMS, published API RP 75 in 1993. API RP 75 provides an example of
a

systematic and proactive management approach that will assist vessel
owners and operators to safely plan, design, manage, and conduct
offshore oil, gas and sulphur operations. However, only a limited
subset of vessels that engage in OCS activities in support of offshore
oil, gas and sulphur operations are required to implement a SEMS based
on this standard, as illustrated in Table 1 of Part B of this section.
Some of these vessels implement a SMS based on the ISM Code, but this
Code assumes a vessel's mission is international transportation of
cargo, not OCS activities. API RP 75 is a more appropriate standard and
the Coast Guard intends to promulgate regulations that would expand the
number of vessels required to have a vessel-specific SEMS based on API
RP 75.
    Implementing a vessel-specific SEMS that incorporates the
management program and principles of API RP 75 would start with an
assessment of operating and design requirements as well as a hazards
analysis. Under regulations contemplated by this ANPRM, the SEMS would
establish vessel-specific safe operating procedures, work practices,
management-of-change procedures, and associated training. The SEMS
would also incorporate procedures to ensure that the design,
fabrication, installation, testing, inspection, monitoring, and
maintenance of equipment comply with all applicable safety regulations
(e.g., 33 CFR Subchapter N). Additionally, the SEMS would be subject to
periodic safety audits, and would include procedures for emergency
response and vessel owner/operator internal incident investigations to
help mitigate risk and prevent future mistakes.
    The Coast Guard estimates that approximately 2,200 foreign and
domestic vessels engaged in OCS activities could be affected by this
regulatory action, including: 1,800 Offshore Supply Vessels (OSVs), 150
liftboats, 125 MODUs, and 125 other vessels. The Coast Guard requests
comments from the public regarding the accuracy of these population
estimates.

B. Relationship to BSEE Regulations

    BSEE works to promote safety, protect the environment, and conserve
resources offshore through vigorous regulatory oversight and
enforcement. Existing BSEE regulations in 30 CFR part 250, subpart S
(30 CFR 250.1900 et seq.) require designated lease operators to
develop, implement, and maintain a SEMS program based on API RP 75.
These regulations also require designated lease operators to ensure
that contractors have their own written safe work practices. While the
designated lease operator's SEMS program required by BSEE includes
elements of API RP 75, this program is focused on overall lease
activities and the offshore oil, gas and sulphur operations of
facilities on the lease. When a facility is also a vessel, the
designated lease operator's SEMS is not focused on the unique nature of
the facility/vessel and its marine support mission.
    The majority of vessels engaged in OCS activities, including but
not limited to, MODUs, well stimulation vessels, accommodation vessels,
OSVs, and floating production and storage offload units (FPSOs) are
contracted by designated lease operators. These vessels conduct a
variety of tasks, such as seismic activities, exploration and
completion drilling, production, well servicing, well stimulation,
installation and construction, dive support, and supply and logistical
services for one or multiple designated lease operators. Although
BSEE's SEMS regulations hold the designated lease operators accountable
for the overall safety of operations conducted on the OCS lease, the
Coast Guard believes that vessel owners and operators should be
responsible for developing a vessel-specific SEMS because the owners
and operators manage vessel-based personnel, operations, maintenance,
equipment, emergency responses, and alterations. This regulatory action
would place such requirements on vessel owners and operators and seek
to align Coast Guard regulations with current BSEE SEMS, both of which
would incorporate the management program and principles of API RP 75.
    Table 1 shows the current state of safety management system
regulations on the OCS as it pertains to vessels:

                                                     Table 1
----------------------------------------------------------------------------------------------------------------

----------------------------------------------------------------------------------------------------------------
                               BSEE
                               USCG                   OSHA..............
             ---------------------------------------------------------------------------------------------------
              Falls within the    Does not fall       Meets the           Does not meet the
               scope of 30 CFR     within the scope    applicability of    applicability of
               250.1900-.1901      of 30 CFR           33 CFR 96.110,      33 CFR 96.110,
               and meets the       250.1900-.1901      96.210 (i.e. self-  96.210.
               definition of       and does not meet   propelled over
               ``facility'' in     the definition of   500 gross tons,
               30 CFR 250.105.     ``facility'' in     engages on
                                   30 CFR 250.105.     international
                                                       voyages).
---------------------------------------------------------------------------------------------
Mobile
 Offshore
Drilling
 Unit
-------------
Well          Designated lease    No SEMS directlly   Vessel owner/       No SMS required     No SEMS or SMS
 Stimulation   operator must       required but may    operator must
Vessel         have a SEMS based   or may not be       have vessel-
               on API RP 75.       subject to a        Specific SMS
                                   designated lease    based on ISM Code.
                                   operator's SEMS.
-------------
Floating
 Production
 Storage
 Offloading
 Unit
-----------------------------------------------------
Shuttle
 Tanker
-------------
Offshore       No SEMS directly required but may or
 Supply          may not be subject to a designated
Vessel                 lease operator's SEMS
-------------
Accommodatio
 n
Vessel
----------------------------------------------------------------------------------------------------------------

IV. Advance Notice of Proposed Rulemaking Discussion

    The Coast Guard intends to promulgate regulations that will require
all domestic and foreign-flagged vessels engaged in OCS activities to
develop, implement, and maintain a SEMS that incorporates the
management program and principles of API RP 75. As discussed in Section
III, the Coast Guard would require a vessel-specific SEMS because
vessel owners and operators manage vessel-specific risks. This
requirement would apply to MODUs, well stimulation vessels, FPSOs,
shuttle tankers, OSVs accommodation vessels, and other vessels engaged
in OCS activities. One goal of a Coast Guard-required SEMS is to
complement existing prescriptive vessel design, equipment, and
operation safety standards and regulations. A Coast Guard-required SEMS
would also help to prevent accidents, injuries, and environmental
damage by reducing the probability and severity of uncontrolled
releases and other undesirable events. By incorporating the management
program and principles of API RP 75 as the basis for the Coast Guard's
SEMS requirements for vessels, this regulatory action would leverage
industry safety expertise and harmonize with BSEE's regulations for
designated lease operators.
    The Coast Guard recognizes that there are vessels currently
operating on the OCS that comply with the Safety Management System
(SMS) standards of the International Safety Management (ISM) Code
(International Maritime Organization Resolution A.741(18)), and we
believe that any new SEMS requirements for vessels based on API RP 75
should take this into account. In 1997, the Coast Guard promulgated SMS
regulations (33 CFR part 96) for responsible persons and their vessels
engaged on international and domestic voyages. The purpose of these
regulations was to establish a national SMS standard that was
consistent with Chapter IX of the International Convention for the
Safety of Life at Sea (SOLAS) 1974, as amended, which requires that all
vessels subject to SOLAS have an effective SMS to meet the performance
elements of the ISM Code. The Coast Guard regulations followed the ISM
Code by setting broad performance standards designed to be flexible and
applicable to a wide variety of activities and vessel-types, including
large cruise ships, container ships, and MODUs. Certain vessels that
engage in OCS activities, including self-propelled MODUs, drillships,
heavy lift vessels, and OSVs that engage in international voyages are
currently required to comply with the ISM Code. The Coast Guard
estimates that there are approximately 185 total vessels subject to the
ISM Code currently engaged in OCS activities.
    The Coast Guard believes that many elements of API RP 75 and the
ISM Code are similar. In crafting regulatory requirements, the Coast
Guard would consider whether ISM Code compliance should be an
alternative means of satisfying elements of API RP 75. The Coast Guard
is also aware that some vessels may be voluntarily implementing a
safety management system based on frameworks other than API RP 75 or
the ISM Code. These may include the International Association of
Drilling Contractors Health Safety and Environmental Case (IADC HSE
Case) or the International Standards Organization 9001 (ISO 9001:2008).
The Coast Guard is currently researching whether compliance with these
management programs would be appropriate alternatives to API RP 75.

V. Information Requested

    1. Should the Coast Guard require a SEMS based on API RP 75 for
vessels engaged in OCS activities?
    2. Should the Coast Guard require that each SEMS be subject to a
certification process? If so, who should certify the SEMS programs, and
what should the certification process entail?
    3. How can the Coast Guard ensure that its SEMS requirements are
consistent with BSEE's SEMS requirements?
    4. Should Coast Guard-required SEMS programs be subject to
independent third-party audits? If so, how frequently should audits
take place (e.g., ISM audits annually)? To what types of
qualifications, certifications, and authorizing processes should
independent third-party auditors be subject?
    5. What are the differences and similarities between API RP 75 and
the ISM Code? What would be required to bring ISM-compliant vessels
into compliance with API RP 75? Please provide cost estimates if
available.
    6. Should the Coast Guard consider IADC HSE Case, ISO 9001:2008, or
any other performance-based safety management alternatives or
equivalencies to the proposed SEMS requirements outlined in this ANPRM?
If so, what alternatives or equivalencies should the Coast Guard
consider? Please provide specific details, if possible.
    7. For vessel owners and operators, how many of your vessels have
an active Safety Management Certificate issued under the ISM Code or
employ another type of safety management system? Do any components of
API RP 75 conflict with the ISM Code or vice versa? If employing a non-
ISM Code SMS, please provide information on the management system.
    8. For vessel owners and operators, is there a safety officer or
similar position(s) dedicated to the management of safety onboard your
vessels?
    9. For vessel owners and operators, if you have an active Safety
Management Certificate issued under the ISM Code or employ another type
of safety management system, what costs have you incurred in
implementing the safety management system? Please provide the cost for
your company and per vessel if possible, including the following:
    a. Costs for an assessment of operating and design requirements.
    b. Costs for a hazards analysis.
    c. Costs to establish safe operating procedures, work practices,
and management-of-change procedures.
    d. Costs for training on the SMS.
    e. Costs for procedures to ensure that the design, fabrication,
installation, testing, inspection, monitoring, and maintenance of
equipment meet safety standards.
    f. Costs for periodic safety audits, including procedures for
emergency response and incident investigation.
    10. For vessel owners and operators, if you have an active Safety
Management Certificate issued under the ISM Code or employ another type
of safety management system, have you seen improvements in safety and
operation from implementing the SMS? If so, please specify and provide
any supporting data if available.
    11. For vessel owners and operators, if you have an active Safety
Management Certificate issued under the ISM Code or employ another type
of safety management system do you have any information or data,
qualitative or quantitative, for any cost savings from operating with a
safety management system? For vessel owners and operators that
voluntarily implement an API RP 75-compliant SEMS, are there any cost
savings of complying with API RP 75? Please provide cost savings
information based on type and size of your operations, if possible.
    12. For vessel owners and operators, if you do not have an active
safety management system, what costs would you expect to incur per
vessel for implementing a Coast Guard-required SEMS based on API RP 75?
    13. For vessel owners or operators, what are the reasons not to use
a SEMS? What type of operations may not benefit from a SEMS? Are there
any operations (such as small or limited operations)

that may not necessitate a SEMS and why? Besides costs, what is the
downside of using a SEMS?
    14. Are there any data, literature, or studies that show that
implementation of a SEMS leads to a reduction in oil spills, property
damage, injury or deaths, or other casualties?
    15. The Occupational Safety and Health Administration (OSHA) held a
public meeting on September 20-21, 2012, on the use of performance-
based regulatory models in the U.S. oil and gas industry, offshore and
onshore (see 77 FR 50172). If you submitted comments during that public
meeting or to the docket [OSHA-2012-0033] and want them considered in
this rulemaking, please resubmit those comments to this docket [USCG-
2012-0779].
    16. Please provide any additional information or comments on the
proposals in this ANPRM.

    Dated: August 16, 2013.
Robert J. Papp, Jr.,
Admiral, U.S. Coast Guard Commandant.
[FR Doc. 2013-21938 Filed 9-9-13; 8:45 am]
BILLING CODE 9110-04-P