Control of Emissions of Air Pollution From Locomotive Engines and Marine Compression-Ignition Engines Less Than 30 Liters per Cylinder

[Federal Register: April 3, 2007 (Volume 72, Number 63)]
[Proposed Rules]
[Page 16037-16086]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr03ap07-26]

[[pp. 16037-16086]]
Control of Emissions of Air Pollution From Locomotive Engines and
Marine Compression-Ignition Engines Less Than 30 Liters per Cylinder

[[Continued from page 16036]]

[[Page 16037]]

section at the beginning of this notice for where to submit comments to
EPA. Send comments to OMB at the Office of Information and Regulatory
Affairs, Office of Management and Budget, 725 17th Street, NW.,
Washington, DC 20503, Attention: Desk Office for EPA. Since OMB is
required to make a decision concerning the ICR between 30 and 60 days
after April 3, 2007, a comment to OMB is best assured of having its
full effect if OMB receives it by May 3, 2007. The final rule will
respond to any OMB or public comments on the information collection
requirements contained in this proposal.

C. Regulatory Flexibility Act

(1) Certification
The Regulatory Flexibility Act (RFA) generally requires an agency
to prepare a regulatory flexibility analysis of any rule subject to
notice and comment rulemaking requirements under the Administrative
Procedure Act or any other statute unless the agency certifies that the
rule will not have a significant economic impact on a substantial
number of small entities. Small entities include small businesses,
small organizations, and small governmental jurisdictions.
For purposes of assessing the impacts of this action on small
entities, small entity is defined as: (1) A small business that meets
the default definition for small business (based on SBA size
standards), as described in Table IX-1; (2) a small governmental
jurisdiction that is a government of a city, county, town, school
district or special district with a population of less than 50,000; and
(3) a small organization that is any not-for-profit enterprise which is
independently owned and operated and is not dominant in its field. The
following table provides an overview of the primary SBA small business
categories potentially affected by this regulation.

Table IX-1.--Primary SBA Small Business Categories Potentially Affected
by This Regulation
------------------------------------------------------------------------
Defined by SBA as
a small business
Industry NAICS \a\ Codes if less than or
equal to: \b\
------------------------------------------------------------------------
Locomotive:
Manufacturers, 333618, 336510.... 1,000 employees.
remanufacturers and
importers of locomotives
and locomotive engines.
Railroad owners and 482110, 482111, 1,500 employees.
operators. 482112. 500 employees.
Engine repair and 488210............ $6.5 million
maintenance. annual sales.
Marine:
Manufacturers of new marine 333618............ 1,000 employees.
diesel engines.
Ship and boat building; ship 336611, 346611.... 1,000 employees.
building and repairing.
Engine repair and 811310............ $6.5 million
maintenance. annual sales.
Water transportation, 483............... 500 employees.
freight and passenger.
Boat building (watercraft 336612............ 500 employees.
not built in shipyards and
typically of the type
suitable or intended for
personal use).
------------------------------------------------------------------------
Notes:
\a\ North American Industry Classification System.
\b\ According to SBA's regulations (13 CFR 121), businesses with no more
than the listed number of employees or dollars in annual receipts are
considered ``small entities'' for RFA purposes.

The proposed regulations would apply to the business sectors shown
in Table IX-1 and not to small governmental jurisdictions or small non-
profit organizations.
After considering the economic impacts of this proposed rule on
small entities, I certify that this action will not have a significant
economic impact on a substantial number of small entities. (Our
analysis of the impacts of the proposal on small entities can be found
in the docket for this rulemaking.\165\) We have determined that about
six small entities representing less than one percent of the total
number of companies affected will have an estimated impact exceeding
one percent of their annual sales revenues. About four of these small
companies will have an estimated impact exceeding three percent of
their annual sales revenues.
---------------------------------------------------------------------------

\165\ U.S. EPA, Assessment and Standards Division, Memorandum
from Chester J. France to Alexander Cristofaro of U.S. EPA's Office
of Policy, Economics, and Innovation, Locomotive and Marine Diesel
RFA/SBREFA Screening Analysis, September 25, 2006.
---------------------------------------------------------------------------

Although this proposed rule will not have a significant economic
impact on a substantial number of small entities, EPA nonetheless has
tried to reduce the impact of this rule on small entities, as described
in section IX.C.(2) below.
We continue to be interested in the potential impacts of the
proposed rule on small entities and welcome comments on issues related
to such impacts.
(2) Outreach Efforts and Special Compliance Provisions for Small Entities
We sought the input of a number of small entities, which would be
affected by the proposed rule, on potential regulatory flexibility
provisions and the needs of small businesses. For marine diesel engine
manufacturers, we had separate meetings with the four small companies
in this sector, which are post-manufacture marinizers (companies that
purchase a complete or semi-complete engine from an engine manufacturer
and modify it for use in the marine environment by changing the engine
in ways that may affect emissions). We also met individually with one
small commercial vessel builder and a few vessel trade associations
whose members include small vessel builders. For locomotive
manufacturers and remanufacturers, we met separately with the three
small businesses in these sectors, which are remanufacturers. In
addition, we met with a railroad trade association whose members
include small railroads. For nearly all meetings, EPA provided each
small business with an outreach packet that included background
information on this proposed rulemaking; and a document outlining some
flexibility provisions for small businesses that we have implemented in
past rulemakings. (This outreach packet and a complete summary of our
discussions with small entities can be found in the docket for this
rulemaking.)\166\
---------------------------------------------------------------------------

\166\ U.S. EPA, Summary of Small Business Outreach for
Locomotive and Marine Diesel NPRM, Memorandum to Docket EPA-HQ-OAR-
2003-0190 from Bryan Manning, January 18, 2007.

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

[[Page 16038]]

The primary feedback we received from small entities was to
continue the flexibility provisions that we have provided to small
entities in earlier locomotive and marine diesel rulemakings; and a
number of these provisions are listed below. Therefore, we propose to
largely continue the existing flexibility provisions finalized in the
1998 Locomotive and Locomotive Engines Rule (April 16,1998; 63 FR
18977); our 1999 Commercial Marine Diesel Engines Rule (December
29,1999; 64 FR 73299) and our 2002 Recreational Diesel Marine program
(November 8, 2002; 67 FR 68304). For a complete description of the
flexibilities be proposed in this notice, please refer to the Certification
and Compliance Program, section IV.A.(14)--Small Business Provisions.
(a) Transition Flexibilities
(i) Locomotive Sector
? Small locomotive remanufacturers would be granted a waiver
from production-line and in-use testing for up to five calendar years
after this proposed program becomes effective.
? Railroads qualifying as small businesses would be exempt
from new Tier 0, 1, and 2 remanufacturing requirements for locomotives
in their existing fleets.
? Railroads qualifying as small businesses would continue
being exempt from the in-use testing program.
(ii) Marine Sector
? Post-manufacture marinizers and small-volume manufacturers
(annual worldwide production of fewer than 1,000 engines) would be
allowed to group all engines into one engine family based on the worst-
case emitter.
? Small-volume manufacturers producing engines less than or
equal to 800 hp (600 kW) would be exempted from production-line and
deterioration testing (assigned deterioration factors) for Tier 3 standards.
? Post-manufacture marinizers qualifying as small businesses
and producing engines less than or equal to 800 hp (600 kW) would be
permitted to delay compliance with the Tier 3 standards by one model year.
? Post-manufacture marinizers qualifying as small businesses
and producing engines less than or equal to 800 hp (600 kW) could delay
compliance with the Not-to-Exceed requirements for Tier 3 standards by
up to three model years.
? Marine engine dressers (modify base engine without
affecting the emission characteristics of the engine) would be exempted
from certification and compliance requirements.
? Post-manufacture marinizers, small-volume manufacturers,
and small-volume boat builders (less than 500 employees and annual
worldwide production of fewer than 100 boats) would have hardship
relief provisions--i.e., apply for additional time.
EPA invites comments on all aspects of the proposal and its impacts
on the regulated small entities.

D. Unfunded Mandates Reform Act

Title II of the Unfunded Mandates Reform Act of 1995 (UMRA), P.L.
104-4, establishes requirements for Federal agencies to assess the
effects of their regulatory actions on State, local, and tribal
governments and the private sector. Under section 202 of the UMRA, EPA
generally must prepare a written statement, including a cost-benefit
analysis, for proposed and final rules with ``Federal mandates'' that
may result in expenditures to State, local, and tribal governments, in
the aggregate, or to the private sector, of $100 million or more in any
one year. Before promulgating an EPA rule for which a written statement
is needed, section 205 of the UMRA generally requires EPA to identify
and consider a reasonable number of regulatory alternatives and adopt
the least costly, most cost-effective or least burdensome alternative
that achieves the objectives of the rule. The provisions of section 205
do not apply when they are inconsistent with applicable law. Moreover,
section 205 allows EPA to adopt an alternative other than the least
costly, most cost-effective or least burdensome alternative if the
Administrator publishes with the final rule an explanation why that
alternative was not adopted. Before EPA establishes any regulatory
requirements that may significantly or uniquely affect small
governments, including tribal governments, it must have developed under
section 203 of the UMRA a small government agency plan. The plan must
provide for notifying potentially affected small governments, enabling
officials of affected small governments to have meaningful and timely
input in the development of EPA regulatory proposals with significant
Federal intergovernmental mandates, and informing, educating, and
advising small governments on compliance with the regulatory requirements.
This rule contains no federal mandates for state, local, or tribal
governments as defined by the provisions of Title II of the UMRA. The
rule imposes no enforceable duties on any of these governmental
entities. Nothing in the rule would significantly or uniquely affect
small governments. EPA has determined that this rule contains federal
mandates that may result in expenditures of more than $100 million to
the private sector in any single year. Accordingly, EPA has evaluated
under section 202 of the UMRA the potential impacts to the private
sector. EPA believes that the proposal represents the least costly,
most cost-effective approach to achieve the statutory requirements of
the rule. The costs and benefits associated with the proposal are
included in the Draft Regulatory Impact Analysis, as required by the
UMRA. EPA has determined that this rule contains no regulatory
requirements that might significantly or uniquely affect small governments.

E. Executive Order 13132: (Federalism)

Executive Order 13132, entitled ``Federalism'' (64 FR 43255, August
10, 1999), requires EPA to develop an accountable process to ensure
``meaningful and timely input by State and local officials in the
development of regulatory policies that have federalism implications.''
``Policies that have federalism implications'' is defined in the
Executive Order to include regulations that have ``substantial direct
effects on the States, on the relationship between the national
government and the States, or on the distribution of power and
responsibilities among the various levels of government.''
This proposed rule does not have federalism implications. It will
not have substantial direct effects on the States, on the relationship
between the national government and the States, or on the distribution
of power and responsibilities among the various levels of government,
as specified in Executive Order 13132. Although section 6 of Executive
Order 13132 does not apply to this rule, EPA did consult with
representatives of various State and local governments in developing
this rule. EPA consulted with representatives from the National
Association of Clean Air Agencies (NACAA, formerly STAPPA/ALAPCO), the
Northeast States for Coordinated Air Use Management (NESCAUM), and the
California Air Resources Board (CARB).
In the spirit of Executive Order 13132, and consistent with EPA
policy to promote communications between EPA and State and local
governments, EPA specifically solicits comment on this proposed rule
from State and local officials.

F. Executive Order 13175 (Consultation and Coordination With Indian
Tribal Governments)

Executive Order 13175, entitled ``Consultation and Coordination
with Indian Tribal Governments'' (59 FR 22951, November 9, 2000),
requires EPA to develop an accountable process to

[[Page 16039]]

ensure ``meaningful and timely input by tribal officials in the
development of regulatory policies that have tribal implications.''
This proposed rule does not have tribal implications, as specified in
Executive Order 13175. The rule will be implemented at the Federal
level and impose compliance costs only on manufacturers of locomotives,
locomotive engines, marine engines, and marine vessels. Tribal
governments will be affected only to the extent they purchase and use
the regulated engines and vehicles. Thus, Executive Order 13175 does
not apply to this rule.
EPA specifically solicits additional comment on this proposed rule
from tribal officials.

G. Executive Order 13045: Protection of Children From Environmental
Health and Safety Risks

Executive Order 13045: ``Protection of Children from Environmental
Health Risks and Safety Risks'' (62 FR 19885, April 23, 1997) applies
to any rule that: (1) Is determined to be ``economically significant''
as defined under Executive Order 12866, and (2) concerns an
environmental health or safety risk that EPA has reason to believe may
have a disproportionate effect on children. If the regulatory action
meets both criteria, the Agency must evaluate the environmental health
or safety effects of the planned rule on children, and explain why the
planned regulation is preferable to other potentially effective and
reasonably feasible alternatives considered by the Agency.
This proposed rule is not subject to Executive Order 13045 because
the Agency does not have reason to believe the environmental health
risks or safety risks addressed by this action present a
disproportionate risk to children. Nonetheless, we have evaluated the
environmental health or safety effects of emissions from locomotive and
marine diesels on children. The results of this evaluation are
contained in the draft RIA for this proposed rule, which has been
placed in the public docket under Docket ID number EPA-HQ-OAR-2003-0190.
The public is invited to submit or identify peer-reviewed studies
and data, of which EPA may not be aware, that assessed results of early
life exposure to the pollutants addressed by this rule.

H. Executive Order 13211: Actions That Significantly Affect Energy
Supply, Distribution, or Use

Executive Order 13211, ``Actions Concerning Regulations That
Significantly Affect Energy Supply, Distribution, or Use'' (66 FR 28355
(May 22, 2001)), requires EPA to prepare and submit a Statement of
Energy Effects to the Office of Information and Regulatory Affairs,
Office of Management and Budget, for certain actions identified as
``significant energy actions.'' This proposed rule's potential effects
on energy supply, distribution, or use have been analyzed and are
discussed in detail in section 5.9 of the draft RIA. In summary, while
we project that this proposed rule would result in an energy effect
that exceeds the 4,000 barrel per day threshold noted in E.O. 13211 in
or around the year 2026 and thereafter, the program consists of
performance based standards with averaging, banking, and trading
provisions that make it likely that our estimated impact is overstated.
Further, the fuel consumption estimates upon which we are basing this
energy effect analysis, which are discussed in full in section 5.4.3 of
the draft RIA, do not reflect the potential fuel savings associated
with automatic engine stop/start (AESS) systems or other idle reduction
technologies. Such technologies can provide significant fuel savings
which could offset our projected estimates of increased fuel
consumption. Nonetheless, our projections show that the proposed rule
could result in energy usage exceeding the 4,000 barrel per day
threshold noted in E.O. 13211.

I. National Technology Transfer Advancement Act

Section 12(d) of the National Technology Transfer and Advancement
Act of 1995 (``NTTAA''), Public Law No. 104-113, 12(d) (15 U.S.C. 272
note) directs EPA to use voluntary consensus standards in its
regulatory activities unless to do so would be inconsistent with
applicable law or otherwise impractical. Voluntary consensus standards
are technical standards (e.g., materials specifications, test methods,
sampling procedures, and business practices) that are developed or
adopted by voluntary consensus standards bodies. The NTTAA directs EPA
to provide Congress, through OMB, explanations when the Agency decides
not to use available and applicable voluntary consensus standards.
The proposed rulemaking involves technical standards. Therefore,
the Agency conducted a search to identify potentially applicable
voluntary consensus standards. The International Organization for
Standardization (ISO) has a voluntary consensus standard that can be
used to test engines. However, the test procedures in this proposal
reflect a level of development that goes substantially beyond the ISO
or other published procedures. The proposed procedures incorporate new
specifications for transient emission measurements, measuring PM
emissions at very low levels, measuring emissions using field-testing
procedures. The procedures we adopt in this rule will form the working
template for ISO and national and state governments to define test
procedures for measuring engine emissions. As such, we have worked
extensively with the representatives of other governments, testing
organizations, and the affected industries.
EPA welcomes comments on this aspect of the proposed rulemaking
and, specifically, invites the public to identify potentially-
applicable voluntary consensus standards and to explain why such
standards should be used in this regulation.

X. Statutory Provisions and Legal Authority

Statutory authority for the controls proposed in today's document
can be found in sections 213 (which specifically authorizes controls on
emissions from nonroad engines and vehicles), 203-209, 216, and 301 of
the Clean Air Act (CAA), 42 U.S.C. 7547, 7522, 7523, 7424, 7525, 7541,
7542, 7543, 7550, and 7601.

List of Subjects

40 CFR Part 92

Environmental protection, Administrative practice and procedure,
Air pollution control, Confidential business information, Imports,
Incorporation by reference, Labeling, Penalties, Railroads, Reporting
and recordkeeping requirements, Warranties.

40 CFR Part 94

Environmental protection, Administrative practice and procedure,
Air pollution control, Confidential business information, Imports,
Incorporation by reference, Labeling, Penalties, Vessels, Reporting and
recordkeeping requirements, Warranties.

40 CFR Part 1033

Environmental protection, Administrative practice and procedure,
Confidential business information, Incorporation by reference,
Labeling, Penalties, Reporting and recordkeeping requirements.

40 CFR Part 1039

[[Page 16040]]

and recordkeeping requirements, Warranties.

40 CFR Part 1042

Environmental protection, Administrative practice and procedure,
Air pollution control, Confidential business information, Imports,
Incorporation by reference, Labeling, Penalties, Vessels, Reporting and
recordkeeping requirements, Warranties.

40 CFR Part 1065

Confidential business information, Penalties, Research, Reporting
and recordkeeping requirements.

40 CFR Part 1068

Confidential business information, Penalties, Reporting and
recordkeeping requirements, Warranties.

Dated: March 1, 2007.
Stephen L. Johnson,
Administrator.
For the reasons set forth in the preamble, chapter I of title 40 of
the Code of Federal Regulations is proposed to be amended as follows:

PART 92--CONTROL OF AIR POLLUTION FROM LOCOMOTIVES AND LOCOMOTIVE ENGINES

1. The authority citation for part 92 continues to read as follows:

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

2. Section 92.1 is amended by revising paragraph (a) introductory
text and adding paragraph (e) to read as follows:

Sec. 92.1 Applicability.

(a) Except as noted in paragraphs (b), (d) and (e) of this section,
the provisions of this part apply to manufacturers, remanufacturers,
owners and operators of:
* * * * *
(e) The provisions of this part do not apply for locomotives that
are subject to the emissions standards of 40 CFR part 1033.
3. Section 92.12 is amended by revising paragraph (b) and adding
paragraphs (i) and (j) to read as follows:

Sec. 92.12 Interim provisions.

* * * * *
(b) Production line and in-use testing. (1) The requirements of
Subpart F of this part (i.e., production line testing) do not apply
prior to January 1, 2002.
(2) The requirements of Subpart F of this part (i.e., production
line testing) do not apply to small remanufacturers prior to January 1,
2013.
(3) The requirements of Subpart G of this part (i.e., in-use
testing) only apply for locomotives and locomotive engines that become
new on or after January 1, 2002.
(4) For locomotives and locomotive engines that are covered by a
small business certificate of conformity, the requirements of Subpart G
of this part (i.e., in-use testing) only apply for locomotives and
locomotive engines that become new on or after January 1, 2007. We will
also not require small remanufacturers to perform any in-use testing
prior to January 1, 2013.
* * * * *
(i) Diesel test fuels. Manufacturers and remanufacturers may use
LSD or ULSD test fuel to certify to the standards of this part, instead
of the otherwise specified test fuel, provided PM emissions are
corrected as described in this paragraph (i). Measure your PM emissions
and determine your cycle-weighted emission rates as specified in
subpart B of this part. If you test using LSD or ULSD, add 0.07 g/bhp-
hr to these weighted emission rates to determine your official emission
result.
(j) Subchapter U provisions. For model years 2008 through 2012,
certain locomotives will be subject to the requirements of this part 92
while others will be subject to the requirements of 40 CFR subchapter
U. This paragraph (j) describes allowances for manufacturers or
remanufacturers to ask for flexibility in transitioning to the new
regulations.
(1) You may ask to use a combination of the test procedures of this
part and those of 40 CFR part 1033. We will approve your request only
if you show us that it does not affect your ability to show compliance
with the applicable emission standards. Generally this requires that
the combined procedures would result in emission measurements at least
as high as those that would be measured using the procedures specified
in this part. Alternatively, you may demonstrate that the combined
effects of the procedures is small relative to your compliance margin
(the degree to which your locomotives are below the applicable standards).
(2) You may ask to comply with the administrative requirements of
40 CFR part 1033 and 1068 instead of the equivalent requirements of
this part.
4. Section 92.208 is amended by revising paragraph (a) to read as
follows:

Sec. 92.208 Certification.

(a) This paragraph (a) applies to manufacturers of new locomotives
and new locomotive engines. If, after a review of the application for
certification, test reports and data acquired from a freshly
manufactured locomotive or locomotive engine or from a development data
engine, and any other information required or obtained by EPA, the
Administrator determines that the application is complete and that the
engine family meets the requirements of the Act and this part, he/she
will issue a certificate of conformity with respect to such engine
family except as provided by paragraph (c)(3) of this section. The
certificate of conformity is valid for each engine family starting with
the indicated effective date, but it is not valid for any production
after December 31 of the model year for which it is issued (except as
specified in Sec. 92.12). The certificate of conformity is valid upon
such terms and conditions as the Administrator deems necessary or
appropriate to ensure that the production engines covered by the
certificate will meet the requirements of the Act and of this part.
* * * * *

PART 94--CONTROL OF EMISSIONS FROM MARINE COMPRESSION-IGNITION ENGINES

5. The authority citation for part 94 continues to read as follows:

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

6. Section 94.1 is amended by adding paragraph (b)(3) to read as
follows:

Sec. 94.1 Applicability.

(b) * * *
(3) Marine engines subject to the standards of 40 CFR part 1042.
* * * * *
7. In Sec. 94.2, paragraph (b) is amended by adding definitions
for ``Nonroad'' and ``Nonroad engine'' in alphabetical order to read as
follows:

Sec. 94.2 Definitions.

* * * * *
(b) * * *
Nonroad means relating to nonroad engines, or vessels, or equipment
that includes nonroad engines.
Nonroad engine has the meaning given in 40 CFR 1068.30. In general,
this means all internal-combustion engines except motor vehicle
engines, stationary engines, engines used solely for competition, or
engines used in aircraft.
* * * * *
8. Section 94.12 is amended by adding paragraph (i) to read as follows:

Sec. 94.12 Interim provisions.

* * * * *
(i) Subchapter U provisions. For model years 2009 through 2013,
certain marine engines will be subject to the requirements of this part
94 while others will be subject to the requirements of 40 CFR subchapter U.

[[Page 16041]]

This paragraph (j) describes allowances for manufacturers to ask for
flexibility in transitioning to the new regulations.
(1) You may ask to use a combination of the test procedures of this
part and those of 40 CFR part 1033. We will approve your request only
if you show us that it does not affect your ability to show compliance
with the applicable emission standards. Generally this requires that
the combined procedures would result in emission measurements at least
as high as those that would be measured using the procedures specified
in this part. Alternatively, you may demonstrate that the combined
effects of the procedures is small relative to your compliance margin
(the degree to which your locomotive are below the applicable standards).
(2) You may ask to comply with the administrative requirements of
40 CFR part 1033 and 1068 instead of the equivalent requirements of
this part.
9. Section 94.108 is amended by revising paragraph (d) to read as
follows:

Sec. 94.108 Test fuels.

* * * * *
(d) Correction for sulfur. (1) High sulfur fuel. (i) Particulate
emission measurements from Category 1 or Category 2 engines without
exhaust aftertreatment obtained using a diesel fuel containing more
than 0.40 weight percent sulfur may be adjusted to a sulfur content of
0.40 weight percent.
(ii) Adjustments to the particulate measurement for using high
sulfur fuel shall be made using the following equation:

PMadj = PM-[BSFC *0.0917 *(FSF-0.0040)]

Where:

PMadj = Adjusted measured PM level [g/kW-hr].
PM = Measured weighted PM level [g/KW-hr].
BSFC = Measured brake specific fuel consumption [g/KW-hr].
FSF = Fuel sulfur weight fraction.

(2) Low sulfur fuel. (i) Particulate emission measurements from
Category 1 or Category 2 engines without exhaust aftertreatment
obtained using diesel fuel containing less than 0.03 weight percent
sulfur may be adjusted to a sulfur content of 0.20 weight percent.
(ii) Adjustments to the particulate measurement for using ultra low
sulfur fuel shall be made using the following equation:

PMadj = PM+[BSFC *0.0917 *(0.0020-FSF)]

Where:

PMadj = Adjusted measured PM level [g/kW-hr].
PM = Measured weighted PM level [g/KW-hr].
BSFC = Measured brake specific fuel consumption [g/KW-hr].
FSF = Fuel sulfur weight fraction.

* * * * *
10. Section 94.208 is amended by revising paragraph (a) to read as
follows:

Sec. 94.208 Certification.

(a) If, after a review of the application for certification, test
reports and data acquired from an engine or from a development data
engine, and any other information required or obtained by EPA, the
Administrator determines that the application is complete and that the
engine family meets the requirements of the Act and this part, he/she
will issue a certificate of conformity with respect to such engine
family, except as provided by paragraph (c)(3) of this section. The
certificate of conformity is valid for each engine family starting with
the indicated effective date, but it is not valid for any production
after December 31 of the model year for which it is issued. The
certificate of conformity is valid upon such terms and conditions as
the Administrator deems necessary or appropriate to ensure that the
production engines covered by the certificate will meet the
requirements of the Act and of this part.
* * * * *
11. Section 94.209 is amended by revising paragraph (a)
introductory text to read as follows:

Sec. 94.209 Special provisions for post-manufacture marinizers and
small-volume manufacturers.

* * * * *
(a) Broader engine families. Instead of the requirements of Sec.
94.204, an engine family may consist of any engines all of a
manufacturers engines within a given category. This does not change any
of the requirements of this part for showing that an engine family
meets emission standards. To be eligible to use the provisions of this
paragraph (a), the manufacturer must demonstrate one of the following:
* * * * *
12. A new part 1033 is added to subchapter U of chapter I to read
as follows:

PART 1033--CONTROL OF EMISSIONS FROM LOCOMOTIVES

Sec.
Subpart A--Overview and Applicability
1033.1 Applicability
1033.5 Exemptions and exclusions.
1033.10 Organization of this part.
1033.15 Do any other regulation parts apply to me?
Subpart B--Emission Standards and Related Requirements
1033.101 Exhaust emission standards.
1033.102 Transition to the standards of this part for model years
before 2015.
1033.110 Emission diagnostics--general requirements.
1033.112 Emission diagnostics for SCR systems.
1033.115 Other requirements.
1033.120 Emission-related warranty requirements.
1033.125 Maintenance instructions.
1033.130 Instructions for engine remanufacturing or engine installation.
1033.135 Labeling.
1033.140 Rated power.
1033.150 Interim provisions.
Subpart C--Certifying Engine Families
1033.201 General requirements for obtaining a certificate of conformity.
1033.205 Applying for a certificate of conformity.
1033.210 Preliminary approval.
1033.220 Amending maintenance instructions.
1033.225 Amending applications for certification.
1033.230 Grouping locomotives into engine families.
1033.235 Emission testing required for certification.
1033.240 Demonstrating compliance with exhaust emission standards.
1033.245 Deterioration factors.
1033.250 Reports and recordkeeping.
1033.255 EPA decisions.
Subpart D--Manufacturer and Remanufacturer Production Line Testing and
Audit Programs
1033.301 Applicability.
1033.305 General Requirements
1033.310 Sample selection for testing.
1033.315 Test procedures.
1033.325 Calculation and reporting of test results.
1033.330 Maintenance of records; submittal of information.
1033.335 Compliance with criteria for production line testing.
1033.340 Remanufactured locomotives: installation audit requirements.
1033.345 Suspension and revocation of certificates of conformity.
Subpart E--In-use Testing
1033.401 Applicability.
1033.405 General provisions.
1033.410 In-use test procedure.
1033.415 General testing requirements.
1033.420 Maintenance, procurement and testing of in-use locomotives.
1033.425 In-use test program reporting requirements.
Subpart F--Test Procedures
1033.501 General test provisions.
1033.503 Test conditions.
1033.505 Locomotive and engine testing.
1033.510 Ramped modal testing.
1033.520 Duty cycles and idle calculation.
1033.525 Adjusting emission levels to account for infrequently
regenerating aftertreatment devices.

[[Page 16042]]

Subpart G--Special Compliance Provisions
1033.601 General compliance provisions.
1033.610 Small railroad provisions.
1033.615 Voluntarily subjecting locomotives to the standards of this part.
1033.620 Hardship provisions for manufacturers and remanufacturers.
1033.625 Design certification for non-locomotive-specific engines.
1033.630 Staged-assembly exemption.
1033.640 Provisions for repowered and refurbished locomotives.
1033.650 Incidental use exemption for Canadian and Mexican locomotives.
Subpart H--Averaging, Banking, and Trading for Certification.
1033.701 General provisions.
1033.705 Calculate emission credits.
1033.710 Averaging emission credits.
1033.715 Banking emission credits.
1033.720 Trading emission credits.
1033.722 Transferring emission credits.
1033.725 Requirements for your application for certification.
1033.730 ABT reports.
1033.735 Required records.
1033.740 Credit restrictions.
1033.745 Compliance with the provisions of this subpart.
1033.750 Changing a locomotive's FEL at remanufacture.
Subpart I--Requirements for Owners and Operators
1033.801 Applicability.
1033.805 Remanufacturing requirements.
1033.810 In-use testing program.
1033.815 Maintenance, operation, and repair.
1033.820 In-use locomotives.
1033.825 Refueling requirements.
Subpart J--Definitions and Other Reference Information
1033.901 Definitions.
1033.905 Symbols, acronyms, and abbreviations.
1033.920 How to request a hearing.

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

Subpart A--Overview and Applicability

Sec. 1033.1 Applicability.

The regulations in this part 1033 apply for all new locomotives and
all locomotives containing a new locomotive engine, except as provided
in Sec. 1033.5.
(a) Standards begin to apply each time a locomotive or locomotive
engine is originally manufactured or otherwise becomes new (defined in
Sec. 1033.901). The requirements of this part continue to apply as
specified after locomotives cease to be new.
(b) Standards apply to the locomotive. However, in certain cases,
the manufacturer/remanufacturer is allowed to test a locomotive engine
instead of a complete locomotive, such as for certification.
(c) Standards apply based on the year in which the locomotive was
originally manufactured. The date of original manufacture is generally
the date on which assembly is completed for the first time. For
example, all locomotives originally manufactured in calendar years
2002, 2003, and 2004 are subject to the Tier 1 emission standards for
their entire service lives.
(d) The following provisions apply when there are multiple persons
meeting the definition of manufacturer or remanufacturer:
(1) Each person meeting the definition of manufacturer must comply
with the requirements of this part that apply to manufacturers; and
each person meeting the definition of remanufacturer must comply with
the requirements of this part that apply to remanufacturers. However,
if one person complies with a specific requirement for a given
locomotive, then all manufacturers/remanufacturers are be deemed to
have complied with that specific requirement.
(2) We will apply the requirements of subparts C, D, and E of this
part to the manufacturer/remanufacturer that obtains the certificate of
conformity. Other manufacturers and remanufacturers are required to
comply with the requirements of subparts C, D, and E of this part only
when notified by us. In our notification, we will specify a reasonable
time period in which you need to comply with the requirements
identified in the notice. See Sec. 1033.601 for the applicability of
40 CFR part 1068 to these other manufacturers and remanufacturers.
(3) For example, we may require a railroad that installs certified
kits but does not hold the certificate to perform production line
testing or auditing of the locomotives that it remanufactures. However,
if we did, we would allow the railroad a reasonable amount of time to
develop the ability to perform such testing or auditing.
(e) The provisions of this part apply as specified for locomotives
manufactured or remanufactured on or after January 1, 2008. See Sec.
1033.102 to determine the whether the standards of this part or the
standards of 40 CFR part 92 apply for model years 2008 through 2012.
For example, for a locomotive that was originally manufactured in 2007
and remanufactured on April 10, 2014, the provisions of this part begin
to apply on April 10, 2014.

Sec. 1033.5 Exemptions and exclusions.

(a) Subpart G of this part exempts certain locomotives from the
standards of this part.
(b) The definition of ``locomotive'' in Sec. 1033.901 excludes
certain vehicles. In general, the engines used in such excluded
equipment are subject to standards under other regulatory parts. For
example, see 40 CFR part 1039 for requirements that apply to diesel
engines used in equipment excluded from the definition of
``locomotive'' in Sec. 1033.901. The following locomotives are also
excluded from the provisions of this part 1033:
(1) Historic locomotives powered by steam engines. To be excluded
under this paragraph (b)(1), a locomotive may not use any internal
combustion engines and must be used only for historical purposes such
as at a museum or similar public attraction.
(2) Locomotives powered only by an external source of electricity.
(c) The provisions of this part do not apply for any locomotive
that has not become a ``new locomotive'' (as defined in Sec. 1033.901)
after December 31, 2007.

Sec. 1033.10 Organization of this part.

The regulations in this part 1033 contain provisions that affect
locomotive manufacturers, remanufacturers, and others. However, the
requirements of this part are generally addressed to the locomotive
manufacturer/remanufacturer. The term ``you'' generally means the
manufacturer/remanufacturer, as defined in Sec. 1033.901. This part
1033 is divided into the following subparts:
(a) Subpart A of this part defines the applicability of part 1033
and gives an overview of regulatory requirements.
(b) Subpart B of this part describes the emission standards and
other requirements that must be met to certify locomotives under this
part. Note that Sec. 1033.150 discusses certain interim requirements
and compliance provisions that apply only for a limited time.
(c) Subpart C of this part describes how to apply for a certificate
of conformity.
(d) Subpart D of this part describes general provisions for testing
and auditing production locomotives.
(e) Subpart E of this part describes general provisions for testing
in-use locomotives.
(f) Subpart F of this part 40 CFR part 1065 describe how to test
your locomotives.
(g) Subpart G of this part and 40 CFR part 1068 describe
requirements, prohibitions, exemptions, and other provisions that apply
to locomotive manufacturer/remanufacturers, owners, operators, and all
others.
(h) Subpart H of this part describes how you may generate and use
emission credits to certify your locomotives.
(i) Subpart I of this part describes provisions for locomotive
owners and operators.

[[Page 16043]]

(j) Subpart J of this part contains definitions and other reference
information.

Sec. 1033.15 Do any other regulation parts apply to me?

(a) Part 1065 of this chapter describes procedures and equipment
specifications for testing engines. Subpart F of this part 1033
describes how to apply the provisions of part 1065 of this chapter to
test locomotives to determine whether they meet the emission standards
in this part.
(b) The requirements and prohibitions of part 1068 of this chapter
apply to everyone, including anyone who manufactures, remanufactures,
imports, maintains, owns, or operates any of the locomotives subject to
this part 1033. See Sec. 1033.601 to determine how to apply the part
1068 regulations for locomotives. Part 1068 of this chapter describes
general provisions, including these seven areas:
(1) Prohibited acts and penalties for locomotive manufacturer/
remanufacturers and others.
(2) Exclusions and exemptions for certain locomotives.
(3) Importing locomotives.
(4) Selective enforcement audits of your production.
(5) Defect reporting and recall.
(6) Procedures for hearings.
(c) Other parts of this chapter apply if referenced in this part.

Subpart B--Emission Standards and Related Requirements

Sec. 1033.101 Exhaust emission standards.

See Sec. Sec. 1033.102 and 1033.150 to determine the model years
for which emission standards of this section apply before 2015.
(a) Emission standards for line-haul locomotives. Exhaust emissions
from your new locomotives may not exceed the applicable emission
standards in Table 1 of this section during the useful life of the
locomotive. (Note: Sec. 1033.901 defines locomotives to be ``new''
when originally manufactured and when remanufactured.) Measure
emissions using the applicable test procedures described in subpart F
of this part.

Table 1 of Sec. 1033.101.--Line-Haul Locomotive Emission Standards
----------------------------------------------------------------------------------------------------------------
Standards (g/bhp-hr)
Year of original manufacture Tier of standards -----------------------------------
NOX PM HC CO
----------------------------------------------------------------------------------------------------------------
1973-1992 f................................. Tier 0 a...................... 8.0 0.22 1.00 5.0
1993 f-2004................................. Tier 1 a...................... 7.4 0.22 0.55 2.2
2005-2011................................... Tier 2 a...................... 5.5 0.10 d 0.30 1.5
2012-2014................................... Tier 3 b...................... 5.5 0.10 0.30 1.5
2015 or later............................... Tier 4........................ 1.3 c 0.03 0.14 e 1.5
----------------------------------------------------------------------------------------------------------------
a Line-haul locomotives subject to the Tier 0 through Tier 2 emission standards must also meet switch standards
of the same tier.
b Tier 3 line-haul locomotives must also meet Tier 2 switch standards.
c Model year 2015 and 2016 Tier 4 line-haul locomotives are subject to the Tier 3 NOX standard at the time of
initial manufacture (instead of the Tier 4 NOX standard), but must meet the Tier 4 NOX standard at the time of
any remanufacture after January 1, 2017.
d The PM standard for new Tier 2 line-haul locomotives is 0.20 g/bhp-hr until January 1, 2013.
e Manufacturers may elect to meet a combined NOX+HC standard of 1.3 g/bhp-hr instead of the otherwise applicable
Tier 4 NOX and HC standards, as described in paragraph (j) of this section. For model years, 2015 and 2016,
manufacturers may elect to meet a combined NOX+HC standard of 5.5 g/bhp-hr instead of the otherwise applicable
NOX and HC standards.
f Locomotive models that were originally manufactured in model years 1993 through 2001, but that were not
originally equipped with a separate coolant system for intake air are subject to the Tier 0 rather than the
Tier 1 standards.

(b) Emission standards for switch locomotives. Exhaust emissions
from your new locomotives may not exceed the applicable emission
standards in Table 2 of this section during the useful life of the
locomotive.

(Note: Sec. 1033.901 defines locomotives to be ``new'' when
originally manufactured and when remanufactured.) Measure emissions
using the applicable test procedures described in subpart F of this part.

Table 2 of Sec. 1033.101.--Switch Locomotive Emission Standards
----------------------------------------------------------------------------------------------------------------
Standards (g/bhp-hr)
Year of original manufacture Tier of standards -----------------------------------
NOX PM HC CO
----------------------------------------------------------------------------------------------------------------
1973-2001................................... Tier 0........................ 11.8 0.26 2.10 8.0
2002-2004................................... Tier 1 a...................... 11.0 0.26 1.20 2.5
2005-2010................................... Tier 2 a...................... 8.1 0.13 d 0.60 2.4
2011-2014................................... Tier 3........................ 5.0 0.10 0.60 2.4
2015 or later............................... Tier 4........................ 1.3 c 0.03 0.14 c 2.4
----------------------------------------------------------------------------------------------------------------
a Switch locomotives subject to the Tier 1 through Tier 2 emission standards must also meet line-haul standards
of the same tier.
b The PM standard for new Tier 2 switch locomotives is 0.24 g/bhp-hr until January 1, 2013.
c Manufacturers may elect to meet a combined NOX+HC standard of 1.3 g/bhp-hr instead of the otherwise applicable
Tier 4 NOX and HC standards, as described in paragraph (j) of this section.

(c) Smoke standards. The smoke opacity standards specified in Table
3 of this section apply only for locomotives certified to one or more
PM standards or FELs greater than 0.05 g/bhp-hr. Smoke emissions, when
measured in accordance with the provisions of Subpart F of this part,
shall not exceed these standards.

[[Page 16044]]

Table 3 of Sec. 1033.101.--Smoke Standards for Locomotives (Percent Opacity)
----------------------------------------------------------------------------------------------------------------
Steady-state 30-sec peak 3-sec peak
----------------------------------------------------------------------------------------------------------------
Tier 0.......................................................... 30 40 50
Tier 1.......................................................... 25 40 50
Tier 2 and later................................................ 20 40 50
----------------------------------------------------------------------------------------------------------------

(d) Averaging, banking, and trading. You may generate or use
emission credits under the averaging, banking, and trading (ABT)
program as described in subpart H of this part to comply with the
NO_X and/or PM standards of this part. You may also use ABT
to comply with the Tier 4 HC standards of this part as described in
paragraph (j) of this section. Generating or using emission credits
requires that you specify a family emission limit (FEL) for each
pollutant you include in the ABT program for each engine family. These
FELs serve as the emission standards for the engine family with respect
to all required testing instead of the standards specified in
paragraphs (a) and (b) of this section. No FEL may be higher than the
previously applicable Tier of standards. For example, no FEL for a Tier
1 locomotive may be higher than the Tier 0 standard.
(e) Notch standards. (1) Exhaust emissions from locomotives may not
exceed the notch standards specified in paragraph (e)(2) of this
section, except as allowed in paragraph (e)(3) of this section, when
measured using any test procedures under any test conditions.
(2) Except as specified in paragraph (e)(5) of this section,
calculate the applicable notch standards for each pollutant for each
notch from the certified notch emission rate as follows:

Notch standard = (E_i) x (1.1 + (1-ELH_i/std))

Where:

E_i = The deteriorated brake-specific emission rate (for
pollutant I) for the notch (i.e., the brake-specific emission rate
calculated under subpart F of this part, adjusted by the
deterioration factor in the application for certification); where x
is NO_X, HC (or NMHC or THCE, as applicable), CO or PM.
ELH_i = The deteriorated line-haul duty-cycle weighted
brake-specific emission rate for pollutant I, as reported in the
application for certification, except for Tier 3 or later switch
locomotives, where ELH_i equals the deteriorated switch
duty-cycle weighted brake-specific emission rate for pollutant I.
std = The applicable line-haul duty-cycle standard or FEL, except
for Tier 3 or later switch locomotives, where std equals the switch
duty-cycle standard for pollutant I.

(3) Exhaust emissions that exceed the notch standards specified in
paragraph (e)(2) of this section are allowed only if one of the
following is true:
(i) The same emission controls are applied during the test
conditions causing the noncompliance as were applied during
certification test conditions (and to the same degree).
(ii) The exceedance result from a design feature that was described
(including its effect on emissions) in the approved application for
certification, and is:
(A) Necessary for safety;
(B) Addresses infrequent regeneration of an aftertreatment device;
or
(C) Otherwise allowed by this part.
(4) Since you are only required to test your locomotive at the
highest emitting dynamic brake point, the notch caps that you calculate
for the dynamic brake point that you test also applies for other
dynamic brake points.
(5) No PM notch caps apply for locomotives certified to a PM
standard or FEL of 0.05 g/bhp-hr or lower.
(f) Fuels. The exhaust emission standards in this section apply for
locomotives using the fuel type on which the locomotives in the engine
family are designed to operate.
(1) You must meet the numerical emission standards for HC in this
section based on the following types of hydrocarbon emissions for
locomotives powered by the following fuels:
(i) Alcohol-fueled locomotives: THCE emissions for Tier 3 and
earlier locomotives and NMHCE for Tier 4.
(ii) Gaseous-fueled locomotives: NMHC emissions.
(iii) Diesel-fueled and other locomotives: THC emissions for Tier 3
and earlier locomotives and NMHC for Tier 4.
(2) You must certify your diesel-fueled locomotives to use the
applicable grades of diesel fuel as follows:
(i) Certify your Tier 4 and later diesel-fueled locomotives for
operation with only Ultra Low Sulfur Diesel (ULSD) fuel. Use ULSD as
the test fuel for these locomotives.
(ii) Certify your Tier 3 and earlier diesel-fueled locomotives for
operation with only ULSD fuel if they include sulfur-sensitive
technology and you demonstrate compliance using a ULSD test fuel.
(iii) Certify your Tier 3 and earlier diesel-fueled locomotives for
operation with either ULSD fuel or Low Sulfur Diesel (LSD) fuel if they
do not include sulfur-sensitive technology or if you demonstrate
compliance using an LSD test fuel.
(iv) For Tier 2 and earlier diesel-fueled locomotives, if you
demonstrate compliance using a ULSD test fuel, you must adjust the
measured PM emissions upward by 0.01 g/bhp-hr to make them equivalent
to tests with LSD.
(g) Useful life. The emission standards and requirements in this
subpart apply to the emissions from new locomotives for their useful
life. The useful life is generally specified as MW-hrs and years, and
ends when either of the values (MW-hrs or years) is exceeded or the
locomotive is remanufactured.
(1) The minimum useful life in terms of MW-hrs is equal to the
product of the rated horsepower multiplied by 7.50. The minimum useful
life in terms of years is ten years. For locomotives originally
manufactured before January 1, 2000 and not equipped with MW-hr meters,
the minimum useful life is equal to 750,000 miles or ten years,
whichever is reached first.
(2) You must specify a longer useful life if the locomotive or
locomotive engine is designed to last longer than the applicable
minimum useful life. Recommending a time to remanufacture that is longer
than the minimum useful life is one indicator of a longer design life.
(3) Manufacturers/remanufacturers of locomotive with non-
locomotive-specific engines (as defined in Sec. 1033.901) may ask us
(before certification) to allow a shorter useful life for an engine
family containing only non-locomotive-specific engines. This petition
must include the full rationale behind the request together with any
other supporting evidence. Based on this or other information, we may
allow a shorter useful life.
(4) Remanufacturers of locomotive or locomotive engine
configurations that have been previously certified under paragraph
(g)(3) of this section to a useful life that is shorter than the value
specified in paragraph (g)(1) of this section may certify to that same
shorter useful life value without request.
(h) Applicability for testing. The emission standards in this
subpart apply to all testing, including certification

[[Page 16045]]

testing, production-line testing, selective enforcement audits, and in-
use testing.
(i) Alternate CO standards. Manufacturers/remanufacturers may
certify Tier 0, Tier 1, or Tier 2 locomotives to an alternate CO
emission standard of 10.0 g/bhp-hr instead of the otherwise applicable
CO standard if they also certify those locomotives to alternate PM
standards less than or equal to one-half of the otherwise applicable PM
standard. For example, a manufacturer certifying Tier 1 locomotives to
a 0.11 g/bhp-hr PM standard may certify those locomotives to the
alternate CO standard of 10.0 g/bhp-hr.
(j) Alternate NO_X+NMHC standards for Tier 4.
Manufacturers/remanufacturers may certify Tier 4 locomotives to an
alternate NO_X+NMHC emission standard of 1.3 g/bhp-hr
(instead of the otherwise applicable NO_X and NMHC
standards). You may use NO_X credits to show compliance with
this standard by certifying your family to a NO_X+NMHC FEL.
Calculate the NO_X credits needed as specified in subpart H
of this part using the NO_X+NMHC emission standard and FEL in
the calculation instead of the otherwise applicable NO_X
standard and FEL.

Sec. 1033.102 Transition to the standards of this part for model
years before 2015.

(a) Except as specified in Sec. 1033.150(a), the Tier 0 and Tier 1
standards of Sec. 1033.101 apply for new locomotives beginning January
1, 2010, except as specified in Sec. 1033.150(a). The Tier 0 and Tier
1 standards of 40 CFR part 92 apply for earlier model years.
(b) Except as specified in Sec. 1033.150(a), the Tier 2 standards
of Sec. 1033.101 apply for new locomotives beginning January 1, 2013.
The Tier 2 standards of 40 CFR part 92 apply for earlier model years.
(c) The Tier 3 and Tier 4 standards of Sec. 1033.101 apply for the
model years specified in that section.

Sec. 1033.110 Emission diagnostics--general requirements.

The provisions of this section apply if you equip your locomotives
with a diagnostic system that will detect significant malfunctions in
its emission-control system. See Sec. 1033.420 for information about
how to select and maintain diagnostic-equipped locomotives for in-use
testing. Notify the owner/operator that the presence of this diagnostic
system affects their maintenance obligations under Sec. 1033.815.
(a) Use a malfunction-indicator light (MIL). The MIL must be
readily visible to the operator. When the MIL goes on, it must display
``Check Emission Controls'' or a similar message that we approve. You
may use sound in addition to the light signal.
(b) You may only illuminate the MIL for malfunctions that require
maintenance action by the owner/operator. To ensure that owner/
operators consider MIL illumination seriously, you may not illuminate
it for malfunctions that would not otherwise require maintenance. This
section does not limit your ability to display other indicator lights
or messages, as long as they are clearly distinguishable from MILs
affecting the owner/operator's maintenance obligations under Sec.
1033.815.
(c) Control when the MIL can go out. If the MIL goes on to show a
malfunction, it must remain on during all later engine operation until
servicing corrects the malfunction. If the engine is not serviced, but
the malfunction does not recur during the next 24 hours, the MIL may
stay off during later engine operation.
(d) Record and store in computer memory any diagnostic trouble
codes showing a malfunction that should illuminate the MIL. The stored
codes must identify the malfunctioning system or component as uniquely
as possible. Make these codes available through the data link connector
as described in paragraph (e) of this section. You may store codes for
conditions that do not turn on the MIL. The system must store a
separate code to show when the diagnostic system is disabled (from
malfunction or tampering). Provide instructions to the owner/operator
regarding how to interpret malfunction codes.
(e) Make data, access codes, and devices accessible. Make all
required data accessible to us without any access codes or devices that
only you can supply. Ensure that anyone servicing your locomotive can
read and understand the diagnostic trouble codes stored in the onboard
computer with generic tools and information.
(f) Follow standard references for formats, codes, and connections.

Sec. 1033.112 Emission diagnostics for SCR systems.

Engines equipped with SCR systems must meet the requirements of
this section in addition to the requirements of Sec. 1033.110.
(a) The diagnostic system must monitor urea quality and tank levels
and alert operators to the need to refill the urea tank before it is
empty using a malfunction-indicator light (MIL) as specified in Sec.
1033.110 and an audible alarm. You do not need to separately monitor
urea quality if you include an exhaust NO_X sensor (or other
sensor) that allows you to determine inadequate urea quality.
(b) Your onboard computer must record in nonvolatile computer
memory all incidents of engine operation with inadequate urea injection
or urea quality.

Sec. 1033.115 Other requirements.

Locomotives that are required to meet the emission standards of
this part must meet the requirements of this section. These
requirements apply when the locomotive is new (for freshly manufactured
or remanufactured locomotives) and continue to apply throughout the
useful life.
(a) Crankcase emissions. Crankcase emissions may not be discharged
directly into the ambient atmosphere from any locomotive, except as follows:
(1) Locomotives may discharge crankcase emissions to the ambient
atmosphere if the emissions are added to the exhaust emissions (either
physically or mathematically) during all emission testing. If you take
advantage of this exception, you must do the following things:
(i) Manufacture the locomotives so that all crankcase emissions can
be routed into the applicable sampling systems specified in 40 CFR part
1065, consistent with good engineering judgment.
(ii) Account for deterioration in crankcase emissions when
determining exhaust deterioration factors.
(2) For purposes of this paragraph (a), crankcase emissions that
are routed to the exhaust upstream of exhaust aftertreatment during all
operations are not considered to be discharged directly into the
ambient atmosphere.
(b) Adjustable parameters. Locomotives that have adjustable
parameters must meet all the requirements of this part for any
adjustment in the approved adjustable range. You must specify in your
application for certification the adjustable range of each adjustable
parameter on a new locomotive or new locomotive engine to:
(1) Ensure that safe locomotive operating characteristics are
available within that range, as required by section 202(a)(4) of the
Clean Air Act (42 U.S.C. 7521(a)(4)), taking into consideration the
production tolerances.
(2) Limit the physical range of adjustability to the maximum extent
practicable to the range that is necessary

[[Page 16046]]

for proper operation of the locomotive or locomotive engine.
(c) Prohibited controls. You may not design or produce your
locomotives with emission control devices, systems, or elements of
design that cause or contribute to an unreasonable risk to public
health, welfare, or safety while operating. For example, this would
apply if the locomotive emits a noxious or toxic substance it would
otherwise not emit that contributes to such an unreasonable risk.
(d) Evaporative and refueling controls. For locomotives fueled with
a volatile fuel you must design and produce them to minimize
evaporative emissions during normal operation, including periods when
the engine is shut down. You must also design and produce them to
minimize the escape of fuel vapors during refueling. Hoses used to
refuel gaseous-fueled locomotives may not be designed to be bled or
vented to the atmosphere under normal operating conditions. No valves
or pressure relief vents may be used on gaseous-fueled locomotives
except as emergency safety devices that do not operate at normal system
operating flows and pressures.
(e) Altitude requirements. All locomotives prior to sale,
introduction into service, or return to service, must be designed to
include features that compensate for changes in altitude to ensure that
the locomotives will comply with the applicable emission standards when
operated at any altitude less than 7000 feet above sea level.
(f) Defeat devices. You may not equip your locomotives with a
defeat device. A defeat device is an auxiliary emission control device
(AECD) that reduces the effectiveness of emission controls under
conditions that the locomotive may reasonably be expected to encounter
during normal operation and use.
(1) This does not apply to AECDs you identify in your certification
application if any of the following is true:
(i) The conditions of concern were substantially included in the
applicable duty cycle test procedures described in subpart F of this part.
(ii) You show your design is necessary to prevent locomotive damage
or accidents.
(iii) The reduced effectiveness applies only to starting the locomotive.
(iv) The locomotive emissions when the AECD is functioning are at
or below the notch caps of Sec. 1033.101.
(v) The AECD reduces urea flow for an SCR aftertreatment system and
meets the requirements of this paragraph (f)(1)(v). For operation
outside the range of ambient test conditions specified in Sec.
1033.503 where emissions exceed one or more notch caps, your SCR system
must function so that at least one of the following conditions is met
at all applicable speeds and loads:
(A) You maintain the mass flow of urea into the catalyst in the
same proportion as the same notch point under test conditions.
(B) You maintain the mass flow of urea into the catalyst at the
highest level possible without emitting ammonia at excessive levels
(excessive levels would generally be levels higher than would occur at
other operations at the same notch point under test conditions).
(C) The temperature of the exhaust is too low to allow urea to be
converted to ammonia (consistent with good engineering judgment).
(2) If your locomotive is designed to allow operation at points
other than those included as test points, the provisions of paragraphs
(f)(1)(iv) and (v) of this section apply as specified for the most
similar test point.
(g) Idle controls. All new locomotives must be equipped with
automatic engine stop/start as described in this paragraph (g). All new
locomotives must be designed to allow the engine(s) to be restarted at
least six times per day without engine damage.
(1) Except as allowed by paragraph (g)(2) of this section, the
stop/start systems must shut off the main locomotive engine(s) after 30
minutes of idling (or less) and must prevent the engine(s) from being
restarted to resume extended idling.
(2) Stop/start systems may restart or continue idling for the
following reasons:
(i) To prevent engine damage such as to prevent the engine coolant
from freezing.
(ii) To maintain air brake pressure.
(iii) To perform necessary maintenance.
(iv) To otherwise comply with federal regulations.
(3) You may ask to use alternate stop/start systems that will
achieve equivalent idle control.

Sec. 1033.120 Emission-related warranty requirements.

(a) General requirements. You must warrant to the ultimate
purchaser and each subsequent purchaser that the new locomotive,
including all parts of its emission control system, meets two conditions:
(1) It is designed, built, and equipped so it conforms at the time
of sale to the ultimate purchaser with the requirements of this part.
(2) It is free from defects in materials and workmanship that may
keep it from meeting these requirements.
(b) Warranty period. Except as specified in this paragraph, the
minimum warranty period is one-third of the useful life. Your emission-
related warranty must be valid for at least as long as the minimum
warranty periods listed in this paragraph (b) in MW-hrs of operation
and years, whichever comes first. You may offer an emission-related
warranty more generous than we require. The emission-related warranty
for the locomotive may not be shorter than any published warranty you
offer without charge for the locomotive. Similarly, the emission-
related warranty for any component may not be shorter than any
published warranty you offer without charge for that component. If you
provide an extended warranty to individual owners for any components
covered in paragraph (c) of this section for an additional charge, your
emission-related warranty must cover those components for those owners
to the same degree. If the locomotive does not record MW-hrs, we base
the warranty periods in this paragraph (b) only on years. The warranty
period begins when the locomotive is placed into service, or back into
service after remanufacture.
(c) Components covered. The emission-related warranty covers all
components whose failure would increase a locomotive's emissions of any
pollutant. This includes components listed in 40 CFR part 1068,
Appendix I, and components from any other system you develop to control
emissions. The emission-related warranty covers these components even
if another company produces the component. Your emission-related
warranty does not cover components whose failure would not increase a
locomotive's emissions of any pollutant.
(d) Limited applicability. You may deny warranty claims under this
section if the operator caused the problem through improper maintenance
or use, as described in 40 CFR 1068.115.
(e) Owners manual. Describe in the owners manual the emission-
related warranty provisions from this section that apply to the locomotive.

Sec. 1033.125 Maintenance instructions.

Give the owner of each new locomotive written instructions for
properly maintaining and using the locomotive, including the emission-
control system. Include in the instructions a notification that owners
and operators must comply with the requirements of subpart I of this
part 1033. The maintenance instructions also apply to any service
accumulation on your emission-data locomotives, as described in Sec.
1033.245 and in 40 CFR part 1065.

[[Page 16047]]

Sec. 1033.130 Instructions for engine remanufacturing or engine
installation.

(a) If you do not complete assembly of the new locomotive (such as
selling a kit that allows someone else to remanufacture a locomotive
under your certificate), give the assembler instructions for completing
assembly consistent with the requirements of this part. Include all
information necessary to ensure that the locomotive will be assembled
in its certified configuration.
(b) Make sure these instructions have the following information:
(1) Include the heading: ``Emission-related assembly instructions''.
(2) Describe any instructions necessary to make sure the assembled
locomotive will operate according to design specifications in your
application for certification.
(3) State one of the following as applicable:
(i) ``Failing to follow these instructions when remanufacturing a
locomotive or locomotive engine violates federal law (40 CFR
1068.105(b)), and may subject you to fines or other penalties as
described in the Clean Air Act.''.
(ii) ``Failing to follow these instructions when installing this
locomotive engine violates federal law (40 CFR 1068.105(b)), and may
subject you to fines or other penalties as described in the Clean Air
Act.''.
(c) You do not need installation instructions for locomotives you
assemble.
(d) Provide instructions in writing or in an equivalent format. For
example, you may post instructions on a publicly available Web site for
downloading or printing. If you do not provide the instructions in
writing, explain in your application for certification how you will
ensure that each assembler is informed of the assembly requirements.

Sec. 1033.135 Labeling.

As described in this section, each locomotive must have a label on
the locomotive and a separate label on the engine. The label on the
locomotive stays on the locomotive throughout its service life. It
generally identifies the original certification of the locomotive,
which is when it was originally manufactured for Tier 1 and later
locomotives. The label on the engine is replaced each time the
locomotive is remanufactured and identifies the most recent certification.
(a) Serial numbers. At the point of original manufacture, assign
each locomotive and locomotive engine a serial number or other unique
identification number and permanently affix, engrave, or stamp the
number on the locomotive and engine in a legible way.
(b) Locomotive labels. (1) Locomotive labels meeting the specifications
of paragraph (b)(2) of this section must be applied as follows:
(i) The manufacturer must apply a locomotive label at the point of
original manufacture.
(ii) The remanufacturer must apply a locomotive label at the point
of original remanufacture, unless the locomotive was labeled by the
original manufacturer.
(iii) Any remanufacturer certifying a locomotive to an FEL or
standard different from the previous FEL or standard to which the
locomotive was previously certified must apply a locomotive label.
(2) The locomotive label must meet all of the following criteria:
(i) The label must be permanent and legible and affixed to the
locomotive in a position in which it will remain readily visible.
Attach it to a locomotive chassis part necessary for normal operation
and not normally requiring replacement during the service life of the
locomotive. You may not attach this label to the engine or to any
equipment that is easily detached from the locomotive. Attach the label
so that it cannot be removed without destroying or defacing the label.
The label may be made up of more than one piece, as long as all pieces
are permanently attached to the same locomotive part.
(ii) The label must be lettered in the English language using a
color that contrasts with the background of the label.
(iii) The label must include all the following information:
(A) The label heading: ``ORIGINAL LOCOMOTIVE EMISSION CONTROL
INFORMATION.'' Manufacturers/remanufacturers may add a subheading to
distinguish this label from the engine label described in paragraph (c)
of this section.
(B) Full corporate name and trademark of the manufacturer (or
remanufacturer).
(C) The applicable engine family and configuration identification.
In the case of locomotive labels applied by the manufacturer at the
point of original manufacture, this will be the engine family and
configuration identification of the certificate applicable to the
freshly manufactured locomotive. In the case of locomotive labels
applied by a remanufacturer during remanufacture, this will be the
engine family and configuration identification of the certificate under
which the remanufacture is being performed.
(D) Date of original manufacture of the locomotive, as defined in
Sec. 1033.901.
(E) The standards/FELs to which the locomotive was certified and
the following statement: ``THIS LOCOMOTIVE MUST COMPLY WITH THESE
EMISSION LEVELS EACH TIME THAT IT IS REMANUFACTURED, EXCEPT AS ALLOWED
BY 40 CFR 1033.750.''.
(3) Label diesel-fueled locomotives near the fuel inlet to identify
the allowable fuels, consistent with Sec. 1033.101. For example, Tier
4 locomotives should be labeled ``ULTRA LOW SULFUR DIESEL FUEL ONLY''.
You do not need to label Tier 3 and earlier locomotives certified for
use with both LSD and ULSD.
(c) Engine labels. (1) Engine labels meeting the specifications of
paragraph (c)(2) of this section shall be applied by:
(i) Every manufacturer at the point of original manufacture; and
(ii) Every remanufacturer at the point of remanufacture (including
the original remanufacture and subsequent remanufactures).
(2) The engine label must meet all of the following criteria:
(i) The label must be durable throughout the useful life of the
engine, be legible and affixed to the engine in a position in which it
will be readily visible after installation of the engine in the
locomotive. Attach it to an engine part necessary for normal operation
and not normally requiring replacement during the useful life of the
locomotive. You may not attach this label to any equipment that is
easily detached from the engine. Attach the label so it cannot be
removed without destroying or defacing the label. The label may be made
up of more than one piece, as long as all pieces are permanently
attached to the same locomotive part.
(ii) The label must be lettered in the English language using a
color that contrasts with the background of the label.
(iii) The label must include all the following information:
(A) The label heading: ``ENGINE EMISSION CONTROL INFORMATION.''.
Manufacturers/remanufacturers may add a subheading to distinguish this
label from the locomotive label described in paragraph (b) of this section.
(B) Full corporate name and trademark of the manufacturer/remanufacturer.
(C) Engine family and configuration identification as specified in
the certificate under which the locomotive is being manufactured or
remanufactured.

[[Page 16048]]

(D) A prominent unconditional statement of compliance with U.S.
Environmental Protection Agency regulations which apply to locomotives,
as applicable:
(1) ``This locomotive conforms to U.S. EPA regulations applicable
to Tier 0 switch locomotives.''.
(2) ``This locomotive conforms to U.S. EPA regulations applicable
to Tier 0 line-haul locomotives.''.
(3) ``This locomotive conforms to U.S. EPA regulations applicable
to Tier 1 locomotives.''.
(4) ``This locomotive conforms to U.S. EPA regulations applicable
to Tier 2 locomotives.''.
(5) ``This locomotive conforms to U.S. EPA regulations applicable
to Tier 3 switch locomotives.''.
(6) ``This locomotive conforms to U.S. EPA regulations applicable
to Tier 3 line-haul locomotives.''.
(7) ``This locomotive conforms to U.S. EPA regulations applicable
to Tier 4 switch locomotives.''.
(8) ``This locomotive conforms to U.S. EPA regulations applicable
to Tier 4 line-haul locomotives.''.
(E) The useful life of the locomotive.
(F) The standards/FELS to which the locomotive was certified.
(G) Engine tune-up specifications and adjustments, as recommended
by the manufacturer/remanufacturer, in accordance with the applicable
emission standards. This includes but is not limited to idle speed(s),
injection timing or ignition timing (as applicable), and valve lash (as
applicable).
(H) Other critical operating instructions such as those related to
urea use for SCR systems.
(d) Manufacturers/remanufacturers may also provide other
information on the labels that they deem necessary for the proper
operation and maintenance of the locomotive. Manufacturers/
remanufacturers may also include other features to prevent
counterfeiting of labels.
(e) You may ask us to approve modified labeling requirements in
this part 1033 if you show that it is necessary or appropriate. We will
approve your request if your alternate label is consistent with the
requirements of this part.

Sec. 1033.140 Rated power.

This section describes how to determine the rated power of a
locomotive for the purposes of this part. Note that rated power is used
as the maximum test power in subpart F of this part for testing of
locomotives and locomotive engines.
(a) A locomotive configuration's rated power is the maximum brake
power point on the nominal power curve for the locomotive
configuration, as defined in this section. See Sec. 1033.901 for the
definition of brake power. Round the power value to the nearest whole
horsepower. Generally, this will be the brake power of the engine in
notch 8.
(b) The nominal power curve of a locomotive configuration is its
maximum available brake power at each possible operator demand setpoint
or ``notch''. See 40 CFR 1065.1001 for the definition of operator
demand. The maximum available power at each operator demand setpoint is
based on your design and production specifications for that locomotive.
The nominal power curve does not include any operator demand setpoints
that are not achievable during in-use operation. For example, for a
locomotive with only eight discrete operator demand setpoints, or
notches, the nominal power curve would be a series of eight power
points versus notch, rather than a continuous curve.
(c) The nominal power curve must be within the range of the actual
power curves of production locomotives considering normal production
variability. If after production begins it is determined that your nominal
power curve does not represent production locomotives, we may require you
to amend your application for certification under Sec. 1033.225.

Sec. 1033.150 Interim provisions.

The provisions of this section apply instead of other provisions of
this part for a limited time. This section describes when these
provisions apply.
(a) Early availability of Tier 0, Tier 1, or Tier 2 systems. For
model years 2008 and 2009, you may remanufacture locomotives to meet
the applicable standards in 40 CFR part 92 only if no remanufacture
system has been certified to meet the standards of this part and is
available at a reasonable cost at least three months prior to the
completion of the remanufacture. For model years 2008 through 2012, you
may remanufacture Tier 2 locomotives to meet the applicable standards
in 40 CFR part 92 only if no remanufacture system has been certified to
meet the standards of this part and is available at a reasonable cost
at least three months prior to the completion of the remanufacture. For
the purpose of this paragraph (a), available at a reasonable cost means
available for use where all of the following are true:
(1) The total incremental cost to the owner and operators of the
locomotive due to meeting the new standards (including initial
hardware, increased fuel consumption, and increased maintenance costs)
during the useful life of the locomotive is less than $220,000.
(2) The initial incremental hardware costs are reasonably related
to the technology included in the remanufacturing system and are less
than $125,000.
(3) The remanufactured locomotive will have reliability throughout
its useful life that is similar to the reliability the locomotive would
have had if it had been remanufactured without the certified
remanufacture system.
(4) The remanufacturer must demonstrate at the time of
certification that the system meets the requirements of this paragraph (a).
(b) Delayed NO_X standards for Tier 4. For model years
2015 and 2016, freshly manufactured locomotives are not required to
meet the Tier 4 NO_X standards, but must comply with all
other applicable standards and requirements. Model year 2015 and 2016
locomotives must comply with all Tier 4 requirements when
remanufactured on or after January 1, 2017.
(c) Locomotive labels for transition to new standards. This
paragraph (c) applies when you remanufacture a locomotive that was
previously certified under 40 CFR part 92. You must remove the old
locomotive label and replace it with the locomotive label specified in
Sec. 1033.135.
(d) Small manufacturer/remanufacturer provisions. The production-
line testing/auditing requirements and in-use testing requirements of
this part do not apply until January 1, 2013 for manufacturers/
remanufacturers that qualify as small manufacturers under Sec. 1033.901
(e) Producing switch locomotives using certified nonroad engines.
You may use the provisions of this paragraph (e) to produce new switch
locomotives in model years 2008 through 2017. Locomotives produced
under this paragraph (e) are exempt from the standards and requirements
of this part and 40 CFR part 92 subject to the following provisions:
(1) All of the engines on the switch locomotive must be covered by
a certificate of conformity issued under 40 CFR part 89 or 1039 for
model year 2008 or later. Engines over 750 hp certified to the Tier 4
standards for non-generator set engines are not eligible for this
allowance after 2014.
(2) You must reasonably project that more of the engines will be
sold and used for non-locomotive use than for use in locomotives.

[[Page 16049]]

(3) You may not generate or use locomotive credits under this part
for these locomotives.
(f) In-use compliance limits. For purposes of determining
compliance after title or custody of a new Tier 4 locomotive has
transferred to the ultimate purchaser (or the locomotive has been
placed into service), calculate the applicable in-use compliance limits
by adjusting the applicable standards/FELs. (Note that this means that
these adjustments do not apply for certification or production-line
testing.) The PM adjustment applies only for model year 2015-2017
locomotives and does not apply for locomotives with a PM FEL higher
than 0.03 g/bhp-hr. The NO_X adjustment applies only for
model year 2017-2019 line-haul locomotives and 2015-2017 switch
locomotives and does not apply for locomotives with a NO_X
FEL higher than 2.0 g/bhp-hr. Add the applicable adjustments in Tables
1 or 2 of this section (which follow) to the otherwise applicable
standards (or FELs) and notch caps.

Table 1 of Sec. 1033.150--In-use Adjustments for Tier 4 Line-Haul
Locomotives
------------------------------------------------------------------------
In-use adjustments (g/
bhp-hr)
-------------------------
For model For model
Fraction of useful life already used year 2017- year 2015-
2019 Tier 4 2017 Tier 4
NOX PM
standards standards
------------------------------------------------------------------------
0 < MW-hrs = 50% of UL........................ 0.7 0.01
50 < MW-hrs = 75% of UL....................... 1.0
75 < MW-hrs = 100% of UL...................... 1.3
------------------------------------------------------------------------

Table 2 of Sec. 1033.150.--In-use Adjustments for Tier 4 Switch
Locomotives
------------------------------------------------------------------------
In-use adjustments (g/
bhp-hr)
-------------------------
For model For model
Fraction of useful life already used year 2015- year 2015-
2017 Tier 4 2017 Tier 4
NOX PM
standards standards
------------------------------------------------------------------------
0 < useful life = 50%......................... 0.7 0.01
50 < useful life = 75%........................ 1.0
75 < useful life = 100%....................... 1.3
------------------------------------------------------------------------

(g) Test procedures. You are generally required to use the test
procedures specified in subpart F of this part (including the
applicable test procedures in 40 CFR part 1065). As specified in this
paragraph (g), you may use a combination of the test procedures
specified in this part and the test procedures specified in 40 CFR part
92 prior to January 1, 2015. After this date, you must use only the
test procedures specified in this part.
(1) Prior to January 1, 2015, you may ask to use some or all of the
procedures specified in 40 CFR part 92 for locomotives certified under
this part 1033.
(2) If you ask to rely on a combination of procedures under this
paragraph (g), we will approve your request only if you show us that it
does not affect your ability to demonstrate compliance with the
applicable emission standards. Generally this requires that the
combined procedures would result in emission measurements at least as
high as those that would be measured using the procedures specified in
this part. Alternatively, you may demonstrate that the combined effects
of the different procedures is small relative to your compliance margin
(the degree to which your locomotives are below the applicable standards).

Subpart C--Certifying Engine Families

Sec. 1033.201 General requirements for obtaining a certificate of
conformity.

Certification is the process by which you demonstrate to us that
your freshly manufactured or remanufactured locomotives will meet the
applicable emission standards throughout their useful lives (explaining
to us how you plan to manufacture or remanufacture locomotives, and
providing test data showing that such locomotives will comply with all
applicable emission standards.) Anyone meeting the definition of
manufacturer in Sec. 1033.901 may apply for a certificate of
conformity for freshly manufactured locomotives. Anyone meeting the
definition of remanufacturer in Sec. 1033.901 may apply for a
certificate of conformity for remanufactured locomotives.
(a) You must send us a separate application for a certificate of
conformity for each engine family. A certificate of conformity is valid
starting with the indicated effective date, but it is not valid for any
production after December 31 of the model year for which it is issued.
(b) The application must contain all the information required by
this part and must not include false or incomplete statements or
information (see Sec. 1033.255).
(c) We may ask you to include less information than we specify in
this subpart, as long as you maintain all the information required by
Sec. 1033.250.
(d) You must use good engineering judgment for all decisions
related to your application (see 40 CFR 1068.5).
(e) An authorized representative of your company must approve and
sign the application.
(f) See Sec. 1033.255 for provisions describing how we will
process your application.
(g) We may require you to deliver your test locomotives to a
facility we designate for our testing (see Sec. 1033.235(c)).
(h) By applying for a certificate of conformity, you are accepting
responsibility for the in-use emission performance of all properly
maintained and used locomotives covered by your

[[Page 16050]]

certificate. This responsibility applies without regard to whether you
physically manufacture or remanufacture the entire locomotive. If you
do not physically manufacture or remanufacture the entire locomotive,
you must take reasonable steps (including those specified by this part)
to ensure that the locomotives produced under your certificate conform
to the specifications of your application for certification.

Sec. 1033.205 Applying for a certificate of conformity.

(a) Send the Designated Compliance Officer a complete application
for each engine family for which you are requesting a certificate of
conformity.
(b) The application must be approved and signed by the authorized
representative of your company.
(c) You must update and correct your application to accurately
reflect your production, as described in Sec. 1033.225.
(d) Include the following information in your application:
(1) A description of the basic engine design including, but not
limited to, the engine family specifications listed in Sec. 1033.230.
For freshly manufactured locomotives, a description of the basic
locomotive design. For remanufactured locomotives, a description of the
basic locomotive designs to which the remanufacture system will be
applied. Include in your description, a list of distinguishable
configurations to be included in the engine family.
(2) An explanation of how the emission control system operates,
including detailed descriptions of:
(i) All emission control system components.
(ii) Injection or ignition timing for each notch (i.e., degrees
before or after top-dead-center), and any functional dependence of such
timing on other operational parameters (e.g., engine coolant temperature).
(iii) Each auxiliary emission control device (AECD).
(iv) All fuel system components to be installed on any production
or test locomotives.
(v) Diagnostics.
(3) A description of the test locomotive.
(4) A description of the test equipment and fuel used. Identify any
special or alternate test procedures you used.
(5) A description of the operating cycle and the period of
operation necessary to accumulate service hours on the test locomotive
and stabilize emission levels. You may also include a Green Engine
Factor that would adjust emissions from zero-hour engines to be
equivalent to stabilized engines.
(6) A description of all adjustable operating parameters
(including, but not limited to, injection timing and fuel rate),
including the following:
(i) The nominal or recommended setting and the associated
production tolerances.
(ii) The intended adjustable range, and the physically adjustable range.
(iii) The limits or stops used to limit adjustable ranges.
(iv) Production tolerances of the limits or stops used to establish
each physically adjustable range.
(v) Information relating to why the physical limits or stops used
to establish the physically adjustable range of each parameter, or any
other means used to inhibit adjustment, are the most effective means
possible of preventing adjustment of parameters to settings outside
your specified adjustable ranges on in-use engines.
(7) Projected U.S. production information for each configuration.
If you are projecting substantially different sales of a configuration
than you had previously, we may require you to explain why you are
projecting the change.
(8) All test data obtained by the manufacturer/remanufacturer on
each test engine or locomotive. As described in Sec. 1033.235, we may
allow you to demonstrate compliance based on results from previous
emission tests, development tests, or other testing information.
(9) The intended deterioration factors for the engine family, in
accordance with Sec. 1033.245. If the deterioration factors for the
engine family were developed using procedures that we have not
previously approved, you should request preliminary approval under
Sec. 1033.210.
(10) The intended useful life period for the engine family, in
accordance with Sec. 1033.101(g). If the useful life for the engine
family was determined using procedures that we have not previously
approved, you should request preliminary approval under Sec. 1033.210.
(11) Copies of your proposed emission control label(s), maintenance
instructions, and installation instructions (where applicable).
(12) An unconditional statement certifying that all locomotives
included the engine family comply with all requirements of this part
and the Clean Air Act.
(e) If we request it, you must supply such additional information
as may be required to evaluate the application.
(f) Provide the information to read, record, and interpret all the
information broadcast by a locomotive's onboard computers and
electronic control units. State that, upon request, you will give us
any hardware, software, or tools we would need to do this. You may
reference any appropriate publicly released standards that define
conventions for these messages and parameters. Format your information
consistent with publicly released standards.
(g) Include the information required by other subparts of this
part. For example, include the information required by Sec. 1033.725
if you participate in the ABT program.
(h) Include other applicable information, such as information
specified in this part or part 1068 of this chapter related to requests
for exemptions.
(i) Name an agent for service located in the United States. Service
on this agent constitutes service on you or any of your officers or
employees for any action by EPA or otherwise by the United States
related to the requirements of this part.
(j) For imported locomotives, identify the following:
(1) The port(s) at which you will import your engines.
(2) The names and addresses of the agents you have authorized to
import your engines.
(3) The location of test facilities in the United States where you
can test your engines if we select them for testing under a selective
enforcement audit, as specified in 40 CFR part 1068, subpart E.

Sec. 1033.210 Preliminary approval.

(a) If you send us information before you finish the application,
we will review it and make any appropriate determinations for questions
related to engine family definitions, auxiliary emission-control
devices, deterioration factors, testing for service accumulation,
maintenance, and useful lives.
(b) Decisions made under this section are considered to be
preliminary approval, subject to final review and approval. We will
generally not reverse a decision where we have given you preliminary
approval, unless we find new information supporting a different decision.
(c) If you request preliminary approval related to the upcoming
model year or the model year after that, we will make best-efforts to
make the appropriate determinations as soon as practicable. We will
generally not provide preliminary approval related to a future model
year more than three years ahead of time.
(d) You must obtain preliminary approval for your plan to develop
deterioration factors prior to the start of

[[Page 16051]]

any service accumulation to be used to develop the factors.

Sec. 1033.220 Amending maintenance instructions.

You may amend your emission-related maintenance instructions after
you submit your application for certification, as long as the amended
instructions remain consistent with the provisions of Sec. 1033.125.
You must send the Designated Compliance Officer a request to amend your
application for certification for an engine family if you want to
change the emission-related maintenance instructions in a way that
could affect emissions. In your request, describe the proposed changes
to the maintenance instructions. We will disapprove your request if we
determine that the amended instructions are inconsistent with
maintenance you performed on emission-data locomotives. If owners/
operators follow the original maintenance instructions rather than the
newly specified maintenance, this does not allow you to disqualify
those locomotives from in-use testing or deny a warranty claim.
(a) If you are decreasing the specified maintenance, you may
distribute the new maintenance instructions to your customers 30 days
after we receive your request, unless we disapprove your request. This
would generally include replacing one maintenance step with another. We
may approve a shorter time or waive this requirement.
(b) If your requested change would not decrease the specified
maintenance, you may distribute the new maintenance instructions
anytime after you send your request. For example, this paragraph (b)
would cover adding instructions to increase the frequency of filter
changes for locomotives in severe-duty applications.
(c) You do not need to request approval if you are making only
minor corrections (such as correcting typographical mistakes),
clarifying your maintenance instructions, or changing instructions for
maintenance unrelated to emission control. We may ask you to send us
copies of maintenance instructions revised under this paragraph (c).

Sec. 1033.225 Amending applications for certification.

Before we issue you a certificate of conformity, you may amend your
application to include new or modified locomotive configurations,
subject to the provisions of this section. After we have issued your
certificate of conformity, you may send us an amended application
requesting that we include new or modified locomotive configurations
within the scope of the certificate, subject to the provisions of this
section.
You must also amend your application if any changes occur with
respect to any information included in your application. For example,
you must amend your application if you determine that your actual
production variation for an adjustable parameter exceeds the tolerances
specified in your application.
(a) You must amend your application before you take either of the
following actions:
(1) Add a locomotive configuration to an engine family. In this
case, the locomotive added must be consistent with other locomotives in
the engine family with respect to the criteria listed in Sec.
1033.230. For example, you must amend your application if you want to
produce 12-cylinder versions of the 16-cylinder locomotives you
described in your application.
(2) Change a locomotive already included in an engine family in a
way that may affect emissions, or change any of the components you
described in your application for certification. This includes
production and design changes that may affect emissions any time during
the locomotive's lifetime. For example, you must amend your application
if you want to change a part supplier if the part was described in your
original application and is different in any material respect than the
part you described.
(3) Modify an FEL for an engine family as described in paragraph
(f) of this section.
(b) To amend your application for certification, send the
Designated Compliance Officer the following information:
(1) Describe in detail the addition or change in the locomotive
model or configuration you intend to make.
(2) Include engineering evaluations or data showing that the
amended engine family complies with all applicable requirements. You
may do this by showing that the original emission-data locomotive is
still appropriate with respect to showing compliance of the amended
family with all applicable requirements.
(3) If the original emission-data locomotive for the engine family
is not appropriate to show compliance for the new or modified
locomotive, include new test data showing that the new or modified
locomotive meets the requirements of this part.
(c) We may ask for more test data or engineering evaluations. You
must give us these within 30 days after we request them.
(d) For engine families already covered by a certificate of
conformity, we will determine whether the existing certificate of
conformity covers your new or modified locomotive. You may ask for a
hearing if we deny your request (see Sec. 1033.920).
(e) For engine families already covered by a certificate of
conformity, you may start producing the new or modified locomotive
anytime after you send us your amended application, before we make a
decision under paragraph (d) of this section. However, if we determine
that the affected locomotives do not meet applicable requirements, we
will notify you to cease production of the locomotives and may require
you to recall the locomotives at no expense to the owner. Choosing to
produce locomotives under this paragraph (e) is deemed to be consent to
recall all locomotives that we determine do not meet applicable
emission standards or other requirements and to remedy the
nonconformity at no expense to the owner. If you do not provide
information required under paragraph (c) of this section within 30
days, you must stop producing the new or modified locomotives.
(f) You may ask us to approve a change to your FEL in certain cases
after the start of production. The changed FEL may not apply to
locomotives you have already introduced into U.S. commerce, except as
described in this paragraph (f). If we approve a changed FEL after the
start of production, you must include the new FEL on the emission
control information label for all locomotives produced after the change.
You may ask us to approve a change to your FEL in the following cases:
(1) You may ask to raise your FEL for your engine family at any
time. In your request, you must show that you will still be able to
meet the emission standards as specified in subparts B and H of this
part. If you amend your application by submitting new test data to
include a newly added or modified locomotive, as described in paragraph
(b)(3) of this section, use the appropriate FELs with corresponding
production volumes to calculate your production-weighted average FEL
for the model year, as described in subpart H of this part. If you
amend your application without submitting new test data, you must use
the higher FEL for the entire family to calculate your production-
weighted average FEL under subpart H of this part.
(2) You may ask to lower the FEL for your emission family only if
you have test data from production locomotives

[[Page 16052]]

showing that emissions are below the proposed lower FEL. The lower FEL
applies only to engines or fuel-system components you produce after we
approve the new FEL. Use the appropriate FELs with corresponding
production volumes to calculate your production-weighted average FEL
for the model year, as described in subpart H of this part.

Sec. 1033.230 Grouping locomotives into engine families.

(a) Divide your product line into engine families of locomotives
that are expected to have similar emission characteristics throughout
the useful life. Your engine family is limited to a single model year.
Freshly manufactured locomotives may not be included in the same engine
family as remanufactured locomotives, except as allowed by paragraph
(f) of this section.
(b) This paragraph (b) applies for all locomotives other than Tier
0 locomotives. Group locomotives in the same engine family if they are
the same in all the following aspects:
(1) The combustion cycle (e.g., diesel cycle).
(2) The type of engine cooling employed and procedure(s) employed
to maintain engine temperature within desired limits (thermostat, on-
off radiator fan(s), radiator shutters, etc.).
(3) The bore and stroke dimensions.
(4) The approximate intake and exhaust event timing and duration
(valve or port).
(5) The location of the intake and exhaust valves (or ports).
(6) The size of the intake and exhaust valves (or ports).
(7) The overall injection or ignition timing characteristics (i.e.,
the deviation of the timing curves from the optimal fuel economy timing
curve must be similar in degree).
(8) The combustion chamber configuration and the surface-to-volume
ratio of the combustion chamber when the piston is at top dead center
position, using nominal combustion chamber dimensions.
(9) The location of the piston rings on the piston.
(10) The method of air aspiration (turbocharged, supercharged,
naturally aspirated, Roots blown).
(11) The general performance characteristics of the turbocharger or
supercharger (e.g., approximate boost pressure, approximate response
time, approximate size relative to engine displacement).
(12) The type of air inlet cooler (air-to-air, air-to-liquid,
approximate degree to which inlet air is cooled).
(13) The intake manifold induction port size and configuration.
(14) The type of fuel and fuel system configuration.
(15) The configuration of the fuel injectors and approximate
injection pressure.
(16) The type of fuel injection system controls (i.e., mechanical
or electronic).
(17) The type of smoke control system.
(18) The exhaust manifold port size and configuration.
(19) The type of exhaust aftertreatment system (oxidation catalyst,
particulate trap), and characteristics of the aftertreatment system
(catalyst loading, converter size vs. engine size).
(c) Group Tier 0 locomotives in the same engine family if they are
the same in all the following aspects:
(1) The combustion cycle (e.g., diesel cycle).
(2) The type of engine cooling employed and procedure(s) employed
to maintain engine temperature within desired limits (thermostat, on-
off radiator fan(s), radiator shutters, etc.).
(3) The approximate bore and stroke dimensions.
(4) The approximate location of the intake and exhaust valves (or
ports).
(5) The combustion chamber general configuration and the
approximate surface-to-volume ratio of the combustion chamber when the
piston is at top dead center position, using nominal combustion chamber
dimensions.
(6) The method of air aspiration (turbocharged, supercharged,
naturally aspirated, Roots blown).
(7) The type of air inlet cooler (air-to-air, air-to-liquid,
approximate degree to which inlet air is cooled).
(8) The type of fuel and general fuel system configuration.
(9) The general configuration of the fuel injectors and approximate
injection pressure.
(10) The type of fuel injection system control (electronic or
mechanical).
(d) You may subdivide a group of locomotives that is identical
under paragraph (b) or (c) of this section into different engine
families if you show the expected emission characteristics are
different during the useful life. For the purposes of determining
whether an engine family is a small engine family in Sec.
1033.405(a)(2), we will consider the number of locomotives that could
have been classed together under paragraph (b) or (c) of this section,
instead of the number of locomotives that are included in a subdivision
allowed by this paragraph (d).
(e) In unusual circumstances, you may group locomotives that are
not identical with respect to the things listed in paragraph (b) or (c)
of this section in the same engine family if you show that their
emission characteristics during the useful life will be similar.
(f) During the first five calendar years after a new tier of
standards become applicable, remanufactured engines may be included in
the same engine family as freshly manufactured locomotives, provided
such engines are used for locomotive models included in the engine family.

Sec. 1033.235 Emission testing required for certification.

This section describes the emission testing you must perform to
show compliance with the emission standards in Sec. 1033.101.
(a) Test your emission-data locomotives using the procedures and
equipment specified in subpart F of this part.
(b) Select an emission-data locomotive (or engine) from each engine
family for testing. It may be a low mileage locomotive, or a
development engine (that is equivalent in design to the engines of the
locomotives being certified), or another low hour engine. Use good
engineering judgment to select the locomotive configuration that is
most likely to exceed (or have emissions nearest to) an applicable
emission standard or FEL. In making this selection, consider all
factors expected to affect emission control performance and compliance
with the standards, including emission levels of all exhaust
constituents, especially NO_X and PM.
(c) We may measure emissions from any of your test locomotives or
other locomotives from the engine family.
(1) We may decide to do the testing at your plant or any other
facility. If we do this, you must deliver the test locomotive to a test
facility we designate. If we do the testing at your plant, you must
schedule it as soon as possible and make available the instruments,
personnel, and equipment we need.
(2) If we measure emissions from one of your test locomotives, the
results of that testing become the official emission results for the
locomotive. Unless we later invalidate these data, we may decide not to
consider your data in determining if your engine family meets
applicable requirements.
(3) Before we test one of your locomotives, we may set its
adjustable parameters to any point within the adjustable ranges (see
Sec. 1033.115(b)).
(4) Before we test one of your locomotives, we may calibrate it
within normal production tolerances for anything we do not consider an
adjustable parameter.

[[Page 16053]]

(d) You may ask to use emission data from a previous model year
instead of doing new tests if all the following are true:
(1) The engine family from the previous model year differs from the
current engine family only with respect to model year, or other factors
not related to emissions. You may include additional configurations
subject to the provisions of Sec. 1033.225.
(2) The emission-data locomotive from the previous model year
remains the appropriate emission-data locomotive under paragraph (b) of
this section.
(3) The data show that the emission-data locomotive would meet all
the requirements that apply to the engine family covered by the
application for certification.
(e) We may require you to test a second locomotive of the same or
different configuration in addition to the locomotive tested under
paragraph (b) of this section.
(f) If you use an alternate test procedure under 40 CFR 1065.10 and
later testing shows that such testing does not produce results that are
equivalent to the procedures specified in subpart F of this part, we
may reject data you generated using the alternate procedure.

Sec. 1033.240 Demonstrating compliance with exhaust emission standards.

(a) For purposes of certification, your engine family is considered
in compliance with the applicable numerical emission standards in Sec.
1033.101 if all emission-data locomotives representing that family have
test results showing deteriorated emission levels at or below these
standards.
(1) If you include your locomotive in the ABT program in subpart H
of this part, your FELs are considered to be the applicable emission
standards with which you must comply.
(2) If you do not include your locomotive in the ABT program in
subpart H of this part, but it was previously included in the ABT
program in subpart H of this part, the previous FELs are considered to
be the applicable emission standards with which you must comply.
(b) Your engine family is deemed not to comply if any emission-data
locomotive representing that family has test results showing a
deteriorated emission level above an applicable FEL or emission
standard from Sec. 1033.101 for any pollutant. Use the following steps
to determine the deteriorated emission level for the test locomotive:
(1) Collect emission data using measurements with enough
significant figures to calculate the cycle-weighted emission rate to at
least one more decimal place than the applicable standard. Apply any
applicable humidity corrections before weighting emissions.
(2) Apply the regeneration factors if applicable. At this point the
emission rate is generally considered to be an official emission result.
(3) Apply the deterioration factor to the official emission result,
as described in Sec. 1033.245, then round the adjusted figure to the
same number of decimal places as the emission standard. This adjusted
value is the deteriorated emission level. Compare these emission levels
from the emission-data locomotive with the applicable emission
standards. In the case of NO_X+NMHC standards, apply the
deterioration factor to each pollutant and then add the results before
rounding.
(4) The highest deteriorated emission levels for each pollutant are
considered to be the certified emission levels.

Sec. 1033.245 Deterioration factors.

Establish deterioration factors for each pollutant to determine
whether your locomotives will meet emission standards for each
pollutant throughout the useful life, as described in Sec. Sec.
1033.101 and 1033.240. Determine deterioration factors as described in
this section, either with an engineering analysis, with pre-existing
test data, or with new emission measurements. The deterioration factors
are intended to reflect the deterioration expected to result during the
useful life of a locomotive maintained as specified in Sec. 1033.125.
If you perform durability testing, the maintenance that you may perform
on your emission-data locomotive is limited to the maintenance
described in Sec. 1033.125.
(a) Your deterioration factors must take into account any available
data from in-use testing with similar locomotives, consistent with good
engineering judgment. For example, it would not be consistent with good
engineering judgment to use deterioration factors that predict emission
increases over the useful life of a locomotive or locomotive engine
that are significantly less than the emission increases over the useful
life observed from in-use testing of similar locomotives.
(b) Deterioration factors may be additive or multiplicative.
(1) Additive deterioration factor for exhaust emissions. Except as
specified in paragraph (b)(2) of this section, use an additive
deterioration factor for exhaust emissions. An additive deterioration
factor for a pollutant is the difference between exhaust emissions at
the end of the useful life and exhaust emissions at the low-hour test
point. In these cases, adjust the official emission results for each
tested locomotive at the selected test point by adding the factor to
the measured emissions. The deteriorated emission level is intended to
represent the highest emission level during the useful life. Thus, if
the factor is less than zero, use zero. Additive deterioration factors
must be specified to one more decimal place than the applicable standard.
(2) Multiplicative deterioration factor for exhaust emissions. Use
a multiplicative deterioration factor if good engineering judgment
calls for the deterioration factor for a pollutant to be the ratio of
exhaust emissions at the end of the useful life to exhaust emissions at
the low-hour test point. For example, if you use aftertreatment
technology that controls emissions of a pollutant proportionally to
engine-out emissions, it is often appropriate to use a multiplicative
deterioration factor. Adjust the official emission results for each
tested locomotive at the selected test point by multiplying the
measured emissions by the deterioration factor. The deteriorated
emission level is intended to represent the highest emission level
during the useful life. Thus, if the factor is less than one, use one.
A multiplicative deterioration factor may not be appropriate in
cases where testing variability is significantly greater than
locomotive-to-locomotive variability. Multiplicative deterioration
factors must be specified to one more significant figure than the
applicable standard.
(c) Deterioration factors for smoke are always additive.
(d) If your locomotive vents crankcase emissions to the exhaust or
to the atmosphere, you must account for crankcase emission
deterioration, using good engineering judgment. You may use separate
deterioration factors for crankcase emissions of each pollutant (either
multiplicative or additive) or include the effects in combined
deterioration factors that include exhaust and crankcase emissions
together for each pollutant.
(e) Include the following information in your application for
certification:
(1) If you use test data from a different engine family, explain
why this is appropriate and include all the emission measurements on
which you base the deterioration factor.
(2) If you determine your deterioration factors based

[[Page 16054]]

onengineering analysis, explain why this is appropriate and include a
statement that all data, analyses, evaluations, and other information
you used are available for our review upon request.
(3) If you do testing to determine deterioration factors, describe
the form and extent of service accumulation, including a rationale for
selecting the service-accumulation period and the method you use to
accumulate hours.

Sec. 1033.250 Reporting and recordkeeping.

(a) Within 45 days after the end of the model year, send the
Designated Compliance Officer a report describing the following
information about locomotives you produced during the model year:
(1) Report the total number of locomotives you produced in each
engine family by locomotive model and engine model.
(2) If you produced exempted locomotives, report the number of
exempted locomotives you produced for each locomotive model and
identify the buyer or shipping destination for each exempted locomotive.
(b) Organize and maintain the following records:
(1) A copy of all applications and any summary information you send us.
(2) Any of the information we specify in Sec. 1033.205 that you
were not required to include in your application.
(3) A detailed history of each emission-data locomotive. For each
locomotive, describe all of the following:
(i) The emission-data locomotive's construction, including its
origin and buildup, steps you took to ensure that it represents
production locomotives, any components you built specially for it, and
all the components you include in your application for certification.
(ii) How you accumulated locomotive operating hours (service
accumulation), including the dates and the number of hours accumulated.
(iii) All maintenance, including modifications, parts changes, and
other service, and the dates and reasons for the maintenance.
(iv) All your emission tests, including documentation on routine
and standard tests, as specified in part 40 CFR part 1065, and the date
and purpose of each test.
(v) All tests to diagnose locomotive or emission control
performance, giving the date and time of each and the reasons for the test.
(vi) Any other significant events.
(4) If you test a development engine for certification, you may
omit information otherwise required by paragraph (b)(3) of this section
that is unrelated to emissions and emission-related components.
(5) Production figures for each engine family divided by assembly plant.
(6) Keep a list of locomotive identification numbers for all the
locomotives you produce under each certificate of conformity.
(c) Keep data from routine emission tests (such as test cell
temperatures and relative humidity readings) for one year after we
issue the associated certificate of conformity. Keep all other
information specified in paragraph (a) of this section for eight years
after we issue your certificate.
(d) Store these records in any format and on any media, as long as
you can promptly send us organized, written records in English if we
ask for them. You must keep these records readily available. We may
review them at any time.
(e) Send us copies of any locomotive maintenance instructions or
explanations if we ask for them.

Sec. 1033.255 EPA decisions.

(a) If we determine your application is complete and shows that the
engine family meets all the requirements of this part and the Clean Air
Act, we will issue a certificate of conformity for your engine family
for that model year. We may make the approval subject to additional
conditions.
(b) We may deny your application for certification if we determine
that your engine family fails to comply with emission standards or
other requirements of this part or the Clean Air Act. Our decision may
be based on a review of all information available to us. If we deny
your application, we will explain why in writing.
(c) In addition, we may deny your application or suspend or revoke
your certificate if you do any of the following:
(1) Refuse to comply with any testing or reporting requirements.
(2) Submit false or incomplete information (paragraph (e) of this
section applies if this is fraudulent).
(3) Render inaccurate any test data.
(4) Deny us from completing authorized activities. This includes a
failure to provide reasonable assistance.
(5) Produce locomotives for importation into the United States at a
location where local law prohibits us from carrying out authorized
activities.
(6) Fail to supply requested information or amend your application
to include all locomotives being produced.
(7) Take any action that otherwise circumvents the intent of the
Clean Air Act or this part.
(d) We may void your certificate if you do not keep the records we
require or do not give us information when we ask for it.
(e) We may void your certificate if we find that you intentionally
submitted false or incomplete information.
(f) If we deny your application or suspend, revoke, or void your
certificate, you may ask for a hearing (see Sec. 1033.920).

Subpart D--Manufacturer and Remanufacturer Production Line Testing
and Audit Programs

Sec. 1033.301 Applicability.

The requirements of this subpart of this part apply to
manufacturers/remanufacturers of locomotives certified under this part,
with the following exceptions:
(a) The requirements of Sec. Sec. 1033.310 1033.315, 1033.320,
1033.325, and 1033.335 apply only to manufacturers of freshly
manufactured locomotives or locomotive engines (including those used
for repowering). We may also apply these requirements to
remanufacturers of any locomotives for which there is reason to believe
production problems exist that could affect emission performance. When
we make a determination that production problems may exist that could
affect emission performance, we will notify the remanufacturer(s). The
requirements of Sec. Sec. 1033.305, 1033.310, 1033.315, 1033.320,
1033.325, and 1033.335 will apply as specified in the notice.
(b) The requirements of Sec. 1033.340 apply only to remanufacturers.
(c) As specified in Sec. 1033.1(d), we may apply the requirements
of this subpart to manufacturers/remanufacturers that do not certify
the locomotives. However, unless we specify otherwise, the requirements
of this subpart apply to manufacturers/remanufacturers that hold the
certificates for the locomotives.

Sec. 1033.305 General requirements.

(a) Manufacturers (and remanufacturers, where applicable) are
required to test production line locomotives using the test procedures
specified in Sec. 1033.315. While this subpart refers to locomotive
testing, you may test locomotive engines instead of testing
locomotives, unless we specifically require you to conduct production
line testing on locomotives. If we determine that locomotive testing is
required, we will notify you and will specify how to complete the
testing (including specifying the time period in which you must
complete the testing).
(b) Remanufacturers are required to conduct audits according to the

[[Page 16055]]

requirements of Sec. 1033.340 to ensure that remanufactured
locomotives comply with the requirements of this part.
(c) If you certify an engine family with carryover emission data,
as described in Sec. 1033.235, and these equivalent engine families
consistently pass the production-line testing requirements over the
preceding two-year period, you may ask for a reduced testing rate for
further production-line testing for that family. If we reduce your
testing rate, we may limit our approval to any number of model years.
In determining whether to approve your request, we may consider the
number of locomotives that have failed emission tests.
(d) You may ask to use an alternate program for testing production-
line locomotives. In your request, you must show us that the alternate
program gives equal assurance that your locomotives meet the
requirements of this part. If we approve your alternate program, we may
waive some or all of this subpart's requirements.

Sec. 1033.310 Sample selection for testing.

(a) At the start of each model year, begin randomly selecting
locomotives from each engine family for production line testing at a
rate of one percent. Make the selection of the test locomotive after it
has been assembled. Perform the testing throughout the entire model
year to the extent possible.
(1) The required sample size for an engine family (provided that no
engine tested fails to meet applicable emission standards) is the
lesser of five tests per model year or one percent of projected annual
production, with a minimum sample size for an engine family of one test
per model year. See paragraph (d) of this section to determine the
required number of test locomotives if any locomotives fail to comply
with any standards.
(2) You may elect to test additional locomotives. All additional
locomotives must be tested in accordance with the applicable test
procedures of this part.
(b) You must assemble the test locomotives using the same
production process that will be used for locomotives to be introduced
into commerce. You may ask us to allow special assembly procedures for
catalyst equipped locomotives.
(c) Unless we approve it, you may not use any quality control,
testing, or assembly procedures that you do not use during the
production and assembly of all other locomotives of that family. This
applies for any test locomotive or any portion of a locomotive,
including engines, parts, and subassemblies.
(d) If one or more locomotives fail a production line test, then
you must test two additional locomotives from the next fifteen produced
in that engine family for each locomotive that fails. For example, if
you are required to test four locomotives under paragraph (a) of this
section and the second locomotive fails to comply with one or more
standards, then you must test two additional locomotives from the next
fifteen produced in that engine family. If both of those locomotive
pass all standards, you are required to test two additional locomotive.
If they both pass, you are done with testing for that family for the
year since you tested six locomotives (the four originally required
plus the two additional locomotives).

Sec. 1033.315 Test procedures.

(a) Test procedures. Use the test procedures described in subpart F
of this part, except as specified in this section.
(1) You may ask to use test other procedures. We will approve your
request if we determine that it is not possible to perform satisfactory
testing using the specified procedures. We may also approve alternate
test procedures under Sec. 1033.305(d).
(2) If you used test procedures other than those in subpart F of
this part during certification for the engine family (other than
alternate test procedures necessary for testing a development engine or
a low hour engine instead of a low mileage locomotive), use the same
test procedures for production line testing that you used in certification.
(b) Modifying a test locomotive. Once an engine is selected for
testing, you may adjust, repair, maintain, or modify it or check its
emissions only if one of the following is true:
(1) You document the need for doing so in your procedures for
assembling and inspecting all your production engines and make the
action routine for all the engines in the engine family.
(2) This subpart otherwise specifically allows your action.
(3) We approve your action in advance.
(c) Adjustable parameters. (1) Confirm that adjustable parameters
are set to values or positions that are within the range recommended to
the ultimate purchaser.
(2) We may require to be adjusted any adjustable parameter to any
setting within the specified adjustable range of that parameter prior
to the performance of any test.
(d) Stabilizing emissions. You may stabilize emissions from the
locomotives to be tested through service accumulation by running the
engine through a typical duty cycle. Emissions are considered
stabilized after 300 hours of operation. You may accumulate fewer
hours, consistent with good engineering judgment. You may establish a
green engine factor for each regulated pollutant for each engine
family, instead of (or in combination with) accumulating actual
operation, to be used in calculating emissions test results. You must
obtain our approval prior to using a green engine factor.
(e) Adjustment after shipment. If a locomotive is shipped to a
facility other than the production facility for production line
testing, and an adjustment or repair is necessary because of such
shipment, you may perform the necessary adjustment or repair only after
the initial test of the locomotive, unless we determine that the test
would be impossible to perform or would permanently damage the locomotive.
(f) Malfunctions. If a locomotive cannot complete the service
accumulation or an emission test because of a malfunction, you may
request that we authorize either the repair of that locomotive or its
deletion from the test sequence.
(g) Retesting. If you determine that any production line emission
test of a locomotive is invalid, you must retest it in accordance with
the requirements of this subpart. Report emission results from all
tests to us, including test results you determined are invalid. You
must also include a detailed explanation of the reasons for
invalidating any test in the quarterly report required in Sec.
1033.325(e). In the event a retest is performed, you may ask us within
ten days of the end of the production quarter for permission to
substitute the after-repair test results for the original test results.
We will respond to the request within ten working days of our receipt
of the request.

Sec. 1033.325 Calculation and reporting of test results.

(a) Calculate initial test results using the applicable test
procedure specified in Sec. 1033.315(a). Include applicable non-
deterioration adjustments such as a green engine factor or regeneration
adjustment factor. Round the results to the number of decimal places in
the applicable emission standard expressed to one additional
significant figure.
(b) If you conduct multiple tests on any locomotives, calculate
final test results by summing the initial test results derived in
paragraph (a) of this section for each test locomotive, dividing by the
number of tests conducted on the locomotive, and

[[Page 16056]]

rounding to the same number of decimal places in the applicable
standard expressed to one additional significant figure.
(c) Calculate the final test results for each test locomotive by
applying the appropriate deterioration factors, derived in the
certification process for the engine family, to the final test results,
and rounding to the same number of decimal places in the applicable
standard expressed to one additional significant figure.
(d) If, subsequent to an initial failure of a production line test,
the average of the test results for the failed locomotive and the two
additional locomotives tested, is greater than any applicable emission
standard or FEL, the engine family is deemed to be in non-compliance
with applicable emission standards, and you must notify us within ten
working days of such noncompliance.
(e) Within 45 calendar days of the end of each quarter, you must
send to the Designated Compliance Officer a report with the following
information:
(1) The location and description of the emission test facilities
which you used to conduct your testing.
(2) Total production and sample size for each engine family tested.
(3) The applicable standards against which each engine family was
tested.
(4) For each test conducted, include all of the following:
(i) A description of the test locomotive, including:
(A) Configuration and engine family identification.
(B) Year, make, and build date.
(C) Engine identification number.
(D) Number of megawatt-hours (or miles if applicable) of service
accumulated on locomotive prior to testing.
(E) Description of green engine factor; how it is determined and
how it is applied.
(ii) Location(s) where service accumulation was conducted and
description of accumulation procedure and schedule, if applicable.
(iii) Test number, date, test procedure used, initial test results
before and after rounding, and final test results for all production
line emission tests conducted, whether valid or invalid, and the reason
for invalidation of any test results, if applicable.
(iv) A complete description of any adjustment, modification,
repair, preparation, maintenance, and testing which was performed on
the test locomotive, has not been reported pursuant to any other
paragraph of this subpart, and will not be performed on other
production locomotives.
(v) Any other information we may ask you to add to your written
report so we can determine whether your new engines conform with the
requirements of this subpart.
(5) For each failed locomotive as defined in Sec. 1033.335(a), a
description of the remedy and test results for all retests as required
by Sec. 1033.345(g).
(6) The following signed statement and endorsement by an authorized
representative of your company:

We submit this report under sections 208 and 213 of the Clean
Air Act. Our production-line testing conformed completely with the
requirements of 40 CFR part 1033. We have not changed production
processes or quality-control procedures for the test locomotives in
a way that might affect emission controls. All the information in
this report is true and accurate to the best of my knowledge. I know
of the penalties for violating the Clean Air Act and the
regulations. (Authorized Company Representative)

Sec. 1033.330 Maintenance of records; submittal of information.

(a) You must establish, maintain, and retain the following
adequately organized and indexed test records:
(1) A description of all equipment used to test locomotives. The
equipment requirements in subpart F of this part apply to tests
performed under this subpart. Maintain these records for each test cell
that can be used to perform emission testing under this subpart.
(2) Individual test records for each production line test or audit
including:
(i) The date, time, and location of each test or audit.
(ii) The method by which the green engine factor was calculated or
the number of hours of service accumulated on the test locomotive when
the test began and ended.
(iii) The names of all supervisory personnel involved in the
conduct of the production line test or audit;
(iv) A record and description of any adjustment, repair,
preparation or modification performed on test locomotives, giving the
date, associated time, justification, name(s) of the authorizing
personnel, and names of all supervisory personnel responsible for the
conduct of the action.
(v) If applicable, the date the locomotive was shipped from the
assembly plant, associated storage facility or port facility, and the
date the locomotive was received at the testing facility.
(vi) A complete record of all emission tests or audits performed
under to this subpart (except tests performed directly by us),
including all individual worksheets and/or other documentation relating
to each test, or exact copies thereof, according to the record
requirements specified in subpart F of this part and 40 CFR part 1065.
(vii) A brief description of any significant events during testing
not otherwise described under this paragraph (a)(2), commencing with
the test locomotive selection process and including such extraordinary
events as engine damage during shipment.
(b) Keep all records required to be maintained under this subpart
for a period of eight years after completion of all testing. Store
these records in any format and on any media, as long as you can
promptly provide to us organized, written records in English if we ask
for them and all the information is retained.
(c) Send us the following information with regard to locomotive
production if we ask for it:
(1) Projected production for each configuration within each engine
family for which certification has been requested and/or approved.
(2) Number of locomotives, by configuration and assembly plant,
scheduled for production.
(d) Nothing in this section limits our authority to require you to
establish, maintain, keep or submit to us information not specified by
this section.
(e) Send all reports, submissions, notifications, and requests for
approval made under this subpart to the Designated Compliance Officer
using an approved format.
(f) You must keep a copy of all reports submitted under this subpart.

Sec. 1033.335 Compliance with criteria for production line testing.

There are two types of potential failures: failure of an individual
locomotive to comply with the standards, and a failure of an engine
family to comply with the standards.
(a) A failed locomotive is one whose final test results pursuant to
Sec. 1033.325(c), for one or more of the applicable pollutants, exceed
an applicable emission standard or FEL.
(b) An engine family is deemed to be in noncompliance, for purposes
of this subpart, if at any time throughout the model year, the average
of an initial failed locomotive and the two additional locomotives
tested, is greater than any applicable emission standard or FEL.

Sec. 1033.340 Remanufactured locomotives: installation audit requirements.

The section specifies the requirements for certifying
remanufacturers to audit the remanufacture of locomotives covered by
their certificates of conformity for proper components,

[[Page 16057]]

component settings and component installations on randomly chosen
locomotives in an engine family.
(a) You must ensure that all emission related components are
properly installed on the locomotive and are set to the proper
specification as indicated in your instructions. You may summit audits
performed by the owners or operators of the locomotives, provided the
audits are performed in accordance with the provisions of this section.
(b) Audit at least five percent of your annual sales per model year
per installer or ten per engine family per installer, whichever is
less. You must perform more audits if there are any failures. Randomly
select the locomotives to be audited after the remanufacture is
complete. We may allow you to select locomotives prior to the
completion of the remanufacture, if the preselection would not have the
potential to affect the manner in which the locomotive was
remanufactured (e.g., where the installer is not aware of the selection
prior to the completion of the remanufacture).
(c) The remanufactured locomotive may accumulate no more than
10,000 miles prior to an audit.
(d) A locomotive fails if any emission related components are found
to be improperly installed, improperly adjusted or incorrectly used.
(e) If a remanufactured locomotive fails an audit, then you must
audit two additional locomotives from the next ten remanufactured in
that engine family by that installer.
(f) An engine family is determined to have failed an audit, if at
any time during the model year, you determine that the three
locomotives audited are found to have had any improperly installed,
improperly adjusted or incorrectly used components. You must notify us
within 2 working days of a determination of an engine family audit failure.
(g) Within 30 calendar days of the end of each quarter, each
remanufacturer must send the Designated Compliance Officer a report
which includes the following information:
(1) The location and description of your audit facilities which
were utilized to conduct auditing reported pursuant to this section;
(2) Total production and sample size for each engine family;
(3) The applicable standards and/or FELs against which each engine
family was audited;
(4) For each audit conducted:
(i) A description of the audited locomotive, including:
(A) Configuration and engine family identification;
(B) Year, make, build date, and remanufacture date; and
(C) Engine identification number;
(ii) Any other information we request relevant to the determination
whether the new locomotives being remanufactured do in fact conform
with the regulations with respect to which the certificate of
conformity was issued;
(5) For each failed locomotive as defined in paragraph (d) of this
section, a description of the remedy as required by Sec. 1033.345(g);
(6) The following signed statement and endorsement by your
authorized representative:
We submit this report under sections 208 and 213 of the Clean Air
Act. Our production-line auditing conformed completely with the
requirements of 40 CFR part 1033. We have not changed production
processes or quality-control procedures for the audited locomotives in
a way that might affect emission controls. All the information in this
report is true and accurate to the best of my knowledge. I know of the
penalties for violating the Clean Air Act and the regulations.
(Authorized Company Representative)

Sec. 1033.345 Suspension and revocation of certificates of conformity.

(a) A certificate can be suspended for an individual locomotive as
follows:
(1) The certificate of conformity is automatically suspended for
any locomotive that fails a production line test pursuant to Sec.
1033.335(a), effective from the time the testing of that locomotive is
completed.
(2) The certificate of conformity is automatically suspended for
any locomotive that fails an audit pursuant to Sec. 1033.340(d),
effective from the time that auditing of that locomotive is completed.
(b) A certificate can be suspended for an engine family as follows:
(1) We may suspend the certificate of conformity for an engine
family that is in noncompliance pursuant to Sec. 1033.335(b), thirty
days after the engine family is deemed to be in noncompliance.
(2) We may suspend the certificate of conformity for an engine
family that is determined to have failed an audit pursuant to Sec.
1033.340(f). This suspension will not occur before thirty days after
the engine family is deemed to be in noncompliance.
(c) If we suspend your certificate of conformity for an engine
family, the suspension may apply to all facilities producing engines
from an engine family, even if you find noncompliant engines only at
one facility.
(d) We may revoke a certificate of conformity for any engine family
in whole or in part if:
(1) You fail to comply with any of the requirements of this subpart.
(2) You submit false or incomplete information in any report or
information provided to us under this subpart.
(3) You render inaccurate any test data submitted under this subpart.
(4) An EPA enforcement officer is denied the opportunity to conduct
activities authorized in this subpart.
(5) An EPA enforcement officer is unable to conduct authorized
activities for any reason.
(e) We will notify you in writing of any suspension or revocation
of a certificate of conformity in whole or in part; a suspension or
revocation is effective upon receipt of such notification or thirty
days from the time an engine family is deemed to be in noncompliance
under Sec. Sec. 1033.325(d), 1033.335(a), 1033.335(b), or 1033.340(f)
is made, whichever is earlier, except that the certificate is
immediately suspended with respect to any failed locomotives as
provided for in paragraph (a) of this section.
(f) We may revoke a certificate of conformity for an engine family
when the certificate has been suspended under paragraph (b) or (c) of
this section if the remedy is one requiring a design change or changes
to the locomotive, engine and/or emission control system as described
in the application for certification of the affected engine family.
(g) Once a certificate has been suspended for a failed locomotive,
as provided for in paragraph (a) of this section, you must take all the
following actions before the certificate is reinstated for that failed
locomotive:
(1) Remedy the nonconformity.
(2) Demonstrate that the locomotive conforms to applicable
standards or family emission limits by retesting, or reauditing if
applicable, the locomotive in accordance with this part.
(3) Submit a written report to us after successful completion of
testing (or auditing, if applicable) on the failed locomotive, which
contains a description of the remedy and testing (or auditing) results
for each locomotive in addition to other information that may be
required by this part.
(h) Once a certificate for a failed engine family has been
suspended pursuant to paragraph (b) or (c) of this section, you must
take the following actions before we will consider reinstating the
certificate:
(1) Submit a written report to us identifying the reason for the
noncompliance of the locomotives,

[[Page 16058]]

describing the remedy, including a description of any quality control
measures you will use to prevent future occurrences of the problem, and
stating the date on which the remedies will be implemented.
(2) Demonstrate that the engine family for which the certificate of
conformity has been suspended does in fact comply with the regulations
of this part by testing (or auditing) locomotives selected from normal
production runs of that engine family. Such testing (or auditing) must
comply with the provisions of this subpart. If you elect to continue
testing (or auditing) individual locomotives after suspension of a
certificate, the certificate is reinstated for any locomotive actually
determined to be in conformance with the applicable standards or family
emission limits through testing (or auditing) in accordance with the
applicable test procedures, provided that we have not revoked the
certificate under paragraph (f) of this section.
(i) If the certificate has been revoked for an engine family, you
must take the following actions before we will issue a certificate that
would allow you to continue introduction into commerce of a modified
version of that family:
(1) If we determine that the change(s) in locomotive design may
have an effect on emission deterioration, we will notify you within
five working days after receipt of the report in paragraph (h) of this
section, whether subsequent testing/auditing under this subpart will be
sufficient to evaluate the change(s) or whether additional testing (or
auditing) will be required.
(2) After implementing the change or changes intended to remedy the
nonconformity, you must demonstrate that the modified engine family
does in fact conform with the regulations of this part by testing
locomotives (or auditing for remanufactured locomotives) selected from
normal production runs of that engine family. When both of these
requirements are met, we will reissue the certificate or issue a new
certificate. If this subsequent testing (or auditing) reveals failing
data the revocation remains in effect.
(j) At any time subsequent to an initial suspension of a
certificate of conformity for a test or audit locomotive pursuant to
paragraph (a) of this section, but not later than 30 days (or such
other period as we may allow) after the notification, our decision to
suspend or revoke a certificate of conformity in whole or in part
pursuant to paragraphs (b), (c), or (f) of this section, you may
request a hearing as to whether the tests or audits have been properly
conducted or any sampling methods have been properly applied. (See
Sec. 1033.920.)
(k) Any suspension of a certificate of conformity under paragraphs
(a) through (d) of this section will be made only after you have been
offered an opportunity for a hearing conducted in accordance with Sec.
1033.920. It will not apply to locomotives no longer in your possession.
(l) If we suspend, revoke, or void a certificate of conformity, and
you believe that our decision was based on erroneous information, you
may ask us to reconsider our decision before requesting a hearing. If
you demonstrate to our satisfaction that our decision was based on
erroneous information, we will reinstate the certificate.
(m) We may conditionally reinstate the certificate for that family
so that you do not have to store non-test locomotives while conducting
subsequent testing or auditing of the noncomplying family subject to
the following condition: you must commit to recall all locomotives of
that family produced from the time the certificate is conditionally
reinstated if the family fails subsequent testing, or auditing if
applicable, and must commit to remedy any nonconformity at no expense
to the owner.

Subpart E--In-use Testing

Sec. 1033.401 Applicability.

The requirements of this subpart are applicable to certificate
holders for locomotives subject to the provisions of this part. These
requirements may also be applied to other manufacturers/remanufacturers
as specified in Sec. 1033.1(d).

Sec. 1033.405 General provisions.

(a) Each year, we will identify engine families and configurations
within families that you must test according to the requirements of
this section.
(1) We may require you to test one engine family each year for
which you have received a certificate of conformity. If you are a
manufacturer that holds certificates of conformity for both freshly
manufactured and remanufactured locomotive engine families, we may
require you to test one freshly manufactured engine family and one
remanufactured engine family. We may require you to test additional
engine families if we have reason to believe that locomotives in such
families do not comply with emission standards in use.
(2) For engine families of less than 10 locomotives per year, no
in-use testing will be required, unless we have reason to believe that
those engine families are not complying with the applicable emission
standards in use.
(b) Test a sample of in-use locomotives from an engine family, as
specified in Sec. 1033.415. We will use these data, and any other data
available to us, to determine the compliance status of classes of
locomotives, including for purposes of recall under 40 CFR part 1068,
and whether remedial action is appropriate.

Sec. 1033.410 In-use test procedure.

(a) You must test the complete locomotives; you may not test
engines that are not installed in locomotives at the time of testing.
(b) Test the locomotive according to the test procedures outlined
in subpart F of this part, except as provided in this section.
(c) Use the same test procedures for in-use testing as were used
for certification, except for cases in which certification testing was
not conducted with a locomotive, but with a development engine or other
engine. In such cases, we will specify deviations from the
certification test procedures as appropriate. We may allow or require
other alternate procedures, with advance approval.
(d) Set all adjustable locomotive or engine parameters to values or
positions that are within the range specified in the certificate of
conformity. We may require you to set these parameters to specific values.
(e) We may waive portions of the applicable test procedure that are
not necessary to determine in-use compliance.

Sec. 1033.415 General testing requirements.

(a) Number of locomotives to be tested. Determine the number of
locomotives to be tested by the following method:
(1) Test a minimum of 2 locomotives per engine family, except as
provided in paragraph (a)(2) of this section. You must test additional
locomotives if any locomotives fail to meet any standard. Test 2 more
locomotives for each failing locomotive, but stop testing if the total
number of locomotives tested equals 10.
(2) If an engine family has been certified using carry over
emission data from a family that has been previously tested under
paragraph (a)(1) of this section (and we have not ordered or begun to
negotiate remedial action of that family), you need to test only one
locomotive per engine family. If that locomotive fails to meet
applicable standards for any pollutant, testing for that engine family
must be conducted as outlined under paragraph (a)(1) of this section.

[[Page 16059]]

(3) You may ask us to allow you to test more locomotives than the
minimum number described above or may concede failure before testing 10
locomotives.
(b) Compliance criteria. We will consider failure rates, average
emission levels and the existence of any defects among other factors in
determining whether to pursue remedial action. We may order a recall
pursuant to 40 CFR part 1068 before testing reaches the tenth locomotive.
(c) Collection of in-use locomotives. Procure in-use locomotives
that have been operated for 50 to 75 percent of the locomotive's useful
life for testing under this subpart. Complete testing required by this
section for any engine family before useful life of the locomotives in
the engine family passes.

(Note: Sec. 1033.820 specifies that railroads must make
reasonable efforts to enable you to perform this testing.)

Sec. 1033.420 Maintenance, procurement and testing of in-use locomotives.

(a) A test locomotive must have a maintenance history that is
representative of actual in-use conditions, and identical or equivalent
to your recommended emission-related maintenance requirements.
(1) When procuring locomotives for in-use testing, ask the end
users about the accumulated usage, maintenance, operating conditions,
and storage of the test locomotives.
(2) Your selection of test locomotives is subject to our approval.
Maintain the information you used to procure locomotives for in-use
testing in the same manner as is required in Sec. 1033.250.
(b) You may perform minimal set-to-spec maintenance on a test
locomotive before conducting in-use testing. Maintenance may include
only that which is listed in the owner's instructions for locomotives
with the amount of service and age of the acquired test locomotive.
Maintain documentation of all maintenance and adjustments.
(c) If the locomotive selected for testing is equipped with
emission diagnostics as described in Sec. 1033.110 and the MIL is
illuminated, you may read the code and repair the malfunction to the
degree that an owner/operator would be required to repair the
malfunction under Sec. 1033.815.
(d) Results of at least one valid set of emission tests using the
test procedure described in subpart F of this part are required for
each in-use locomotive.
(e) If in-use testing results show that an in-use locomotive fails
to comply with any applicable emission standards, you must determine
the reason for noncompliance and report your findings in the quarterly
in-use test result report described in Sec. 1033.425.

Sec. 1033.425 In-use test program reporting requirements.

(a) Within 90 days of completion of testing, send us all emission
test results generated from the in-use testing program. Report all of
the following information for each locomotive tested:
(1) Engine family, and configuration.
(2) Locomotive and engine models.
(3) Locomotive and engine serial numbers.
(4) Date of manufacture or remanufacture, as applicable.
(5) Megawatt-hours of use (or miles, as applicable).
(6) Date and time of each test attempt.
(7) Results of all emission testing.
(8) Results (if any) of each voided or failed test attempt.
(9) Summary of all maintenance and/or adjustments performed.
(10) Summary of all modifications and/or repairs.
(11) Determinations of noncompliance.
(12) The following signed statement and endorsement by an
authorized representative of your company.
We submit this report under sections 208 and 213 of the Clean Air
Act. Our in-use testing conformed completely with the requirements of
40 CFR part 1033. All the information in this report is true and
accurate to the best of my knowledge. I know of the penalties for
violating the Clean Air Act and the regulations. (Authorized Company
Representative)
(b) Report to us within 90 days of completion of testing the
following information for each engine family tested:
(1) The serial numbers of all locomotives that were excluded from
the test sample because they did not meet the maintenance requirements
of Sec. 1033.420.
(2) The owner of each locomotive identified in paragraph (b)(1) of
this section (or other entity responsible for the maintenance of the
locomotive).
(3) The specific reasons why the locomotives were excluded from the
test sample.
(c) Submit the information outlined in paragraphs (a) and (b) of
this section electronically using an approved format. We may exempt you
from this requirement upon written request with supporting justification.
(d) Send all testing reports and requests for approvals to the
Designated Compliance Officer.

Subpart F--Test Procedures

Sec. 1033.501 General provisions.

(a) Except as specified in this subpart, use the equipment and
procedures for compression-ignition engines in 40 CFR part 1065 to
determine whether your locomotives meet the duty-cycle emission
standards in Sec. 1033.101. Use the applicable duty cycles specified
in this subpart. Measure emissions of all the pollutants we regulate in
Sec. 1033.101. The general test procedure is the procedure specified
in 40 CFR part 1065 for steady-state discrete-mode cycles. However, if
you use the optional ramped modal cycle in Sec. 1033.514, follow the
procedures for ramped modal testing in 40 CFR part 1065. The following
exceptions from the 1065 procedures apply:
(1) You must average power and emissions over the sampling periods
specified in this subpart for both discrete-mode testing and ramped
modal testing.
(2) The test cycle is considered to be steady-state with respect to
operator demand rather than engine speed and load.
(3) The provisions related to engine mapping and duty cycle
generation (40 CFR 1065.510 and 1065.512) are not applicable to testing
of complete locomotives or locomotive engines because locomotive
operation and locomotive duty cycles are based on operator demand via
locomotive notch settings rather than engine speeds and loads. The
cycle validation criteria (40 CFR 1065.514) are not applicable to testing
of complete locomotives but do apply for dynamometer testing of engines.
(b) [Reserved]
(c) This part allows (with certain limits) testing of either a
complete locomotive or a separate uninstalled engine. When testing a
locomotive, you must test the complete locomotive in its in-use
configuration, except that you may disconnect the power output and fuel
input for the purpose of testing.
(d) For locomotives subject to smoke standards, measure smoke
emissions using the procedures in Sec. 1033.520.
(e) Use the applicable fuel listed in 40 CFR part 1065, subpart H,
to perform valid tests.
(1) For diesel-fueled locomotives, use the appropriate diesel fuel
specified in 40 CFR part 1065, subpart H, for emission testing. The
applicable diesel test fuel is either the ultra low-sulfur diesel or
low-sulfur diesel fuel, as specified in Sec. 1033.101. Identify the
test fuel in your application for certification and ensure that the
fuel inlet label is consistent with your selection of the test

[[Page 16060]]

fuel (see Sec. Sec. 1033.101 and 1033.135). For example, do not test
with ultra low-sulfur diesel fuel if you intend to label your locomotives
to allow use of diesel fuel with sulfur concentrations up to 500 ppm.
(2) You may ask to use as a test fuel commercially available diesel
fuel similar but not identical to the applicable fuel specified in 40
CFR part 1065, subpart H. If your locomotive uses sulfur-sensitive
technology, you may not use an in-use fuel that has a lower sulfur
content than the range specified for the otherwise applicable test fuel
in 40 CFR part 1065. If your locomotive does not use sulfur-sensitive
technology, we may allow you to use an in-use fuel that has a lower
sulfur content than the range specified for the otherwise applicable
test fuel in 40 CFR part 1065, but may require that you correct PM
emissions to account for the sulfur differences.
(3) For service accumulation, use the test fuel or any commercially
available fuel that is representative of the fuel that in-use
locomotives will use.
(f) See Sec. 1033.504 for information about allowable ambient
testing conditions for testing.
(g) You may use special or alternate procedures to the extent we
allow as them under 40 CFR 1065.10. In some cases, we allow you to use
procedures that are less precise or less accurate than the specified
procedures if they do not affect your ability to show that your
locomotives comply with the applicable emission standards. This
generally requires emission levels to be far enough below the
applicable emission standards so that any errors caused by greater
imprecision or inaccuracy do not affect your ability to state
unconditionally that the locomotives meet all applicable emission standards.
(h) This subpart is addressed to you as a manufacturer/
remanufacturer, but it applies equally to anyone who does testing for
you, and to us when we perform testing to determine if your locomotives
meet emission standards.
(i) We may also perform other testing as allowed by the Clean Air Act.
(j) For passenger locomotives that can generate hotel power from
the main propulsion engine, the locomotive must comply with the
emission standards when in either hotel or non-hotel setting.

Sec. 1033.503 Auxiliary power units.

If your locomotive is equipped with an auxiliary power unit (APU)
that operates during an idle shutdown mode, you must account for the
APU's emissions rates as specified in this section.
(a) Adjust the locomotive main engine's idle emission rate (g/hr)
as specified in Sec. 1033.520. Add the APU emission rate (g/hr) that
you determine under paragraph (b) of this section. Use the locomotive
main engine's idle power as specified in Sec. 1033.520.
(b) Determine the representative emission rate for the APU using
one of the following methods.
(1) Installed APU tested separately. If you separately measure
emission rates (g/hr) for each pollutant from the APU installed in the
locomotive, you may use the measured emissions rates (g/hr) as the
locomotive's idle emissions rates when the locomotive is shutdown and
the APU is operating. For all testing other than in-use testing, apply
appropriate deterioration factors to the measured emission rates. You
may ask to carryover APU emission data for a previous test, or use data
for the same APU installed on locomotives in another engine family.
(2) Uninstalled APU tested separately. If you separately measure
emission rates (g/hr) over an appropriate duty-cycle for each pollutant
from the APU when it is not installed in the locomotive, you may use
the measured emissions rates (g/hr) as the locomotive's idle emissions
rates when the locomotive is shutdown and the APU is operating. For the
purpose of this paragraph (2), an appropriate duty-cycle is one that
approximates the APU engine's cycle-weighted power when operating in
the locomotive. Apply appropriate deterioration factors to the measured
emission rates. You may ask to carryover APU emission data for a
previous test, or use data for the same APU installed on locomotives in
another engine family.
(3) APU engine certification data. If the engine used for the APU
has been certified to EPA emission standards you may calculate the
APU's emissions based upon existing EPA-certification information about
the APU's engine. In this case, calculate the APU's emissions as follows:
(i) For each pollutant determine the brake-specific standard/FEL to
which the APU engine was originally EPA-certified.
(ii) Determine the APU engine's cycle-weighted power when operating
in the locomotive.
(iii) Multiply each of the APU's applicable brake-specific
standards/FELs by the APU engine's cycle-weighted power. The results
are the APU's emissions rates (in g/hr).
(iv) Use these emissions rates as the locomotive's idle emissions
rates when the locomotive is shutdown and the APU is running. Do not
apply a deterioration factor to these values.
(4) Other. You may ask us to approve an alternative means to
account for APU emissions.

Sec. 1033.504 Ambient conditions.

This section specifies the allowable ambient conditions of
temperature, pressure, and humidity under which testing may be
performed to determine compliance with the emission standards of Sec.
1068.101. Manufacturers/remanufacturers may ask to perform testing at
conditions other than those allowed by this section. We will allow such
testing provided it does not affect your ability to demonstrate
compliance with the applicable standards. See Sec. Sec. 1033.101 and
1033.115 for more information about the requirements that apply at
other conditions.
(a) Temperature. Testing may be performed with ambient temperatures
from 15.5 [deg]C (60 [deg]F) to 40.5 [deg]C (105 [deg]F). Do not
correct emissions for temperature effects within this range. If we
allow you to perform testing at lower ambient temperatures, you must
correct NO_X emissions for temperature effects, consistent
with good engineering judgment. For example, if the intake air
temperature (at the manifold) is lower at the test temperature than at
15.5 [deg]C, you generally will need to adjust your measured
NO_X emissions upward to account for the effect of the lower
intake air temperature. However, if you maintain a constant manifold
air temperature, you will generally not need to correct emissions.
(b) Altitude/pressure. Testing may be performed with ambient
pressures from 88.000 kPa to 103.325 kPa. This is intended to
correspond to altitudes up to 4000 feet above sea level. Do not correct
emissions for pressure effects within this range.
(c) Humidity. Testing may be performed with any ambient humidity
level. Correct NO_X emissions as specified in 40 CFR
1065.670. Do not correct any other emissions for humidity effects.
(d) Wind. If you test outdoors, use good engineering judgment to
ensure that excessive wind does not affect your emission measurements.
Winds are excessive if they disturb the size, shape, or location of the
exhaust plume in the region where exhaust samples are drawn or where
the smoke plume is measured, or otherwise cause any dilution of the
exhaust. Tests may be conducted if wind shielding is placed adjacent to
the exhaust plume to prevent bending, dispersion, or any other
distortion of the exhaust plume as it passes through the optical unit
or through the sample probe.

[[Page 16061]]

Sec. 1033.510 Discrete-mode steady-state emission tests of
locomotives and locomotive engines.

This section describes how to test locomotives at each notch
setting so that emissions can be weighted according to either the line-
haul duty cycle or the switch duty cycle. The locomotive test cycle
consists of a warm-up followed by a sequence of nominally steady-state
discrete test modes, as described in Table 1 of this section. The test
modes are steady-state with respect to operator demand, which is the
notch setting for the locomotive. Engine speeds and loads are not
necessarily steady-state.
(a) Follow the provisions of 40 CFR part 1065, subpart F for
general pre-test procedures (including engine and sampling system pre-
conditioning which is included as engine warm-up). You may operate the
engine in any way you choose to warm it up prior to beginning the
sample preconditioning specified in 40 CFR part 1065.
(b) Begin the test by operating the locomotive over the pre-test
portion of the cycle specified in Table 1 of this section.
(c) Measure emissions during the rest of the test cycle.
(1) Each test mode begins when the operator demand to the
locomotive or engine is set to the applicable notch setting.
(2) Start measuring gaseous emissions, power, and fuel consumption
at the start of the test mode A and continue until the completion of
test mode 8.
(i) The sample period over which emissions for the mode are
averaged generally begins when the operator demand is changed to start
the test mode and ends within 5 seconds of the minimum sampling time
for the test mode is reached. However, you need to shift the sampling
period to account for sample system residence times. Follow the
provisions of 40 CFR 1065.308 and 1065.309 to time align emission and
work measurements.
(ii) The sample period is 300 seconds for all test modes except
mode 10. The sample period for test mode 8 is 600 seconds.
(3) If gaseous emissions are sampled using a batch-sampling method,
begin proportional sampling at the beginning of each sampling period
and terminate sampling once the minimum time in each test mode is
reached, ± 5 seconds.
(4) If applicable, begin the smoke test at the start of the test
mode A. Continue collecting smoke data until the completion of test
mode 8. Refer to Sec. 1033.101 to determine applicability of smoke
testing and Sec. 1033.515 for details on how to conduct a smoke test.
(5) Begin proportional sampling of PM emissions at the beginning of
each sampling period and terminate sampling once the minimum time in
each test mode is reached, ± 5 seconds.
(6) Proceed through each test mode in the order specified in Table
1 of this section until the locomotive test cycle is completed.
(7) At the end of each numbered test mode, you may continue to
operate sampling and dilution systems to allow corrections for the
sampling system's response time.
(8) Following the completion of Mode 8, conduct the post sampling
procedures in Sec. 1065.530. Note that cycle validation criteria do
not apply to testing of complete locomotives.

Table 1 of Sec. 1033.510.--Locomotive Test Cycle
----------------------------------------------------------------------------------------------------------------
Time in mode (minutes) Sample averaging period
Test mode Notch setting \1\ for emissions \1\
----------------------------------------------------------------------------------------------------------------
Pre-test idle........................ Lowest idle setting.... 10 to 15............... Not applicable
A.................................... Low idle \2\........... 5 to 10................ 300 ± 5
seconds
B.................................... Normal idle............ 5 to 10................ 300 ± 5
seconds
C.................................... Dynamic brake \2\...... 5 to 10................ 300 ± 5
seconds
1.................................... Notch 1................ 5 to 10................ 300 ± 5
seconds
2.................................... Notch 2................ 5 to 10................ 300 ± 5
seconds
3.................................... Notch 3................ 5 to 10................ 300 ± 5
seconds
4.................................... Notch 4................ 5 to 10................ 300 ± 5
seconds
5.................................... Notch 5................ 5 to 10................ 300 ± 5
seconds
6.................................... Notch 6................ 5 to 10................ 300 ± 5
seconds
7.................................... Notch 7................ 5 to 10................ 300 ± 5
seconds
8.................................... Notch 8................ 10 to 15............... 600 ± 5
seconds
----------------------------------------------------------------------------------------------------------------
\1\ The time in each notch and sample averaging period may be extended as needed to allow for collection of a
sufficiently large PM sample.
\2\ Omit if not so equipped.

(f) There are two approaches for sampling PM emissions during
discrete-mode steady-state testing as described in this paragraph (f).
(1) Engines certified to a PM standard/FEL 0.05 g/bhp-hr. Use a
separate PM filter sample for each test mode of the locomotive test
cycle according to the procedures specified in paragraphs (a) through
(e) of this section. You may ask to use a shorter sampling period if
the total mass expected to be collected would cause unacceptably high
pressure drop across the filter before reaching the end of the required
sampling time. We will not allow sampling times less than 60 seconds.
When we conduct locomotive emission tests, we will adhere to the time
limits for each of the numbered modes in Table 1 of Sec. 1033.510.
(2) Engines certified to a PM standard/FEL < 0.05 g/bhp-hr. (i) You
may use separate PM filter samples for each test mode as described in
paragraph (f)(1) of this section; however, we recommend that you do not
do so. The low rate of sample filter loading will result in very long
sampling times and the large number of filter samples may induce
uncertainty stack-up that will lead to unacceptable PM measurement
accuracy. Instead, we recommend that you measure PM emissions as
specified in paragraph (f)(2)(ii) of this section.
(ii) You may use a single PM filter for sampling PM over all of the
test modes of the locomotive test cycle as specified in this paragraph.
Vary the sample time to be proportional the applicable line-haul or
switch weighting factors specified in Sec. 1033.520 for each mode. The
minimum sampling time for each mode is 400 seconds multiplied by the
weighting factor. For example, for a mode with a weighting factor of
0.030, the minimum sampling time is 12.0 seconds. PM sampling in each
mode must be proportional to engine exhaust flow as specified in 40 CFR
part 1065. Begin proportional sampling of PM emissions at the beginning
of each test mode as is specified in paragraph (c) of this section. End
the sampling period for each test mode so that sampling times are
proportional to the weighting

[[Page 16062]]

factors for the applicable duty cycles. If necessary, you may extend
the time limit for each of the test modes beyond the sampling times in
Table 1 of Sec. 1033.510 to increase the sampled mass of PM emissions
or to account for proper weighting of the PM emission sample over the
entire cycle, using good engineering judgment.
(g) This paragraph (g) describes how to test locomotive engines
when not installed in a locomotive. Note that the test procedures for
dynamometer engine testing of locomotive engines are intended to
produce emission measurements that are essentially identical to
emission measurements produced during testing of complete locomotives
using the same engine configuration. The following requirements apply
for all engine tests:
(1) Specify a second-by-second set of engine speed and load points
that are representative of in-use locomotive operation for each of the
set-points of the locomotive test cycle described in Table 1 of Sec.
1033.510, including transitions from one notch to the next. This is
your reference cycle for validating your cycle. You may ignore points
between the end of the sampling period for one mode and the point at
which you change the notch setting to begin the next mode.
(2) Keep the temperature of the air entering the engine after any
charge air cooling to within5 [deg]C of the typical intake air
temperature when the engine is operated in the locomotive under similar
ambient conditions.
(3) Proceed with testing as specified for testing complete
locomotives as specified in paragraphs (a) through (f) of this section.

Sec. 1033.514 Alternative ramped modal cycles.

(a) Locomotive testing over a ramped modal cycle is intended to
improve measurement accuracy at low emission levels by allowing the use
of batch sampling of PM and gaseous emissions over multiple locomotive
notch settings. Ramped modal cycles combine multiple test modes of a
discrete-mode steady-state into a single sample period. Time in notch
is varied to be proportional to weighting factors. The ramped modal
cycle for line-haul locomotives is shown in Table 1 of this section.
The ramped modal cycle for switch locomotives is shown in Table 2 of
this section. Both ramped modal cycles consist of a warm-up followed by
three test phases that are each weighted in a manner that maintains the
duty cycle weighting of the line-haul and switch locomotive duty cycles
in Sec. 1033.520. You may use ramped modal cycle testing for any
locomotives certified under this part.
(b) Ramped modal testing requires continuous gaseous analyzers and
three separate PM filters (one for each phase). You may collect a
single batch sample for each test phase, but you must also measure
gaseous emissions continuously to allow calculation of notch caps as
required under Sec. 1033.101.
(c) You may operate the engine in any way you choose to warm it up.
Then follow the provisions of 40 CFR part 1065, subpart F for general
pre-test procedures (including engine and sampling system pre-conditioning).
(d) Begin the test by operating the locomotive over the pre-test
portion of the cycle.
(e) Start the test according to 40 CFR 1065.530.
(1) Each test phase begins when operator demand is set to the first
operator demand setting of each test phase of the ramped modal cycle.
Each test phase ends when the time in mode is reached for the last mode
in the test phase.
(2) For PM emissions (and other batch sampling), the sample period
over which emissions for the phase are averaged generally begins within
10 seconds after the operator demand is changed to start the test phase
and ends within 5 seconds of the sampling time for the test mode is
reached. (See Table 1 of this section.) You may ask to delay the start
of the sample period to account for sample system residence times
longer than 10 seconds.
(3) Use good engineering judgment when transitioning between phases.
(i) You should come as close as possible to simultaneously:
(A) Ending batch sampling of the previous phase.
(B) Starting batch sampling of the next phase.
(C) Changing the operator demand to the notch setting for the first
mode in the next phase.
(ii) Avoid the following:
(A) Overlapping batch sampling of the two phases.
(B) An unnecessarily long delay before starting the next phase.
(iii) For example, the following sequence would generally be appropriate:
(A) End batch sampling for phase 2 after 240 seconds in notch 7.
(B) Switch the operator demand to notch 8 one second later.
(C) Begin batch sampling for phase 3 one second after switching to
notch 8.
(4) If applicable, begin the smoke test at the start of the first
test phase of the applicable ramped modal cycle. Continue collecting
smoke data until the completion of final test phase. Refer to Sec.
1033.101 to determine applicability of the smoke standards and Sec.
1033.515 for details on how to conduct a smoke test.
(5) Proceed through each test phase of the applicable ramped modal
cycle in the order specified until the test is completed.
(6) If you must void a test phase you may repeat the phase. To do
so, begin with a warm engine operating at the notch setting for the
last mode in the previous phase. You do not need to repeat later phases
if they were valid. (Note: you must report test results for all voided
tests and test phases.)
(7) Following the completion of the third test phase of the
applicable ramped modal cycle, conduct the post sampling procedures
specified in 40 CFR 1065.530.

Table 1 of Sec. 1033.514.--Line-Haul Locomotive Ramped Modal Cycle
----------------------------------------------------------------------------------------------------------------
Weighting RMC
RMC Test phase factor mode Time in mode (seconds) Notch setting
----------------------------------------------------------------------------------------------------------------
Pre-test idle........................ NA NA 600 to 900 Lowest idle setting
Phase 1.............................. 0.380 A 600 Low Idle \1\
(Idle test).......................... ........... B 600 Normal Idle
----------------------------------------------------------------------------------------------------------------
Phase Transition
----------------------------------------------------------------------------------------------------------------
........... C 1000 Dynamic Brake \2\
........... 1 520 Notch 1
........... 2 520 Notch 2
Phase 2.............................. 0.458 3 416 Notch 3

[[Page 16063]]

........... 4 352 Notch 4
........... 5 304 Notch 5
........... 6 312 Notch 6
........... 7 240 Notch 7
----------------------------------------------------------------------------------------------------------------
Phase Transition
----------------------------------------------------------------------------------------------------------------
Phase 3.............................. 0.162 8 600 Notch 8
----------------------------------------------------------------------------------------------------------------
\1\ Operate at normal idle for modes A and B if not equipped with multiple idle settings.
\2\ Operate at normal idle if not equipped with a dynamic brake.

Table 2 of Sec. 1033.514.--Switch Lomotive Ramped Modal Cycle
----------------------------------------------------------------------------------------------------------------
Weighting RMC
RMC Test phase factor mode Time in mode (seconds) Notch setting
----------------------------------------------------------------------------------------------------------------
Pre-test idle........................ NA NA 600 to 900 Lowest idle setting
Phase 1.............................. 0.598 A 600 Low Idle \1\
(Idle test).......................... ........... B 600 Normal Idle
----------------------------------------------------------------------------------------------------------------
Phase Transition
----------------------------------------------------------------------------------------------------------------
........... 1 868 Notch 1
........... 2 861 Notch 2
Phase 2.............................. 0.377 3 406 Notch 3
........... 4 252 Notch 4
........... 5 252 Notch 5
----------------------------------------------------------------------------------------------------------------
Phase Transition
----------------------------------------------------------------------------------------------------------------
........... 6 1080 Notch 6
Phase 3.............................. 0.025 7 144 Notch 7
........... 8 576 Notch 8
----------------------------------------------------------------------------------------------------------------
\1\ Operate at normal idle for modes A and B if not equipped with multiple idle settings.

Sec. 1033.515 Smoke testing.

This section describes the equipment and procedures for testing for
smoke emissions when required.
(a) This section specifies how to measure smoke emissions using a
full-flow, open path light extinction smokemeter. A light extinction
meter consists of a built-in light beam that traverses the exhaust
smoke plume that issues from the exhaust duct. The light beam must be
at right angles to the axis of the plume. Where the exhaust is not
circular at its discharge, align the light beam to go through the plume
along the hydraulic diameter, which is defined in 1065.1001. The light
extinction meter must meet the requirements of paragraph (b) of this
section and the following requirements:
(1) Use an incandescent light source with a color temperature range
of 2800K to 3250K, or a light source with a spectral peak between 550
and 570 nanometers.
(2) Collimate the light beam to a nominal diameter of 3 centimeters
and an angle of divergence within a 6 degree included angle.
(3) Use a photocell or photodiode light detector. If the light
source is an incandescent lamp, use a detector that has a spectral
response similar to the photopic curve of the human eye (a maximum
response in the range of 550 to 570 nanometers, to less than four
percent of that maximum response below 430 nanometers and above 680
nanometers).
(4) Attach a collimating tube to the detector with apertures equal
to the beam diameter to restrict the viewing angle of the detector to
within a 16 degree included angle.
(5) Amplify the detector signal corresponding to the amount of light.
(6) You may use an air curtain across the light source and detector
window assemblies to minimize deposition of smoke particles on those
surfaces, provided that it does not measurably affect the opacity of
the plume.
(7) Minimize distance from the optical centerline to the exhaust
outlet; in no case may it be more than 3.0 meters. The maximum
allowable distance of unducted space upstream of the optical centerline
is 0.5 meters. Center the full flow of the exhaust stream between the
source and detector apertures (or windows and lenses) and on the axis
of the light beam.
(8) You may use light extinction meters employing substantially
identical measurement principles and producing substantially equivalent
results, but which employ other electronic and optical techniques.
(b) All smokemeters must meet the following specifications:
(1) A full-scale deflection response time of 0.5 second or less.
(2) You may attenuate signal responses with frequencies higher than
10 Hz with a separate low-pass electronic filter with the following
performance characteristics:
(i) Three decibel point: 10 Hz.
(ii) Insertion loss: 0 ''0.5 dB.
(iii) Selectivity: 12 dB down at 40 Hz minimum.
(iv) Attenuation: 27 dB down at 40 Hz minimum.
(c) Perform the smoke test by continuously recording smokemeter
response over the entire locomotive test cycle in percent opacity to
within one

[[Page 16064]]

percent resolution and also simultaneously record operator demand set
point (e.g., notch position). Compare the recorded opacities,
uncorrected for path length, to the smoke standards applicable to your
locomotive.
(d) You may use a partial flow sampling smokemeter if you correct
for the path length of your exhaust plume. If you use a partial flow
sampling meter, follow the instrument manufacturer's installation,
calibration, operation, and maintenance procedures.

Sec. 1033.520 Duty cycles and calculations.

This section describes how to apply the duty cycle to measured
emission rates to calculate cycle-weighted average emission rates.
(a) Standard duty cycles and calculations. Tables 1 and 2 of this
section show the duty cycle to use to calculate cycle-weighted average
emission rates for locomotives equipped with two idle settings, eight
propulsion notches, and at least one dynamic brake notch and tested
using the Locomotive Test Cycle. Use the appropriate weighting factors
for your locomotive application and calculate cycle-weighted average
emissions as specified in 40 CFR part 1065, subpart G.

Table 1 of Sec. 1033.520.--Standard Duty Cycle Weighting Factors for Calculating Emission Rates for
Locomotives With Multiple Idle Settings
----------------------------------------------------------------------------------------------------------------
Line-haul
Line-haul weighting Switch
Notch setting Test mode weighting factors weighting
factors (no dynamic factors
brake)
----------------------------------------------------------------------------------------------------------------
Low Idle.................................................... A 0.190 0.190 0.299
Normal Idle................................................. B 0.190 0.315 0.299
Dynamic..................................................... C 0.125 NA 0.000
Brake....................................................... ........... ........... ........... ...........
Notch 1..................................................... 1 0.065 0.065 0.124
Notch 2..................................................... 2 0.065 0.065 0.123
Notch 3..................................................... 3 0.052 0.052 0.058
Notch 4..................................................... 4 0.044 0.044 0.036
Notch 5..................................................... 5 0.038 0.038 0.036
Notch 6..................................................... 6 0.039 0.039 0.015
Notch 7..................................................... 7 0.030 0.030 0.002
Notch 8..................................................... 8 0.162 0.162 0.008
----------------------------------------------------------------------------------------------------------------

Table 2 of Sec. 1033.520.--Standard Duty Cycle Weighting Factors for Calculating Emission Rates for
Locomotives With Multiple Idle Settings
----------------------------------------------------------------------------------------------------------------
Line-haul
Line-haul weighting Switch
Notch setting Test mode weighting factors weighting
factors (no dynamic factors
brake)
----------------------------------------------------------------------------------------------------------------
Normal Idle................................................. A 0.380 0.505 0.598
Dynamic..................................................... C 0.125 NA 0.000
Brake....................................................... ........... ........... ........... ...........
Notch 1..................................................... 1 0.065 0.065 0.124
Notch 2..................................................... 2 0.065 0.065 0.123
Notch 3..................................................... 3 0.052 0.052 0.058
Notch 4..................................................... 4 0.044 0.044 0.036
Notch 5..................................................... 5 0.038 0.038 0.036
Notch 6..................................................... 6 0.039 0.039 0.015
Notch 7..................................................... 7 0.030 0.030 0.002
Notch 8..................................................... 8 0.162 0.162 0.008
----------------------------------------------------------------------------------------------------------------

(b) Idle and dynamic brake notches. If your locomotive is equipped
with two idle settings and is not equipped with dynamic brake, use a
normal idle weighting factor of 0.315 for the line-haul cycle. If your
locomotive is equipped with only one idle setting and no dynamic brake,
use an idle weighting factor of 0.505 for the line-haul cycle.
(c) Nonstandard notches or no notches. If your locomotive is
equipped with more or less than 8 propulsion notches, recommend an
alternate test cycle based on the in-use locomotive configuration.
Unless you have data demonstrating that your locomotive will be
operated differently from conventional locomotives, recommend weighting
factors that are consistent with the power weightings of the specified
duty cycle. For example, the average load factor for your recommended
cycle (cycle-weighted power divided by rated power) should be
equivalent to those of conventional locomotives. We may also allow the
use of the standard power levels shown in Table 3 of this section for
nonstandard locomotive testing subject to our prior approval.

Table 3 of Sec. 1033.520.--Standard Notch Power Levels Expressed as a
Percentage of Maximum Test Power
------------------------------------------------------------------------

------------------------------------------------------------------------
Normal Idle.............................. 0.00%
Dynamic Brake............................ 0.00%
Notch 1.................................. 4.50%
Notch 2.................................. 11.50%
Notch 3.................................. 23.50%
Notch 4.................................. 35.00%
Notch 5.................................. 48.50%
Notch 6.................................. 64.00%
Notch 7.................................. 85.00%
Notch 8.................................. 100.00%
------------------------------------------------------------------------

[[Page 16065]]

(d) Optional Ramped Modal Cycle Testing. Tables 1 and 2 of Sec.
1033.514 show the weighting factors to use to calculate cycle-weighted
average emission rates for the applicable locomotive ramped modal
cycle. Use the weighting factors for the ramped modal cycle for your
locomotive application and calculate cycle-weighted average emissions
as specified in 40 CFR part 1065, subpart G.
(e) Automated Start-Stop. For locomotive equipped with features
that shut the engine off after prolonged periods of idle, multiply the
measured idle mass emission rate over the idle portion of the
applicable test cycles by a factor equal to one minus the estimated
fraction reduction in idling time that will result in use from the
shutdown feature. Do not apply this factor to the weighted idle power.
Application of this adjustment is subject to our approval.
(f) Multi-engine locomotives. This paragraph (f) applies for
locomotives using multiple engines where all engines are identical in
all material respects. In cases where we allow engine dynamometer
testing, you may test a single engine consistent with good engineering
judgment, as long as you test it all operating points at which any of
the engines will operate when installed in the locomotive. Weight the
results to reflect the power demand/power-sharing of the in-use
configuration for each notch setting.

Sec. 1033.525 Adjusting emission levels to account for infrequently
regenerating aftertreatment devices.

This section describes how to adjust emission results from
locomotives using aftertreatment technology with infrequent
regeneration events that occur during testing. See paragraph (e) of
this section for how to adjust ramped modal testing. See paragraph (f)
of this section for how to adjust discrete-mode testing. For this
section, ``regeneration'' means an intended event during which emission
levels change while the system restores aftertreatment performance. For
example, hydrocarbon emissions may increase temporarily while oxidizing
accumulated particulate matter in a trap. Also for this section,
``infrequent'' refers to regeneration events that are expected to occur
on average less than once per sample period.
(a) Developing adjustment factors. Develop an upward adjustment
factor and a downward adjustment factor for each pollutant based on
measured emission data and observed regeneration frequency. Adjustment
factors should generally apply to an entire engine family, but you may
develop separate adjustment factors for different configurations within
an engine family. If you use adjustment factors for certification, you
must identify the frequency factor, F, from paragraph (b) of this
section in your application for certification and use the adjustment
factors in all testing for that engine family. You may use carryover or
carry-across data to establish adjustment factors for an engine family,
as described in Sec. 1033.235, consistent with good engineering
judgment. All adjustment factors for regeneration are additive.
Determine adjustment factors separately for different test segments as
described in paragraphs (e) and (f) of this section. You may use either
of the following different approaches for locomotives that use
aftertreatment with infrequent regeneration events:
(1) You may disregard this section if you determine that
regeneration does not significantly affect emission levels for an
engine family (or configuration) or if it is not practical to identify
when regeneration occurs. If you do not use adjustment factors under
this section, your locomotives must meet emission standards for all
testing, without regard to regeneration.
(2) You may ask us to approve an alternate methodology to account
for regeneration events. We will generally limit approval to cases in
which your locomotives use aftertreatment technology with extremely
infrequent regeneration and you are unable to apply the provisions of
this section.
(b) Calculating average emission factors. Calculate the average
emission factor (EFA) based on the following equation:

EF_A = (F)(EF_H) + (1-F)(EF_L)

Where:

F = The frequency of the regeneration event in terms of the fraction
of tests during which the regeneration occurs. You may determine F
from in-use operating data or running replicate tests.
EF_H = Measured emissions from a test segment in which the
regeneration occurs.
EF_L = Measured emissions from a test segment in which the
regeneration does not occur.

(c) Applying adjustment factors. Apply adjustment factors based on
whether regeneration occurs during the test run. You must be able to
identify regeneration in a way that is readily apparent during all testing.
(1) If regeneration does not occur during a test segment, add an
upward adjustment factor to the measured emission rate. Determine the
upward adjustment factor (UAF) using the following equation:

UAF = EF_A-EF_L

(2) If regeneration occurs or starts to occur during a test
segment, subtract a downward adjustment factor from the measured
emission rate. Determine the downward adjustment factor (DAF) using the
following equation:

DAF = EF_H-EF_A
(d) Sample calculation. If EF_L is 0.10 g/bhp-hr,
EF_H is 0.50 g/bhp-hr, and F is 0.1 (the regeneration occurs
once for each ten tests), then:

EF_A = (0.1)(0.5 g/bhp-hr) + (1.0-0.1)(0.1 g/bhp-hr) =
0.14 g/bhp-hr.
UAF = 0.14 g/bhp-hr-0.10 g/bhp-hr = 0.04 g/bhp-hr.
DAF = 0.50 g/bhp-hr-0.14 g/bhp-hr = 0.36 g/bhp-hr.

(e) Ramped modal testing. Develop separate adjustment factors for
each test phase. If a regeneration has started but has not been
completed when you reach the end of a test phase, use good engineering
judgment to reduce your downward adjustments to be proportional to the
emission impact that occurred in the test phases.
(f) Discrete-mode testing. Develop separate adjustment factors for
each test mode. If a regeneration has started but has not been completed
when you reach the end of the sampling time for a test mode extend the
sampling period for that mode until the regeneration is completed.

Subpart G--Special Compliance Provisions

Sec. 1033.601 General compliance provisions.

Locomotive manufacturer/remanufacturers, as well as owners and
operators of locomotives subject to the requirements of this part, and
all other persons, must observe the provisions of this part, the
requirements and prohibitions in 40 CFR part 1068, and the provisions
of the Clean Air Act. The provisions of 40 CFR part 1068 apply for
locomotives as specified in that part, except as otherwise specified in
this section.
(a) Meaning of manufacturer. When used in 40 CFR part 1068, the
term ``manufacturer'' means manufacturer and/or remanufacturer.
(b) Engine rebuilding. The provisions of 40 CFR 1068.120 do not
apply when remanufacturing locomotives.
(c) Exemptions. (1) The exemption provisions of 40 CFR 1068.240,
1068.250, 1068.255, and 1068.260 do not apply for domestic or imported
locomotives.
(2) The provisions for importing engines and equipment under the
identical configuration exemption of 40 CFR 1068.315(i) do not apply
for locomotives.

[[Page 16066]]

(3) The provisions for importing engines and equipment under the
ancient engine exemption of 40 CFR 1068.315(j) do not apply for locomotives.
(d) SEAs, defect reporting, and recall. The provisions of 40 CFR
part 1068, subparts E and F, apply to certificate holders for
locomotives as specified in that part. When there are multiple persons
meeting the definition of manufacturer or remanufacturer, each person
meeting the definition of manufacturer or remanufacturer must comply
with the requirements of 40 CFR part 1068, subparts E and F, as needed
so that the certificate holder can fulfill its obligations under those
subparts.
(e) Introduction into commerce. The placement of a new locomotive
or new locomotive engine back into service following remanufacturing is
a violation of 40 CFR 1068.101(a)(1), unless it has a valid certificate
of conformity for its model year and the required label.

Sec. 1033.610 Small railroad provisions.

In general, the provisions of this part apply for all locomotives,
including those owned by Class II and Class III railroads. This section
describes how these provisions apply for railroads meeting the
definition of ``small railroad'' in Sec. 1033.901. (Note: The term
``small railroad'' excludes some Class II and Class III railroads, such
as those owned by large parent companies.)
(a) Locomotives become subject to the provisions of this part when
they become ``new'' as defined in Sec. 1033.901. Under that
definition, a locomotive is ``new'' when first assembled, and generally
becomes ``new'' again when remanufactured. As an exception to this
general concept, locomotives that are owned and operated by railroads
meeting the definition of ``small railroad'' in Sec. 1033.901 do not
become ``new'' when remanufactured, unless they were previously
certified to EPA emission standards.
(b) The provisions of subpart I of this part apply to all owners
and operators of locomotives subject to this part 1033. However, the
regulations of that subpart specify some provisions that apply only for
Class I freight railroads, and others that apply differently to Class I
freight railroads and other railroads.
(c) We may exempt new locomotives that are owned and operated by
small railroads from the prohibition against remanufacturing a
locomotive without a certificate of conformity as specified in this
paragraph (c). This exemption is only available in cases where no
certified remanufacturing system is available for the locomotive. For
example, it is possible that no remanufacturer will certify a system
for very old locomotive models that comprise a tiny fraction of the
fleet and that are remanufactured infrequently. Send your request for
such exemptions to the Designated Compliance Officer. We may consider
the issue of excessive costs in determining the availability of
certified systems. If we grant this exemption, you are required to
return the locomotive to its previously certified configuration.

Sec. 1033.615 Voluntarily subjecting locomotives to the standards of
this part.

The provisions of this section specify the cases in which an owner
or manufacturer of a locomotive or similar piece of equipment can
subject it to the standards and requirements of this part. Once the
locomotive or equipment becomes subject to the locomotive standards and
requirements of this part, it remains subject to the standards and
requirements of this part for the remainder of its service life.
(a) Equipment excluded from the definition of ``locomotive''. (1)
Manufacturers/remanufacturers of equipment that is excluded from the
definition of ``locomotive'' because of its total power, but would
otherwise meet the definition of locomotive may ask to have it
considered to be a locomotive. To do this, submit an application for
certification as specified in subpart C of this part, explaining why it
should be considered to be a locomotive. If we approve your request, it
will be deemed to be a locomotive for the remainder of its service life.
(2) In unusual circumstances, we may deem other equipment to be
locomotives (at the request of the owner or manufacturer/
remanufacturer) where such equipment does not conform completely to the
definition of locomotive, but is functionally equivalent to a locomotive.
(b) Locomotives excluded from the definition of ``new''. Owners of
remanufactured locomotives excluded from the definition of ``new'' in
Sec. 1033.901 under paragraph (2) of that definition may choose to
upgrade their locomotives to subject their locomotives to the standards
and requirements of this part by complying with the specifications of a
certified remanufacturing system, including the labeling specifications
of Sec. 1033.135.

Sec. 1033.620 Hardship provisions for manufacturers and remanufacturers.

(a) If you qualify for the economic hardship provisions specified
in 40 CFR 1068.245, we may approve a period of delayed compliance for
up to one model year total.
(b) The provisions of this paragraph (b) are intended to address
problems that could occur near the date on which more stringent
emission standards become effective, such as the transition from the
Tier 2 standards to the Tier 3 standards for line-haul locomotives on
January 1, 2012.
(1) In appropriate extreme and unusual circumstances that are
clearly outside the control of the manufacturer and could not have been
avoided by the exercise of prudence, diligence, and due care, we may
permit you, for a brief period, to introduce into commerce locomotives
which do not comply with the applicable emission standards if all of
the following conditions apply:
(i) You cannot reasonably manufacture the locomotives in such a
manner that they would be able to comply with the applicable standards.
(ii) The manufacture of the locomotives was substantially completed
prior to the applicability date of the standards from which you seek relief.
(iii) Manufacture of the locomotives was previously scheduled to be
completed at such a point in time that locomotives would have been
included in the previous model year, such that they would have been
subject to less stringent standards, and that such schedule was
feasible under normal conditions.
(iv) You demonstrate that the locomotives comply with the less
stringent standards that applied to the previous model year's
production described in paragraph (b)(1)(iii) of this section, as
prescribed by subpart C of this part (i.e., that the locomotives are
identical to locomotives certified in the previous model year).
(v) You exercised prudent planning, were not able to avoid the
violation, and have taken all reasonable steps to minimize the extent
of the nonconformity.
(vi) We approve your request before you introduce the locomotives
into commerce.
(2) You must notify us as soon as you become aware of the extreme
or unusual circumstances.
(3)(i) Include locomotives for which we grant relief under this
section in the engine family for which they were originally intended to
be included.
(ii) Where the locomotives are to be included in an engine family
that was certified to an FEL above the applicable standard, you must
reserve credits to cover the locomotives covered by this allowance and
include the required information for these locomotives in the end-of-
year report required by subpart H of this part.

[[Page 16067]]

(c) In granting relief under this section, we may also set other
conditions as appropriate, such as requiring payment of fees to negate
an economic gain that such relief would otherwise provide.

Sec. 1033.625 Special certification provisions for non-locomotive-
specific engines.

You may certify freshly manufactured or remanufactured locomotives
using non-locomotive-specific engines (as defined in Sec. 1033.901)
using the normal certification procedures of this part. Locomotives
certified in that way are generally treated the same as other
locomotives, except where specified otherwise. The provisions of this
section provide for design certification to the locomotive standards in
this part for locomotives using engines included in engine families
certified under 40 CFR part 1039 (or part 89) in limited circumstances.
(a) Remanufactured or freshly manufactured switch locomotives
powered by non-locomotive-specific engines may be certified by design
without the test data required by Sec. 1033.235 if all of the
following are true:
(1) Before being installed in the locomotive, the engines were
covered by a certificate of conformity issued under 40 CFR Part 1039
(or part 89) that is effective for the calendar year in which the
manufacture or remanufacture occurs. You may use engines certified
during the previous year if it is subject to the same standards. You
may not make any modifications to the engines unless we approve them.
(2) The engines were certified to standards that are numerically
lower then the applicable locomotive standards of this part.
(3) More engines are reasonably projected to be sold and used under
the certificate for non-locomotive use than for use in locomotives.
(4) The number of such locomotives certified under this section
does not exceed 15 in any three-year period. We may waive this sales
limit for locomotive models that have previously demonstrated
compliance with the locomotive standards of Sec. 1033.101 in-use.
(5) We approved the application as specified in paragraph (d) of
this section.
(b) To certify your locomotives by design under this section,
submit your application as specified in Sec. 1033.205, except include
the following instead of the locomotive test data otherwise required:
(1) A description of the engines to be used, including the name of
the engine manufacturer and engine family identifier for the engines.
(2) A brief engineering analysis describing how the engine's
emission controls will function when installed in the locomotive
throughout the locomotive's useful life.
(3) The emission data submitted under 40 CFR part 1039 (or part 89).
(c) Locomotives certified under this section are subject to all of
the same requirements of this part unless specified otherwise in this
section. The engines used in such locomotives are not considered to be
included in the otherwise applicable engines family of 40 CFR part 1039
(or part 89).
(d) We will approve or deny the application as specified in subpart
C of this part. For example, we will deny your application for
certification by design under this section in any case where we have
evidence that your locomotives will not conform to the requirements of
this part throughout their useful lives.

Sec. 1033.630 Staged-assembly exemption.

You may ask us to provide a temporary exemption to allow you to
complete production of your engines and locomotives at different
facilities, as long as you maintain control of the engines until they
are in their certified configuration. We may require you to take
specific steps to ensure that such locomotives are in their certified
configuration before reaching the ultimate purchaser. You may request
an exemption under this section in your application for certification,
or in a separate submission.

Sec. 1033.640 Provisions for repowered and refurbished locomotives.

The provisions of this section apply for locomotives that are
produced from an existing locomotive so that the new locomotive
contains both previously used parts and parts that have never been used
before. A single existing locomotive cannot be divided into parts and
combined with new parts to create more than one remanufactured locomotive.
(a) Repowered locomotives are used locomotives in which a freshly
manufactured propulsion engine is installed. Refurbished locomotives
are new locomotives that are produced using more unused parts than
previously used parts, as described in paragraph (b) of this section.
(b) The relative amount of previously used parts is determined as
follows:
(1) Identify the parts in the fully assembled locomotive that have
been previously used and those that have never been used before.
(2) Weight the unused parts and previously used parts by the dollar
value of the parts. For example, a single part valued at $1200 would
count the same as six parts valued at $200 each. Group parts by system
where possible (such as counting the engine as one part) if either all
the parts in that system are used or all the parts in that system are
unused.
(3) Sum the values of the unused parts. Also sum the values of the
previously used parts. The relative fraction of used parts is the total
value of previously used parts divided by the combined value of the
unused parts and previously used parts.
(c) If the weighted fraction of the locomotive that is comprised of
previously used parts is less than 50 percent, then the locomotive is
considered to be a refurbished locomotive.
(d) If the weighted fraction of the locomotive that is comprised of
previously used parts is less than 25 percent, then the locomotive is
considered to be a freshly manufactured locomotive and the date of
original manufacture is the most recent date on which the locomotive
was assembled using less than 25 percent previously used parts. (Note:
If the weighted fraction of the locomotive that is comprised of
previously used parts is greater than or equal to 25 percent, then the
date of original manufacture is unchanged.) For example:
(1) If you produce a new locomotive that includes a used frame, but
all other parts are unused, then the locomotive is considered to be a
freshly manufactured locomotive because the value of the frame would be
less than 25 percent of the total value of the locomotive. Its date of
original manufacture is the date on which you complete its assembly.
(2) If you produce a new locomotive by replacing the engine in a
1990 locomotive with a freshly manufactured engine, but all other parts
are used, then the locomotive is considered to be a remanufactured
locomotive and its date of original manufacture is the date on which
assembly was completed in 1990.

(Note: Such a locomotive would also be considered to be a
repowered locomotive.)

Sec. 1033.650 Incidental use exemption for Canadian and Mexican
locomotives.

You may ask us to exempt from the requirements and prohibitions of
this part locomotives that are operated primarily outside of the United
States and that enter the United States temporarily from Canada or
Mexico. We will approve this exemption only where we determine that the
locomotive's operation within the United States will

[[Page 16068]]

not be extensive and will be incidental to its primary operation. For
example, we would generally exempt locomotives that will not operate
more than 25 miles from the border and will operate in the United
States less than 5 percent of their operating time. For existing
operations, you must request this exemption before January 1, 2011. In
your request, identify the locomotives for which you are requesting an
exemption, and describe their projected use in the United States. We
may grant the exemption broadly or limit the exemption to specific
locomotives and/or specific geographic areas. However, we will
typically approve exemptions for specific rail facilities rather than
specific locomotives. In unusual circumstances, such as cases in which
new rail facilities are created, we may approve requests submitted
after January 1, 2011.

Subpart H--Averaging, Banking, and Trading for Certification

Sec. 1033.701 General provisions.

(a) You may average, bank, and trade (ABT) emission credits for
purposes of certification as described in this subpart to show
compliance with the standards of this part. Participation in this
program is voluntary.
(b) Section 1033.740 restricts the use of emission credits to
certain averaging sets.
(c) The definitions of Subpart J of this part apply to this
subpart. The following definitions also apply:
(1) Actual emission credits means emission credits you have
generated that we have verified by reviewing your final report.
(2) Averaging set means a set of locomotives in which emission
credits may be exchanged only with other locomotives in the same
averaging set.
(3) Broker means any entity that facilitates a trade of emission
credits between a buyer and seller.
(4) Buyer means the entity that receives emission credits as a
result of a trade.
(5) Reserved emission credits means emission credits you have
generated that we have not yet verified by reviewing your final report.
(6) Seller means the entity that provides emission credits during a
trade.
(7) Standard means the emission standard that applies under subpart
B of this part for locomotives not participating in the ABT program of
this subpart.
(8) Trade means to exchange emission credits, either as a buyer or
seller.
(9) Transfer means to convey control of credits generated for an
individual locomotive to the purchaser, owner or operator of the
locomotive at the time of manufacture or remanufacture; or to convey
control of previously generated credits from the purchaser, owner or
operator of an individual locomotive to the manufacturer/remanufacturer
at the time of manufacture/remanufacture.
(d) You may not use emission credits generated under this subpart
to offset any emissions that exceed an FEL or standard. This applies
for all testing, including certification testing, in-use testing,
selective enforcement audits, and other production-line testing.
However, if emissions from a locomotive exceed an FEL or standard (for
example, during a selective enforcement audit), you may use emission
credits to recertify the engine family with a higher FEL that applies
only to future production.
(e) Engine families that use emission credits for one or more
pollutants may not generate positive emission credits for another pollutant.
(f) Emission credits may be used in the model year they are
generated or in future model years. Emission credits may not be used
for past model years.
(g) You may increase or decrease an FEL during the model year by
amending your application for certification under Sec. 1033.225. The
new FEL may apply only to locomotives you have not already introduced
into commerce. Each locomotive's emission control information label
must include the applicable FELs. You must conduct production line
testing to verify that the emission levels are achieved.
(h) Credits may be generated by any certifying manufacturer/
remanufacturer and may be held by any of the following entities:
(1) Locomotive or engine manufacturers.
(2) Locomotive or engine remanufacturers.
(3) Locomotive owners.
(4) Locomotive operators.
(5) Other entities after notification to EPA.
(i) All locomotives that are certified to an FEL that is different
from the emission standard that would otherwise apply to the
locomotives are required to comply with that FEL for the remainder of
their service lives, except as allowed by Sec. 1033.750.
(1) Manufacturers must notify the purchaser of any locomotive that
is certified to an FEL that is different from the emission standard
that would otherwise apply that the locomotive is required to comply
with that FEL for the remainder of its service life.
(2) Remanufacturers must notify the owner of any locomotive or
locomotive engine that is certified to an FEL that is different from
the emission standard that would otherwise apply that the locomotive
(or the locomotive in which the engine is used) is required to comply
with that FEL for the remainder of its service life.
(j) The FEL to which the locomotive is certified must be included
on the locomotive label required in Sec. 1033.135. This label must
include the notification specified in paragraph (i) of this section.

Sec. 1033.705 Calculate emission credits.

The provisions of this section apply separately for calculating
emission credits for NO_X or PM.
(a) Calculate positive emission credits for an engine family that
has an FEL below the otherwise applicable standard. Calculate negative
emission credits for an engine family that has an FEL above the
otherwise applicable standard.
(b) For each participating engine family, calculate positive or
negative emission credits relative to the otherwise applicable emission
standard. Prior to the end of year report, round calculated emission
credits to the nearest one hundredth of a Megagram (0.01 Mg). Round
your end of year emission credit balance to the nearest Megagram (Mg).
Use consistent units throughout the calculation. When useful life is
expressed in terms of megawatt-hrs, calculate credits for each engine
family from the following equation:

Emission credits = (Std--FEL) x (1.341) x (UL) x (Production) x
(F_p) x (10-3 kW-Mg/MW-g).

Where:

Std = The applicable locomotive and locomotive engine NO_X
or PM emission standard in g/bhp-hr (except that Std = previous FEL
in g/bhp-hr for locomotives that were certified under this part to
an FEL other than the standard during the previous useful life).
FEL = The family emission limit for the engine family in g/bhp-hr.
UL = The sales-weighted average useful life in megawatt-hours (or
the subset of the engine family for which credits are being
calculated), as specified in the application for certification.
Production = The number of locomotives participating in the
averaging, banking, and trading program within the given engine
family during the calendar year (or the number of locomotives in the
subset of the engine family for which credits are being calculated).
Quarterly production projections are used for initial certification.
Actual applicable production/sales volumes are used for end-of-year
compliance determination.
F_p = The proration factor as determined in paragraph (d)
of this section.

[[Page 16069]]

in terms of megawatt-hours (UL) by dividing the useful life in miles by
100,000, and multiplying by the sales-weighted average rated power of
the engine family. For example, if your useful life is 800,000 miles
for a family with an average rated power of 3500 hp, then your
equivalent MW-hr useful life would be 28,000 MW-hrs. Credits are
calculated using this UL value in the equations of paragraph (b) of
this section.
(d) The proration factor is an estimate of the fraction of a
locomotive's service life that remains as a function of age. The
proration factor is 1.00 for freshly manufactured locomotives.
(1) The locomotive's age is the length of time in years from the
date of original manufacture to the date at which the remanufacture
(for which credits are being calculated) is completed, rounded to the
next higher year.
(2) The proration factors for line-haul locomotives ages 1 through
20 are specified in Table 1 of this section. For line-haul locomotives
more than 20 years old, use the proration factor for 20 year old
locomotives. The proration factors for switch locomotives ages 1
through 40 are specified in Table 2 of this section. For switch
locomotives more than 40 years old, use the proration factor for 40
year old locomotives.
(3) For replacement or repower engines, the proration factor is
based on the age of the locomotive chassis, not the age of the engine,
except for remanufactured switch locomotives that qualify as
refurbished. Use a proration factor of 0.60 for remanufactured switch
locomotives meting the definition of refurbished. (Note: The proration
factor is 1.00 for all refurbished locomotives that also meet the
definition of freshly manufactured.)

Table 1 of Sec. 1033.705.--Proration Factors for Line-Haul Locomotives
------------------------------------------------------------------------
Proration
Locomotive age (years) factor
(Fp)
------------------------------------------------------------------------
1.......................................................... 0.96
2.......................................................... 0.92
3.......................................................... 0.88
4.......................................................... 0.84
5.......................................................... 0.81
6.......................................................... 0.77
7.......................................................... 0.73
8.......................................................... 0.69
9.......................................................... 0.65
10......................................................... 0.61
11......................................................... 0.57
12......................................................... 0.54
13......................................................... 0.50
14......................................................... 0.47
15......................................................... 0.43
16......................................................... 0.40
17......................................................... 0.36
18......................................................... 0.33
19......................................................... 0.30
20......................................................... 0.27
------------------------------------------------------------------------

Table 2 of Sec. 1033.705.--Proration Factors for Switch Locomotives
------------------------------------------------------------------------
Proration
Locomotive age (years) factor
------------------------------------------------------------------------
1.......................................................... 0.98
2.......................................................... 0.96
3.......................................................... 0.94
4.......................................................... 0.92
5.......................................................... 0.9
6.......................................................... 0.88
7.......................................................... 0.86
8.......................................................... 0.84
9.......................................................... 0.82
10......................................................... 0.8
11......................................................... 0.78
12......................................................... 0.76
13......................................................... 0.74
14......................................................... 0.72
15......................................................... 0.7
16......................................................... 0.68
17......................................................... 0.66
18......................................................... 0.64
19......................................................... 0.62
20......................................................... 0.6
21......................................................... 0.58
22......................................................... 0.56
23......................................................... 0.54
24......................................................... 0.52
25......................................................... 0.5
26......................................................... 0.48
27......................................................... 0.46
28......................................................... 0.44
29......................................................... 0.42
30......................................................... 0.4
31......................................................... 0.38
32......................................................... 0.36
33......................................................... 0.34
34......................................................... 0.32
35......................................................... 0.3
36......................................................... 0.28
37......................................................... 0.26
38......................................................... 0.24
39......................................................... 0.22
40......................................................... 0.2
------------------------------------------------------------------------

(e) In your application for certification, base your showing of
compliance on projected production volumes for locomotives that will be
placed into service in the United States. As described in Sec.
1033.730, compliance with the requirements of this subpart is
determined at the end of the model year based on actual production
volumes for locomotives that will be placed into service in the United
States. Do not include any of the following locomotives to calculate
emission credits:
(1) Locomotives exempted under subpart G of this part or under 40
CFR part 1068.
(2) Exported locomotives. You may ask to include locomotives sold
to Mexican or Canadian railroads if they will likely operate within the
United States and you include all such locomotives (both credit using
and credit generating locomotives).
(3) Locomotives not subject to the requirements of this part, such
as those excluded under Sec. 1033.5.
(4) [Reserved]
(5) Any other locomotives, where we indicate elsewhere in this part
1033 that they are not to be included in the calculations of this subpart.

Sec. 1033.710 Averaging emission credits.

(a) Averaging is the exchange of emission credits among your engine
families. You may average emission credits only as allowed by Sec.
1033.740.
(b) You may certify one or more engine families to an FEL above the
applicable standard, subject to the FEL caps and other provisions in
subpart B of this part, if you show in your application for
certification that your projected balance of all emission-credit
transactions in that model year is greater than or equal to zero.
(c) If you certify an engine family to an FEL that exceeds the
otherwise applicable standard, you must obtain enough emission credits
to offset the engine family's deficit by the due date for the final
report required in Sec. 1033.730. The emission credits used to address
the deficit may come from your other engine families that generate
emission credits in the same model year, from emission credits you have
banked, or from emission credits you obtain through trading or by transfer.

Sec. 1033.715 Banking emission credits.

(a) Banking is the retention of emission credits by the
manufacturer/remanufacturer generating the emission credits (or owner/
operator, in the case of transferred credits) for use in averaging,
trading, or transferring in future model years. You may use banked
emission credits only as allowed by Sec. 1033.740.
(b) In your application for certification, designate any emission
credits you intend to bank. These emission credits will be considered
reserved credits. During the model year and before the due date for the
final report, you may redesignate these emission credits for averaging
or trading.
(c) You may use banked emission credits from the previous model
year for

[[Page 16070]]

averaging, trading, or transferring before we verify them, but we may
revoke these emission credits if we are unable to verify them after
reviewing your reports or auditing your records.
(d) Reserved credits become actual emission credits only when we
verify them after reviewing your final report.

Sec. 1033.720 Trading emission credits.

(a) Trading is the exchange of emission credits between certificate
holders. You may use traded emission credits for averaging, banking, or
further trading transactions. Traded emission credits may be used only
as allowed by Sec. 1033.740.
(b) You may trade actual emission credits as described in this
subpart. You may also trade reserved emission credits, but we may
revoke these emission credits based on our review of your records or
reports or those of the company with which you traded emission credits.
(c) If a negative emission credit balance results from a
transaction, both the buyer and seller are liable, except in cases we
deem to involve fraud. See Sec. 1033.255(e) for cases involving fraud.
We may void the certificates of all engine families participating in a
trade that results in a manufacturer/remanufacturer having a negative
balance of emission credits. See Sec. 1033.745.

Sec. 1033.722 Transferring emission credits.

(a) Credit transfer is the conveying of control over credits, either:
(1) From a certifying manufacturer/remanufacturer to an owner/operator.
(2) From an owner/operator to a certifying manufacturer/remanufacturer.
(b) Transferred credits can be:
(1) Used by a certifying manufacturer/remanufacturer in averaging.
(2) Transferred again within the model year.
(3) Reserved for later banking. Transferred credits may not be
traded unless they have been previously banked.
(c) Owners/operators participating in credit transfers must submit
the reports specified in Sec. 1033.730.

Sec. 1033.725 Requirements for your application for certification.

(a) You must declare in your application for certification your
intent to use the provisions of this subpart for each engine family
that will be certified using the ABT program. You must also declare the
FELs you select for the engine family for each pollutant for which you
are using the ABT program. Your FELs must comply with the specifications
of subpart B of this part, including the FEL caps. FELs must be expressed
to the same number of decimal places as the applicable standards.
(b) Include the following in your application for certification:
(1) A statement that, to the best of your belief, you will not have
a negative balance of emission credits for any averaging set when all
emission credits are calculated at the end of the year.
(2) Detailed calculations of projected emission credits (positive
or negative) based on projected production volumes. If your engine
family will generate positive emission credits, state specifically
where the emission credits will be applied (for example, to which
engine family they will be applied in averaging, whether they will be
traded, or whether they will be reserved for banking). If you have
projected negative emission credits for an engine family, state the
source of positive emission credits to offset the negative emission
credits. Describe whether the emission credits are actual or reserved
and whether they will come from averaging, banking, trading,
transferring or a combination of these. Identify from which of your
engine families or from which manufacturer/remanufacturer the emission
credits will come.

Sec. 1033.730 ABT reports.

(a) If any of your engine families are certified using the ABT
provisions of this subpart, you must send an end-of-year report within
90 days after the end of the model year and a final report within 270
days after the end of the model year. We may waive the requirement to
send the end-of-year report, as long as you send the final report on time.
(b) Your end-of-year and final reports must include the following
information for each engine family participating in the ABT program:
(1) Engine family designation.
(2) The emission standards that would otherwise apply to the engine
family.
(3) The FEL for each pollutant. If you changed an FEL during the
model year, identify each FEL you used and calculate the positive or
negative emission credits under each FEL. Also, describe how the
applicable FEL can be identified for each locomotive you produced. For
example, you might keep a list of locomotive identification numbers
that correspond with certain FEL values.
(4) The projected and actual production volumes for the model year
that will be placed into service in the United States as described in
Sec. 1033.705. If you changed an FEL during the model year, identify
the actual production volume associated with each FEL.
(5) Rated power for each locomotive configuration, and the sales-
weighted average locomotive power for the engine family.
(6) Useful life.
(7) Calculated positive or negative emission credits for the whole
engine family. Identify any emission credits that you traded or
transferred, as described in paragraph (d)(1) or (e) of this section.
(c) Your end-of-year and final reports must include the following
additional information:
(1) Show that your net balance of emission credits from all your
engine families in each averaging set in the applicable model year is
not negative.
(2) State whether you will reserve any emission credits for banking.
(3) State that the report's contents are accurate.
(d) If you trade emission credits, you must send us a report within
90 days after the transaction, as follows:
(1) As the seller, you must include the following information in
your report:
(i) The corporate names of the buyer and any brokers.
(ii) A copy of any contracts related to the trade.
(iii) The engine families that generated emission credits for the
trade, including the number of emission credits from each family.
(2) As the buyer, you must include the following information in
your report:
(i) The corporate names of the seller and any brokers.
(ii) A copy of any contracts related to the trade.
(iii) How you intend to use the emission credits, including the
number of emission credits you intend to apply to each engine family
(if known).
(e) If you transfer emission credits, you must send us a report
within 90 days after the first transfer to an owner/operator, as follows:
(1) Include the following information:
(i) The corporate names of the owner/operator receiving the credits.
(ii) A copy of any contracts related to the trade.
(iii) The serial numbers and engine families for the locomotive
that generated the transferred emission credits and the number of
emission credits from each family.
(2) The requirements of this paragraph (e) apply separately for
each owner/operator.
(3) We may require you to submit additional 90-day reports under
this paragraph (e).
(f) Send your reports electronically to the Designated Compliance
Officer

[[Page 16071]]

using an approved information format. If you want to use a different
format, send us a written request with justification for a waiver.
(g) Correct errors in your end-of-year report or final report as follows:
(1) You may correct any errors in your end-of-year report when you
prepare the final report, as long as you send us the final report by
the time it is due.
(2) If you or we determine within 270 days after the end of the
model year that errors mistakenly decrease your balance of emission
credits, you may correct the errors and recalculate the balance of
emission credits. You may not make these corrections for errors that
are determined more than 270 days after the end of the model year. If
you report a negative balance of emission credits, we may disallow
corrections under this paragraph (g)(2).
(3) If you or we determine anytime that errors mistakenly increase
your balance of emission credits, you must correct the errors and
recalculate the balance of emission credits.
(h) We may modify these requirements for owners/operators required
to submit reports because of their involvement in credit transferring.

Sec. 1033.735 Required records.

(a) You must organize and maintain your records as described in
this section. We may review your records at any time.
(b) Keep the records required by this section for eight years after
the due date for the end-of-year report. You may not use emission
credits on any engines if you do not keep all the records required
under this section. You must therefore keep these records to continue
to bank valid credits. Store these records in any format and on any
media, as long as you can promptly send us organized, written records
in English if we ask for them. You must keep these records readily
available. We may review them at any time.
(c) Keep a copy of the reports we require in Sec. 1033.725 and
Sec. 1033.730.
(d) Keep the following additional records for each locomotive you
produce that generates or uses emission credits under the ABT program:
(1) Engine family designation.
(2) Locomotive identification number.
(3) FEL.
(4) Rated power and useful life.
(5) Build date and assembly plant.
(6) Purchaser and destination.
(e) We may require you to keep additional records or to send us
relevant information not required by this section.

Sec. 1033.740 Credit restrictions.

Use of emission credits generated under this part 1033 or 40 CFR
part 92 is restricted depending on the standards against which they
were generated.
(a) Credits from 40 CFR part 92. (1) PM credits generated under 40
CFR part 92 may not be used under this part.
(2) NO_X credits generated under 40 CFR part 92 may be
used under this part in the same manner as NO_X credits
generated under this part.
(b) General cycle restriction. Locomotives subject to both switch
cycle standards and line-haul cycle standards (such as Tier 2
locomotives) may generate both switch and line-haul credits. Except as
specified in paragraph (c) of this section, such credits may only be
used to show compliance with standards for the same cycle for which
they were generated. For example, a Tier 2 locomotive that is certified
to a switch cycle NO_X FEL below the applicable switch cycle
standard and a line-haul cycle NO_X FEL below the applicable
line-haul cycle standard may generate switch cycle NO_X
credits for use in complying with switch cycle NO_X standards
and line-haul cycle NO_X credits for use in complying with
line-haul cycle NO_X standards.
(c) Single cycle locomotives. As specified in Sec. 1033.101, Tier
0 switch locomotives, Tier 3 and later switch locomotives, and Tier 4
and later line-haul locomotives are not subject to both switch cycle
and line-haul cycle standards.
(1) When using credits generated by locomotives covered by
paragraph (b) of this section for single cycle locomotives covered by
this paragraph (c), you must use both switch and line-haul credits as
described in this paragraph (c)(1).
(i) For locomotives subject only to switch cycle standards,
calculate the negative switch credits for the credit using locomotive
as specified in Sec. 1033.705. Such locomotives also generate an equal
number of negative line-haul cycle credits (in Mg).
(ii) For locomotives subject only to line-haul cycle standards,
calculate the negative line-haul credits for the credit using
locomotive as specified in Sec. 1033.705. Such locomotives also
generate an equal number of negative switch cycle credits (in Mg).
(2) Credits generated by Tier 0, Tier 3, or Tier 4 switch
locomotives may be used to show compliance with any switch cycle or
line-haul cycle standards.
(3) Credits generated by any line-haul locomotives may not be used
by Tier 3 or later switch locomotives.
(d) Tier 4 credit use. The number of Tier 4 locomotives that can be
certified using credits in any year may not exceed 50 percent of the
total number of Tier 4 locomotives you produce in that year for U.S. sales.
(e) Other restrictions. Other sections of this part may specify
additional restrictions for using emission credits under certain
special provisions.

Sec. 1033.745 Compliance with the provisions of this subpart.

The provisions of this section apply to certificate holders.
(a) For each engine family participating in the ABT program, the
certificate of conformity is conditional upon full compliance with the
provisions of this subpart during and after the model year. You are
responsible to establish to our satisfaction that you fully comply with
applicable requirements. We may void the certificate of conformity for
an engine family if you fail to comply with any provisions of this subpart.
(b) You may certify your engine family to an FEL above an
applicable standard based on a projection that you will have enough
emission credits to offset the deficit for the engine family. However,
we may void the certificate of conformity if you cannot show in your
final report that you have enough actual emission credits to offset a
deficit for any pollutant in an engine family.
(c) We may void the certificate of conformity for an engine family
if you fail to keep records, send reports, or give us information we
request.
(d) You may ask for a hearing if we void your certificate under
this section (see Sec. 1033.920).

Sec. 1033.750 Changing a locomotive's FEL at remanufacture.

Locomotives are generally required to be certified to the
previously applicable standard or FEL when remanufactured. This section
describes provisions that allow a remanufactured locomotive to be
certified to a different FEL (higher or lower).
(a) A remanufacturer may choose to certify a remanufacturing system
to change the FEL of a locomotive from a previously applicable FEL or
standard. Any locomotives remanufactured using that system are required
to comply with the revised FEL for the remainder of their service
lives, unless it is changed again under this section during a later
remanufacture. Remanufacturers must notify the owner of the locomotive
that it is required to comply with that FEL for the remainder of its
service life.
(b) Calculate the credits needed or generated as specified in Sec.
1033.705, except as specified in this paragraph. If the locomotive was
previously certified to an FEL for the pollutant, use the previously
applicable FEL as the standard.

[[Page 16072]]

Subpart I--Requirements for Owners and Operators

Sec. 1033.801 Applicability.

The requirements of this subpart are applicable to railroads and
all other owners and operators of locomotives subject to the provisions
of this part, except as otherwise specified. The prohibitions related
to maintenance in Sec. 1033.815 also applies to anyone performing
maintenance on a locomotive subject to the provisions of this part.

Sec. 1033.805 Remanufacturing requirements.

(a) See the definition of remanufacture in Sec. 1033.901 to
determine if you are remanufacturing your locomotive or engine. (Note:
Replacing power assemblies one at a time may qualify as
remanufacturing, depending on the interval between replacement.)
(b) See the definition of ``new'' in Sec. 1033.901 to determine if
remanufacturing your locomotive makes it subject to the requirements of
this part. If the locomotive is considered to be new, it is subject to
the certification requirements of this part, unless it is exempt under
subpart G of this part. The standards to which your locomotive is
subject will depend on factors such as the following:
(1) Its date of original manufacture.
(2) The FEL to which it was previously certified.
(3) Its power rating (whether it is above or below 2300 hp).
(4) The calendar year in which it is being remanufactured.
(c) You may comply with the certification requirements of this part
for your remanufactured locomotive by either obtaining your own
certificate of conformity as specified in subpart C of this part or by
having a certifying remanufacturer include your locomotive under its
certificate of conformity. In either case, your remanufactured
locomotive must be covered by a certificate before it is reintroduced
into service.
(d) Contact a certifying remanufacturer to have your locomotive
included under its certificate of conformity. You must comply with the
certificate holder's emission-related installation instructions.
(e) Failure to comply with this section is a violation of 40 CFR
1068.101(a)(1).

Sec. 1033.810 In-use testing program.

(a) Applicability. This section applies to all Class I freight
railroads. It does not apply to other owner/operators.
(b) Testing requirements. Annually test a sample of locomotives in
your fleet. For purposes of this section, your fleet includes both the
locomotives that you own and the locomotives that you are leasing. Use
the test procedures in subpart F of this part, unless we approve
different procedures.
(1) Except for the cases described in paragraph (b)(2) of this
section, test at least 0.15 percent of the average number of
locomotives in your fleet during the previous calendar year (i.e.,
determine the number to be tested by multiplying the number of locomotives
in the fleet by 0.0015 and rounding up to the next whole number).
(2) In certain cases, you may test fewer locomotives:
(i) If during the previous 5 years, no new locomotive emission
standards have taken effect, the locomotive emission controls have not
changed fundamentally (in any manner that could reasonably be expected
to have the potential to significantly affect emissions durability),
and testing has shown that the degree of compliance for tested
locomotives is sufficiently high, then you are only required to test
0.10 percent of the locomotives in your fleet.
(ii) If during the previous 5 years, no new locomotive emission
standards have taken effect, the locomotive emission controls have not
changed fundamentally (in any manner that could reasonably be expected
to have the potential to significantly affect emissions durability),
testing has shown that the degree of compliance for tested locomotives
is sufficiently high, and you have fewer than 500 locomotives in your
fleet, then you are not required to test any locomotives.
(iii) We may allow you to test a smaller number of locomotives if
we determine that the number of tests otherwise required by this
section is not necessary.
(c) Test locomotive selection. To the extent possible, select
locomotives from each manufacturer and remanufacturer, and from each
tier level (e.g., Tier 0, Tier 1 and Tier 2) in proportion to their
numbers in the your fleet. Exclude locomotives tested during the
previous year. You may not exclude locomotives because of visible smoke,
a history of durability problems, or other evidence of malmaintenance.
(1) If possible, select locomotives that have been certified in
compliance with requirements in this part (or 40 CFR part 92), and that
have been operated for at least 100 percent of their useful lives. If
the number of certified locomotives that have been operated for at
least 100 percent of their useful lives is not large enough to fulfill
the testing requirement, test locomotives still within their useful
lives as follows:
(i) Test locomotives in your fleet that are nearest to the end of
their useful lives. You may identify such locomotives as a range of
values representing the fraction of the useful life already used up for
the locomotives.
(ii) For example, you may determine that 20 percent of your fleet
has been operated for at least 75 percent of their useful lives. In
such a case, select locomotives for testing that have been operated for
at least 75 percent of their useful lives.
(2) We may require that you test specific locomotives, including
locomotives that do not meet the criteria specified in paragraph (c)(1)
of this section. Otherwise, where there are multiple locomotives
meeting the requirements of this paragraph (c), randomly select the
locomotives to be tested from among those locomotives.
(d) Reporting requirements. Report all testing done in compliance
with the provisions of this section to us within 30 calendar days after
the end of each calendar year. At a minimum, include the following:
(1) Your full corporate name and address.
(2) For each locomotive tested, all the following:
(i) Corporate name of the manufacturer and last remanufacturer(s)
of the locomotive (including both certificate holder and installer,
where different), and the corporate name of the manufacturer or last
remanufacturer(s) of the engine if different than that of the
manufacturer/remanufacturer(s) of the locomotive.
(ii) Year (and month if known) of original manufacture of the
locomotive and the engine, and the manufacturer's model designation of
the locomotive and manufacturer's model designation of the engine, and
the locomotive identification number.
(iii) Year (and month if known) that the engine last underwent
remanufacture, the engine remanufacturer's designation that reflects
(or most closely reflects) the engine after the last remanufacture, and
the engine family identification.
(iv) The number of MW-hrs and miles (where available) the
locomotive has been operated since its last remanufacture.
(v) The emission test results for all measured pollutants.
(e) You do not have to submit a report for any year in which you
performed no emission testing under this section.
(f) You may submit equivalent emission data collected for other
purposes instead of some or all of the test data required by this
section. If we allow it in advance, you may report

[[Page 16073]]

emission data collected using other testing or sampling procedures
instead of some or all of the data specified by this section.
(g) Submit all reports to the Designated Compliance Officer.
(h) Failure to comply fully with this section is a violation of 40
CFR 1068.101(a)(2).

Sec. 1033.815 Maintenance, operation, and repair.

(a) Unless we allow otherwise, all owners of locomotives subject to
the provisions of this part must ensure that all emission-related
maintenance is performed on the locomotives, as specified in the
maintenance instructions provided by the certifying manufacturer/
remanufacturer in compliance with Sec. 1033.125 (or maintenance that
is equivalent to the maintenance specified by the certifying
manufacturer/remanufacturer in terms of maintaining emissions performance).
(b) Use good engineering judgment when performing maintenance of
locomotives subject to the provisions of this part. You must perform
all maintenance and repair such that you have a reasonable technical
basis for believing the locomotive will continue (after the maintenance
or repair) to meet the applicable emission standards and FELs to which
it was certified.
(c) The owner of the locomotive must keep records of all
maintenance and repairs that could reasonably affect the emission
performance of any locomotive subject to the provisions of this part.
Keep these records for eight years.
(d) In addition, for locomotives equipped with emission controls
requiring the use of specific fuels, lubricants, or other fluids, you
must comply with the manufacturer/remanufacturer's specifications for
such fluids when operating the locomotives. For locomotives equipped
with SCR systems requiring the use of urea or other reductants, you
must report to us within 30 days of any operation of such locomotives
without the appropriate urea other reductants.
(e) Failure to fully comply with this section is a violation of 40
CFR 1068.101(b).

Sec. 1033.820 In-use locomotives.

(a) We may require you to supply in-use locomotives to us for
testing. We will specify a reasonable time and place at which you must
supply the locomotives and a reasonable period during which we will
keep them for testing. We will make reasonable allowances for you to
schedule the supply of locomotives to minimize disruption of your
operations. The number of locomotives that you must supply is limited
as follows:
(1) We will not require a Class I railroad to supply more than five
locomotives per railroad per calendar year.
(2) We will not require a non-Class I railroad (or other entity
subject to the provisions of this subpart) to supply more than two
locomotives per railroad per calendar year. We will request locomotives
under this paragraph (a)(2) only for purposes that cannot be accomplished
using locomotives supplied under paragraph (a)(1) of this section.
(b) You must make reasonable efforts to supply manufacturers and
remanufacturers of locomotives with the test locomotives needed to
fulfill the in-use testing requirements in subpart E of this part.
(c) Failure to fully comply with this section is a violation of 40
CFR 1068.101(a)(2).

Sec. 1033.825 Refueling requirements.

(a) If your locomotive operates using a volatile fuel, your
refueling equipment must be designed and used to minimize the escape of
fuel vapors. This means you may not use refueling equipment in a way
that renders any refueling emission controls inoperative or reduces
their effectiveness.
(b) If your locomotive operates using a gaseous fuel, the hoses
used to refuel it may not be designed to be bled or vented to the
atmosphere under normal operating conditions.
(c) Failing to fully comply with the requirements of this section
is a violation of 40 CFR 1068.101(b).

Subpart J--Definitions and Other Reference Information

Sec. 1033.901 Definitions.

The following definitions apply to this part. The definitions apply
to all subparts unless we note otherwise. All undefined terms have the
meaning the Clean Air Act gives to them. The definitions follow:
Adjustable parameter means any device, system, or element of design
that someone can adjust (including those which are difficult to access)
and that, if adjusted, may affect emissions or locomotive performance
during emission testing or normal in-use operation. This includes, but
is not limited to, parameters related to injection timing and fueling
rate. You may ask us to exclude a parameter if you show us that it will
not be adjusted in a way that affects emissions during in-use operation.
Aftertreatment means relating to a catalytic converter, particulate
filter, or any other system, component, or technology mounted
downstream of the exhaust valve (or exhaust port), whose design
function is to reduce emissions in the locomotive exhaust before it is
exhausted to the environment. Exhaust-gas recirculation (EGR) is not
aftertreatment.
Alcohol fuel means a fuel consisting primarily (more than 50 percent
by weight) of one or more alcohols: e.g., methyl alcohol, ethyl alcohol.
Alternator/generator efficiency means the ratio of the electrical
power output from the alternator/generator to the mechanical power
input to the alternator/generator at the operating point. Note that the
alternator/generator efficiency may be different at different operating
points.
Applicable emission standard or applicable standard means a
standard to which a locomotive is subject; or, where a locomotive has
been or is being certified to another standard or FEL, the FEL or other
standard to which the locomotive has been or is being certified is the
applicable standard. This definition does not apply to Subpart H of
this part.
Auxiliary emission control device means any element of design that
senses temperature, motive speed, engine RPM, transmission gear, or any
other parameter for the purpose of activating, modulating, delaying, or
deactivating the operation of any part of the emission-control system.
Auxiliary engine means a nonroad engine that provides hotel power
or power during idle, but does not provide power to propel the locomotive.
Auxiliary power means the power provided by the main propulsion
engine to operate accessories such as cooling fans.
Averaging means the exchange of emission credits among engine
families within a given manufacturer's, or remanufacturer's product line.
Banking means the retention of emission credits by a credit holder
for use in future calendar year averaging or trading as permitted by
the regulations in this part.
Brake power means the sum of the alternator/generator input power
and the mechanical accessory power, excluding any power required to
fuel, lubricate, heat, or cool the engine or to operate aftertreatment
devices.
Calibration means the set of specifications, including tolerances,
specific to a particular design, version, or application of a
component, or components, or assembly capable of functionally
describing its operation over its working range.

[[Page 16074]]

Certification means the process of obtaining a certificate of
conformity for an engine family that complies with the emission
standards and requirements in this part, or relating to that process.
Certified emission level means the highest deteriorated emission
level in an engine family for a given pollutant from a given test cycle.
Class I freight railroad means a Class I railroad that primarily
transports freight rather than passengers.
Class I railroad means a railroad that has been classified as a
Class I railroad by the Surface Transportation Board.
Class II railroad means a railroad that has been classified as a
Class II railroad by the Surface Transportation Board.
Class III railroad means a railroad that has been classified as a
Class III railroad by the Surface Transportation Board.
Clean Air Act means the Clean Air Act, as amended, 42 U.S.C. 7401-7671q.
Configuration means a unique combination of locomotive hardware and
calibration within an engine family. Locomotives within a single
configuration differ only with respect to normal production variability
(or factors unrelated to engine performance or emissions).
Crankcase emissions means airborne substances emitted to the
atmosphere from any part of the locomotive crankcase's ventilation or
lubrication systems. The crankcase is the housing for the crankshaft
and other related internal parts.
Design certify or certify by design means to certify a locomotive
based on inherent design characteristics rather than your test data,
such as allowed under Sec. 1033.625. All other requirements of this
part apply for such locomotives.
Designated Compliance Officer means the Manager, Heavy Duty and
Nonroad Engine Group (6403-), U.S. Environmental Protection Agency,
1200 Pennsylvania Ave., NW., Washington, DC 20460.
Designated Enforcement Officer means the Director, Air Enforcement
Division (2242A), U.S. Environmental Protection Agency, 1200
Pennsylvania Ave., NW., Washington, DC 20460.
Deteriorated emission level means the emission level that results
from applying the appropriate deterioration factor to the official
emission result of the emission-data locomotive.
Deterioration factor means the relationship between emissions at
the end of useful life and emissions at the low-hour test point,
expressed in one of the following ways:
(1) For multiplicative deterioration factors, the ratio of
emissions at the end of useful life to emissions at the low-hour test point.
(2) For additive deterioration factors, the difference between
emissions at the end of useful life and emissions at the low-hour test
point.
Discrete-mode means relating to the discrete-mode type of steady-
state test described in Sec. 1033.510.
Emission control system means any device, system, or element of
design that controls or reduces the regulated emissions from a locomotive.
Emission credits represent the amount of emission reduction or
exceedance, by a locomotive engine family, below or above the emission
standard, respectively. Emission reductions below the standard are
considered as ``positive credits,'' while emission exceedances above
the standard are considered as ``negative credits.'' In addition,
``projected credits'' refer to emission credits based on the projected
applicable production/sales volume of the engine family. ``Reserved
credits'' are emission credits generated within a calendar year waiting
to be reported to EPA at the end of the calendar year. ``Actual credits''
refer to emission credits based on actual applicable production/sales
volume as contained in the end-of-year reports submitted to EPA.
Emission-data locomotive means a locomotive or engine that is
tested for certification. This includes locomotives tested to establish
deterioration factors.
Emission-related maintenance means maintenance that substantially
affects emissions or is likely to substantially affect emission
deterioration.
Engine family has the meaning given in Sec. 1033.230.
Engine used in a locomotive means an engine incorporated into a
locomotive or intended for incorporation into a locomotive.
Engineering analysis means a summary of scientific and/or
engineering principles and facts that support a conclusion made by a
manufacturer/remanufacturer, with respect to compliance with the
provisions of this part.
EPA Enforcement Officer means any officer or employee of the
Environmental Protection Agency so designated in writing by the
Administrator or his/her designee.
Exempted means relating to a locomotive that is not required to
meet otherwise applicable standards. Exempted locomotives must conform
to regulatory conditions specified for an exemption in this part 1033
or in 40 CFR part 1068. Exempted locomotives are deemed to be ``subject
to'' the standards of this part, even though they are not required to
comply with the otherwise applicable requirements. Locomotives exempted
with respect to a certain tier of standards may be required to comply
with an earlier tier of standards as a condition of the exemption; for
example, locomotives exempted with respect to Tier 3 standards may be
required to comply with Tier 2 standards.
Excluded means relating to a locomotive that either has been
determined not to be a locomotive (as defined in this section) or
otherwise excluded under section Sec. 1033.5. Excluded locomotives are
not subject to the standards of this part
Exhaust emissions means substances (i.e., gases and particles)
emitted to the atmosphere from any opening downstream from the exhaust
port or exhaust valve of a locomotive engine.
Exhaust-gas recirculation means a technology that reduces emissions
by routing exhaust gases that had been exhausted from the combustion
chamber(s) back into the locomotive to be mixed with incoming air
before or during combustion. The use of valve timing to increase the
amount of residual exhaust gas in the combustion chamber(s) that is
mixed with incoming air before or during combustion is not considered
exhaust-gas recirculation for the purposes of this part.
Freshly manufactured locomotive means a new locomotive that
contains fewer than 25 percent previously used parts (weighted by the
dollar value of the parts) as described in Sec. 1033.640.
Freshly manufactured engine means a new engine that has not been
remanufactured. An engine becomes freshly manufactured when it is
originally manufactured.
Family emission limit (FEL) means an emission level declared by the
manufacturer/remanufacturer to serve in place of an otherwise
applicable emission standard under the ABT program in subpart H of this
part. The family emission limit must be expressed to the same number of
decimal places as the emission standard it replaces. The family
emission limit serves as the emission standard for the engine family
with respect to all required testing.
Fuel system means all components involved in transporting,
metering, and mixing the fuel from the fuel tank to the combustion
chamber(s), including the fuel tank, fuel tank cap, fuel pump, fuel
filters, fuel lines, carburetor or fuel-injection components, and all
fuel-system vents.
Fuel type means a general category of fuels such as diesel fuel or
natural gas. There can be multiple grades within a

[[Page 16075]]

single fuel type, such as high-sulfur or low-sulfur diesel fuel.
Gaseous fuel means a fuel which is a gas at standard temperature
and pressure. This includes both natural gas and liquefied petroleum gas.
Good engineering judgment means judgments made consistent with
generally accepted scientific and engineering principles and all
available relevant information. See 40 CFR 1068.5 for the
administrative process we use to evaluate good engineering judgment.
Green engine factor means a factor that is applied to emission
measurements from a locomotive or locomotive engine that has had little
or no service accumulation. The green engine factor adjusts emission
measurements to be equivalent to emission measurements from a locomotive
or locomotive engine that has had approximately 300 hours of use.
High-altitude means relating to an altitude greater than 4000 feet
(1220 meters) and less than 7000 feet (2135 meters), or equivalent
observed barometric test conditions (approximately 79 to 88 kPa).
High-sulfur diesel fuel means one of the following:
(1) For in-use fuels, high-sulfur diesel fuel means a diesel fuel
with a maximum sulfur concentration greater than 500 parts per million.
(2) For testing, high-sulfur diesel fuel has the meaning given in
40 CFR part 1065.
Hotel power means the power provided by an engine on a locomotive
to operate equipment on passenger cars of a train; e.g., heating and
air conditioning, lights, etc.
Hydrocarbon (HC) means the hydrocarbon group (THC, NMHC, or THCE)
on which the emission standards are based for each fuel type as
described in Sec. 1033.101.
Identification number means a unique specification (for example, a
model number/serial number combination) that allows someone to
distinguish a particular locomotive from other similar locomotives.
Idle speed means the speed, expressed as the number of revolutions
of the crankshaft per unit of time (e.g., rpm), at which the engine is
set to operate when not under load for purposes of propelling the
locomotive. There are typically one or two idle speeds on a locomotive
as follows:
(1) Normal idle speed means the idle speed for the idle throttle-
notch position for locomotives that have one throttle-notch position,
or the highest idle speed for locomotives that have two idle throttle-
notch positions.
(2) Low idle speed means the lowest idle speed for locomotives that
have two idle throttle-notch positions.
Inspect and qualify means to determine that a previously used
component or system meets all applicable criteria listed for the
component or system in a certificate of conformity for remanufacturing
(such as to determine that the component or system is functionally
equivalent to one that has not been used previously).
Installer means an individual or entity that assembles
remanufactured locomotives or locomotive engines.
Liquefied petroleum gas means the commercial product marketed as
propane or liquefied petroleum gas.
Locomotive means a self-propelled piece of on-track equipment
designed for moving or propelling cars that are designed to carry
freight, passengers or other equipment, but which itself is not
designed or intended to carry freight, passengers (other than those
operating the locomotive) or other equipment. The following other
equipment are not locomotives (see 40 CFR parts 86, 89, and 1039 for
this diesel-powered equipment):
(1) Equipment which is designed for operation both on highways and
rails is not a locomotive.
(2) Specialized railroad equipment for maintenance, construction,
post-accident recovery of equipment, and repairs; and other similar
equipment, are not locomotives.
(3) Vehicles propelled by engines with total rated power of less
than 750 kW (1006 hp) are not locomotives, unless the owner (which may
be a manufacturer) chooses to have the equipment certified to meet the
requirements of this part (under Sec. 1033.615). Where equipment is
certified as a locomotive pursuant to this paragraph (3), it is subject
to the requirements of this part for the remainder of its service life.
For locomotives propelled by two or more engines, the total rated power
is the sum of the rated power of each engine.
Low-hour means relating to a locomotive with stabilized emissions
and represents the undeteriorated emission level. This would generally
involve less than 300 hours of operation.
Low mileage locomotive means a locomotive during the interval
between the time that normal assembly operations and adjustments are
completed and the time that either 10,000 miles of locomotive operation
or 300 additional operating hours have been accumulated (including
emission testing if performed).
Low-sulfur diesel fuel means one of the following:
(1) For in-use fuels, low-sulfur diesel fuel means a diesel fuel
marketed as low-sulfur fuel with a sulfur concentration of 15 to 500
parts per million.
(2) For testing, low-sulfur diesel fuel has the meaning given in 40
CFR part 1065.
Malfunction means a condition in which the operation of a component
in a locomotive or locomotive engine occurs in a manner other than that
specified by the certifying manufacturer/remanufacturer (e.g., as
specified in the application for certification); or the operation of
the locomotive or locomotive engine in that condition.
Manufacture means the physical and engineering process of
designing, constructing, and assembling a locomotive or locomotive engine.
Manufacturer has the meaning given in section 216(1) of the Clean
Air Act with respect to freshly manufactured locomotives or engines. In
general, this term includes any person who manufactures a locomotive or
engine for sale in the United States or otherwise introduces a new
locomotive or engine into commerce in the United States. This includes
importers who import locomotives or engines for resale.
Manufacturer/remanufacturer means the manufacturer of a freshly
manufactured locomotive or the remanufacturer of a remanufactured
locomotive, as applicable.
Model year means a calendar year in which a locomotive is
manufactured or remanufactured.
New when relating to a locomotive or engine has the meaning given
in paragraph (1) of this definition, except as specified in paragraph
(2) of this definition:
(1) A locomotive or engine is new if its equitable or legal title
has never been transferred to an ultimate purchaser. Where the
equitable or legal title to a locomotive or engine is not transferred
prior to its being placed into service, the locomotive or engine ceases
to be new when it is placed into service. A locomotive or engine also
becomes new if it is remanufactured (as defined in this section). A
remanufactured locomotive or engine ceases to be new when placed back
into service. With respect to imported locomotives or locomotive
engines, the term ``new locomotive'' or ``new locomotive engine'' also
means a locomotive or locomotive engine that is not covered by a
certificate of conformity under this part at the time of importation,
and that was manufactured or remanufactured

[[Page 16076]]

after the effective date of the emission standards in this part which
is applicable to such locomotive or engine (or which would be
applicable to such locomotive or engine had it been manufactured or
remanufactured for importation into the United States). Note that
replacing an engine in one locomotive with an unremanufactured used
engine from a different locomotive does not make a locomotive new.
(2) The provisions of paragraph (1) of this definition do not apply
for the following cases:
(i) Locomotives and engines that were originally manufactured
before January 1, 1973 are not considered to become new when
remanufactured unless they have been upgraded (as defined in this
section). The provisions of paragraph (1) of this definition apply for
locomotives that have been upgraded.
(ii) Locomotives that are owned and operated by a small railroad
and that have never been remanufactured into a certified configuration
are not considered to become new when remanufactured. The provisions of
paragraph (1) of this definition apply for locomotives that have been
remanufactured into a certified configuration.
Nonconforming means relating to a locomotive that is not covered by
a certificate of conformity prior to importation or being offered for
importation (or for which such coverage has not been adequately
demonstrated to EPA); or a locomotive which was originally covered by a
certificate of conformity, but which is not in a certified
configuration, or otherwise does not comply with the conditions of that
certificate of conformity. (Note: Domestic locomotives and locomotive
engines not covered by a certificate of conformity prior to their
introduction into U.S. commerce are considered to be noncomplying
locomotives and locomotive engines.)
Non-locomotive-specific engine means an engine that is sold for and
used in non-locomotive applications much more than for locomotive
applications.
Nonmethane hydrocarbon has the meaning given in 40 CFR 1065.1001.
This generally means the difference between the emitted mass of total
hydrocarbons and the emitted mass of methane.
Nonroad means relating to a nonroad engines as defined in 40 CFR
1068.30.
Official emission result means the measured emission rate for an
emission-data locomotive on a given duty cycle before the application
of any deterioration factor, but after the application of regeneration
adjustment factors, green engine factors, and/or humidity correction
factors.
Opacity means the fraction of a beam of light, expressed in
percent, which fails to penetrate a plume of smoke, as measured by the
procedure specified in Sec. 1033.515.
Oxides of nitrogen has the meaning given in 40 CFR part 1065.
Original manufacture means the event of freshly manufacturing a
locomotive or locomotive engine. The date of original manufacture is
the date of final assembly, except as provided in Sec. 1033.655. Where
a locomotive is manufactured under Sec. 1033.620(b), the date of
original manufacture is the date on which the final assembly of
locomotive was originally scheduled. See also Sec. 1033.640
Original remanufacture means the first remanufacturing of a
locomotive at which the locomotive is subject to the emission standards
of this part.
Owner/operator means the owner and/or operator of a locomotive.
Owners manual means a written or electronic collection of
instructions provided to ultimate purchasers to describe the basic
operation of the locomotive.
Particulate trap means a filtering device that is designed to
physically trap all particulate matter above a certain size.
Passenger locomotive means a locomotive designed and constructed
for the primary purpose of propelling passenger trains, and providing
power to the passenger cars of the train for such functions as heating,
lighting and air conditioning.
Petroleum fuel means gasoline or diesel fuel or another liquid fuel
primarily derived from crude oil.
Placed into service means put into initial use for its intended
purpose after becoming new.
Power assembly means the components of an engine in which
combustion of fuel occurs, and consists of the cylinder, piston and
piston rings, valves and ports for admission of charge air and
discharge of exhaust gases, fuel injection components and controls,
cylinder head and associated components.
Primary fuel means the type of fuel (e.g., diesel fuel) that is
consumed in the greatest quantity (mass basis) when the locomotive is
operated in use.
Produce means to manufacture or remanufacture. Where a certificate
holder does not actually assemble the locomotives or locomotive engines
that it manufactures or remanufactures, produce means to allow other
entities to assemble locomotives under the certificate holder's certificate.
Railroad means a commercial entity that operates locomotives to
transport passengers or freight.
Ramped-modal means relating to the ramped-modal type of testing in
subpart F of this part.
Rated power has the meaning given in Sec. 1033.140.
Refurbish has the meaning given in Sec. 1033.640.
Remanufacture means one of the following:
(1)(i) To replace, or inspect and qualify, each and every power
assembly of a locomotive or locomotive engine, whether during a single
maintenance event or cumulatively within a five year period.
(ii) To upgrade a locomotive or locomotive engine.
(iii) To convert a locomotive or locomotive engine to enable it to
operate using a fuel other than it was originally manufactured to use.
(iv) To install a remanufactured engine or a freshly manufactured
engine into a previously used locomotive.
(v) To repair a locomotive engine that does not contain power
assemblies to a condition that is equivalent to or better than its
original condition with respect to reliability and fuel consumption.
(2) Remanufacture also means the act of remanufacturing.
Remanufacture system or remanufacturing system means all components
(or specifications for components) and instructions necessary to
remanufacture a locomotive or locomotive engine in accordance with
applicable requirements of this part or 40 CFR part 92.
Remanufactured locomotive means either a locomotive powered by a
remanufactured locomotive engine, or a repowered locomotive.
Remanufactured locomotive engine means a locomotive engine that has
been remanufactured.
Remanufacturer has the meaning given to ``manufacturer'' in section
216(1) of the Clean Air Act with respect to remanufactured locomotives.
(See Sec. Sec. 1033.1 and 1033.601 for applicability of this term.)
This term includes:
(1) Any person that is engaged in the manufacture or assembly of
remanufactured locomotives or locomotive engines, such as persons who:
(i) Design or produce the emission-related parts used in
remanufacturing.
(ii) Install parts in an existing locomotive or locomotive engine
to remanufacture it.
(iii) Own or operate the locomotive or locomotive engine and
provide specifications as to how an engine is to be remanufactured
(i.e., specifying who

[[Page 16077]]

will perform the work, when the work is to be performed, what parts are
to be used, or how to calibrate the adjustable parameters of the engine).
(2) Any person who imports remanufactured locomotives or
remanufactured locomotive engines.
Repower means replacement of the engine in a previously used
locomotive with a freshly manufactured locomotive engine. See Sec. 1033.640.
Repowered locomotive means a locomotive that has been repowered
with a freshly manufactured engine.
Revoke has the meaning given in 40 CFR 1068.30. In general this
means to terminate the certificate or an exemption for an engine family.
Round means to round numbers as specified in 40 CFR 1065.1001.
Service life means the total life of a locomotive. Service life
begins when the locomotive is originally manufactured and continues
until the locomotive is permanently removed from service.
Small railroad means a railroad meeting the criterion of paragraph
(1) or (2) of this definition, but not the criterion of paragraph (3)
of this definition. For the purpose of this part, the number of
employees includes all employees of the railroad's parent company, if
applicable.
(1) Line-haul railroads with 1,500 or fewer employees are small
railroads.
(2) Local and terminal railroads with 500 or fewer employees are
small railroads.
(3) Intercity passenger and commuter railroads are excluded from
this definition of small railroad.
Small manufacturer means a manufacturer/remanufacturer with 1,000
or fewer employees. For purposes of this part, the number of employees
includes all employees of the manufacturer/remanufacturer's parent
company, if applicable.
Specified adjustable range means the range of allowable settings
for an adjustable component specified by a certificate of conformity.
Specified by a certificate of conformity or specified in a
certificate of conformity means stated or otherwise specified in a
certificate of conformity or an approved application for certification.
Sulfur-sensitive technology means an emission-control technology
that experiences a significant drop in emission control performance or
emission-system durability when a locomotive is operated on low-sulfur
fuel (i.e., fuel with a sulfur concentration of 300 to 500 ppm) as
compared to when it is operated on ultra low-sulfur fuel (i.e., fuel
with a sulfur concentration less than 15 ppm). Exhaust-gas
recirculation is not a sulfur-sensitive technology.
Suspend has the meaning given in 40 CFR 1068.30. In general this
means to temporarily discontinue the certificate or an exemption for an
engine family.
Switch locomotive means a locomotive that is powered by an engine
with a maximum rated power (or a combination of engines having a total
rated power) of 2300 hp or less.
Test locomotive means a locomotive or engine in a test sample.
Test sample means the collection of locomotives or engines selected
from the population of an engine family for emission testing. This may
include testing for certification, production-line testing, or in-use
testing.
Tier 1 means relating to the Tier 1 emission standards, as shown in
Sec. 1033.101.
Tier 2 means relating to the Tier 2 emission standards, as shown in
Sec. 1033.101.
Tier 3 means relating to the Tier 3 emission standards, as shown in
Sec. 1033.101.
Tier 4 means relating to the Tier 4 emission standards, as shown in
Sec. 1033.101.
Total hydrocarbon has the meaning given in 40 CFR 1065.1001. This
generally means the combined mass of organic compounds measured by the
specified procedure for measuring total hydrocarbon, expressed as a
hydrocarbon with a hydrogen-to-carbon mass ratio of 1.85:1.
Total hydrocarbon equivalent has the meaning given in 40 CFR
1065.1001. This generally means the sum of the carbon mass
contributions of non-oxygenated hydrocarbons, alcohols and aldehydes,
or other organic compounds that are measured separately as contained in
a gas sample, expressed as exhaust hydrocarbon from petroleum-fueled
locomotives. The hydrogen-to-carbon ratio of the equivalent hydrocarbon
is 1.85:1.
Ultimate purchaser means the first person who in good faith
purchases a new locomotive for purposes other than resale.
Ultra low-sulfur diesel fuel means one of the following:
(1) For in-use fuels, ultra low-sulfur diesel fuel means a diesel
fuel with a maximum sulfur concentration of 15 parts per million.
(2) For testing, ultra low-sulfur diesel fuel has the meaning given
in 40 CFR part 1065.
Upcoming model year means for an engine family the model year after
the one currently in production.
Upgrade means to modify a locomotive that was originally
manufactured prior to January 1, 1973 (or a locomotive that was
originally manufactured on or after January 1, 1973, and that is not
subject to the emission standards of this part), such that it is
intended to comply with the Tier 0 standards. Upgrading is a type of
remanufacturing. See Sec. 1033.615.
U.S.-directed production volume means the number of locomotives,
subject to the requirements of this part, produced by a manufacturer/
remanufacturer for which the manufacturer/remanufacturer has a
reasonable assurance that sale was or will be made to ultimate
purchasers in the United States.
Useful life means the period during which the locomotive engine is
designed to properly function in terms of reliability and fuel
consumption, without being remanufactured, specified as work output or
miles. It is the period during which a new locomotive is required to
comply with all applicable emission standards. See Sec. 1033.101(g).
Void has the meaning given in 40 CFR 1068.30. In general this means
to invalidate a certificate or an exemption both retroactively and
prospectively.
Volatile fuel means a volatile liquid fuel or any fuel that is a
gas at atmospheric pressure. Gasoline, natural gas, and LPG are
volatile fuels.
Volatile liquid fuel means any liquid fuel other than diesel or
biodiesel that is a liquid at atmospheric pressure and has a Reid Vapor
Pressure higher than 2.0 pounds per square inch.
We (us, our) means the Administrator of the Environmental
Protection Agency and any authorized representatives.

Sec. 1033.905 Symbols, acronyms, and abbreviations.

The following symbols, acronyms, and abbreviations apply to this part:

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

------------------------------------------------------------------------
AECD auxiliary emission control device.
CFR Code of Federal Regulations.
CO carbon monoxide.
CO2 carbon dioxide.
EPA Environmental Protection Agency.
FEL Family Emission Limit.
g/bhp-hr grams per brake horsepower-hour.
HC hydrocarbon.
hp horsepower.
LPG liquefied petroleum gas.
LSD low sulfur diesel.
MW megawatt.
NIST National Institute of Standards and
Technology.
NMHC nonmethane hydrocarbons.
NOX oxides of nitrogen.
PM particulate matter.
rpm revolutions per minute.
SAE Society of Automotive Engineers.
SCR selective catalytic reduction.

[[Page 16078]]

SEA Selective Enforcement Audit.
THC total hydrocarbon.
THCE total hydrocarbon equivalent.
ULSD ultra low sulfur diesel.
U.S.C. United States Code.
------------------------------------------------------------------------

Sec. 1033.915 Confidential information.

(a) Clearly show what you consider confidential by marking,
circling, bracketing, stamping, or some other method.
(b) We will store your confidential information as described in 40
CFR part 2. Also, we will disclose it only as specified in 40 CFR part
2. This applies both to any information you send us and to any
information we collect from inspections, audits, or other site visits.
(c) If you send us a second copy without the confidential
information, we will assume it contains nothing confidential whenever
we need to release information from it.
(d) If you send us information without claiming it is confidential,
we may make it available to the public without further notice to you,
as described in 40 CFR 2.204.

Sec. 1033.920 How to request a hearing.

(a) You may request a hearing under certain circumstances, as
described elsewhere in this part. To do this, you must file a written
request, including a description of your objection and any supporting
data, within 30 days after we make a decision.
(b) For a hearing you request under the provisions of this part, we
will approve your request if we find that your request raises a
substantial factual issue.
(c) If we agree to hold a hearing, we will use the procedures
specified in 40 CFR part 1068, subpart G.
13. A new part 1042 is added to subchapter U of chapter I to read
as follows:

PART 1042--CONTROL OF EMISSIONS FROM NEW AND IN-USE MARINE
COMPRESSION-IGNITION ENGINES AND VESSELS

Sec.
Subpart A--Overview and Applicability
1042.1 Applicability.
1042.2 Who is responsible for compliance?
1042.5 Exclusions.
1042.10 Organization of this part.
1042.15 Do any other regulation parts apply to me?
Subpart B--Emission Standards and Related Requirements
1042.101 Exhaust emission standards.
1042.107 Evaporative emission standards.
1042.110 Recording urea use and other diagnostic functions.
1042.115 Other requirements.
1042.120 Emission-related warranty requirements.
1042.125 Maintenance instructions for Category 1 and Category 2 engines.
1042.130 Installation instructions for vessel manufacturers.
1042.135 Labeling.
1042.140 Maximum engine power, displacement, and power density.
1042.145 Interim provisions.
Subpart C--Certifying Engine Families
1042.201 General requirements for obtaining a certificate of conformity.
1042.205 Application requirements.
1042.210 Preliminary approval.
1042.220 Amending maintenance instructions.
1042.225 Amending applications for certification.
1042.230 Engine families.
1042.235 Emission testing required for a certificate of conformity.
1042.240 Demonstrating compliance with exhaust emission standards.
1042.245 Deterioration factors.
1042.250 Recordkeeping and reporting.
1042.255 EPA decisions.
Subpart D--Testing Production-line Engines
1042.301 General provisions.
1042.305 Preparing and testing production-line engines.
1042.310 Engine selection.
1042.315 Determining compliance.
1042.320 What happens if one of my production-line engines fails to
meet emission standards?
1042.325 What happens if an engine family fails the production-line
testing requirements?
1042.330 Selling engines from an engine family with a suspended
certificate of conformity.
1042.335 Reinstating suspended certificates.
1042.340 When may EPA revoke my certificate under this subpart and
how may I sell these engines again?
1042.345 Reporting.
1042.350 Recordkeeping.
Subpart E--In-use Testing
1042.401 General Provisions.
Subpart F--Test Procedures
1042.501 How do I run a valid emission test?
1042.505 Testing engines using discrete-mode or ramped-modal duty cycles.
1042.515 Test procedures related to not-to-exceed standards.
1042.520 What testing must I perform to establish deterioration factors?
1042.525 How do I adjust emission levels to account for infrequently
regenerating aftertreatment devices?
Subpart G--Special Compliance Provisions
1042.601 General compliance provisions for marine engines and vessels.
1042.605 Dressing engines already certified to other standards for
nonroad or heavy-duty highway engines for marine use.
1042.610 Certifying auxiliary marine engines to land-based standards.
1042.620 Engines used solely for competition.
1042.630 Personal-use exemption.
1042.640 Special provisions for branded engines.
1042.660 Requirements for vessel manufacturers, owners, and operators.
Subpart H--Averaging, Banking, and Trading for Certification
1042.701 General provisions.
1042.705 Generating and calculating emission credits.
1042.710 Averaging emission credits.
1042.715 Banking emission credits.
1042.720 Trading emission credits.
1042.725 Information required for the application for certification.
1042.730 ABT reports.
1042.735 Recordkeeping.
1042.745 Noncompliance.
Subpart I--Definitions and Other Reference Information
1042.801 Definitions.
1042.805 Symbols, acronyms, and abbreviations.
1042.810 Reference materials.
1042.815 Confidential information.
1042.820 Hearings.
1042.825 Reporting and recordkeeping requirements.

Appendix I to Part 1042--Summary of Previous Emission Standards

Appendix II to Part 1042--Steady-State Duty Cycles

Appendix III to Part 1042--Not-to-Exceed Zones

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

Subpart A--Overview and Applicability

Sec. 1042.1 Applicability.

Except as provided in Sec. 1042.5, the regulations in this part
1042 apply for all new compression-ignition marine engines with per-
cylinder displacement below 30.0 liters per cylinder and vessels
containing such engines. See Sec. 1042.801 for the definitions of
engines and vessels considered to be new. This part 1042 applies as follows:
(a) This part 1042 applies starting with the model years noted in
the following tables:

[[Page 16079]]

Table 1 of Sec. 1042.1.--Part 1042 Applicability by Model Year
----------------------------------------------------------------------------------------------------------------
Engine category Maximum engine power Displacement (L/cyl) Model year
----------------------------------------------------------------------------------------------------------------
kW < 75..................... All........................ 2009
75 < = kW < 3700............ disp.< 0.9.................. 2012
Category 1\a\............................ ........................... 0.9 < = disp. < 1.2 2013
1.2 < = disp. < 2.5.......... 2014
2.5 < = disp. < 3.5.......... 2013
3.5 < = disp. < 7.0.......... 2012
kW < = 3700................. 7.0 < = disp. < 15.0......... 2013
Category 2............................... kW > 3700.................. ........................... 2014
All........................ 15 < = disp. < 30........... 2014
----------------------------------------------------------------------------------------------------------------
\a\ This part 1042 applies to commercial Category 1 engines with power density above 35 kW/L starting in the
2017 model year for engines above 600 kW and below 1400 kW, and in the 2016 model year for engines at or above
1400 kW and at or below 3700 kW.

(b) [Reserved]
(c) See 40 CFR part 94 for requirements that apply to engines with
maximum engine power at or above 37 kW not yet subject to the
requirements of this part 1042. See 40 CFR part 89 for requirements
that apply to engines with maximum engine power below 37 kW not yet
subject to the requirements of this part 1042.
(d) The provisions of Sec. Sec. 1042.620 and 1042.801 apply for
new engines used solely for competition beginning January 1, 2009.

Sec. 1042.2 Who is responsible for compliance?

The regulations in this part 1042 contain provisions that affect
both engine manufacturers and others. However, the requirements of this
part are generally addressed to the engine manufacturer. The term
``you'' generally means the engine manufacturer, as defined in Sec.
1042.801, especially for issues related to certification (including
production-line testing, reporting, etc.).

Sec. 1042.5 Exclusions.

This part does not apply to the following marine engines:
(a) Foreign vessels. The requirements and prohibitions of this part
do not apply to engines installed on foreign vessels, as defined in
Sec. 1042.801.
(b) Hobby engines. Engines with per-cylinder displacement below 50
cubic centimeters are not subject to the provisions of this part 1042.

Sec. 1042.10 Organization of this part.

This part 1042 is divided into the following subparts:
(a) Subpart A of this part defines the applicability of this part
1042 and gives an overview of regulatory requirements.
(b) Subpart B of this part describes the emission standards and
other requirements that must be met to certify engines under this part.
Note that Sec. 1042.145 discusses certain interim requirements and
compliance provisions that apply only for a limited time.
(c) Subpart C of this part describes how to apply for a certificate
of conformity.
(d) Subpart D of this part describes general provisions for testing
production-line engines.
(e) Subpart E of this part describes general provisions for testing
in-use engines.
(f) Subpart F of this part and 40 CFR 1065 describe how to test
your engines.
(g) Subpart G of this part and 40 CFR part 1068 describe
requirements, prohibitions, and other provisions that apply to engine
manufacturers, vessel manufacturers, owners, operators, rebuilders, and
all others.
(h) Subpart H of this part describes how you may generate and use
emission credits to certify your engines.
(i) Subpart I of this part contains definitions and other reference
information.

Sec. 1042.15 Do any other regulation parts apply to me?

(a) The evaporative emission requirements of part 1060 of this
chapter apply to vessels that include installed engines fueled with a
volatile liquid fuel as specified in Sec. 1042.107.

(Note: Conventional diesel fuel is not considered to be a
volatile liquid fuel.)

(b) Part 1065 of this chapter describes procedures and equipment
specifications for testing engines. Subpart F of this part 1042
describes how to apply the provisions of part 1065 of this chapter to
determine whether engines meet the emission standards in this part.
(c) The requirements and prohibitions of part 1068 of this chapter
apply to everyone, including anyone who manufactures, imports,
installs, owns, operates, or rebuilds any of the engines subject to
this part 1042, or vessels containing these engines. Part 1068 of this
chapter describes general provisions, including these seven areas:
(1) Prohibited acts and penalties for engine manufacturers, vessel
manufacturers, and others.
(2) Rebuilding and other aftermarket changes.
(3) Exclusions and exemptions for certain engines.
(4) Importing engines.
(5) Selective enforcement audits of your production.
(6) Defect reporting and recall.
(7) Procedures for hearings.
(d) Other parts of this chapter apply if referenced in this part.

Subpart B--Emission Standards and Related Requirements

Sec. 1042.101 Exhaust emission standards.

(a) Exhaust emissions from your engines may not exceed emission
standards, as follows:
(1) Measure emissions using the test procedures described in
subpart F of this part.
(2) The CO emission standards in this paragraph (a)(2) apply
starting with the applicable model year shown for Tier 3 standards in
Table 1 of this section. These standards continue to apply for Tier 4
engines. The following CO emission standards apply:
(i) 8.0 g/kW-hr for engines below 8 kW.
(ii) 6.6 g/kW-hr for engines at or above 8 kW and below 19 kW.
(iii) 5.5 g/kW-hr for engines at or above 19 kW and below 37 kW.
(iv) 5.0 g/kW-hr for engines at or above 37 kW.
(3) Except as described in paragraph (a)(4) of this section, the
Tier 3 standards for PM and NO_X+HC emissions are described
in Tables 1 and 2 of this section, which follow.

[[Page 16080]]

Table 1 of 1042.101.--Tier 3 Standards for Category 1 Engines
----------------------------------------------------------------------------------------------------------------
Displacement (L/ Maximum engine Model PM (g/kW- NOX+HC (g/
Power density and application cyl) power year hr) kW-hr)
-------------------------------------------------------------------------------------------------------
kW < 19.......... 2009 0.40 7.5
all............................ disp. < 0.9....... 19 < = kW < 75.... 2009 0.30 7.5
2014 0.30 4.7
disp. < 0.9....... kW >= 75......... 2012 0.14 5.4
0.9 < = disp. < 1.2 all.............. 2013 0.12 5.4
1.2 < = disp. < 2.5 kW < 600......... 2014 0.11 5.6
2018 0.10 5.6
600 < = kW < 3700. 2014 0.11 5.6
Commercial engines with kW/L 35 2.5 < = disp. < 3.5 kW < 600......... 2013 0.11 5.6
2018 0.10 5.6
600 < = kW < = 3700 2013 0.11 5.6
3.5 < = disp. < = kW < 600......... 2012 0.11 5.8
7.0.
2018 0.10 5.8
600 < = kW < = 3700 2012 0.11 5.8
Commercial engines with kW/L > disp. < 0.9....... kW [equiv]
75.... 2012 0.15 5.8
35 and all recreational
engines.
0.9 < = disp. < 1.2 kW [equiv]
75.... 2013 0.14 5.8
1.2 < = disp. < 2.5 kW [equiv]
75.... 2014 0.12 5.8
2.5 < = disp. < 3.5 kW [equiv]
75.... 2013 0.12 5.8
3.5 < = disp. < 7.0 kW [equiv]
75.... 2012 0.12 5.4
----------------------------------------------------------------------------------------------------------------

(4) For Tier 3 engines with displacement below 0.9 L/cyl and
maximum engine power above 19 kW and at or below 75 kW, you may certify
to a PM emission standard of 0.20 g/kW-hr and a NO_X+HC
emission standard of 5.8 g/kW-hr for 2014 and later model years.

Table 2 of 1042.101.--Tier 3 Standards for Category 2 Engines a
----------------------------------------------------------------------------------------------------------------
PM (g/kW- NOX+HC (g/
Displacement (L/cyl) Maximum engine power Model year hr) kW-hr)
----------------------------------------------------------------------------------------------------------------
7.0 < = disp. < 15.0 kW < = 3700....................... 2013 0.14 6.2
15.0 < = disp. < 20.0 kW < = 3300....................... 2014 0.34 7.0
3300 < kW < = 3700................ 2014 0.27 8.7
20.0 < = disp. < 25.0 kW < = 3700....................... 2014 0.27 9.8
25.0 < disp. < 30.0 kW < = 3700....................... 2014 0.27 11.0
----------------------------------------------------------------------------------------------------------------
\a\ No Tier 3 standards apply for engines above 3700 kW. See Sec. 1042.1(c) for the standards that apply for
these engines.

(5) Except as described in paragraph (a)(6) of this section, the
Tier 4 standards for PM, NO_X, and HC emissions are described
in the following table:

Table 3 of 1042.101.--Tier 4 Standards for Category 1 and Category 2 Engines a
--------------------------------------------------------------------------------------------------------------------------------------------------------
PM (g/kW- NOX (g/kW- HC (g/kW-
Application Maximum engine power Displacement (L/cyl) Model year hr) hr) hr)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Commercial only.......................... 600 < = kW < 1400............ all........................ 2017 0.04 1.8 0.19
Commercial only.......................... 1400 < = kW < = 2000.......... all........................ 2016 0.04 1.8 0.19
Commercial and recreational.............. 2000 < kW < = 3700........... all........................ 2016 0.04 1.8 0.19
disp. < 15.0............... 2014 0.12 1.8 0.19
Commercial and recreational.............. kW > 3700................... 15.0 <= disp. <= 30.0...... 2014 0.25 1.8 0.19
all........................ 2016 0.06 1.8 0.19
--------------------------------------------------------------------------------------------------------------------------------------------------------
\a\ No Tier 4 standards apply for recreational engines at or below 2000 kWor for commercial engines below 600 kW. The Tier 3 standards continue to apply
for these engines.

(6) The following optional provisions apply for complying with the
Tier 4 standards specified in paragraph (a)(5) of this section:
(i) You may certify Tier 4 engines to a NO_X+HC emission
standard of 1.8 g/kW-hr instead of the NO_X and HC standards
that would otherwise apply.
(ii) For engines below 1000 kW, you may delay complying with the
Tier 4 standards in the 2017 model year for up to nine months, but you
must comply no later than October 1, 2017.
(iii) For engines above 3700 kW, you may delay complying with the
Tier 4 standards in the 2016 model year for up to twelve months, but
you must comply no later than December 31, 2016.
(iv) For Category 2 engines with displacement below 15.0 L/cyl and with

[[Page 16081]]

maximum engine power at or below 3700 kW, you may alternatively comply
with the Tier 4 PM and HC standards in the 2015 model year and delay
complying with the Tier 4 NO_X standard until the 2017 model
year. In the 2015 and 2016 model years, these engines must also comply
with the Tier 3 NO_X+HC standard.
(b) Averaging, banking, and trading. You may generate or use
emission credits under the averaging, banking, and trading (ABT)
program as described in subpart H of this part for demonstrating
compliance with NO_X, NO_X+HC, and PM emission
standards for Category 1 and Category 2 engines. You may also use
NO_X or NO_X+HC emission credits to comply with the
alternate NO_X+HC standards in paragraph (a)(6)(i) of this
section. Generating or using emission credits requires that you specify
a family emission limit (FEL) for each pollutant you include in the ABT
program for each engine family. These FELs serve as the emission
standards for the engine family with respect to all required testing
instead of the standards specified in paragraph (a) of this section.
The FELs determine the not-to-exceed standards for your engine family,
as specified in paragraph (c) of this section. The following FEL caps apply:
(1) FELs for Tier 3 engines may not be higher than the Tier 2
standards specified in Appendix I of this part.
(2) FELs for Tier 4 engines may not be higher than the Tier 3
standards specified in paragraph (a)(3) of this section.
(c) Not-to-exceed standards. Exhaust emissions from your propulsion
or auxiliary engines may not exceed the not-to-exceed (NTE) standards,
as described in this paragraph (c).
(1) Use the following equation to determine the NTE standards:
(i) NTE standard for each pollutant = STD x M

Where:

STD = The standard specified for that pollutant in this section if
you certify without using ABT for that pollutant; or the FEL for
that pollutant if you certify using ABT.
M = The NTE multiplier for that pollutant, as defined in Appendix
III of this part 1042.

(ii) Round each NTE standard to the same number of decimal places
as the emission standard.
(2) Determine the applicable NTE zone and subzones. The NTE zone
and subzones for an engine family are defined in Appendix III of this
part 1042, according to the applicable certification duty cycle(s). For
an engine family certified to multiple duty cycles, the broadest
applicable NTE zone applies for that family at the time of
certification. Whenever an engine family is certified to multiple duty
cycles and a specific engine from that family is tested for NTE
compliance in-use, determine the applicable NTE zone for that engine
according to that engine's in-use application. An engine family's NTE
zone may be modified as follows:
(i) You may ask us to approve a narrower NTE zone for an engine
family at the time of certification, based on information such as how
that engine family is expected to normally operate in use. For example,
if an engine family is always coupled to a pump or jet drive, the
engine might be able to operate only within a narrow range of engine
speed and power.
(ii) You may ask us to approve a Limited Testing Region (LTR). An
LTR is a region of engine operation, within the applicable NTE zone,
where you have demonstrated that your engine family operates for no
more than 5.0 percent of its normal in-use operation, on a time-
weighted basis. You must specify an LTR using boundaries based on
engine speed and power (or torque), where the LTR boundaries must
coincide with some portion of the boundary defining the overall NTE
zone. Any emission data collected within an LTR for a time duration
that exceeds 5.0 percent of the duration of its respective NTE sampling
period (as defined in paragraph (c)(3) of this section) will be
excluded when determining compliance with the applicable NTE standards.
Any emission data collected within an LTR for a time duration of 5.0
percent or less of the duration of the respective NTE sampling period
will be included when determining compliance with the NTE standards.
(iii) You must notify us if you design your engines for normal in-
use operation outside the applicable NTE zone. If we learn that normal
in-use operation for your engines includes other speeds and loads, we
may specify a broader NTE zone, as long as the modified zone is limited
to normal in-use operation for speeds greater than 70 percent of
maximum test speed and loads greater than 30 percent of maximum power
at maximum test speed (or 30 percent of maximum test torque, as appropriate).
(iv) You may exclude emission data based on ambient or engine
parameter limit values as follows:
(A) NOX catalytic aftertreatment minimum temperature. For an engine
equipped with a catalytic NO_X aftertreatment system, exclude
NO_X emission data that is collected when the exhaust
temperature is less than 150 [deg]C, as measured within 30 cm
downstream of the last NO_X aftertreatment device that has
the greatest exhaust flow. You may request that we approve a higher
minimum exhaust temperature limit at the time of certification based on
the normal in-use operation of the NO_X exhaust
aftertreatment system for the engine family. We will generally not
approve a minimum exhaust temperature for catalytic NO_X
aftertreatment greater than 250 [deg]C.
(B) Hydrocarbon catalytic aftertreatment minimum temperature. For
an engine equipped with a catalytic hydrocarbon aftertreatment system,
exclude hydrocarbon emission data that is collected when the exhaust
temperature is less than 250 [deg]C, as measured within 30 cm
downstream of the last hydrocarbon aftertreatment device that has the
greatest exhaust flow.
(C) Other parameters. You may request our approval for other
minimum or maximum ambient or engine parameter limit values at the time
of certification.
(3) The NTE standards apply to your engines whenever they operate
within the NTE zone for an NTE sampling period of at least thirty
seconds, during which only a single operator demand set point may be
selected. Engine operation during a change in operator demand is excluded
from any NTE sampling period. There is no maximum NTE sampling period.
(4) Collect emission data for determining compliance with the NTE
standards using the procedures described in subpart F of this part.
(d) Fuel types. The exhaust emission standards in this section
apply for engines using the fuel type on which the engines in the
engine family are designed to operate.
(1) You must meet the numerical emission standards for hydrocarbons
in this section based on the following types of hydrocarbon emissions
for engines powered by the following fuels:
(i) Alcohol-fueled engines must comply with Tier 3 HC standards
based on THCE emissions and with Tier 4 standards based on NMHCE emissions.
(ii) Natural gas-fueled engines must comply with HC standards based
on NMHC emissions.
(iii) Diesel-fueled and other engines must comply with Tier 3 HC
standards based on THC emissions and with Tier 4 standards based on
NMHC emissions.
(2) Tier 3 and later engines must comply with the exhaust emission
standards when tested using test fuels

[[Page 16082]]

containing 15 ppm or less sulfur (ultra low-sulfur diesel fuel).
(3) Engines designed to operate using residual fuel must comply
with the standards and requirements of this part when operated using
residual fuel in addition to complying with the requirements of this
part when operated using diesel fuel.
(e) Useful life. Your engines must meet the exhaust emission
standards of this section over their full useful life.
(1) The minimum useful life values are as follows, except as
specified by paragraph (e)(2) or (3) of this section:
(i) 10 years or 1,000 hours of operation for recreational Category
1 engines.
(ii) 10 years or 10,000 hours of operation for commercial Category
1 engines.
(iii) 10 years or 20,000 hours of operation for Category 2 engines.
(iv) [Reserved]
(2) Specify a longer useful life in hours for an engine family
under either of two conditions:
(i) If you design, advertise, or market your engine to operate
longer than the minimum useful life (your recommended hours until
rebuild indicates a longer design life).
(ii) If your basic mechanical warranty is longer than the minimum
useful life.
(3) You may request in your application for certification that we
approve a shorter useful life for an engine family. We may approve a
shorter useful life, in hours of engine operation but not in years, if
we determine that these engines will rarely operate longer than the
shorter useful life. If engines identical to those in the engine family
have already been produced and are in use, your demonstration must
include documentation from such in-use engines. In other cases, your
demonstration must include an engineering analysis of information
equivalent to such in-use data, such as data from research engines or
similar engine models that are already in production. Your
demonstration must also include any overhaul interval that you
recommend, any mechanical warranty that you offer for the engine or its
components, and any relevant customer design specifications. Your
demonstration may include any other relevant information. The useful
life value may not be shorter than any of the following:
(i) 1,000 hours of operation.
(ii) Your recommended overhaul interval.
(iii) Your mechanical warranty for the engine.
(f) Applicability for testing. The duty-cycle emission standards in
this subpart apply to all testing performed according to the procedures
in Sec. 1042.505, including certification, production-line, and in-use
testing. The not-to-exceed standards apply for all testing performed
according to the procedures of subpart F of this part.

Sec. 1042.107 Evaporative emission standards.

(a) There are no evaporative emission standards for diesel-fueled
engines, or engines using other nonvolatile or nonliquid fuels (for
example, natural gas).
(b) If an engine uses a volatile liquid fuel, such as methanol, the
engine's fuel system and the vessel in which the engine is installed
must meet the evaporative emission requirements of 40 CFR part 1045
that apply with respect to spark-ignition engines. Manufacturers
subject to evaporative emission standards must meet the requirements of
40 CFR 1045.105 as described in 40 CFR part 1060 and do all the
following things in the application for certification:
(1) Describe how evaporative emissions are controlled.
(2) Present test data to show that fuel systems and vessels meet
the evaporative emission standards we specify in this section if you do
not use design-based certification under 40 CFR 1060.240. Show these
figures before and after applying deterioration factors, where applicable.

Sec. 1042.110 Recording urea use and other diagnostic functions.

(a) Engines equipped with SCR systems must meet the following
requirements:
(1) The diagnostic system must monitor urea quality and tank levels
and alert operators to the need to refill the urea tank using a
malfunction-indicator light (MIL) and an audible alarm. You do not need
to separately monitor urea quality if you include an exhaust
NO_X sensor that allows you determine inadequate urea quality
along with other SCR malfunctions.
(2) The onboard computer log must record in nonvolatile computer
memory all incidents of engine operation with inadequate urea injection
or urea quality.
(b) You may equip your engine with other diagnostic features. If
you do, they must be designed to allow us to read and interpret the
codes. Note that Sec. Sec. 1042.115 and 1042.205 require that you
provide us any information needed to read, record, and interpret all
the information broadcast by an engine's onboard computers and
electronic control units.

Sec. 1042.115 Other requirements.

Engines that are required to comply with the emission standards of
this part must meet the following requirements:
(a) Crankcase emissions. Crankcase emissions may not be discharged
directly into the ambient atmosphere from any engine throughout its
useful life, except as follows:
(1) Engines may discharge crankcase emissions to the ambient
atmosphere if the emissions are added to the exhaust emissions (either
physically or mathematically) during all emission testing. If you take
advantage of this exception, you must do the following things:
(i) Manufacture the engines so that all crankcase emissions can be
routed into the applicable sampling systems specified in 40 CFR part 1065.
(ii) Account for deterioration in crankcase emissions when
determining exhaust deterioration factors.
(2) For purposes of this paragraph (a), crankcase emissions that
are routed to the exhaust upstream of exhaust aftertreatment during all
operation are not considered to be discharged directly into the ambient
atmosphere.
(b) Torque broadcasting. Electronically controlled engines must
broadcast their speed and output shaft torque (in newton-meters).
Engines may alternatively broadcast a surrogate value for determining
torque. Engines must broadcast engine parameters such that they can be
read with a remote device, or broadcast them directly to their
controller area networks. This information is necessary for testing
engines in the field (see Sec. 1042.515).
(c) EPA access to broadcast information. If we request it, you must
provide us any hardware or tools we would need to readily read,
interpret, and record all information broadcast by an engine's on-board
computers and electronic control modules. If you broadcast a surrogate
parameter for torque values, you must provide us what we need to
convert these into torque units. We will not ask for hardware or tools
if they are readily available commercially.
(d) Adjustable parameters. An operating parameter is not considered
adjustable if you permanently seal it or if it is not normally
accessible using ordinary tools. The following provisions apply for
adjustable parameters:
(1) Category 1 engines that have adjustable parameters must meet
all the requirements of this part for any adjustment in the physically
adjustable range. We may require that you set

[[Page 16083]]

adjustable parameters to any specification within the adjustable range
during any testing, including certification testing, selective
enforcement auditing, or in-use testing.
(2) Category 2 engines that have adjustable parameters must meet
all the requirements of this part for any adjustment in the approved
adjustable range. You must specify in your application for
certification the adjustable range of each adjustable parameter on a
new engine to--
(i) Ensure that safe engine operating characteristics are available
within that range, as required by section 202(a)(4) of the Clean Air
Act (42 U.S.C. 7521(a)(4)), taking into consideration the production
tolerances.
(ii) Limit the physical range of adjustability to the maximum
extent practicable to the range that is necessary for proper operation
of the engine.
(e) Prohibited controls. You may not design your engines with
emission-control devices, systems, or elements of design that cause or
contribute to an unreasonable risk to public health, welfare, or safety
while operating. For example, this would apply if the engine emits a
noxious or toxic substance it would otherwise not emit that contributes
to such an unreasonable risk.
(f) Defeat devices. You may not equip your engines with a defeat
device. A defeat device is an auxiliary emission control device that
reduces the effectiveness of emission controls under conditions that
the engine may reasonably be expected to encounter during normal
operation and use. This does not apply to auxiliary emission control
devices you identify in your certification application if any of the
following is true:
(1) The conditions of concern were substantially included in the
applicable duty-cycle test procedures described in subpart F of this
part (the portion during which emissions are measured). See paragraph
(f)(4) of this section for other conditions.
(2) You show your design is necessary to prevent engine (or vessel)
damage or accidents.
(3) The reduced effectiveness applies only to starting the engine.
(4) The auxiliary emission control device reduces urea flow for a
selective catalytic reduction (SCR) aftertreatment system and meets the
requirements of this paragraph (f)(4). For any operation meeting one of
the conditions of paragraph (f)(4)(i) of this section, your SCR system
must function so that at least one of the conditions of paragraph (ii)
of this paragraph (f)(4)(ii) of this section is met at the applicable
speed and loads.
(i) The provisions of this paragraph (f)(4) apply under either of
the following conditions:
(A) The ambient test conditions are outside the range specified in
Sec. 1042.501.
(B) The operation is at a speed and/or load not included as a duty-
cycle test point, including transient operation between test points.
(ii) Consistent with good engineering judgment, your AECD is not a
defeat device where one of the following is true:
(A) You maintain the mass flow of urea into the catalyst at the
highest level possible without emitting ammonia at levels higher than
would occur at operation at test points under test conditions.
(B) The temperature of the exhaust is too low to allow urea to be
converted to ammonia.

Sec. 1042.120 Emission-related warranty requirements.

(a) General requirements. You must warrant to the ultimate
purchaser and each subsequent purchaser that the new engine, including
all parts of its emission-control system, meets two conditions:
(1) It is designed, built, and equipped so it conforms at the time
of sale to the ultimate purchaser with the requirements of this part.
(2) It is free from defects in materials and workmanship that may
keep it from meeting these requirements.
(b) Warranty period. Your emission-related warranty must be valid
for at least as long as the minimum warranty periods listed in this
paragraph (b) in hours of operation and years, whichever comes first.
You may offer an emission-related warranty more generous than we
require. The emission-related warranty for the engine may not be
shorter than any published warranty you offer without charge for the
engine. Similarly, the emission-related warranty for any component may
not be shorter than any published warranty you offer without charge for
that component. If an engine has no hour meter, we base the warranty
periods in this paragraph (b) only on the engine's age (in years). The
warranty period begins when the engine is placed into service. The
following minimum warranty periods apply:
(1) For Category 1 and Category 2 engines, your emission-related
warranty must be valid for at least 50 percent of the engine's useful
life in hours of operation or a number of years equal to at least 50
percent of the useful life in years, whichever comes first.
(2) [Reserved]
(c) Components covered. The emission-related warranty covers all
components whose failure would increase an engine's emissions of any
pollutant, including those listed in 40 CFR part 1068, Appendix I, and
those from any other system you develop to control emissions. The
emission-related warranty covers these components even if another
company produces the component. Your emission-related warranty does not
cover components whose failure would not increase an engine's emissions
of any pollutant.
(d) Limited applicability. You may deny warranty claims under this
section if the operator caused the problem through improper maintenance
or use, as described in 40 CFR 1068.115.
(e) Owner's manual. Describe in the owner's manual the emission-
related warranty provisions from this section that apply to the engine.

Sec. 1042.125 Maintenance instructions for Category 1 and Category 2
engines.

Give the ultimate purchaser of each new engine written instructions
for properly maintaining and using the engine, including the emission-
control system, as described in this section. The maintenance
instructions also apply to service accumulation on your emission-data
engines as described in Sec. 1042.245 and in 40 CFR part 1065. This
section applies only to Category 1 and Category 2 engines.
(a) Critical emission-related maintenance. Critical emission-
related maintenance includes any adjustment, cleaning, repair, or
replacement of critical emission-related components. This may also
include additional emission-related maintenance that you determine is
critical if we approve it in advance. You may schedule critical
emission-related maintenance on these components if you meet the
following conditions:
(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:
(i) You present data showing that any lack of maintenance that
increases emissions also unacceptably degrades the engine's performance.
(ii) You present survey data showing that at least 80 percent of
engines in the field get the maintenance you specify at the recommended
intervals.
(iii) You provide the maintenance free of charge and clearly say so
in maintenance instructions for the customer.

[[Page 16084]]

(iv) You otherwise show us that the maintenance is reasonably
likely to be done at the recommended intervals.
(2) For engines below 130 kW, you may not schedule critical
emission-related maintenance more frequently than the following minimum
intervals, except as specified in paragraphs (a)(4), (b), and (c) of
this section:
(i) For EGR-related filters and coolers, PCV valves, and fuel
injector tips (cleaning only), the minimum interval is 1,500 hours.
(ii) For the following components, including associated sensors and
actuators, the minimum interval is 3,000 hours: fuel injectors,
turbochargers, catalytic converters, electronic control units,
particulate traps, trap oxidizers, components related to particulate
traps and trap oxidizers, EGR systems (including related components,
but excluding filters and coolers), and other add-on components. For
particulate traps, trap oxidizers, and components related to either of
these, maintenance is limited to cleaning and repair only.
(3) For Category 1 and Category 2 engines at or above 130 kW, you
may not schedule critical emission-related maintenance more frequently
than the following minimum intervals, except as specified in paragraphs
(a)(4), (b), and (c) of this section:
(i) For EGR-related filters and coolers, PCV valves, and fuel
injector tips (cleaning only), the minimum interval is 1,500 hours.
(ii) For the following components, including associated sensors and
actuators, the minimum interval is 4,500 hours: fuel injectors,
turbochargers, catalytic converters, electronic control units,
particulate traps, trap oxidizers, components related to particulate
traps and trap oxidizers, EGR systems (including related components,
but excluding filters and coolers), and other add-on components. For
particulate traps, trap oxidizers, and components related to either of
these, maintenance is limited to cleaning and repair only.
(4) We may approve shorter maintenance intervals than those listed
in paragraph (a)(3) of this section where technologically necessary for
Category 2 engines.
(5) If your engine family has an alternate useful life under Sec.
1042.101(e) that is shorter than the period specified in paragraph
(a)(2) or (a)(3) of this section, you may not schedule critical
emission-related maintenance more frequently than the alternate useful
life, except as specified in paragraph (c) of this section.
(b) Recommended additional maintenance. You may recommend any
additional amount of maintenance on the components listed in paragraph
(a) of this section, as long as you state clearly that these
maintenance steps are not necessary to keep the emission-related
warranty valid. If operators do the maintenance specified in paragraph
(a) of this section, but not the recommended additional maintenance,
this does not allow you to disqualify those engines from in-use testing
or deny a warranty claim. Do not take these maintenance steps during
service accumulation on your emission-data engines.
(c) Special maintenance. You may specify more frequent maintenance
to address problems related to special situations, such as atypical
engine operation. You must clearly state that this additional
maintenance is associated with the special situation you are addressing.
(d) Noncritical emission-related maintenance. Subject to the
provisions of this paragraph (d), you may schedule any amount of
emission-related inspection or maintenance that is not covered by
paragraph (a) of this section (that is, maintenance that is neither
explicitly identified as critical emission-related maintenance, nor
that we approve as critical emission-related maintenance). Noncritical
emission-related maintenance generally includes maintenance on the
components we specify in 40 CFR part 1068, Appendix I. You must state
in the owner's manual that these steps are not necessary to keep the
emission-related warranty valid. If operators fail to do this
maintenance, this does not allow you to disqualify those engines from
in-use testing or deny a warranty claim. Do not take these inspection
or maintenance steps during service accumulation on your emission-data
engines.
(e) Maintenance that is not emission-related. For maintenance
unrelated to emission controls, you may schedule any amount of
inspection or maintenance. You may also take these inspection or
maintenance steps during service accumulation on your emission-data
engines, as long as they are reasonable and technologically necessary.
This might include adding engine oil, changing air, fuel, or oil
filters, servicing engine-cooling systems, and adjusting idle speed,
governor, engine bolt torque, valve lash, or injector lash. You may
perform this nonemission-related maintenance on emission-data engines
at the least frequent intervals that you recommend to the ultimate
purchaser (but not intervals recommended for severe service).
(f) Source of parts and repairs. State clearly on the first page of
your written maintenance instructions that a repair shop or person of
the owner's choosing may maintain, replace, or repair emission-control
devices and systems. Your instructions may not require components or
service identified by brand, trade, or corporate name. Also, do not
directly or indirectly condition your warranty on a requirement that
the engine be serviced by your franchised dealers or any other service
establishments with which you have a commercial relationship. You may
disregard the requirements in this paragraph (f) if you do one of two things:
(1) Provide a component or service without charge under the
purchase agreement.
(2) Get us to waive this prohibition in the public's interest by
convincing us the engine will work properly only with the identified
component or service.
(g) Payment for scheduled maintenance. Owners are responsible for
properly maintaining their engines. This generally includes paying for
scheduled maintenance. However, manufacturers must pay for scheduled
maintenance during the useful life if it meets all the following criteria:
(1) Each affected component was not in general use on similar
engines before the applicable dates shown in paragraph (6) of the
definition of new marine engine in Sec. 1042.801.
(2) The primary function of each affected component is to reduce
emissions.
(3) The cost of the scheduled maintenance is more than 2 percent of
the price of the engine.
(4) Failure to perform the maintenance would not cause clear
problems that would significantly degrade the engine's performance.
(h) Owner's manual. Explain the owner's responsibility for proper
maintenance in the owner's manual.

Sec. 1042.130 Installation instructions for vessel manufacturers.

(a) If you sell an engine for someone else to install in a vessel,
give the engine installer instructions for installing it consistent
with the requirements of this part. Include all information necessary
to ensure that an engine will be installed in its certified
configuration.
(b) Make sure these instructions have the following information:
(1) Include the heading: ``Emission-related installation instructions'.
(2) State: ``Failing to follow these instructions when installing a
certified engine in a vessel violates federal law (40 CFR 1068.105(b)),
subject to fines or other penalties as described in the Clean Air Act.''.

[[Page 16085]]

(3) Describe the instructions needed to properly install the
exhaust system and any other components. Include instructions
consistent with the requirements of Sec. 1042.205(u).
(4) Describe any necessary steps for installing the diagnostic
system described in Sec. 1042.110.
(5) Describe any limits on the range of applications needed to
ensure that the engine operates consistently with your application for
certification. For example, if your engines are certified only for
constant-speed operation, tell vessel manufacturers not to install the
engines in variable-speed applications or modify the governor.
(6) Describe any other instructions to make sure the installed
engine will operate according to design specifications in your
application for certification. This may include, for example, instructions
for installing aftertreatment devices when installing the engines.
(7) State: ``If you install the engine in a way that makes the
engine's emission control information label hard to read during normal
engine maintenance, you must place a duplicate label on the vessel, as
described in 40 CFR 1068.105.''.
(8) Describe any vessel labeling requirements specified in Sec.
1042.135.
(c) You do not need installation instructions for engines you
install in your own vessels.
(d) Provide instructions in writing or in an equivalent format. For
example, you may post instructions on a publicly available Web site for
downloading or printing. If you do not provide the instructions in
writing, explain in your application for certification how you will
ensure that each installer is informed of the installation requirements.

Sec. 1042.135 Labeling.

(a) Assign each engine a unique identification number and
permanently affix, engrave, or stamp it on the engine in a legible way.
(b) At the time of manufacture, affix a permanent and legible label
identifying each engine. The label must be--
(1) Attached in one piece so it is not removable without being
destroyed or defaced. However, you may use two-piece labels for engines
below 19 kW if there is not enough space on the engine to apply a one-
piece label.
(2) Secured to a part of the engine needed for normal operation and
not normally requiring replacement.
(3) Durable and readable for the engine's entire life.
(4) Written in English.
(c) The label must--
(1) Include the heading ``EMISSION CONTROL INFORMATION''.
(2) Include your full corporate name and trademark. You may
identify another company and use its trademark instead of yours if you
comply with the provisions of Sec. 1042.640.
(3) Include EPA's standardized designation for the engine family
(and subfamily, where applicable).
(4) State the engine's category, displacement (in liters or L/cyl),
maximum engine power (in kW), and power density (in kW/L) as needed to
determine the emission standards for the engine family. You may specify
displacement, maximum engine power, and power density as ranges
consistent with the ranges listed in Sec. 1042.101. See Sec. 1042.140
for descriptions of how to specify per-cylinder displacement, maximum
engine power, and power density.
(5) [Reserved]
(6) State the date of manufacture [MONTH and YEAR]; however, you
may omit this from the label if you stamp or engrave it on the engine.
(7) State the FELs to which the engines are certified if you
certified the engine using the ABT provisions of subpart H of this part.
(8) Identify the emission-control system. Use terms and
abbreviations consistent with SAE J1930 (incorporated by reference in
Sec. 1042.810). You may omit this information from the label if there
is not enough room for it and you put it in the owner's manual instead.
(9) Identify the application(s) for which the engine family is
certified (such as constant-speed auxiliary, variable-speed propulsion
engines used with fixed-pitch propellers, etc.). If the engine is
certified as a recreational engine, state: ``INSTALLING THIS
RECREATIONAL ENGINE IN A NONRECREATIONAL VESSEL VIOLATES FEDERAL LAW
SUBJECT TO CIVIL PENALTY (40 CFR PART 1068).''.
(10) For engines requiring ULSD, state: ``ULTRA LOW SULFUR DIESEL
FUEL ONLY'.
(11) Identify any additional requirements for fuel and lubricants
that do not involve fuel-sulfur levels. You may omit this information
from the label if there is not enough room for it and you put it in the
owner's manual instead.
(12) State the useful life for your engine family.
(13) State: ``THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR
[MODEL YEAR] MARINE DIESEL ENGINES.''.
(14) For an engine that can be modified to operate on residual
fuel, but has not been certified to meet the standards on such a fuel,
include the statement: ``THIS ENGINE IS CERTIFIED FOR OPERATION ONLY
WITH DIESEL FUEL. MODIFYING THE ENGINE TO OPERATE ON RESIDUAL OR
INTERMEDIATE FUEL MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL
PENALTIES.''.
(d) You may add information to the emission control information
label to identify other emission standards that the engine meets or
does not meet (such as international standards). You may also add other
information to ensure that the engine will be properly maintained and used.
(e) For engines requiring ULSD, create a separate label with the
statement: ``ULTRA LOW SULFUR DIESEL FUEL ONLY''. Permanently attach
this label to the vessel near the fuel inlet or, if you do not
manufacture the vessel, take one of the following steps to ensure that
the vessel will be properly labeled:
(1) Provide the label to each vessel manufacturer and include in
the emission-related installation instructions the requirement to place
this label near the fuel inlet.
(2) Confirm that the vessel manufacturers install their own
complying labels.
(f) You may ask us to approve modified labeling requirements in
this part 1042 if you show that it is necessary or appropriate. We will
approve your request if your alternate label is consistent with the
intent of the labeling requirements of this part.
(g) If you obscure the engine label while installing the engine in
the vessel such that the label will be hard to read during normal
maintenance, you must place a duplicate label on the vessel. If others
install your engine in their vessels in a way that obscures the engine
label, we require them to add a duplicate label on the vessel (see 40
CFR 1068.105); in that case, give them the number of duplicate labels
they request and keep the following records for at least five years:
(1) Written documentation of the request from the vessel manufacturer.
(2) The number of duplicate labels you send for each family and the
date you sent them.

Sec. 1042.140 Maximum engine power, displacement, and power density.

This section describes how to determine the maximum engine power,
displacement, and power density of an engine for the purposes of this
part. Note that maximum engine power may differ from the definition of
maximum

[[Page 16086]]

test power as defined in subpart F for testing engines.
(a) An engine configuration's maximum engine power is the maximum
brake power point on the nominal power curve for the engine
configuration, as defined in this section. Round the power value to the
nearest whole kilowatt.
(b) The nominal power curve of an engine configuration is the
relationship between maximum available engine brake power and engine
speed for an engine, using the mapping procedures of 40 CFR part 1065,
based on the manufacturer's design and production specifications for
the engine. This information may also be expressed by a torque curve
that relates maximum available engine torque with engine speed.
(c) An engine configuration's per-cylinder displacement is the
intended swept volume of each cylinder. The swept volume of the engine
is the product of the internal cross-section area of the cylinders, the
stroke length, and the number of cylinders. Calculate the engine's
intended swept volume from the design specifications for the cylinders
using enough significant figures to allow determination of the
displacement to the nearest 0.02 liters. Determine the final value by
truncating digits to establish the per-cylinder displacement to the
nearest 0.1 liters. For example, for an engine with circular cylinders
having an internal diameter of 13.0 cm and a 15.5 cm stroke length, the
rounded displacement would be: (13.0/2) \2\x(p)x(15.5)/ 1000 =2.0 liters.
(d) The nominal power curve and intended swept volume must be
within the range of the actual power curves and swept volumes of
production engines considering normal production variability. If after
production begins, it is determined that either your nominal power
curve or your intended swept volume does not represent production
engines, we may require you to amend your application for certification
under Sec. 1042.225.
(e) Throughout this part, references to a specific power value for
an engine are based on maximum engine power. For example, the group of
engines with maximum engine power above 600 kW may be referred to as
engines above 600 kW.
(f) Calculate an engine family's power density in kW/L by dividing
the unrounded maximum engine power by the engine's unrounded per-
cylinder displacement, then dividing by the number of cylinders. Round
the calculated value to the nearest whole number.

Sec. 1042.145 Interim provisions.

(a) General. The provisions in this section apply instead of other
provisions in this part for Category 1 and Category 2 engines. This
section describes when these interim provisions expire.
(b) Delayed standards. Post-manufacturer marinizers that are small-
volume engine manufacturers may delay compliance with the Tier 3
standards for engines below 600 kW as follows:
(1) You may delay compliance with the Tier 3 standards for one
model year, as long as the engines meet all the requirements that apply
to Tier 2 engines.
(2) You may delay compliance with the NTE standards for Tier 3
standards for three model years beyond the one year delay otherwise
allowed, as long as the engines meet all other requirements that apply
to Tier 3 engines for the appropriate model year.

Subpart C--Certifying Engine Families

Sec. 1042.201 General requirements for obtaining a certificate of
conformity.

(a) You must send us a separate application for a certificate of
conformity for each engine family. A certificate of conformity is valid
starting with the indicated effective date, but it is not valid for any
production after December 31 of the model year for which it is issued.
(b) The application must contain all the information required by
this part and must not include false or incomplete statements or
information (see Sec. 1042.255).
(c) We may ask you to include less information than we specify in
this subpart, as long as you maintain all the information required by
Sec. 1042.250.
(d) You must use good engineering judgment for all decisions
related to your application (see 40 CFR 1068.5).
(e) An authorized representative of your company must approve and
sign the application.
(f) See Sec. 1042.255 for provisions describing how we will
process your application.
(g) We may require you to deliver your test engines to a facility
we designate for our testing (see Sec. 1042.235(c)).
(h) For engines that become new as a result of substantial
modifications or for engines installed on imported vessels that become
subject to the requirements of this part, we may specify alternate
certification provisions consistent with the intent of this part. See
the definition of ``new'' in Sec. 1042.801.

Sec. 1042.205 Application requirements.

This section specifies the information that must be in your
application, unless we ask you to include less information under Sec.
1042.201(c). We may require you to provide additional information to
evaluate your application.
(a) Describe the engine family's specifications and other basic
parameters of the engine's design and emission controls. List the fuel
type on which your engines are designed to operate (for example, ultra
low-sulfur diesel fuel). List each distinguishable engine configuration
in the engine family. For each engine configuration, list the maximum
engine power and the range of values for maximum engine power resulting
from production tolerances, as described in Sec. 1042.140.
(b) Explain how the emission-control system operates. Describe in
detail all system components for controlling exhaust emissions,
including all auxiliary emission control devices (AECDs) and all fuel-
system components you will install on any production or test engine.
Identify the part number of each component you describe. For this
paragraph (b), treat as separate AECDs any devices that modulate or
activate differently from each other. Include all the following:
(1) Give a general overview of the engine, the emission-control
strategies, and all AECDs.
(2) Describe each AECD's general purpose and function.
(3) Identify the parameters that each AECD senses (including
measuring, estimating, calculating, or empirically deriving the
values). Include vessel-based parameters and state whether you simulate
them during testing with the applicable procedures.
(4) Describe the purpose for sensing each parameter.
(5) Identify the location of each sensor the AECD uses.
(6) Identify the threshold values for the sensed parameters that
activate the AECD.
(7) Describe the parameters that the AECD modulates (controls) in
response to any sensed parameters, including the range of modulation
for each parameter, the relationship between the sensed parameters and
the controlled parameters and how the modulation achieves the AECD's
stated purpose. Use graphs and tables, as necessary.
(8) Describe each AECD's specific calibration details. This may be
in the form of data tables, graphical representations, or some other
description.
(9) Describe the hierarchy among the AECDs when multiple AECDs
sense or modulate the same parameter. Describe

[[Continued on page 16087]]

Notices For
2007
2006
2005
2004
2003
2002
2001
2000
1999
1998
1997
1996
1995
1994

Control of Emissions of Air Pollution From Locomotive Engines and Marine Compression-Ignition Engines Less Than 30 Liters per Cylinder

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