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

PDF Version (50 pp, 922K, About PDF)

[Federal Register: May 6, 2008 (Volume 73, Number 88)]
[Rules and Regulations]
[Page 25197-25246]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr06my08-17]

[[pp. 25197-25246]]
Control of Emissions of Air Pollution From Locomotive Engines and
Marine Compression-Ignition Engines Less Than 30 Liters per Cylinder

[[Continued from page 25196]]

[[Page 25197]]

• 24. Section 92.206 is amended by revising paragraph (c) to read as
follows:

Sec.  92.206   Required information.

* * * * *
    (c) Emission data, including exhaust methane data in the case of
locomotives or locomotive engines subject to a non-methane hydrocarbon
standard, on such locomotives or locomotive engines tested in
accordance with applicable test procedures of subpart B of this part.
These data shall include zero hour data, if generated. In lieu of
providing the emission data required by paragraph (a) of this section,
the Administrator may, upon request of the manufacturer or
remanufacturer, allow the manufacturer or remanufacturer to demonstrate
(on the basis of previous emission tests, development tests, or other
testing information) that the engine or locomotive will conform with
the applicable emission standards of Sec.  92.8. The requirement to
measure smoke emissions is waived for certification and production line
testing of Tier 2 locomotives, except where there is reason to believe
the locomotives do not meet the applicable smoke standards.
* * * * *

• 25. 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 (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.
* * * * *

• 26. Section 92.212 is amended by revising paragraph (b)(2)(iv) to read
as follows:

Sec.  92.212   Labeling.

* * * * *
    (b) * * *
    (2) * * *
    (iv) The label may be made up of more than one piece permanently
attached to the same locomotive part, except for Tier 0 locomotives,
where you may attach it to separate parts.
* * * * *

• 27. Section 92.501 is amended by adding paragraph (c) to read as
follows:

Sec.  92.501   Applicability.

* * * * *
    (c) Manufacturers may comply with the provisions of subpart D of 40
CFR part 1033 instead of the provisions of this subpart F.

• 28. A new Sec.  92.1007 is added to read as follows:

Sec.  92.1007   Remanufacturing requirements.

    (a) See the definition of ``remanufacture'' in Sec.  92.2 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.  92.2 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 J 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, which is listed
on the ``Locomotive Emission Control Information'' label.
    (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) If you do not obtain your own certificate of conformity from
EPA, contact a certifying remanufacturer to have your locomotive
included under its certificate of conformity. Confirm with the
certificate holder that your locomotive's model, date of original
manufacture, previous FEL, and power rating allow it to be covered by
the certificate. You must do all of the following:
    (1) Comply with the certificate holder's emission-related
installation instructions.
    (2) Provide to the certificate holder the information it identifies
as necessary to comply with the requirements of this part.
    (e) For parts unrelated to emissions and emission-related parts not
addressed by the certificate holder in the emission-related
installation instructions, you may use parts from any source. For
emission-related parts listed by the certificate holder in the
emission-related installation instructions, you must either use the
specified parts or parts certified under 40 CFR 1033.645 for
remanufacturing. If you believe that the certificate holder has
included as emission-related parts, parts that are actually unrelated
to emissions, you may ask us to exclude such parts from the emission-
related installation instructions. (Note: This paragraph (e) does not
apply with respect to parts for maintenance other than remanufacturing;
see Sec.  92.1004 for provisions related to general maintenance.)
    (f) Failure to comply with this section is a violation of Sec. 
92.1102(a)(1).

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

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

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

Subpart A-- [Amended]

• 30. Section 94.1 is amended by revising paragraph (b) to read as follows:

Sec.  94.1  Applicability.

* * * * *
    (b) Notwithstanding the provisions of paragraph (c) of this
section, the requirements and prohibitions of this part do not apply
with respect to the engines identified in paragraphs (a)(1) and (2) of
this section for any of the following engines:
    (1) Marine engines with rated power below 37 kW.
    (2) Marine engines on foreign vessels.
    (3) Marine engines subject to the standards of 40 CFR part 1042.
* * * * *

[[Page 25198]]

• 31. Section 94.2 is amended by revising paragraph (1)(ii) of the
definition for ``New vessel'' and adding definitions for ``Nonroad''
and ``Nonroad engine'' in alphabetical order to read as follows:

Sec.  94.2  Definitions.

* * * * *
    New vessel means:
    (1)(i) * * *
    (ii) For vessels with no Category 3 engines, a vessel that has been
modified such that the value of the modifications exceeds 50 percent of
the value of the modified vessel. The value of the modification is the
difference in the assessed value of the vessel before the modification
and the assessed value of the vessel after the modification. Use the
following equation to determine if the fractional value of the
modification exceeds 50 percent:
Percent of value = [(Value after modification) - (Value before
modification)]
x ( 100% / (Value after modification)
* * * * *
    Nonroad means relating to nonroad engines, or vessels or equipment
that include 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.
* * * * *

• 32. Section 94.12 is amended by adding paragraph (i) to read as follows:

Sec.  94.12   Interim provisions.

* * * * *
    (i) Early use of future 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
part 1042. Manufacturers may ask for flexibility in making the
transition to the new regulations as follows:
    (1) You may ask to use a combination of the test procedures of this
part and those of 40 CFR part 1042. This might include the early use of
the duty cycles and NTE specifications that apply for Tier 3 or Tier 4
engines. 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. This generally 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 engines are below the applicable standards).
    (2) You may ask to comply with the administrative requirements of
40 CFR parts 1042 and 1068 instead of the equivalent requirements of
this part.

Subpart B--[Amended]

• 33. Section 94.108 is amended by adding paragraph (a)(4) and revising
paragraph (d) to read as follows:

Sec.  94.108  Test fuels.

    (a) * * *
    (4) Manufacturers may perform testing using the low-sulfur diesel
test fuel or the ultra low-sulfur diesel test fuel specified in 40 CFR
part 1065.
* * * * *
    (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 x 0.0917 x (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 shall 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:
PM\adj\=PM+[BSFC x 0.0917 x (0.0020-FSF)]

Where:
PM\adj\=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

* * * * *

Subpart C--[Amended]

• 34. 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.
* * * * *

• 35. 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 or all of a manufacturer's
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:
* * * * *

Subpart F--[Amended]

• 36. Section 94.501 is amended by adding paragraph (c) to read as follows:

Sec.  94.501  Applicability.

* * * * *
    (c) Manufacturers may comply with the provisions of 40 CFR part
1042, subpart D, instead of the provisions of this subpart F.

Subpart J--[Amended]

• 37. A new Sec.  94.914 is added to read as follows:

Sec.  94.914  Emergency vessel exemption.

    (a) Except as specified in paragraph (c) of this section, the
prohibitions in Sec.  94.1103(a)(1) do not apply to a new engine that
is subject to Tier 2 standards according to the following provisions:

[[Page 25199]]

    (1) The engine must be intended for installation in a lifeboat or a
rescue boat as specified in 40 CFR 1042.625(a)(1)(i) or (ii).
    (2) This exemption is available from the initial effective date for
the Tier 2 standards until the engine model (or an engine of comparable
size, weight, and performance) has been certified as complying with the
Tier 2 standards and Coast Guard requirements. For example, this
exemption would apply for new engine models that have not yet been
certified to the Tier 2 standards.
    (3) The engine must meet the Tier 1 emission standards specified in
Sec.  94.8.
    (b) If you introduce an engine into U.S. commerce under this
section, you must meet the labeling requirements in Sec.  94.212, but
add the following statement instead of the compliance statement in
Sec.  94.212(b)(6):

THIS ENGINE DOES NOT COMPLY WITH CURRENT U.S. EPA EMISSION STANDARDS
UNDER 40 CFR 94.914 AND IS FOR USE SOLELY IN LIFEBOATS OR RESCUE
BOATS (COAST GUARD APPROVAL SERIES 160.135 OR 160.156). INSTALLATION
OR USE OF THIS ENGINE IN ANY OTHER APPLICATION MAY BE A VIOLATION OF
FEDERAL LAW SUBJECT TO CIVIL PENALTY.

    (c) Introducing into commerce a vessel containing an engine
exempted under this section violates the prohibitions in Sec. 
94.1103(a)(1) where the vessel is not a lifeboat or rescue boat, unless
it is exempt under a different provision. Similarly, using such an
engine or vessel as something other than a lifeboat or rescue boat as
specified in paragraph (a) of this section violates the prohibitions in
Sec.  94.1103(a)(1), unless it is exempt under a different provision.

• 38. A new part 1033 is added to subchapter U of chapter I to read as
follows:

PART 1033--CONTROL OF EMISSIONS FROM LOCOMOTIVES

Subpart A--Overview and Applicability
Sec.
1033.1 Applicability.
1033.5 Exemptions and exclusions.
1033.10 Organization of this part.
1033.15 Other regulation parts that apply for locomotives.
Subpart B--Emission Standards and Related Requirements
1033.101 Exhaust emission standards.
1033.102 Transition to the standards of this part.
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 Reporting 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.
1033.320 Calculation and reporting of test results.
1033.325 Maintenance of records; submittal of information.
1033.330 Compliance criteria for production line testing.
1033.335 Remanufactured locomotives: installation audit
requirements.
1033.340 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 provisions.
1033.505 Ambient conditions.
1033.510 Auxiliary power units.
1033.515 Discrete-mode steady-state emission tests of locomotives
and locomotive engines.
1033.520 Alternative ramped modal cycles.
1033.525 Smoke testing.
1033.530 Duty cycles and calculations.
1033.535 Adjusting emission levels to account for infrequently
regenerating aftertreatment devices.
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 Special certification provisions for non-locomotive-
specific engines.
1033.630 Staged-assembly and delegated assembly exemptions.
1033.640 Provisions for repowered and refurbished locomotives.
1033.645 Non-OEM component certification program.
1033.650 Incidental use exemption for Canadian and Mexican locomotives.
1033.655 Special provisions for certain Tier 0/Tier 1 locomotives.
Subpart H--Averaging, Banking, and Trading for Certification
1033.701 General provisions.
1033.705 Calculating 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.
1033.915 Confidential information.
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. Also, you
are not required to complete assembly of a locomotive to

[[Page 25200]]

obtain a certificate of conformity for it, provided you meet the
definition of ``manufacturer'' or ``remanufacturer'' (as applicable) in
Sec.  1033.901. For example, an engine manufacturer may obtain a
certificate for locomotives which it does not manufacture, if the
locomotives use its engines.
    (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 in Sec.  1033.901:
    (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 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 for the locomotive. 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
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 auditing.
    (e) The provisions of this part apply as specified for locomotives
manufactured or remanufactured on or after July 7, 2008. See Sec. 
1033.102 to determine 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. For a locomotive
that was originally manufactured after January 1, 1973 to be excluded
under this paragraph (b)(1), it 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 requirements and prohibitions of this part apply only for
locomotives that have become ``new'' (as defined in Sec.  1033.901) on
or after July 7, 2008.
    (d) The provisions of this part do not apply for any auxiliary
engine that only provides hotel power. In general, these engines are
subject to the provisions of 40 CFR part 1039. However, depending on
the engine cycle, model year and power rating, the engines may be
subject to other regulatory parts instead.
    (e) Manufacturers and owners of locomotives that operate only on
non-standard gauge rails may ask us to exclude such locomotives from
this part by excluding them from the definition of ``locomotive''.

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 and 40 CFR part 1065 describe how to
test locomotives and engines.
    (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.
    (j) Subpart J of this part contains definitions and other reference
information.

Sec.  1033.15  Other regulation parts that apply for locomotives.

    (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 the following 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.

[[Page 25201]]

Subpart B--Emission Standards and Related Requirements

Sec.  1033.101  Exhaust emission standards.

    See Sec. Sec.  1033.102 and 1033.150 to determine how the emission
standards of this section apply before 2023.
    (a) Emission standards for line-haul locomotives. Exhaust emissions
from your new locomotives may not exceed the applicable emission
standards in Table 1 to 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 to 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 \a\.......................  Tier 0 \b\............          8.0         0.22         1.00          5.0
1993 \a\-2004.......................  Tier 1 \b\............          7.4         0.22         0.55          2.2
2005-2011...........................  Tier 2 \b\............          5.5     \e\ 0.10         0.30          1.5
2012-2014...........................  Tier 3 \c\............          5.5         0.10         0.30          1.5
2015 or later.......................  Tier 4 \d\............          1.3         0.03         0.14          1.5
----------------------------------------------------------------------------------------------------------------
\a\ 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\ Line-haul locomotives subject to the Tier 0 through Tier 2 emission standards must also meet switch
  standards of the same tier.
\c\ Tier 3 line-haul locomotives must also meet Tier 2 switch standards.
\d\ Manufacturers may elect to meet a combined NOX+HC standard of 1.4 g/bhp-hr instead of the otherwise
  applicable Tier 4 NOX and HC standards, as described in paragraph (j) of this section.
\e\ The PM standard for newly remanufactured Tier 2 line-haul locomotives is 0.20 g/bhp-hr until January 1,
  2013, except as specified in Sec.   1033.150(a).

    (b) Emission standards for switch locomotives. Exhaust emissions
from your new locomotives may not exceed the applicable emission
standards in Table 2 to 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 to 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 \a\ 1............         11.0         0.26         1.20          2.5
2005-2010...........................  Tier \a\ 2............          8.1     \b\ 0.13         0.60          2.4
2011-2014...........................  Tier 3................          5.0         0.10         0.60          2.4
2015 or later.......................  Tier 4................      \c\ 1.3         0.03     \c\ 0.14         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, except as
  specified in Sec.   1033.150(a).
\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 to 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.

                 Table 3 to 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

[[Page 25202]]

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 i is NO_X,
HC, 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 as specified in paragraph
(e)(6) of this section.
std = The applicable line-haul duty-cycle standard/FEL, except as
specified in paragraph (e)(6) of this section.

    (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 apply 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.
    (6) For switch locomotives that are not subject to line-haul
standards, ELH\i\ equals the deteriorated switch duty-cycle weighted
brake-specific emission rate for pollutant i and std is the applicable
switch cycle standard/FEL.
    (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. Note that manufacturers/
remanufacturers may choose to not measure NMHC and assume that NMHC is
equal to THC multiplied by 0.98 for diesel-fueled locomotives.
    (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 (including commercial LSD fuel).
    (iv) For Tier 1 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. We will not apply this adjustment for our testing.
    (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. See (1033.140 for provisions related to
rated power.
    (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 locomotives with non-
locomotive-specific engines (as defined in (1033.901) may ask us
(before certification) to allow a shorter useful life for an engine
family containing only non-locomotive-specific engines. We may approve
a shorter useful life, in MW-hrs of locomotive operation but not in
years, if we determine that these locomotives 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.
    (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.
    (5) In unusual circumstances, you may ask us to allow you to
certify some locomotives in your engine family to a partial useful
life. This allowance is limited to cases in which some or all of the
locomotive(s power assemblies have been operated previously such that
the locomotive will need to be remanufactured prior to the end of the
otherwise applicable useful life. Unless we specify otherwise, define
the partial useful life based on the total MW-hrs since the last
remanufacture to be consistent with other locomotives in the family.
For example, this may apply for a previously uncertified locomotive
that becomes ``new'' when it is imported, but that was remanufactured
two years earlier (representing 25 percent of the normal useful life
period). If such a locomotive could be brought into compliance with the
applicable standards without being remanufactured, you may ask to
include it in your engine family for the remaining 75 percent of its
useful life period.
    (h) Applicability for testing. The emission standards in this
subpart apply

[[Page 25203]]

to all testing, including certification testing, production-line
testing, 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+HC standards for Tier 4.
Manufacturers/remanufacturers may use credits accumulated through the
ABT program to certify Tier 4 locomotives to an alternate
NO_X+HC emission standard of 1.4 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+HC FEL. Calculate the
NO_X credits needed as specified in subpart H of this part
using the NO_X+HC emission standard and FEL in the
calculation instead of the otherwise applicable NO_X standard
and FEL. You may not generate credits relative to the alternate
standard or certify to the standard without using credits.
    (k) Upgrading. Upgraded locomotives that were originally
manufactured prior to January 1, 1973 are subject to the Tier 0
standards. (See the definition of upgrade in Sec.  1033.901.)
    (l) Other optional standard provisions. Locomotives may be
certified to a higher tier of standards than would otherwise be
required. Tier 0 switch locomotives may be certified to both the line-
haul and switch cycle standards. In both cases, once the locomotives
become subject to the additional standards, they remain subject to
those standards for the remainder of their service lives.

Sec.  1033.102  Transition to the standards of this part.

    (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
their emission-control systems and you choose to base your emission-
related maintenance instructions on such diagnostics. 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. Except as specified in Sec. 
1033.112, this section does not apply for diagnostics that you do not
include in your emission-related maintenance instructions. The
provisions of this section address diagnostic systems based on
malfunction-indicator lights (MILs). You may ask to use other
indicators instead of MILs.
    (a) 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) 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 using separate reductant tanks
must also meet the requirements of this section in addition to the
requirements of Sec.  1033.110. This section does not apply for SCR
systems using the engine's fuel as the reductant.
    (a) The diagnostic system must monitor reductant quality and tank
levels and alert operators to the need to refill the reductant tank
before it is empty, or to replace the reductant if it does not meet
your concentration specifications. Unless we approve other alerts, use
a malfunction-indicator light (MIL) as specified in Sec.  1033.110 and
an audible alarm. You do not need to separately monitor reductant
quality if you include an exhaust NO_X sensor (or other
sensor) that allows you to determine inadequate reductant quality.
However, tank level must be monitored in all cases.
    (b) Your onboard computer must record in nonvolatile computer
memory all incidents of engine operation with inadequate reductant
injection or reductant quality. It must record the total amount of
operation without adequate reductant. It may total the operation by
hours, work, or excess NO_X emissions.

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

[[Page 25204]]

of this exception, you must do both of 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
operation 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 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 must be designed to
include features that compensate for changes in altitude so that the
locomotives will comply with the applicable emission standards when
operated at any altitude less than:
    (1) 7000 feet above sea level for line-haul locomotives.
    (2) 5500 feet above sea level for switch locomotives.
    (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 (1033.101.
    (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 causing engine damage that would affect
the expected interval between remanufacturing. Note that it is a
violation of 40 CFR 1068.101(b)(1) to circumvent the provisions of this
paragraph (g).
    (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).
    (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 pressure for brakes or starter system, or to
recharge the locomotive battery.
    (iii) To perform necessary maintenance.
    (iv) To otherwise comply with federal regulations.
    (4) You may ask to use alternate stop/start systems that will
achieve equivalent idle control.
    (5) See Sec.  1033.201 for provisions that allow you to obtain a
separate certificate for idle controls.
    (6) It is not considered circumvention to allow a locomotive to
idle to heat or cool the cab, provided such heating or cooling is
necessary.
    (h) Power meters. Tier 1 and later locomotives must be equipped
with MW-hr meters (or the equivalent) consistent with the
specifications of Sec.  1033.140.

Sec.  1033.120  Emission-related warranty requirements.

    (a) General requirements. Manufacturers/remanufacturers 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 the components you sell
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. For

[[Page 25205]]

remanufactured locomotives, your emission-related warranty does not
cover used parts that are not replaced during the remanufacture.
    (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 emission-related 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. If you equip your
locomotives with a diagnostic system that will detect significant
malfunctions in their emission-control systems, specify the extent to
which your emission-related maintenance instructions include such
diagnostics.

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) Describe how to properly label the locomotive. This will
generally include instructions to remove and destroy the previous
Engine Emission Control Information label.
    (4) 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.
    (e) Your emission-related assembly instructions may not include
specifications for parts unrelated to emissions. For the basic
mechanical parts listed in this paragraph (e), you may not specify a
part manufacturer unless we determine that such a specification is
necessary. You may include design specifications for such parts
addressing the dimensions and material constraints as necessary. You
may also specify a part number, as long you make it clear that
alternate part suppliers may be used. This paragraph (e) covers the
following parts or other parts we determine qualify as basic mechanical
parts:
    (1) Intake and exhaust valves.
    (2) Intake and exhaust valve retainers.
    (3) Intake and exhaust valve springs.
    (4) Intake and exhaust valve rotators.
    (5) Oil coolers.

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 each 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.
For Tier 0 locomotives, the label may be made up of more than one
piece, as long as all pieces are permanently attached to the locomotive.
    (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
(1033.901.
    (E) The standards/FELs to which the locomotive was certified and
the following statement: ``THIS LOCOMOTIVE MUST COMPLY WITH

[[Page 25206]]

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) For engines not requiring aftertreatment
devices, apply engine labels meeting the specifications of paragraph
(c)(2) of this section once an engine has been assembled in its
certified configuration. For engines that require aftertreatment
devices, apply the label after the engine has been fully assembled,
which may occur before installing the aftertreatment devices. These
labels must be applied by:
    (i) The manufacturer at the point of original manufacture; and
    (ii) The remanufacturer at the point of each 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 engine 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.
    (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.
    (iv) You may include other critical operating instructions such as
specifications for adjustments or reductant use for SCR systems.
    (d) You may add information to the emission control information
label as follows:
    (1) You may identify other emission standards that the engine/
locomotive meets or does not meet (such as international standards).
You may include this information by adding it to the statement we
specify or by including a separate statement.
    (2) You may add other information to ensure that the locomotive
will be properly maintained and used.
    (3) You may add appropriate features to prevent counterfeit labels.
For example, you may include the engine's unique identification number
on the label.
    (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.
    (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.
    (d) For the purpose of determining useful life, you may need to use
a rated power based on power other than brake power according to the
provisions of this paragraph (d). The useful life must be based on the
power measured by the locomotive's megawatt-hour meter. For example, if
your megawatt-hour meter reads and records the electrical work output
of the alternator/generator rather than the brake power of the engine,
and the power output of the alternator/generator at notch 8 is 4000
horsepower, calculate your useful life as 30,000 MW-hrs (7.5 x 4000).

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. Except
as specified in paragraph (a)(2) of this section, 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 90 days prior to the completion of the
remanufacture as specified in paragraph (a)(3) of this

[[Page 25207]]

section. This same provision continues to apply after 2009, but only
for Tier 2 locomotives. Note that remanufacturers may certify
remanufacturing systems that will not be available at a reasonable
cost; however such certification does not trigger the requirements of
this paragraph (a).
    (1) For the purpose of this paragraph (a), ``available at a
reasonable cost'' means available for use where all of the following
are true:
    (i) 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 $250,000,
adjusted as specified in paragraph (a)(4)(i) of this section.
    (ii) The initial incremental hardware costs are reasonably related
to the technology included in the remanufacturing system and are less
than $125,000, adjusted as specified in paragraph (a)(4)(i) of this section.
    (iii) 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.
    (iv) The remanufacturer must demonstrate at the time of certification
that the system meets the requirements of this paragraph (a)(1).
    (v) The system does not generate or use emission credits.
    (2) The number of locomotives that each railroad must remanufacture
under this paragraph (a) is capped as follows:
    (i) For the period October 3, 2008 to December 31, 2008, the
maximum number of locomotives that a railroad must remanufacture under
this paragraph (a) is 50 percent of the total number of the railroad's
locomotives that are remanufactured during this period under this part
or 40 CFR part 92. Include in the calculation both locomotives you own
and locomotives you lease.
    (ii) For the period January 1, 2009 to December 31, 2009, the
maximum number of locomotives that a railroad must remanufacture under
this paragraph (a) is 70 percent of the total number of the railroad's
locomotives that are remanufactured during this period under this part
or 40 CFR part 92. Include in the calculation both locomotives you own
and locomotives you lease.
    (3) Remanufacturers applying for certificates under this paragraph
(a) are responsible to notify owner/operators (and other customers as
applicable) that they have requested such certificates. The
notification should occur at the same time that the remanufacturer
submits its application, and should include a description of the
remanufacturing system, price, expected incremental operating costs,
and draft copies of your installation and maintenance instructions. The
system is considered to be available for a customer 120 days after this
notification, or 90 days after the certificate is issued, whichever is
later. Where we issue a certificate of conformity under this part based
on carryover data from an engine family that we previously considered
available for the configuration, the system is considered to be
available when we issue the certificate.
    (4) Estimate costs as described in this paragraph (a)(4).
    (i) The cost limits described in paragraph (a)(1) of this section
are specified in terms of 2007 dollars. Adjust these values for future
years according to the following equation:

Actual Limit = (2007 Limit) x [ (0.6000)x(Commodity Index) +
(0.4000)x(Earnings Index]

Where:

2007 Limit = The value specified in paragraph (a)(1) of this section
($250,000 or $125,000).
Commodity Index = The U.S. Bureau of Labor Statistics Producer Price
Index for Industrial Commodities Less Fuel (Series WPU03T15M05) for
the month prior to the date you submit your application divided by
173.1.
Earnings Index = The U.S. Bureau of Labor Statistics Estimated
Average Hourly Earnings of Production Workers for Durable
Manufacturing (Series CES3100000008) for the month prior to the date
you submit your application divided by 18.26.

    (ii) Calculate all costs in current dollars (for the month prior to
the date you submit your application). Calculate fuel costs based on a
fuel price adjusted by the Association of American Railroads' monthly
railroad fuel price index (P), which is available at https://
www.aar.org/PubCommon/Documents/AboutTheIndustry/Index_MonthlyFuelPrices.pdf.
 (Use the value for the column in which P equals
539.8 for November 2007.) Calculate a new fuel price using the
following equation:

Fuel Price = ($2.76 per gallon) x (P/539.8)

    (b) Idle controls. A locomotive equipped with an automatic engine
stop/start system that was originally installed before January 1, 2008
and that conforms to the requirements of Sec.  1033.115(g) is deemed to
be covered by a certificate of conformity with respect to the
requirements of Sec.  1033.115(g). Note that the provisions of subpart
C of this part also allow you to apply for a conventional certificate
of conformity for such systems.
    (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 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 any number
of freshly manufactured or refurbished 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.
    (3) You may not generate or use locomotive credits under this part
for these locomotives.
    (4) Include the following statement on a permanent locomotive
label: ``THIS LOCOMOTIVE WAS CERTIFIED UNDER 40 CFR 1033.150(e). THE
ENGINES USED IN THIS LOCOMOTIVE ARE SUBJECT TO REQUIREMENTS OF 40 CFR
PARTS 1039 (or 89) AND 1068.''
    (5) The rebuilding requirements of 40 CFR part 1068 apply when
remanufacturing engines used in these locomotives.
    (f) In-use compliance limits. For purposes of determining
compliance other than for certification or production-line testing,
calculate the applicable in-use compliance limits by adjusting the
applicable standards/FELs. The PM adjustment applies only for model
year 2017 and earlier locomotives and does not apply for locomotives
with a PM FEL higher than 0.03 g/bhp-hr.

[[Page 25208]]

The NO_X adjustment applies only for model year 2017 and
earlier 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. You must
specify during certification which add-ons, if any, will apply for your
locomotives.

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


   Table 2 to Sec.   1033.150.--Optional In-Use Adjustments for Tier 4
                               Locomotives
------------------------------------------------------------------------
                                         In-use adjustments (g/bhp-hr)
                                     -----------------------------------
                                       For model year    For model year
Fraction of useful life already used  2017 and earlier  2017 and earlier
                                         Tier 4 NOX         Tier 4 PM
                                          standards         standards
------------------------------------------------------------------------
0 < MW-hrs <= 50% of UL.............               0.2              0.03
50 < MW-hrs <= 75% of UL............               0.3              0.03
MW-hrs <= 75% of UL.................               0.4              0.03
------------------------------------------------------------------------

    (g) Optional interim Tier 4 compliance provisions for
NO_X emissions. For model years 2015 through 2022,
manufacturers may choose to certify some or all of their Tier 4 line-
haul engine families according to the optional compliance provisions of
this paragraph (g). The following provisions apply to all locomotives
in those families:
    (1) The provisions of this paragraph (g) apply instead of the
deterioration factor requirements of Sec. Sec.  1033.240 and 1033.245
for NO_X emissions. You must certify that the locomotives in
the engine family will conform to the requirements of this paragraph
(g) for their full useful lives.
    (2) The applicable NO_X emission standard for locomotives
certified under this paragraph (g) is:
    (i) 1.3 g/bhp-hr for locomotives that have accumulated less than 50
hours of operation.
    (ii) 1.3 plus 0.6 g/bhp-hr for locomotives that have accumulated 50
hours or more of operation.
    (3) The engine family may not generate NO_X emission
credits.
    (4) The design certification provisions of Sec.  1033.240(c) do not
apply for these locomotives for the next remanufacture.
    (5) Manufacturers must comply with the production-line testing
program in subpart D of this part for these engine families or the
following optional program:
    (i) You are not required to test locomotives in the family under
subpart D of this part if you comply with the requirements of this
paragraph (g)(5).
    (ii) Test the locomotives as specified in subpart E of this part,
with the following exceptions:
    (A) The minimum test sample size is one percent of the number of
locomotives in the family or five, whichever is less.
    (B) The locomotives must be tested after they have accumulated 50
hours or more of operation but before they have reached 50 percent of
their useful life.
    (iii) The standards in this part for pollutants other than
NO_X apply as specified for testing conducted under this
optional program.
    (6) The engine family may use NO_X emission credits to
comply with this paragraph (g). However, a 1.5 g/bhp-hr NO_X
FEL cap applies for engine families certified under this paragraph (g).
The applicable standard for locomotives that have accumulated 50 hours
or more of operation is the FEL plus 0.6 g/bhp-hr.
    (7) The in-use NO_X add-ons specified in paragraph (f) of
this section do not apply for these locomotives.
    (8) All other provisions of this part apply to such locomotives,
except as specified otherwise in this paragraph (g).
    (h) 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 (h), 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 (h), 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 emissions are below the applicable standards).
    (i) Certification testing. Prior to model year 2014, you may use
the simplified steady-state engine test procedure specified in this
paragraph (i) for certification testing. The normal certification
procedures and engine testing procedures apply, except as specified in
this paragraph (i).
    (1) Use good engineering judgment to operate the engine consistent
with its expected operation in the locomotive, to the extent practical.
You are not

[[Page 25209]]

required to exactly replicate the transient behavior of the engine.
    (2) You may delay sampling during notch transition for up to 20
seconds after you begin the notch change.
    (3) We may require you provide additional information in your
application for certification to support the expectation that
production locomotives will meet all applicable emission standards when
tested as locomotives.
    (4) You may not use this simplified procedure for production-line
or in-use testing.
    (j) Administrative requirements. For model years 2008 and 2009, you
may use a combination of the administrative procedures specified in
this part and the test procedures specified in 40 CFR part 92. For
example, this would allow you to use the certification procedures of 40
CFR part 92 to apply for certificates under this part 1033.
    (k) Test fuels. Testing performed during calendar years 2008 and
2009 may be performed using test fuels that meet the specifications of
40 CFR 92.113. If you do, adjust PM emissions downward by 0.04 g/bhp-hr
to account for the difference in sulfur content of the fuel.
    (1) Refurbished switch locomotives. In 2008 and 2009 remanufactured
Tier 0 switch locomotives that are deemed to be refurbished may be
certified as remanufactured switch locomotives under 40 CFR part 92.

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.
No certificate will be issued after December 31 of the model year.
    (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 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. Note that
this paragraph does not limit any liability under this part or the
Clean Air Act for entities that do not obtain certificates. This
paragraph also does not prohibit you from making contractual
arrangements with noncertifiers related to recovering damages for
noncompliance.
    (i) The provisions of this subpart describe how to obtain a
certificate that covers all standards and requirements. Manufacturer/
remanufacturers may ask to obtain a certificate of conformity that does
not cover the idle control requirements of Sec.  1033.115 or one that
only covers the idle control requirements of Sec.  1033.115.
Remanufacturers obtaining such partial certificates must include a
statement in their installation instructions that two certificates and
labels are required for a locomotive to be in a fully certified
configuration. We may modify the certification requirements for
certificates that will only cover idle control systems.

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. Note whether you
are requesting a certificate that will or will not cover idle controls.
    (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.

[[Page 25210]]

    (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 you obtained for 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. Include data for NO_X,
PM, HC, CO, and CO\2\.
    (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 declaring that all locomotives
included in 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, we may require you to describe your
expected importation process.

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 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 approve your request if we
determine that the amended instructions are consistent with maintenance
you performed on emission-data engines such that your durability
demonstration would remain valid. 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, replacing, or eliminating any of 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

[[Page 25211]]

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 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. Paragraphs (b) and (c) of this section specify
default criteria for dividing locomotives into engine families.
Paragraphs (d) and (e) of this section allow you deviate from these
defaults in certain circumstances.
    (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 nominal 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.

[[Page 25212]]

    (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. This allowance also covers
locomotives for which only calculated emission rates differ, such as
locomotives with and without energy-saving design features. 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 six calendar years after a new tier of
standards become applicable, remanufactured engines/locomotives may be
included in the same engine family as freshly manufactured locomotives,
provided the same engines and emission controls 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) 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.
    (b) Test your emission-data locomotives using the procedures and
equipment specified in subpart F of this part.
    (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.
    (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) You may ask to use emission data from a different engine family
you have already certified instead of testing a locomotive in the
second engine family if all the following are true:
    (1) The same engine is used in both engine families.
    (2) You demonstrate to us that the differences in the two families
are sufficiently small that the locomotives in the untested family will
meet the same applicable notch standards calculated from the test data.
    (f) 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.
    (g) 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.
    (h) The requirement to measure smoke emissions is waived for
certification and production line testing, except where there is reason
to believe your locomotives do not meet the applicable smoke standards.

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 remanufactured locomotive in the ABT
program in subpart H of this part, but

[[Page 25213]]

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.
    (c) An owner/operator remanufacturing its locomotives to be
identical to their previously certified configuration may certify by
design without new emission test data. To do this, submit the
application for certification described in Sec.  1033.205, but instead
of including test data, include a description of how you will ensure
that your locomotives will be identical in all material respects to
their previously certified condition. You may use reconditioned parts
consistent with good engineering judgment. You have all of the
liabilities and responsibilities of the certificate holder for
locomotives you certify under this paragraph.

Sec.  1033.245  Deterioration factors.

    Establish deterioration factors for each pollutant to determine, as
described in Sec.  1033.240, whether your locomotives will meet
emission standards for each pollutant throughout the useful life.
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 determine your deterioration factors based on 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 on
engineering 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. You do not need to report under this paragraph (a)(2)
locomotives that were temporarily exempted, exported locomotives,
locomotives exempted as manufacturer/remanufacturer-owned locomotives,
or locomotives exempted as test locomotives.
    (b) Organize and maintain the following records:

[[Page 25214]]

    (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 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, and
1033.330 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.  1033.310, 1033.315, 1033.320, and 1033.330
will apply as specified in the notice.
    (b) The requirements of Sec.  1033.335 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 ask to test locomotive engines instead of testing
locomotives.
    (b) Remanufacturers are required to conduct audits according to the
requirements of Sec.  1033.335 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 or measurement method
for testing production-line engines. In your request, you must show us
that the alternate program gives equal assurance that your engines meet
the requirements of this part. We may waive some or all of this
subpart's requirements if we approve your alternate program.

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,

[[Page 25215]]

unless we specify a different schedule for your tests. For example, we
may require you to disproportionately select locomotives from the early
part of a model year for a new locomotive model that has not been
subject to PLT previously.
    (1) The required sample size for an engine family (provided that no
locomotive 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. These two
additional locomotives do not count towards your minimum number of
locomotives. For example, if you are required to test a minimum of 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 locomotives pass all standards, you are
required to test two additional locomotives to complete the original
minimum number of four. 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 other test 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. For catalyst-
equipped locomotives, you may operate the locomotive for up to 1000
hours (in revenue or other service) prior to testing.
    (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. 
1033.320(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.  1033.320   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 one more decimal place than the
applicable emission standard.
    (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 rounding to one more
decimal place than the applicable emission standard. For catalyst-
equipped locomotives, you may ask us to allow you to exclude an initial
failed test if all of the following are true:
    (1) The catalyst was in a green condition when tested initially.
    (2) The locomotive met all emission standards when retested after
degreening the catalyst.
    (3) No additional emission-related maintenance or repair was
performed between the initial failed test and the subsequent passing test.
    (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 one more

[[Page 25216]]

decimal place than the applicable emission standard.
    (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. If
the locomotive was introduced into service between assembly and
testing, you are only required to summarize the service accumulation,
rather than identifying specific locations.
    (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 part.
    (6) For each failed locomotive as defined in Sec.  1033.330(a), a
description of the remedy and test results for all retests as required
by Sec.  1033.340(g).
    (7) 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.  1033.325   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 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.  1033.330  Compliance 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.  1033.320(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.  1033.335  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, component
settings and component installations on randomly chosen locomotives in
an engine family.
    (a) You must ensure that all emission related components are properly

[[Page 25217]]

installed on the locomotive and are set to the proper specification as
indicated in your instructions. You may submit audits performed by the
owners/operators of the locomotives, provided the audits are performed
in accordance with the provisions of this section. We may require that
you obtain affidavits for audits performed by owners/operators.
    (b) Audit at least five percent of your annual production 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). Unless we specify
otherwise, you are not required to audit installers that remanufacture
fewer than 10 locomotives per year under your certificates (combined
for all of your engine families).
    (c) The audit should be completed as soon as is practical after the
remanufacture is complete. In no case may the remanufactured locomotive
accumulate more than 45,000 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 45 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) Locomotive and engine identification numbers;
    (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.  1033.340(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.  1033.340  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. 
1033.330(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.  1033.335(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.  1033.330(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. 
1033.335(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 a locomotive or engine family is deemed to be in
noncompliance under Sec. Sec.  1033.320(d), 1033.330(a), 1033.330(b),
or 1033.335(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.

[[Page 25218]]

    (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, 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 may we allow) after the notification our decision to
suspend or revoke a certificate of conformity in whole or in part
pursuant to 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 a portion of the applicable test procedure that is
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 carryover 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

[[Page 25219]]

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.
    (3) You may ask us to allow you to test more locomotives than the
minimum number described above or you 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 meeting the requirements in Sec.  1033.110 and the
MIL is illuminated, you may read the code and repair the malfunction
according to your emission-related maintenance instructions, but only
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 is 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 locomotive 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 plus CO₂. 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. 
1033.520, 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) 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.
    (c) This part allows (with certain limits) testing of either a complete

[[Page 25220]]

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. To calculate power from measured alternator/
generator output, use an alternator/generator efficiency curve that
varies with speed/load, consistent with good engineering judgment.
    (d) Unless smoke standards do not apply for your locomotives or the
testing requirement is waived, measure smoke emissions using the
procedures in Sec.  1033.525.
    (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 fuel
(see Sec. Sec.  1033.101 and 1033.135).
    (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; we will approve your request if you show us
that it does not affect your ability to demonstrate compliance with the
applicable emission standards. 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.  1033.505 for information about allowable ambient
testing conditions for testing.
    (g) 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.
    (h) We may also perform other testing as allowed by the Clean Air Act.
    (i) 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.  1033.505  Ambient conditions.

    This section specifies the allowable ambient conditions (including
temperature and pressure) under which testing may be performed to
determine compliance with the emission standards of (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 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 (26.0 in Hg) to 103.325 kPa (30.5 in Hg).
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.

Sec.  1033.510  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, unless the APU is
part of an AESS system that was certified separate from the rest of the
locomotive. This section does not apply for auxiliary engines that only
provide hotel power.
    (a) Adjust the locomotive main engine's idle emission rate (g/hr)
as specified in Sec.  1033.530. 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.  1033.530.
    (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 (b)(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

[[Page 25221]]

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.  1033.515  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 to 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 to this section. For
locomotives not equipped with catalysts, you may begin the test as soon
as the engine reaches its lowest idle setting. For catalyst-equipped
locomotives, you may begin the test in normal idle mode if the engine
does not reach its lowest idle setting within 15 minutes. If you do
start in normal idle, run the low idle mode after normal idle, then
resume the specified mode sequence (without repeating the normal idle mode).
    (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. You may zero and span analyzers between modes (or take
other actions consistent with good engineering judgment).
    (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, &plusmn; 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.  1033.525 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, &plusmn; 5 seconds, unless good
engineering judgment requires you sample for a longer period to allow
for collection of a sufficiently large PM sample.
    (6) Proceed through each test mode in the order specified in Table
1 to 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 to Sec.   1033.515.--Locomotive Test Cycle
----------------------------------------------------------------------------------------------------------------
                                                               Time in mode        Sample averaging  period for
             Test mode                  Notch setting          (minutes) \1\              emissions \1\
----------------------------------------------------------------------------------------------------------------
Pre-test idle.....................  Lowest idle setting..  10 to 15 3..........  Not applicable
A.................................  Low idle \2\.........  5 to 10.............  300 &plusmn; 5 seconds
B.................................  Normal idle..........  5 to 10.............  300 &plusmn; 5 seconds
C.................................  Dynamic brake \2\....  5 to 10.............  300 &plusmn; 5 seconds
1.................................  Notch 1..............  5 to 10.............  300 &plusmn; 5 seconds
2.................................  Notch 2..............  5 to 10.............  300 &plusmn; 5 seconds
3.................................  Notch 3..............  5 to 10.............  300 &plusmn; 5 seconds
4.................................  Notch 4..............  5 to 10.............  300 &plusmn; 5 seconds
5.................................  Notch 5..............  5 to 10.............  300 &plusmn; 5 seconds
6.................................  Notch 6..............  5 to 10.............  300 &plusmn; 5 seconds
7.................................  Notch 7..............  5 to 10.............  300 &plusmn; 5 seconds
8.................................  Notch 8..............  10 to 15............  600 &plusmn; 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.
3 See paragraph (b) of this section for alternate pre-test provisions.

    (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 at or above 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
paragraph (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

[[Page 25222]]

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 to Sec.  1033.515.
    (2) Engines certified to a PM standard/FEL below 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. 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
(f)(2). Vary the sample time to be proportional to the applicable line-
haul or switch weighting factors specified in Sec.  1033.530 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 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 to Sec.  1033.515 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 to Sec. 
1033.515, 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 within 5 [deg]C of the typical intake manifold
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.  1033.520  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 to this section.
The ramped modal cycle for switch locomotives is shown in Table 2 to
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.  1033.530. 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. For locomotives not equipped with catalysts, you
may begin the test as soon as the engine reaches its lowest idle
setting. For catalyst-equipped locomotives, you may begin the test in
normal idle mode if the engine does not reach its lowest idle setting
within 15 minutes. If you do start in normal idle, run the low idle
mode after normal idle, then resume the specified mode sequence
(without repeating the normal idle mode).
    (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 to 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. 
1033.525 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

[[Page 25223]]

ramped modal cycle, conduct the post sampling procedures specified in
40 CFR 1065.530.

                      Table 1 to Sec.   1033.520.--Line-Haul Locomotive Ramped Modal Cycle
----------------------------------------------------------------------------------------------------------------
                                    Weighting                        Time in mode
         RMC test phase               factor          RMC mode        (seconds)             Notch setting
----------------------------------------------------------------------------------------------------------------
Pre-test idle..................  NA.............  NA.............  600 to 900.....  Lowest idle setting.\1\
Phase 1........................  ...............  A..............  600............  Low Idle.\2\
(Idle test)....................  0.380..........  B..............  600............  Normal Idle.
----------------------------------------------------------------------------------------------------------------
                                                Phase Transition
----------------------------------------------------------------------------------------------------------------
                                 ...............  C..............  1000...........  Dynamic Brake.3
                                 ...............  1..............  520............  Notch 1.
                                 ...............  2..............  520............  Notch 2.
                                 ...............  3..............  416............  Notch 3.
                                 ...............  4..............  352............  Notch 4.
Phase 2........................  0.389..........  5..............  304............  Notch 5.
----------------------------------------------------------------------------------------------------------------
                                                Phase Transition
----------------------------------------------------------------------------------------------------------------
                                 ...............  6..............  144............  Notch 6.
                                 ...............  7..............  111............  Notch 7.
Phase 3........................  0.231..........  8..............  600............  Notch 8.
----------------------------------------------------------------------------------------------------------------
\1\ See paragraph (d) of this section for alternate pre-test provisions.
\2\ Operate at normal idle for modes A and B if not equipped with multiple idle settings.
3 Operate at normal idle if not equipped with a dynamic brake.


                        Table 2 to Sec.   1033.520.--Switch Locomotive Ramped Modal Cycle
----------------------------------------------------------------------------------------------------------------
                                    Weighting                        Time in mode
         RMC test phase               factor          RMC mode        (seconds)             Notch setting
----------------------------------------------------------------------------------------------------------------
Pre-test idle..................  NA.............  NA.............  600 to 900.....  Lowest idle setting.\1\
Phase 1........................  ...............  A..............  600............  Low Idle.\2\
(Idle test)....................  0.598..........  B..............  600............  Normal Idle.
----------------------------------------------------------------------------------------------------------------
                                                Phase Transition
----------------------------------------------------------------------------------------------------------------
                                 ...............  1..............  868............  Notch 1.
                                 ...............  2..............  861............  Notch 2.
                                 ...............  3..............  406............  Notch 3.
                                 ...............  4..............  252............  Notch 4.
Phase 2........................  0.377..........  5..............  252............  Notch 5.
----------------------------------------------------------------------------------------------------------------
                                                Phase Transition
----------------------------------------------------------------------------------------------------------------
                                 ...............  6..............  1080...........  Notch 6.
                                 ...............  7..............  144............  Notch 7.
Phase 3........................  0.025..........  8..............  576............  Notch 8.
----------------------------------------------------------------------------------------------------------------
\1\ See paragraph (d) of this section for alternate pre-test provisions.
\2\ Operate at normal idle for modes A and B if not equipped with multiple idle settings.

    (f) Calculate your cycle-weighted brake-specific emission rates as
follows:
    (1) For each test phase j:
    (i) Calculate emission rates (E_ij) for each pollutant i
as the total mass emissions divided by the total time in the phase.
    (ii) Calculate average power (P_j) as the total work
divided by the total time in the phase.
    (2) For each pollutant, calculate your cycle-weighted brake-
specific emission rate using the following equation, where
w_j is the weighting factor for phase j:
[GRAPHIC] [TIFF OMITTED] TR06MY08.010

Sec.  1033.525  Smoke testing.

    This section describes the equipment and procedures for testing for
smoke emissions when is 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 exhaust the duct. The light beam must be
at right angles to the axis of the plume. Align the light beam to go
through the plume along the hydraulic diameter (defined in 1065.1001)
of the exhaust stack. Where it is difficult to align the beam to have a
path length equal to the hydraulic diameter (such as a long narrow
rectangular duct), you may align the beam to have a different path
length and correct it to be equivalent to a path length equal to the
hydraulic diameter. The light extinction meter must meet the requirements
of paragraph (b) of this section and the following requirements:

[[Page 25224]]

    (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 &plusmn; 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 percent resolution and also simultaneously record operator
demand set point (e.g., notch position). Compare the recorded opacities
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.  1033.530  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 to Sec.   1033.530.--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 (no   weighting
                                                                             factors      dynamic      factors
                                                                                           brake)
----------------------------------------------------------------------------------------------------------------
Low Idle...................................  A...........................        0.190        0.190        0.299
Normal Idle................................  B...........................        0.190        0.315        0.299
Dynamic Brake..............................  C...........................        0.125        (\1\)        0.000
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
----------------------------------------------------------------------------------------------------------------
\1\ Not applicable.


      Table 2 to Sec.   1033.530.--Standard Duty Cycle Weighting Factors for Calculating Emission Rates for
                                     Locomotives With a Single Idle Setting
----------------------------------------------------------------------------------------------------------------
                                                                                         Line-haul
               Notch setting                           Test mode            Line-haul   (no dynamic     Switch
                                                                                           brake)
----------------------------------------------------------------------------------------------------------------
Normal Idle................................  A...........................        0.380        0.505        0.598
Dynamic Brake..............................  C...........................        0.125        (\1\)        0.000
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

[[Page 25225]]

Notch 7....................................  7...........................        0.030        0.030        0.002
Notch 8....................................  8...........................        0.162        0.162        0.008
----------------------------------------------------------------------------------------------------------------
\1\ Not applicable.

    (b) Idle and dynamic brake notches. The test procedures generally
require you to measure emissions at two idle settings and one dynamic
brake, as follows:
    (1) If your locomotive is equipped with two idle settings and one
or more dynamic brake settings, measure emissions at both idle settings
and the worst case dynamic brake setting, and weight the emissions as
specified in the applicable table of this section. Where it is not
obvious which dynamic brake setting represents worst case, do one of
the following:
    (i) You may measure emissions and power at each dynamic brake point
and average them together.
    (ii) You may measure emissions and power at the dynamic brake point
with the lowest power.
    (2) 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 to this section for
nonstandard locomotive testing subject to our prior approval. This
paragraph (c) does not allow engines to be tested without consideration
of the actual notches that will be used.

 Table 3 to Sec.   1033.530.--Standard Notch Power Levels Expressed as a
                        Percentage of Rated Power
------------------------------------------------------------------------
                                                                Percent
------------------------------------------------------------------------
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
------------------------------------------------------------------------

    (d) Optional Ramped Modal Cycle Testing. Tables 1 and 2 of Sec. 
1033.520 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. This
paragraph (e) does not apply if the locomotive is (or will be) covered
by a separate certificates for idle control.
    (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 at the operating points at which the
engines will operate when installed in the locomotive (excluding
stopping and starting). Weigh the results to reflect the power demand/
power-sharing of the in-use configuration for each notch setting.
    (g) Representative test cycles for freshly manufactured
locomotives. As specified in this paragraph (g), manufacturers may be
required to use an alternate test cycle for freshly manufactured Tier 3
and later locomotives.
    (1) If you determine that you are adding design features that will
make the expected average in-use duty cycle for any of your freshly
manufactured locomotive engine families significantly different from
the otherwise applicable test cycle (including weighting factors), you
must notify us and recommend an alternate test cycle that represents
the expected average in-use duty cycle. You should also obtain
preliminary approval before you begin collecting data to support an
alternate test cycle. We will specify whether to use the default duty
cycle, your recommended cycle, or a different cycle, depending on which
cycle we believe best represents expected in-use operation.
    (2) The provisions of this paragraph (g) apply differently for
different types of locomotives, as follows:
    (i) For Tier 4 and later line-haul locomotives, use the cycle
required by (g)(1) of this section to show compliance with the line-
haul cycle standards.
    (ii) For Tier 3 and later switch locomotives, use the cycle
required by (g)(1) of this section to show compliance with the switch
cycle standards.
    (iii) For Tier 3 line-haul locomotives, if we specify an alternate
cycle, use it to show compliance with the line-haul cycle standards. If
you include the locomotives in the ABT program of subpart H of this
part, calculate line-haul cycle credits (positive or negative) using
the alternate cycle and the line-haul cycle standards. Your locomotive
is deemed to also generate an equal amount of switch cycle credits.
    (3) For all locomotives certified using an alternate cycle, include
a description of the cycle in the owners manual such that the
locomotive can be remanufactured using the same cycle.
    (4) For example, if your freshly manufactured line-haul locomotives
are equipped with load control features that

[[Page 25226]]

modify how the locomotive will operate when it is in a consist, and
such features will cause the locomotives to operate differently from
the otherwise applicable line-haul cycle, we may require you to certify
using an alternate cycle.
    (5) See paragraph (h) of this section for cycle-changing design
features that also result in energy savings.
    (h) Calculation adjustments for energy-saving design features. The
provisions of this paragraph (h) apply for locomotives equipped with
energy-saving locomotive design features. They do not apply for
features that only improve the engine's brake-specific fuel consumption.
    (1) Manufacturers/remanufacturers choosing to adjust emissions
under this paragraph (h) must do all of the following for certification:
    (i) Describe the energy-saving features in your application for
certification.
    (ii) Describe in your installation instruction and/or maintenance
instructions all steps necessary to utilize the energy-saving features.
    (2) If your design feature will also affect the locomotive's duty
cycle, you must comply with the requirements of paragraph (g) of this
section.
    (3) Calculate energy the savings as described in this paragraph
(h)(3).
    (i) Estimate the expected mean in-use fuel consumption rate (on a
BTU per ton-mile basis) with and without the energy saving design
feature, consistent with the specifications of paragraph (h)(4) of this
section. The energy savings is the ratio of fuel consumed from a
locomotive operating with the new feature to fuel consumed from a
locomotive operating without the feature under identical conditions.
Include an estimate of the 80 percent confidence interval for your
estimate of the mean, and other statistical parameters we specify.
    (ii) Your estimate must be based on in-use operating data,
consistent with good engineering judgment. Where we have previously
certified your design feature under this paragraph (h), we may require
you to update your analysis based on all new data that are available.
You must obtain preliminary approval before you begin collecting
operational data for this purpose.
    (iii) We may allow you to consider the effects of your design
feature separately for different route types, regions, or railroads. We
may require that you certify these different locomotives in different
engine families and may restrict their use to the specified applications.
    (iv) Design your test plan so that the operation of the locomotives
with and without is as similar as possible in all material aspects
(other than the design feature being evaluated). Correct all data for
any relevant differences, consistent with good engineering judgment.
    (v) Do not include any brake-specific energy savings in your
calculated values. If it is not possible to exclude such effects from
your data gathering, you must correct for these effects, consistent
with good engineering judgment.
    (4) Calculate adjustment factors as described in this paragraph
(h)(4). If the energy savings will apply broadly, calculate and apply
the adjustment on a cycle-weighted basis. Otherwise, calculate and
apply the adjustment separately for each notch. To apply the
adjustment, multiply the emissions (either cycle-weighted or notch-
specific, as applicable) by the adjustment. Use the lower bound of the
80 percent confidence interval of the estimate of the mean as your
estimated energy savings rate. We may cap your energy savings rate for
this paragraph (h)(4) at 80 percent of the estimate of the mean.
Calculate the emission adjustment factors as:

AF = 1.000--(energy savings rate)

Sec.  1033.535  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:

EFA = (F)(EFH) + (1-F)(EFL)

Where:

F = the frequency of the regeneration event during normal in-use
operation, expressed in terms of the fraction of equivalent tests
during which the regeneration occurs. You may determine F from in-
use operating data or running replicate tests. For example, if you
observe that the regeneration occurs 125 times during 1000 MW-hrs of
operation, and your locomotive typically accumulates 1 MW-hr per
test, F would be (125) / (1000) x (1) = 0.125.
EFH = measured emissions from a test segment in which the
regeneration occurs.
EFL = 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 = EFA-EFL

[[Page 25227]]

    (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 = EFH-EFA

    (d) Sample calculation. If EFL is 0.10 g/bhp-hr, EFH is 0.50 g/
bhp-hr, and F is 0.10 (the regeneration occurs once for each ten
tests), then:

EFA = (0.10)(0.50 g/ bhp-hr) + (1.00-0.10)(0.10 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 under a certificate of
conformity issued under this part.
    (c) Exemptions. (1) The exemption provisions of 40 CFR 1068.240
(i.e., exemptions for replacement engines) do not apply for domestic or
imported locomotives. (Note: You may introduce into commerce freshly
manufactured replacement engines under this part, provided the
locomotives into which they are installed are covered by a certificate
of conformity.
    (2) The exemption provisions of 40 CFR 1068.250 and 1068.255 (i.e.,
exemptions for hardship relief) do not apply for domestic or imported
locomotives. See Sec.  1033.620 for provisions related to hardship relief.
    (3) The exemption provisions of 40 CFR 1068.260 (i.e., exemptions
for delegated assembly) do not apply for domestic or imported
locomotives, except as specified in Sec.  1033.630.
    (4) The provisions for importing engines and equipment under the
identical configuration exemption of 40 CFR 1068.315(i) do not apply
for locomotives.
    (5) 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, subpart E (i.e., SEA provisions) do not apply for
locomotives. Except as noted in this paragraph (d), the provisions of
40 CFR part 1068, subpart F, apply to certificate holders for
locomotives as specified for manufacturers in that part.
    (1) 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, subpart F, as needed so that the certificate holder can
fulfill its obligations under those subparts.
    (2) The defect investigation requirements of 40 CFR 1068.501(a)(5),
(b)(1) and (b)(2) do not apply for locomotives. Instead, use good
engineering judgment to investigate emission-related defects consistent
with normal locomotive industry practice for investigating defects. You
are not required to track parts shipments as indicators of possible defects.
    (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 all Class II railroads and some 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. Certificate holders may require
written confirmation from the owner/operator that the locomotive
qualifies as a locomotive that is owned and operated by a small
railroad. Such written confirmation to a certificate holder is deemed
to also be a submission to EPA and is thus subject to the reporting
requirements of 40 CFR 1068.101.
    (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 or 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. We will grant the
exemption in all cases in which no remanufacturing system has been
certified for the applicable engine family and model year. We may also
grant an exemption where we determine that a certified system is
unavailable. We may consider the issue of excessive costs in
determining the availability of certified systems. If we grant this
exemption for a previously certified locomotive, you are required to
return the locomotive to its previously certified configuration. Send
your request for such exemptions to the Designated Compliance Officer.
    (d) Non-Class I railroads that do not meet the definition of
``small railroad'' in Sec.  1033.901 may ask that their remanufactured
locomotives be excluded from the definition of ``new'' in Sec. 
1033.901 in cases where no certified remanufacturing system is
available for

[[Page 25228]]

the locomotive. We will grant the exemption in all cases in which no
remanufacturing system has been certified for the applicable engine
family and model year. If we grant this exemption for a previously
certified locomotive, you are required to return the locomotive to its
previously certified configuration. Send your request for such
exemptions to the Designated Compliance Officer.

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
the relief. For example, you may not request relief for a locomotive
that has been ordered, but for which you will not begin the assembly
process prior to the applicability date of the standards. On the other
hand, we would generally consider completion of the underframe weldment
to be a substantial part of the manufacturing process.
    (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.
    (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 (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 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 than 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 30 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.

[[Page 25229]]

    (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 and delegated assembly exemptions.

    (a) Staged assembly. 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 paragraph (a) in
your application for certification, or in a separate submission. If you
include your request in your application, your exemption is approved
when we grant your certificate. Note that no exemption is needed to
ship an engine that has been assembled in its certified configuration,
is properly labeled, and will not require an aftertreatment device to
be attached when installed in the locomotive.
    (b) Delegated assembly. This paragraph (b) applies where the engine
manufacturer/remanufacturer does not complete assembly of the
locomotives and the engine is shipped after being manufactured or
remanufactured (partially or completely). The provisions of this
paragraph (b) apply differently depending on who holds the certificate
of conformity and the state of the engine when it is shipped. You may
request an exemption under this paragraph (b) in your application for
certification, or in a separate submission. If you include your request
in your application, your exemption is approved when we grant your
certificate. A manufacturer/remanufacturer may request an exemption
under 40 CFR 1068.260 instead of under this section.
    (1) In cases where an engine has been assembled in its certified
configuration, properly labeled, and will not require an aftertreatment
device to be attached when installed in the locomotive, no exemption is
needed to ship the engine. You do not need an exemption to ship engines
without specific components if they are not emission-related components
identified in Appendix I of 40 CFR part 1068.
    (2) In cases where an engine has been properly labeled by the
certificate holder and assembled in its certified configuration except
that it does not yet have a required aftertreatment device, an
exemption is required to ship the engine. You may ask for this
exemption if you do all of the following:
    (i) You note on the Engine Emission Control Information label that
the locomotive must include the aftertreatment device to be covered by
the certificate.
    (ii) You make clear in your emission-related installation
instructions that installation of the aftertreatment device is required
for the locomotive to be covered by the certificate.
    (3) In cases where an engine will be shipped to the certificate
holder in an uncertified configuration, an exemption is required to
ship the engine. You may ask for this exemption under 40 CFR 1068.262.
    (c) Other exemptions. In unusual circumstances, you may ask us to
provide an exemption for an assembly process that is not covered by the
provisions of paragraphs (a) and (b) of this section. We will make the
exemption conditional based on you complying with requirements that we
determine are necessary to ensure that the locomotives are assembled in
their certified configuration before being placed (back) into service.

Sec.  1033.640  Provisions for repowered and refurbished locomotives.

    (a) 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.
    (1) Repowered locomotives are used locomotives in which a freshly
manufactured propulsion engine is installed. As described in this
section, a repowered locomotive is deemed to be either remanufactured
or freshly manufactured, depending on the total amount of unused parts
on the locomotive. It may also be deemed to be a refurbished
locomotive.
    (2) Refurbished locomotives are locomotives that contain more
unused parts than previously used parts. As described in this section,
a locomotive containing more unused parts than previously used parts
may be deemed to be either remanufactured or freshly manufactured,
depending on the total amount of unused parts on the locomotive. Note
that Sec.  1033.101 defines refurbishment of a pre-1973 locomotive to
be an upgrade of the locomotive.
    (b) A single existing locomotive cannot be divided into parts and
combined with new parts to create more than one remanufactured
locomotive. However, any number of locomotives can be divided into
parts and combined with new parts to create more than one
remanufactured locomotive, provide the number of locomotives created
(remanufactured and freshly manufactured) does not exceed the number of
locomotives that were disassembled.
    (c) You may determine the relative amount of previously used parts
consistent with the specifications of the Federal Railroad
Administration. Otherwise, determine the relative amount of previously
used parts 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. Calculate the used part values using dollar values from the
same year as the new parts.
    (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 greater than or equal to 25 percent, then the
locomotive is considered to be a remanufactured locomotive and retains
its original date

[[Page 25230]]

of manufacture. Note, however, that if the weighted fraction of the
locomotive that is comprised of previously used parts is less than 50
percent, then the locomotive is also 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
deemed 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. For example:
    (1) If you produce a new locomotive that includes a used frame, but
all other parts are unused, then the locomotive would likely be
considered to be a freshly manufactured locomotive because the value of
the frame would likely be less than 25 percent of the total value of
the locomotive. Its date of original manufacture would be 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 would likely be 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.)
    (e) Locomotives containing used parts that are deemed to be freshly
manufactured locomotives are subject to the same provisions as all
other freshly manufactured locomotives. Other refurbished locomotives
are subject to the same provisions as other remanufactured locomotives,
with the following exceptions:
    (1) Switch locomotives. (i) Prior to January 1, 2015,
remanufactured Tier 0 switch locomotives that are deemed to be
refurbished are subject to the Tier 0 line-haul cycle and switch cycle
standards. Note that this differs from the requirements applicable to
other Tier 0 switch locomotives, which are not subject to the Tier 0
line-haul cycle standards.
    (ii) Beginning January 1, 2015, remanufactured Tier 3 and earlier
switch locomotives that are deemed to be refurbished are subject to the
Tier 3 switch standards.
    (2) Line-haul locomotives. Remanufactured line-haul locomotives
that are deemed to be refurbished are subject to the same standards as
freshly manufactured line-haul locomotives, except that line-haul
locomotives with rated power less than 3000 hp that are refurbished
before January 1, 2015 are subject to the same standards as refurbished
switch locomotives under paragraph (e)(1)(i) of this section. However,
line-haul locomotives less than 3000 hp may not generate emission
credits relative to the standards specified in paragraph (e)(1)(i) of
this section.
    (3) Labels for switch and line-haul locomotives. Remanufacturers
that refurbish a locomotive must add a secondary locomotive label that
includes the following:
    (i) The label heading: ``REFURBISHED LOCOMOTIVE EMISSION CONTROL
INFORMATION.''
    (ii) The statement identifying when the locomotive was refurbished
and what standards it is subject to, as follows: ``THIS LOCOMOTIVE WAS
REFURBISHED IN [year of refurbishment] AND MUST COMPLY WITH THE TIER
[applicable standard level] EACH TIME THAT IT IS REMANUFACTURED, EXCEPT
AS ALLOWED BY 40 CFR 1033.750.''.

Sec.  1033.645  Non-OEM component certification program.

    This section describes a voluntary program that allows you to get
EPA approval of components you manufacture for use during
remanufacturing.
    (a) Applicability. This section applies only for components
replaced during remanufacturing. It does not apply for other components
that are replaced during a locomotive's useful life.
    (1) The following components are eligible for approval under this
section:
    (i) Cylinder liners.
    (ii) Pistons.
    (iii) Piston rings.
    (iv) Heads.
    (v) Fuel injectors.
    (vi) Turbochargers.
    (vii) Aftercoolers and intercoolers.
    (2) Catalysts and electronic controls are not eligible for approval
under this section.
    (3) We may determine that other types of components can be
certified under this section, consistent with good engineering judgment.
    (b) Approval. To obtain approval, submit your request to the
Designated Compliance Officer.
    (1) Include all of the following in your request:
    (i) A description of the component(s) for which you are requesting
approval.
    (ii) A list of all engine/locomotive models and engine families for
which your component would be used. You may exclude models that are not
subject to our standards or will otherwise not be remanufactured under
a certificate of conformity.
    (iii) A copy of the maintenance instructions for engines using your
component. You may reference the other certificate holder's maintenance
instructions in your instructions. For example, your instructions may
specify to follow the other certificate holder's instructions in
general, but list one or more exceptions to address the specific
maintenance needs of your component.
    (iv) An engineering analysis (including test data in some cases)
demonstrating to us that your component will not cause emissions to
increase. The analysis must address both low-hour and end-of-useful
life emissions. The amount of information required for this analysis is
less than is required to obtain a certificate of conformity under
subpart C of this part and will vary depending on the type of component
being certified.
    (v) The following statement signed by an authorized representative
of your company: We submit this request under 40 CFR 1033.645. 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)
    (2) If we determine that there is reasonable technical basis to
believe that your component is sufficiently equivalent that it will not
increase emissions, we will approve your request and you will be a
certificate holder for your components with respect to actual emissions
performance for all locomotives that use those components (in
accordance with this section).
    (c) Liability. Being a certificate holder under this section means
that if in-use testing indicates that a certified locomotive using one
or more of your approved components does not comply with an applicable
emission standard, we will presume that you and other certificate
holders are liable for the noncompliance. However, we will not hold you
liable in cases where you convince us that your components did not
cause the noncompliance. Conversely, we will not hold other certificate
holders liable for noncompliance caused solely by your components. You
are also subject to the warranty and defect reporting requirements of
this part for your certified components. Other requirements of this
part apply as specified in Sec.  1033.1.
    (d) In-use testing. Locomotives containing your components must be
tested according to the provisions of this paragraph (d).
    (1) Except as specified in paragraph (d)(5) of this section, you
must test at least one locomotive if 250 locomotives

[[Page 25231]]

use your component under this section. You must test one additional
locomotive for the next additional 500 locomotives that use your
component under this section. After that, we may require you to test
one additional locomotive for each additional 1000 locomotives that use
your component under this section. These numbers apply across model
years. For example, if your component is used in 125 remanufactures per
year under this section, you must test one of the first 250
locomotives, one of the next 500 locomotives, and up to one every eight
years after that. Do not count locomotives that use your components but
are not covered by this section.
    (2) Except for the first locomotive you test for a specific
component under this section, locomotives tested under this paragraph
(d) must be past the half-way point of the useful life in terms of MW-
hrs. For the first locomotive you test, select a locomotive that has
operated between 25 and 50 percent of its useful life.
    (3) Unless we approve a different schedule, you must complete
testing and report the results to us within 180 days of the earliest
point at which you could complete the testing based on the hours of
operation accumulated by the locomotives. For example, if 250 or more
locomotives use your part under this section, and the first of these to
reach 25 percent of its useful life does so on March 1st of a given
year, you must complete testing of one of the first 250 locomotives and
report to us by August 28th of that year.
    (4) Unless we approve different test procedures, you must test the
locomotive according to the procedures specified in subpart F of this part.
    (5) If any locomotives fail to meet all standards, we may require
you to test one additional locomotive for each locomotive that fails.
You may choose to accept that your part is causing an emission problem
rather than continuing testing. You may also test additional
locomotives at any time. 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 you complete testing additional
locomotives.
    (6) You may ask us to allow you to rely on testing performed by
others instead of requiring you to perform testing. For example, if a
railroad tests a locomotive with your component as part of its testing
under Sec.  1033.810, you may ask to submit those test data as
fulfillment of your test obligations under this paragraph (d). If a
given test locomotive uses different components certified under this
section that were manufactured by different manufacturers (such as
rings from one manufacturer and cylinder liners from another
manufacturer), a single test of it may be counted towards both
manufacturers' test obligations. In unusual circumstances, you may also
ask us to grant you hardship relief from the testing requirements of
this paragraph (d). In determining whether to grant you relief, we will
consider all relevant factors including the extent of the financial
hardship to your company and whether the test data are available from
other sources, such as testing performed by a railroad.
    (e) Components certified under this section may be used when
remanufacturing Category 2 engines under 40 CFR part 1042.

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 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.

Sec.  1033.655  Special provisions for certain Tier 0/Tier 1 locomotives.

    (a) The provisions of this section apply only for the following
locomotives (and locomotives in the same engine families as these
locomotives):
    (1) Locomotives listed in Table 1 of this section originally
manufactured 1986-1994 by General Electric Company that have never been
equipped with separate loop aftercooling. The section also applies for
the equivalent passenger locomotives.

                       Table 1 to Sec.   1033.655
------------------------------------------------------------------------

------------------------------------------------------------------------
8-40C.....................................  P32ACDM
8-40B.....................................  P42DC
8-32B.....................................  8-40BPH
8-40CW....................................  P40DC
8-40BW....................................  8-32BWH
8-40CM....................................  C39-8
8-41CW....................................  B39-8E
8-44CW                                      ............................
------------------------------------------------------------------------

    (2) SD70MAC and SD70IAC locomotives originally manufactured 1996-
2000 by EMD.
    (b) Any certifying remanufacturer may request relief for the
locomotives covered by this section.
    (c) You may ask us to allow these locomotives to exceed otherwise
applicable line-haul cycle NO_X standard for high ambient
temperatures and/or altitude because of limitations of the cooling
system. However, the NO_X emissions may exceed the otherwise
applicable standard only to the extent necessary. Relief is limited to
the following conditions:
    (1) For General Electric locomotives, you may ask for relief for
ambient temperatures above 23 [deg]C and/or barometric pressure below
97.5 kPa (28.8 in. Hg). NO_X emissions may not exceed 9.5 g/
bhp-hr over the line-haul cycle for any temperatures up to 105 [deg]F
and any altitude up to 7000 feet above sea level.
    (2) For EMD locomotives, you may ask for relief for ambient
temperatures above 30 [deg]C and/or barometric pressure below 97.5 kPa
(28.8 in. Hg). NO_X emissions may not exceed 8.0 g/bhp-hr
over the line-haul cycle for any temperatures up to 105 [deg]F and any
altitude up to 7000 feet above sea level.
    (d) All other standards and requirements in this part apply as
specified.
    (e) To request this relief, submit to the Designated Compliance
Officer along with your application for certification an engineering
analysis showing how your emission controls operate for the following
conditions:
    (1) Temperatures 23-40 [deg]C at any altitude up to 7000 feet above
sea level.
    (2) Altitudes 1000-7000 feet above sea level for any temperature
from 15-40 [deg]C.

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

[[Page 25232]]

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) Applicable emission standard means an emission standard that is
specified in subpart B of this part. Note that for other subparts,
``applicable emission standard'' is defined to also include FELs.
    (3) Averaging set means a set of locomotives in which emission
credits may be exchanged only with other locomotives in the same
averaging set.
    (4) Broker means any entity that facilitates a trade of emission
credits between a buyer and seller.
    (5) Buyer means the entity that receives emission credits as a
result of a trade.
    (6) Reserved emission credits means emission credits you have
generated that we have not yet verified by reviewing your final report.
    (7) Seller means the entity that provides emission credits during a
trade.
    (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  Calculating 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 emission standard. Calculate
negative emission credits for an engine family that has an FEL above
the otherwise applicable emission standard. Do not round until the end
of year report.
    (b) For each participating engine family, calculate positive or
negative emission credits relative to the otherwise applicable emission
standard. For 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 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.

    (c) When useful life is expressed in terms of miles, calculate the
useful life 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 3,500 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 to this section. For line-haul locomotives
more than 20 years old, use the proration factor for 20 year old
locomotives. The proration

[[Page 25233]]

factors for switch locomotives ages 1 through 40 are specified in Table
2 to this section. For switch locomotives more than 40 years old, use
the proration factor for 40 year old locomotives.
    (3) For repower engines, the proration factor is based on the age
of the locomotive chassis, not the age of the engine, except for
remanufactured locomotives that qualify as refurbished. The minimum
proration factor for remanufactured locomotives that meet the
definition of refurbished but not freshly manufactured is 0.60. (Note:
The proration factor is 1.00 for all locomotives that meet the
definition of freshly manufactured.)

Table 1 to 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 to Sec.   1033.705.--Proration Factors for Switch Locomotives
------------------------------------------------------------------------
                                                             Proration
                 Locomotive age (years)                     factor (Fp)
------------------------------------------------------------------------
1.......................................................            0.98
2.......................................................            0.96
3.......................................................            0.94
4.......................................................            0.92
5.......................................................            0.90
6.......................................................            0.88
7.......................................................            0.86
8.......................................................            0.84
9.......................................................            0.82
10......................................................            0.80
11......................................................            0.78
12......................................................            0.76
13......................................................            0.74
14......................................................            0.72
15......................................................            0.70
16......................................................            0.68
17......................................................            0.66
18......................................................            0.64
19......................................................            0.62
20......................................................            0.60
21......................................................            0.58
22......................................................            0.56
23......................................................            0.54
24......................................................            0.52
25......................................................            0.50
26......................................................            0.48
27......................................................            0.46
28......................................................            0.44
29......................................................            0.42
30......................................................            0.40
31......................................................            0.38
32......................................................            0.36
33......................................................            0.34
34......................................................            0.32
35......................................................            0.30
36......................................................            0.28
37......................................................            0.26
38......................................................            0.24
39......................................................            0.22
40......................................................            0.20
------------------------------------------------------------------------

    (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 permanently 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) 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 emission 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 emission 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) You may use banked emission credits from the previous model
year for 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.
    (c) 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.

[[Page 25234]]

    (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 emission 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.

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 retain 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 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 decreased 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 increased
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.  1033.730.
    (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. You may identify these
numbers as a range.

[[Page 25235]]

    (3) FEL. If you change the FEL after the start of production,
identify the date that you started using the new FEL and give the
engine identification number for the first engine covered by the new FEL.
    (4) Rated power and useful life.
    (5) Purchaser and destination for freshly manufactured locomotives;
or owner for remanufactured locomotives.
    (e) We may require you to keep additional records or to send us
relevant information not required by this section, as allowed under the
Clean Air Act.

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. NO_X and PM credits
generated under 40 CFR part 92 may be used under this part in the same
manner as NO_X and PM 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 a 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 emission 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 emission 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 changing an FEL 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.

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, which is listed
on the ``Locomotive Emission Control Information'' label.
    (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

[[Page 25236]]

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) If you do not obtain your own certificate of conformity from
EPA, contact a certifying remanufacturer to have your locomotive
included under its certificate of conformity. Confirm with the
certificate holder that your locomotive's model, date of original
manufacture, previous FEL, and power rating allow it to be covered by
the certificate. You must do all of the following:
    (1) Comply with the certificate holder's emission-related
installation instructions, which should include the following:
    (i) A description of how to assemble and adjust the locomotive so
that it will operate according to design specifications in the
certificate. See paragraph (e) of this section for requirements related
to the parts you must use.
    (ii) Instructions to remove the Engine Emission Control Information
label and replace it with the certificate holder's new label. Note: In
most cases, you must not remove the Locomotive Emission Control
Information label.
    (2) Provide to the certificate holder the information it identifies
as necessary to comply with the requirements of this part. For example,
the certificate holder may require you to provide the information
specified by Sec.  1033.735.
    (e) For parts unrelated to emissions and emission-related parts not
addressed by the certificate holder in the emission-related
installation instructions, you may use parts from any source. For
emission-related parts listed by the certificate holder in the
emission-related installation instructions, you must either use the
specified parts or parts certified under Sec.  1033.645 for
remanufacturing. If you believe that the certificate holder has
included as emission-related parts, parts that are actually unrelated
to emissions, you may ask us to exclude such parts from the emission-
related installation instructions. Note: This paragraph (e) does not
apply with respect to parts for maintenance other than remanufacturing;
see Sec.  1033.815 for provisions related to general maintenance.
    (f) 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 0.075 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 0.00075 and rounding up to the next whole number).
    (2) 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. Unless we specify a different
option, select test locomotives as specified in paragraph (c)(1) of
this section (Option 1). In no case may you exclude locomotives because
of visible smoke, a history of durability problems, or other evidence
of malmaintenance. You may test more locomotives than is required by
this section.
    (1) Option 1. 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. If possible,
select locomotives that have been operated for at least 100 percent of
their useful lives. Where there are multiple locomotives meeting the
requirements of this paragraph (c)(1), randomly select the locomotives
to be tested from among those locomotives. 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) Option 2. If you hold a certificate for some of your
locomotives, you may ask us to allow you to select up to two
locomotives as specified in subpart E of this part, and count those
locomotives toward both your testing obligations of that subpart and
this section.
    (3) Option 3. You may ask us to allow you to test locomotives that
use parts covered under Sec.  1033.645. If we do, it does not change
the number of locomotives that you must test.
    (4) Option 4. We may require that you test specific locomotives,
including locomotives that do not meet the criteria specified in any of
the options in this section. If we do, we will specify which locomotives
to test by January 1 of the calendar year for which testing is required.
    (d) Reporting requirements. Report all testing done in compliance
with the provisions of this section to us within 45 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 ask us to allow you to 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
emission data collected using other testing or sampling

[[Page 25237]]

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.

    All persons who own, operate, or maintain locomotives are subject
to this section, except where we specify that a requirement applies to
the owner.
    (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) Perform unscheduled maintenance in a timely manner. This
includes malfunctions identified through the locomotive's emission
control diagnostics system and malfunctions discovered in components of
the diagnostics system itself. For most repairs, this paragraph (b)
requires that the maintenance be performed no later than the
locomotive's next periodic (92-day) inspection. See paragraph (e) of
this section, for reductant replenishment requirements in a locomotive
equipped with an SCR system.
    (c) 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.
    (d) 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.
    (e) For locomotives equipped with emission controls requiring the
use of specific fuels, lubricants, or other fluids, proper maintenance
includes complying with the manufacturer/remanufacturer's
specifications for such fluids when operating the locomotives. This
requirement applies without regard to whether misfueling permanently
disables the emission controls. The following additional provisions
apply for locomotives equipped with SCR systems requiring the use of
urea or other reductants:
    (1) You must plan appropriately to ensure that reductant will be
available to the locomotive during operation.
    (2) If the SCR diagnostic indicates (or you otherwise determine)
that either reductant supply or reductant quality in the locomotive is
inadequate, you must replace the reductant as soon as practical.
    (3) If you operate a locomotive without the appropriate urea or
other reductant, you must report such operation to us within 30 days.
Note that such operation violates the requirement of this paragraph
(e); however, we may consider mitigating factors (such as how long the
locomotive was operated without the appropriate urea or other
reductant) in determining whether to assess penalties for such violations.
    (f) 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/
remanufacturers 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. For example, the Institute of Electrical and Electronic
Engineers Standard 115 (``Test Procedures for Synchronous Machines'')
is an appropriate test procedure for determining alternator/generator
efficiency. Other methods may also be used consistent with good
engineering judgment.

[[Page 25238]]

    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, locomotive 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.
    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
circulate engine coolant, circulate engine lubricant, supply fuel to
the engine, or 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.
    Carryover means the process of obtaining a certificate for one
model year using the same test data from the preceding model year, as
described in Sec.  1033.235(d). This generally requires that the
locomotives in the engine family do not differ in any aspect related to
emissions.
    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.
    Days means calendar days, unless otherwise specified. For example,
where we specify working days, we mean calendar days excluding weekends
and U.S. national holidays.
    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-J), 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.  1033.515.
    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 (whether or
not it is used for propelling the 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.

[[Page 25239]]

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 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.
    Line-haul locomotive means a locomotive that does not meet the
definition of switch locomotive. Note that this includes both freight
and passenger locomotives.
    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 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.
    Locomotive engine means an engine that propels a locomotive.
    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). Note that we may deem locomotives with
additional operation to be low mileage locomotives, consistent with
good engineering judgment.
    Low-sulfur diesel fuel means one of the following:
    (1) For in-use fuels, low-sulfur diesel fuel means a diesel fuel
market as low-sulfur diesel fuel having a maximum sulfur concentration
of 500 parts per million.

[[Page 25240]]

    (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 engine or the remanufacturer of a
remanufactured locomotive or engine, as applicable.
    Model year means a calendar year in which a locomotive is
manufactured or remanufactured.
    New, when relating to a locomotive or locomotive 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 or refurbished (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 or 40 CFR part
92 at the time of importation, and that was manufactured or
remanufactured after the effective date of the emission standards in 40
CFR part 92 which would have been 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
previously been remanufactured into a certified configuration.
    (iii) Locomotives originally certified under (1033.150(e) do not
become new when remanufactured, except as specified in Sec.  1033.615.
    (iv) Locomotives that operate only on non-standard gauge rails do
not become new when remanufactured if no certified remanufacturing
system is available for them.
    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 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.  1033.525.
    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.  1033.640. 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.
    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.
    Oxides of nitrogen has the meaning given in 40 CFR part 1065.
    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

[[Page 25241]]

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, a repowered locomotive, or a
refurbished 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 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 manufacturer/remanufacturer 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.
    Small railroad means a railroad meeting the criterion of paragraph
(1) of this definition, but not either of the criteria of paragraphs
(2) and (3) of this definition.
    (1) To be considered a small railroad, a railroad must qualify as a
small business under the Small Business Administration's regulations in
13 CFR part 121.
    (2) Class I and Class II railroads (and their subsidiaries) are not
small railroads.
    (3) Intercity passenger and commuter railroads are excluded from
this definition of small railroad. Note that this paragraph (3) does
not exclude tourist railroads.
    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 would experience a significant drop in emission control
performance or emission-system durability when a locomotive is operated
on low-sulfur 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. Include auxiliary engines in your
calculation of total power if the engines are permanently installed on
the locomotive and can be operated while the main propulsion engine is
operating. Do not count the power of auxiliary engines that operate
only to reduce idling time of the propulsion engine.
    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 0 or Tier 0+ means relating to the Tier 0 emission standards,
as shown in Sec.  1033.101.
    Tier 1 or Tier 1+ means relating to the Tier 1 emission standards,
as shown in Sec.  1033.101.
    Tier 2 or 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 an atomic hydrogen-to-carbon 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.

[[Page 25242]]

    Ultra low-sulfur diesel fuel means one of the following:
    (1) For in-use fuels, ultra low-sulfur diesel fuel means a diesel
fuel marketed as ultra low-sulfur diesel fuel having 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 one of the following types of remanufacturing.
    (1) Repowering a locomotive that was originally manufactured prior
to January 1, 1973.
    (2) Refurbishing a locomotive that was originally manufactured
prior to January 1, 1973 in a manner that is not freshly manufacturing.
    (3) Modifying 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. See Sec.  1033.615.
    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.
AESS automatic engine stop/start
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.
NO_X oxides of nitrogen.
PM particulate matter.
rpm revolutions per minute.
SAE Society of Automotive Engineers.
SCR selective catalytic reduction.
SEA Selective Enforcement Audit.
THC total hydrocarbon.
THCE total hydrocarbon equivalent.
UL useful life.
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.

PART 1039--CONTROL OF EMISSIONS FROM NEW AND IN-USE NONROAD
COMPRESSION-IGNITION ENGINES

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

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

Subpart F--[Amended]

• 40. Section 1039.505 is amended by revising paragraphs (a)(1)
introductory text, (c), and (d) and adding paragraph (g) to read as follows:

Sec.  1039.505  How do I test engines using steady-state duty cycles,
including ramped-modal testing?

* * * * *
    (a) * * *
    (1) For discrete-mode testing, sample emissions separately for each
mode, then calculate an average emission level for the whole cycle
using the weighting factors specified for each mode. Calculate cycle
statistics and compare with the established criteria as specified in 40
CFR 1065.514 to confirm that the test is valid. Operate the engine and
sampling system as follows:
* * * * *
    (c) During idle mode, operate the engine at its warm idle speed as
described in 40 CFR part 1065.
    (d) For constant-speed engines whose design prevents full-load
operation for extended periods, you may ask for approval under 40 CFR
1065.10(c) to replace full-load operation with the maximum load for
which the engine is designed to operate for extended periods.
* * * * *
    (g) To allow non-motoring dynamometers on cycles with idle, you may
omit additional points from the duty-cycle regression as follows:
    (1) For variable-speed engines with low-speed governors, you may
omit speed, torque, and power points from the duty-cycle regression
statistics if the following are met:
    (i) The engine operator demand is at its minimum.
    (ii) The dynamometer demand is at its minimum.
    (iii) It is an idle point f_nref = 0 % (idle) and
T_ref = 0 % (idle).
    (iv) T_ref < T <= 5 % [middot] T_max mapped.
    (2) For variable-speed engines without low-speed governors, you may
omit torque and power points from the duty-cycle regression statistics
if the following are met:
    (i) The dynamometer demand is at its minimum.
    (ii) It is an idle point f_nref = 0 % (idle) and
T_ref = 0 % (idle).
    (iii) f_nref - (2 % [middot] f_ntest) <
f_n < f_nref + (2 % [middot] f_ntest).
    (iv) T_ref < T <= 5 % [middot] T_max mapped.

Subpart G--[Amended]

• 41. Section 1039.645 is amended by revising paragraph (b)(1) to read as
follows:

Sec.  1039.645  What special provisions apply to engines used for
transportation refrigeration units?

* * * * *

[[Page 25243]]

    (b) * * *
    (1) The following duty cycle applies for discrete-mode testing:

                        Table 1 of Sec.   1039.645.--Discrete-Mode Cycle for TRU Engines
----------------------------------------------------------------------------------------------------------------
                                                                                      Torque         Weighting
                Mode number                            Engine speed \1\            (percent) \2\      factors
----------------------------------------------------------------------------------------------------------------
1..........................................  Maximum test speed.................              75            0.25
2..........................................  Maximum test speed.................              50            0.25
3..........................................  Intermediate test speed............              75            0.25
4..........................................  Intermediate test speed............              50            0.25
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the given engine speed.

* * * * *

Appendices--[Amended]

• 42. Appendix II to part 1039 is revised to read as follows:

Appendix II to Part 1039--Steady-State Duty Cycles

    (a) The following duty cycles apply for constant-speed engines:
    (1) The following duty cycle applies for discrete-mode testing:

----------------------------------------------------------------------------------------------------------------
                                                                                      Torque         Weighting
               D2 mode number                            Engine speed              (percent) \1\      factors
----------------------------------------------------------------------------------------------------------------
1..........................................  Engine governed....................             100            0.05
2..........................................  Engine governed....................              75            0.25
3..........................................  Engine governed....................              50            0.30
4..........................................  Engine governed....................              25            0.30
5..........................................  Engine governed....................              10            0.10
----------------------------------------------------------------------------------------------------------------
\1\ The percent torque is relative to maximum test torque.

    (2) The following duty cycle applies for ramped-modal testing:

----------------------------------------------------------------------------------------------------------------
                                      Time in mode
              RMC mode                  (seconds)            Engine speed             Torque  (percent) 1, 2
----------------------------------------------------------------------------------------------------------------
1a Steady-state....................              53  Engine governed............  100.
1b Transition......................              20  Engine governed............  Linear transition.
2a Steady-state....................             101  Engine governed............  10.
2b Transition......................              20  Engine governed............  Linear transition.
3a Steady-state....................             277  Engine governed............  75.
3b Transition......................              20  Engine governed............  Linear transition.
4a Steady-state....................             339  Engine governed............  25.
4b Transition......................              20  Engine governed............  Linear transition.
5 Steady-state.....................             350  Engine governed............  50.
----------------------------------------------------------------------------------------------------------------
\1\ The percent torque is relative to maximum test torque.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
  a linear progression from the torque setting of the current mode to the torque setting of the next mode.

    (b) The following duty cycles apply for variable-speed engines
with maximum engine power below 19 kW:
    (1) The following duty cycle applies for discrete-mode testing:

----------------------------------------------------------------------------------------------------------------
                                                                                      Torque         Weighting
               G2 mode number                          Engine speed \1\            (percent) \2\      factors
----------------------------------------------------------------------------------------------------------------
1..........................................  Maximum test speed.................             100            0.09
2..........................................  Maximum test speed.................              75            0.20
3..........................................  Maximum test speed.................              50            0.29
4..........................................  Maximum test speed.................              25            0.30
5..........................................  Maximum test speed.................              10            0.07
6..........................................  Warm idle..........................               0            0.05
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the commanded test speed.

    (2) The following duty cycle applies for ramped-modal testing:

[[Page 25244]]

----------------------------------------------------------------------------------------------------------------
                                      Time in mode
              RMC mode                  (seconds)         Engine speed 1, 3           Torque  (percent) 2, 3
----------------------------------------------------------------------------------------------------------------
1a Steady-state....................              41  Warm idle..................  0.
1b Transition......................              20  Linear transition..........  Linear transition.
2a Steady-state....................             135  Maximum test speed.........  100.
2b Transition......................              20  Maximum test speed.........  Linear transition.
3a Steady-state....................             112  Maximum test speed.........  10.
3b Transition......................              20  Maximum test speed.........  Linear transition.
4a Steady-state....................             337  Maximum test speed.........  75.
4b Transition......................              20  Maximum test speed.........  Linear transition.
5a Steady-state....................             518  Maximum test speed.........  25.
5b Transition......................              20  Maximum test speed.........  Linear transition.
6a Steady-state....................             494  Maximum test speed.........  50.
6b Transition......................              20  Linear transition..........  Linear transition.
7 Steady-state.....................              43  Warm idle..................  0.
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the commanded engine speed.
3 Advance from one mode to the next within a 20-second transition phase. During the transition phase, command a
  linear progression from the torque setting of the current mode to the torque setting of the next mode, and
  simultaneously command a similar linear progression for engine speed if there is a change in speed setting.

    (c) The following duty cycles apply for variable-speed engines
with maximum engine power at or above 19 kW:
    (1) The following duty cycle applies for discrete-mode testing:

----------------------------------------------------------------------------------------------------------------
                                                                                      Torque         Weighting
               C1 mode number                          Engine speed \1\            (percent) \2\      factors
----------------------------------------------------------------------------------------------------------------
1..........................................  Maximum test speed.................             100            0.15
2..........................................  Maximum test speed.................              75            0.15
3..........................................  Maximum test speed.................              50            0.15
4..........................................  Maximum test speed.................              10            0.10
5..........................................  Intermediate test speed............             100            0.10
6..........................................  Intermediate test speed............              75            0.10
7..........................................  Intermediate test speed............              50            0.10
8..........................................  Warm idle..........................               0            0.15
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the commanded test speed.

    (2) The following duty cycle applies for ramped-modal testing:

----------------------------------------------------------------------------------------------------------------
                                      Time in mode
              RMC mode                  (seconds)         Engine speed 1, 3           Torque  (percent) 2, 3
----------------------------------------------------------------------------------------------------------------
1a Steady-state....................             126  Warm Idle..................   0.
1b Transition......................              20  Linear Transition..........  Linear Transition.
2a Steady-state....................             159  Intermediate Speed.........  100.
2b Transition......................              20  Intermediate Speed.........  Linear Transition.
3a Steady-state....................             160  Intermediate Speed.........  50.
3b Transition......................              20  Intermediate Speed.........  Linear Transition.
4a Steady-state....................             162  Intermediate Speed.........  75.
4b Transition......................              20  Linear Transition..........  Linear Transition.
5a Steady-state....................             246  Maximum Test Speed.........  100.
5b Transition......................              20  Maximum Test Speed.........  Linear Transition.
6a Steady-state....................             164  Maximum Test Speed.........  10.
6b Transition......................              20  Maximum Test Speed.........  Linear Transition.
7a Steady-state....................             248  Maximum Test Speed.........  75.
7b Transition......................              20  Maximum Test Speed.........  Linear Transition.
8a Steady-state....................             247  Maximum Test Speed.........  50.
8b Transition......................              20  Linear Transition..........  Linear Transition.
9 Steady-state.....................             128  Warm Idle..................  0.
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the commanded engine speed.
3 Advance from one mode to the next within a 20-second transition phase. During the transition phase, command a
  linear progression from the torque setting of the current mode to the torque setting of the next mode, and
  simultaneously command a similar linear progression for engine speed if there is a change in speed setting.

[[Page 25245]]

• 43. Appendix III and Appendix IV of part 1039 are removed and reserved.

• 44. 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

Subpart A--Overview and Applicability
Sec.
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 reductant 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.
1042.615 Replacement engine exemption.
1042.620 Engines used solely for competition.
1042.625 Special provisions for engines used in emergency applications.
1042.630 Personal-use exemption.
1042.635 National security exemption.
1042.640 Special provisions for branded engines.
1042.650 Migratory vessels.
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--Special Provisions for Remanufactured Marine Engines
1042.801 General provisions.
1042.810 Requirements for owner/operators and installers during
remanufacture.
1042.815 Demonstrating availability.
1042.820 Emission standards and required emission reductions for
remanufactured engines.
1042.825 Baseline determination.
1042.830 Labeling.
1042.835 Certification of remanufactured engines.
1042.836 Marine certification of locomotive remanufacturing systems.
1042.840 Application requirements for remanufactured engines.
1042.845 Remanufactured engine families.
1042.850 Exemptions and hardship relief.
Subpart J--Definitions and Other Reference Information
1042.901 Definitions.
1042.905 Symbols, acronyms, and abbreviations.
1042.910 Reference materials.
1042.915 Confidential information.
1042.920 Hearings.
1042.925 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.  1042.901 for the definitions of
engines and vessels considered to be new. This part 1042 applies as
follows:
    (a) This part 1042 applies for freshly manufactured marine engines
starting with the model years noted in the following tables:
BILLING CODE 6560-50-P

[[Page 25246]]
[GRAPHIC] [TIFF OMITTED] TR06MY08.011

BILLING CODE 6560-50-C
    (b) The requirements of subpart I of this part apply to
remanufactured engines beginning July 7, 2008.
    (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 1042.901 apply for
new engines used solely for competition beginning January 1, 2009.
    (e) Marine engines powered by natural gas with maximum engine power
at or above 250 kW are deemed to be compression-ignition engines. These
engines are therefore subject to all the requirements of this part even
if they do not meet the definition of ``compression-ignition'' in Sec. 
1042.901.

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, other than those of subpart I of this part, are generally
addressed to the engine manufacturer for freshly manufactured marine
engines or other certificate holders. The term ``you'' generally means
the engine manufacturer, as defined in Sec.  1042.901, 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.  1042.901.
    (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,

[[Continued on page 25247]]
Notices For
2008
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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