[Federal Register: April 16, 1998 (Rules and Regulations)]
[Page 19027-19076]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr16ap98-14]
[[pp. 19027-19076]] Emission Standards for Locomotives and Locomotive Engines
[[Continued from page 19026]]
[[Page 19027]]
concentration used, stop the time measurement.
(iv) If the elapsed time is more than 20.0 seconds, make necessary
adjustments.
(v) Repeat with the CO, CO2, and NOX
instruments and span gases.
(2) Option. If the following parameters are determined, the initial
system response time may be generally applied to future checks:
(i) Analyzer and bypass flow rates. (A) Determine by
experimentation the minimum analyzer and bypass flow rates individually
and in combination that will produce a response time as close as
possible to 20.0 seconds per paragraph (c)(1) of this section.
(B) Record the highest minimum flow rate for each flow meter as
determined in paragraph (c)(2)(i)(A) of this section.
(ii) Capillary flow analyzers. This procedure is applicable only to
analyzers that have sample capillaries such as the HFID and CL
analyzers. It is also assumed that the system has sample/span valves
that perform the function of valves V9 and V13 in.
(A) Operate the analyzer(s) at the in-use capillary pressure.
(B) Adjust the bypass flow rate to the flow rate recorded in
paragraph (c)(2)(i)(B) of this section.
(C) Measure and record the response time from the sample/span
valve(s) per paragraph (c)(1) of this section.
(D) The response time required by paragraph (c)(2)(ii)(C) of this
section can be determined by switching from the ``sample'' position to
the ``span'' position of the sample/span valve and observing the
analyzer response on a chart recorder. Normally, the ``sample''
position would select a ``room air'' sample and the ``span'' position
would select a span gas.
(E) Adjust the bypass flow rate to the normal in-use value.
(F) Measure and record the response time from the sample/span
valve(s) per paragraph (c)(1) of this section.
(G) Determine the slowest response time (step in paragraph
(c)(2)(ii)(C) of this section or step in paragraph (c)(2)(ii)(D) of
this section) and add 2 seconds to it.
Sec. 92.119 Hydrocarbon analyzer calibration.
The HFID hydrocarbon analyzer shall receive the following initial
and periodic calibration:
(a) Initial and periodic optimization of detector response. Prior
to introduction into service and at least annually thereafter, the HFID
hydrocarbon analyzer shall be adjusted for optimum hydrocarbon
response. Alternate methods yielding equivalent results may be used, if
approved in advance by the Administrator.
(1) Follow good engineering practices for initial instrument start-
up and basic operating adjustment using the appropriate fuel (see
Sec. 92.112) and zero-grade air.
(2) Optimize on the most common operating range. Introduce into the
analyzer a propane-in-air mixture with a propane concentration equal to
approximately 90 percent of the most common operating range.
(3) HFID optimization is performed:
(i) According to the procedures outlined in Society of Automotive
Engineers (SAE) paper No. 770141, ``Optimization of Flame Ionization
Detector for Determination of Hydrocarbons in Diluted Automobile
Exhaust'', author, Glenn D. Reschke (incorporated by reference at
Sec. 92.5); or
(ii) According to the following procedures:
(A) If necessary, follow manufacturer's instructions for instrument
start-up and basic operating adjustments.
(B) Set the oven temperature 5 deg.C hotter than the required
sample-line temperature. Allow at least one-half hour after the oven
has reached temperature for the system to equilibrate.
(C) Initial fuel flow adjustment. With the fuel and air-flow rates
set at the manufacturer's recommendations, introduce a 350 ppmC
75 ppmC span gas to the detector. Determine the response at
a given fuel flow from the difference between the span-gas response and
the zero-gas response. Incrementally adjust the fuel flow above and
below the manufacturer's specification. Record the span and zero
response at these fuel flows. A plot of the difference between the span
and zero response versus fuel flow will be similar to the one shown in
Figure B119-1 of this section. Adjust the fuel-flow rate to the rich
side of the curve, as shown. This is initial flow-rate setting and may
not be the final optimized flow rate.
(D) Oxygen interference optimization. Choose a range where the
oxygen interference check gases (see Sec. 92.112) will fall in the
upper 50 percent. Conduct this test with the oven temperature set as
required. Oxygen interference check gas specifications are found in
Sec. 92.112.
(1) Zero the analyzer.
(2) Span the analyzer with the 21-percent oxygen blend.
(3) Recheck zero response. If it has changed more than 0.5 percent
of full scale repeat paragraphs (a)(3)(ii)(D) (1) and (2) of this
section.
(4) Introduce the 5 percent and 10 percent oxygen interference
check gases.
(5) Recheck the zero response. If it has changed more 1
percent of full scale, repeat the test.
(6) Calculate the percent of oxygen interference (%O2I)
for each mixture in step in paragraph (a)(3)(ii)(D)(4) of this section.
Percent O2I=((B-Analyzer response (ppmC))/B) x (100)
Analyzer response=((A)/(Percent of full-scale analyzer response due to
A)) x (Percent of full-scale analyzer response due to B)
Where:
A=hydrocarbon concentration (ppmC) of the span gas used in step in
paragraph (a)(3)(ii)(D)(2) of this section.
B=hydrocarbon concentration (ppmC) of the oxygen interference check
gases used in step in paragraph (a)(3)(ii)(D)(4) of this section.
(7) The percent of oxygen interference (%O2I) must be
less than 3.0 percent for all required oxygen interference
check gases prior to testing.
(8) If the oxygen interference is greater than the specifications,
incrementally adjust the air flow above and below the manufacturer's
specifications, repeating paragraphs (a)(3)(ii)(D) (1) through (7) of
this section for each flow.
(9) If the oxygen interference is greater than the specification
after adjusting the air flow, vary the fuel flow and thereafter the
sample flow, repeating paragraphs (a)(3)(ii)(D) (1) through (7) of this
section for each new setting.
(10) If the oxygen interference is still greater than the
specifications, repair or replace the analyzer, FID fuel, or burner air
prior to testing. Repeat this section with the repaired or replaced
equipment or gases.
(E) Linearity check. For each range used, check linearity as
follows:
(1) With the fuel flow, air flow and sample flow adjust to meet the
oxygen interference specification, zero the analyzer.
(2) Span the analyzer using a calibration gas that will provide a
response of approximately 90 percent of full-scale concentration.
(3) Recheck the zero response. If it has changed more than 0.5
percent of full scale, repeat steps in paragraphs (a)(3)(ii)(E) (1) and
(2) of this seciton.
(4) Record the response of calibration gases having nominal
concentrations of 30, 60, and 90 percent of full-scale concentration.
It is permitted to use additional concentrations.
(5) Perform a linear least square regression on the data generated.
Use an equation of the form y = mx, where x is the actual chart
deflection and y is the concentration.
[[Page 19028]]
(6) Use the equation z = y/m to find the linear chart deflection
(z) for each calibration gas concentration (y).
(7) Determine the linearity (%L) for each calibration gas by:
Percent L=(100)(z-x)/(Full-scale linear chart deflection)
(8) The linearity criterion is met if the %L is less than
2 percent for each data point generated. Below 40 ppmC the
linearity criterion may be expanded to 4 percent. For each
emission test, a calibration curve of the form y = mx is to be used.
The slope (m) is defined for each range by the spanning process.
(9) If the %L for any point exceeds the specifications in step in
paragraph (a)(3)(ii)(E)(8) of this section, the air fuel, and sample-
flow rates may be varied within the boundaries of the oxygen
interference specifications.
(10) If the %L for any data point still exceeds the specifications,
repair or replace the analyzer, FID fuel, burner air, or calibration
bottles prior to testing. Repeat the procedures of this section with
the repaired or replaced equipment or gases.
(F) Optimized flow rates. The fuel-flow rate, air-flow rate and
sample-flow rate and sample-flow rate are defined as ``optimized'' at
this point.
(iii) Alternative procedures may be used if approved in advance by
the Administrator.
(4) After the optimum flow rates have been determined they are
recorded for future reference.
(b) Initial and periodic calibration. Prior to introduction into
service and monthly thereafter, the HFID hydrocarbon analyzer shall be
calibrated on all normally used instrument ranges. Use the same flow
rate and pressures as when analyzing samples. Calibration gases shall
be introduced directly at the analyzer.
(1) Adjust analyzer to optimize performance.
(2) Zero the hydrocarbon analyzer with zero-grade air.
(3) Calibrate on each used operating range with propane-in-air
calibration gases having nominal concentrations of 15, 30, 45, 60, 75
and 90 percent of that range. For each range calibrated, if the
deviation from a least-squares best-fit straight line is 2 percent or
less of the value at each data point, concentration values may be
calculated by use of single calibration factor for that range. If the
deviation exceeds 2 percent at any point, the best-fit non-linear
equation which represents the data to within 2 percent of each test
point shall be used to determine concentration.
BILLING CODE 6560-50-P
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Figure to Sec. 92.119
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BILLING CODE 6560-50-C
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Sec. 92.120 NDIR analyzer calibration and checks.
(a) NDIR water rejection ratio check. (1) Zero and span the
analyzer on the lowest range that will be used.
(2) Introduce a saturated mixture of water and zero gas at room
temperature directly to the analyzer.
(3) Determine and record the analyzer operating pressure (GP) in
absolute units in Pascal. Gauges G3 and G4 may be used if the values
are converted to the correct units.
(4) Determine and record the temperature of the zero-gas mixture.
(5) Record the analyzers' response (AR) in ppm to the saturated
zero-gas mixture.
(6) For the temperature recorded in paragraph (a)(4) of this
section, determine the saturation vapor pressure.
(7) Calculate the water concentration (Z) in the mixture from:
Z=(PWB/GP)(106)
(8) Calculate the water rejection ratio (WRR) from:
WRR=(Z/AR)
(b) NDIR CO2 rejection ratio check. (1) Zero and span
the analyzer on the lowest range that will be used.
(2) Introduce a CO2 calibration gas of at least 10
percent CO2 or greater to the analyzer.
(3) Record the CO2 calibration gas concentration in ppm.
(4) Record the analyzers' response (AR) in ppm to the
CO2 calibration gas.
(5) Calculate the CO2 rejection ratio (CO2RR)
from:
CO2RR=(ppm CO2)/AR
(c) NDIR analyzer calibration. (1) Detector optimization. If
necessary, follow the manufacturer's instructions for initial start-up
and basic operating adjustments.
(2) Calibration curve. Develop a calibration curve for each range
used as follows:
(i) Zero the analyzer.
(ii) Span the analyzer to give a response of approximately 90
percent of full-scale chart deflection.
(iii) Recheck the zero response. If it has changed more than 0.5
percent of full scale, repeat steps in paragraphs (c)(2)(i) and
(c)(2)(ii) of this section.
(iv) Record the response of calibration gases having nominal
concentrations of 15, 30, 45, 60, 75, and 90 percent of full-scale
concentration.
(v) Generate a calibration curve. The calibration curve shall be of
fourth order or less, have five or fewer coefficients, and be of the
form of equation (1) or (2). Include zero as a data point. Compensation
for known impurities in the zero gas can be made to the zero-data
point. The calibration curve must fit the data points within 2 percent
of point or 1 percent of full scale, whichever is less. Equations (1)
and (2) follow:
y = Ax4 + Bx3 + Cx2 + Dx + E (1)
y = x/(Ax4 + Bx3 + Cx2 + Dx + E) (2)
where:
y = concentration.
x = chart deflection.
(vi) Option. A new calibration curve need not be generated if:
(A) A calibration curve conforming to paragraph (c)(2)(v) of this
section exists;
(B) The responses generated in paragraph (c)(2)(iv) of this section
are within 1 percent of full scale or 2 percent of point, whichever is
less, of the responses predicted by the calibration curve for the gases
used in paragraph (c)(2)(iv) of this section.
(vii) If multiple range analyzers are used, only the lowest range
must meet the curve fit requirements below 15 percent of full scale.
(3) If any range is within 2 percent of being linear a linear
calibration may be used. To determine if this criterion is met:
(i) Perform a linear least-square regression on the data generated.
Use an equation of the form y=mx, where x is the actual chart
deflection and y is the concentration.
(ii) Use the equation z=y/m to find the linear chart deflection (z)
for each calibration gas concentration (y).
(iii) Determine the linearity (%L) for each calibration gas by:
Percent L=(100)(z-x)/(Full-scale chart deflection)
(iv) The linearity criterion is met if the %L is less than
2 percent for each data point generated. For each emission
test, a calibration curve of the form y=mx is to be used. The slope (m)
is defined for each range by the spanning process.
Sec. 92.121 Oxides of nitrogen analyzer calibration and check.
(a) Quench checks; NOX analyzer. (1) Perform the
reaction chamber quench check for each model of high vacuum reaction
chamber analyzer prior to initial use.
(2) Perform the reaction chamber quench check for each new analyzer
that has an ambient pressure or ``soft vacuum'' reaction chamber prior
to initial use. Additionally, perform this check prior to reusing an
analyzer of this type any time any repairs could potentially alter any
flow rate into the reaction chamber. This includes, but is not limited
to, sample capillary, ozone capillary, and if used, dilution capillary.
(3) Quench check as follows:
(i) Calibrate the NOX analyzer on the lowest range that
will be used for testing.
(ii) Introduce a mixture of CO2 calibration gas and
NOX calibration gas to the CL analyzer. Dynamic blending may
be used to provide this mixture. Dynamic blending may be accomplished
by analyzing the CO2 in the mixture. The change in the
CO2 value due to blending may then be used to determine the
true concentration of the NOX in the mixture. The
CO2 concentration of the mixture shall be approximately
equal to the highest concentration experienced during testing. Record
the response.
(iii) Recheck the calibration. If it has changed more than
1 percent of full scale, recalibrate and repeat the quench
check.
(iv) Prior to testing, the difference between the calculated
NOX response and the response of NOX in the
presence of CO2 (step in paragraph (a)(3)(ii) of this
section must not be greater than 3.0 percent of full-scale. The
calculated NOX response is based on the calibration
performed in step in paragraph (a)(3)(i) of this section.
(b) Oxides of nitrogen analyzer calibration. (1) Every 30 days,
perform a converter-efficiency check (see paragraph (b)(2) of this
section) and a linearity check (see paragraph (b)(3) of this section).
(2) Converter-efficiency check. The apparatus described and
illustrated in Figure B121-1 of this section is to be used to determine
the conversion efficiency of devices that convert NO2 to NO.
The following procedure is to be used in determining the values to be
used in the equation below:
(i) Follow the manufacturer's instructions for instrument startup
and operation.
(ii) Zero the oxides of nitrogen analyzer.
(iii) Connect the outlet of the NOX generator to the
sample inlet of the oxides of nitrogen analyzer which has been set to
the most common operating range.
(iv) Introduce into the NOX generator-analyzer system a
span gas with a NO concentration equal to approximately 80 percent of
the most common operating range. The NO2 content of the gas
mixture shall be less than 5 percent of the NOX
concentration.
(v) With the oxides of nitrogen analyzer in the NO Mode, record the
concentration of NO indicated by the analyzer.
(vi) Turn on the NOX generator O2 (or air)
supply and adjust the O2 (or air) flow rate so that the NO
indicated by the analyzer is about 10 percent less than indicated in
step in paragraph (b)(2)(v)
[[Page 19031]]
of this section. Record the concentration of NO in this NO +
O2 mixture.
(vii) Switch the NOX generator to the generation mode
and adjust the generation rate so that the NO measured on the analyzer
is 20 percent of that measured in step in paragraph (b)(2)(v) of this
section. There must be at least 10 percent unreacted NO at this point.
Record the concentration of residual NO.
(viii) Switch the oxides of nitrogen analyzer to the
NOX mode and measure total NOX. Record this
value.
(ix) Switch off the NOX generation, but maintain gas
flow through the system. The oxides of nitrogen analyzer will indicate
the total NOX in the NO + O2 mixture. Record this
value.
(x) Turn off the NOX generator O2 (or air)
supply. The analyzer will now indicate the total NOX in the
original NO in N2 mixture. This value should be no more than
5 percent above the value indicated in step in paragraph (b)(2)(iv) of
this section.
(xi) Calculate the efficiency of the NOX converter by
substituting the concentrations obtained into the following equation:
(A) Percent Efficiency=(1+(a-b)/(c-d))(100)
where:
a=concentration obtained in paragraph (b)(2)(viii) of this section.
b=concentration obtained in paragraph (b)(2)(ix) of this section.
c=concentration obtained in paragraph (b)(2)(vi) of this section.
d=concentration obtained in paragraph (b)(2)(vii) of this section.
(B) The efficiency of the converter shall be greater than 90
percent. Adjustment of the converter temperature may be necessary to
maximize the efficiency. If the converter does not meet the conversion-
efficiency specifications, repair or replace the unit prior to testing.
Repeat the procedures of this section with the repaired or new
converter.
(3) Linearity check. For each range used, check linearity as
follows:
(i) With the operating parameters adjusted to meet the converter
efficiency check and the quench checks, zero the analyzer.
(ii) Span the analyzer using a calibration gas that will give a
response of approximately 90 percent of full-scale concentration.
(iii) Recheck the zero response. If it has changed more than 0.5
percent of full scale, repeat steps in paragraphs (b)(3)(i) and
(b)(3)(ii) of this section.
(iv) Record the response of calibration gases having nominal
concentrations of 30, 60 and 90 percent of full-scale concentration. It
is permitted to use additional concentrations.
(v) Perform a linear least-square regression on the data generated.
Use an equation of the form y=mx where x is the actual chart deflection
and y is the concentration.
(vi) Use the equation z=y/m to find the linear chart deflection (z)
for each calibration gas concentration (y).
(vii) Determine the linearity (%L) for each calibration gas by:
Percent L=(100)(z-x)/(Full-scale chart deflection)
(viii) The linearity criterion is met if the %L is less than
2 percent of each data point generated. For each emission
test, a calibration curve of the form y=mx is to be used. The slope (m)
is defined for each range by the spanning process.
(ix) If the %L exceeds 2 percent for any data point
generated, repair or replace the analyzer or calibration bottles prior
to testing. Repeat the procedures of this section with the repaired or
replaced equipment or gases.
(x) Perform a converter-efficiency check (see paragraph (b)(2) of
this section).
(xi) The operating parameters are defined as ``optimized'' at this
point.
(4) Converter checking gas. If the converter quick-check procedure
is to be employed, paragraph (b)(5) of this section, a converter
checking gas bottle must be named. The following naming procedure must
occur after each converter efficiency check, paragraph (b)(2) of this
section.
(i) A gas bottle with an NO2 concentration equal to
approximately 80 percent of the most common operation range shall be
designated as the converter checking gas bottle. Its NO concentration
shall be less than 25 percent of its NO2 concentration, on a
volume basis.
(ii) On the most common operating range, zero and span the analyzer
in the NOX mode. Use a calibration gas with a concentration
equal to approximately 80 percent of the range for spanning.
(iii) Introduce the converter checking gas. Analyze and record
concentrations in both the NOX mode (X) and NO mode (Y).
(iv) Calculate the concentration of the converter checking gas
using the results from step in paragraph (b)(4)(iii) of this section
and the converter efficiency from paragraph (b)(2) of this section as
follows:
Concentration=(((X-Y)(100))/Efficiency)+Y
(5) Converter quick-check.
(i) Span the analyzer in the normal manner (NOX mode)
for the most common operating range.
(ii) Analyze the converter checking gas in the NOX mode,
record the concentration.
(iii) Compare the observed concentration with the concentration
assigned under the procedure in paragraph (b)(4) of this section. If
the observed concentration is equal to or greater than 90 percent of
the assigned concentration, the converter operation is satisfactory.
(c) Initial and periodic calibration. Prior to its introduction
into service and monthly thereafter, the chemiluminescent oxides of
nitrogen analyzer shall be calibrated on all normally used instrument
ranges. Use the same flow rate as when analyzing samples. Proceed as
follows:
(1) Adjust analyzer to optimize performance.
(2) Zero the oxides of nitrogen analyzer with zero-grade air or
zero-grade nitrogen.
(3) Calibrate on each normally used operating range with NO-in-
N2 calibration gases with nominal concentrations of 15, 30,
45, 60, 75 and 90 percent of that range. For each range calibrated, if
the deviation from a least-squares best-fit straight line is 2 percent
or less of the value at each data point, concentration values may be
calculated by use of a single calibration factor for that range. If the
deviation exceeds 2 percent at any point, the best-fit non-linear
equation which represents the data to within 2 percent of each test
point shall be used to determine concentration.
(d) If a stainless steel NO2 to NO converter is used,
condition all new or replacement converters. The conditioning consists
of either purging the converter with air for a minimum of 4 hours or
until the converter efficiency is greater than 90 percent. The
converter must be at operational temperature while purging. Do not use
this procedure prior to checking converter efficiency on in-use
converters.
BILLING CODE 6560-50-P
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Figure to Sec. 92.121
[GRAPHIC] [TIFF OMITTED] TR16AP98.006
BILLING CODE 6560-50-C
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Sec. 92.122 Smoke meter calibration.
The smokemeter shall be checked according to the following
procedure prior to each test:
(a) The zero control shall be adjusted under conditions of ``no
smoke'' to give a recorder or data collection equipment response of
zero;
(b) Calibrated neutral density filters having approximately 10, 20,
and 40 percent opacity shall be employed to check the linearity of the
instrument. The filter(s) shall be inserted in the light path
perpendicular to the axis of the beam and adjacent to the opening from
which the beam of light from the light source emanates, and the
recorder response shall be noted. Filters with exposed filtering media
should be checked for opacity every six months; all other filters shall
be checked every year, using NIST or equivalent reference filters.
Deviations in excess of 1 percent of the nominal opacity shall be
corrected.
Sec. 92.123 Test procedure; general requirements.
(a) The locomotive/locomotive engine test procedure is designed to
determine the brake specific emissions of hydrocarbons (HC, total or
non-methane as applicable), total hydrocarbon equivalent (THCE) and
aldehydes (as applicable), carbon monoxide (CO), oxides of nitrogen
(NOX), and particulates, and the opacity of smoke emissions.
The test procedure consists of measurements of brake specific emissions
and smoke opacity at each throttle position and of measurements of
smoke opacity during each change in throttle position as engine power
is increased. If less than 2 percent of the total exhaust flow is
removed for gaseous and particulate sampling in notches 1 through 8,
and if less than 4 percent of the total exhaust flow is removed for
gaseous and particulate sampling at idle and dynamic brake, all
measurements of gaseous, particulate and smoke emissions may be
performed during one test sequence. If more than 2 percent, or 4
percent as applicable, of the total exhaust is removed for gaseous and
particulate sampling, measurements of gaseous, and particulate
emissions are performed during one test sequence, and a second test
sequence is performed for the measurement of smoke.
(1) In the raw exhaust sampling procedure, sample is collected
directly from the exhaust stream during each throttle setting.
Particulates are collected on filters following dilution with ambient
air of another raw exhaust sample. The fuel flow rate for each throttle
setting is measured.
(2) For locomotives with multiple exhaust stacks, smoke testing is
only required for one of the exhaust stacks provided the following
conditions are met:
(i) The stack that is not tested is not visibly smokier than the
stack that is tested; and
(ii) None of the measured opacity values for the stack tested are
not greater than three-quarters of the level allowed by any of the
applicable smoke standards.
(b) The test consists of prescribed sequences of engine operating
conditions (see Secs. 92.124 and 92.126) to be conducted either on a
locomotive; or with the engine mounted on an engine dynamometer, or
attached to a locomotive alternator/generator.
(1) Locomotive testing. (i) The electrical power output produced by
the alternator/generator at each throttle setting is recorded as
measurements of either the wattmeter or the output voltage, phase
angle, and current flow through the electrical resistance bank.
(ii) The locomotive fuel supply system shall be disconnected and a
system capable of measuring the net rate at which fuel is supplied to
the engine (accounting for fuel recycle) shall be connected.
(2) Engine testing. (i) When the test is performed using a
dynamometer, engine torque and rpm shall be recorded during each
throttle setting.
(ii) The complete engine shall be tested, with all emission control
devices, and charge air cooling equipment installed and functioning.
(iii) On air-cooled engines, the engine cooling fan shall be
installed.
(iv) Additional accessories (e.g., air compressors) shall be
installed or their loading simulated if typical of the in-use
application. In the case of simulated accessory loadings, the
manufacturer shall make available to the Administrator documentation
which shows that the simulated loading is representative of in-use
operation. Power for accessories necessary to operate the engine (such
as fuel pumps) shall be treated as parasitic losses and would not be
included in the engine power output for purposes of calculating brake
specific emissions.
(v) The engine may be equipped with a production type starter.
(vi) Means of engine cooling shall be used which will maintain the
engine operating temperatures (e.g., temperatures of intake air
downstream of charge air coolers, oil, water, etc.) at approximately
the same temperature as would occur in a locomotive at each test point
under the equivalent ambient conditions. In the case of engine intake
air after compression and cooling in the charge air cooler(s), the
temperature of the air entering the engine shall be within
5 deg.F, at each test point, of the typical temperatures
occurring in locomotive operations under ambient conditions represented
by the test. Auxiliary fan(s) may be used to maintain engine cooling
during operation on the dynamometer. Rust inhibitors and lubrication
additives may be used, up to the levels recommended by the additive
manufacturer. If antifreeze is to be used in the locomotive
application, antifreeze mixtures and other coolants typical of those
approved for use in the locomotive may be used.
(vii) The provisions of paragraph (b)(1)(i) of this section apply
to engine testing using a locomotive alternator/generator instead of a
dynamometer.
Sec. 92.124 Test sequence; general requirements.
(a) Air temperature. (1) The temperature of dilution air for the
particulate sample dilution tunnel shall comply with the requirements
of Sec. 92.114 throughout the test sequence.
(2) For the testing of locomotives and engines, the ambient (test
cell or out-of-door) air temperature, the temperature of the engine
intake air, and the temperature of the air which provides cooling for
the engine charge air cooling system shall be between 45 deg.F
(7 deg.C) and 105 deg.F (41 deg.C) throughout the test sequence.
Manufacturers and remanufacturers may test at higher temperatures
without approval from the Administrator, but no corrections are allowed
for the deviations from test conditions.
(b) For the testing of locomotives and engines, the atmospheric
pressure shall be between 31.0 inches Hg and 26.0 inches Hg throughout
the test sequence. Manufacturers and remanufacturers may test at lower
pressures without approval from the Administrator, but no corrections
are allowed for the deviations from test conditions.
(c) No control of humidity is required for ambient air, engine
intake air or dilution air.
(d)Flow restrictions. (1) Locomotive testing. Restrictions to the
flow of air into the engine and of exhaust out of the engine shall be
those inherent to the locomotive. No adjustments or changes shall be
made to these parameters. The temperature of the inlet fuel to the
engine shall not exceed 125 deg.F.
(2) Engine testing. (i) Air inlet and exhaust restrictions shall be
set to represent the average restrictions which would be seen in use in
a representative application.
[[Page 19034]]
(ii) Inlet depression and exhaust backpressure shall be set with
the engine operating at rated speed and maximum power, i.e., throttle
notch 8.
(iii) The locations at which the inlet depression and exhaust
backpressure are measured shall be specified by the manufacturer or
remanufacturer.
(iv) The settings shall be made during the preconditioning.
(e) Pre-test engine measurements (e.g., idle and throttle notch
speeds, fuel flows, etc.), pre-test engine performance checks (e.g.,
verification of engine power, etc.) and pre-test system calibrations
(e.g., inlet and exhaust restrictions, etc.) can be done during engine
preconditioning, or at the manufacturer's convenience subject to the
requirements of good engineering practice.
(f) The required test sequence is described in Table B124-1 of this
section, as follows:
Table B124-1.--Test Sequence for Locomotives and Locomotive Engines
----------------------------------------------------------------------------------------------------------------
Power, and fuel
Mode No. Notch setting Time in notch Emissions measured \2\ consumption
measured
----------------------------------------------------------------------------------------------------------------
Warmup........................ Notch 8.......... 5 1 None.................. None.
min.
Warmup........................ Lowest Idle...... 15 min maximum... None.................. None.
1a............................ Low Idle \1\..... 6 min minimum.... All................... Both.
1............................. Normal Idle...... 6 min minimum.... All................... Both.
2............................. Dynamic Brake \1\ 6 min minimum.... All................... Both.
3............................. Notch 1.......... 6 min minimum.... All................... Both.
4............................. Notch 2.......... 6 min minimum.... All................... Both.
5............................. Notch 3.......... 6 min minimum.... All................... Both.
6............................. Notch 4.......... 6 min minimum.... All................... Both.
7............................. Notch 5.......... 6 min minimum.... All................... Both.
8............................. Notch 6.......... 6 min minimum.... All................... Both.
9............................. Notch 7.......... 6 min minimum.... All................... Both.
10............................ Notch 8.......... 15 min minimum... All................... Both.
----------------------------------------------------------------------------------------------------------------
\1\ Omit if not so equipped.
\2\ The EPA test sequence for locomotives and locomotive engines may be performed once, with gaseous,
particulate and smoke measurements performed simultaneously, or it may be performed twice with gaseous, and
particulate measurements performed during one test sequence and smoke measurements performed during the other
test sequence.
Sec. 92.125 Pre-test procedures and preconditioning.
(a) Locomotive testing. (1) Determine engine lubricating oil and
coolant levels and fill as necessary to manufacturers recommended full
levels.
(2) Connect fuel supply system and purge as necessary; determine
that the fuel to be used during emission testing is in compliance with
the specifications of Sec. 92.113.
(3) Install instrumentation, engine loading equipment and sampling
equipment as required.
(4) Operate the engine until it has reached the specified operating
temperature.
(b) Engine testing. (1) Determine engine lubricating oil level and
fill as necessary to manufacturers recommended full level.
(2)(i) Connect fuel supply system and purge as necessary; determine
that the fuel to be used during emission testing is in compliance with
the specifications of Sec. 92.113.
(ii) Connect engine cooling system.
(3) Install instrumentation, and sampling equipment as required.
Couple the engine to the dynamometer or locomotive alternator/
generator.
(4) Start cooling system.
(5) Operate the engine until it has reached the specified operating
temperature.
(6) Establish that the temperature of intake air entering the
engine after compression and cooling in the charge air cooler(s), at
each test point, is within 5 deg.F of the temperatures
which occur in locomotive operations at the ambient temperature
represented by the test.
(c) Both locomotive and engine testing. (1) Allow a minimum of 30
minutes warm-up in the stand-by or operating mode prior to spanning the
analyzers.
(2) Replace or clean filter elements (sampling and analytical
systems) as necessary, and then vacuum leak check the system,
Sec. 92.118. A pressure leak check is also permitted per Sec. 92.118.
Allow the heated sample line, filters, and pumps to reach operating
temperature.
(3) Perform the following system checks:
(i) If a stainless steel NO2 to NO converter is used,
purge the converter with air (zero-grade air, room air, or
O2) for a minimum of 30 minutes. The converter must be at
operational temperature while purging.
(ii) Check the sample system temperatures (see Sec. 92.114).
(iii) Check the system response time (see Sec. 92.118). System
response time may be applied from the most recent check of response
time if all of the following are met:
(A) The flow rate for each flow meter is equal to or greater than
the flow rate recorded in Sec. 92.118.
(B) For analyzers with capillaries, the response time from the
sample/span valve is measured using in-use pressures and bypass flows
(see Sec. 92.118).
(C) The response time measured in step in paragraph (c)(3)(iii)(B)
of this section is equal to or less than the slowest response time
determined for Capillary flow analyzers in Sec. 92.118 plus 2 seconds.
(iv) A hang-up check is permitted.
(v) A converter-efficiency check is permitted. The check need not
conform to Sec. 92.121. The test procedure may be aborted at this point
in the procedure in order to repair the NO2 to NO converter.
If the test is aborted, the converter must pass the efficiency check
described in Sec. 92.121 prior to starting the test run.
(4) Introduce the zero-grade gases at the same flow rates and
pressures used to calibrate the analyzers and zero the analyzers on the
lowest anticipated range that will be used during the test. Immediately
prior to each test, obtain a stable zero for each anticipated range
that will be used during the test.
(5) Introduce span gases to the instruments under the same flow
conditions as were used for the zero gases. Adjust the instrument gains
on the lowest range that will be used to give the desired value. Span
gases should have a concentration greater than 70 percent of full scale
for each
[[Page 19035]]
range used. Immediately prior to each test, record the response to the
span gas and the span-gas concentration for each range that will be
used during the test.
(6) Check the zero responses. If they have changed more than 0.5
percent of full scale, repeat paragraphs (c)(4) and (5) of this
section.
(7) Check system flow rates and pressures. Note the values of
gauges for reference during the test.
Sec. 92.126 Test run.
(a) The following steps shall be taken for each test:
(1) Prepare the locomotive, engine, dynamometer, (as applicable)
and sampling system for the test. Change filters, etc. and leak check
as necessary.
(2) Connect sampling equipment as appropriate for the sampling
procedure employed; i.e. raw or dilute (evacuated sample collection
bags, particulate, and raw exhaust sampling equipment, particulate
sample filters, fuel flow measurement equipment, etc.).
(3) Start the particulate dilution tunnel, the sample pumps, the
engine cooling fan(s) (engine dynamometer testing) and the data
collection and sampling systems (except particulate sample collection).
The heated components of any continuous sampling systems(s) (if
applicable) shall be preheated to their designated operating
temperatures before the test begins.
(4) Adjust the sample flow rates to the desired flow rates and set
gas flow measuring devices to zero (particulate dilution tunnel).
(5) Read and record all required general and pre-test data (i.e.,
all required data other than data that can only be collected during or
after the emission test).
(6) Warm-up the locomotive or locomotive engines according to
normal warm-up procedures.
(7) Begin the EPA Test Sequence for Locomotives and Locomotive
Engines (see Sec. 92.124). Record all required general and test data
throughout the duration of the test sequence.
(i) Mark the start of the EPA Test Sequence for Locomotives and
Locomotive Engines on all data records.
(ii) Begin emission measurement after completing the warmup phase
of the EPA Test Sequence for Locomotives and Locomotive Engines, as
specified in paragraph (b) of this section. Mark the start and end of
each mode on all data records.
(iii) A mode shall be voided where the requirements of this subpart
that apply to that test mode are not met. This includes the following:
(A) The data acquisition is terminated prematurely; or
(B) For engine testing, the engine speed or power output exceeds
the tolerance bands established for that mode; or
(C) Measured concentrations exceed the range of the instrument; or
(D) The test equipment malfunctions.
(iv) Modes within the test sequence shall be repeated if it is
voided during the performance of the test sequence. A mode can be
repeated by:
(A) Repeating the two preceding modes and then continuing with the
test sequence, provided that the locomotive or engine is not shut down
after the voided test mode; or
(B) Repeating the preceding mode and then continuing with the test
sequence from that point, provided that the locomotive or engine is not
operated in any mode with lower power than the preceding mode after the
voided test mode. For example, if the Notch 2 mode is voided, then the
locomotive or engine would be returned to Notch 1 while any repairs are
made.
(b) Sampling and measurement timing. (1) Gaseous emissions shall be
sampled and measured continuously.
(2)(i) Sampling of particulate emissions from the raw exhaust (for
dilution) shall be conducted continuously.
(ii) Sampling of particulates from the diluted exhaust shall begin
within ten seconds after the beginning of each test mode, and shall end
six minutes after the beginning of each test mode.
(iii) Sampling of CO2 in the dilution air and diluted
exhaust does not need to be continuous, but the measurements used for
the calculations must be made after the first two minutes of each mode.
(3) Fuel flow rate shall be measured continuously. The value
reported for the fuel flow rate shall be a one-minute average of the
instantaneous fuel flow measurements taken during the last minute of
the minimum sampling period listed in Table B124-1 in Sec. 92.124;
except for testing during idle modes, where it shall be a three-minute
average of the instantaneous fuel flow measurements taken during the
last three minutes of the minimum sampling period listed in Table B124-
1 in Sec. 92.124. Sampling periods greater than one minute, but no
greater than three minutes are allowed for modes 2, 3, and 4, where
required by good engineering practice.
(4) Engine power shall be measured continuously. The value reported
for the engine power shall be a one-minute average of the instantaneous
power measurements taken during the last minute of the minimum sampling
period listed in Table B124-1 in Sec. 92.124.
(c) Exhaust gas measurements. (1) Should the analyzer response
exceed 100 percent of full scale or respond less than 15 percent of
full scale, the next higher or lower analyzer range shall be used.
(2) Each analyzer range that may be used during a test sequence
must have the zero and span responses recorded prior to the execution
of the test sequence. Only the range(s) used to measure the emissions
during a test sequence are required to have their zero and span
recorded after the completion of the test sequence.
(3) It is permitted to change filter elements between test modes,
provided such changes do not cause a mode to be voided.
(4) A leak check is permitted between test modes, provided such
changes do not cause a mode to be voided.
(5) A hang-up check is permitted between test modes, provided such
changes do not cause a mode to be voided.
(6) If, during the emission measurement portions of a test, the
value of the gauges downstream of the NDIR analyzer(s) differs by more
than 2 inches of water from the pretest value, the test is
void.
(7)(i) For bag samples, as soon as possible transfer the exhaust
and dilution air bag samples to the analytical system and process the
samples.
(ii) A stabilized reading of the exhaust sample bag on all
applicable analyzers shall be made within 20 minutes of the end of the
sample collection phase of the mode.
Sec. 92.127 Emission measurement accuracy.
(a) Good engineering practice dictates that exhaust emission sample
analyzer readings below 15 percent of full scale chart deflection
should generally not be used.
(b) Some high resolution read-out systems such as computers, data
loggers, etc., can provide sufficient accuracy and resolution below 15
percent of full scale. Such systems may be used provided that
additional calibrations are made to ensure the accuracy of the
calibration curves. The following procedure for calibration below 15
percent of full scale may be used:
(1) If a 16-point gas divider is used, 50 percent of the
calibration points shall be below 10 percent of full scale. The gas
divider shall conform to the accuracy requirements specified in
Sec. 92.112.
(2) If a 7- or 9-point gas divider is used, the gas divider shall
conform to the accuracy requirements specified in
[[Page 19036]]
Sec. 92.112, and shall be used according to the following procedure:
(i) Span the full analyzer range using a top range calibration gas
meeting the calibration gas accuracy requirements of Sec. 92.112.
(ii) Generate a calibration curve according to, and meeting the
applicable requirements of Secs. 92.118 through 92.122.
(iii) Select a calibration gas (a span gas may be used for
calibrating the CO2 analyzer) with a concentration between
the two lowest non-zero gas divider increments. This gas must be
``named'' to an accuracy of 1.0 percent (2.0
percent for CO2 span gas) of NIST gas standards, or other
standards approved by the Administrator.
(iv) Using the calibration curve fitted to the points generated in
paragraphs (b)(2)(i) and (ii) of this section, check the concentration
of the gas selected in paragraph (b)(2)(iii) of this section. The
concentration derived from the curve shall be within 2.3
percent (2.8 percent for CO2 span gas) of the
gas' original named concentration.
(v) Provided the requirements of paragraph (b)(2)(iv) of this
section are met, use the gas divider with the gas selected in paragraph
(b)(2)(iii) of this section and determine the remainder of the
calibration points. Fit a calibration curve per Secs. 92.118 through
92.122 for the entire analyzer range.
Sec. 92.128 Particulate handling and weighing.
(a) At least 1 hour before the test, place each filter in a closed
(to eliminate dust contamination) but unsealed (to permit humidity
exchange) petri dish and place in a weighing chamber meeting the
specifications of Sec. 92.110(a) of this section for stabilization.
(b) At the end of the stabilization period, weigh each filter on
the microbalance. This reading is the tare weight and must be recorded.
(c) The filter shall then be stored in a covered petri dish or a
sealed filter holder until needed for testing. If the filters are
transported to a remote test location, the filter pairs, stored in
individual petri dishes, should be transported in sealed plastic bags
to prevent contamination. At the conclusion of a test run, the filters
should be removed from the filter holder, and placed face to face in a
covered but unsealed petri dish, with the primary filter placed face up
in the dish. The filters shall be weighed as a pair. If the filters
need to be transported from a remote test site, back to the weighing
chamber, the petri dishes should be placed in a sealed plastic bag to
prevent contamination. Care should be taken in transporting the used
filters such that they are not exposed to excessive, sustained direct
sunlight, or excessive handling.
(d) After the emissions test, and after the sample and back-up
filters have been returned to the weighing room after being used, they
must be conditioned for at least 1 hour but not more than 80 hours and
then weighed. This reading is the gross weight of the filter and must
be recorded.
(e) The net weight of each filter is its gross weight minus its
tare weight. Should the sample on the filter contact the petri dish or
any other surface, the test is void and must be rerun.
(f) The particulate filter weight (Pf) is the sum of the net weight
of the primary filter plus the net weight of the backup filter.
(g) The following optional weighting procedure is permitted:
(1) At the end of the stabilization period, weigh both the primary
and back-up filters as a pair. This reading is the tare weight and must
be recorded.
(2) After the emissions test, in removing the filters from the
filter holder, the back-up filter is inverted on top of the primary
filter. They must then be conditioned in the weighing chamber for at
least 1 hour but not more than 80 hours. The filters are then weighed
as a pair. This reading is the gross weight of the filters (Pf) and
must be recorded.
(3) Paragraphs (a), (c), and (e) of this section apply to this
option, except that the word ``filter'' is replaced by ``filters''.
Sec. 92.129 Exhaust sample analysis.
(a) The analyzer response may be read by automatic data collection
(ADC) equipment such as computers, data loggers, etc. If ADC equipment
is used the following is required:
(1) The response complies with Sec. 92.130.
(2) The response required in paragraph (a)(1) of this section may
be stored on long-term computer storage devices such as computer tapes,
storage discs, or they may be printed in a listing for storage. In
either case a chart recorder is not required and records from a chart
recorder, if they exist, need not be stored.
(3) If the data from ADC equipment is used as permanent records,
the ADC equipment and the analyzer values as interpreted by the ADC
equipment are subject to the calibration specifications in Secs. 92.118
through 92.122, as if the ADC equipment were part of the analyzer.
(b) Data records from any one or a combination of analyzers may be
stored as chart recorder records.
(c) Software zero and span.
(1) The use of ``software'' zero and span is permitted. The process
of software zero and span refers to the technique of initially
adjusting the analyzer zero and span responses to the calibration curve
values, but for subsequent zero and span checks the analyzer response
is simply recorded without adjusting the analyzer gain. The observed
analyzer response recorded from the subsequent check is mathematically
corrected back to the calibration curve values for zero and span. The
same mathematical correction is then applied to the analyzer's response
to a sample of exhaust gas in order to compute the true sample
concentration.
(2) The maximum amount of software zero and span mathematical
correction is 10 percent of full scale chart deflection.
(3) Software zero and span may be used to switch between ranges
without adjusting the gain of the analyzer.
(4) The software zero and span technique may not be used to mask
analyzer drift. The observed chart deflection before and after a given
time period or event shall be used for computing the drift. Software
zero and span may be used after the drift has been computed to
mathematically adjust any span drift so that the ``after'' span check
may be transformed into the ``before'' span check for the next mode.
(d) For sample analysis perform the following sequence:
(1) Warm-up and stabilize the analyzers; clean and/or replace
filter elements, conditioning columns (if used), etc., as necessary.
(2) Leak check portions of the sampling system that operate at
negative gauge pressures when sampling, and allow heated sample lines,
filters, pumps, etc., to stabilize at operating temperature.
(3) Optional: Perform a hang-up check for the HFID sampling system:
(i) Zero the analyzer using zero air introduced at the analyzer
port.
(ii) Flow zero air through the overflow sampling system, where an
overflow system is used. Check the analyzer response.
(iii) If the overflow zero response exceeds the analyzer zero
response by 2 percent or more of the HFID full-scale deflection, hang-
up is indicated and corrective action must be taken.
(iv) The complete system hang-up check specified in paragraph (f)
of this section is recommended as a periodic check.
(4) Obtain a stable zero reading.
(5) Zero and span each range to be used on each analyzer used prior
to the
[[Page 19037]]
beginning of the test sequence. The span gases shall have a
concentration between 75 and 100 percent of full scale chart
deflection. The flow rates and system pressures shall be approximately
the same as those encountered during sampling. The HFID analyzer shall
be zeroed and spanned through the overflow sampling system, where an
overflow system is used.
(6) Re-check zero response. If this zero response differs from the
zero response recorded in paragraph (d)(5) of this section by more than
1 percent of full scale, then paragraphs (d) (4), (5), and (6) of this
section should be repeated.
(7) If a chart recorder is used, identify and record the most
recent zero and span response as the pre-analysis values.
(8) If ADC equipment is used, electronically record the most recent
zero and span response as the pre-analysis values.
(9) Measure (or collect a sample of) the emissions continuously
during each mode of the test cycle. Indicate the start of the test, the
range(s) used, and the end of the test on the recording medium (chart
paper or ADC equipment). Maintain approximately the same flow rates and
system pressures used in paragraph (d)(5) of this section.
(10) (i) Collect background HC, CO, CO2, and
NOX in a sample bag (optional).
(ii) Measure the concentration of CO2 in the dilution
air and the diluted exhaust for particulate measurements.
(11) Perform a post-analysis zero and span check for each range
used at the conditions specified in paragraph (d)(5) of this section.
Record these responses as the post-analysis values.
(12) Neither the zero drift nor the span drift between the pre-
analysis and post-analysis checks on any range used may exceed 3
percent for HC, or 2 percent for NOX, CO, and
CO2, of full scale chart deflection, or the test is void.
(If the HC drift is greater than 3 percent of full-scale chart
deflection, hydrocarbon hang-up is likely.)
(13) Determine HC background levels (if necessary) by introducing
the background sample into the overflow sample system.
(14) Determine background levels of NOX, CO, or
CO2 (if necessary).
(e) HC hang-up. If HC hang-up is indicated, the following sequence
may be performed:
(1) Fill a clean sample bag with background air.
(2) Zero and span the HFID at the analyzer ports.
(3) Analyze the background air sample bag through the analyzer
ports.
(4) Analyze the background air through the entire sample probe
system.
(5) If the difference between the readings obtained is 2 percent or
more of the HFID full scale deflection:
(i) Clean the sample probe and the sample line;
(ii) Reassemble the sample system;
(iii) Heat to specified temperature; and
(iv) Repeat the procedure in this paragraph (e).
Sec. 92.130 Determination of steady-state concentrations.
(a)(1) For HC and NOX emissions, a steady-state
concentration measurement, measured after 300 seconds (or 840 seconds
for notch 8) of testing shall be used instead of an integrated
concentration for the calculations in Sec. 92.132 if the concentration
response meets either of the criteria of paragraph (b) of this section
and the criterion of paragraph (c) of this section.
(2) For CO and CO2 emissions, a steady-state
concentration measurement, measured after 300 seconds (or 840 seconds
for notch 8) of testing shall be used. The provisions of paragraphs (b)
through (f) of this section do not apply for CO and CO2
emissions.
(b) (1) The steady-state concentration is considered representative
of the entire measurement period if the time-weighted concentration is
not more than 10 percent higher than the steady-state concentration.
The time-weighted concentration is determined by integrating the
concentration response (with respect to time in seconds) over the first
360 seconds (or 900 seconds for notch 8) of measurement, and dividing
the area by 360 seconds (or 900 seconds for notch 8).
(2) A steady-state concentration is considered representative of
the entire measurement period if the estimated peak area is not more
than 10 percent of the product of the steady-state concentration and
360 seconds (or 900 seconds for notch 8). The estimated peak area is
calculated as follows, and as shown in Figure B130-1 of this section):
(i) Draw the peak baseline as a straight horizontal line
intersecting the steady-state response.
(ii) Measure the peak height from the baseline with the same units
as the steady-state concentration; this value is h.
(iii) Bisect the peak height by drawing a straight horizontal line
halfway between the top of the peak and the baseline.
(iv) Draw a straight line from the top of the peak to the baseline
such that it intersects the response curve at the same point at which
the line described in paragraph (b)(2)(iii) of this section intersects
the response curve.
(v) Determine the time between the point at which the notch was
changed and the point at which the line described in paragraph
(b)(2)(iv) of this section intersects the baseline; this value is t.
(vi) The estimated peak area is equal to the product of h and t,
divided by 2.
(c) In order to be considered to be a steady-state measurement, a
measured response may not vary by more than 5 percent after the first
60 seconds of measurement.
(d) For responses meeting either of the criteria of paragraph (b)
of this section, but not meeting the criterion of paragraph (c) of this
section, one of the following values shall be used instead of a steady-
state or integrated concentration:
(1) The highest value of the response that is measured after the
first 60 seconds of measurement (excluding peaks lasting less than 5
seconds, caused by such random events as the cycling of an air
compressor); or
(2) The highest 60-second, time-weighted, average concentration of
the response after the first 60 seconds of measurement.
(e) For responses not meeting the criterion in paragraph (c) of
this section, the Administrator may require that the manufacturer or
remanufacturer identify the cause of the variation, and demonstrate
that it is not caused by a defeat device.
(f) The integrated concentration used for calculations shall be
from the highest continuous 120 seconds of measurement.
(g) Compliance with paragraph (b)(2) of this section does not
require calculation where good engineering practice allows compliance
to be determined visually (i.e., that the area of the peak is much less
than the limits set forth in paragraph (b)(2) of this section).
BILLING CODE 6560-50-P
[[Page 19038]]
Figure to Sec. 92.130
[GRAPHIC] [TIFF OMITTED] TR16AP98.007
BILLING CODE 6560-50-C
[[Page 19039]]
Sec. 92.131 Smoke, data analysis.
The following procedure shall be used to analyze the smoke test
data:
(a) Locate each throttle notch test mode, or percent rated power
setting test mode. Each test mode starts when the throttle is placed in
the mode and ends when the throttle is moved to the succeeding mode.
The start of the first idle mode corresponds to the start of the test
sequence.
(b) Analyze the smoke trace by means of the following procedure:
(1) Locate the highest reading, and integrate the highest 3-second
average reading around it.
(2) Locate and integrate the highest 30-second average reading.
(3) The highest reading occurring more than two minutes after the
notch change (excluding peaks lasting less than 5 seconds, caused by
such random events as the cycling of an air compressor) is the
``steady-state'' value.
(c)(1) The values determined in paragraph (b) of this section shall
be normalized by the following equation:
[GRAPHIC] [TIFF OMITTED] TR16AP98.008
Where:
Nn is the normalized percent opacity, Nm is
the average measured percent opacity (peak or steady-state), and L
is actual distance in meters from the point at which the light beam
enters the exhaust plume to the point at which the light beam leaves
the exhaust plume.
(2) The normalized opacity values determined in paragraph (c)(1) of
this section are the values that are compared to the standards of
subpart A of this part for determination of compliance.
(d) This smoke trace analysis may be performed by direct analysis
of the recorder traces, or by computer analysis of data collected by
automatic data collection equipment.
Sec. 92.132 Calculations.
(a) Duty-cycle emissions. This section describes the calculation of
duty-cycle emissions, in terms of grams per brake horsepower hour (g/
bhp-hr). The calculation involves the weighted summing of the product
of the throttle notch mass emission rates and dividing by the weighted
sum of the brake horsepower. The final reported duty-cycle emission
test results are calculated as follows:
(1)(i) Eidc=( (Mij) (Fj))/
( (BHPj) (Fj))
Where:
Eidc=Duty-cycle weighted, brake-specific mass emission
rate of pollutant i (i.e., HC, CO, NOX or PM and, if
appropriate, THCE or NMHC) in grams per brake horsepower-hour;
Mij=the mass emission rate pollutant i for mode j;
Fj=the applicable weighting factor listed in Table B132-1
for mode j;
BHPj=the measured brake horsepower for mode j.
(ii) Table B132-1 follows:
Table B132-1.--Weighting Factors for Calculating Emission Rates
----------------------------------------------------------------------------------------------------------------
Locomotive not equipped Locomotive equipped with
with multiple idle multiple idle notches
Throttle notch setting Test mode notches -------------------------
--------------------------
Line-haul Switch Line-haul Switch
----------------------------------------------------------------------------------------------------------------
Low Idle....................................... 1a NA NA 0.190 0.299
Normal Idle.................................... 1 0.380 0.598 0.190 0.299
Dynamic Brake.................................. 2 0.125 0.000 0.125 0.000
Notch 1........................................ 3 0.065 0.124 0.065 0.124
Notch 2........................................ 4 0.065 0.123 0.065 0.123
Notch 3........................................ 5 0.052 0.058 0.052 0.058
Notch 4........................................ 6 0.044 0.036 0.044 0.036
Notch 5........................................ 7 0.038 0.036 0.038 0.036
Notch 6........................................ 8 0.039 0.015 0.039 0.015
Notch 7........................................ 9 0.030 0.002 0.030 0.002
Notch 8........................................ 10 0.162 0.008 0.162 0.008
----------------------------------------------------------------------------------------------------------------
(2) Example: for the line-haul cycle, for locomotives equipped with
normal and low idle, and with dynamic brake, the brake-specific
emission rate for HC would be calculated as:
EHCdc=[(MHCla) (0.190)+(MHC1)
(0.190)+(MHC2) (0.125)+(MHC3)
(0.065)+(MHC4) (0.065)+(MHC5)
(0.052)+(MHC6) (0.044)+(MHC7)
(0.038)+(MHC8) (0.039)+(MHC9)
(0.030)+(MHC10) (0.162)]/[(BHP1a)
(0.190)+(BHP1) (0.190)+(BHP2)
(0.125)+(BHP3) (0.065)+(BHP4)
(0.065)+(BHP5) (0.052)+(BHP6)
(0.044)+(BHP7) (0.038)+(BHP8)
(0.039)+(BHP9) (0.030)+(BHP10) (0.162)]
(3) In each mode, brake horsepower output is the power that the
engine delivers as output (normally at the flywheel), as defined in
Sec. 92.2.
(i) For locomotive testing (or engine testing using a locomotive
alternator/generator instead of a dynamometer), brake horsepower is
calculated as:
BHP=HPout/Aeff+HPacc
Where:
HPout=Measured horsepower output of the alternator/
generator.
Aeff=Efficiency of the alternator/generator.
HPacc=Accessory horsepower.
(ii) For engine dynamometer testing, brake horsepower is determined
from the engine speed and torque.
(4) For locomotive equipped with features that shut the engine off
after prolonged periods of idle, the measured mass emission rate
Mi1 (and Mi1a as applicable) shall be multiplied
by a factor equal to one minus the estimated fraction reduction in
idling time that will result in use from the shutdown feature.
Application of this adjustment is subject to the Administrator's
approval.
(b) Throttle notch emissions. This paragraph (b) describes the
calculation of throttle notch emissions for all operating modes,
including: idle (normal and low, as applicable); dynamic brake; and
traction power points. The throttle notch (operating mode) emission
test results, final reported values and values used in paragraph (a)(1)
of this section are calculated as follows:
(1) Brake specific emissions (Eij) in grams per brake
horsepower-hour of each species i (i.e., HC, CO, NOX or PM
and, if appropriate, THCE or NMHC) for each mode j:
(i) EHC mode=HC grams/BHP-hr=MHC mode/Measured
BHP in mode.
Where:
MHC mode=Mass HC emissions (grams per hour) for each test
mode.
[[Page 19040]]
(ii) ETHCE mode=THCE grams/BHP-hr=MTHCE mode/
Measured BHP in mode.
Where:
MTHCE mode (Total hydrocarbon equivalent mass emissions
(grams per hour) for each test mode):
=MHCj+ (Mij) (MWCp)/
MWCi
Mij=the mass emission rate oxygenated pollutant i for
mode j.
MWCi=the molecular weight of pollutant i divided by the
number of carbon atoms per molecule of pollutant i.
MWCp=the molecular weight of a typical petroleum fuel
component divided by the number of carbon atoms per molecule of a
typical petroleum fuel component=13.8756.
(iii) ENMHC mode=NMHC grams/BHP-hr=MNMHC mode/
Measured BHP in mode.
Where:
MNMHC mode=Mass NMHC emissions (grams per hour) for each
test mode.
(iv) ECO mode=CO grams/BHP-hr=MCO mode/Measured
BHP in mode.
Where:
MCO mode=Mass CO emissions (grams per hour) for each test
mode.
(v) ENOx mode=NOX grams/BHP-
hr=MNOx mode/Measured BHP in mode.
Where:
MNOx mode=Mass NOX emissions (grams per hour)
for each test mode.
(vi) EPM mode=PM grams/BHP-hr=MPM mode/Measured
BHP in mode.
Where:
MPM mode=Mass PM emissions (grams per hour) for each test
mode.
(vii) EAL mode=Aldehydes grams/BHP-hr=MAL mode/
Measured BHP in mode.
(vii) EAL mode=Aldehydes grams/BHP-hr=MAL mode/
Measured BHP in mode.
Where:
MAL mode=Total aldehyde mass emissions (grams per hour)
for each test mode.
(2) Mass Emissions--Raw exhaust measurements. For raw exhaust
measurements mass emissions (grams per hour) of each species for each
mode:
(i) General equations. (A) The mass emission rate,
MX mode (g/hr), of each pollutant (HC, NOX,
CO2, CO, CH4 CH3OH,
CH3CH2OH, CH2O,
CH3CH2O) for each operating mode for raw
measurements is determined based on one of the following equations:
MX mode=(DX/106)(DVol)(MWX/
Vm)
MX mode=(WX/106)(WVol)(MWX/
Vm)
Where:
X designates the pollutant (e.g., HC), DX is the concentration of
pollutant X (ppm or ppmC) on a dry basis, MWX is the
molecular weight of the pollutant (g/mol), DVol is the total exhaust
flow rate (ft3/hr) on a dry basis, WX is the
concentration of pollutant X (ppm or ppmC) on a wet basis, WVol is
the total exhaust flow rate (ft3/hr) on a wet basis,
Vm is the volume of one mole of gas at standard
temperature and pressure (ft3/mol).
(B) All measured volumes and volumetric flow rates must be
corrected to standard temperature and pressure prior to calculations.
(ii) The following abbreviations and equations apply to this
paragraph (b)(2):
=Atomic hydrogen/carbon ratio of the fuel.
=Atomic oxygen/carbon ratio of the fuel.
CMWf=Molecular weight of the fuel per carbon atom, or carbon
molecular weight (g/moleC)=(12.011+1.008+16.000).
DCO=CO concentration in exhaust, ppm (dry).
DCO2=CO2 concentration in exhaust, percent (dry).
DHC=HC carbon concentration in exhaust, ppm C (dry).
DNOX=NOX concentration in exhaust, in ppm (dry).
DVol=Total exhaust flow rate (ft3/hr) on a dry basis; or
=(Vm)(Wf)/((CMWf) (DHC/
106+DCO/106+DCO2/100)).
K=Water gas equilibrium constant=3.5.
Kw=Wet to dry correction factor.
MF=Mass flow-rate of fuel used in the engine in lb/
hr=Wf/453.59.
MWC=Atomic weight of carbon=12.011.
MWCO=Molecular weight of CO=28.011.
MWH=Atomic weight of hydrogen=1.008.
MWNO2=Molecular weight of nitrogen dioxide
(NO2)=46.008.
MWO=Molecular weight of atomic oxygen=16.000.
T=Temperature of inlet air ( deg.F).
Vm=Volume of one mole of gas at standard temperature and
pressure (ft3/mole).
Wf=Mass flow-rate of fuel used in the engine, in grams/
hr=(453.59) x (Mf lbs/hr).
WCO2=CO2 concentration in exhaust, percent (wet).
WHC=HC concentration in exhaust, ppm C (wet).
WVol=Total exhaust flow rate (ft3/hr) on a wet basis; or
=(Vm)(Wf)/((CMWf)(WHC/
106+WCO/106 WCO2/100)).
(iii) Calculation of individual pollutant masses. Calculations for
mass emission are shown here in multiple forms. One set of equations is
used when sample is analyzed dry (equations where the concentrations
are expressed as DX), and the other set is used when the sample is
analyzed wet (equations where the concentrations are expressed as WX).
When samples are analyzed for some constituents dry and for some
constituents wet, the wet concentrations must be converted to dry
concentrations, and the equations for dry concentrations used. Also,
the equations for HC, NMHC, CO, and NOX have multiple forms
that are algebraically equivalent: An explicit form that requires
intermediate calculation of Vm and DVol or WVol; and an
implicit form that uses only the concentrations (e.g., DCO) and the
mass flow rate of the fuel. For these calculations, either form may be
used.
(A) Hydrocarbons and nonmethane hydrocarbons.
(1) Hydrocarbons. (i) For petroleum-fueled engines:
MHC mode
=(DHC)CMWf(DVol)(106)/Vm
=((DHC/106)(Wf)/((DCO/
106)+(DCO2/100)+ (DHC/
106)+(DX/106)))
MHC mode
=(WHC)CMWf(WVol)(106)/Vm
=((WHC/106)(Wf)/((WCO/
106)+(WCO2/100)+ (WHC/
106)+((WX/106)))
(ii) For alcohol-fueled engines:
DHC=FID HC-(rx)(DX)
WHC=FID HC-(rx)(WX)
Where:
FID HC=Concentration of ``hydrocarbon'' plus other organics such as
methanol in exhaust as measured by the FID, ppm carbon equivalent.
rx=FID response to oxygenated species x (methanol,
ethanol, or acetaldehyde).
DX=Concentration of oxygenated species x (methanol, ethanol, or
acetaldehyde) in exhaust as determined from the dry exhaust sample,
ppm carbon (e.g., DCH3OH, 2(DCH3CH2OH)).
WX=Concentration of oxygenated species x (methanol, ethanol, or
acetaldehyde) in exhaust as determined from the wet exhaust sample,
ppm carbon.
DX=The sum of concentrations DX for all oxygenated species.
WX=The sum of concentrations WX for all oxygenated species.
(2) Nonmethane hydrocarbons:
MNMHC mode=(DNMHC)CMWf(DVol) (106)/
Vm
=((DNMHC/106)(Wf)/((DCO/
106)+(DCO2/100)+(DHC/106)))
MNMHC mode=(WNMHC)CMWf(WVol) (106)/
Vm
[[Page 19041]]
=((WNMHC/106)(Wf)/((WCO/
106)+(WCO2/100)+(WHC/106)))
Where:
DNMHC=FID HC-(rCH4)(DCH4)
WNMHC=FID HC-(rCH4)(WCH4)
FID HC=Concentration of ``hydrocarbon'' plus other organics such as
methane in exhaust as measured by the FID, ppm carbon equivalent.
rCH4=FID response to methane.
DCH4=Concentration of methane in exhaust as determined from the dry
exhaust sample, ppm.
WCH4=Concentration of methane in exhaust as determined from the wet
exhaust sample, ppm.
(B) Carbon monoxide:
MCO mode=(DCO)MWCO(DVol)/106/
Vm
=((MWCO(DCO/106)(Wf)/
((CMWf)(DCO/106)+(DCO2/100)+DHC/
106)+(DX/106)))
MCO mode=(WCO)MWCO(DVol)(106)/
Vm
=((MWCO(WCO/106)(Wf)/
((CMWf)(WCO/106)+(WCO2/100)+WHC/
106)+(WX/106)))
(C) Oxides of nitrogen:
MNOx mode=(DNOX)MWNO2(DVol)(106)/
Vm
=((MWNO2(DNOX/106)(Wf)/
((CMWf)(DCO/106)+ (DCO2/100)+(DHC/
106)+(DX/106)))
MNOx mode=(WNOX)MWNO2(DVol)(106)/
Vm
=((MWNO2(WNOX/106)(Wf)/
((CMWf)(WCO/106)+(WCO2/100)+(WHC/
106)+(WX/106)))
(D) Methanol:
MCH3OH mode=(DCH3OH/106)32.042(DVol)/
Vm
MCH3OH mode=(WCH3OH/106)32.042(WVol)/
Vm
Where:
DCH3OH=(Vm)(106)[(C1 x AV1
)+(C2 x AV2)]/DVolMS.
WCH3OH=(Vm)(106)[(C1 x AV1
)+(C2 x AV2)]/WVolMS.
Ci=concentration of methanol in impinger i (1 or 2) in
mol/ml.
AVi=Volume of absorbing reagent in impinger i (1 or 2) in
ml.
DVolMS=Volume (standard ft3) of exhaust sample
drawn through methanol impingers (dry).
WVolMS=Volume (standard ft3) of exhaust sample
drawn through methanol impingers (wet).
(E) Ethanol:
MCH3CH2OH mode=(DCH3CH2OH/106)23.035(DVol)/
Vm
MCH3CH2OH mode = (WCH3CH2OH/106)23.035(WVol)/
Vm
Where:
DCH3CH2OH=(Vm)(106)[(C1 x AV1
)
+(C2 x AV2)]/DVolES.
WCH3CH2OH=(Vm)(106)[(C1 x AV1
)+(C2 x AV2)]/WVolES.
Ci=concentration of ethanol in impinger i (1 or 2) in
mol/ml.
AVi=Volume of absorbing reagent in impinger i (1 or 2) in
ml.
DVolES=Volume (standard ft3) of exhaust sample
drawn through ethanol impingers (dry).
WVolES=Volume (standard ft3) of exhaust sample
drawn through ethanol impingers (wet).
(F) Formaldehyde:
MCH2O mode=(DCH2O/106)30.026(DVol)/Vm
MCH2O mode=(WCH2O/106)30.026(WVol)/Vm
(1) If aldehydes are measured using impingers:
DCH2O=(Vm)(106)[(C1 x AV1)+(
C2 x AV2)]/DVolFS
WCH2O=(Vm)(106)[(C1 x AV1)+(
C2 x AV2)]/WVolFS
(2) If aldehydes are measured using cartridges:
DCH2O=(Vm)(106)(CR x AVR)/
DVolFS
WCH2O=(Vm)(106)(CR x AVR)/
WVolFS
(3) The following definitions apply to this paragraph
(b)(2)(iii)(F):
AVi=Volume of absorbing reagent in impinger i (1 or 2) in
ml.
AVR=Volume of absorbing reagent use to rinse the cartridge
in ml.
Ci=concentration of formaldehyde in impinger i (1 or 2) in
mol/ml.
CR=concentration of formaldehyde in solvent rinse in mol/ml.
DVolFS=Volume (standard ft3) of exhaust sample
drawn through formaldehyde sampling system (dry).
WVolFS=Volume (standard ft3) of exhaust sample
drawn through formaldehyde sampling system (wet).
(G) Acetaldehyde:
MCH3CHO mode=(DCH3CHO/106)27.027(DVol)/
Vm
MCH3CHO mode=(WCH3CHO/106)27.027(WVol)/
Vm
(1) If aldehydes are measured using impingers:
DCH3CHO=(Vm)(106)[(C1 x AV1)
+(C2 x AV2)]/DVolAS
WCH3CHO=(Vm)(106)[(C1 x AV1)
+C2 x AV2)]/WVolAS
(2) If aldehydes are measured using cartridges:
DCH3CHO=(Vm)(106)(CR x AVR)/
DVolAS
WCH3CHO=(Vm)(106)(CR x AVR)/
WVolAS
(3) The following definitions apply to this paragraph
(b)(2)(iii)(G):
AVi=Volume of absorbing reagent in impinger i (1 or 2) in
ml.
AVR=Volume of absorbing reagent use to rinse the cartridge
in ml.
Ci=concentration of acetaldehyde in impinger i (1 or 2) in
mol/ml.
CR=concentration of acetaldehyde in solvent rinse in mol/ml.
DVolAS=Volume (standard ft3) of exhaust sample
drawn through acetaldehyde sampling system (dry).
WVolAS=Volume (standard ft3) of exhaust sample
drawn through acetaldehyde sampling system (wet).
(iv) Conversion of wet concentrations to dry concentrations. Wet
concentrations are converted to dry concentrations using the following
equation:
DX=KW WX
Where:
WX is the concentration of species X on a wet basis.
DX is the concentration of species X on a dry basis.
KW is a conversion factor=WVol/DVol=1+DH2O.
(A) Iterative calculation of conversion factor. The conversion
factor KW is calculated from the fractional volume of water
in the exhaust on a dry basis (DH2O=volume of water in exhaust/dry
volume of exhaust). Precise calculation of the conversion factor
KW must be done by iteration, since it requires the dry
concentration of HC, but HC emissions are measured wet.
(1) The conversion factor is calculated by first assuming DHC=WHC
to calculate DVol:
DVol=(Vm)(Wf)/((CMWf)(DHC/
106+DCO/106+DCO2/100))
(2) This estimate is then used in the following equations to
calculate DVolair, then DH2O, then KW, which
allows DHC to be determined more accurately from WHC:
[GRAPHIC] [TIFF OMITTED] TR16AP98.009
Where:
[[Page 19042]]
Y=Water volume concentration in intake air, volume fraction (dry).
DVolair=Air intake flow rate (ft3/hr) on a dry
basis, measured, or calculated as:
[GRAPHIC] [TIFF OMITTED] TR16AP98.010
(3) The calculations are repeated using this estimate of DHC. If
the new estimate for KW is not within one percent of the
previous estimate, the iteration is repeated until the difference in
KW between iterations is less than one percent.
(B) Alternate calculation of DH2O (approximation). The following
approximation may be used for DH2O instead of the calculation in
paragraph (b)(2)(iv)(A) of this section:
[GRAPHIC] [TIFF OMITTED] TR16AP98.011
Where:
[GRAPHIC] [TIFF OMITTED] TR16AP98.012
Y=Water volume concentration in intake air, volume fraction (dry).
(3) Mass Emissions--Dilute exhaust measurements. For dilute exhaust
measurements mass emissions (grams per hour) of each species for each
mode:
(i) General equations. The mass emission rate, Mx mode
(g/hr) of each pollutant (HC, NOX, CO2, CO, CH4 CH3OH,
CH3CH2OH, CH2O, CH3CH2O) for each operating mode for bag measurements
and diesel continuously heated sampling system measurements is
determined from the following equation:
Mx mode=(Vmix)(Densityx)(Xconc
)/(Vf)
Where:
x designates the pollutant (e.g., HC), Vmix is the total
diluted exhaust volumetric flow rate (ft3/hr),
Densityx is the specified density of the pollutant in the
gas phase (g/ft3), Xconc is the fractional
concentration of pollutant x (i.e., ppm/106, ppmC/
106, or %/100), and Vf is the fraction of the
raw exhaust that is diluted for analysis.
(ii) The following abbreviations and equations apply to paragraphs
(b)(3)(i) through (b)(3)(iii)(J) of this section:
(A) DF=Dilution factor, which is the volumetric ratio of the
dilution air to the raw exhaust sample for total dilution, calculated
as:
[GRAPHIC] [TIFF OMITTED] TR16AP98.013
Where:
WCO2=Carbon dioxide concentration of the raw exhaust sample, in
percent (wet).
WCO2e=Carbon dioxide concentration of the dilute exhaust
sample, in percent (wet).
WCO2d=Carbon dioxide concentration of the dilution air,
in percent (wet).
(B) Vmix=Diluted exhaust volumetric flow rate in cubic
feet per hour corrected to standard conditions (528 deg.R, and 760 mm
Hg).
(C) Vf=Fraction of the total raw exhaust that is diluted
for analysis.
=((CO2conc/102)+(COconc/
106) + (HCconc/
106))(Vmix)(CMWf)/Vm/
Mf
(iii) Calculation of individual pollutants.
(A) MHC mode=Hydrocarbon emissions, in grams per hour by
mode, are calculated using the following equations:
MHC mode=(Vmix)(DensityHC)(HCconc
/106)/Vf
HCconc=HCe-(HCd)(1-(1/DF))
HCe=FID
HCe-(rx)(Xe)
Where:
DensityHC=Density of hydrocarbons=16.42 g/ft3
(0.5800 kg/m3) for # l petroleum diesel fuel, 16.27 g/
ft3 (0.5746 kg/m3) for #2 diesel, and 16.33 g/
ft3 (0.5767 kg/m3) for other fuels, assuming
an average carbon to hydrogen ratio of 1:1.93 for #1 petroleum
diesel fuel, 1:1.80 for #2 petroleum diesel fuel, and 1:1.85 for
hydrocarbons in other fuels at standard conditions.
HCconc=Hydrocarbon concentration of the dilute exhaust
sample corrected for background, in ppm carbon equivalent (i.e.,
equivalent propane x 3).
HCe=Hydrocarbon concentration of the dilute exhaust bag
sample, or for diesel continuous heated sampling systems, average
hydrocarbon concentration of the dilute exhaust sample as determined
from the integrated HC traces, in ppm carbon equivalent. For
petroleum-fueled engines, HCe is the FID measurement. For
methanol-fueled and ethanol-fueled engines:
FID HCe=Concentration of hydrocarbon plus methanol,
ethanol and acetaldehyde in dilute exhaust as measured by the FID,
ppm carbon equivalent.
rx=FID response to oxygenated species x (methanol,
ethanol or acetaldehyde).
Xe=Concentration of species x (methanol, ethanol or
acetaldehyde) in dilute exhaust as determined from the dilute
exhaust sample, ppm carbon.
HCd=Hydrocarbon concentration of the dilution air as
measured, in ppm carbon equivalent.
(B) MNOx mode = Oxides of nitrogen emissions, in grams
per hour by mode, are calculated using the following equations:
MNOx mode=(Vmix) (DensityNO2)
(NOxconc/10 \6\) /Vf
NOxconc=(NOxe - NOxd (1-(1/DF)))
Where:
DensityNO2=Density of oxides of nitrogen is 54.16 g/ft\3\
(1.913 kg/m\3\), assuming they are in the form of nitrogen dioxide,
at standard conditions.
NOxconc=Oxides of nitrogen concentration of the dilute
exhaust sample corrected for background, in ppm.
NOxe=Oxides of nitrogen concentration of the dilute
exhaust bag sample as measured, in ppm.
NOxd=Oxides of nitrogen concentration of the dilution air
as measured, in ppm.
(C) MCO2 mode=Carbon dioxide emissions, in grams per
hour by mode,
[[Page 19043]]
are calculated using the following equations:
MCO2 mode=(Vmix) (Density CO2)
(CO2conc/10\2\) /Vf
CO2conc=CO2e - CO2d (1 - (1/DF))
Where:
Density CO2=Density of carbon dioxide is 51.81 g/ft\3\
(1.830 kg/m\3\), at standard conditions.
CO2conc=Carbon dioxide concentration of the dilute
exhaust sample corrected for background, in percent.
CO2e=Carbon dioxide concentration of the dilute exhaust
bag sample, in percent.
CO2d=Carbon dioxide concentration of the dilution air as
measured, in percent.
(D)(1) MCO mode=Carbon monoxide emissions, in grams per
hour by mode, are calculated using the following equations:
MCO mode=(Vmix) (DensityCO)
(COconc/10\6\) /Vf
COconc=COe - COd (1 - (1/DF))
COd=(1 - 0.000323R)COdm
Where:
DensityCO=Density of carbon monoxide is 32.97 g/ft\3\
(1.164 kg/m\3\), at standard conditions.
COconc=Carbon monoxide concentration of the dilute
exhaust sample corrected for background, water vapor, and
CO2 extraction, ppm.
COe=Carbon monoxide concentration of the dilute exhaust
sample volume corrected for water vapor and carbon dioxide
extraction, in ppm.
COe=(1 - (0.01 + 0.005/) CO2e -
0.000323RH)COem, where is the hydrogen to
carbon ratio as measured for the fuel used.
COem=Carbon monoxide concentration of the dilute exhaust
sample as measured, in ppm.
RH = Relative humidity of the dilution air, percent.
COd=Carbon monoxide concentration of the dilution air
corrected for water vapor extraction, in ppm.
COdm=Carbon monoxide concentration of the dilution air
sample as measured, in ppm.
(2) If a CO instrument which meets the criteria specified in
Sec. 86.1311 of this chapter is used and the conditioning column has
been deleted, COem must be substituted directly for
COe, and COdm must be substituted directly for
COd.
(E) MCH4 mode=Methane emissions corrected for
background, in gram per hour by mode, are calculated using the
following equations:
MCH4 mode=(Vmix) (DensityCH4)
(CH4conc/10\6\) /Vf
CH4conc=CCH4e - CCH4d (1 - (1/DF))
Where:
DensityCH4=Density of methane is 18.89 g/ft\3\ at
68 deg.F (20 deg.C) and 760 mm Hg (101.3kPa) pressure.
CH4conc=Methane concentration of the dilute exhaust
corrected for background, in ppm.
CCH4e=Methane concentration in the dilute exhaust, in
ppm.
CCH4d=Methane concentration in the dilution air, in ppm.
(F) MCH3OH mode=Methanol emissions corrected for
background, in gram per hour by mode, are calculated using the
following equations:
MCH3OH mode=(Vmix)(DensityCH3OH)
(CH3OHconc/10\6\)/Vf
CH3OHconc=CCH3OHe-CCH3OHd(1-(1/DF))
CCH3OHe=((3.817) (10-2)
(TEM)(((CS1)(AVS1)) +
(CS2)(AVS2)))/((PB)(VEM))
CCH3OHd=((3.817)(10-2)(TDM)(((CD1
) (AVD1)) + (CD2)(AVD2)))/
((PB)(VDM))
Where:
DensityCH3OH=Density of methanol is 37.71 g/ft\3\ (1.332
kg/m\3\), at 68 deg.F (20 deg.C) and 760 mm Hg (101.3kPa) pressure.
CH3OHconc=Methanol concentration of the dilute exhaust
corrected for background, in ppm.
CCH3OHe=Methanol concentration in the dilute exhaust, in
ppm.
CCH3OHd=Methanol concentration in the dilution air, in
ppm.
TEM=Temperature of methanol sample withdrawn from dilute
exhaust, deg.R.
TDM=Temperature of methanol sample withdrawn from
dilution air, deg.R.
PB=Barometric pressure during test, mm Hg.
VEM=Volume of methanol sample withdrawn from dilute
exhaust, ft \3\.
VDM=Volume of methanol sample withdrawn from dilution
air, ft \3\.
CS=GC concentration of aqueous sample drawn from dilute
exhaust, g/ml.
CD=GC concentration of aqueous sample drawn from dilution
air, g/ml.
AVS=Volume of absorbing reagent (deionized water) in
impinger through which methanol sample from dilute exhaust is drawn,
ml.
AVD=Volume of absorbing reagent (deionized water) in
impinger through which methanol sample from dilution air is drawn,
ml.
1=first impinger.
2=second impinger.
(G) MC2H5OH mode=Ethanol emissions corrected for
background, in gram per hour by mode, are calculated using the
following equations:
MCH3CH2OH mode=(Vmix)(DensityCH3CH2OH)
((CH3CH2OHconc/10 \6\))/Vf
CH3CH2OHconc=
CCH3CH2OHe-CCH3CH2OHd(1-(1/DF))
CCH3CH2OHd=((2.654)(10-2)(TDM)(((CD1
) (AVD1)) + (CD2)(AVD2)))/
((PB)(VDM))
CCH3CH2OHe=((2.654)(10-2)(TEM
)(((CS1) (AVS1)) +
(CS2)(AVS2)))/((PB)(VEM))
Where:
DensityC2H5OH=Density of ethanol is 54.23 g/ft \3\ (1.915
kg/m \3\), at 68 deg.F (20 deg.C) and 760 mm Hg (101.3kPa) pressure.
CH3CH2OHconc=Ethanol concentration
of the dilute exhaust corrected for background, in ppm.
CCH3CH2OHe=Ethanol concentration in the dilute exhaust,
in ppm.
CCH3CH2OHd=Ethanol concentration in the dilution air, in
ppm.
TEM= Temperature of ethanol sample withdrawn from dilute
exhaust, deg.R.
TDM=Temperature of ethanol sample withdrawn from dilution
air, deg.R.
PB=Barometric pressure during test, mm Hg.
VEM=Volume of ethanol sample withdrawn from dilute
exhaust, ft \3\.
VDM=Volume of ethanol sample withdrawn from dilution air,
ft \3\.
CS=GC concentration of aqueous sample drawn from dilute
exhaust, g/ml.
CD=GC concentration of aqueous sample drawn from dilution
air, g/ml.
AVS= Volume of absorbing reagent (deionized water) in
impinger through which ethanol sample from dilute exhaust is drawn,
ml.
AVD=Volume of absorbing reagent (deionized water) in
impinger through which ethanol sample from dilution air is drawn,
ml.
1=first impinger.
2=second impinger.
(H) MCH2O mode=Formaldehyde emissions corrected for
background, in gram per hour by mode, are calculated using the
following equations:
MCH2O mode=(Vmix)(DensityCH2O)
((CH2Oconc/10 \6\)/Vf
CH2Oconc=CCH2Oe-CCH2Od(1-(1/DF))
CCH2Oe=((4.069)(10-2)(CFDE)(
VAE)(Q) (TEF))/((VSE)(PB)
CCH2Od=((4.069)(10-2)(CFDA)(VAA
) (Q)(TDF))/(VSA)(PB)
Where:
DensityCH2O=Density of formaldehyde is 35.36 g/ft \3\
(1.249 kg/m \3\), at 68 deg.F (20 deg.C) and 760 mmHg (101.3 kPa)
pressure.
CH2Oconc=Formaldehyde concentration of the dilute exhaust
corrected for background, ppm.
CCH2Oe=Formaldehyde concentration in dilute exhaust, ppm.
CCH2Od=Formaldehyde concentration in dilution air, ppm.
CFDE=Concentration of DNPH derivative of formaldehyde
from dilute exhaust sample in sampling solution, g/ml.
VAE=Volume of sampling solution for dilute exhaust
formaldehyde sample, ml.
Q = Ratio of molecular weights of formaldehyde to its DNPH
derivative = 0.1429.
TEF=Temperature of formaldehyde sample withdrawn from
dilute exhaust, deg.R.
VSE=Volume of formaldehyde sample withdrawn from
dilute exhaust, ft3.
PB=Barometric pressure during test, mm Hg.
CFDA=Concentration of DNPH derivative of formaldehyde
from dilution air sample in sampling solution, g/ml.
VAA=Volume of sampling solution for dilution air
formaldehyde sample, ml.
TDF=Temperature of formaldehyde sample withdrawn from
dilution air, deg.R.
VSA=Volume of formaldehyde sample withdrawn from
dilution air, ft3.
(I) MCH3CHO mode=Acetaldehyde emissions corrected for
background, in
[[Page 19044]]
grams per hour by mode, are calculated using the following equations:
MCH3CHO mode=
(Vmix)(DensityCH3CHO)((CH3CHOconc
/106)/Vf
CH3CHOconc=CCH3CHOe-CCH3CHOd(1--(1/
DF))
CCH3CHOe=((2.774)(10-2)
(CADE)(VAE)(Q)(TEF))/
((VSE)(PB)
CCH3CHOd=((2.774)(10-2)
(CADA)(VAA)(Q)(TDF))/
(VSA)(PB)
Where:
Density CH3CHO=Density of acetaldehyde is 51.88 g/
ft3 (1.833 kg/m3), at 68 deg.F (20 deg.C)
and 760 mmHg (101.3 kPa) pressure.
CH3CHOconc=Acetaldehyde concentration of the dilute
exhaust corrected for background, ppm.
CCH3CHOe=Acetaldehyde concentration in dilute exhaust,
ppm.
CCH3CHOd=Acetaldehyde concentration in dilution air, ppm.
CADE=Concentration of DNPH derivative of acetaldehyde
from dilute exhaust sample in sampling solution, g/ml.
VAE=Volume of sampling solution for dilute exhaust
acetaldehyde sample, ml.
Q=Ratio of molecular weights of acetaldehyde to its DNPH derivative
=0.182
TEF=Temperature of acetaldehyde sample withdrawn from
dilute exhaust, deg.R.
VSE=Volume of acetaldehyde sample withdrawn from dilute
exhaust, ft3.
PB=Barometric pressure during test, mm Hg.
CADAConcentration of DNPH derivative of acetaldehyde from
dilution air sample in sampling solution, g/ml.
VAA=Volume of sampling solution for dilution air
acetaldehyde sample, ml.
TDF=Temperature of acetaldehyde sample withdrawn from dilution air,
deg.R.
VSA=Volume of acetaldehyde sample withdrawn from dilution
air, ft3.
(J) MNMHC mode=Nonmethane hydrocarbon emissions, in
grams per hour by mode.
MNMHC mode=(Vmix)(DensityNMHC)
((NMHCconc/106))/Vf
NMHCconc=NMHCe--(NMHCd)(1-(1/DF))
NMHCe=FID HCe-(rm)(CCH4e)
NMHCd=FID HCd-(rm)(CCH4d)
Where:
DensityNMHC=Density of nonmethane hydrocarbons=16.42 g/
ft3 (0.5800 kg/m3) for # 1 petroleum diesel
fuel, 16.27 g/ft3 (0.5746 kg/m3) for #2
diesel, and 16.33 for other fuels, assuming an average carbon to
hydrogen ratio of 1:1.93 for #1 petroleum diesel fuel, 1:1.80 for #2
petroleum diesel fuel, and 1:1.85 for nonmethane hydrocarbons in
other fuels at standard conditions.
NMHCconc=Nonmethane hydrocarbon concentration of the
dilute exhaust sample corrected for background, in ppm carbon
equivalent (i.e., equivalent propane x 3).
NMHCe=Nonmethane hydrocarbon concentration of the dilute
exhaust bag sample:
FID HCe=Concentration of hydrocarbons in dilute exhaust
as measured by the FID, ppm carbon equivalent.
rm=FID response to methane.
CCH4e=Concentration of methane in dilute exhaust as
determined from the dilute exhaust sample.
NMHCd=Nonmethane hydrocarbon concentration of the
dilution air:
as measured by the FID, ppm carbon equivalent.
rm=FID response to methane.
CCH4d=Concentration of methane in dilute exhaust as
determined from the dilute exhaust sample, ppm.
(4) Particulate exhaust emissions. The mass of particulate for a
test mode determined from the following equations when a heat exchanger
is used (i.e., no flow compensation), and when background filters are
used to correct for background particulate levels:
MPM mode=Particulate emissions, grams per hour by mode.
MPM mode=(WVol) (PMconc) (1+DF)=(Vmix)
(PMconc)/Vf
PMconc=PMe-PMd (1-(1/DF))
PMe=MPMe/Vsampe/10 \3\
PMd=MPMd/Vsampd/10 \3\
Where:
PMconc=Particulate concentration of the diluted exhaust
sample corrected for background, in g/ft \3\
MPMe=Measured mass of particulate for the exhaust sample,
in mg, which is the difference in filter mass before and after the
test.
MPMd=Measured mass of particulate for the dilution air
sample, in mg, which is the difference in filter mass before and
after the test.
Vsampe=Total wet volume of sample removed from the
dilution tunnel for the exhaust particulate measurement, cubic feet
at standard conditions.
Vsampd=Total wet volume of sample removed from the
dilution tunnel for the dilution air particulate measurement, cubic
feet at standard conditions.
DF=Dilution factor, which is the volumetric ratio of the dilution
air to the raw exhaust sample, calculated as:
[GRAPHIC] [TIFF OMITTED] TR16AP98.014
(c) Humidity calculations. (1) The following abbreviations (and
units) apply to paragraph (b) of this section:
BARO=barometric pressure (Pa).
H=specific humidity, (g H2O/g of dry air).
KH=conversion factor=0.6220 g H2O/g dry air.
Mair=Molecular weight of air=28.9645.
MH2O=Molecular weight of water=18.01534.
PDB=Saturation vapor pressure of water at the dry bulb
temperature (Pa).
PDP=Saturation vapor pressure of water at the dewpoint
temperature (Pa).
Pv=Partial pressure of water vapor (Pa).
PWB=Saturation vapor pressure of water at the wet bulb
temperature (Pa).
TDB=Dry bulb temperature (Kelvin).
TWB=Wet bulb temperature (Kelvin).
Y=Water-vapor volume concentration.
(2) The specific humidity on a dry basis of the intake air (H) is
defined as:
H=((KH) (Pv)/(BARO-Pv))
(3) The partial pressure of water vapor may be determined using a
dew point device. In that case:
Pv=PDP
(4) The percent of relative humidity (RH) is defined as:
RH=(Pv/PDB)100
(5) The water-vapor volume concentration on a dry basis of the
engine intake air (Y) is defined as:
Y=((H)(Mair)/(MH2O)=Pv/
(BARO-Pv)
(d) NOX correction factor. (1) NOX emission
rates (MNOx mode) shall be adjusted to account for the
effects of humidity and temperature by multiplying each emission rate
by KNOx, which is calculated from the following equations:
KNOx=(K)(1+(0.25(logK)2)1/2)
K=(KH)(KT)
KH=[C1+C2(exp((-0.0143)(10.714))]/
[C1+C2(exp((-0.0143)(1000H))]
C1=-8.7+164.5exp(-0.0218(A/F)wet)
C2=130.7+3941exp(-0.0248(A/F)wet)
Where:
(A/F)wet=Mass of moist air intake divided by mass of fuel
intake.
KT=1/[1-0.017(T30-TA)] for tests
conducted at ambient temperatures below 30 deg.C.
KT=1.00 for tests conducted at ambient temperatures at or
above 30 deg.C.
T30=The measured intake manifold air temperature in the
locomotive when operated at 30 deg.C (or 100 deg.C, where intake
manifold air temperature is not available).
TA=The measured intake manifold air temperature in the
locomotive as tested (or the ambient temperature ( deg.C), where
intake manifold air temperature is not available).
(e) Other calculations. Calculations other than those specified in
this section may be used with the advance approval of the
Administrator.
Sec. 92.133 Required information.
(a) The required test data shall be grouped into the following two
general categories:
(1) Pre-test data. These data are general test data that must be
recorded for each test. The data are of a more descriptive nature such
as identification
[[Page 19045]]
of the test engine, test site number, etc. As such, these data can be
recorded at any time within 24 hours of the test.
(2) Test data. These data are physical test data that must be
recorded at the time of testing.
(b) When requested, data shall be supplied in the format specified
by the Administrator.
(c) Pre-test data. The following shall be recorded, and reported to
the Administrator for each test conducted for compliance with the
provisions of this part:
(1) Engine family identification (including subfamily
identification, such as for aftertreatment systems).
(2) Locomotive and engine identification, including model,
manufacturer and/or remanufacturer, and identification number.
(3) Locomotive and engine parameters, including fuel type,
recommended oil type, exhaust configuration and sizes, base injection
(ignition) timing, operating temperature, advance/retard injection
(ignition) timing controls, recommended start-up and warm-up
procedures, alternator generator efficiency curve.
(4) Locomotive or engine and instrument operator(s).
(5) Number of hours of operation accumulated on the locomotive or
engine prior to beginning the testing.
(6) Dates of most recent calibrations required by Secs. 92.115-
92.122.
(7) All pertinent instrument information such as tuning (as
applicable), gain, serial numbers, detector number, calibration curve
number, etc. As long as this information is traceable, it may be
summarized by system or analyzer identification numbers.
(8) A description of the exhaust duct and sample probes, including
dimensions and locations.
(d) Test data. The physical parameters necessary to compute the
test results and ensure accuracy of the results shall be recorded for
each test conducted for compliance with the provisions of this part.
Additional test data may be recorded at the discretion of the
manufacturer or remanufacturer. Extreme details of the test
measurements such as analyzer chart deflections will generally not be
required on a routine basis to be reported to the Administrator for
each test, unless a dispute about the accuracy of the data arises. The
following types of data shall be required to be reported to the
Administrator. The applicable Application Format for Certification will
specify the exact requirements which may change slightly from year to
year with the addition or deletion of certain items.
(1) Date and time of day.
(2) Test number.
(3) Engine intake air and test cell (or ambient, as applicable)
temperature.
(4) For each test point, the temperature of air entering the engine
after compression and cooling in the charge air cooler(s). If testing
is not performed on a locomotive, the corresponding temperatures when
the engine is in operation in a locomotive at ambient conditions
represented by the test.
(5) Barometric pressure. (A central laboratory barometer may be
used: Provided, that individual test cell barometric pressures are
shown to be within 0.1 percent of the barometric pressure
at the central barometer location.)
(6) Engine intake and test cell dilution air humidity.
(7) Measured horsepower and engine speed for each test mode.
(8) Identification and specifications of test fuel used.
(9) Measured fuel consumption rate at maximum power.
(10) Temperature set point of the heated continuous analysis system
components (if applicable).
(11) All measured flow rates, dilution factor, and fraction of
exhaust diluted for diluted exhaust measurements (as applicable) for
each test mode.
(12) Temperature of the dilute exhaust mixture at the inlet to the
respective gas meter(s) or flow instrumentation used for particulate
sampling.
(13) The maximum temperature of the dilute exhaust mixture
immediately ahead of the particulate filter.
(14) Sample concentrations (background corrected as applicable) for
HC, CO, CO2, and NOX (and methane, NMHC, alcohols
and aldehydes, as applicable) for each test mode. This includes the
continuous trace and the steady-state value (or integrated value where
required).
(15) The stabilized pre-test weight and post-test weight of each
particulate sample and back-up filter or pair of filters.
(16) Brake specific emissions (g/BHP-hr) for HC, CO,
NOX, particulate and, if applicable, CH3, NMHC, THCE,
CH3OH, CH3CH2OH, CH2O and CH3CHO for each test mode.
(17) The weighted brake specific emissions for HC, CO,
NOX and particulate (g/BHP-hr) for the total test for the
duty-cycle(s) applicable to the locomotive.
(18) The smoke opacity for each test mode. This includes the
continuous trace, the peak values and the steady-state value.
Subpart C--Certification Provisions
Sec. 92.201 Applicability.
The requirements of this subpart are applicable to manufacturers
and remanufacturers of any locomotives and locomotive engines subject
to the provisions of subpart A of this part.
Sec. 92.202 Definitions.
The definitions of subpart A of this part apply to this subpart.
Sec. 92.203 Application for certification.
(a) For each engine family that complies with all applicable
standards and requirements, the manufacturer or remanufacturer must
submit to the Administrator a completed application for a certificate
of conformity.
(b) The application must be approved and signed by the authorized
representative of the manufacturer or remanufacturer.
(c) The application will be updated and corrected by amendment as
provided for in Sec. 92.210 to accurately reflect the manufacturer's or
remanufacturer's production.
(d) Required content. Each application must include the following
information:
(1)(i) A description of the basic engine design including, but not
limited to, the engine family specifications, the provisions of which
are contained in Sec. 92.208;
(ii)(A) For freshly manufactured locomotives, a description of the
basic locomotive design;
(B) For freshly manufactured engines for use in remanufactured
locomotives, a description of the locomotive designs in which the
engines are to be used;
(C) For remanufactured locomotives, a description of the basic
locomotive designs to which the remanufacture system will be applied;
(iii) A list of distinguishable configurations to be included in
the engine family;
(2) An explanation of how the emission control system operates,
including detailed descriptions of:
(i) All emission control system components;
(ii) Injection or ignition timing for each notch (i.e., degrees
before or after top-dead-center), and any functional dependence of such
timing on other operational parameters (e.g., engine coolant
temperature);
(iii) Each auxiliary emission control device (AECD); and
(iv) All fuel system components to be installed on any production
or test locomotive(s) or engine(s);
(3) A description of the test locomotive or engine;
[[Page 19046]]
(4) Special or alternate test procedures, if applicable;
(5) A description of the operating cycle and the period of
operation necessary to accumulate service hours on the test locomotive
or engine and stabilize emission levels;
(6) A description of all adjustable operating parameters
(including, but not limited to, injection timing and fuel rate),
including the following:
(i) The nominal or recommended setting and the associated
production tolerances;
(ii) The intended adjustable range, and the physically adjustable
range;
(iii) The limits or stops used to limit adjustable ranges;
(iv) Production tolerances of the limits or stops used to establish
each physically adjustable range; and
(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 the
manufacturer's or remanufacturer's specified adjustable ranges on in-
use engines;
(7) For families participating in the averaging, banking, and
trading program, the information specified in subpart D of this part;
(8) Projected U.S. production information for each configuration;
(9) A description of the test equipment and fuel proposed to be
used;
(10) All test data obtained by the manufacturer or remanufacturer
on each test engine or locomotive;
(11) The intended useful life period for the engine family, in
accordance with Sec. 92.9(a);
(12) The intended deterioration factors for the engine family, in
accordance with Sec. 92.9(b)(2);
(13) An unconditional statement certifying that all locomotives and
engines included the engine family comply with all requirements of this
part and the Clean Air Act.
(e) At the Administrator's request, the manufacturer or
remanufacturer must supply such additional information as may be
required to evaluate the application.
(f)(1) If the manufacturer or remanufacturer, submits some or all
of the information specified in paragraph (d) of this section in
advance of its full application for certification, the Administrator
shall review the information and make the determinations required in
Sec. 92.208(d) within 90 days of the manufacturer's or remanufacturer's
submittal.
(2) The 90-day decision period is exclusive of any elapsed time
during which EPA is waiting for additional information requested from a
manufacturer or remanufacturer regarding an adjustable parameter (the
90-day period resumes upon receipt of the manufacturer's or
remanufacturer's response). For example, if EPA requests additional
information 30 days after the manufacturer or remanufacturer submits
information under paragraph (f)(1) of this section, then the
Administrator would make a determination within 60 days of the receipt
of the requested information from the manufacturer or remanufacturer.
(g)(1) The Administrator may modify the information submission
requirements of paragraph (d) of this section, provided that all of the
information specified therein is maintained by the manufacturer or
remanufacturer as required by Sec. 92.215, and amended, updated, or
corrected as necessary.
(2) For the purposes of this paragraph (g), Sec. 92.215 includes
all information specified in paragraph (d) of this section whether or
not such information is actually submitted to the Administrator for any
particular model year.
(3) The Administrator may review a manufacturer's or
remanufacturer's records at any time. At the Administrator's
discretion, this review may take place either at the manufacturer's or
remanufacturer's facility or at another facility designated by the
Administrator.
Sec. 92.204 Designation of engine families.
This section specifies the procedure and requirements for grouping
of engines into engine families.
(a) Manufacturers and remanufacturers shall divide their
locomotives and locomotive engines into groupings of locomotives and
locomotive engines which are expected to have similar emission
characteristics throughout their useful life. Each group shall be
defined as a separate engine family.
(b) For Tier 1 and Tier 2 locomotives and locomotive engines, the
following characteristics distinguish engine families:
(1) The combustion cycle (e.g., diesel cycle);
(2) The type of engine cooling employed (air-cooled or water-
cooled), and procedure(s) employed to maintain engine temperature
within desired limits (thermostat, on-off radiator fan(s), radiator
shutters, etc.);
(3) The bore and stroke dimensions;
(4) The approximate intake and exhaust event timing and duration
(valve or port);
(5) The location of the intake and exhaust valves (or ports);
(6) The size of the intake and exhaust valves (or ports);
(7) The overall injection, or as appropriate 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 turbocharger or supercharger general performance
characteristics (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; and
(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) For Tier 0 locomotives and locomotive engines, the following
characteristics distinguish engine families:
(1) The combustion cycle (e.g., diesel cycle);
(2) The type of engine cooling employed (air-cooled or water-
cooled), 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
[[Page 19047]]
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; and
(10) The fuel injection system control type (electronic or
mechanical).
(d) Upon request by the manufacturer or remanufacturer, locomotives
or locomotive engines that are eligible to be included in the same
engine family based on the criteria in paragraph (b) or (c) of this
section may be divided into different engine families. This request
must be accompanied by information the manufacturer or remanufacturer
believes supports the addition of these different engine families. For
the purposes of determining whether an engine family is a small engine
family in Sec. 92.603(a)(2), EPA will consider the number of
locomotives or locomotive engines that could have been classed together
under paragraph (b) or (c) of this section, instead of the number of
locomotives or locomotive engines that are included in a subdivision
allowed by this paragraph (d).
(e) Upon request by the manufacturer or remanufacturer, the
Administrator may allow locomotives or locomotive engines that would be
required to be grouped into separate engine families based on the
criteria in paragraph (b) or (c) of this section to be grouped into a
single engine family if the manufacturer or remanufacturer demonstrates
that similar emission characteristics will occur. This request must be
accompanied by emission information supporting the appropriateness of
such combined engine families.
Sec. 92.205 Prohibited controls, adjustable parameters.
(a) Any system installed on, or incorporated in, a new locomotive
or new locomotive engine to enable such locomotive or locomotive engine
to conform to standards contained in this subpart:
(1) Shall not in its operation or function cause significant (as
determined by the Administrator) emission into the ambient air of any
noxious or toxic substance that would not be emitted in the operation
of such locomotive, or locomotive engine, without such system, except
as specifically permitted by regulation;
(2) Shall not in its operation, function or malfunction result in
any unsafe condition endangering the locomotive, its operators, riders
or property on a train, or persons or property in close proximity to
the locomotive; and
(3) Shall function during all in-use operation except as otherwise
allowed by this part.
(b) In specifying the adjustable range of each adjustable parameter
on a new locomotive or new locomotive engine, the manufacturer or
remanufacturer, shall:
(1) Ensure that safe locomotive operating characteristics are
available within that range, as required by section 202(a)(4) of the
Clean Air Act, taking into consideration the production tolerances; and
(2) To the maximum extent practicable, limit the physical range of
adjustability to that which is necessary for proper operation of the
locomotive or locomotive engine.
Sec. 92.206 Required information.
(a) The manufacturer or remanufacturer shall perform the tests
required by the applicable test procedures, and submit to the
Administrator the information required by this section: Provided,
however, that if requested by the manufacturer or remanufacturer, the
Administrator may waive any requirement of this section for testing of
locomotives, or locomotive engines, for which the required emission
data are otherwise available.
(b) Exhaust emission deterioration factors, with supporting data.
The determination of the deterioration factors shall be conducted in
accordance with good engineering practice to assure that the
locomotives or locomotive engines covered by a certificate issued under
Sec. 92.208 will meet the emission standards in Sec. 92.8, in actual
use for the useful life of the locomotive or locomotive engine.
(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.
(d) A statement that the locomotives and locomotive engines, for
which certification is requested conform to the requirements in
Sec. 92.7, and that the descriptions of tests performed to ascertain
compliance with the general standards in Sec. 92.7, and the data
derived from such tests, are available to the Administrator upon
request.
(e) A statement that the locomotive, or locomotive engine, with
respect to which data are submitted to demonstrate compliance with the
applicable standards of this subpart, is in all material respects as
described in the manufacturer's or remanufacturer's application for
certification; that it has been tested in accordance with the
applicable test procedures utilizing the fuels and equipment described
in the application for certification; and that on the basis of such
tests, the engine family conforms to the requirements of this part. If,
on the basis of the data supplied and any additional data as required
by the Administrator, the Administrator determines that the test
locomotive, or test engine, was not as described in the application for
certification or was not tested in accordance with the applicable test
procedures utilizing the fuels and equipment as described in the
application for certification, the Administrator may make the
determination that the locomotive, or engine, does not meet the
applicable standards. If the Administrator makes such a determination,
he/she may withhold, suspend, or revoke the certificate of conformity
under Sec. 92.208(c)(3)(i).
Sec. 92.207 Special test procedures.
(a) Establishment of special test procedures by EPA. The
Administrator may, on the basis of written application by a
manufacturer or remanufacturer, establish special test procedures other
than those set forth in this part, for any locomotive or locomotive
engine that the Administrator determines is not susceptible to
satisfactory testing under the specified test procedures set forth in
subpart B of this part.
(b) Use of alternate test procedures by manufacturer or
remanufacturer. (1) A manufacturer or remanufacturer may elect to use
an alternate test procedure provided that it is equivalent to the
specified procedures with respect to the demonstration of compliance,
its use is approved in advance by the Administrator, and the basis for
the equivalence with the specified test procedures is fully described
in the manufacturer's or remanufacturer's application.
[[Page 19048]]
(2) The Administrator may reject data generated under alternate
test procedures which do not correlate with data generated under the
specified procedures.
Sec. 92.208 Certification.
(a) Paragraph (a) of this section 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
from the date of issuance by EPA until 31 December of the model year or
calendar year in which it is issued and upon such terms and conditions
as the Administrator deems necessary or appropriate to assure that the
production locomotives or engines covered by the certificate will meet
the requirements of the Act and of this part.
(b) This paragraph (b) applies to remanufacturers of locomotives
and locomotive engines. If, after a review of the application for
certification, test reports and data acquired from a remanufactured
locomotive or locomotive engine or from a development data engine, and
any other information required or obtained by EPA, the Administrator
determines that the engine family meets the requirements of the Act and
of this subpart, 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 from the date of issuance by EPA until 31 December of the model
year or calendar year in which it is issued and upon such terms and
conditions as the Administrator deems necessary or appropriate to
assure that the production locomotives or engines covered by the
certificate will meet the requirements of the Act and of this part.
(c) This paragraph (c) applies to manufacturers and remanufacturers
of locomotives and locomotive engines.
(1) The manufacturer or remanufacturer shall bear the burden of
establishing to the satisfaction of the Administrator that the
conditions upon which the certificates were issued were satisfied or
excused.
(2) The Administrator will determine whether the test data included
in the application represents all locomotives or locomotive engines of
the engine family.
(3) Notwithstanding the fact that any locomotive(s) or locomotive
engine(s) may comply with other provisions of this subpart, the
Administrator may withhold or deny the issuance of any certificate of
conformity, or suspend or revoke any such certificate(s) which has
(have) been issued with respect to any such locomotive(s) or locomotive
engine(s) if:
(i) The manufacturer or remanufacturer submits false or incomplete
information in its application for certification thereof;
(ii) The manufacturer or remanufacturer renders inaccurate any test
data which it submits pertaining thereto or otherwise circumvents the
intent of the Act, or of this part with respect to such locomotive or
locomotive engine;
(iii) Any EPA Enforcement Officer is denied access on the terms
specified in Sec. 92.215 to any facility or portion thereof which
contains any of the following:
(A) A locomotive or locomotive engine which is scheduled to undergo
emissions testing, or which is undergoing emissions testing, or which
has undergone emissions testing; or
(B) Any components used or considered for use in the construction,
modification or buildup of any locomotive or locomotive engine which is
scheduled to undergo emissions testing, or which is undergoing
emissions testing, or which has undergone emissions testing for
purposes of emissions certification; or
(C) Any production locomotive or production locomotive engine which
is or will be claimed by the manufacturer or remanufacturer to be
covered by the certificate; or
(D) Any step in the construction of a locomotive or locomotive
engine, where such step may reasonably be expected to have an effect on
emissions; or
(E) Any records, documents, reports or histories required by this
part to be kept concerning any of the items listed in paragraphs
(c)(3)(iii)(A) through (D).
(iv) Any EPA Enforcement Officer is denied ``reasonable
assistance'' (as defined in Sec. 92.215).
(4) In any case in which a manufacturer or remanufacturer knowingly
submits false or inaccurate information or knowingly renders inaccurate
or invalid any test data or commits any other fraudulent acts and such
acts contribute substantially to the Administrator's decision to issue
a certificate of conformity, the Administrator may deem such
certificate void ab initio.
(5) In any case in which certification of a locomotive or
locomotive engine is to be withheld, denied, revoked or suspended under
paragraph (c)(3) of this section, and in which the Administrator has
presented to the manufacturer or remanufacturer involved reasonable
evidence that a violation of Sec. 92.215 in fact occurred, the
manufacturer or remanufacturer, if it wishes to contend that, even
though the violation occurred, the locomotive or locomotive engine in
question was not involved in the violation to a degree that would
warrant withholding, denial, revocation or suspension of certification
under paragraph (c)(3) of this section, shall have the burden of
establishing that contention to the satisfaction of the Administrator.
(6) Any revocation, suspension, or voiding of certification under
paragraph (c)(3) of this section shall:
(i) Be made only after the manufacturer or remanufacturer concerned
has been offered an opportunity for a hearing conducted in accordance
with Sec. 92.216; and
(ii) Extend no further than to forbid the introduction into
commerce of locomotives or locomotive engines previously covered by the
certification which are still in the hands of the manufacturer or
remanufacturer, except in cases of such fraud or other misconduct that
makes the certification invalid ab initio.
(7) The manufacturer or remanufacturer may request, within 30 days
of receiving notification, that any determination made by the
Administrator under paragraph (c)(3) of this section to withhold or
deny certification be reviewed in a hearing conducted in accordance
with Sec. 92.216. The request shall be in writing, signed by an
authorized representative of the manufacturer or remanufacturer as
applicable, and shall include a statement specifying the manufacturer's
or remanufacturer's objections to the Administrator's determinations,
and data in support of such objections. If the Administrator finds,
after a review of the request and supporting data, that the request
raises a substantial factual issue, he/she will grant the request with
respect to such issue.
(d) In approving an application for certification, the
Administrator may specify:
(1) A broader range of adjustability than recommended by the
manufacturer or remanufacturer for those locomotive
[[Page 19049]]
or engine parameters which are to be subject to adjustment, if the
Administrator determines that it will not be practical to keep the
parameter adjusted within the recommended range in use;
(2) A longer useful life period, if the Administrator determines
that the useful life of the locomotives and locomotive engines in the
engine family, as defined in Sec. 92.2, is longer than the period
specified by the manufacturer or remanufacturer; and/or
(3) Larger deterioration factors, if the Administrator determines
that the deterioration factors specified by the manufacturer or
remanufacturer do not meet the requirements of Sec. 92.9(b)(2)(iv).
(e) Within 30 days following receipt of notification of the
Administrator's determinations made under paragraph (d) of this
section, the manufacturer or remanufacturer may request a hearing on
the Administrator's determinations. The request shall be in writing,
signed by an authorized representative of the manufacturer or
remanufacturer as applicable, and shall include a statement specifying
the manufacturer's or remanufacturer's objections to the
Administrator's determinations, and data in support of such objections.
If, after review of the request and supporting data, the Administrator
finds that the request raises a substantial factual issue, the
manufacturer or remanufacturer shall be provided with a hearing in
accordance with Sec. 92.216 with respect to such issue.
Sec. 92.209 Certification with multiple manufacturers or
remanufacturers.
(a) Where there are multiple persons meeting the definition of
manufacturer or remanufacturer, each such person must comply with the
requirements of this part that apply to manufacturers or
remanufacturers. However, if one person complies with a requirement,
then all such persons will be deemed to have complied with that
specific requirement.
(b) Where more than one entity meets the definition of manufacturer
or remanufacturer for a particular locomotive or locomotive engine, and
any one of the manufacturers or remanufacturers obtains a certificate
of conformity covering such locomotive or locomotive engine, the
requirements of subparts C, D, F, and G of this part shall apply to the
manufacturer or remanufacturer that obtains the certificate of
conformity. Other manufacturers or remanufacturers are required to
comply with the requirements of subparts C, D, F, and G of this part
only when notified by the Administrator. Such notification by the
Administrator shall specify a reasonable time period in which the
manufacturer or remanufacturer shall comply with the requirements
identified in the notice.
Sec. 92.210 Amending the application and certificate of conformity.
(a) The manufacturer or remanufacturer of locomotives or locomotive
engines must notify the Administrator when changes to information
required to be described in the application for certification are to be
made to a product line covered by a certificate of conformity. This
notification must include a request to amend the application or the
existing certificate of conformity. Except as provided in paragraph (e)
of this section, no manufacturer or remanufacturer shall make said
changes or produce said locomotives or engines prior to receiving
approval from EPA.
(b) A manufacturer's or remanufacturer's request to amend the
application or the existing certificate of conformity shall include the
following information:
(1) A full description of the change to be made in production, or
of the locomotive or engine to be added;
(2) Engineering evaluations or data showing that locomotives or
engines as modified or added will comply with all applicable emission
standards; and
(3) A determination whether the manufacturer's or remanufacturer's
original test fleet selection is still appropriate, and if the original
test fleet selection is determined not to be appropriate, test fleet
selection(s) representing the locomotives or engines changed or added
which would have been required if the locomotives or engines had been
included in the original application for certification.
(c) The Administrator may require the manufacturer or
remanufacturer to perform tests on the locomotive or engine
representing the locomotive or engine to be added or changed.
(d) Decision by Administrator. (1) Based on the description of the
amendment and data derived from such testing as the Administrator may
require or conduct, the Administrator will determine whether the change
or addition would still be covered by the certificate of conformity
then in effect.
(2) If the Administrator determines that the change or new
locomotive(s) or engine(s) meets the requirements of this subpart and
the Act, the appropriate certificate of conformity shall be amended.
(3) If the Administrator determines that the changed or new
locomotive(s) or engine(s) does not meet the requirements of this
subpart and the Act, the certificate of conformity will not be amended.
The Administrator shall provide a written explanation to the
manufacturer or remanufacturer of the decision not to amend the
certificate. The manufacturer or remanufacturer may request a hearing
on a denial.
(e) A manufacturer or remanufacturer may make changes in or
additions to production locomotives or engines concurrently with the
notification to the Administrator as required by paragraph (a) of this
section, if the manufacturer or remanufacturer complies with the
following requirements:
(1) In addition to the information required in paragraph (b) of
this section, the manufacturer or remanufacturer must supply supporting
documentation, test data, and engineering evaluations as appropriate to
demonstrate that all affected locomotives and engines will still meet
applicable emission standards.
(2) If, after a review, the Administrator determines additional
testing is required, the manufacturer or remanufacturer must provide
required test data within 30 days or cease production of the affected
locomotives or engines.
(3) If the Administrator determines that the affected locomotives
or engines do not meet applicable requirements, the Administrator will
notify the manufacturer or remanufacturer to cease production of the
affected locomotives or engines and to recall and correct at no expense
to the owner all affected locomotives or engines previously produced.
(4) Election to produce locomotives or engines under this paragraph
will be deemed to be a consent to recall all locomotives or engines
which the Administrator determines do not meet applicable standards and
to cause such nonconformity to be remedied at no expense to the owner.
Sec. 92.211 Emission-related maintenance instructions for purchasers.
(a) The manufacturer or remanufacturer shall furnish or cause to be
furnished to the ultimate purchaser or owner of each new locomotive, or
new locomotive engine, subject to the standards prescribed in
Sec. 92.8, written instructions for the proper maintenance and use of
the locomotive, or locomotive engine, as are reasonable and necessary
to assure the proper functioning of the emissions control system,
consistent with the applicable provisions of paragraph (b) of this
section.
[[Page 19050]]
(1) The maintenance and use instructions required by this section
shall be clear and easily understandable.
(2) The maintenance instructions required by this section shall
contain a general description of the documentation which would
demonstrate that the ultimate purchaser or any subsequent owner had
complied with the instructions.
(b)(1) The manufacturer or remanufacturer must provide in boldface
type on the first page of the written maintenance instructions notice
that maintenance, replacement, or repair of the emission control
devices and systems may be performed by any locomotive or locomotive
engine repair establishment or individual.
(2) The instructions under paragraph (b)(1) of this section will
not include any condition on the ultimate purchaser's or owner's using,
in connection with such locomotive or locomotive engine, any component
or service (other than a component or service provided without charge
under the terms of the purchase agreement) which is identified by
brand, trade, or corporate name. Such instructions also will not
directly or indirectly distinguish between service performed by any
other service establishments with which such manufacturer or
remanufacturer has a commercial relationship and service performed by
independent locomotive or locomotive engine repair facilities which
such manufacturer or remanufacturer has no commercial relationship.
(3) The prohibition of paragraph (b)(2) of this section may be
waived by the Administrator if:
(i) The manufacturer or remanufacturer satisfies the Administrator
that the locomotive or locomotive engine will function properly only if
the component or service so identified is used in connection with such
locomotive or locomotive engine; and
(ii) The Administrator finds that such a waiver is in the public
interest.
(c) The manufacturer or remanufacturer shall provide to the
Administrator, no later than the time of the submission required by
Sec. 92.203, a copy of the emission-related maintenance instructions
which the manufacturer or remanufacturer proposes to supply to the
ultimate purchaser or owner in accordance with this section. The
Administrator will review such instructions to determine whether they
are reasonable and necessary to assure the proper functioning of the
locomotive's, or locomotive engine's emission control systems. If the
Administrator determines that such instructions are not reasonable and
necessary to assure the proper functioning of the emission control
systems, he/she may disapprove the application for certification, or
may require that the manufacturer or remanufacturer modify the
instructions.
(d) Any revision to the maintenance instructions which will affect
emissions shall be supplied to the Administrator at least 30 days
before being supplied to the ultimate purchaser or owner unless the
Administrator consents to a lesser period of time, and is subject to
the provisions of Sec. 92.210.
Sec. 92.212 Labeling.
(a) General requirements. Each new locomotive and new locomotive
engine, subject to the emission standards of this part and covered by a
certificate of conformity under Sec. 92.208, shall be labeled by the
manufacturer or remanufacturer in the manner described in this section
at the time of manufacture or remanufacture.
(b) Locomotive labels. (1) Locomotive labels meeting the
specifications of paragraph (b)(2) of this section shall be applied by:
(i) The manufacturer at the point of original manufacture; and
(ii) The remanufacturer at the point of original remanufacture; and
(iii) Any remanufacturer certifying a locomotive or locomotive
engine to an FEL different from the last FEL or standard to which the
locomotive was previously certified.
(2)(i) Locomotive labels shall be permanent and legible and shall
be affixed to the locomotive in a position in which it will remain
readily visible.
(ii) The label shall be attached to a locomotive part necessary for
normal operation and not normally requiring replacement during the
service life of the locomotive.
(iii) The label shall be affixed by the manufacturer or
remanufacturer, in such manner that it cannot be removed without
destroying or defacing the label. The label shall not be affixed to any
equipment which is easily detached from such locomotive.
(iv) The label may be made up of more than one piece, provided that
all pieces are permanently attached to the same locomotive part.
(v) The label shall contain the following information lettered in
the English language in block letters and numerals, which shall be of a
color that contrasts with the background of the label:
(A) The label heading: Original Locomotive Emission Control
Information.
(B) Full corporate name and trademark of the manufacturer or
remanufacturer.
(C) Engine family and configuration identification.
(D) A prominent unconditional statement of compliance with U.S.
Environmental Protection Agency regulations which apply to locomotives
and locomotive engines, as applicable:
(1) This locomotive conforms to U.S. EPA regulations applicable to
locomotives originally manufactured prior to January 1, 2002; or
(2) This locomotive conforms to U.S. EPA regulations applicable to
locomotives originally manufactured on or after January 1, 2002, but
before January 1, 2005; or
(3) This locomotive conforms to U.S. EPA regulations applicable to
locomotives originally manufactured on or after January 1, 2005.
(E) Date of locomotive original manufacture.
(F) The useful life of the locomotive.
(G) The standards and/or FELS to which the locomotive was
certified.
(c) Engine labels. (1) Engine labels meeting the specifications of
paragraph (c)(2) of this section shall be applied by:
(i) Every manufacturer at the point of original manufacture; and
(ii) Every remanufacturer at the point of remanufacture.
(2)(i) Engine labels shall be permanent and legible and shall be
affixed to the engine in a position in which it will be readily visible
after installation of the engine in the locomotive.
(ii) The label shall be attached to an engine part necessary for
normal operation and not normally requiring replacement during the
useful life of the locomotive.
(iii) The label shall be affixed by the manufacturer or
remanufacturer, in such manner that it cannot be removed without
destroying or defacing the label. The label shall not be affixed to any
equipment which is easily detached from such engine.
(iv) The label may be made up of more than one piece, provided that
all pieces are permanently attached to the same engine part.
(v) The label shall contain the following information lettered in
the English language in block letters and numerals, which shall be of a
color that contrasts with the background of the label:
(A) The label heading: Locomotive Emission Control Information.
(B) Full corporate name and trademark of the manufacturer or
remanufacturer.
(C) Engine family and configuration identification.
[[Page 19051]]
(D) A prominent unconditional statement of compliance with U.S.
Environmental Protection Agency regulations which apply to locomotives
and locomotive engines, as applicable:
(1) This locomotive and locomotive engine conform to U.S. EPA
regulations applicable to locomotives and locomotive engines originally
manufactured prior to January 1, 2002; or
(2) This locomotive and locomotive engine conform to U.S. EPA
regulations applicable to locomotives and locomotive engines originally
manufactured on or after January 1, 2002, and remanufactured after
January 1, 2005; or
(3) This locomotive and locomotive engine conform to U.S. EPA
regulations applicable to locomotives and locomotive engines originally
manufactured on or after January 1, 2005.
(E) The useful life of the locomotive or locomotive engine.
(F) The standards and/or FELS to which the locomotive or locomotive
engine was certified.
(G) Engine tune-up specifications and adjustments, as recommended
by the manufacturer or remanufacturer, in accordance with the
applicable emission standards, including but not limited to idle
speed(s), injection timing or ignition timing (as applicable), valve
lash (as applicable), as well as other parameters deemed necessary by
the manufacturer or remanufacturer.
(d) The provisions of this section shall not prevent a manufacturer
or remanufacturer from also providing on the label any other
information that such manufacturer or remanufacturer deems necessary
for, or useful to, the proper operation and satisfactory maintenance of
the locomotive or engine.
Sec. 92.213 Submission of locomotive and engine identification
numbers.
(a) Upon request of the Administrator, the manufacturer or
remanufacturer of any locomotive or locomotive engine covered by a
certificate of conformity shall, within 30 days of receipt of such
request, identify by locomotive and/or engine identification number,
the locomotives or engines covered by the certificate of conformity.
(b) The manufacturer or remanufacturer of any locomotives or
locomotive engines covered by a certificate of conformity shall provide
to the Administrator, within 60 days of the issuance of a certificate
of conformity, an explanation of the elements in any locomotive or
engine identification coding system in sufficient detail to enable the
Administrator to identify those locomotives or engines which are
covered by a certificate of conformity.
Sec. 92.214 Production locomotives and engines.
Any manufacturer or remanufacturer obtaining certification under
this part shall supply to the Administrator, upon his/her request, a
reasonable number of production locomotives or locomotive engines, as
specified by the Administrator. The maximum number of locomotives or
locomotive engines that may be supplied to the Administrator is five
per model year. The locomotives or locomotive engines shall be
representative of the engines, emission control systems, and fuel
systems offered and typical of production locomotives or engines
available for sale, or use by railroads, under the certificate. These
locomotives or engines shall be supplied for testing at such time and
place and for such reasonable periods as the Administrator may require.
Sec. 92.215 Maintenance of records; submittal of information; right of
entry.
(a) Any manufacturer or remanufacturer subject to any of the
standards or procedures prescribed in this subpart shall establish,
maintain and retain the following adequately organized and indexed
records:
(1) General records. The records required to be maintained by this
paragraph (a) shall consist of:
(i) Identification and description of all certification locomotives
or certification locomotive engines for which testing is required under
this subpart.
(ii) A description of all emission control systems which are
installed on or incorporated in each certification locomotive or
certification locomotive engine.
(iii) A description of all procedures used to test each such
certification locomotive or certification locomotive engine.
(iv) A copy of all applications for certification, filed with the
Administrator.
(2) Individual records. (i) A brief history of each locomotive or
locomotive engine used for certification under this subpart including:
(A) In the case where a current production engine is modified for
use as a certification engine or in a certification locomotive, a
description of the process by which the engine was selected and of the
modifications made. In the case where the certification locomotive or
the engine for a certification locomotive is not derived from a current
production engine, a general description of the buildup of the engine
(e.g., whether experimental heads were cast and machined according to
supplied drawings). In the cases in the previous two sentences, a
description of the origin and selection process for fuel system
components (carburetor, fuel injection components), ignition system
components, intake air pressurization and cooling system components,
cylinders, pistons and piston rings, exhaust smoke control system
components, and exhaust aftertreatment devices as applicable, shall be
included. The required descriptions shall specify the steps taken to
assure that the certification locomotive or certification locomotive
engine, with respect to its engine, drivetrain, fuel system, emission
control system components, exhaust aftertreatment devices, exhaust
smoke control system components or any other devices or components as
applicable, that can reasonably be expected to influence exhaust
emissions will be representative of production locomotives or
locomotive engines and that either: all components and/or locomotive or
engine, construction processes, component inspection and selection
techniques, and assembly techniques employed in constructing such
locomotives or engines are reasonably likely to be implemented for
production locomotives or engines; or that they are as close as
practicable to planned construction and assembly processed.
(B) A complete record of all emission tests performed (except tests
performed by EPA directly), including test results, the date and
purpose of each test, and the number of miles or megawatt-hours
accumulated on the locomotive or the number of megawatt-hours
accumulated on the engine.
(C) A record and description of all maintenance and other servicing
performed, giving the date of the maintenance or service and the reason
for it.
(D) A record and description of each test performed to diagnose
engine or emission control system performance, giving the date and time
of the test and the reason for it.
(E) A brief description of any significant events affecting the
locomotive or engine during the period covered by the history and not
described by an entry under one of the previous headings, including
such extraordinary events as locomotive accidents or accidents
involving the engine or dynamometer runaway.
(ii) Each such history shall be started on the date that the first
of any of the selection or buildup activities in
[[Page 19052]]
paragraph (a)(2)(i)(A) of this section occurred with respect to the
certification locomotive or engine and shall be kept in a designated
location.
(3) All records, other than routine emission test records, required
to be maintained under this subpart shall be retained by the
manufacturer or remanufacturer for a period of 8 years after issuance
of all certificates of conformity to which they relate. Routine
emission test records shall be retained by the manufacturer or
remanufacturer for a period of one (1) year after issuance of all
certificates of conformity to which they relate. Records may be
retained as hard copy or reduced to computer disks, etc., depending on
the record retention procedures of the manufacturer or remanufacturer:
Provided, that in every case all the information contained in the hard
copy shall be retained.
(4) Nothing in this section limits the Administrator's discretion
in requiring the manufacturer or remanufacturer to retain additional
records or submit information not specifically required by this
section.
(5) Pursuant to a request made by the Administrator, the
manufacturer or remanufacturer shall submit to him/her the information
that is required to be retained.
(6) EPA may void a certificate of conformity ab initio for a
locomotive or engine family for which the manufacturer or
remanufacturer fails to retain the records required in this section or
to provide such information to the Administrator upon request.
(b) The manufacturer or remanufacturer of any locomotive or
locomotive engine subject to any of the standards prescribed in this
subpart shall submit to the Administrator, at the time of issuance by
the manufacturer or remanufacturer, copies of all instructions or
explanations regarding the use, repair, adjustment, maintenance, or
testing of such locomotive or engine, relevant to the control of
crankcase, or exhaust emissions issued by the manufacturer or
remanufacturer, for use by other manufacturers or remanufacturers,
assembly plants, distributors, dealers, owners and operators. Any
material not translated into the English language need not be submitted
unless specifically requested by the Administrator.
(c) Any manufacturer or remanufacturer participating in averaging,
banking and trading program of subpart D of this part must comply with
the maintenance of records requirements of Sec. 92.308.
(d)(1) Any manufacturer or remanufacturer who has applied for
certification of a new locomotive or new locomotive engine subject to
certification test under this subpart shall admit or cause to be
admitted any EPA Enforcement Officer during operating hours on
presentation of credentials to any of the following:
(i) Any facility where any such tests or any procedures or
activities connected with such test are or were performed;
(ii) Any facility where any locomotive or locomotive engine which
is being tested (or was tested, or is to be tested) is present;
(iii) Any facility where any construction process or assembly
process used in the modification or buildup of such a locomotive or
engine into a certification locomotive or certification engine is
taking place or has taken place; or
(iv) Any facility where any record or other document relating to
any of the above is located.
(2) Upon admission to any facility referred to in paragraph (d)(1)
of this section, any EPA Enforcement Officer shall be allowed:
(i) To inspect and monitor any part or aspect of such procedures,
activities and testing facilities including, but not limited to,
monitoring locomotive or engine preconditioning, emissions tests,
mileage (or service) accumulation, maintenance, and locomotive or
engine storage procedures, and to verify correlation or calibration of
test equipment;
(ii) To inspect and make copies of any such records, designs, or
other documents, including those records specified in Subpart D of this
part; and
(iii) To inspect and/or photograph any part or aspect of any such
certification locomotive, or certification locomotive engine and any
components to be used in the construction thereof.
(3) In order to allow the Administrator to determine whether or not
production locomotives, or production locomotive engines, conform to
the conditions upon which a certificate of conformity has been issued,
or conform in all material respects to the design specifications
applicable to those locomotives, or engines, as described in the
application for certification for which a certificate of conformity has
been issued, any manufacturer or remanufacturer shall admit any EPA
Enforcement Officer on presentation of credentials to:
(i) Any facility where any document, design or procedure relating
to the translation of the design and construction of engines and
emission related components described in the application for
certification or used for certification testing into production
locomotives or production engines is located or carried on;
(ii) Any facility where any locomotives or locomotive engines, to
be introduced into commerce are manufactured or remanufactured; and
(iii) Any facility where records specified this section are
located.
(4) On admission to any such facility referred to in paragraph
(d)(3) of this section, any EPA Enforcement Officer shall be allowed:
(i) To inspect and monitor any aspects of such manufacture or
remanufacture and other procedures;
(ii) To inspect and make copies of any such records, documents or
designs;
(iii) To inspect and photograph any part or aspect of any such
locomotive(s) or locomotive engine(s) and any component used in the
assembly thereof that are reasonably related to the purpose of his/her
entry; and
(iv) To inspect and make copies of any records and documents
specified this section.
(5) Any EPA Enforcement Officer shall be furnished by those in
charge of a facility being inspected with such reasonable assistance as
he/she may request to help him/her discharge any function listed in
this part. Each applicant for or recipient of certification is required
to cause those in charge of a facility operated for its benefit to
furnish such reasonable assistance without charge to EPA whether or not
the applicant controls the facility.
(6) The duty to admit or cause to be admitted any EPA Enforcement
Officer applies to any facility involved in the manufacturing or
assembling of locomotives, remanufacturing systems, or locomotive
engines, or the installation of locomotive engines or remanufacturing
systems, whether or not the manufacturer or remanufactuer owns or
controls the facility in question and applies both to domestic and to
foreign manufacturers or remanufacturers and facilities. EPA will not
attempt to make any inspections which it has been informed that local
law forbids. However, if local law makes it impossible to do what is
necessary to insure the accuracy of data generated at a facility, no
informed judgment that a locomotive or locomotive engine is certifiable
or is covered by a certificate can properly be based on those data. It
is the responsibility of the manufacturer or remanufacturer to locate
its testing and manufacturing and/or remanufacturing facilities in
jurisdictions where this situation will not arise.
(7) For purposes of this section:
[[Page 19053]]
(i) ``Presentation of credentials'' shall mean display of the
document designating a person as an EPA Enforcement Officer.
(ii) Where locomotive, component or engine storage areas or
facilities are concerned, ``operating hours'' shall mean all times
during which personnel other than custodial personnel are at work in
the vicinity of the area or facility and have access to it.
(iii) Where facilities or areas other than those covered by
paragraph (d)(7)(ii) of this section are concerned, ``operating hours''
shall mean all times during which an assembly line is in operation or
all times during which testing, maintenance, mileage (or service)
accumulation, production or compilation of records, or any other
procedure or activity related to certification testing, to translation
of designs from the test stage to the production stage, or to
locomotive (or engine) manufacture, remanufacture, or assembly is being
carried out in a facility.
(iv) ``Reasonable assistance'' includes, but is not limited to,
clerical, copying, interpretation and translation services, the making
available on request of personnel of the facility being inspected
during their working hours to inform the EPA Enforcement Officer of how
the facility operates and to answer his questions, and the performance
on request of emissions tests on any locomotive (or engine) which is
being, has been, or will be used for certification testing. Such tests
shall be nondestructive, but may require appropriate mileage (or
service) accumulation. A manufacturer or remanufacturer may be
compelled to cause the personal appearance of any employee at such a
facility before an EPA Enforcement Officer by written request for his
appearance, signed by the Assistant Administrator for Air and Radiation
or the Assistant Administrator for Enforcement and Compliance
Assurance, served on the manufacturer or remanufacturer. Any such
employee who has been instructed by the manufacturer or remanufacturer
to appear will be entitled to be accompanied, represented and advised
by counsel.
(v) Any entry without 24 hour prior written or oral notification to
the affected manufacturer or remanufacturer shall be authorized in
writing by the Assistant Administrator for Air and Radiation or the
Assistant Administrator for Enforcement and Compliance Assurance.
(8) EPA may void a certificate of conformity ab initio for
locomotives or locomotive engines introduced into commerce if the
manufacturer or remanufacturer (or contractor for the manufacturer or
remanufacturer, if applicable) fails to comply with any provision of
this section.
Sec. 92.216 Hearing procedures.
(a)(1) After granting a request for a hearing under Sec. 92.210 or
Sec. 92.208, the Administrator shall designate a Presiding Officer for
the hearing.
(2) The General Counsel will represent the Environmental Protection
Agency in any hearing under this section.
(3) The hearing shall be held as soon as practicable at a time and
place fixed by the Administrator or by the Presiding Officer.
(4) In the case of any hearing requested pursuant to Sec. 92.208,
the Administrator may in his/her discretion direct that all argument
and presentation of evidence be concluded within such fixed period not
less than 30 days as he/she may establish from the date that the first
written offer of a hearing is made to the manufacturer. To expedite
proceedings, the Administrator may direct that the decision of the
Presiding Officer (who may, but need not be, the Administrator) shall
be the final EPA decision.
(b)(1) Upon his/her appointment pursuant to paragraph (a) of this
section, the Presiding Officer will establish a hearing file. The file
shall consist of the notice issued by the Administrator under
Sec. 92.210 or Sec. 92.208 together with any accompanying material, the
request for a hearing and the supporting data submitted therewith, and
all documents relating to the request for certification and all
documents submitted therewith, and correspondence and other data
material to the hearing.
(2) The hearing file will be available for inspection by the
applicant at the office of the Presiding Officer.
(c) An applicant may appear in person, or may be represented by
counsel or by any other duly authorized representative.
(d)(1) The Presiding Officer, upon the request of any party, or in
his/her discretion, may arrange for a prehearing conference at a time
and place specified by him/her to consider the following:
(i) Simplification of the issues;
(ii) Stipulations, admissions of fact, and the introduction of
documents;
(iii) Limitation of the number of expert witnesses;
(iv) Possibility of agreement disposing of all or any of the issues
in dispute;
(v) Such other matters as may aid in the disposition of the
hearing, including such additional tests as may be agreed upon by the
parties.
(2) The results of the conference shall be reduced to writing by
the Presiding Officer and made part of the record.
(e)(1) Hearings shall be conducted by the Presiding Officer in an
informal but orderly and expeditious manner. The parties may offer oral
or written evidence, subject to the exclusion by the Presiding Officer
of irrelevant, immaterial and repetitious evidence.
(2) Witnesses will not be required to testify under oath. However,
the Presiding Officer shall call to the attention of witnesses that
their statements may be subject to the provisions of 18 U.S.C. 1001
which imposes penalties for knowingly making false statements or
representations, or using false documents in any matter within the
jurisdiction of any department or agency of the United States.
(3) Any witness may be examined or cross-examined by the Presiding
Officer, the parties, or their representatives.
(4) Hearings shall be reported verbatim. Copies of transcripts of
proceedings may be purchased by the applicant from the reporter.
(5) All written statements, charts, tabulations, and similar data
offered in evidence at the hearings shall, upon a showing satisfactory
to the Presiding Officer of their authenticity, relevancy, and
materiality, be received in evidence and shall constitute a part of the
record.
(6) Oral argument may be permitted in the discretion of the
Presiding Officer and shall be reported as part of the record unless
otherwise ordered by him/her.
(f)(1) The Presiding Officer shall make an initial decision which
shall include written findings and conclusions and the reasons or basis
therefor on all the material issues of fact, law, or discretion
presented on the record. The findings, conclusions, and written
decision shall be provided to the parties and made a part of the
record. The initial decision shall become the decision of the
Administrator without further proceedings unless there is an appeal to
the Administrator or motion for review by the Administrator within 30
days of the date the initial decision was filed.
(2) On appeal from or review of the initial decision the
Administrator shall have all the powers which he/she would have in
making the initial decision including the discretion to require or
allow briefs, oral argument, the taking of additional evidence or the
remanding to the Presiding Officer for additional proceedings. The
decision by the Administrator shall include written findings and
conclusions and the reasons or basis therefor on all the material
issues of fact, law, or discretion
[[Page 19054]]
presented on the appeal or considered in the review.
Subpart D--Certification Averaging, Banking, and Trading Provisions
Sec. 92.301 Applicability.
Locomotive engine families subject to the provisions of subpart A
of this part are eligible to participate in the certification
averaging, banking, and trading program described in this subpart. The
provisions of this subpart apply to manufacturers and remanufacturers
of new locomotives and new locomotive engines manufactured or
remanufactured in the 1999 model year or later.
Sec. 92.302 Definitions.
The definitions of subpart A of this part apply to this subpart.
The following definitions also apply.
Applicable standard means a standard that would have otherwise been
applicable had the locomotive or locomotive engine not been certified
under this subpart to an FEL different than that standard.
Broker means any entity that facilitates a trade between a buyer
and seller.
Buyer means the entity that receives credits as a result of trade
or transfer.
Reserved credits means credits that have been generated but have
not yet been reviewed by EPA or used to demonstrate compliance under
the averaging provisions of this subpart.
Seller means the entity that provides credits during a trade or
transfer.
Transfer means to convey control of credits generated from 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 or
remanufacturer at the time of manufacture or remanufacture.
Sec. 92.303 General provisions.
(a) Participation in the averaging, banking and trading program is
voluntary. A manufacturer or remanufacturer may choose to involve some
or all of its families in any or all aspects of the program.
(b) An engine family is eligible to participate in the
certification averaging, banking, and trading program for
NOX and PM emissions if it is subject to regulation under
this part with certain exceptions specified in paragraph (c) of this
section. No averaging, banking and trading program is available for
meeting the HC, CO, or smoke emission standards of this part.
(c) Locomotives and locomotive engines may not participate in the
certification averaging, banking, and trading program if they are
exported. Only locomotive and locomotive engines certified under this
part are eligible for inclusion in this certification averaging,
banking, and trading program.
(d) Averaging involves the generation of credits by a manufacturer
or remanufacturer for use by that same manufacturer or remanufacturer
in the same calendar year. A manufacturer or remanufacturer may use
averaging during certification to offset an emission exceedance of an
engine family caused by an FEL above the applicable emission standard,
subject to the provisions of this subpart.
(e) Banking involves the generation of credits by a manufacturer or
remanufacturer in a given calendar year for use in a subsequent model
year. A manufacturer or remanufacturer may bank actual credits only
after the end of the calendar year and after EPA has reviewed the
manufacturer's or remanufacturer's end-of-year reports. During the
calendar year and before submittal of the end-of-year report, credits
originally designated in the certification process for banking will be
considered reserved and may be redesignated for trading or averaging in
the end-of-year report. Credits declared for banking from the previous
calendar year that have not been reviewed by EPA may be used in
averaging or trading transactions. However, such credits may be revoked
at a later time following EPA review of the end-of-year report or any
subsequent audit actions.
(f) Trading involves the sale of banked credits for use in
certification of new locomotives and new locomotive engines under this
part. Only banked credits may be traded; reserved credits may not be
traded.
(g) Credit transfer involves the conveying of control over credits,
as defined in Sec. 92.302. Transferred credits can be used in averaging
or in subsequent transfers. Transferred credits may also be reserved
for later banking. Transferred credits may not be traded unless they
have been previously banked.
Sec. 92.304 Compliance requirements.
(a) Manufacturers or remanufacturers wishing to participate in
certification averaging, banking and trading programs shall select a
FEL for each engine family they wish to include. The level of the FEL
shall be selected by the manufacturer or remanufacturer, subject to the
upper limits described in paragraph (k) of this section. An engine
family certified to an FEL is subject to all provisions specified in
this part, except that the applicable FEL replaces the applicable
NOX and PM emission standard for the family participating in
the averaging, banking, and trading program.
(b) A manufacturer or remanufacturer may certify one or more engine
families at FELs above or below the applicable emission standard,
provided the summation of the manufacturer's or remanufacturer's
projected balance of all credit transactions in a given calendar year
is greater than or equal to zero, as calculated for each family under
Sec. 92.305 and reported under Sec. 92.309.
(c) Manufacturers and remanufacturers certifying engine families
with FELs exceeding the applicable emission standard shall obtain
emission credits in amounts sufficient to address the shortfall.
Credits may be obtained from averaging, banking, trading or transfer,
subject to the restrictions described in this subpart.
(d) Manufacturers and remanufacturers certifying engine families
with FELs below the applicable emission standard may generate emission
credits to average, bank, trade, or transfer, or a combination thereof.
(e) Credits may only be used for certification; they may not be
used to remedy a violation of the FEL determined by production line or
in-use testing. Credits may be used to allow subsequent production of
engines for an engine family failing production line testing if the
manufacturer elects to recertify to a higher FEL
(f) If an FEL is changed after initial certification in any given
model year, the manufacturer/remanufacturer must conduct production
line testing to verify that the emission levels are achieved.
(g) Manufacturers and remanufacturers participating in the
averaging, banking and trading program must demonstrate compliance with
the applicable emission standards at the end of the model year.
Manufacturers and remanufacturers that have certified engine families
to FELs above the applicable emission standards and do not have
sufficient emission credits to offset the difference between the
emission standard and the FEL for such engine family(ies) will be in
violation of the conditions of the certificate of conformity for such
engine family(ies). The certificates of conformity may be voided ab
initio for those engine families.
(h) In the event of a negative credit balance resulting from a
credit trade or transfer, both the buyer(s) and the seller(s) are
liable, except in cases
[[Page 19055]]
involving fraud. Certificates of all engine families participating in a
negative trade may be voided ab initio.
(1) Where a buyer of credits is not responsible for causing the
negative credit balance, it is only liable to supply additional credits
equivalent to any amount of invalid credits that it used.
(2) Credit holders responsible for the credit shortfall may be
subject to the requirements of Sec. 92.309(g)(3).
(i) Averaging sets. This subpart includes separate programs for
compliance with each type of cycle-weighted standards in Sec. 92.8
(i.e., line-haul and switch). Credits generated over the line-haul
duty-cycle may not be used for compliance with the switch duty-cycle,
and credits generated over the switch duty-cycle may not be used for
compliance with the line-haul duty-cycle.
(j) Cross tier credit exchanges. Cross tier credit exchanges for
NOX and PM emission credits may be exchanged between and
among Tier 0, Tier 1, and Tier 2 engine families with the following
exceptions:
(1) For 2005 and 2006 model year freshly manufactured locomotives,
manufacturers may use PM credits for all of their freshly manufactured
engine families. Manufacturers may use NOX credits only for
engine families that are projected to represent 75 percent or less of
their total projected annual production of freshly manufactured
locomotives. The remainder must comply with the Tier 2 NOX
emission standards without the use of credits.
(2) For 2007 and later model year freshly manufactured locomotives,
manufacturers may use PM credits for all of their freshly manufactured
engine families. Manufacturers may use NOX credits only for
engine families that are projected to represent 50 percent or less of
their total projected annual production of freshly manufactured
locomotives. The remainder must comply with the Tier 2 NOX
emission standards without the use of credits.
(3) Credits generated from remanufactured locomotives prior to
January 1, 2002 and which are banked may only be used for compliance
with the Tier 1 or later emission standards.
(k) Upper limits. The FELs for NOX and PM for new
locomotives and new locomotive engines certified to the Tier 1 and Tier
2 standards may not exceed the following values:
(1) Tier 1: the Tier 0 standards.
(2) Tier 2: the Tier 1 standards, except as noted in paragraph (j)
of this section.
(l) Credit life shall be unlimited.
(m) Credits may be generated by any certifying manufacturer or
remanufacturer and may be held by any of the following entities:
(1) Locomotive or locomotive engine manufacturers;
(2) Locomotive or locomotive engine remanufacturers;
(3) Locomotive or locomotive engine owners;
(4) Locomotive or locomotive engine operators; or
(5) Other entities after notification to EPA.
(n)(1) All locomotives that are certified to an FEL that is
different from the emission standard that would otherwise apply to the
locomotive or locomotive engine are required to comply with that FEL
for the remainder of their service lives, except as allowed by
Sec. 92.9(a)(4)(iii) and this subpart.
(2) Manufacturers shall notify the purchaser of any locomotive
engine that is certified to an FEL that is different from the emission
standard that would otherwise apply that the locomotive or locomotive
engine is required to comply with that FEL for the remainder of its
service life.
(3) Remanufacturers shall 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.
Sec. 92.305 Credit generation and use calculation.
(a) For each participating engine family, NOX and PM
emission credits (positive or negative) are to be calculated according
to the following equation and rounded in accordance with ASTM E29-93a,
to the nearest Megagram (Mg). Consistent units are to be used
throughout the calculation.
(1) When useful life is expressed in terms of megawatt-hrs:
Credits for each engine family are calculated as: Emission
credits=(Std - FEL) x (UL) x (Production) x (Fp) x (10-3
kW-Mg/MW-g).
(2) Where:
(i) Std=the applicable locomotive and locomotive engine
NOX and/or PM emission standard in grams per kilowatt-hour
(exceptions: Std=0.43 g/kW-hr, for Tier 0 and Tier 1 PM line-haul
credits; Std=0.59 g/kW-hr, for Tier 0 and Tier 1 PM switch credits; and
Std=previous FEL in g/kW-hr, for locomotives that were certified to an
FEL other than the standard during the previous useful life).
(ii) FEL=the family emission limit for the engine family in grams
per kilowatt-hour. For Tier 1 and Tier 2 engine families, the FEL may
not exceed the limit established in Sec. 92.304(k) for each pollutant.
(iii) UL=the sales weighted average useful life in megawatt-hours,
based on the sales weighted average horsepower of the engine family (or
the subset of the engine family for which credits are being
calculated), as specified in the application for certification.
(iv) Production=the number of locomotives or locomotive engines
participating in the averaging, banking, and trading program within the
given engine family during the calendar year (or the number of
locomotives or locomotive engines 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.
(v) Fp=the proration factor as determined in paragraph
(c) of this section.
(b) When useful life is expressed in terms of miles or years, the
useful life in terms of megawatt hours (UL) shall be calculated by
dividing the useful life in miles by 100,000, and multiplying by the
sales weighted average horsepower of the engine family. Credits are
calculated using this UL value in the equations of paragraph (a) of
this section.
(c) The proration factor is an estimate of the fraction of a
locomotive's service life that remains as a function of age.
(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 ages 1 through 32 are specified in
Table D305-1 of this section. For locomotives or locomotive engines
more than 32 years old, the proration factor for 32 year old
locomotives shall be used.
(3) For replacement or repower engines, the proration factor is
based on the age of the locomotive chassis, not the age of the engine.
Table to Sec. 92.305
Table D305-1.--Proration Factor
------------------------------------------------------------------------
Age Fp Age Fp
------------------------------------------------------------------------
1............................................ 0.964 17 0.452
2............................................ 0.929 18 0.429
3............................................ 0.893 19 0.405
4............................................ 0.857 20 0.381
5............................................ 0.821 21 0.357
6............................................ 0.786 22 0.333
7............................................ 0.750 23 0.310
8............................................ 0.714 24 0.286
[[Page 19056]]
9............................................ 0.679 25 0.268
10........................................... 0.643 26 0.250
11........................................... 0.607 27 0.232
12........................................... 0.571 28 0.214
13........................................... 0.548 29 0.196
14........................................... 0.524 30 0.179
15........................................... 0.500 31 0.161
16........................................... 0.476 32 0.143
------------------------------------------------------------------------
Sec. 92.306 Certification.
(a) In the application for certification a manufacturer or
remanufacturer must:
(1) Declare its intent to include specific engine families in the
averaging, banking, and/or trading programs. Separate declarations are
required for each program (line-haul and switch) and for each pollutant
(NOX and PM).
(2) Declare duty-cycle FELs for each engine family participating in
certification averaging, banking, and/or trading.
(i) The FELs must be to the same number of significant digits as
the emission standard.
(ii) In no case may the FEL exceed the upper limit prescribed in
Sec. 92.304(k).
(3) Conduct and submit detailed calculations of projected emission
credits (positive or negative) based on quarterly production
projections for each participating family and for each pollutant, using
the applicable equation in Sec. 92.305 and the applicable values of the
terms in the equation for the specific family.
(i) If the engine family is projected to have negative emission
credits, state specifically the source (manufacturer/engine family,
remanufacturer/engine family, or transfer) of the credits necessary to
offset the credit deficit according to quarterly projected production.
(ii) If the engine family is projected to generate credits, state
specifically where the quarterly projected credits will be applied
(manufacturer/engine family or remanufacturer/engine family, reserved
or transfer).
(4) Submit a statement that the locomotives or locomotive engines
for which certification is requested will not, to the best of the
manufacturer's or remanufacturer's belief, cause the manufacturer or
remanufacturer to have a negative credit balance when all credits are
calculated for all the manufacturer's or remanufacturer's engine
families participating in the averaging, banking, and trading program.
(b) Based on this information, each manufacturer's certification
application must demonstrate:
(1) That at the end of model year production, each engine family
has a net emissions balance equal to or greater than zero for any
pollutant and program for which participation in certification under
averaging, banking, and/or trading is being sought. The equation in
section Sec. 92.305 shall be used in this calculation for each engine
family.
(2) That the manufacturer or remanufacturer will obtain sufficient
credits to be used to comply with the emission standard for any engine
family with an FEL that exceeds the applicable emission standard, or
where credits will be applied if the FEL is less than the emission
standard. In cases where credits are being obtained, for each engine
family involved the manufacturer or remanufacturer must identify
specifically the source of the credits being used (manufacturer/engine
family, or remanufacturer/engine family, or transfer). All such reports
shall include all credits involved in certification averaging, banking,
or trading.
(3) In cases where credits are being generated/supplied, each
engine family must indicate specifically the designated use of the
credits involved (manufacturer/remanufacturer and engine family,
reserved or transfer). All such reports shall include all credits
involved in certification averaging, banking, or trading.
(c) Manufacturers and remanufacturers must monitor projected versus
actual production throughout the model year to ensure that compliance
with emission standards is achieved at the end of the model year.
(d) At the end of the model year, the manufacturer or
remanufacturer must provide the end-of-year reports required under
Sec. 92.309.
(1) Projected credits based on the information supplied in the
certification application may be used to obtain a certificate of
conformity. However, any such projected credits must be validated based
on review of the end of model year reports and may be revoked at a
later time based on follow-up audits or any other verification measure
deemed appropriate by the Administrator.
(2) Compliance for engine families using averaging, banking, or
trading will be determined at the end of the model year. Manufacturers
and remanufacturers that have certified engine families with credit
balances for NOX and/or PM that do not equal or exceed zero
shall be in violation of the conditions of the certificate of
conformity for such engine families. The certificate of conformity may
be voided ab initio for those engine families.
(e) Other conditions of certification.
(1) All certificates issued are conditional upon compliance by the
manufacturer or remanufacturer with the provisions of this subpart both
during and after the calendar year of production.
(2) Failure to comply with all provisions of this subpart will be
considered to be a failure to satisfy the conditions upon which the
certificate was issued, and the certificate may be deemed void ab
initio.
(3) The manufacturer or remanufacturer (as applicable) bears the
burden of establishing to the satisfaction of the Administrator that
the conditions upon which the certificate was issued were satisfied or
waived.
Sec. 92.307 Labeling.
For all locomotives and locomotive engines included in the
certification averaging, banking, and trading program, the FEL to which
the locomotive or locomotive engine is certified must be included on
the label required in Sec. 92.212. This label must include the
notification specified in Sec. 92.304(n).
Sec. 92.308 Maintenance of records.
(a) The manufacturer or remanufacturer of any locomotive or
locomotive engine that is certified under the averaging, banking, and
trading program must establish, maintain, and retain the following
adequately organized and indexed records for each such locomotive or
locomotive engine produced:
(1) EPA engine family and configuration;
(2) Engine identification number;
(3) Engine calendar year and build date;
(4) Rated horsepower;
(5) Purchaser and destination or owner; and
(6) Assembly plant.
(b) The manufacturer or remanufacturer of any engine family that is
certified under the averaging, banking, and trading program must
establish, maintain, and retain the following adequately organized and
indexed records for each such family:
(1) Model year and EPA engine family;
(2) Family Emission Limit (FEL);
(3) Rated horsepower for each configuration;
(4) Projected applicable production/sales volume for the calendar
year;
(5) Actual applicable production/sales volume for the calendar
year; and
(6) Useful life.
[[Page 19057]]
(c) Any manufacturer or remanufacturer producing an engine family
participating in trading or transfer of credits must maintain the
following records on a quarterly basis for each engine family in the
trading program:
(1) The model year and engine family;
(2) The actual quarterly and cumulative applicable production/sales
volume;
(3) The values required to calculate credits as given in
Sec. 92.305;
(4) The resulting type and number of credits generated/required;
(5) How and where credit surpluses are dispersed; and
(6) How and through what means credit deficits are met.
(d) The manufacturer or remanufacturer must retain all records
required to be maintained under this section for a period of 8 years
from the due date for the end-of-calendar year report. Records may be
retained as hard copy or reduced to microfilm, ADP diskettes, and so
forth, depending on the manufacturer's or remanufacturer's record
retention procedure; provided, that in every case all information
contained in the hard copy is retained.
(e) Nothing in this section limits the Administrator's discretion
in requiring the manufacturer or remanufacturer to retain additional
records or submit information not specifically required by this
section.
(f) Pursuant to a request made by the Administrator, the
manufacturer or remanufacturer must submit to the Administrator the
information that the manufacturer or remanufacturer is required to
retain.
(g) EPA may void ab initio a certificate of conformity for an
engine family for which the manufacturer or remanufacturer fails to
retain the records required in this section or to provide such
information to the Administrator upon request.
Sec. 92.309 Reports.
(a) Manufacturer or remanufacturers must submit the certification
information as required under Sec. 92.306, and end-of-year reports each
year as part of their participation in certification averaging,
banking, and trading programs. All entities involved in credit trades
or transfers must submit quarterly reports as specified in paragraph
(b) of this section.
(b) Quarterly reports. (1) Those holding or receiving transferred
credits as allowed in Sec. 92.303(m) must submit quarterly reports of
their holdings or receipts when credits are gained or lost.
(2) The reports shall include the source or recipient of the
credits the amount of credits involved plus remaining balances, details
regarding the pollutant, duty-cycle, and model year/Tier as well as the
information prescribed in Sec. 92.308(c). Copies of contracts related
to credit trading or transfer must be included or supplied by the
buyer, seller, and broker, as applicable.
(c) End-of-year reports must include the information prescribed in
Sec. 92.308(b). The report shall include a calculation of credit
balances for each family to show that the summation of the
manufacturer's or remanufacturer's use of credits results in a credit
balance equal to or greater than zero. The report shall be consistent
in detail with the information submitted under Sec. 92.306 and show how
credit surpluses were dispersed and how credit shortfalls were met on a
family specific basis. The end-of-year report shall incorporate any
information reflected in previous quarterly reports.
(d) The applicable production/sales volume for quarterly and end-
of-year reports must be based on the location of either the point of
first retail sale by the manufacturer or remanufacturer or the point at
which the locomotive is placed into service, whichever occurs first.
This is called the final product purchase location.
(e) Each quarterly and end-of-year report submitted shall include a
statement certifying to the accuracy and authenticity of the material
reported therein.
(f) Requirements for submission. (1) Quarterly reports must be
submitted within 90 days of the end of the calendar quarter to: Group
Manager, Engine Compliance Programs Group, Engine Programs and
Compliance Division U.S. Environmental Protection Agency, 6403-J, 401 M
St., SW, Washington, D.C. 20460.
(2) End-of-year reports must be submitted within 120 days of the
end of the calendar year to: Group Manager, Engine Compliance Programs
Group, Engine Programs and Compliance Division, U.S. Environmental
Protection Agency, 6403-J, 401 M St., SW, Washington, D.C. 20460.
(3) Failure by a manufacturer or a remanufacturer participating in
the averaging, banking, or trading program to submit any quarterly or
end-of-year reports in the specified time for all engines is a
violation of sections 203(a)(1) and 213 of the Clean Air Act for each
locomotive or locomotive engine.
(4) A manufacturer or remanufacturer generating credits for banking
only who fails to submit end-of-year reports in the applicable
specified time period (120 days after the end of the calendar year) may
not use or trade the credits until such reports are received and
reviewed by EPA. Use of projected credits pending EPA review is not
permitted in these circumstances.
(g) Reporting errors. (1) Errors discovered by EPA or the
manufacturer or the remanufacturer as applicable in the end-of-year
report, including errors in credit calculation, may be corrected 180-
days subsequent to submission of the end-of-year report. Errors
discovered by EPA after 180-days shall be correctable if, as a result
of the correction, the manufacturer's or remanufacturer's credits are
reduced. Errors in the manufacturer's or remanufacturer's favor are not
corrected if discovered after the 180-day correction period allowed.
(2) If EPA or the manufacturer or remanufacturer determines that a
reporting error occurred on an end of year report previously submitted
to EPA under this section, the manufacturer's or remanufacturer's
credits and credit calculations will be recalculated. Erroneous
positive credits will be void. Erroneous negative credit balances may
be corrected by EPA.
(3) If EPA review of a manufacturer's or remanufacturers end-of-
year report indicates a credit shortfall, the manufacturer or
remanufacturer will be permitted to purchase the necessary credits to
bring the credit balance to zero. These credits must be supplied at the
ratio of 1.1 credits for each 1.0 credit needed. If sufficient credits
are not available to bring the credit balance to zero for the
family(ies) involved, EPA may void the certificate(s) for that
family(ies) ab initio. In addition, all locomotives and locomotive
engines within an engine family for which there are insufficient
credits will be considered to have violated the conditions of the
certificate of conformity and therefore not covered by that
certificate.
(4) If within 180 days of receipt of the manufacturer's or
remanufacturer's end-of-year report, EPA review determines a reporting
error in the manufacturer's or remanufacturer's favor (that is,
resulting in an increased credit balance) or if the manufacturer or
remanufacturer discovers such an error within 180 days of EPA receipt
of the end-of-year report, the credits are restored for use by the
manufacturer or remanufacturer.
Sec. 92.310 Notice of opportunity for hearing.
Any voiding of the certificate under this subpart will be made only
after the manufacturer or remanufacturer concerned has been offered an
opportunity for a hearing conducted in
[[Page 19058]]
accordance with Sec. 92.216 and, if a manufacturer or remanufacturer
requests such a hearing, will be made only after an initial decision by
the Presiding Officer.
Subpart E--Emission-Related Defect Reporting Requirements,
Voluntary Emission Recall Program
Sec. 92.401 Applicability.
The requirements of this subpart are applicable to manufacturers
and remanufacturers of locomotives and locomotive engines subject to
the provisions of subpart A of this part. The requirement to report
emission-related defects affecting a given class or category of
locomotives or locomotive engines applies for eight years from the end
of the year in which such locomotives or locomotive engines were
manufactured, or remanufactured, as applicable.
Sec. 92.402 Definitions.
The definitions of subpart A of this part apply to this subpart.
Sec. 92.403 Emission defect information report.
(a) A manufacturer or remanufacturer must file a defect information
report whenever it determines, in accordance with procedures it
established to identify either safety-related or performance defects,
(or based on other information) that a specific emission-related defect
exists in ten or more locomotives or locomotive engines. No report must
be filed under this paragraph for any emission-related defect corrected
prior to the sale, or reintroduction into service of a remanufactured
locomotive or locomotive engine, of the affected locomotives or
locomotive engines to an ultimate purchaser.
(b) Defect information reports required under paragraph (a) of this
section must be submitted not more than 15 working days after the same
emission-related defect is found to effect 10 or more locomotives or
locomotive engines. Information required by paragraph (c) of this
section that is either not available within 15 working days or is
significantly revised must be submitted as it becomes available.
(c) Except as provided in paragraph (b) of this section, each
defect report must contain the following information in substantially
the format outlined as follows:
(1) The manufacturer's or remanufacturer's corporate name.
(2) A description of the defect.
(3) A description of each class or category of locomotives or
locomotive engines potentially affected by the defect including make,
model, calendar year produced, purchaser (or owner) and any other
information as may be required to identify the locomotives or
locomotive engines affected.
(4) For each class or category of locomotives and locomotive
engines described in response to paragraph (c)(3) of this section, the
following shall also be provided:
(i) The number of locomotives and/or locomotive engines known or
estimated to have the defect and an explanation of the means by which
this number was determined.
(ii) The address of the plant(s) at which the potentially defective
locomotives or locomotive engines were produced.
(5) An evaluation of the emissions impact of the defect and a
description of any operational or performance problems which a
defective locomotive or locomotive engine might exhibit.
(6) Available emissions data which relate to the defect.
(7) An indication of any anticipated follow-up by the manufacturer
or remanufacturer.
Sec. 92.404 Voluntary emissions recall reporting.
(a) When any manufacturer or remanufacturer initiates a voluntary
emissions recall campaign involving a locomotive or locomotive engine,
the manufacturer or remanufacturer shall submit to EPA a report
describing the manufacturer's or remanufacturer's voluntary emissions
recall plan as prescribed by this section within 15 working days of the
date owner notification was begun. The report shall contain the
following:
(1) A description of each class or category of locomotives or
locomotive engines recalled including the number of locomotives or
locomotive engines to be recalled, the calendar year if applicable, the
make, the model, and such other information as may be required to
identify the locomotives or locomotive engines recalled.
(2) A description of the specific modifications, alterations,
repairs, corrections, adjustments, or other changes to be made to
correct the locomotives or locomotive engines affected by the emission-
related defect.
(3) A description of the method by which the manufacturer or
remanufacturer will notify locomotive or locomotive engine owners.
(4) A description of the proper maintenance or use, if any, upon
which the manufacturer or remanufacturer conditions eligibility for
repair under the remedial plan, an explanation of the manufacturer's or
remanufacturer's reasons for imposing any such condition, and a
description of the proof to be required of a locomotive or locomotive-
engine owner to demonstrate compliance with any such condition.
(5) A description of the procedure to be followed by locomotive or
locomotive-engine owners to obtain correction of the nonconformity.
This shall include designation of the date on or after which the owner
can have the nonconformity remedied, the time reasonably necessary to
perform the labor to remedy the defect, and the designation of
facilities at which the defect can be remedied.
(6) If some or all the nonconforming locomotives or locomotive
engines are to be remedied by persons other than authorized warranty
agents of the manufacturer or remanufacturer, a description of the
class of persons other than authorized warranty agents of the
manufacturer or remanufacturer who will remedy the defect.
(7) A copy of any written notification sent to locomotive or
locomotive-engine owners.
(8) A description of the system by which the manufacturer or
remanufacturer will assure that an adequate supply of parts will be
available to perform the repair under the remedial plan including the
date by which an adequate supply of parts will be available to initiate
the repair campaign, the percentage of the total parts requirement of
each person who is to perform the repair under the remedial plan to be
shipped to initiate the campaign, and the method to be used to assure
the supply remains both adequate and responsive to owner demand.
(9) Three copies of all necessary instructions to be sent to those
persons who are to perform the repair under the remedial plan.
(10) A description of the impact of the changes on fuel
consumption, operation or performance, and safety of each class or
category of locomotives or locomotive engines to be recalled.
(11) A sample of any label to be applied to locomotives or
locomotive engines which participate in the voluntary recall campaign.
(b) Unless otherwise specified by the Administrator, the
manufacturer or remanufacturer shall report on the progress of the
recall campaign by submitting subsequent reports for six consecutive
quarters, or until proven that remedial action has been adequately
taken on all affected locomotives or locomotive engines, whichever
occurs first, commencing with the quarter after the voluntary
[[Page 19059]]
emissions recall campaign actually begins. Such reports shall be
submitted no later than 25 working days after the close of each
calendar quarter. For each class or category of locomotive or
locomotive engine subject to the voluntary emissions recall campaign,
the quarterly report shall contain the:
(1) Emission recall campaign number, if any, designated by the
manufacturer or remanufacturer.
(2) Date owner notification was begun, and date completed.
(3) Number of locomotives or locomotive engines involved in the
voluntary emissions recall campaign.
(4) Number of locomotives or locomotive engines known or estimated
to be affected by the emission-related defect and an explanation of the
means by which this number was determined.
(5) Number of locomotives or locomotive engines inspected pursuant
to voluntary emission recall plan.
(6) Number of inspected locomotives or locomotive engines found to
be affected by the emissions-related defect.
(7) Number of locomotives or locomotive engines actually receiving
repair under the remedial plan.
(8) Number of locomotives or locomotive engines determined to be
unavailable for inspection or repair under the remedial plan due to
exportation, scrappage, or for other reasons (specify).
(9) Number of locomotives or locomotive engines determined to be
ineligible for remedial action due to a failure to properly maintain or
use such locomotives or locomotive engines.
(10) Three copies of any service bulletins which relate to the
defect to be corrected and which have not previously been reported.
(11) Three copies of all communications transmitted to locomotive
or locomotive-engine owners which relate to the defect to be corrected
and which have not previously been submitted.
(c) If the manufacturer or remanufacturer determines that any of
the information requested in paragraph (b) of this section has changed
or was incorrect, revised information and an explanatory note shall be
submitted. Answers to paragraphs (b)(5), (6), (7), (8), and (9) of this
section shall be cumulative totals.
(d) The manufacturer or remanufacturer shall maintain in a form
suitable for inspection, such as computer information storage devices
or card files, the names and addresses of locomotive and locomotive-
engine owners:
(1) To whom notification was given;
(2) Who received remedial repair or inspection under the remedial
plan; and
(3) Who were determined not to qualify for such remedial action
when eligibility is conditioned on proper maintenance or use.
(e) The records described in paragraph (d) of this section shall be
made available to the Administrator upon request.
Sec. 92.405 Alternative report formats.
(a) Any manufacturer or remanufacturer may submit a plan for making
either of the reports required by Secs. 92.403 and 92.404 on computer
diskettes, magnetic tape or other machine readable format. The plan
shall be accompanied by sufficient technical detail to allow a
determination that data requirements of these sections will be met and
that the data in such format will be usable by EPA.
(b) Upon approval by the Administrator of the reporting system, the
manufacturer or remanufacturer may use such system until otherwise
notified by the Administrator.
Sec. 92.406 Reports filing: record retention.
(a) The reports required by Secs. 92.403 and 92.404 shall be sent
to: Group Manager, Engine Compliance Programs Group, Engine Programs
and Compliance Division, U.S. Environmental Protection Agency, 6403-J,
401 M St., S.W., Washington, D.C. 20460.
(b) The information gathered by the manufacturer or remanufacturer
to compile the reports required by Secs. 92.403 and 92.404 shall be
retained for not less than 8 years from the date of the manufacture of
the locomotives or locomotive engines and shall be made available to
duly authorized officials of the EPA upon request.
Sec. 92.407 Responsibility under other legal provisions preserved.
The filing of any report under the provisions of this subpart shall
not affect a manufacturer's or a remanufacturer's responsibility to
file reports or applications, obtain approval, or give notice under any
provision of law.
Sec. 92.408 Disclaimer of production warranty applicability.
(a) The act of filing an Emission Defect Information Report
pursuant to Sec. 92.403 is inconclusive as to the existence of a defect
subject to the warranty provided by section 207(a) of the Act.
(b) A manufacturer or remanufacturer may include on each page of
its Emission Defect Information Report a disclaimer stating that the
filing of a Defect Information Report pursuant to these regulations is
not conclusive as to the applicability of the Production Warranty
provided by section 207(a) of the Act.
Subpart F--Manufacturer and Remanufacturer Production Line Testing
and Audit Programs
Sec. 92.501 Applicability.
The requirements of this subpart are applicable to manufacturers
and remanufacturers of locomotives and locomotive engines subject to
the provisions of subpart A of this part, except as follows:
(a) The requirements of Secs. 92.503, 92.505, 92.506, 92.507,
92.508, and 92.510 only apply to manufacturers of freshly manufactured
locomotives or locomotive engines (including those used for
repowering). The Administrator may also apply these requirements to
remanufacturers of any locomotives or locomotive engines for which
there is reason to believe production problems exist that could affect
emissions performance. EPA will notify such remanufacturers when it
makes a determination that production problems may exist that could
affect emissions performance, and the requirements of these sections
shall apply as specified in the notice.
(b) The requirements of Sec. 92.511 only apply to remanufacturers
of locomotives and locomotive engines.
Sec. 92.502 Definitions.
The definitions in subpart A of this part apply to this subpart.
Sec. 92.503 General Requirements.
(a) Manufacturers (and remanufacturers, where applicable) shall
test production line locomotives or locomotive engines using the test
procedures specified in Sec. 92.506. The Administrator may require
manufacturers and remanufacturers to conduct production line testing on
locomotives. If the Administrator determines that locomotive testing is
required, he/she shall notify the manufacturer or remanufacturer, and
shall specify in such notice the time period in which the manufacturer
or remanufacturer shall complete such testing.
(b) Remanufacturers of locomotives and locomotive engines shall
conduct audits pursuant to the requirements of Sec. 92.511 to ensure
that remanufactured locomotives and locomotive engines comply with the
requirements of this part.
[[Page 19060]]
Sec. 92.504 Right of entry and access.
(a) To allow the Administrator to determine whether a manufacturer
or remanufacturer is complying with the provisions of this part, one or
more EPA enforcement officers may enter during operating hours and upon
presentation of credentials any of the following places:
(1) Any facility, including ports of entry, where any locomotive or
locomotive engine is to be introduced into commerce or any emission-
related component is manufactured, remanufactured, assembled, or
stored;
(2) Any facility where any test or audit conducted pursuant to a
manufacturer's or remanufacturer's production line testing or auditing
program or any procedure or activity connected with such test or audit
is or was performed;
(3) Any facility where any test locomotive or locomotive engine is
present; and
(4) Any facility where any record required under Sec. 92.509 or
other document relating to this subpart is located.
(b) Upon admission to any facility referred to in paragraph (a) of
this section, EPA enforcement officers are authorized to perform the
following inspection-related activities:
(1) To inspect and monitor any aspect of locomotive or locomotive
engine manufacture, remanufacture, assembly, storage, testing and other
procedures, and to inspect and monitor the facilities in which these
procedures are conducted;
(2) To inspect and monitor any aspect of locomotive or locomotive
engine test procedures or activities, including test locomotive or
engine selection, preparation and service accumulation, emission test
cycles, and maintenance and verification of test equipment calibration;
(3) To inspect and make copies of any records or documents related
to the assembly, storage, selection, and testing of a locomotive or
locomotive engine; and
(4) To inspect and photograph any part or aspect of any locomotive
or locomotive engine and any component used in the assembly thereof
that is reasonably related to the purpose of the entry.
(c) EPA enforcement officers are authorized to obtain reasonable
assistance without cost from those in charge of a facility to help the
officers perform any function listed in this subpart and they are
authorized to request the manufacturer or remanufacturer to make
arrangements with those in charge of a facility operated for the
manufacturer or remanufacturer's benefit to furnish reasonable
assistance without cost to EPA.
(1) Reasonable assistance includes, but is not limited to,
clerical, copying, interpretation and translation services; the making
available on an EPA enforcement officer's request of personnel of the
facility being inspected during their working hours to inform the EPA
enforcement officer of how the facility operates and to answer the
officer's questions; and the performance on request of emission tests
on any locomotive or engine which is being, has been, or will be used
for production line testing or auditing.
(2) By written request, signed by the Assistant Administrator for
Air and Radiation or the Assistant Administrator for Enforcement and
Compliance Assurance, and served on the manufacturer or remanufacturer,
a manufacturer or remanufacturer may be compelled to cause the personal
appearance of any employee at such a facility before an EPA enforcement
officer. Any such employee who has been instructed by the manufacturer
or remanufacturer to appear will be entitled to be accompanied,
represented, and advised by counsel.
(d) EPA enforcement officers are authorized to seek a warrant or
court order authorizing the EPA enforcement officers to conduct the
activities authorized in this section, as appropriate, to execute the
functions specified in this section. EPA enforcement officers may
proceed ex parte to obtain a warrant or court order whether or not the
EPA enforcement officers first attempted to seek permission from the
manufacturer or remanufacturer or the party in charge of the
facility(ies) in question to conduct the activities authorized in this
section.
(e) A manufacturer or remanufacturer is responsible for locating
its foreign testing, manufacturing, and remanufacturing facilities in
jurisdictions where local law does not prohibit an EPA enforcement
officer(s) from conducting the activities specified in this section.
EPA will not attempt to make any inspections which it has been informed
local foreign law prohibits.
Sec. 92.505 Sample selection for testing.
(a) At the start of each model year, the manufacturer or
remanufacturer will begin to randomly select locomotives or locomotive
engines from each engine family for production line testing at a rate
of one percent. Each locomotive or locomotive engine will be selected
from the end of the production line. Testing shall be performed
throughout the entire model year to the extent possible.
(1) The required sample size for an engine family 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 provided that no engine tested fails to meet applicable
emission standards.
(2) Manufacturers and remanufacturers may elect to test additional
locomotives or locomotive engines. All additional locomotives or
locomotive engines must be tested in accordance with the applicable
test procedures of this part.
(b) The manufacturer or remanufacturer must assemble the test
locomotives or locomotive engines using the same mass production
process that will be used for locomotives or locomotive engines to be
introduced into commerce.
(c) No quality control, testing, or assembly procedures will be
used on any test locomotive or locomotive engine or any portion
thereof, including parts and subassemblies, that have not been or will
not be used during the production and assembly of all other locomotives
or locomotive engines of that family, except with the approval of the
Administrator.
Sec. 92.506 Test procedures.
(a)(1) For locomotives and locomotive engines subject to the
provisions of this subpart, the prescribed test procedures are those
procedures described in subpart B of this part, except as provided in
this section.
(2) The Administrator may, on the basis of a written application by
a manufacturer or remanufacturer, prescribe test procedures other than
those specified in paragraph (a)(1) of this section for any locomotive
or locomotive engine he/she determines is not susceptible to
satisfactory testing using procedures specified in paragraph (a)(1) of
this section.
(3) If test procedures other than those in subpart B were used in
certification of the engine family being tested under this subpart
(other than alternate test procedures necessary for testing of a
development engine instead of a low mileage locomotive or a low hour
engine under Sec. 92.9), the manufacturer or remanufacturer shall use
the test procedures used in certification for production line testing.
(b)(1) The manufacturer or remanufacturer may not adjust, repair,
prepare, modify, or perform any emission test on, any test locomotive
or locomotive engine unless this adjustment, repair, preparation,
[[Page 19061]]
modification and/or test is documented in the manufacturer's or
remanufacturer's locomotive or engine assembly and inspection
procedures and is actually performed by the manufacturer or
remanufacturer or unless this adjustment, repair, preparation,
modification and/or test is required or permitted under this subpart or
is approved in advance by the Administrator.
(2) Any adjustable locomotive or locomotive engine parameter must
be set to values or positions that are within the range recommended to
the ultimate purchaser.
(3) The Administrator may adjust or require to be adjusted any
engine parameter which the Administrator has determined to be subject
to adjustment for certification and production line testing, to any
setting within the specified adjustable range of that parameter, as
determined by the Administrator, prior to the performance of any test.
(c) Service Accumulation/Green Engine factor. The manufacturer or
remanufacturer shall accumulate service on the locomotives and
locomotive engines to be tested equivalent to 300 hours of operation.
In lieu of conducting such service accumulation, the manufacturer or
remanufacturer may establish a Green Engine factor for each regulated
pollutant for each engine family to be used in calculating emissions
test results. The manufacturer or remanufacturer shall obtain the
approval of the Administrator prior to using a Green Engine factor.
(d) The manufacturer or remanufacturer may not perform any
maintenance on test locomotives or locomotive engines after selection
for testing.
(e) If a locomotive or locomotive engine 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, the
locomotive or locomotive engine manufacturer or remanufacturer must
perform the necessary adjustment or repair only after the initial test
of the locomotive or locomotive engine, except where the Administrator
has determined that the test would be impossible to perform or would
permanently damage the locomotive engine.
(f) If a locomotive or locomotive engine cannot complete the
service accumulation, if applicable, or an emission test, because of a
malfunction, the manufacturer or remanufacturer may request that the
Administrator authorize either the repair of that locomotive or
locomotive engine or its deletion from the test sequence.
(g) Retesting. (1) If a locomotive or locomotive engine
manufacturer or remanufacturer determines that any production line
emission test of a locomotive or locomotive engine is invalid, the
locomotive or locomotive engine must be retested in accordance with the
requirements of this subpart. Emission results from all tests must be
reported to EPA, including test results the manufacturer or
remanufacturer determines are invalid. The locomotive or locomotive
engine manufacturer or remanufacturer must also include a detailed
explanation of the reasons for invalidating any test in the quarterly
report required in Sec. 92.508(e). In the event a retest is performed,
a request may be made to the Administrator, within ten days of the end
of the production quarter, for permission to substitute the after-
repair test results for the original test results. The Administrator
will either affirm or deny the request by the locomotive or locomotive
engine manufacturer or remanufacturer within ten working days from
receipt of the request.
Sec. 92.507 Sequence of testing.
If one or more locomotives or locomotive engines fail a production
line test, then the manufacturer or remanufacturer must test two
additional locomotives or locomotive engines from the next fifteen
produced in that engine family, for each locomotive or locomotive
engine that fails.
Sec. 92.508 Calculation and reporting of test results.
(a) Manufacturers and remanufacturers shall calculate initial test
results using the applicable test procedure specified in
Sec. 92.506(a). These results must also include the green engine
factor, if applicable. The manufacturer or remanufacturer shall round
these results, in accordance with ASTM E29-93a (incorporated by
reference at Sec. 92.5), to the number of decimal places contained in
the applicable emission standard expressed to one additional
significant figure.
(b) Final test results shall be calculated by summing the initial
test results derived in paragraph (a) of this section for each test
locomotive or locomotive engine, dividing by the number of tests
conducted on the locomotive or locomotive engine, and rounding in
accordance with ASTM E29-93a (incorporated by reference at Sec. 92.5)
to the same number of decimal places contained in the applicable
standard expressed to one additional significant figure.
(c) Manufacturers and remanufacturers shall calculate the final
test results for each test locomotive or locomotive engine by applying
the appropriate deterioration factors, derived in the certification
process for the engine family, to the final test results, and rounding
in accordance with ASTM E 29-93a (incorporated by reference at
Sec. 92.5) to the same number of decimal places contained in the
applicable standard expressed to one additional significant figure.
(d) If, subsequent to an initial failure of a production line test,
the average of the test results for the failed locomotive or locomotive
engine and the two additional locomotives or locomotive engines 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 the manufacturer or remanufacturer must notify EPA
within 2 working days of such noncompliance.
(e) Within 30 calendar days of the end of each quarter, each
manufacturer or remanufacturer must submit to the Administrator a
report which includes the following information:
(1) The location and description of the manufacturer's or
remanufacturer's emission test facilities which were utilized to
conduct testing 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 tested;
(4) A description of the test locomotives or locomotive engines;
(5) For each test conducted:
(i) A description of the test locomotive or locomotive engine,
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 or locomotive engine prior to testing; and
(E) Description of green engine factor; how it is determined and
how it is applied;
(ii) Location(s) where service accumulation was conducted and
description of accumulation procedure and schedule, if applicable;
(iii) Test number, date, test procedure used, initial test results
before and after rounding, and final test results for all production
line emission tests conducted, whether valid or invalid, and the reason
for invalidation of any test results, if applicable;
[[Page 19062]]
(iv) A complete description of any adjustment, modification,
repair, preparation, maintenance, and testing which was performed on
the test locomotive or locomotive engine, has not been reported
pursuant to any other paragraph of this subpart, and will not be
performed on other production locomotive or locomotive engines;
(v) Any other information the Administrator may request relevant to
the determination whether the new locomotives or locomotive engines
being manufactured or remanufactured by the manufacturer or
remanufacturer do in fact conform with the regulations with respect to
which the certificate of conformity was issued;
(6) For each failed locomotive or locomotive engine as defined in
Sec. 92.510(a), a description of the remedy and test results for all
retests as required by Sec. 92.512(g);
(7) The date of the end of the locomotive or locomotive engine
manufacturer's model year production for each engine family tested; and
(8) The following signed statement and endorsement by an authorized
representative of the manufacturer or remanufacturer:
This report is submitted pursuant to Sections 213 and 208 of the
Clean Air Act. This production line testing program was conducted in
complete conformance with all applicable regulations under 40 CFR
part 92. No emission-related changes to production processes or
quality control procedures for the engine family tested have been
made during this production line testing program that affect
locomotives or locomotive engines from the production line. All data
and information reported herein is, to the best of (Company Name)
knowledge, true and accurate. I am aware of the penalties associated
with violations of the Clean Air Act and the regulations thereunder.
(Authorized Company Representative.)
Sec. 92.509 Maintenance of records; submittal of information.
(a) The manufacturer or remanufacturer for any new locomotive or
locomotive engine subject to any of the provisions of this subpart must
establish, maintain, and retain the following adequately organized and
indexed records:
(1) General records. A description of all equipment used to test
engines in accordance with Sec. 92.503. The equipment requirements in
subpart B of this part apply to tests performed under this subpart.
(2) Individual records. These records pertain to each production
line test or audit conducted pursuant to this subpart and include:
(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 or
locomotive engine 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 or locomotive
engines, 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 or locomotive engine was
shipped from the assembly plant, associated storage facility or port
facility, and the date the locomotive or locomotive engine was received
at the testing facility;
(vi) A complete record of all emission tests or audits performed
pursuant to this subpart (except tests performed directly by EPA),
including all individual worksheets and/or other documentation relating
to each test, or exact copies thereof, in accordance with the record
requirements specified in subpart B of this part;
(vii) A brief description of any significant events during testing
not otherwise described under this paragraph (a)(2) of this section ,
commencing with the test locomotive or locomotive engine selection
process and including such extraordinary events as engine damage during
shipment.
(3) The manufacturer or remanufacturer must establish, maintain and
retain general records, pursuant to paragraph (a)(1) of this section,
for each test cell that can be used to perform emission testing under
this subpart.
(b) The manufacturer or remanufacturer must retain all records
required to be maintained under this subpart for a period of eight (8)
years after completion of all testing. Records may be retained as hard
copy (i.e., on paper) or reduced to microfilm, floppy disk, or some
other method of data storage, depending upon the manufacturer's or
remanufacturer's record retention procedure; provided, that in every
case, all the information contained in the hard copy is retained.
(c) The manufacturer or remanufacturer must, upon request by the
Administrator, submit the following information with regard to
locomotive or locomotive engine production:
(1) Projected production for each configuration within each engine
family for which certification has been requested and/or approved.
(2) Number of locomotives or engines, by configuration and assembly
plant, scheduled for production.
(d) Nothing in this section limits the Administrator's discretion
to require a manufacturer or remanufacturer to establish, maintain,
retain or submit to EPA information not specified by this section.
(e) All reports, submissions, notifications, and requests for
approval made under this subpart must be addressed to: Group Manager,
Engine Compliance Programs Group, Engine Programs and Compliance
Division 6403-J, U.S. Environmental Protection Agency, 401 M Street SW,
Washington, DC 20460.
(f) The manufacturer or remanufacturer must electronically submit
the results of its production line testing or auditing using an EPA
information format.
Sec. 92.510 Compliance with criteria for production line testing.
(a) A failed locomotive or locomotive engine is one whose final
test results pursuant to Sec. 92.508(c), for one or more of the
applicable pollutants, exceed the 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 or locomotive engine and the two
additional locomotives or locomotive engines tested, is greater than
any applicable emission standard or FEL.
Sec. 92.511 Remanufactured locomotives: installation audit
requirements.
(a) Remanufacturers of locomotives or locomotive engines shall
audit the remanufacture of locomotives covered by its certificate(s) of
conformity for proper components, component settings and component
installations on randomly chosen locomotives in an engine family. Such
audits shall be conducted in compliance with the requirements of this
section.
(1) The remanufacturer must ensure that all emission related
components are properly installed on the locomotive or locomotive
engine.
(2) The remanufacturer must ensure that all emission related
components are set to the proper specification as indicated in the
remanufacture instructions.
(3) Remanufacturers are allowed to submit audits performed by the
owners or operators of the locomotives, provided the audits are
performed in accordance with the provisions of this section.
(b)(1) The required initial sample size (i.e., the sample size if
no failures occur)
[[Page 19063]]
for each remanufacturer is five percent of the remanufacturer's annual
sales per model year per installer, with a maximum number of ten per
engine family per installer.
(2) The locomotives audited shall be randomly selected after the
remanufacture is complete. The Administrator may allow the locomotives
to be selected prior to the completion of the remanufacture, where such
preselection would not have the potential to affect the manner in which
the locomotive was remanufactured (e.g., where the installer is not
aware of the selection prior to the completion of the remanufacture).
(c) The remanufactured locomotive or locomotive engine may
accumulate no more than 10,000 miles prior to an audit.
(d) A failed remanufactured locomotive or locomotive engine is one
on which any remanufacture components are found to be improperly
installed, improperly adjusted or incorrectly used.
(e) If a remanufactured locomotive or locomotive engine fails an
audit, then the remanufacturer must audit two additional locomotives or
locomotive engines 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, the remanufacturer determines that the
three locomotives audited are found to have had any improperly
installed, improperly adjusted or incorrectly used components. The
remanufacturer must notify EPA within 2 working days of a determination
of an engine family audit failure.
(g) Within 30 calendar days of the end of each quarter, each
remanufacturer must submit to the Administrator a report which includes
the following information:
(1) The location and description of the remanufacturer's 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 audit locomotive or locomotive engine,
including:
(A) Configuration and engine family identification;
(B) Year, make, build date, and remanufacturer date; and
(C) Engine identification number;
(ii) Any other information the Administrator may request relevant
to the determination whether the new locomotives or locomotive engines
being manufactured or remanufactured by the remanufacturer do in fact
conform with the regulations in this part with respect to which the
certificate of conformity was issued;
(5) For each failed locomotive or locomotive engine as defined in
paragraph (d) of this section, a description of the remedy as required
by Sec. 92.512(g);
(6) The following signed statement and endorsement by an authorized
representative of the remanufacturer:
This report is submitted pursuant to Sections 213 and 208 of the
Clean Air Act. This production line auditing program was conducted
in complete conformance with all applicable regulations under 40 CFR
part 92. No emission-related changes to production processes or
quality control procedures for the engine family audited have been
made during this production line auditing program that affect
locomotives or locomotive engines from the production line. All data
and information reported herein is, to the best of (Company Name)
knowledge, true and accurate. I am aware of the penalties associated
with violations of the Clean Air Act and the regulations thereunder.
(Authorized Company Representative.)
Sec. 92.512 Suspension and revocation of certificates of conformity.
(a)(1) The certificate of conformity is suspended with respect to
any locomotive or locomotive engine that fails a production line test
pursuant to Sec. 92.510(a), effective from the time the testing of that
locomotive or locomotive engine is completed.
(2) The certificate of conformity is suspended with respect to any
locomotive or locomotive engine that fails an audit pursuant to
Sec. 92.511(d), effective from the time that auditing of that
locomotive or locomotive engine is completed.
(b)(1) The Administrator may suspend the certificate of conformity
for an engine family which is in noncompliance pursuant to
Sec. 92.510(b), thirty days after the engine family is deemed to be in
noncompliance.
(2) The Administrator may suspend the certificate of conformity for
an engine family which is determined to have failed an audit pursuant
to Sec. 92.511(f). This suspension will not occur before thirty days
after the engine family is deemed to be in noncompliance.
(c) If the results of testing or auditing pursuant to these
regulations indicate that locomotives or engines of a particular family
produced at one plant of a manufacturer or remanufacturer do not
conform to the regulations with respect to which the certificate of
conformity was issued, the Administrator may suspend the certificate of
conformity with respect to that family for locomotives or locomotive
engines manufactured or remanufactured by the manufacturer or
remanufacturer at all other plants.
(d) The Administrator may suspend a certificate of conformity for
any locomotive or locomotive engine family in whole or in part if:
(1) The manufacturer or remanufacturer fails to comply with any of
the requirements of this subpart.
(2) The manufacturer or remanufacturer submits false or incomplete
information in any report or information provided to the Administrator
under this subpart.
(3) The manufacturer or remanufacturer renders 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 activities
authorized in Sec. 92.504 for any reason.
(e) The Administrator shall notify the manufacturer or
remanufacturer in writing of any suspension or revocation of a
certificate of conformity in whole or in part; a suspension or
revocation is effective upon receipt of such notification or thirty
days from the time an engine family is deemed to be in noncompliance
under Secs. 92.508(d), 92.510(a), 92.510(b) or 92.511(f) is made,
whichever is earlier, except that the certificate is immediately
suspended with respect to any failed locomotives or locomotive engines
as provided for in paragraph (a) of this section.
(f) The Administrator may revoke a certificate of conformity for an
engine family when the certificate has been suspended pursuant to
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
or locomotive engine, as provided for in paragraph (a) of this section,
the manufacturer or remanufacturer must take the following actions
before the certificate is reinstated for that failed locomotive or
locomotive engine:
(1) Remedy the nonconformity;
(2) Demonstrate that the locomotive or locomotive engine conforms
to applicable standards or family emission limits by retesting, or
reauditing if applicable, the locomotive or
[[Page 19064]]
locomotive engine in accordance with this part; and
(3) Submit a written report to the Administrator, after successful
completion of testing, or auditing if applicable, on the failed
locomotive or locomotive engine, which contains a description of the
remedy and test (or audit) results for each locomotive or engine in
addition to other information that may be required by this part.
(h) Once a certificate for a failed engine family has been
suspended pursuant to paragraph (b) or (c) of this section, the
manufacturer or remanufacturer must take the following actions before
the Administrator will consider reinstating the certificate:
(1) Submit a written report to the Administrator which identifies
the reason for the noncompliance of the locomotives or locomotive
engines, describes the remedy, including a description of any quality
control and/or quality assurance measures to be taken by the
manufacturer or remanufacturer to prevent future occurrences of the
problem, and states 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 if applicable, locomotives or
engines selected from normal production runs of that engine family.
Such testing (or auditing) must comply with the provisions of this
subpart. If the manufacturer or remanufacturer elects to continue
testing, or auditing if applicable, individual locomotives or engines
after suspension of a certificate, the certificate is reinstated for
any locomotive or engine actually determined to be in conformance with
the applicable standards or family emission limits through testing, or
auditing if applicable, in accordance with the applicable test
procedures, provided that the Administrator has not revoked the
certificate pursuant to paragraph (f) of this section.
(i) Once the certificate has been revoked for an engine family, if
the manufacturer or remanufacturer desires to continue introduction
into commerce of a modified version of that family, the following
actions must be taken before the Administrator may issue a certificate
for that modified family:
(1) If the Administrator determines that the change(s) in
locomotive or engine design may have an effect on emission performance
deterioration, the Administrator shall notify the manufacturer or
remanufacturer, within five working days after receipt of the report in
paragraph (g) of this section, whether subsequent testing or auditing
if applicable, under this subpart will be sufficient to evaluate the
change or changes or whether additional testing or auditing will be
required; and
(2) After implementing the change or changes intended to remedy the
nonconformity, the manufacturer or remanufacturer must demonstrate that
the modified engine family does in fact conform with the regulations of
this part by testing, or auditing if applicable, locomotives or engines
selected from normal production runs of that engine family. When both
of these requirements are met, the Administrator shall reissue the
certificate or issue a new certificate, as the case may be, to include
that family. If this subsequent testing, or auditing if applicable,
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 or engine
pursuant to paragraph (a) of this section, but not later than 30 days
(or such other period as may be allowed by the Administrator) after
notification of the Administrator's decision to suspend or revoke a
certificate of conformity in whole or in part pursuant to paragraphs
(b), (c), or (f) of this section, a manufacturer or remanufacturer may
request a hearing as to whether the tests or audits have been properly
conducted or any sampling methods have been properly applied.
(k) Any suspension of a certificate of conformity under paragraphs
(a), (b), (c) and (d) of this section:
(1) Shall be made only after the manufacturer or remanufacturer
concerned has been offered an opportunity for a hearing conducted in
accordance with Secs. 92.513, 92.514, and 92.515 and
(2) Need not apply to locomotives or engines no longer in the
possession of the manufacturer or remanufacturer.
(l) After the Administrator suspends or revokes a certificate of
conformity pursuant to this section or voids a certificate of
conformity under Sec. 92.215, and prior to the commencement of a
hearing under Sec. 92.513, if the manufacturer or remanufacturer
demonstrates to the Administrator's satisfaction that the decision to
suspend, revoke, or void the certificate was based on erroneous
information, the Administrator shall reinstate the certificate.
(m) To permit a manufacturer or remanufacturer to avoid storing
non-test locomotives or locomotive engines while conducting subsequent
testing or auditing of the noncomplying family, a manufacturer or
remanufacturer may request that the Administrator conditionally
reinstate the certificate for that family. The Administrator may
reinstate the certificate subject to the following condition: the
manufacturer or remanufacturer must commit to recall all locomotives or
locomotive engines 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.
Sec. 92.513 Request for public hearing.
(a) If the manufacturer or remanufacturer disagrees with the
Administrator's decision to suspend or revoke a certificate or disputes
the basis for an automatic suspension pursuant to Sec. 92.512(a), the
manufacturer or remanufacturer may request a public hearing.
(b) The manufacturer's or remanufacturer's request shall be filed
with the Administrator not later than 30 days after the Administrator's
notification of his or her decision to suspend or revoke, unless
otherwise specified by the Administrator. The manufacturer or
remanufacturer shall simultaneously serve two copies of this request
upon the Director of the Engine Programs and Compliance Division,
Office of Mobile Sources and file two copies with the Hearing Clerk of
the Agency. Failure of the manufacturer or remanufacturer to request a
hearing within the time provided constitutes a waiver of the right to a
hearing. Subsequent to the expiration of the period for requesting a
hearing as of right, the Administrator may, in his or her discretion
and for good cause shown, grant the manufacturer or remanufacturer a
hearing to contest the suspension or revocation.
(c) A manufacturer or remanufacturer shall include in the request
for a public hearing:
(1) A statement as to which configuration(s) within a family is to
be the subject of the hearing;
(2) A concise statement of the issues to be raised by the
manufacturer or remanufacturer at the hearing, except that in the case
of the hearing requested under Sec. 92.512(j), the hearing is
restricted to the following issues:
(i) Whether tests or audits have been properly conducted
(specifically, whether the tests were conducted in accordance with
applicable regulations under this part and whether test equipment was
properly calibrated and functioning);
(ii) Whether there exists a basis for distinguishing locomotives or
[[Page 19065]]
locomotive engines produced at plants other than the one from which
locomotives or locomotive engines were selected for testing or auditing
which would invalidate the Administrator's decision under
Sec. 92.512(c));
(3) A statement specifying reasons why the manufacturer or
remanufacturer believes it will prevail on the merits of each of the
issues raised; and
(4) A summary of the evidence which supports the manufacturer's or
remanufacturer's position on each of the issues raised.
(d) A copy of all requests for public hearings will be kept on file
in the Office of the Hearing Clerk and will be made available to the
public during Agency business hours.
Sec. 92.514 Administrative procedures for public hearing.
(a) The Presiding Officer shall be an Administrative Law Judge
appointed pursuant to 5 U.S.C. 3105 (see also 5 CFR part 930).
(b) The Judicial Officer shall be an officer or employee of the
Agency appointed as a Judicial Officer by the Administrator, pursuant
to this section, who shall meet the qualifications and perform
functions as follows:
(1) Qualifications. A Judicial Officer may be a permanent or
temporary employee of the Agency who performs other duties for the
Agency. The Judicial Officer shall not be employed by the Office of
Enforcement or have any connection with the preparation or presentation
of evidence for a hearing held pursuant to this subpart. The Judicial
Officer shall be a graduate of an accredited law school and a member in
good standing of a recognized Bar Association of any state or the
District of Columbia.
(2) Functions. The Administrator may consult with the Judicial
Officer or delegate all or part of the Administrator's authority to act
in a given case under this section to a Judicial Officer, provided that
this delegation does not preclude the Judicial Officer from referring
any motion or case to the Administrator when the Judicial Officer
determines such referral to be appropriate.
(c) For the purposes of this section, one or more Judicial Officers
may be designated by the Administrator. As work requires, a Judicial
Officer may be designated to act for the purposes of a particular case.
(d) Summary decision. (1) In the case of a hearing requested under
Sec. 92.512(j), when it clearly appears from the data and other
information contained in the request for a hearing that no genuine and
substantial question of fact or law exists with respect to the issues
specified in Sec. 92.513(c)(2), the Administrator may enter an order
denying the request for a hearing and reaffirming the original decision
to suspend or revoke a certificate of conformity.
(2) In the case of a hearing requested under Sec. 92.513 to
challenge a suspension of a certificate of conformity for the reason(s)
specified in Sec. 92.512(d), when it clearly appears from the data and
other information contained in the request for the hearing that no
genuine and substantial question of fact or law exists with respect to
the issue of whether the refusal to comply with this subpart was caused
by conditions and circumstances outside the control of the manufacturer
or remanufacturer, the Administrator may enter an order denying the
request for a hearing and suspending the certificate of conformity.
(3) Any order issued under paragraph (d)(1) or (d)(2) of this
section has the force and effect of a final decision of the
Administrator, as issued pursuant to Sec. 92.516.
(4) If the Administrator determines that a genuine and substantial
question of fact or law does exist with respect to any of the issues
referred to in paragraphs (d)(1) and (d)(2) of this section, the
Administrator shall grant the request for a hearing and publish a
notice of public hearing in the Federal Register or by such other means
as the Administrator finds appropriate to provide notice to the public.
(e) Filing and service. (1) An original and two copies of all
documents or papers required or permitted to be filed pursuant to this
section and Sec. 92.513(c) must be filed with the Hearing Clerk of the
Agency. Filing is considered timely if mailed, as determined by the
postmark, to the Hearing Clerk within the time allowed by this section
and Sec. 92.513(b). If filing is to be accomplished by mailing, the
documents must be sent to the address set forth in the notice of public
hearing referred to in paragraph (d)(4) of this section.
(2) To the maximum extent possible, testimony will be presented in
written form. Copies of written testimony will be served upon all
parties as soon as practicable prior to the start of the hearing. A
certificate of service will be provided on or accompany each document
or paper filed with the Hearing Clerk. Documents to be served upon the
Director of the Engine Programs and Compliance Division must be sent by
registered mail to: Director, Engine Programs and Compliance Division
6403-J, U.S. Environmental Protection Agency, 401 M Street S.W.,
Washington, D.C. 20460. Service by registered mail is complete upon
mailing.
(f) Computation of time. (1) In computing any period of time
prescribed or allowed by this section, except as otherwise provided,
the day of the act or event from which the designated period of time
begins to run is not included. Saturdays, Sundays, and federal legal
holidays are included in computing the period allowed for the filing of
any document or paper, except that when the period expires on a
Saturday, Sunday, or federal legal holiday, the period is extended to
include the next following business day.
(2) A prescribed period of time within which a party is required or
permitted to do an act is computed from the time of service, except
that when service is accomplished by mail, three days will be added to
the prescribed period.
(g) Consolidation. The Administrator or the Presiding Officer in
his or her discretion may consolidate two or more proceedings to be
held under this section for the purpose of resolving one or more issues
whenever it appears that consolidation will expedite or simplify
consideration of these issues. Consolidation does not affect the right
of any party to raise issues that could have been raised if
consolidation had not occurred.
(h) Hearing date. To the extent possible hearings under Sec. 92.513
will be scheduled to commence within 14 days of receipt of the request
for a hearing.
Sec. 92.515 Hearing procedures.
The procedures provided in Sec. 86.1014-84(i) through (s) of this
chapter apply for hearings requested pursuant to Sec. 92.513 regarding
suspension, revocation, or voiding of a certificate of conformity.
Sec. 92.516 Appeal of hearing decision.
The procedures provided in Sec. 86.1014-84(t) through (aa) of this
chapter apply for appeals filed with respect to hearings held pursuant
to Sec. 92.515.
Sec. 92.517 Treatment of confidential information.
Except for information required by Sec. 92.508(e)(2) and quarterly
emission test results described in Sec. 92.508(e), information
submitted pursuant to this subpart shall be made available to the
public by EPA notwithstanding any claim of confidentiality made by the
submitter. The provisions for treatment of confidential information
described in Sec. 92.4 apply to the information required by
Sec. 92.508(e)(2) and all other
[[Page 19066]]
information submitted pursuant to this subpart.
Subpart G--In-Use Testing Program
Sec. 92.601 Applicability.
The requirements of this subpart are applicable to all
manufacturers and remanufacturers of locomotives subject to the
provisions of subpart A of this part, including all locomotives powered
by any locomotive engines subject to the provisions of subpart A of
this part.
Sec. 92.602 Definitions.
Except as otherwise provided, the definitions in subpart A of this
part apply to this subpart.
Sec. 92.603 General provisions.
(a) EPA shall annually identify engine families and configurations
within families on which the manufacturer or remanufacturer must
conduct in-use emissions testing pursuant to the requirements of this
section.
(1) Manufacturers and remanufacturers shall test one locomotive
engine family each year for which it has received a certificate of
conformity from EPA. Where a manufacturer holds certificates of
conformity for both freshly manufactured and remanufactured locomotive
engine families, the Administrator may require the manufacturer to test
one freshly manufactured engine family and one remanufactured engine
family. The Administrator may require a manufacturer or remanufacturer
to test additional engine families if he/she has reason to believe that
locomotives in an engine family 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 the Administrator has reason to
believe that those engine families are not complying with the
applicable emission standards in use.
(b) Locomotive manufacturers or remanufacturers shall perform
emission testing of a sample of in-use locomotives from an engine
family, as specified in Sec. 92.605. Manufacturers or remanufacturers
shall submit data from this in-use testing to EPA. EPA will use these
data, and any other data available to EPA, to determine the compliance
status of classes of locomotives, including for purposes of subpart H
of this part, and whether remedial action is appropriate.
Sec. 92.604 In-use test procedure.
(a) Testing conducted under this subpart shall be conducted on
locomotives; testing under this subpart shall not be conducted using an
engine that is not installed in a locomotive at the time of testing.
(b) Locomotives tested under this subpart shall be tested using the
locomotive test procedures outlined in subpart B of this part, except
as provided in this section.
(c) The test procedures used for in-use testing shall be consistent
with the test procedures used for certification, except for cases in
which certification testing was not conducted with locomotive, but with
a development engine, or other engine. In such cases, the Administrator
shall require deviations from the certification test procedures as
appropriate, including requiring that the test be conducted on a
locomotive. The Administrator may allow or require other alternate
procedures, with advance approval. For all testing conducted under this
subpart, emission rates shall be calculated in accordance with the
provisions of subpart B of this part that apply to locomotive testing.
(d) Any adjustable locomotive or locomotive engine parameter must
be set to values or positions that are within the range specified in
the certificate of conformity. If so directed by the Administrator, the
manufacturer or remanufacturer will set these parameters to values
specified by the Administrator.
(e) The Administrator may waive portions or requirements of the
applicable test procedure, if any, that are not necessary to determine
in-use compliance.
Sec. 92.605 General testing requirements.
(a) Number of locomotives to be tested. The manufacturer or
remanufacturer shall test in-use locomotives, from an engine family
selected by EPA, which have accumulated between one-half and three-
quarters of the engine family's useful life. The number of locomotives
to be tested by a manufacturer or remanufacturer will be determined by
the following method:
(1) A minimum of 2 locomotives per engine family per year for each
engine family that reaches the minimum age specified above provided
that no locomotive tested fails to meet any applicable standard. For
each failing locomotive, two more locomotives shall be tested until the
total number of locomotives tested equals 10, except as provided in
paragraph (a)(2) of this section.
(2) If an engine family has not changed from one year to the next
and has certified using carry over emission data and has been
previously tested under paragraph (a)(1) of this section (and EPA has
not ordered or begun to negotiate remedial action of that family), then
only one locomotive per engine family per year must be tested. If such
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.
(b) At the discretion of the Administrator, a locomotive or
locomotive engine manufacturer or remanufacturer may test more
locomotives than the minima described above or may concede failure
before locomotive number 10.
(c) The Administrator will consider failure rates, average emission
levels and the existence of any defects among other factors in
determining whether to pursue remedial action. The Administrator may
order a recall pursuant to subpart H of this part before testing
reaches the tenth locomotive.
(d) Collection of in-use locomotives. The locomotive manufacturer
or remanufacturer shall procure in-use locomotives which have been
operated for between one-half and three-quarters of the locomotive's
useful life for testing under this subpart. The manufacturer or
remanufacturer shall complete testing required by this section for any
engine family before useful life of the locomotives in the engine
family passes.
Sec. 92.606 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 the manufacturer's or remanufacturer's recommended emission-related
maintenance requirements.
(1) In procuring in-use locomotives for in-use testing, a
manufacturer or remanufacturer shall question the end users regarding
the accumulated usage, maintenance, operating conditions, and storage
of the test locomotives.
(2) The selection of test locomotives is made by the manufacturer
or remanufacturer, and is subject to EPA approval. Information used by
the manufacturer or remanufacturer to procure locomotives for in-use
testing shall be maintained as required in Sec. 92.215.
(b) The manufacturer or remanufacturer may perform minimal set-to-
spec maintenance on a test locomotive prior to 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.
[[Page 19067]]
Documentation of all maintenance and adjustments shall be maintained
and retained.
(c) Results of one valid emission test using the test procedure
outlined in subpart B of this part is required for each in-use
locomotive.
(d) If in-use testing results show that an in-use locomotive fails
to comply with any applicable emission standards, the manufacturer or
remanufacturer shall determine the reason for noncompliance. The
manufacturer or remanufacturer must report all determinations for
noncompliance in its quarterly in-use test result report pursuant to
Sec. 92.607(a)(11).
Sec. 92.607 In-use test program reporting requirements.
(a) The manufacturer or remanufacturer shall submit to the
Administrator within three (3) months of completion of testing all
emission testing results generated from the in-use testing program. The
following information must be reported for each locomotive tested:
(1) Engine family, and configuration;
(2) Locomotive and engine models;
(3) Locomotive and engine serial numbers;
(4) Date of manufacture and/or remanufacture(s), as applicable;
(5) Megawatt-hours of use (or miles, as applicable);
(6) Date and time of each test attempt;
(7) Results (if any) of each test attempt;
(8) Results of all emission testing;
(9) Summary of all maintenance and/or adjustments performed;
(10) Summary of all modifications and/or repairs;
(11) Determinations of noncompliance; and
(12) The following signed statement and endorsement by an
authorized representative of the manufacturer or remanufacturer:
This report is submitted pursuant to Sections 213 and 208 of the
Clean Air Act. This in-use testing program was conducted in complete
conformance with all applicable regulations under 40 CFR part 92.
All data and information reported herein is, to the best of (Company
Name) knowledge, true and accurate. I am aware of the penalties
associated with violations of the Clean Air Act and the regulations
thereunder. (Authorized Company Representative.)
(b) The manufacturer or remanufacturer shall report to the
Administrator within three (3) months 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. 92.606;
(2) The owner of each locomotive identified in paragraph (b)(1) of
this section (or other entity responsible for the maintenance of the
locomotive); and
(3) The specific reasons why the locomotives were excluded from the
test sample.
(c) The manufacturer or remanufacturer must submit, via floppy
disk, the information outlined in paragraphs (a) and (b) of this
section using a pre-approved information heading. The Administrator may
exempt manufacturers or remanufacturers from this requirement upon
written request with supporting justification.
(d) All testing reports and requests for approvals made under this
subpart shall be addressed to: Group Manager, Engine Compliance
Programs Group, Engine Programs and Compliance Division, U.S.
Environmental Protection Agency, 6403-J, 401 M Street S.W., Washington,
D.C. 20460.
Subpart H--Recall Regulations
Sec. 92.701 Applicability.
The requirements of subpart H of this part are applicable to all
manufacturers and remanufacturers of locomotives and locomotive engines
subject to the provisions of subpart A of this part.
Sec. 92.702 Definitions.
The definitions of subpart A of this part apply to this subpart.
Sec. 92.703 Voluntary emissions recall.
(a) Prior to an EPA ordered recall, a manufacturer or
remanufacturer may perform (without petition) a voluntary emissions
recall pursuant to regulations in subpart E of this part. Such
manufacturer or remanufacturer is subject to the reporting requirements
in subpart E of this part.
(b) If a determination of nonconformity with the requirements of
section 213 of the Act is made (i.e. if EPA orders a recall under the
provisions of section 207(c)), the manufacturer(s) or remanufacturer(s)
will not have the option of an alternate remedial action and an actual
recall would be required.
Sec. 92.704 Notice to manufacturer or remanufacturer of nonconformity;
submission of remedial plan.
(a) The manufacturer or remanufacturer will be notified whenever
the Administrator has determined that a substantial number of a class
or category of locomotives or locomotive engines produced by that
manufacturer or remanufacturer, although properly maintained and used,
do not conform to the regulations prescribed under the Act in effect
during, and applicable to the model year of such locomotives or
locomotive engines. The notification will include a description of each
class or category of locomotives or locomotive engines encompassed by
the determination of nonconformity, will give the factual basis for the
determination of nonconformity (except information previously provided
the manufacturer or remanufacturer by the Agency), and will designate a
date, no sooner than 45 days from the date of receipt of such
notification, by which the manufacturer or remanufacturer shall have
submitted a plan to remedy the nonconformity.
(b) Unless a hearing is requested pursuant to Sec. 92.709, the
remedial plan shall be submitted to the Administrator within the time
limit specified in the Administrator's notification, provided that the
Administrator may grant a manufacturer or remanufacturer an extension
upon good cause shown.
(c) If a manufacturer or remanufacturer requests a public hearing
pursuant to Sec. 92.709, unless as a result of such hearing the
Administrator withdraws his determination of nonconformity, the
manufacturer or remanufacturer shall submit the remedial plan within 30
days of the end of such hearing.
Sec. 92.705 Remedial plan.
(a) When any manufacturer or remanufacturer is notified by the
Administrator that a substantial number of any class or category of
locomotives or locomotive engines, although properly maintained and
used, do not conform to the applicable regulations of this part
(including emission standards or family emission limits), the
manufacturer or remanufacturer shall submit a plan to the Administrator
to remedy such nonconformity. The plan shall contain the following:
(1) A description of each class or category of locomotive or
locomotive engine to be recalled including the year(s) of manufacture
or remanufacture, the make, the model, the calendar year and such other
information as may be required to identify the locomotives or
locomotive engines to be recalled.
(2) A description of the specific modifications, alterations,
repairs, corrections, adjustments or other changes to be made to bring
the locomotives or locomotive engines into conformity, including a
brief summary of the data and technical studies which support the
manufacturer's or remanufacturer's decision as to the
[[Page 19068]]
particular remedial changes to be used in correcting the nonconformity.
(3) A description of the method by which the manufacturer or
remanufacturer will determine the names and addresses of locomotive or
locomotive engine owners.
(4) A description of the proper maintenance or use, if any, upon
which the manufacturer or remanufacturer conditions eligibility for
repair under the remedial plan, an explanation of the manufacturer's or
remanufacturer's reasons for imposing any such condition, and a
description of the proof to be required of a locomotive or locomotive
engine owner to demonstrate compliance with any such condition.
Eligibility may not be denied solely on the basis that the locomotive
or locomotive engine owner used parts not manufactured or
remanufactured by the original locomotive or locomotive engine
manufacturer or remanufacturer, or had repairs not performed by such
manufacturer or remanufacturer. No maintenance or use condition may be
imposed unless it is, in the judgement of the Administrator,
demonstrably related to preventing the nonconformity.
(5) A description of the procedure to be followed by locomotive or
locomotive engine owners to obtain correction of the nonconformity.
This shall include designation of the date on or after which the owner
can have the nonconformity remedied, the time reasonably necessary to
perform the labor required to correct the nonconformity, and the
designation of facilities at which the nonconformity can be remedied:
Provided, That repair shall be completed within a reasonable time
designated by the Administrator from the date the owner first tenders
his locomotive or locomotive engine after the date designated by the
manufacturer or remanufacturer as the date on or after which the owner
can have the nonconformity remedied.
(6) If some or all of the nonconforming locomotives or locomotive
engines are to be remedied by persons other than authorized warranty
agents of the manufacturer or remanufacturer, a description of the
class of persons other than authorized warranty agents of the
manufacturer or remanufacturer who will remedy the nonconformity, and a
statement indicating that the participating members of the class will
be properly equipped to perform such remedial action.
(7) Three copies of the letters of notification to be sent to
locomotive or locomotive engine owners.
(8) A description of the system by which the manufacturer or
remanufacturer will assure that an adequate supply of parts will be
available to perform the repair under the remedial plan including the
date by which an adequate supply of parts will be available to initiate
the repair campaign, the percentage of the total parts requirement of
each person who is to perform the repair under the remedial plan to be
shipped to initiate the campaign, and the method to be used to assure
the supply remains both adequate and responsive to owner demand.
(9) Three copies of all necessary instructions to be sent to those
persons who are to perform the repair under the remedial plan.
(10) A description of the impact of the changes on fuel
consumption, operability, and safety of each class or category of
locomotives or locomotive engines to be recalled and a brief summary of
the data, technical studies, or engineering evaluations which support
these conclusions.
(11) Any other information, reports or data which the Administrator
may reasonably determine is necessary to evaluate the remedial plan.
(b)(1) Notification to locomotive or locomotive engine owners shall
be made by first class mail or by such means as approved by the
Administrator.
(2) The manufacturer or remanufacturer shall use all reasonable
means necessary to locate locomotive or locomotive engine owners.
(3) The Administrator reserves the right to require the
manufacturer or remanufacturer to send by certified mail or other
reasonable means subsequent notification to locomotive or locomotive
engine owners.
(c)(1) The manufacturer or remanufacturer shall require those who
perform the repair under the remedial plan to affix a label to each
locomotive or locomotive engine repaired or, when required, inspected
under the remedial plan.
(2) The label shall be placed in such location as approved by the
Administrator consistent with Federal Railroad Administration
regulations and shall be fabricated of a material suitable for the
location in which it is installed and which is not readily removable
intact.
(3) The label shall contain:
(i) The recall campaign number; and
(ii) A code designating the campaign facility at which the repair,
or inspection for repair was performed.
(4) The Administrator reserves the right to waive any or all of the
requirements of this paragraph (c) if he/she determines that they
constitute an unwarranted burden to the manufacturer or remanufacturer.
(d) The Administrator may require the manufacturer or
remanufacturer to conduct tests on components and locomotives or
locomotive engines incorporating a change, repair, or modification
reasonably designed and necessary to demonstrate the effectiveness of
the change, repair, or modification.
Note to Sec. 92.705: An interpretive ruling regarding
Sec. 92.705 is published in Appendix II to this part.
Sec. 92.706 Approval of plan: implementation.
(a) If the Administrator finds that the remedial plan is designed
and effective to correct the nonconformity, he/she will so notify the
manufacturer or remanufacturer in writing. If the remedial plan is not
approved, the Administrator will provide the manufacturer or
remanufacturer notice of the disapproval and the reasons for the
disapproval in writing.
(b) Upon receipt of notice from the Administrator that the remedial
plan has been approved, the manufacturer or remanufacturer shall
commence implementation of the approved plan. Notification of
locomotive or locomotive engine owners shall be in accordance with
requirements of this subpart and shall proceed as follows:
(1) When no public hearing as described in Sec. 92.709 is requested
by the manufacturer or remanufacturer, notification of locomotive or
locomotive engine owners shall commence within 15 working days of the
receipt by the manufacturer or remanufacturer of the Administrator's
approval unless otherwise specified by the Administrator.
(2) When a public hearing as described in Sec. 92.709 is held,
unless as a result of such hearing the Administrator withdraws the
determination of nonconformity, the Administrator shall, within 60 days
after the completion of such hearing, order the manufacturer or
remanufacturer to provide prompt notification of such nonconformity.
Sec. 92.707 Notification to locomotive or locomotive engine owners.
(a) The notification of locomotive or locomotive engine owners
shall contain the following:
(1) The statement: ``The Administrator of the U.S. Environmental
Protection Agency has determined that your locomotive or locomotive
engine may be emitting pollutants in excess of the federal emission
standards or family emission limits, as defined in 40 CFR Part 92.
These standards or family
[[Page 19069]]
emission limits, as defined in 40 CFR Part 92 were established to
protect the public health or welfare from the dangers of air
pollution.''
(2) A statement that the nonconformity of any such locomotives or
locomotive engines which have been, if required by the remedial plan,
properly maintained and used, will be remedied at the expense of the
manufacturer or remanufacturer.
(3) A description of the proper maintenance or use, if any, upon
which the manufacturer or remanufacturer conditions eligibility for
repair under the remedial plan and a description of the proof to be
required of a locomotive or locomotive engine owner to demonstrate
compliance with such condition. Eligibility may not be denied solely on
the basis that the locomotive or locomotive engine owner used parts not
manufactured or remanufactured by the manufacturer or remanufacturer,
or had repairs not performed by the manufacturer or remanufacturer.
(4) A clear description of the components which will be affected by
the remedy and a general statement of the measures to be taken to
correct the nonconformity.
(5) A description of the adverse effects, if any, that an
uncorrected nonconformity would have on the performance or operability
of the locomotive or locomotive engine.
(6) A description of the adverse effects, if any, that such
nonconformity would have on the performance or operability of the
locomotive or locomotive engine.
(7) A description of the average effects, if any, that such
nonconformity would have on the functions of other locomotive or
locomotive engine components.
(8) A description of the procedure which the locomotive or
locomotive engine owner should follow to obtain correction of the
nonconformity. This shall include designation of the date on or after
which the owner can have the nonconformity remedied, the time
reasonably necessary to perform the labor required to correct the
nonconformity, and the designation of facilities at which the
nonconformity can be remedied.
(9) A telephone number provided by the manufacturer or
remanufacturer, which may be used to report difficulty in obtaining
recall repairs.
(10) The statement: ``In order to ensure your full protection under
the emission warranty made applicable to your (locomotive or locomotive
engine) by federal law, and your right to participate in future
recalls, it is recommended that you have (locomotive or locomotive
engine) serviced as soon as possible. Failure to do so could legally be
determined to be a lack of proper maintenance of your (locomotive or
locomotive engine).''
(b) No notice sent pursuant to paragraph (a) of this section nor
any other contemporaneous communication sent to locomotive or
locomotive engine owners or dealers shall contain any statement or
implication that the nonconformity does not exist or that the
nonconformity will not degrade air quality.
(c) The manufacturer or remanufacturer shall be informed of any
other requirements pertaining to the notification under this section
which the Administrator has determined are reasonable and necessary to
ensure the effectiveness of the recall campaign.
Sec. 92.708 Records and reports.
(a) The manufacturer or remanufacturer shall provide to the
Administrator a copy of all communications which relate to the remedial
plan directed to persons who are to perform the repair under the
remedial plan. Such copies shall be mailed to the Administrator
contemporaneously with their transmission to persons who are to perform
the repair under the remedial plan.
(b) The manufacturer or remanufacturer shall provide for the
establishment and maintenance of records to enable the Administrator to
conduct a continuing analysis of the adequacy of the recall campaign.
The records shall include, for each class or category of locomotive or
locomotive engine, but need not be limited to, the following:
(1) Recall campaign number as designated by the manufacturer or
remanufacturer.
(2) Date owner notification was begun, and date completed.
(3) Number of locomotives or locomotive engines involved in the
recall campaign.
(4) Number of locomotives or locomotive engines known or estimated
to be affected by the nonconformity.
(5) Number of locomotives or locomotive engines inspected pursuant
to the remedial plan.
(6) Number of inspected locomotives or locomotive engines found to
be affected by the nonconformity.
(7) Number of locomotives or locomotive engines actually receiving
repair under the remedial plan.
(8) Number of locomotives or locomotive engines determined to be
unavailable for inspection or repair under the remedial plan due to
exportation, scrapping or for other reasons (specify).
(9) Number of locomotives or locomotive engines determined to be
ineligible for remedial action due to a failure to properly maintain or
use such locomotives or locomotive engines.
(c) If the manufacturer or remanufacturer determines that the
original answers for paragraphs (b)(3) and (b)(4) of this section are
incorrect, revised figures and an explanatory note shall be submitted.
Answers to paragraphs (b)(5), (b)(6), (b)(7), (b)(8), and (b)(9) of
this section shall be cumulative totals.
(d) Unless otherwise directed by the Administrator, the information
specified in paragraph (b) of this section shall be included in
quarterly reports, with respect to each recall campaign, for six
consecutive quarters beginning with the quarter in which the
notification of owners was initiated, or until all nonconforming
locomotives or locomotive engines involved in the campaign have been
remedied, whichever occurs sooner. Such reports shall be submitted no
later than 25 working days after the close of each calendar quarter.
(e) The manufacturer or remanufacturer shall maintain in a form
suitable for inspection, such as computer information storage devices
or card files, lists of the names and addresses of locomotive or
locomotive engine owners:
(1) To whom notification was given;
(2) Who received remedial repair or inspection under the remedial
plan; and
(3) When eligibility for repair is conditioned on proper
maintenance or use, that were determined not to qualify for such
remedial action.
(f) The records described in paragraph (e) of this section shall be
made available to the Administrator upon request.
(g) The records and reports required by this section shall be
retained for not less than eight (8) years.
Sec. 92.709 Public hearings.
(a) Definitions. The following definitions shall be applicable to
this section:
(1) Hearing Clerk shall mean the Hearing Clerk of the Environmental
Protection Agency.
(2) Intervenor shall mean a person who files a petition to be made
an intervenor pursuant to paragraph (g) of this section and whose
petition is approved.
(3) Manufacturer or remanufacturer refers to a manufacturer or
remanufacturer contesting a recall order directed at that manufacturer
or remanufacturer.
[[Page 19070]]
(4) Party shall include the Environmental Protection Agency, the
manufacturer or remanufacturer, and any intervenors.
(5) Presiding Officer shall mean an Administrative Law Judge
appointed pursuant to 5 U.S.C. 3105 (see also 5 CFR part 930).
(6) Environmental Appeals Board shall mean the Board within the
Agency described in Sec. 1.25 of this chapter. The Administrator
delegates authority to the Environmental Appeals Board to issue final
decisions in appeals filed under this subpart. Appeals directed to the
Administrator, rather than to the Environmental Appeals Board, will not
be considered. This delegation of authority to the Environmental
Appeals Board does not preclude the Environmental Appeals Board from
referring an appeal or a motion filed under this subpart to the
Administrator for decision when the Environmental Appeals Board, in its
discretion, deems it appropriate to do so. When an appeal or motion is
referred to the Administrator, all parties shall be so notified and the
rules in this part referring to the Environmental Appeals Board shall
be interpreted as referring to the Administrator.
(b) Request for public hearing. (1)(i) If the manufacturer or
remanufacturer disagrees with the Administrator's finding of
nonconformity he may request a public hearing as described in this
section. Requests for such a hearing shall be filed with the
Administrator not later than 45 days after the receipt of the
Administrator's notification of nonconformity unless otherwise
specified by the Administrator. Two copies of such request shall
simultaneously be served upon the Director of the Engine Programs and
Compliance Division and two copies filed with the Hearing Clerk.
Failure of the manufacturer or remanufacturer to request a hearing
within the time provided shall constitute a waiver of his right to such
a hearing. In such a case, the manufacturer or remanufacturer shall
carry out the recall order as required by Sec. 92.705.
(ii) Subsequent to the expiration of the period for requesting a
hearing as of right, the Administrator may, in his discretion and for
good cause shown, grant the manufacturer or remanufacturer a hearing to
contest the nonconformity.
(2) The request for a public hearing shall contain:
(i) A statement as to which classes or categories of locomotives or
locomotive engines are to be the subject of the hearing;
(ii) A concise statement of the issues to be raised by the
manufacturer or remanufacturer at the hearing for each class or
category of locomotive or locomotive engine for which the manufacturer
or remanufacturer has requested the hearing; and
(iii) A statement as to reasons the manufacturer or remanufacturer
believes it will prevail on the merits on each of the issues so raised.
(3) A copy of all requests for public hearings shall be kept on
file in the Office of the Hearing Clerk and shall be made available to
the public during Agency business hours.
(c) Filing and service. (1) An original and two copies of all
documents or papers required or permitted to be filed pursuant to this
section shall be filed with the Hearing Clerk. Filing shall be deemed
timely if mailed, as determined by the postmark, to the Hearing Clerk
within the time allowed by this section. If filing is to be
accomplished by mailing, the documents shall be sent to the address set
forth in the notice of public hearing as described in paragraph (f) of
this section.
(2) Except for requests to commence a hearing, at the same time a
party files with the Hearing Clerk any additional issues for
consideration at the hearing or any written testimony, documents,
papers, exhibits, or materials, to be introduced into evidence or
papers filed in connection with any appeal, it shall serve upon all
other parties copies thereof. A certificate of service shall be
provided on or accompany each document or paper filed with the Hearing
Clerk. Documents to be served upon the Director of the Engine Programs
and Compliance Division shall be mailed to: Director, Engine Programs
and Compliance Division 6403-J, U.S. Environmental Protection Agency,
401 M Street S.W., Washington, D.C. 20460. Service by mail is complete
upon mailing.
(d) Time. (1) In computing any period of time prescribed or allowed
by this section, except as otherwise provided, the day of the act or
event from which the designated period of time begins to run shall not
be included. Saturdays, Sundays, and Federal legal holidays shall be
included in computing any such period allowed for the filing of any
document or paper, except that when such period expires on a Saturday,
Sunday, or Federal legal holiday, such period shall be extended to
include the next following business day.
(2) A prescribed period of time within which a party is required or
permitted to do an act shall be computed from the time of service,
except that when service is accomplished by mail, three days shall be
added to the prescribed period.
(e) Consolidation. The Administrator or the Presiding Officer in
his discretion may consolidate two or more proceedings to be held under
this section for the purpose of resolving one or more issues whenever
it appears that such consolidation will expedite or simplify
consideration of such issues. Consolidation shall not affect the right
of any party to raise issues that could have been raised if
consolidation had not occurred.
(f) Notice of public hearings. (1) Notice of a public hearing under
this section shall be given by publication in the Federal Register.
Notice will be given at least 30 days prior to the commencement of such
hearings.
(2) The notice of a public hearing shall include the following
information:
(i) The purpose of the hearing and the legal authority under which
the hearing is to be held;
(ii) A brief summary of the Administrator's determination of
nonconformity;
(iii) A brief summary of the manufacturer's or remanufacturer's
basis for contesting the Administrator's determination of
nonconformity;
(iv) Information regarding the time and location of the hearing and
the address to which all documents required or permitted to be filed
should be sent;
(v) The address of the Hearing Clerk to whom all inquiries should
be directed and with whom documents are required to be filed;
(vi) A statement that all petitions to be made an intervenor must
be filed with the Hearing Clerk within 25 days from the date of the
notice of public hearing and must conform to the requirements of
paragraph (g) of this section.
(3) The notice of public hearing shall be issued by the General
Counsel.
(g) Intervenors. (1) Any person desiring to intervene in a hearing
to be held under section 207(c)(1) of the Act shall file a petition
setting forth the facts and reasons why he/she thinks he/she should be
permitted to intervene.
(2) In passing upon a petition to intervene, the following factors,
among other things, shall be considered by the Presiding Officer:
(i) The nature of the petitioner's interest including the nature
and the extent of the property, financial, environmental protection, or
other interest of the petitioner;
(ii) The effect of the order which may be entered in the proceeding
on petitioner's interest;
(iii) The extent to which the petitioner's interest will be
represented
[[Page 19071]]
by existing parties or may be protected by other means;
(iv) The extent to which petitioner's participation may reasonably
be expected to assist materially in the development of a complete
record;
(v) The effect of the intervention on the Agency's statutory
mandate.
(3) A petition to intervene must be filed within 25 days following
the notice of public hearing under section 207(c)(1) of the Act and
shall be served on all parties. Any opposition to such petition must be
filed within five days of such service.
(4) All petitions to be made an intervenor shall be reviewed by the
Presiding Officer using the criteria set forth in paragraph (g)(2) of
this section and considering any oppositions to such petition. Where
the petition demonstrates that the petitioner's interest is limited to
particular issues, the Presiding Officer may, in granting such
petition, limit petitioner's participation to those particular issues
only.
(5) If the Presiding Officer grants the petition with respect to
any or all issues, he/she shall so notify, or direct the Hearing Clerk
to notify, the petitioner and all parties. If the Presiding Officer
denies the petition he/she shall so notify, or direct the Hearing Clerk
to notify, the petitioner and all parties and shall briefly state the
reasons why the petition was denied.
(6) All petitions to be made an intervenor shall include an
agreement by the petitioner, and any person represented by the
petitioner, to be subject to examination and cross-examination and to
make any supporting and relevant records available at its own expense
upon the request of the Presiding Officer, on his/her own motion or the
motion of any party or other intervenor. If the intervenor fails to
comply with any such request, the Presiding Officer may in his/her
discretion, terminate his/her status as an intervenor.
(h) Intervention by motion. Following the expiration of the time
prescribed in paragraph (g) of this section for the submission of
petitions to intervene in a hearing, any person may file a motion with
the Presiding Officer to intervene in a hearing. Such a motion must
contain the information and commitments required by paragraphs (g)(2)
and (g)(6) of this section, and, in addition, must show that there is
good cause for granting the motion and must contain a statement that
the intervenor shall be bound by agreements, arrangements, and other
determinations which may have been made in the proceeding.
(i) Amicus Curiae. Persons not parties to the proceedings wishing
to file briefs may do so by leave of the Presiding Officer granted on
motion. A motion for leave shall identify the interest of the applicant
and shall state the reasons why the amicus brief is desirable.
(j) Presiding Officer. The Presiding Officer shall have the duty to
conduct a fair and impartial hearing in accordance with 5 U.S.C. 554,
556 and 557, to take all necessary action to avoid delay in the
disposition of the proceedings and to maintain order. He/she shall have
all power consistent with Agency rule and with the Administrative
Procedure Act (5 U.S.C. 551 et seq.) necessary to this end, including
the following:
(1) To administer oaths and affirmations;
(2) To rule upon offers of proof and receive relevant evidence;
(3) To regulate the course of the hearings and the conduct of the
parties and their counsel therein;
(4) To hold conferences for simplification of the issues or any
other proper purpose;
(5) To consider and rule upon all procedural and other motions
appropriate in such proceedings;
(6) To require the submission of direct testimony in written form
with or without affidavit whenever, in the opinion of the Presiding
Officer, oral testimony is not necessary for full and true disclosure
of the facts. Testimony concerning the conduct and results of tests and
inspections may be submitted in written form;
(7) To enforce agreements and orders requiring access as authorized
by law;
(8) To require the filing of briefs on any matter on which he/she
is required to rule;
(9) To require any party or any witness, during the course of the
hearing, to state his/her position on any issue;
(10) To take or cause depositions to be taken whenever the ends of
justice would be served thereby;
(11) To make decisions or recommend decisions to resolve the
disputed issues of the record of the hearing;
(12) To issue, upon good cause shown, protective orders as
described in paragraph (n) of this section.
(k) Conferences. (1) At the discretion of the Presiding Officer,
conferences may be held prior to or during any hearing. The Presiding
Officer shall direct the Hearing Clerk to notify all parties and
intervenors of the time and location of any such conference. At the
discretion of the Presiding Officer, persons other than parties may
attend. At a conference the Presiding Officer may:
(i) Obtain stipulations and admissions, receive requests and order
depositions to be taken, identify disputed issues of fact and law, and
require or allow the submission of written testimony from any witness
or party;
(ii) Set a hearing schedule for as many of the following as are
deemed necessary by the Presiding Officer:
(A) Oral and written statements;
(B) Submission of written direct testimony as required or
authorized by the Presiding Officer;
(C) Oral direct and cross-examination of a witness where necessary
as prescribed in paragraph (p) of this section;
(D) Oral argument, if appropriate;
(iii) Identify matters of which official notice may be taken;
(iv) Consider limitation of the number of expert and other
witnesses;
(v) Consider the procedure to be followed at the hearing; and
(vi) Consider any other matter that may expedite the hearing or aid
in the disposition of the issue.
(2) The results of any conference including all stipulations shall,
if not transcribed, be summarized in writing by the Presiding Officer
and made part of the record.
(l) Primary discovery (exchange of witness lists and documents).
(1) At a prehearing conference or within some reasonable time set by
the Presiding Officer prior to the hearing, each party shall make
available to the other parties the names of the expert and other
witnesses the party expects to call, together with a brief summary of
their expected testimony and a list of all documents and exhibits which
the party expects to introduce into evidence. Thereafter, witnesses,
documents, or exhibits may be added and summaries of expected testimony
amended upon motion by a party.
(2)(i) The Presiding Officer, may, upon motion by a party or other
person, and for good cause shown, by order:
(A) Restrict or defer disclosure by a party of the name of a
witness or a narrative summary of the expected testimony of a witness;
and
(B) Prescribe other appropriate measures to protect a witness.
(ii) Any party affected by any such action shall have an adequate
opportunity, once he learns the name of a witness and obtains the
narrative summary of his expected testimony, to prepare for the
presentation of his case.
(m) Other discovery. (1) Except as so provided by paragraph (l) of
this section, further discovery, under this
[[Page 19072]]
paragraph (m), shall be permitted only upon determination by the
Presiding Officer:
(i) That such discovery will not in any way unreasonably delay the
proceeding;
(ii) That the information to be obtained is not obtainable
voluntarily; and
(iii) That such information has significant probative value. The
Presiding Officer shall be guided by the procedures set forth in the
Federal Rules of Civil Procedure (28 U.S.C.), where practicable, and
the precedents thereunder, except that no discovery shall be undertaken
except upon order of the Presiding Officer or upon agreement of the
parties.
(2) The Presiding Officer shall order depositions upon oral
questions only upon a showing of good cause and upon a finding that:
(i) The information sought cannot be obtained by alternative
methods; or
(ii) There is a substantial reason to believe that relevant and
probative evidence may otherwise not be preserved for presentation by a
witness at the hearing.
(3) Any party to the proceeding desiring an order of discovery
shall make a motion or motions therefor. Such a motion shall set forth:
(i) The circumstances warranting the taking of the discovery;
(ii) The nature of the information expected to be discovered; and
(iii) The time and place where it will be taken. If the Presiding
Officer determines the motion should be granted, he shall issue an
order for the taking of such discovery together with the conditions and
terms thereof.
(4) Failure to comply with an order issued pursuant to this
paragraph (m) may lead to the inference that the information to be
discovered would be adverse to the person or party from whom the
information was sought.
(n) Protective orders: in camera proceedings. (1) Upon motion by a
party or by the person from whom discovery is sought, and upon a
showing by the movant that the disclosure of the information to be
discovered, or a particular part thereof, (other than emission data)
would result in methods or processes entitled to protection as trade
secrets of such person being divulged, the Presiding Officer may enter
a protective order with respect to such material. Any protective order
shall contain such terms governing the treatment of the information as
may be appropriate under the circumstances to prevent disclosure
outside the hearing: Provided, That the order shall state that the
material shall be filed separately from other evidence and exhibits in
the hearing. Disclosure shall be limited to parties to the hearing,
their counsel and relevant technical consultants, and authorized
representatives of the United States concerned with carrying out the
Act. Except in the case of the government, disclosure may be limited to
counsel to parties who shall not disclose such information to the
parties themselves. Except in the case of the government, disclosure to
a party or his counsel shall be conditioned on execution of a sworn
statement that no disclosure of the information will be made to persons
not entitled to receive it under the terms of the protective order. (No
such provision is necessary where government employees are concerned
because disclosure by them is subject to the terms of 18 U.S.C. 1905.)
(2)(i) A party or person seeking a protective order may be
permitted to make all or part of the required showing in camera. A
record shall be made of such in camera proceedings. If the Presiding
Officer enters a protective order following a showing in camera, the
record of such showing shall be sealed and preserved and made available
to the Agency or court in the event of appeal.
(ii) Attendance at any in camera proceeding may be limited to the
Presiding Officer, the Agency, and the person or party seeking the
protective order.
(3) Any party, subject to the terms and conditions of any
protective order issued pursuant to paragraph (n)(1) of this section,
desiring for the presentation of his/her case to make use of any in
camera documents or testimony shall make application to the Presiding
Officer by motion setting forth the justification therefor. The
Presiding Officer, in granting any such motion, shall enter an order
protecting the rights of the affected persons and parties and
preventing unnecessary disclosure of such information, including the
presentation of such information and oral testimony and cross-
examination concerning it in executive session, as in his/her
discretion is necessary and practicable.
(4) In the submittal of findings, briefs, or other papers, counsel
for all parties shall make a good faith attempt to refrain from
disclosing the specific details of in camera documents and testimony.
This shall not preclude references in such findings, briefs, or other
papers to such documents or testimony including generalized statements
based on their contents. To the extent that counsel consider it
necessary to include specific details in their presentations, such data
shall be incorporated in separate findings, briefs, or other papers
marked ``confidential'', which shall become part of the in camera
record.
(o) Motions. (1) All motions, except those made orally during the
course of the hearing, shall be in writing and shall state with
particularity the grounds therefor, shall set forth the relief or order
sought, and shall be filed with the Hearing Clerk and served upon all
parties.
(2) Within ten days after service of any motion filed pursuant to
this section, or within such other time as may be fixed by the
Environmental Appeals Board or the Presiding Officer, as appropriate,
any party may serve and file an answer to the motion. The movant shall,
if requested by the Environmental Appeals Board or the Presiding
Officer, as appropriate, serve and file reply papers within the time
set by the request.
(3) The Presiding Officer shall rule upon all motions filed or made
prior to the filing of his decision or accelerated decision, as
appropriate. The Environmental Appeals Board shall rule upon all
motions filed prior to the appointment of a Presiding Officer and all
motions filed after the filing of the decision of the Presiding Officer
or accelerated decision. Oral argument of motions will be permitted
only if the Presiding Officer or the Environmental Appeals Board, as
appropriate, deems it necessary.
(p) Evidence. (1) The official transcripts and exhibits, together
with all papers and requests filed in the proceeding, shall constitute
the record. Immaterial or irrelevant parts of an admissible document
shall be segregated and excluded so far as practicable. Documents or
parts thereof subject to a protective order under paragraph (n) of this
section shall be segregated. Evidence may be received at the hearing
even though inadmissible under the rules of evidence applicable to
judicial proceedings. The weight to be given evidence shall be
determined by its reliability and probative value.
(2) The Presiding Officer shall allow the parties to examine and to
cross-examine a witness to the extent that such examination and cross-
examination is necessary for a full and true disclosure of the facts.
(3) Rulings of the Presiding Officer on the admissibility of
evidence, the propriety of examination and cross-examination and other
procedural matters shall appear in the record.
(4) Parties shall automatically be presumed to have taken exception
to an adverse ruling.
[[Page 19073]]
(q) Interlocutory appeal. (1) An interlocutory appeal may be taken
to the Environmental Appeals Board either:
(i) With the consent of the Presiding Officer and where he
certifies on the record or in writing that the allowance of an
interlocutory appeal is clearly necessary to prevent exceptional delay,
expense or prejudice to any party or substantial detriment to the
public interest; or
(ii) Absent the consent of the Presiding Officer, by permission of
the Environmental Appeals Board.
(2) Applications for interlocutory appeal of any ruling or order of
the Presiding Officer may be filed with the Presiding Officer within 5
days of the issuance of the ruling or order being appealed. Answers
thereto by other parties may be filed within 5 days of the service of
such applications.
(3) The Presiding Officer shall rule on such applications within 5
days of the filing of such application or answers thereto.
(4) Applications to file such appeals absent consent of the
Presiding Officer shall be filed with the Environmental Appeals Board
within 5 days of the denial of any appeal by the Presiding Officer.
(5) The Environmental Appeals Board will consider the merits of the
appeal on the application and any answers thereto. No oral argument
will be heard nor other briefs filed unless the Environmental Appeals
Board directs otherwise.
(6) Except under extraordinary circumstances as determined by the
Presiding Officer, the taking of an interlocutory appeal will not stay
the hearing.
(r) Record. (1) Hearings shall be stenographically reported and
transcribed, and the original transcript shall be part of the record
and the sole official transcript. Copies of the record shall be filed
with the Hearing Clerk and made available during Agency business hours
for public inspection. Any person desiring a copy of the record of the
hearing or any part thereof shall be entitled to the same upon payment
of the cost thereof.
(2) The official transcripts and exhibits, together with all papers
and requests filed in the proceeding, shall constitute the record.
(s) Findings, conclusions. (1) Within 20 days of the close of the
reception of evidence, or within such longer time as may be fixed by
the Presiding Officer, any party may submit for the consideration of
the Presiding Officer findings of fact, conclusions of law, and a rule
or order, together with reasons therefor and briefs in support thereof.
Such proposals shall be in writing, shall be served upon all parties,
and shall contain adequate references to the record and authorities
relied on.
(2) The record shall show the Presiding Officer's ruling on the
findings and conclusions except when his/her order disposing of the
proceeding otherwise informs the parties of the action taken by him/her
thereon.
(t) Decision of the Presiding Officer. (1) Unless extended by the
Environmental Appeals Board, the Presiding Officer shall issue and file
with the Hearing Clerk his decision within 30 days after the period for
filing findings as provided for in paragraph (s) of this section has
expired.
(2) The Presiding Officer's decision shall become the opinion of
the Environmental Appeals Board:
(i) When no notice of intention to appeal as described in paragraph
(u) of this section is filed, 30 days after the issuance thereof,
unless in the interim the Environmental Appeals Board shall have taken
action to review or stay the effective date of the decision; or
(ii) When a notice of intention to appeal is filed but the appeal
is not perfected as required by paragraph (u) of this section, 5 days
after the period allowed for perfection of an appeal has expired unless
within that 5 day period, the Environmental Appeals Board shall have
taken action to review or stay the effective date of the decision.
(3) The Presiding Officer's decision shall include a statement of
findings and conclusions, as well as the reasons or basis therefor,
upon all the material issues of fact or law presented on the record and
an appropriate rule or order. Such decision shall be supported by
substantial evidence and based upon a consideration of the whole
record.
(4) At any time prior to the issuance of his decision, the
Presiding Officer may reopen the proceeding for the reception of
further evidence. Except for the correction of clerical errors, the
jurisdiction of the Presiding Officer is terminated upon the issuance
of his/her decision.
(u) Appeal from the decision of the Presiding Officer. (1) Any
party to a proceeding may appeal the Presiding Officer's decision to
the Environmental Appeals Board, Provided, That within 10 days after
issuance of the Presiding Officer's decision such party files a notice
of intention to appeal and an appeal brief within 30 days of such
decision.
(2) When an appeal is taken from the decision of the Presiding
Officer, any party may file a brief with respect to such appeal. The
brief shall be filed within 20 days of the date of the filing of the
appellant's brief.
(3) Any brief filed pursuant to this paragraph (u) shall contain in
the order indicated, the following:
(i) A subject index of the matter in the brief, with page
references, and a table of cases (alphabetically arranged), textbooks,
statutes, and other material cited, with page references thereto;
(ii) A specification of the issues intended to be urged;
(iii) The argument presenting clearly the points of fact and law
relied upon in support of the position taken on each issue, with
specific page references to the record and the legal or other material
relied upon; and
(iv) A form of rule or order for the Environmental Appeals Board's
consideration if different from the rule or order contained in the
Presiding Officer's decision.
(4) No brief in excess of 40 pages shall be filed without leave of
the Environmental Appeals Board.
(5) Oral argument will be allowed in the discretion of the
Environmental Appeals Board.
(v) Review of the Presiding Officer's decision in absence of
appeal. (1) If, after the expiration of the period for taking an appeal
as provided for by paragraph (u) of this section, no notice of
intention to appeal the decision of the Presiding Officer has been
filed, or if filed, not perfected, the Hearing Clerk shall so notify
the Environmental Appeals Board.
(2) The Environmental Appeals Board, upon receipt of notice from
the Hearing Clerk that no notice of intention to appeal has been filed,
or if filed, not perfected pursuant to paragraph (u) of this section,
may, on its own motion, within the time limits specified in paragraph
(t)(2) of this section, review the decision of the Presiding Officer.
Notice of the intention of the Environmental Appeals Board to review
the decision of the Presiding Officer shall be given to all parties and
shall set forth the scope of such review and the issue which shall be
considered and shall make provision for filing of briefs.
(w) Decision on appeal or review. (1) Upon appeal from or review of
the Presiding Officer's decision, the Environmental Appeals Board shall
consider such parts of the record as are cited or as may be necessary
to resolve the issues presented and, in addition shall to the extent
necessary or desirable exercise all the powers which it could have
exercised if it had presided at the hearing.
(2) In rendering its decision, the Environmental Appeals Board
shall adopt, modify, or set aside the findings,
[[Page 19074]]
conclusions, and rule or order contained in the decision of the
Presiding Officer and shall set forth in its decision a statement of
the reasons or bases for its action.
(3) In those cases where the Environmental Appeals Board determines
that it should have further information or additional views of the
parties as to the form and content of the rule or order to be issued,
the Environmental Appeals Board, in its discretion, may withhold final
action pending the receipt of such additional information or views, or
may remand the case to the Presiding Officer.
(x) Reconsideration. Within twenty (20) days after issuance of the
Environmental Appeals Board's decision, any party may file with the
Environmental Appeals Board a petition for reconsideration of such
decision, setting forth the relief desired and the grounds in support
thereof. Any petition filed under this paragraph (x) must be confined
to new questions raised by the decision or the final order and upon
which the petitioner had no opportunity to argue before the Presiding
Officer or the Environmental Appeals Board. Any party desiring to
oppose such a petition shall file and answer thereto within ten (10)
days after the filing of the petition. The filing of a petition for
reconsideration shall not operate to stay the effective date of the
decision or order or to toll the running of any statutory time period
affecting such decision or order unless specifically so ordered by the
Environmental Appeals Board.
(y) Accelerated decision: Dismissal. (1) The Presiding Officer,
upon motion of any party or sua sponte, may at any time render an
accelerated decision in favor of the Agency or the manufacturer or
remanufacturer as to all or any part of the proceeding, without further
hearing or upon such limited additional evidence such as affidavits as
he/she may require, or dismiss any party with prejudice, under any of
the following conditions:
(i) Failure to state a claim upon which relief can be granted, or
direct or collateral estoppel;
(ii) There is no genuine issue of material fact and a party is
entitled to judgment as a matter of law; or
(iii) Such other and further reasons as are just, including
specifically failure to obey a procedural order of the Presiding
Officer.
(2) If under this paragraph (y) an accelerated decision is issued
as to all the issues and claims joined in the proceeding, the decision
shall be treated for the purposes of these procedures as the decision
of the Presiding Officer as provided in paragraph (p) of this section.
(3) If under this paragraph (y), judgment is rendered on less than
all issues or claims in the proceeding, the Presiding Officer shall
determine what material facts exist without substantial controversy and
what material facts are actually and in good faith controverted. He/she
shall thereupon issue an order specifying the facts which appear
without substantial controversy, and the issues and claims upon which
the hearing will proceed.
(z) Conclusion of hearing. (1) If, after the expiration of the
period for taking an appeal as provided for by paragraph (u) of this
section, no appeal has been taken from the Presiding Officer's
decision, and, after the expiration of the period for review by the
Environmental Appeals Board on its own motion as provided for by
paragraph (v) of this section, the Environmental Appeals Board does not
move to review such decision, the hearing will be deemed to have ended
at the expiration of all periods allowed for such appeal and review.
(2) If an appeal of the Presiding Officer's decision is taken
pursuant to paragraph (u) of this section, or if, in the absence of
such appeal, the Environmental Appeals Board moves to review the
decision of the Presiding Officer pursuant to paragraph (v) of this
section, the hearing will be deemed to have ended upon the rendering of
a final decision by the Environmental Appeals Board.
(aa) Judicial review. (1) The Administrator hereby designates the
Deputy General Counsel, Environmental Protection Agency as the officer
upon whom copy of any petition for judicial review shall be served.
Such officer shall be responsible for filing in the court the record on
which the order of the Environmental Appeals Board is based.
(2) Before forwarding the record to the court, the Agency shall
advise the petitioner of costs of preparing it and as soon as payment
to cover fees is made shall forward the record to the court.
Subpart I--Importation of Nonconforming Locomotives and Locomotive
Engines
Sec. 92.801 Applicability.
(a) Except where otherwise indicated, this subpart is applicable to
importers of locomotives or locomotive engines for which the
Administrator has promulgated regulations under this part prescribing
emission standards, that are offered for importation or imported into
the United States, but which locomotives or locomotive engines, at the
time of importation or being offered for importation, are not covered
by certificates of conformity issued under section 213 and section
206(a) of the Clean Air Act (that is, which are nonconforming
locomotives or locomotive engines as defined in Sec. 92.2), and this
part. Compliance with regulations under this subpart does not relieve
any person or entity from compliance with other applicable provisions
of the Clean Air Act.
(b) Regulations prescribing further procedures for the importation
of locomotives and locomotive engines into the Customs territory of the
United States, as defined in 19 U.S.C. 1202, are set forth in U.S.
Customs Service regulations (19 CFR chapter I).
Sec. 92.802 Definitions.
The definitions of subpart A of this part apply to this subpart.
Sec. 92.803 Admission.
A nonconforming locomotive or locomotive engine offered for
importation may be admitted into the United States pursuant to the
provisions of this subpart. In order to obtain admission the importer
must submit to the Administrator a written request for approval
containing the following:
(a) Identification of the importer of the locomotive or locomotive
engine and the importer's address, telephone number, and taxpayer
identification number;
(b) Identification of the locomotive's or locomotive engine's
owner, the owner's address, telephone number, and taxpayer
identification number;
(c) Identification of the locomotive and/or locomotive engine
including make, model, identification number, and original production
year;
(d) Information indicating the provision in this subpart under
which the locomotive or locomotive engine is to be imported;
(e) Identification of the place(s) where the locomotive or
locomotive engine is to be stored until EPA approval of the importer's
application to the Administrator for final admission;
(f) Authorization for EPA enforcement officers to conduct
inspections or testing otherwise permitted by the Act or regulations
thereunder; and
(g) Such other information as is deemed necessary by the
Administrator.
Sec. 92.804 Exemptions.
(a) Unless otherwise specified, any person may apply for the
exemptions allowed by this section.
(b) Notwithstanding other requirements of this subpart, a
[[Page 19075]]
nonconforming locomotive or locomotive engine that qualifies for a
temporary exemption under this paragraph may be conditionally admitted
into the United States if prior written approval for the conditional
admission is obtained from the Administrator. Conditional admission is
to be under bond. The Administrator may request that the U.S. Customs
Service require a specific bond amount to ensure compliance with the
requirements of the Act and this subpart. A written request for a
temporary exemption from the Administrator shall contain the
identification required in Sec. 92.803 and information that
demonstrates that the locomotives and or locomotive engines qualify for
an exemption. Noncompliance with provisions of this section may result
in the forfeiture of the total amount of the bond and/or exportation of
the locomotive or locomotive engine. The following temporary exemptions
are permitted by this paragraph (b):
(1) Exemption for repairs or alterations. Upon written approval by
EPA, a person may conditionally import under bond a nonconforming
locomotive or locomotive engine solely for purpose of repair(s) or
alteration(s). The locomotive or locomotive engine may not be operated
in the United States other than for the sole purpose of repair or
alteration or shipment to the point of repair or alteration and to the
port of export. It may not be sold or leased in the United States and
is to be exported upon completion of the repair(s) or alteration(s).
(2) Testing exemption. A nonconforming test locomotive or
locomotive engine may be conditionally imported by a person subject to
the requirements of Sec. 92.905. A test locomotive or locomotive engine
may be operated in the United States provided that the operation is an
integral part of the test. This exemption is limited to a period not
exceeding one year from the date of importation unless a request is
made by the appropriate importer, and subsequently granted by EPA,
concerning the locomotive or locomotive engine in accordance with
Sec. 92.905 for a subsequent one-year period.
(3) Display exemptions. (i) A nonconforming locomotive or
locomotive engine intended solely for display may be conditionally
imported under bond subject to the requirements of Sec. 92.906(b).
(ii) A display locomotive or locomotive engine may be imported by
any person for purposes related to a business or the public interest.
Such purposes do not include collections normally inaccessible or
unavailable to the public on a daily basis, display of a locomotive or
locomotive engine at a dealership, private use, or other purpose that
the Administrator determines is not appropriate for display exemptions.
A display locomotive or locomotive engine may not be sold or leased in
the United States and may not be operated in the United States except
for the operation incident and necessary to the display purpose.
(iii) A display exemption is granted for 12 months or for the
duration of the display purpose, whichever is shorter. Extensions of up
to 12 months each are available upon approval by the Administrator. In
no circumstances, however, may the total period of exemption exceed 36
months.
(c) National security exemption. Notwithstanding any other
requirement of this subpart, a locomotive or locomotive engine may be
permanently imported into the United States under the national security
exemption found at Sec. 92.908, if prior written approval for such
permanent importation is obtained from the Administrator. A request for
approval is to contain the identification information required in
Sec. 92.803 and information that demonstrates that the importer is
entitled to the exemption.
(d) An application for exemption provided for in paragraphs (b) and
(c) of this section shall be mailed to: Group Manager, Engine
Compliance Programs Group, Engine Programs and Compliance Division U.S.
Environmental Protection Agency, 6403-J, 401 M St., S.W., Washington,
D.C. 20460, Attention: Imports.
(e) Incidental use exemption. Locomotives that are operated
primarily outside of the United States, and that enter the United
States temporarily from Canada or Mexico are exempt from the
requirements and prohibitions of this part without application,
provided that the operation within the United States is not extensive
and is incidental to their primary operation.
Sec. 92.805 Prohibited acts; penalties.
FID HCd=Concentration of hydrocarbons in dilute exhaust
(a) The importation of a locomotive or locomotive engine which is
not covered by a certificate of conformity other than in accordance
with this subpart and the entry regulations of the U.S. Customs Service
is prohibited. Failure to comply with this section is a violation of
section 213(d) and section 203 of the Act.
(b) Unless otherwise permitted by this subpart, during a period of
conditional admission, the importer of a locomotive or locomotive
engine may not:
(1) Operate the locomotive or locomotive engine in the United
States;
(2) Sell or lease or offer the locomotive or locomotive engine for
sale or lease.
(c) A locomotive or locomotive engine conditionally admitted
pursuant to Sec. 92.804 and not otherwise permanently exempted or
excluded by the end of the period of conditional admission, or within
such additional time as the Administrator and the U.S. Customs Service
may allow, is deemed to be unlawfully imported into the United States
in violation of section 213(d) and section 203 of the Act, unless the
locomotive or locomotive engine has been delivered to the U.S. Customs
Service for export or other disposition under applicable Customs laws
and regulations by the end of the period of conditional admission. A
locomotive or locomotive engine not so delivered is subject to seizure
by the U.S. Customs Service.
(d) An importer who violates section 213(d) and section 203 of the
Act is subject to a civil penalty under section 205 of the Act and
Sec. 92.1106. In addition to the penalty provided in the Act and
Sec. 92.1106, where applicable, a person or entity who imports an
engine under the exemption provisions of Sec. 92.804 and, who fails to
deliver the locomotive or locomotive engine to the U.S. Customs Service
by the end of the period of conditional admission is liable for
liquidated damages in the amount of the bond required by applicable
Customs laws and regulations.
Subpart J--Exclusion and Exemption Provisions
Sec. 92.901 Purpose and applicability.
The provisions of this subpart identify excluded locomotives (i.e.,
locomotives not covered by the Act) and allow for the exemption of
locomotives and locomotive engines from certain provisions of this
part. The applicability of the exclusions is described in Sec. 92.903,
and the applicability of the exemption allowances is described in
Secs. 92.904 through 92.909.
Sec. 92.902 Definitions.
The definitions of subpart A of this part apply to this subpart.
Sec. 92.903 Exclusions.
(a) Upon written request with supporting documentation, EPA will
make written determinations as to whether certain locomotives are
excluded from applicability of this part. Any locomotives that are
determined to be excluded are not subject to the regulations under this
part. Requests to determine whether certain locomotives are excluded
should be sent to: Group
[[Page 19076]]
Manager, Engine Compliance Programs Group, Engine Programs and
Compliance Division U.S. Environmental Protection Agency, 6403-J, 401 M
St., SW, Washington, D.C. 20460.
(b) EPA will maintain a list of models of locomotives that have
been determined to be excluded from coverage under this part. This list
will be available to the public and may be obtained by writing to the
address in paragraph (a) of this section.
(c) In addition to the locomotives excluded in paragraph (a) of
this section, certain vehicles are not subject to the requirements and
prohibitions of this part because they are excluded from the
definitions of ``locomotive'' and/or ``new locomotive'' in Sec. 92.2.
Sec. 92.904 Exemptions.
(a) Except as specified otherwise in this subpart, the provisions
of Secs. 92.904 through 92.911 exempt certain new locomotives and new
locomotive engines from the standards, other requirements, and
prohibitions of this part, except for the requirements of this subpart
and the requirements of Sec. 92.1104.
(b)(1) Any person may request a testing exemption subject to the
provisions of Sec. 92.905.
(2) Any locomotive or locomotive engine manufacturer or
remanufacturer may request a national security exemption subject to the
provisions of Sec. 92.908.
(3) Locomotive or locomotive engines manufactured or remanufactured
for export purposes are exempt without application, subject to the
provisions of Sec. 92.909, except as otherwise specified by
Sec. 92.909.
(4) Manufacturer-owned and remanufacturer-owned locomotive or
locomotive engines are exempt without application, subject to the
provisions of Sec. 92.906(a).
(5) Display locomotive or locomotive engines are exempt without
application, subject to the provisions of Sec. 92.906(b).
(6) Locomotive propulsion engines that are identical to engines
that are covered by a certificate of conformity issued under 40 CFR
part 89, and the locomotives in which they are used, are exempt,
subject to the provisions of Sec. 92.907.
Sec. 92.905 Testing exemption.
(a)(1) The Administrator may exempt from the standards and/or other
requirements and prohibitions of this part new locomotives or new
locomotive engines that are being used solely for the purpose of
conducting a test program. Any person requesting an exemption for the
purpose of conducting a test program must demonstrate the following:
(i) That the test program has a purpose which constitutes an
appropriate basis for an exemption in accordance this section;
(ii) That the proposed test program necessitates the granting of an
exemption;
(iii) That the proposed test program exhibits reasonableness in
scope; and
(iv) That the proposed test program exhibits a degree of oversight
and control consonant with the purpose of the test program and EPA's
monitoring requirements.
(2) Paragraphs (b), (c), (d), and (e) of this section describe what
constitutes a sufficient demonstration for each of the four elements
identified in paragraphs (a)(1)(i) through (iv) of this section.
(b) With respect to the purpose of the proposed test program, an
appropriate purpose would be research, investigations, studies,
demonstrations, technology development, or training, but not national
security. A concise statement of purpose is a required item of
information.
(c) With respect to the necessity that an exemption be granted,
necessity arises from an inability to achieve the stated purpose in a
practicable manner without performing or causing to be performed one or
more of the prohibited acts under Sec. 92.1103. In appropriate
circumstances, time constraints may be a sufficient basis for
necessity, but the cost of certification alone, in the absence of
extraordinary circumstances, is not a basis for necessity.
(d) With respect to reasonableness, a test program must exhibit a
duration of reasonable length and affect a reasonable number of
engines. In this regard, required items of information include:
(1) An estimate of the program's duration; and
(2) The maximum number of locomotives or locomotive engines
involved.
(e) With respect to control, the test program must incorporate
procedures consistent with the purpose of the test and be capable of
affording EPA monitoring capability. As a minimum, required items of
information include:
(1) The technical nature of the testing;
(2) The location(s) of the testing;
(3) The time, work, or mileage duration of the testing;
(4) The ownership arrangement with regard to the locomotives and
engines involved in the testing;
(5) The intended final disposition of the locomotives and engines;
(6) The manner in which the locomotive or engine identification
numbers will be identified, recorded, and made available; and
(7) The means or procedure whereby test results will be recorded.
(f) A manufacturer or remanufacturer of new locomotives or
locomotive engines may request a testing exemption to cover locomotives
or locomotive engines intended for use in test programs planned or
anticipated over the course of a subsequent two-year period. Unless
otherwise required by the Director, Engine Programs and Compliance
Division, a manufacturer or remanufacturer requesting such an exemption
need only furnish the information required by paragraphs (a)(1) and
(d)(2) of this section along with a description of the recordkeeping
and control procedures that will be employed to assure that the
locomotives or locomotive engines are used for purposes consistent with
paragraph (a) of this section.
(g) For locomotives being used for the purpose of developing a
fundamentally new emission control technology related either to an
alternative fuel or an aftertreatment device, the Administrator may
exempt the locomotive from some or all of the applicable standards of
this part for the full useful life of the locomotive, subject to the
provisions of paragraphs (a) through (f) of this section.
Sec. 92.906 Manufacturer-owned, remanufacturer-owned exemption and
display exemption.
(a) Any manufacturer-owned or remanufacturer-owned locomotive or
locomotive engine, as defined by Sec. 92.2, is exempt from
Sec. 92.1103, without application, if the manufacturer complies with
the following terms and conditions:
(1) The manufacturer or remanufacturer must establish, maintain,
and retain the following adequately organized and indexed information
on each exempted locomotive or locomotive engine:
(i) Locomotive or engine identification number;
(ii) Use of the locomotive or engine on exempt status; and
(iii) Final disposition of any locomotive or engine removed from
exempt status.
(2) The manufacturer or remanufacturer must provide right of entry
and access to these records to EPA Enforcement Officers as outlined in
Sec. 92.208.
(3) The manufacturer or remanufacturer must permanently affix a
label to each locomotive or locomotive engine on exempt status, unless
the requirement is waived or an alternate procedure is approved by the
Director,
[[Continued on page 19077]]