[Federal Register Volume 63, Number 73 (Thursday, April 16, 1998)]
[Rules and Regulations]
[Pages 18978-19084]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-7769]



[[Page 18977]]

_______________________________________________________________________

Part II





Environmental Protection Agency





_______________________________________________________________________



40 CFR Parts 85, 89 and 92



Emission Standards for Locomotives and Locomotive Engines; Final Rule

  Federal Register / Vol. 63, No. 73 / Thursday, April 16, 1998 / Rules 
and Regulations  

[[Page 18978]]



ENVIRONMENTAL PROTECTION AGENCY

40 CFR Parts 85, 89 and 92

[FRL-5939-7]
RIN 2060-AD33


Emission Standards for Locomotives and Locomotive Engines

AGENCY: Environmental Protection Agency (EPA).

ACTION: Final rulemaking.

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SUMMARY: EPA is promulgating emission standards and associated 
regulatory requirements for the control of emissions from locomotives 
and locomotive engines as required by the Clean Air Act section 
213(a)(5). The primary focus of this rule is the reduction of emissions 
of oxides of nitrogen (NOX). The standards will take effect 
in 2000 and will ultimately result in a more than 60 percent reduction 
in NOX from locomotives. NOX is a precursor to 
the formation of ground level ozone, which causes health problems such 
as damage to lung tissue, reduction of lung function, and sensitization 
of lungs to other irritants, as well as damage to terrestrial and 
aquatic ecosystems. EPA is also promulgating standards for emissions of 
hydrocarbons (HC), carbon monoxide (CO), particulate matter (PM), and 
smoke. The overall cost-effectiveness of today's emissions standards is 
158 dollars per ton of NOX, PM and HC reduced. Today's rule 
also includes a variety of provisions to implement the standards and to 
ensure that the standards are met in-use. These provisions include 
certification test procedures, and assembly line and in-use compliance 
testing programs. Also included in today's rule is an emissions 
averaging, banking and trading program to improve feasibility and 
provide flexibility in achieving compliance with the proposed 
standards. Finally, EPA is promulgating regulations that preempt 
certain state and local requirements relating to the control of 
emissions from new locomotives and new locomotive engines, pursuant to 
Clean Air Act section 209(e).

DATES: This final rule is effective June 15, 1998, except for 
Secs. 92.133, 92.213, 92.216, 92.308, 92.309, 92.406, 92.504, 92.606, 
92.708, and 92.910 which are not effective until the Office of 
Management and Budget (OMB) has approved the information collection 
requirements contained in them. EPA will publish a document in the 
Federal Register announcing the effective date for those sections. 
Documents will also be published in the Federal Register both when the 
information collection request (ICR) is sent to OMB for approval and 
when OMB approves the information collection requirements.
    The incorporation by reference of certain publications listed in 
the regulations is approved by the Director of the Federal Register as 
of June 15, 1998.

ADDRESSES: Materials relevant to this final rule are contained in 
Docket No. A-94-31, located at the Air Docket, 401 M Street SW, 
Washington, DC 20460, and may be reviewed in Room M-1500 from 8:00 a.m. 
until noon and from 1:30 p.m until 3:30 p.m. Monday through Friday. As 
provided in 40 CFR part 2, a reasonable fee may be charged by EPA for 
photocopying docket materials.

FOR FURTHER INFORMATION CONTACT: For information on this rulemaking 
contact: John Mueller, U.S. EPA, Engine Programs and Compliance 
Division, 2565 Plymouth Road, Ann Arbor, MI 48105; Telephone: (313) 
668-4275, Fax: (313) 741-7816. Requests for hard copies of the 
preamble, regulation text, Regulatory Support Document (RSD) and 
Summary and Analysis of Comments Document (SAC) should be directed to 
Carol Connell at (313) 668-4349.

SUPPLEMENTARY INFORMATION:

I. Introduction
II. Regulated Entities
III. Statutory Authority
IV. Description of Action
    A. Applicability
    B. Timing
    C. Emission Standards
    D. Other Nonroad Engines
    E. Useful Life
    F. Averaging, Banking and Trading
    G. Compliance Assurance
    H. Test Procedures
    I. Railroad Requirements
    J. Miscellaneous
    K. Preemption
V. Public Participation
VI. Environmental Effects
VII. Economic Impacts
VIII. Cost-effectiveness
IX. Administrative Designation and Regulatory Assessment 
Requirements
    A. Executive Order 12866
    B. Regulatory Flexibility
    C. Paperwork Reduction Act
    D. Unfunded Mandates Reform Act
    E. Submission to Congress and the General Accounting Office
X. Copies of Rulemaking Documents
XI. Judicial Review

I. Introduction

    The Clean Air Act as amended in 1990 (hereafter referred to as the 
Act) mandated that EPA establish emission regulations for a variety of 
previously unregulated nonroad mobile sources. Included in those 
requirements was a specific mandate to adopt emission standards for 
locomotives and locomotive engines. EPA published a Notice of Proposed 
Rulemaking (NPRM) proposing emission standards and associated 
compliance mechanisms (e.g., test procedures, certification and 
enforcement provisions), as well as regulations concerning the 
preemption of state and local emission standards and other requirements 
for new locomotives and new locomotive engines on February 11, 1997 (62 
FR 6365).
    A public hearing was held on May 15, 1997 in Romulus, Michigan at 
which verbal comments on the NPRM were received. Written comments 
responding to the proposal were also received. In total, comments were 
received from 31 public and private parties. The Agency fully 
considered all comments received in developing today's final rule.
    The remaining sections of this preamble describe EPA's resolution 
of the issues associated with the rulemaking. Section II describes the 
entities affected by this action. Section III describes EPA's legal 
authority for this action. Section IV describes today's action and 
summarizes the changes made from the proposed regulations. Subsequent 
sections cover the public participation portion of the rulemaking 
process, the environmental and economic impacts associated with today's 
action, and a variety of administrative requirements.

II. Regulated Entities

    Entities potentially regulated by this action are those which 
manufacture, remanufacture and/or import locomotives and/or locomotive 
engines; those which own and operate locomotives; and state and local 
governments. Regulated categories and entities include:

------------------------------------------------------------------------
                                                Examples of regulated   
                 Category                             entities          
------------------------------------------------------------------------
Industry..................................  Manufacturers,              
                                             remanufacturers and        
                                             importers of locomotives   
                                             and locomotive engines,    
                                             railroad owners and        
                                             operators.                 
Government................................  State and local             
                                             governments.\1\            
------------------------------------------------------------------------
\1\ It should be noted that the regulations do not impose any           
  requirements on state and local governments (other than those that own
  or operate local and regional railroads), but rather implement the    
  Clean Air Act preemption provision for locomotives.                   

    This table is not intended to be exhaustive, but rather provides a 
guide for readers regarding entities likely to be regulated by this 
action. This table lists the types of entities that EPA is now aware 
could potentially be regulated by this action. Other types of entities 
not listed in the table could also be

[[Page 18979]]

regulated. To determine whether your company is regulated by this 
action, you should carefully examine the applicability criteria in 
sections 92.1, 92.801, 92.901 and 92.1001 of the regulatory text in 
this document, as well as 40 CFR 85.1601 and 89.1. If you have 
questions regarding the applicability of this regulation to a 
particular entity, consult the person listed in the preceding FOR 
FURTHER INFORMATION CONTACT section.

III. Statutory Authority

    Authority for the actions promulgated in this document is granted 
to the Environmental Protection Agency (EPA) by sections 114, 203, 204, 
205, 206, 207, 208, 209, 213, 215, 216 and 301(a) of the Clean Air Act 
as amended in 1990 (CAA or ``the Act'') (42 U.S.C. 7414, 7522, 7523, 
7524, 7525, 7541, 7542, 7543, 7547, 7549, 7550 and 7601(a)).
    EPA is promulgating emission standards for new locomotives and new 
engines used in locomotives pursuant to its authority under section 213 
of the Clean Air Act. Section 213(a)(5) directs EPA to adopt emissions 
standards for ``new locomotives and new engines used in locomotives 
that achieve the greatest degree of emissions reductions achievable 
through the use of technology that the Administrator determines will be 
available for such vehicles and engines, taking into account the cost 
of applying such technology within the available time period, and 
noise, energy, and safety factors associated with the application of 
such technology.'' As described in this document and in the regulatory 
support document, EPA has evaluated the available information to 
determine the technology that will be available for locomotives and 
engines proposed to be subject to EPA standards.
    EPA is also acting under its authority to implement and enforce the 
locomotive emission standards. Section 213(d) provides that the 
standards EPA adopts for new locomotives and new engines used in 
locomotives ``shall be subject to sections 206, 207, 208, and 209'' of 
the Clean Air Act, with such modifications that the Administrator deems 
appropriate to the regulations implementing these sections. In 
addition, the locomotive standards ``shall be enforced in the same 
manner as [motor vehicle] standards prescribed under section 202'' of 
the Act. Section 213(d) also grants EPA authority to promulgate or 
revise regulations as necessary to determine compliance with, and 
enforce, standards adopted under section 213. Pursuant to this 
authority, EPA is requiring that manufacturers (including 
remanufacturers) of new locomotives and new engines used in locomotives 
must obtain a certificate of conformity with EPA's emissions standards 
and requirements, and must subject the locomotives and engines to 
assembly line and in-use testing. The language of section 213(d) 
directs EPA to generally enforce the locomotive emissions standards in 
the same manner as it enforces motor vehicle emissions standards. 
Pursuant to this authority, EPA is promulgating regulations similar to 
those adopted for motor vehicles and engines under section 203 of the 
Act, which prescribes certain enforcement-related prohibitions, 
including a prohibition against introducing a new vehicle or engine 
that is not covered by a valid certificate of conformity into commerce, 
a prohibition against tampering, and a prohibition on importing a 
vehicle or engine into the United States without a valid, applicable 
certificate of conformity. In addition, EPA is promulgating emission 
defect regulations that require manufacturers to report to EPA 
emissions-related defects that affect a given class or category of 
locomotives or locomotive engines.
    EPA is also promulgating regulations to clarify the scope of the 
Act's preemption of state regulation. Section 209(e) prohibits states 
from adopting and enforcing standards and other requirements relating 
to the control of emissions from new locomotives and new engines used 
in locomotives. This provision also grants EPA authority to adopt 
regulations to implement section 209(e). Pursuant to this authority, 
EPA is promulgating regulations to implement the express preemption of 
state emissions standards for new locomotives and new engines used in 
locomotives, for the purpose of clarifying the scope of preemption for 
states and industry.1
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    \1\ EPA, the State of California and the Class I freight 
railroads operating in Southern California have been developing a 
unique, voluntary railroad fleet average program to achieve 
additional NOx reductions for the South Coast ozone nonattainment 
area. The program would be implemented principally by the railroads 
and the California Air Resources Board. The parties are structuring 
this agreement to achieve their mutual goals, including successful 
implementation of the unique consultative process in the EPA's 
approval of the 1994 California state implementation plan (SIP) 
revisions for the South Coast. In particular, the agreed fleet 
average program will achieve reductions that meet the targets of 
measure M-14 included in the 1994 California SIP revisions approved 
by EPA in 1996. In the event that the agreement fails to attain its 
identified emission reductions, and is terminated as provided by the 
agreement, EPA has reserved and will exercise its authorities to 
assure emission reductions from railroads and/or, if necessary, from 
other national transportation sources.
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IV. Description of Action

    This section contains a description of each provision of today's 
rule. This rule contains emission standards not only for locomotives 
originally manufactured after the effective date of the standards, but 
also for existing locomotives originally manufactured after 1972, when 
remanufactured after the applicable effective date of today's action. 
Today EPA is adopting the first national emission regulations 
applicable to locomotives. In addition to emission standards, this rule 
contains a variety of compliance and enforcement provisions, as well as 
regulations concerning the preemption of certain state and local 
controls over locomotives. Each of these items is discussed in detail 
in this section and in the Summary and Analysis of Comments document 
(SAC) accompanying this rule. For complete information on the new 
program requirements the reader is referred to the accompanying 
regulations appearing at the end of today's document. The reader is 
also referred to the complete Title 40 , parts 85 and 89 of the Code of 
Federal Regulations, which this rulemaking amends.2
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    \2\ The regulations published at the end of this document do not 
include a paragraph that was inadvertently included in the 
regulations signed by the Administrator on December 17, 1997 and 
released to the public electronically on December 18, 1997. The 
final rule, as signed by the Administrator and released 
electronically, contained a regulatory provision that was included 
in a staff-level draft, but was intended to be deleted from the 
final version prior to signature. However, due to a mistake, EPA 
staff inadvertently failed to delete this particular provision prior 
to signature. In this action, the Administrator removed the 
following paragraph from the final locomotive emissions regulations:
    ``(2) Where the manufacturer or remanufacturer identifies the 
reason(s) that the failing locomotives failed to comply with the 
applicable emission standards, and demonstrates, to the 
Administrator's satisfaction, that such reason(s) was (were) beyond 
the control of the manufacturer or remanufacturer (or its suppliers, 
or other entities contracted by the manufacturer or remanufacturer 
to provide goods or services for the manufacture or remanufacture of 
the locomotive), EPA will not pursue remedial action against the 
manufacturer or remanufacturer.''
    To the extent that the rule signed on December 17, 1997 may be 
deemed to have been promulgated, EPA finds good cause for removing 
this paragraph without prior notice and comment, since such 
procedure is unnecessary, and contrary to the public interest. 
Public notice and comment is unnecessary because EPA is simply 
removing from the regulatory text a paragraph that the Agency did 
not intend to include in the final locomotive regulations. Moreover, 
public notice and comment in this instance is contrary to the public 
interest because it would delay publication and effectiveness of 
these emission standards, which would result in delaying the 
emission benefits that will be achieved through implementation of 
these standards.

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[[Page 18980]]

A. Applicability

    Section 213(a)(5) of the Act specified that EPA establish emission 
standards for ``new locomotives and new engines used in locomotives.'' 
Thus, the general applicability of this action is determined by the 
definition of ``new locomotive'' and ``new locomotive engine''. The Act 
does not define ``new locomotive'' or ``new locomotive engine.'' EPA is 
today exercising its discretion to interpret the terms in the Act that 
Congress did not expressly define, and is adopting a regulatory 
definition of ``new locomotive'' and ``new locomotive engine'' 
consistent with the Act's definition of ``new motor vehicle'' and with 
EPA's previously adopted definition of ``new'' for other nonroad 
vehicles and engines. EPA is defining ``new locomotive'' and ``new 
locomotive engine'' to mean a locomotive or locomotive engine the 
equitable or legal title to which has never been transferred to an 
ultimate purchaser; and a locomotive or locomotive engine that has been 
remanufactured, until it is placed back into service. Where the 
equitable or legal title to a locomotive or locomotive engine is not 
transferred before the engine or vehicle is placed into service, then 
the locomotive or locomotive engine will be new until it is placed into 
service. EPA is also defining imported locomotives and locomotive 
engines to be new unless they are covered by a certificate of 
conformity at the time of importation. Finally, EPA is limiting the 
applicability of the definition of new locomotive and new locomotive 
engine to locomotives and locomotive engines originally manufactured 
after 1972. As is described in the RSD, the applicability is limited in 
this manner to eliminate the unwarranted burden of bringing very old 
locomotives into compliance.
    The definition of ``new locomotive'' and ``new locomotive engine'' 
is consistent with, but not identical to, the definition of ``new 
nonroad engine'' and ``new nonroad vehicle'' that EPA promulgated on 
July 20, 1994 (59 FR 36969), and revised on October 24, 1996 (61 FR 
52102). The definition of ``new nonroad engine'' includes only freshly 
manufactured engines, while today's definition of ``new locomotive'' 
and ``new locomotive engine'' includes both freshly manufactured and 
remanufactured locomotives and engines, for the reasons described 
below.
    The Agency is defining ``remanufacture'' of a locomotive as a 
process in which all of the power assemblies of a locomotive engine are 
replaced with freshly manufactured (containing no previously used 
parts) or refurbished power assemblies, or are inspected and qualified. 
Inspecting and qualifying previously used parts can be done in several 
ways, including such things as cleaning, measuring physical dimensions 
for proper size and tolerance, and running performance tests to assure 
that the parts are functioning properly and according to 
specifications. The refurbished power assemblies could include some 
combination of freshly manufactured parts, reconditioned parts from 
other previously used power assemblies, and reconditioned parts from 
the power assemblies that were replaced. In cases where all of the 
power assemblies are not replaced at a single time, a locomotive will 
be considered to be ``remanufactured'' (and therefore ``new'') if all 
of the power assemblies from the previously new engine had been 
replaced within a five year period.
    EPA's determination that remanufactured locomotives and engines are 
new is based on the remanufacturing practices of Class I railroads, 
which use more than 90 percent of the fuel used in the current 
locomotive fleet, and thus create more than 90 percent of total 
locomotive fleet emissions. EPA is exempting from the definition of 
``new locomotive'' and ``new locomotive engine'' remanufactured 
locomotives and engines owned and operated by small railroads (as 
defined by the Small Business Administration), pursuant to the Agency's 
authority to adopt de minimis exemptions from statutory requirements 
where the benefit of regulation is trivial or nonexistent. Alabama 
Power v. EPA, 636 F.2d. 323 (D.C.Cir. 1979).
    EPA believes that the emissions impacts of this exemption are 
trivial, because the emissions from small railroad-owned and operated 
post-1972 locomotives and engines that are in fact remanufactured are 
trivial. EPA's analysis in the RSD demonstrates that the total 
NOX emissions benefit that could be achieved from requiring 
such locomotives and engines to meet Tier 0 standards when 
remanufactured constitutes less than one percent of the total 
NOX emissions inventory from the locomotive fleet. Because 
these locomotives and engines will not be considered new when 
remanufactured, the preemption provision adopted today does not apply 
to them at the time of remanufacture. Many small railroads do not 
actually remanufacture their locomotives and engine, as defined by the 
regulations adopted today, but instead rebuild them periodically in a 
manner that does not result in a new locomotive or engine. While 
remanufacturing practices are generally consistent among Class I 
railroads, there is a wide variety of practices among non-Class I 
railroads. For example, non-Class I railroads are more likely to 
replace power assemblies only when they fail, so that many of their 
locomotives are likely to not have all power assemblies replaced within 
a five-year period. EPA's definition of ``remanufacturing'' is intended 
to encompass the remanufacturing practices of Class I railroads, which, 
for the reasons described above and in the NPRM, result in a locomotive 
or engine that is new. However, because of the broad spectrum of 
rebuilding and repair actions taken by small railroads, it is difficult 
for EPA to draw a ``bright line'' between such actions that do result 
in a new engines, and therefore constitute remanufacturing, and those 
that do not.
    EPA is including in its definition of ``remanufacture'' the 
conversion of a locomotive or locomotive engine to operate on a fuel 
other than the fuel it was originally designed and manufactured to 
operate on. Such conversions typically involve, at a minimum, the 
replacement or modification of the fuel delivery system, and often 
involve the replacement or modification of other emissions-critical 
components, as well as the recalibration of some engine operating 
parameters. Thus, converted locomotives and locomotive engines will be 
considered new and subject to today's regulations.
    In order to clarify the definition of ``freshly manufactured 
locomotive'' for purposes of applicability of the repowering provisions 
discussed later in the section on other nonroad engines, EPA has added 
to its proposed definition a provision stating that freshly 
manufactured locomotives do not contain more than 25 percent (by value) 
previously used parts. EPA is allowing freshly manufactured locomotives 
to contain up to 25 percent used parts because of the current industry 
practice of using various combinations of used and unused parts. This 
25 percent value applies to the dollar value of the parts being used 
rather than the number because it more properly weights the 
significance of the various used and unused components. The Agency 
chose 25 percent as the cutoff because it believes that setting a very 
low cutoff point would have allowed manufacturers to circumvent the 
more stringent standards for freshly manufactured locomotives by 
including a few used parts during the final assembly.

[[Page 18981]]

B. Timing

    Three sets of standards (Tier 0, Tier 1 and Tier 2) are being 
promulgated in today's action, with the applicability of each set being 
dependent on the date of original manufacture of a locomotive. The 
actual levels of these standards are discussed in more detail later in 
this document. EPA proposed that the Tier 0 and Tier 1 standards take 
effect January 1, 2000. However, to provide adequate lead time, as 
discussed in the SAC, these standards are being phased in beginning 
January 1, 2000. Locomotive manufacturers will have two options to 
choose from, as described in the following paragraphs.
    Under the first option, the Tier 0 standards apply to all new 
production in the 2001 model year, as well as for the remanufacture of 
any 1994 through 2001 model year freight locomotives (when 
remanufactured January 1, 2001 or later). The Tier 0 standards apply to 
all other 1973 through 2001 model year locomotives when remanufactured 
on or after January 1, 2002. The Tier 1 standards apply to all 
locomotives manufactured from 2002 through 2004, both at the time of 
initial manufacture and at each remanufacture. The Tier 2 standards 
apply to all locomotives manufactured in 2005 and later, and also apply 
both at the time of initial manufacture and at each remanufacture. 
Finally, beginning January 1, 2000, any 1990 or later locomotive for 
which a certified Tier 0 retrofit kit is available for a reasonable 
cost must comply with the Tier 0 standards when remanufactured. 
Reasonable cost encompasses the cost of hardware, fuel and maintenance 
associated with the complying remanufacture. Reasonable cost also 
encompasses the idea that the remanufactured locomotive will have 
reliability throughout its useful life that is similar to the 
locomotive would have had had it been remanufactured without the 
certified remanufacture system (i.e., well-maintained, certified 
locomotives would not have significantly more road failures than would 
an uncertified locomotive). The criteria for reasonable cost are 
described in section 92.012 of the regulatory text.
    An alternative to the provisions just discussed is being provided 
for manufacturers for the 1994 through 2001 model year locomotives. Any 
manufacturer which makes certified Tier 0 retrofit kits available by 
January 1, 2000 for its primary 1994 through 1997 model year 
locomotives will only be required to meet the Tier 0 standards on new 
production in 2000 and 2001 for locomotives similar to their primary 
1994 through 1997 model. Other new production models would not need to 
comply with standards until the Tier 1 standards take effect with the 
2002 model year. However, new production locomotives in 2000 and 2001 
not meeting any emission standards when originally manufactured will be 
required to meet the Tier 0 standards at the time of remanufacture. 
Under this option the primary 1994 and later model year locomotives 
would be locomotives powered by 710 series engines for General Motors, 
and the Dash 9/AC4400 series of locomotives for General Electric. The 
purpose of this approach is to achieve significant emission reductions 
in the near term by improving the practical feasibility of meeting the 
standards by limiting the number of locomotive models that a 
manufacturer must develop Tier 0 remanufacture systems for in the 
initial years of the program, while focusing efforts on newer, higher 
usage locomotives. The Tier 1 and Tier 2 standards would be implemented 
under this option in the same manner as discussed above, as would the 
Tier 0 trigger provision which begins in 2000.
    EPA is including a provision in today's action to allow for the 
production of some locomotives which do not comply with the applicable 
standards under certain extraordinary circumstances beyond a 
manufacturer's control. For example, if a manufacturer had planned to 
produce a certain number of Tier 1 locomotives in 2004 and some 
extraordinary circumstance prevented completion of some of those 
locomotives until 2005, EPA could allow those locomotives to be 
produced, as planned, in compliance with the Tier 1 standards. Examples 
of extraordinary circumstances could include, but are not limited to, 
labor strikes at component suppliers, and damage to production 
facilities through natural disasters or accidents.

C. Emission Standards

    Today's rule contains emission standards for new locomotives and 
new locomotive engines which are measured over specific duty-cycles. 
This section first contains a description of those duty-cycles, 
followed by a description of the actual emission standards. Finally, an 
alternate set of standards which are provided as an option to the 
primary standards is presented. Integral to the stringency and 
feasibility of the emission standards discussed in this section is the 
averaging, banking and trading program discussed in Section F.
C.1. Duty-cycles
    A duty-cycle is defined as a usage pattern for any class of 
equipment, using the percent of time at defined loads, speeds or other 
readily identifiable and measurable parameters. EPA's emission 
standards for mobile sources are typically numerical standards for 
emissions performance measured during a test procedure that embodies a 
specific duty-cycle for that kind of equipment. The standards adopted 
today require compliance over two defined duty-cycles. The first duty-
cycle is one weighted towards operation in the higher power notches, 
and is typical of line-haul applications. The second duty-cycle is 
typical of switch operations, with more emphasis on idle and low power 
notch emissions. These duty-cycles are presented in Table IV-1. Since 
these duty-cycles merely represent the percent of time locomotives 
typically spend in each throttle notch and are not used during actual 
emissions testing, they are termed throttle notch weighting factors. In 
other words, they are not actual test cycles.

     Table IV-1.--Throttle Notch Weighting Factors for Locomotives and  
                           Locomotive Engines                           
                      [Percent weighting per notch]                     
------------------------------------------------------------------------
                                                   Line-haul    Switch  
                 Throttle notch                      (high       (low   
                                                    power)      power)  
------------------------------------------------------------------------
Idle............................................        38.0        59.8
Dynamic brake...................................        12.5         0.0
1...............................................         6.5        12.4
2...............................................         6.5        12.3
3...............................................         5.2         5.8
4...............................................         4.4         3.6
5...............................................         3.8         3.6
6...............................................         3.9         1.5
7...............................................         3.0         0.2
8...............................................        16.2         0.8
------------------------------------------------------------------------

C.2. Emission Standards
    As proposed, today's rule contains three sets of exhaust gaseous 
and particulate emission standards for locomotives (Tier 0, Tier 1 and 
Tier 2), with the applicability of each dependent on the date of 
original manufacture of a locomotive, as discussed in the previous 
section on timing. Standards are included for NOX, PM, HC, 
CO and smoke. EPA is not finalizing the proposed aldehydes standards 
for alcohol locomotives because aldehydes are specifically measured, 
and thus regulated, in the context of the THCE standards. Each set of 
standards includes requirements that locomotives comply with duty-cycle 
standards when using notch weighting factors representative of 
operation in both line-haul and switch duty-cycles. In general, 
locomotives covered by these standards must meet both sets of duty-
cycle

[[Page 18982]]

standards. However, Tier 0 switch locomotives (i.e., locomotives 
dedicated to switch operation) rated at or under 2300 horsepower (hp) 
are only required to meet the Tier 0 switch duty-cycle standards since 
such locomotives are extremely unlikely to encounter high power 
operation associated with line-haul operations, and because of the 
potential difficulty in bringing such locomotives into compliance with 
the line-haul duty-cycle standards. EPA requested comment on this 
provision based on its applicability to switch locomotives rated at or 
under 2000 hp, but is revising the hp rating based on new information 
that a significant number of existing switch locomotives are between 
2000 and 2300 hp. No individual certification throttle notch standards 
are being promulgated, although in-use notch standards based on notch 
emission levels measured at certification are included, as discussed in 
the later section on defeat devices. The standards are summarized in 
Table IV-2. In addition to the exhaust emission standards, there are 
smoke opacity standards for all locomotives and locomotive engines 
covered by today's action. These standards are shown in Table IV-3.

        Table IV-2.--Exhaust Emission Standards for Locomotives 1       
------------------------------------------------------------------------
                               Gaseous and particulate emissions (g/bhp-
                                                  hr)                   
     Tier and duty-cycle     -------------------------------------------
                                 HC2         CO        NOX         PM   
------------------------------------------------------------------------
Tier 0 line-haul duty-cycle.       1.00        5.0        9.5       0.60
Tier 0 switch duty-cycle....       2.10        8.0       14.0       0.72
Tier 1 line-haul duty-cycle.       0.55        2.2        7.4       0.45
Tier 1 switch duty-cycle....       1.20        2.5       11.0       0.54
Tier 2 line-haul duty-cycle.       0.30        1.5        5.5       0.20
Tier 2 switch duty-cycle....       0.60        2.4        8.1       0.24
------------------------------------------------------------------------
\1\ For the applicability of these standards by locomotive model year   
  see the discussion on timing.                                         
\2\ HC standards are in the form of THC for diesel, bio-diesel, or any  
  combination of fuels with diesel as the primary fuel; NMHC for natural
  gas, or any combination of fuels where natural gas is the primary     
  fuel; and THCE for alcohol, or any combination of fuels where alcohol 
  is the primary fuel.                                                  


                                  Table IV-3.--Smoke Standards for Locomotives                                  
                                          [Percent Opacity--Normalized]                                         
----------------------------------------------------------------------------------------------------------------
                                                                   Steady-state     30-sec peak     3-sec peak  
----------------------------------------------------------------------------------------------------------------
Tier 0..........................................................              30              40              50
Tier 1..........................................................              25              40              50
Tier 2..........................................................              20              40              50
----------------------------------------------------------------------------------------------------------------

    As described in this notice, and in the Regulatory Support Document 
(RSD), EPA has determined that the Tier 2 emissions standards for new 
locomotives and new engines used in locomotives achieve the greatest 
degree of emissions reductions achievable through the use of technology 
that EPA has determined will be available for application in 2005, 
taking into consideration cost and other factors. Comments from engine 
manufacturers expressed strong concern about the technology forcing 
nature of the standards and about their ability to identify, develop, 
and apply the technologies that will be needed to locomotive engines by 
2005. EPA's detailed response to the engine manufacturers' comments can 
be found in the SAC for this rule.
    EPA is confident that manufacturers will be able to comply with the 
Tier 2 standards in a cost-effective manner by 2005, but recognizes 
that these are technology forcing standards which will require 
significant effort to achieve. The technology that the manufacturers 
are likely to use to achieve the 2005 standards is not being used on 
locomotives being manufactured today, but is being applied to various 
degrees on other compression-ignition engine transportation sources. 
Between the date of the promulgation of this rule and 2005, EPA expects 
that manufacturers will make a strong comprehensive effort to comply 
with the 2005 and later model year emission standards and later 
provisions. Nonetheless, as with all technology forcing standards, 
there is some uncertainty in predicting the successful development and 
application of the expected emission control technologies. EPA 
recognizes that industry experience over the next seven years will 
demonstrate whether EPA's technical projections are accurate and valid. 
If, with the full investment of resources expected, the data developed 
by the manufacturers indicates that the standards or some portions of 
them will not be achievable, then as is the case for all rules, the 
manufacturer(s) may petition the Administrator to reconsider the Tier 2 
standards, or any other aspect of this rulemaking.2 In 
responding to any such petition, EPA will conduct an in-depth review of 
all test data and information presented by the petitioner or otherwise 
obtained by EPA, and will decide on the basis of that information 
whether the Agency believes it is appropriate to reconsider the Tier 2 
standards.
---------------------------------------------------------------------------

    \2\ In the event that EPA receives and grants a petition for 
reconsideration of the Tier 2 NOX emission standard, the 
Agency will begin to work on development of options for the federal 
backstop of the South Coast Locomotive Fleet Average Agreement 
discussed in footnote 1.
---------------------------------------------------------------------------

    EPA expects that a manufacturer petitioning the Agency to 
reconsider the Tier 2 standards adopted today would include information 
such as, but not limited to, the following: (1) A detailed description 
of all activities undertaken by the manufacturer in its efforts to meet 
the Tier 2 standards, including a description of all resources 
allocated to research, development, and testing, all technological 
options investigated by the manufacturer, and the results of these 
investigations, and all technological options the manufacturer chose 
not to investigate, with the basis and reasons for such choice, (2) a 
detailed description of all then-current problems identified by the 
manufacturer that would interfere with complying with the Tier 2 
standards, (3) a

[[Page 18983]]

description of all potential solutions to these problems investigated 
by the manufacturer to that time, and the results of these 
investigations, and (4) a description of the specific changes or time 
extensions to the Tier 2 regulations that the manufacturer is 
requesting, along with an explanation of why these changes or 
extensions would be appropriate under section 213(a)(5). In evaluating 
any such petition, EPA would evaluate the new information concerning 
issues relevant under section 213(a)(5), such as technological 
feasibility, energy, noise, safety and the cost of complying with the 
Tier 2 standards in 2005, in determining whether it is appropriate to 
reconsider the Tier 2 standards. EPA would also consider factors such 
as reliability and durability as relevant under section 213(a)(5).
    As with any such petition received by the Agency, EPA believes that 
a manufacturer's petition for reconsideration of the Tier 2 standards 
warrants timely Agency response. Since submitting a petition for 
reconsideration does not suspend implementation of the Agency action at 
issue, EPA believes it is important to provide manufacturers with a 
final decision on their request as early as possible once a petition 
for reconsideration is filed. EPA also believes that a petitioner would 
present a comprehensive and in-depth analysis of the appropriate issues 
and would respond in a timely manner to reasonable Agency requests for 
clarification or for additional information. Therefore, EPA expects to 
respond to such petitions within 300 days of receipt. Once EPA has 
taken its final action on the petition, petitioners could challenge 
that action in the Court of Appeals. The Court would review EPA's 
action on the petition using an appropriate standard of review as 
described in the then-applicable case law. If EPA fails to take final 
action on the petition within 300 days of receipt, the petitioner might 
seek to compel Agency action through an ``unreasonable delay'' claim; 
the district court would review any such challenge under the then-
applicable case law. As part of the response to such a petition the 
Agency may pursue a rulemaking action to revise one or more provisions 
of this rule or to develop nonconformance penalties for the 
pollutant(s) at issue.
    As part of its efforts to implement this rule, EPA intends to meet 
annually with each manufacturer of new locomotives and new locomotive 
engines to review its progress and future plans to comply with the 
emissions standards and requirements adopted today. EPA believes such 
exchanges will be helpful in gauging overall manufacturer progress and 
identifying potential difficulties and resolutions early in the 
technology development and assessment process.
C.3. Alternate Standards
    EPA is promulgating an alternate (i.e., optional) set of CO and PM 
standards that are intended primarily to address locomotives which 
operate on alternative fuels such as natural gas. Natural gas 
locomotives are expected to have somewhat higher (and more difficult to 
control) CO emissions than diesel-fueled locomotives, but lower PM 
emissions. These differences are due to the different molecular 
structure of alternative fuels compared to diesel fuel which result in 
the need to operate under different conditions (e.g., different air/
fuel ratios, spark ignition vs. compression ignition). The alternate 
standards allow higher CO emissions than the primary standards 
applicable to all covered locomotives and locomotive engines, but also 
require lower PM emissions. The lower PM standards are appropriate 
because alternative fuel vehicles in general have demonstrated 
inherently lower PM emissions than diesel vehicles, and, as is 
discussed in the RSD, there is no reason to believe that this will not 
be the case for locomotives as well. Although these alternate standards 
are primarily intended to address issues associated with alternative 
fuels, manufacturers and remanufacturers can certify to such standards 
in lieu of otherwise applicable Tier 0, Tier 1, and Tier 2 standards. 
Manufacturers and remanufacturers can choose to comply with the 
appropriate set of alternate standards, shown in Table IV-4, instead of 
the applicable Tier 0, Tier 1, or Tier 2 CO and PM standards listed in 
Table IV-2, for any locomotives or locomotive engines regardless of 
fuel used. However, they are not allowed to mix the alternate CO 
standards with the primary PM standards for a single engine family.

               Table IV-4.--Alternate CO and PM Standards               
                               [g/bhp-hr]                               
------------------------------------------------------------------------
                                                Line-haul   Switch cycle
                                                  cycle    -------------
                                             --------------             
                                                CO     PM     CO     PM 
------------------------------------------------------------------------
Tier 0......................................   10.0   0.30   12.0   0.36
Tier 1......................................   10.0   0.22   12.0   0.27
Tier 2......................................   10.0   0.10   12.0   0.12
------------------------------------------------------------------------

    Since alternative fuel locomotives are not currently in general 
use, EPA expects that a certain amount of development work will be 
needed to bring such locomotives to market. In order to accommodate 
this development work and not inhibit the introduction of alternative 
fuel locomotives, EPA is expecting manufacturers to use the general 
testing exemptions. These exemptions from the requirements and 
prohibitions of today's regulations will be granted based on a 
demonstrated need for purposes of technology development. Testing 
exemptions may be granted for periods up to two years. EPA is also 
establishing another provision that would allow the Administrator to 
certify an alternative fuel locomotive, but to waive some requirements 
for the full useful life period of the locomotive. This provision would 
only apply for locomotives involved in technology development programs, 
and would be used at the Administrator's discretion.

D. Other Nonroad Engines

    EPA is finalizing the proposed provision allowing any manufacturer 
which manufactures nonroad engines not normally used in locomotives and 
which are certified according to the provisions of 40 CFR Part 89 to 
sell up to 25 of those engines a year for use in replacing existing 
locomotive tractive power engines (i.e., repowering). In the final 
rule, EPA is not including the proposed restrictions on the upper limit 
of the hp rating of engines sold under this provision. EPA has 
determined that an upper limit on hp is not necessary since essentially 
all repowering done with non-locomotive engines is done to switch 
locomotives. Manufacturers may sell such engines for repowering, within 
the overall limit of 25 per year, in engine families for which 
projected sales for non-locomotive applications exceed projected sales 
for locomotive applications. Engines sold under this provision will be 
treated the same as other locomotive engines with respect to preemption 
because they meet the definition of new locomotive engine. EPA retains 
the authority as a condition of the exemption from the Part 92 
certification provisions to require testing of such engines at 
locomotive power points. While such data could be used to detect the 
presence of defeat devices, in general it will be used for 
informational purposes only since the engines will not be certified to 
the part 92 emission standards. Engines used to repower existing 
locomotives under this provision will generally be subject to the 
requirements of 40 CFR Part 89 and will therefore not be subject to in-
use

[[Page 18984]]

testing, or certification requirements if rebuilt to their original 
configuration, or a different configuration certified according to 40 
CFR Part 89. However, the tampering prohibitions apply when these 
engines are rebuilt. EPA does not believe that this repowering 
provision will be used to circumvent the intent of today's regulations, 
and has included appropriate safeguards to assure that this will not be 
the case. For example, this exemption is subject to EPA approval, and 
if the Agency has reason to believe that this provision is being used 
in such a manner it will not grant the exemption.
    Engines used to repower existing locomotives but not eligible to 
use the 40 CFR Part 89 provisions just discussed because they exceed 
the sales limit must be certified according to the provisions of 40 CFR 
Part 92 contained in this action. Engines which are used to repower 
existing locomotives and which are identical to the original engine 
(i.e., replacement engines) are considered repowers. As with all 
locomotives and locomotive engines certified according to the 
provisions of 40 CFR Part 92, in-use testing will be done on 
locomotives, rather than engines. In-use nonconformities will be 
determined based on such locomotive testing. Manufacturers of 
repowering engines certified according to the provisions of 40 CFR Part 
92 will be allowed to petition EPA for a shorter useful life than the 
minimum useful life value of 7.5 megawatt-hours per horsepower (MW-hr/
hp) discussed in the next section.
    In addition to the repowering provisions just discussed, EPA is 
allowing locomotive manufacturers to use a small number of engines 
certified to the standards in 40 CFR Part 89 in freshly manufactured 
switch locomotives. The purpose of this provision is to reduce the 
certification burden associated with the occasional locomotive 
manufacturer practice of building very small numbers of switch 
locomotives using nonroad engines not normally used in locomotives. For 
a given locomotive manufacturer, this provision will be limited to 15 
locomotives over any three year period. This limit will apply to the 
locomotive manufacturer, rather than the engine manufacturer, in cases 
where the engine manufacturer and locomotive manufacturer are 
different. Engines sold by an engine manufacturer for use in freshly 
manufactured locomotives under this provision will not be included in 
the sales limit for engines used for the repowering of existing 
locomotives discussed previously.
    EPA is providing an exemption from the Tier 0 requirements in 40 
CFR Part 92 for existing nonroad engines (i.e., engines which would 
likely have fallen under the exemption for repowers previously 
discussed if they were freshly manufactured) provided they use Tier 0 
compliance kits which are certified on engines using the 40 CFR Part 89 
test protocols. Such retrofit kits will be required under this 
exemption to demonstrate a NOX reduction of 40 percent from 
baseline levels to be considered to have met the Tier 0 requirements. 
This 40 percent reduction is intended as a conservative approach to 
address uncertainties associated with a lack of data correlating the 40 
CFR Part 89 and Part 92 test procedures, and will assure that, given 
the differences in engine operating test points between the locomotive 
test procedures and those contained in 40 CFR Part 89, these Tier 0 
locomotives will have emission reductions at least as great as Tier 0 
locomotives certified according to the locomotive compliance provisions 
contained in this rule. Alternately, such existing ``nonroad'' engines 
can be exempted from the Tier 0 requirements in 40 CFR Part 92 provided 
they are remanufactured into a configuration previously certified 
according to 40 CFR Part 89.

E. Useful Life

    A locomotive or locomotive engine covered by the standards 
contained in this action will be required to comply with the standards 
throughout its useful life. The minimum, or default, useful life period 
for all locomotives certified in compliance with the standards is, in 
MW-hrs, 7.5 times the rated horsepower, or ten years, whichever occurs 
first. For Tier 0 locomotives not equipped with MW-hr meters, the 
minimum useful life value is 750,000 miles or 10 years, whichever 
occurs first. The minimum useful life value is intended to represent 
the expected median remanufacture interval for the Class I railroad 
locomotive fleet during the early part of the next century. Information 
supporting these useful life values can be found in the RSD. Since it 
is expected that future locomotives may well be designed to be operated 
significantly beyond the minimum useful life values, manufacturers and 
remanufacturers will be required to specify a longer useful life where 
appropriate. In general, EPA expects that a locomotive model's useful 
life be at least as long as its median remanufacture interval, and will 
require manufacturers and remanufacturers to specify a longer useful 
life if EPA believes that the median remanufacture interval will be, in 
practice, longer than the manufacturer's or remanufacturer's specified 
useful life. However, EPA would take into account special cases where a 
railroad is operating locomotives beyond their legitimate design life, 
as evidenced by significant increases in fuel consumption and/or 
decreases in reliability or power output before the locomotives are 
remanufactured.

F. Averaging, Banking and Trading

    Today's action includes an emissions averaging, banking and trading 
(ABT) program. This voluntary program allows the certification of one 
or more locomotive engine families within a given manufacturer's or 
remanufacturer's product line at levels above the emission standards, 
provided the increased emissions are offset by one or more families 
certified below the emission standards, such that the average of all 
emissions for a particular manufacturer's or remanufacturer's fleet of 
new locomotives and new locomotive engines (weighted by horsepower, 
production volume and estimated remaining service life) is at or below 
the level of the emission standards. In addition to the averaging 
program just described, the ABT program contains a banking and trading 
provision which allows a manufacturer or remanufacturer to generate 
emission credits and bank them for future use in its own averaging 
program or sell them to another entity. The ABT program is limited to 
NOX and PM emissions, and compliance is determined on a 
total mass emissions basis to account for differences in the production 
volume, horsepower and expected remaining service life of different 
locomotives, and to ensure credits have equivalent values.
    When a manufacturer or a remanufacturer uses ABT, it will be 
required to certify each participating engine family to a family 
emission limit (FEL) which is determined by the manufacturer or 
remanufacturer during certification testing. Further, every 
configuration within that engine family must also comply with the FEL 
for that family. A separate FEL will be determined for each pollutant 
which the manufacturer or remanufacturer is including in the ABT 
program. FEL ceilings are included for Tier 1 and Tier 2 locomotives, 
such that no Tier 1 or Tier 2 engine family can be certified at an 
emission level higher than the level of the previously applicable 
standard. In other words, locomotives subject to the Tier 1 standards 
cannot be certified at FELs above the Tier 0 standards. Likewise, 
locomotives subject to the Tier 2 standards cannot be certified at

[[Page 18985]]

FELs above the Tier 1 standards. There are no FEL ceilings for Tier 0 
locomotives. This approach to FEL ceilings differs from the proposed 
approach of placing FEL ceilings at levels 1.25 times the standard in 
response to comments received that the 1.25 factor is overly 
restrictive and inconsistent with EPA's establishment of FEL ceilings 
in other mobile source programs. In general, credits will be calculated 
based on the difference between the certification FEL and the actual 
emission standard. However, for Tier 0 and Tier 1 PM emissions, credits 
will be calculated relative to the baseline levels of 0.32 g/bhp-hr for 
line-haul and 0.44 g/bhp-hr for switch, rather than the Tier 0 and Tier 
1 PM standards in order to prevent the generation of windfall credits 
from locomotives which already emit PM at levels below the standards.
    As was previously discussed, today's regulations require that all 
new locomotives and locomotive engines meet both the line-haul and 
switch duty-cycle standards, so that more than one standard (and 
accompanying duty-cycle) applies to a single pollutant. Thus, separate 
switch and line-haul ABT programs are being promulgated. Each engine 
family will be allowed to participate in both the switch and line-haul 
ABT programs. However, line-haul credits will not be allowed to be used 
to meet the switch standards, and vice versa.
    EPA proposed that ABT credits have a three year life, and requested 
comment on both the proposed three year life and infinite life. In 
response to comments received stating that a three year credit life 
provides incentive to use the credits to prevent losing them, which 
does not help the environment, EPA is finalizing an infinite credit 
life. As proposed, there will be no credit discounting. EPA proposed to 
restrict the exchange of credits between different tiers. However, in 
order to improve the feasibility of the standards and encourage 
compliance with the standards at the lowest cost, credit exchanges will 
be allowed between Tier 0, Tier 1 and Tier 2 locomotive engine 
families, and credits will be allowed to be exchanged to a limited 
extent immediately upon their generation. However, to ensure that 
progress is made toward compliance with the technology-forcing Tier 2 
standards, EPA is placing some limits on the use of credits to comply 
with the Tier 2 emission standards. This will encourage manufacturers 
to make serious efforts toward meeting the Tier 2 standards, while 
allowing some use of banked credits so manufacturers do not have to 
ensure that each engine family it manufactures complies with the Tier 2 
standards by 2005, allowing them to focus research and development 
funds. In order to assure that the ABT program is not used to delay the 
implementation of the Tier 2 technology, only 75 percent of a 
manufacturer's Tier 2 production will be allowed to be certified at a 
NOX FEL greater than the applicable Tier 2 NOX 
standards in 2005 and 2006. Only 50 percent of a manufacturer's Tier 2 
production will be allowed to be certified at a NOX FEL 
greater than the applicable Tier 2 NOX standards in 2007 and 
later.
    In cases where credits are generated and traded in the same model 
year EPA will hold both the buyers and sellers of those credits 
potentially liable for any credit shortfall at the end of the year, 
except in cases where fraud is involved or a buyer of credits does not 
buy enough credits to cover its needs. A buyer of credits which are 
shown later to be invalid will only be required to make up the credit 
shortfall. There will be no penalty associated with the unknowing 
purchase of invalid credits. Finally, emission credits will be allowed 
to be held by entities other than the certificate holder (e.g., the 
locomotive owner or operator, or any other entity with the approval of 
the Administrator).
    When a locomotive is remanufactured in compliance with the 
standards contained in today's action, it is required, as a default, to 
be certified as complying with the standards and/or FELs it was 
originally certified as meeting before being re-introduced into service 
following subsequent remanufactures. Any credits generated or used will 
be calculated based on the estimated remaining service life of the 
locomotive. For freshly manufactured locomotives it will be assumed for 
calculation of credits or debits that the remaining service life is 40 
years, or seven useful life periods. For Tier 0 locomotives, the age of 
the locomotive at the time of the initial complying remanufacture will 
determine its remaining service life to be used in credit calculation. 
The reader is referred to the regulatory text at the end of this notice 
and the RSD for the exact schedule to be used in determining the 
remaining service life.3 EPA is requiring that locomotives 
be remanufactured at any subsequent remanufactures in compliance with 
the standards and/or FELs that they are originally certified as 
meeting. However, remanufacturers can generate or use credits at the 
time of subsequent remanufactures by certifying the remanufactured 
locomotives to different FELs than they were originally certified as 
meeting. In such cases credits generated or used will be calculated 
relative to the previous certification levels (either standards or 
FELs) rather than just the standards, and will be based on the 
remaining service life of the locomotive.
---------------------------------------------------------------------------

    \3\ See 40 CFR Part 92, subpart D, of the regulations in this 
document.
---------------------------------------------------------------------------

    As was previously discussed, ABT credits will be weighted according 
to several factors including the number of expected useful life periods 
remaining at the time a credit is generated or used. Useful life will 
generally be measured in megawatt-hours (MW-hrs), and EPA is finalizing 
the proposed requirement that all locomotives certified in compliance 
with the Tier 1 and Tier 2 standards be equipped with MW-hr meters. 
However, for those Tier 0 locomotives which do not have MW-hr meters, 
useful life will be measured in miles or years. For purposes of the ABT 
program, EPA proposed to create separate ABT classes for Tier 0 
locomotives with and without MW-hr meters, and further proposed to 
restrict the exchange of credits between them. However, in order to 
allow for a single averaging class which will encompass all Tier 0 
locomotives, EPA is finalizing a provision whereby Tier 0 locomotives 
without MW-hr meters will be assumed to have the minimum useful life in 
MW-hrs provided they were certified according to the minimum useful 
life in miles or years. Thus, EPA is not finalizing separate ABT 
classes for Tier 0 locomotives with and without MW-hr meters, allowing 
manufacturers and remanufacturers greater flexibility in complying with 
the emission standards by not prohibiting use of credits generated from 
an engine family towards another engine family simply because one has 
MW-hr meters and the other does not. For Tier 0 locomotives which do 
not have MW-hr meters and are which certified with useful life values 
other than the minimum value, credits will be prorated according to the 
ratio of the minimum useful life value and the actual certification 
useful life. This ratio will then be applied to the MW-hr minimum 
useful life value to determine the prorated useful life in MW-hr so 
that the minimum useful life in MW-hr will be adjusted by the same 
proportion for credit calculation as when measured in miles for 
certification. This will allow the calculation of credits to be uniform 
for all locomotives and will allow the exchange of credits between 
locomotives with and without MW-hr meters.
    EPA is allowing the early generation of credits prior to the 
effective dates of the standards beginning in 1999 as

[[Page 18986]]

proposed. For early generation of credits for both freshly manufactured 
locomotives, and existing locomotives when remanufactured, the 
NOX line-haul duty-cycle standard from which credits would 
be calculated is 10.5 g/bhp-hr. Similarly, the NOX switch 
duty-cycle standard from which credits would be calculated is 14.0 g/
bhp-hr. This value is a default, and in the case of existing 
locomotives a remanufacturer can choose to develop a model-specific 
baseline value based on actual test data for a particular Tier 0 
locomotive model. Credits for early compliance will only be calculated 
for a single useful life period, as opposed to the remaining service 
life used for most credit and debit calculation, and such locomotives 
would have to be brought into compliance with the actual Tier 0 
emission standards at their next remanufacture. EPA did not propose any 
restrictions on who could hold credits generated prior to the effective 
date of the standards. However, EPA will require that any credits from 
a remanufactured locomotive which are generated and banked prior to 
2002 can only be used for Tier 1 and later freshly manufactured 
locomotives after 2001, in order to address competitiveness concerns 
raised by locomotive aftermarket suppliers, as detailed in the SAC 
accompanying this rule. Alternately, EPA is allowing such credits to be 
used in an unrestricted fashion if they are transferred to the 
locomotive owner.
    EPA did not propose to give any form of credit for the purchase or 
use of electric locomotives. Amtrak, whose locomotive fleet contains a 
sizeable number of electric locomotives, commented that EPA should give 
some form of credit for electric locomotives. While EPA is not 
including any such provision in this rule, it intends to consider if it 
is appropriate to give credit for actual emission reductions inherent 
in the use of electric locomotives as compared to diesel locomotives. 
Thus, the Agency intends to work with the Department of Transportation, 
Amtrak, and the concerned commuter authorities to investigate and 
develop such credits.

G. Compliance Assurance

    This section covers the various aspects of the compliance programs 
for locomotives. A discussion of the certification program is presented 
first, followed by discussions of the production line and in-use 
compliance programs, and specific phase-in provisions for these 
regulations.
G.1. Engine Family Certification
    In general, an engine family is a group of locomotives with similar 
emission characteristics throughout useful life. The specific criteria 
used to define an engine family are discussed later in this section. 
For freshly manufactured locomotives an engine family would describe 
all locomotive models covered by that engine family. For remanufactured 
locomotives, the engine family must describe models of engines covered, 
specific processes by which those engines would be remanufactured, and 
specific locomotive models which those remanufactured engines would go 
in. Similarly, for repowers and replacement engines, an engine family 
would describe specific engine models and the specific locomotive 
models into which those engines would go.
    EPA stated in its proposal that, in most cases, locomotives (rather 
than engines) would be required to be certified with respect to 
compliance with the applicable emissions standards. The Agency also 
proposed that in some limited cases locomotive engines, rather than 
locomotives, be certified. In both cases EPA pointed out that it is the 
emissions performance of the locomotive in use that is of primary 
concern, and therefore that liability for in-use emissions performance 
was to be based on locomotive testing, rather than engine testing. The 
approach that EPA is finalizing retains the idea that it is the 
emissions performance of the locomotive, not just the locomotive 
engine, that is the ultimate concern in controlling locomotive 
emissions. However, in order to simplify the certification process, EPA 
is finalizing an approach by which the engine family (as described in 
the previous and next paragraphs) is certified. Under this approach, it 
is a condition of the certificate that the certificate holder accept 
liability for in-use emissions performance as measured by actual 
locomotive testing. The application for certification for that engine 
family will include specifications for which locomotive models are 
included by the engine family. Alternately, a manufacturer or 
remanufacturer can specify the engine family's requirements in terms of 
operating conditions, such as cooling rates, that any locomotive in the 
engine family must provide. In either case, it must be clear for anyone 
using a certified remanufacturing system that its engine family would 
include the final remanufactured locomotive. These specifications, in 
terms of locomotive model or operating condition limitations, will 
become conditions of the engine family certificate, and the certificate 
will cover engines in the engine family only when used in the specified 
locomotives (or under the same operating conditions as specified in the 
application). Any use of an engine included in that engine family in 
locomotives or under operating conditions outside of those specified in 
the certificate would not be covered by that engine families 
certificate, and would be prohibited. Thus, it is ultimately 
locomotives which will have to meet the applicable standards in-use. 
The engines in an engine family will be certified for use in any 
locomotive, and therefore any locomotive in which the engines are used 
must meet applicable emission standards, unless a manufacturer or 
remanufacturer includes specifications or limitations in its 
application for certification with respect to locomotive models or 
operating conditions, as described above. Without regard to how these 
specifications are described, certification testing can be done on 
either a locomotive or locomotive engine, as proposed. Also, EPA is 
finalizing its proposed provision to allow a development engine, rather 
than a preproduction prototype engine, to be tested for certification 
purposes.
    EPA is adopting regulatory definitions of engine family very 
similar to those proposed for Tier 0, Tier 1, and Tier 2 locomotives. 
The final definitions are, however, somewhat more flexible than the 
proposed definitions. For all tiers, the conceptual definition of 
engine family is ``a group of locomotives that are expected to have 
similar emission characteristics for their useful lives.'' The 
regulations also contain specifications for certain locomotive engine 
parameters that determine whether various locomotives should be grouped 
into the same engine family. For example, locomotive engines must have 
the same bore and stroke, and use the same fuel to be grouped into the 
same engine family. While the proposed definitions would have required 
locomotives be identical with respect to nearly all of these engine 
family parameters, the final definitions allow some reasonable 
deviations for many of the parameters. Given the complexity of bringing 
a variety of existing locomotive models into compliance, the 
regulations provide additional flexibility for Tier 0 locomotives by 
specifying fewer engine family parameters than are specified for Tiers 
1 and 2. It is important to note that the engine family parameters 
specified in the regulations are not intended to prevent manufacturers 
or remanufacturers from grouping together any locomotives that have 
similar

[[Page 18987]]

emission characteristics. Rather, the specification of these parameters 
is intended to be a starting point for determining how to group 
locomotives for compliance purposes. Where manufacturers or 
remanufacturers have information showing that the emission 
characteristics of locomotives which would be grouped into separate 
engine families according to the parameters in the regulations are 
actually similar, then EPA will allow them to be grouped together. EPA 
believes, however, that for most cases, locomotives differing 
significantly with respect to the specified engine family parameters 
will have dissimilar emission characteristics.
    As proposed, EPA is not requiring a pre-production durability 
demonstration for certification. Such a demonstration would be 
impractical for locomotives due to the time it would require to 
accumulate mileage (several years) and the cost of fuel (around $1 
million). As proposed, a manufacturer or remanufacturer must estimate 
in-use emissions deterioration as part of the certification process 
(through engineering evaluation or other means). In the absence of a 
durability demonstration EPA will rely on the production line and in-
use testing programs to ensure compliance over the full useful life, as 
described in the proposal.
    EPA is finalizing a provision to reduce the reporting burden 
associated with the application for certification. Certain documents 
need not be submitted automatically, but must be retained and submitted 
if requested by EPA. When the Agency exercises its authority to modify 
the information submission requirements, it intends to provide 
manufacturers and remanufacturers with a guidance document, similar to 
the manufacturer guidance issued under the on-highway program, that 
explains the modification(s). These modifications to the information 
submission requirements will in no way change the actual requirements 
of the regulations in terms of the emissions standards, test 
procedures, etc. Manufacturers and remanufacturers must retain records 
that comprise the certification application for eight years form the 
issuance of a Certificate of Conformity whether or not EPA requires 
that all such records be submitted to the Agency at the time of 
certification. The Administrator would retain the right to review 
records at any time and at any place she designates. In addition, in 
order to facilitate the rapid introduction of complying locomotives, 
and to reduce the cost and burden of certification, EPA will use a 
streamlined certification process for the model years of the phase-in 
(i.e., 2000 and 2001).
G.2. Production Line Testing
    The production line testing (PLT) program is an emission compliance 
program in which manufacturers are required to test locomotives as they 
leave the point where the manufacture is completed. The objective of 
the PLT program is to allow manufacturers, remanufacturers and EPA to 
determine, with reasonable certainty, whether certification designs 
have been translated into production locomotives that meet applicable 
standards and/or FELs from the beginning, and before excess emissions 
are generated in-use.
    The Agency is finalizing the proposed PLT program for newly 
manufactured units based on actual testing according to the federal 
test procedure (FTP) for locomotives contained in this rule, and a PLT 
program for remanufactured units requiring remanufacturers to audit a 
certain number of remanufactures (e.g., assuring that the correct parts 
are used and they are installed properly), with EPA having the ability 
to require testing of remanufactured locomotives if in-use data 
indicates a possible problem with production. Changes to the proposed 
regulations are noted below. Both the manufacturer and remanufacturer 
PLT programs begin January 1, 2002. EPA proposed the manufacturer PLT 
program as a locomotive-based testing program, but is finalizing 
provisions that allow the testing of either locomotives or locomotive 
engines. This will reduce the overall cost of the PLT program because 
it allows PLT testing at the locomotive manufacturers' engine 
manufacturing facilities, where they already have some emissions 
testing capabilities, instead of requiring them to build completely new 
emission testing facilities at their locomotive manufacturing 
facilities, which are geographically separated from their engine 
facilities. EPA retains the authority to require locomotive (rather 
than locomotive engine) testing for PLT purposes should it have reason 
to believe that there are problems with any aspects of a manufacturer's 
engine-based PLT program. Any such request by EPA to perform PLT 
testing on locomotives rather than engines will allow a reasonable 
amount of time for a manufacturer to prepare to conduct such testing.
    This program is different than the approach EPA uses for some other 
mobile sources, such as on-highway motor vehicles. The more traditional 
approach relied on for assuring that the engines are produced as 
designed for other mobile sources is called Selective Enforcement 
Auditing (SEA). In the SEA program, EPA audits the emissions of new 
production engines by requiring manufacturers to test engines pulled 
off the production line upon short notice. This spot checking approach 
relies largely on the deterrent effect: the premise is that 
manufacturers will design their engines and production processes and 
take other steps necessary to make sure their engines are produced as 
designed and thereby avoid the penalties associated with failing SEA 
tests, should EPA unexpectedly do an audit.
    EPA has taken a different approach in the locomotive PLT program 
than the SEA program just discussed, largely because of the very low 
production volumes in the locomotive industry. The locomotive PLT 
program implements a more flexibly organized testing regime that acts 
as a quality control method that manufacturers will proactively utilize 
and monitor to assure compliance. Manufacturers will continue to take 
steps to produce engines within statistical tolerances and assure 
compliance aided by the quality control data generated by PLT which 
will identify poor quality in real time. As noted in the proposal, this 
program is especially important given that EPA is allowing 
certification of freshly manufactured locomotives and locomotive 
engines based on data from a development engine, rather than a pre-
production prototype locomotive.
    As proposed, manufacturers will select locomotives for the PLT 
program from each engine family at a one percent sampling rate for 
emissions testing in accordance with the FTP for locomotives. The 
required sample size for an engine family is the lesser of five tests 
per year or one percent of annual production. For engine families with 
production of less than 100, a minimum of one test per year per engine 
family is required. Manufacturers may elect to test additional 
locomotives. EPA has the right to reject any locomotives selected by 
the manufacturers or remanufacturers if it determines that such 
locomotives are not representative of actual production. Tests must be 
distributed evenly throughout the model year, to the extent possible, 
and manufacturers must submit quarterly reports to EPA on all testing 
done, as described in the proposal. EPA is finalizing the proposed 
provision allowing a manufacturer to submit for EPA approval an 
alternative plan for a PLT program. Any such plan must address the need 
for the alternative, and should include justifications for the number 
and representativeness of locomotives tested, as well as having

[[Page 18988]]

specific provisions regarding what constitutes a failure for an engine 
family.
    As proposed, if a locomotive or locomotive engine fails a 
production line test, the manufacturer must test two additional 
locomotives or locomotive engines out of the next fifteen produced in 
that engine family in accordance with the FTP for locomotives. When the 
average of the three test results, for any pollutant, are greater than 
the applicable standard or FEL, the manufacturers fails the PLT for 
that engine family. In all cases, individual locomotives and locomotive 
engines which fail a test in the PLT program are required to be brought 
into compliance.
    Should production line testing show that an engine family is not 
complying with the applicable standards or FELs, EPA may suspend or 
revoke the engine family certificate of conformity in whole or in part 
thirty days after an EPA nonconformance determination. EPA proposed a 
fifteen day period but is finalizing thirty days as more appropriate 
since the locomotive manufacturing industry is very low volume and 
production of actual units proceeds at a much slower pace than for most 
other mobile sources. Before the suspension or revocation goes into 
effect, EPA will work with the manufacturer to facilitate approval of 
the required production line remedy in order to eliminate the need to 
halt production if possible. To have the certificate reinstated 
subsequent to a suspension, or reissued subsequent to a revocation, the 
manufacturer must demonstrate (through its PLT program) that 
improvements, modifications, or replacement had brought the locomotive 
and/or engine family into compliance. The Agency retains the legal 
authority under section 207 of the Act to inspect and test locomotives 
and locomotive engines, and may do so should such problems arise in the 
PLT program.
    Under the PLT program for remanufactured locomotives, the 
certificate holder, as a condition of the certificate, is required to 
audit its remanufacture of locomotives for the use of the proper parts, 
their proper installation, and all proper calibrations. The certificate 
holder is required to audit five percent of its systems for each 
installer of the systems, with a maximum number for each installer of 
ten systems per engine family. EPA proposed no maximum number of 
required audits, but is including an upper limit in the rule because it 
believes that if ten systems in a given engine family for a given 
installer are audited and shown to have no problems then auditing more 
would only add cost to the program with little or no additional 
benefit.
    A case of uninstalled, misinstalled, misadjusted or incorrect parts 
constitutes a failure, and if a failure occurs, the remanufacturer 
would be required to audit two additional locomotives in the same 
engine family from the next ten produced for each failure. Whenever all 
three locomotives failed the audit the engine family will be considered 
to have failed the audit. Actions in the event of an audit failure 
would be determined on a case-by-case basis, depending on whether the 
failure is considered tampering, causing of tampering, inappropriate 
parts in system, etc. EPA may order, on a case-by-case basis, that 
remanufacturers conduct emissions testing of remanufactured locomotives 
in the same manner as required under the PLT program adopted today for 
freshly manufactured locomotives, and expects to do so if in-use 
testing or remanufacture system audits showed evidence of 
noncompliance.
G.3. In-Use Testing
    Locomotives and locomotive engines are required to comply with 
EPA's emission standards for the full extent of their useful lives. To 
ensure such compliance, EPA is finalizing the proposed in-use testing 
program for locomotive and locomotive engine manufacturers and 
remanufacturers. To ensure continued compliance beyond the useful life, 
and during operation within the period when certain state standards 
relating to the control of emissions from new locomotives and new 
locomotive engines are preempted (as discussed later in this notice), 
EPA is finalizing an in-use testing program for locomotive operators, 
for the reasons described in the proposal. Each of these programs is 
discussed in more detail in the following paragraphs.
    Under the manufacturer-based in-use testing program, which begins 
with the 2002 model year, manufacturers and remanufacturers will be 
required to test in-use locomotives that are properly maintained and 
used from one engine family per year, using the full FTP. The Agency is 
requiring manufacturers and remanufacturers to perform in-use testing 
on locomotives that have reached between 50 and 75 percent of their 
useful life. The manufacturer must test a minimum of two such 
locomotives per year, within the subject engine family. If all 
locomotives tested meet all of EPA's standards, the manufacturer or 
remanufacturer is not required to perform any more in-use tests that 
year. For each failing locomotive, two more locomotives would be tested 
up to a maximum of ten. Manufacturers and remanufacturers will have 
twelve months after the receipt of in-use testing notification to 
complete the testing of an engine family.
    EPA believes that it is appropriate to provide some flexibility 
during the initial phase of this program. Therefore, EPA expects, as a 
matter of policy, to provide an option for the first three years of the 
in-use testing program (model years 2002 through 2004) whereby a 
manufacturer or remanufacturer can choose to participate in a more 
flexible emission factor program in lieu of the required in-use test 
program. Manufacturers and remanufacturers choosing to participate in 
this program would be required to test twice as many engine families as 
required by the normal in-use test program, but would have more 
flexibility in conducting the testing. The Agency expects that this 
optional program would be used as an informational program, rather than 
a compliance program. This option will allow a manufacturer or 
remanufacturer to gain some experience with the new provisions without 
an unreasonable fear of enforcement action, while providing EPA with 
twice as much in-use data as it would otherwise receive. This data will 
be useful to EPA both in the assessment of deterioration factors used 
in certification testing and in targeting engine families and 
technologies for future in-use testing.
    Under section 207 of the Act, as applied to locomotives by section 
213(d), the Administrator has authority to require manufacturers or 
remanufacturers to submit a plan to remedy nonconforming locomotives or 
locomotive engines if EPA determines that a substantial number of a 
class or category of properly maintained and used locomotives or 
locomotive engines do not conform with the requirements prescribed 
under section 213 of the Act. A finding of nonconformance has 
potentially serious economic and practical consequences, and 
historically is not an action the Agency takes in insignificant or 
trivial cases, especially where the manufacturer has made a good faith 
effort to comply and the problem is unexpected. Manufacturer 
requirements applicable in the event of a determination under section 
207(c) of the Act include submittal of the manufacturer's remedial plan 
for EPA approval, procedures for notification of locomotive owners, 
submittal of quarterly reports on the progress of the recall campaign, 
and procedures to be followed in the event that the manufacturer or 
remanufacturer requests a public hearing to contest the

[[Page 18989]]

Administrator's finding of nonconformity. If a determination of 
nonconformity with the requirements of section 207(c) of the Act is 
made, the manufacturer or remanufacturer will not have the option of an 
alternate remedial action, and an actual recall will be required.
    EPA recognizes the unique nature of locomotives and railroad 
operations relative to highway vehicles such as passenger cars used in 
personal transportation. Furthermore, the Agency recognizes that in 
some cases, the actual recall and repair of locomotives could impose 
severe financial hardship on a manufacturer or remanufacturer if the 
necessary repair was extremely complex and expensive, and could also 
adversely impact railroads and other businesses when locomotives are 
required to be taken out of service for those repairs. In these 
particular cases and, assuming that the Administrator had not yet made 
a determination of nonconformity, alternatives to traditional recall 
will be strongly considered. These alternatives are required to have 
the same or greater environmental benefit as conventional recall and to 
provide at least equivalent incentives to manufacturers and 
remanufacturers to produce locomotives which durably and reliably 
control emissions.
    The second component of the in-use testing program is the railroad 
in-use testing program adopted pursuant to EPA's authority under 
section 114 of the Act to require ``any person who owns or operates any 
emission source to establish and maintain records, sample emissions 
according to EPA specifications, and provide such other information as 
the Administrator may reasonably require.'' The railroad in-use testing 
program is being finalized for the reasons stated in the proposal. Each 
Class I freight railroad is required to annually test a portion of its 
total locomotive fleet beginning January 1, 2005. This start date is 
appropriate because EPA does not expect that a significant number of 
certified locomotives will have reached the end of their useful lives 
prior to 2005. EPA proposed a railroad in-use testing program which 
would have required that ten percent of a railroad's locomotives be 
tested annually using a simple short test procedure, but also 
considered and solicited comment on a program that would require 
testing a much smaller number of locomotives in accordance with the FTP 
for locomotives. Based on comments received and the lack of a suitable 
short test, EPA is finalizing the FTP-based testing program. Testing 
must therefore be done according to the FTP for locomotives contained 
in this rule. The number of tests that each Class I freight railroad 
must perform annually is at least 0.15 percent of that railroad's total 
average locomotive fleet size the previous year. The tests shall be 
done on locomotives which have reached the end of their useful lives 
for reasons stated in the proposal. If the number of locomotives in a 
given railroad's fleet which have reached the end of their useful lives 
is not large enough to fulfill the testing requirement, railroads are 
to test locomotives late in their useful lives, as specified in the 
regulatory text. The test locomotives will be randomly selected by the 
railroad, unless otherwise specified by the Administrator, and must 
proportionally represent the railroad's fleet mix of locomotive models.
    The railroads are required to submit annual reports summarizing all 
emissions testing performed. If a particular engine family has 
consistent emissions problems in all the railroads' fleets, then there 
may be a problem with the design or manufacture of the locomotives. The 
locomotives tested under this program will generally be past their 
useful lives. No recall action can be taken against the manufacturer or 
remanufacturer in the event of a failure of a locomotive tested beyond 
the end of its useful life. However, EPA could use this information to 
target engine families to be tested in the manufacturer/remanufacturer 
in-use testing program, to target in-use testing by EPA, or to evaluate 
the deterioration factors submitted with certification applications. If 
the failures are limited to one railroad's fleet, then it may indicate 
that tampering or malmaintenance has occurred, which may constitute a 
violation of tampering prohibition discussed later in this notice.
    Given the current size of the Class I locomotive fleet, EPA 
estimates that there will be approximately 30 in-use locomotive tests 
performed annually under the railroad in-use program initially. Today's 
program also gives EPA authority to waive, in whole or in part, the 
amount of testing required in future years, as described in section 
92.1003 of the attached regulatory text. Also included in the railroad 
in-use testing program is a provision which allows a railroad to 
petition EPA for approval of alternative in-use testing programs that 
provide information equivalent to EPA's in-use testing requirements 
based on criteria such as test procedure accuracy compared to the FTP 
for locomotives, and how any differences in accuracy are addressed in 
the locomotive sample size. EPA is finalizing this option for 
alternative programs in order to allow for the potential of less costly 
but equally effective programs based on test procedures that may be 
developed in the future.
G.4. Phase-In Provisions for Small Businesses
    A large portion of the locomotive remanufacturing and aftermarket 
parts industries is made up of small businesses. As such, these 
industries do not tend to have the financial resources or technical 
expertise to quickly respond to the Tier 0 requirements contained in 
today's rule. As fully discussed in Chapter 5 of the SAC document 
(docket item A-94-31-V-C-1), accompanying this rule, the Small Business 
Regulatory Enforcement Fairness Act of 1996 and the Regulatory 
Flexibility Act require EPA to take steps to identify and mitigate the 
regulatory burden of regulations on small business entities. EPA has 
taken a number of steps to mitigate any potential impact on the small 
remanufacturers and component suppliers that are affected by this rule.
    The delay the application of Tier 0 standards to locomotives 
originally manufactured before 1990 until January 1, 2002, is not 
specifically targeted at small businesses since it applies to all pre-
1990 locomotives regardless of who remanufactures them. EPA chose 1990 
as a cut point for the phase-in of the Tier 0 standards because pre-
1990 locomotives represent the vast majority of locomotives for which 
the above small business entities supply parts and remanufacturing 
services. Also, a cut point of 1990 will allow manufacturers and 
remanufacturers to target their resources more efficiently than if they 
were required to comply with the Tier 0 standards for all locomotive 
and locomotive engine models at the same time. This measure should 
therefore address any feasibility concerns for these small business 
entities.
    The second measure establishes a streamlined certification program 
for small businesses, applicable through the 2006 model year that will 
reduce the financial burden of compliance. Under these provisions, 
certification testing requirements will be phased-in, beginning in 
2002. Remanufacturers have the option of testing locomotives (or 
locomotive engines) using a modified version of the FTP, or of testing 
using a less rigorous alternate procedure, subject to sales 
restrictions set by EPA. The modified FTP requires measurement of 
NOX, CO2, smoke, power output, and fuel 
consumption over the full throttle notch schedule.

[[Page 18990]]

Remanufacturers choosing this option could be allowed other deviations 
from the specified FTP with EPA approval.
    Remanufacturers choosing to test using an alternate procedure may 
specify their own test procedures consistent with good engineering 
practice and subject to EPA approval, and must provide a supplemental 
engineering analysis describing the emission controls. However, a 
remanufacturer may only certify a limited number of rebuild systems 
each year using such a short test. For example, in 2003, if an 
individual small business certifies three systems using an alternate 
test, then the combined number of locomotives remanufactured in that 
year under those certificates could not exceed 300, with no limits as 
to how the three certified systems are allocated among the 300 
remanufactures. Any other small businesses certifying via an alternate 
test procedure in 2003 would also be allowed to remanufacture up to 300 
locomotives under their own certificates. This number would decrease in 
subsequent years until 2007, when the small business entities must 
certify using the full FTP, and must meet all other certification 
requirements applicable to larger entities.
    The phase-in provisions discussed in this section are contained in 
section 92.012 of the regulatory text for this action.

H. Test Procedures

    Due to the fundamental similarity between the emissions components 
of locomotive engines and on-highway heavy-duty diesel engines, the 
test procedures contained in today's regulation are based on the test 
procedures previously established for on-highway heavy-duty diesel 
engines in 40 CFR part 86, Subparts D and N. Specifically, the raw 
sampling procedures and many of the instrument calibration procedures 
are based on subpart D, and the dilute particulate sampling procedures 
and general test procedures are based on subpart N. The most 
significant aspects of the test procedures are described below. Also, 
as with EPA's test procedures for other mobile sources, the regulations 
will allow, with advance EPA approval, use of alternate test procedures 
demonstrated to yield equivalent or superior results.
    EPA is using a nominally steady-state test procedure to measure 
gaseous and particulate emissions from locomotives; that is, a 
procedure wherein measurements of gaseous and particulate emissions are 
performed with the engine at a series of steady-state speed and load 
conditions. Measurement of smoke would be performed during both steady-
state operations and during periods of engine accelerations between 
notches (i.e., set speed and load operating points). For locomotive 
testing, the engine would remain in the locomotive chassis, and the 
power output would be dissipated as heat from resistive load banks 
(internal or external). Measurement of exhaust emissions, fuel 
consumption, inlet and cooling air temperature, power output, etc. 
would begin after the engine has been warmed up, and would continue 
through each higher notch to maximum power. The minimum duration of the 
initial test point (idle or low idle), and each test point when power 
is being increased is 6 minutes, with the exception of the maximum 
power point, where the minimum duration of operation is 15 minutes.
    Concentrations of gaseous exhaust pollutants are to be measured by 
drawing samples of the raw exhaust to chemical analyzers; a 
chemiluminescence analyzer for NOX, a heated flame 
ionization detector (HFID) for HC, and nondispersive infrared (NDIR) 
detector for CO and CO2. Smoke is to be measured with a 
smoke opacity meter, and particulate measured by drawing a diluted 
sample of the exhaust through a filter and weighing the mass of 
particulate collected. The Agency is including NMHC, alcohol and 
aldehyde measurement procedures similar to those that are currently 
applicable to on-highway natural gas- and methanol-fueled engines (40 
CFR part 86) be used for natural gas- and alcohol-fueled locomotives.
    EPA is establishing test conditions that are representative of in-
use conditions. Specifically, the Agency is requiring that locomotives 
comply with emission standards when tested at temperatures from 45 
deg.F to 105  deg.F and at both sea level and altitude conditions up to 
about 4,000 feet above sea level. While EPA is only requiring that 
locomotives comply with emission standards when tested at altitudes up 
to 4000 feet for purposes of certification and in-use liability, it is 
requiring that manufacturers and remanufacturers submit evidence with 
their certification applications, in the form of an engineering 
analysis, that shows that their locomotives are designed to comply with 
emission standards at altitudes up to 7000 feet. The Agency is 
finalizing correction factors that will be used to account for the 
effects of ambient temperature and humidity on NOX emission 
rates.
    The Agency is establishing test fuel specifications for compliance 
testing (certification, PLT and manufacturer/remanufacturer in-use 
testing) which are generally consistent with test fuel specifications 
for on-highway heavy-duty engine certification testing, including the 
provisions that fuels other than those specified can be used under 
certain circumstances. The only exception is for the fuel sulfur level. 
In the case of the sulfur specification, EPA is specifying a lower 
limit of 0.2 weight percent, and an upper limit of 0.4. These limits 
are intended to approximate worst case in-use conditions; in those 
cases where in-use locomotives are operated on low sulfur on-highway 
fuel, particulate emissions entering the atmosphere can be expected to 
be lower than levels measured when using the certification test fuel. 
EPA is taking this approach because there is no reason to believe that 
in-use locomotives will use only low sulfur on-highway fuel, especially 
given the higher price of low sulfur diesel fuels, and the difficulty 
of obtaining low sulfur diesel fuel in some areas of the country. Since 
the railroad in-use testing program is intended to provide EPA 
information regarding compliance with emission standards near the end, 
and beyond, a locomotive's useful life, and the results of such in-use 
testing would not by themselves be the basis for an EPA recall action, 
EPA does not believe it is necessary to require simulation of worst-
case conditions in railroad in-use testing. For this reason, and given 
the cost and inconvenience of using a specific fuel for in-use testing 
by railroads, EPA is not establishing any fuel specifications for in-
use railroad testing, and will allow the railroad testing to be done 
whatever fuel is in the locomotive's tank at the time of testing.
    The Agency recognizes that the potential exists for future 
locomotives to include additional power notches, or even continuously 
variable throttles, and is allowing alternate testing requirements for 
such locomotives. Using the same procedures for such locomotives as are 
specified for conventional locomotives would result in an emissions 
measurement that does not accurately reflect their in-use emissions 
performance because it would not be a reasonable representation of 
their in-use operation. Thus, locomotives having additional notches are 
required to be tested at each notch, and the mass emission rates for 
the additional notches will be averaged with the nearest ``standard'' 
notch. Locomotives having continuously variable throttles will be 
required to be tested at idle, dynamic brake, and 15

[[Page 18991]]

power levels assigned by the Administrator (including full power), with 
average emission rates for two power levels (excluding full power) 
assigned to the nearest ``standard'' notch. The 15 power levels 
represent one level for full power and two, to be averaged, for each of 
the seven intermediate power levels used on current locomotives. The 
Administrator retains the authority to prescribe other procedures for 
alternate throttle/power configurations.
    The specified test procedures are intended primarily for the 
testing of locomotives, rather than locomotive engines. However, EPA 
does recognize that engine testing will be reasonable in some cases, 
such as data collection from a development engine. For these cases, the 
engine would be mounted on a stand, with its crankshaft attached to an 
dynamometer or to a locomotive alternator/generator. Because the Agency 
believes that it is critical that engine testing be as representative 
of actual locomotive operation as can practically be achieved, it is 
requiring that important operating conditions such as engine speed, 
engine load, and the temperature of the charge air entering the 
cylinder be the same as in a locomotive in use (within a reasonable 
tolerance limit).
    The test procedures are designed to minimize the variability in 
measured values to the extent possible. However, given the practical 
constraints that apply, some variability will remain. In cases where a 
manufacturer or remanufacturer believes that the FTP provides 
inadequate repeatability, EPA is allowing them to use replicate tests, 
subject to some minor restrictions. EPA is also likely to allow special 
flexibility with respect to replicate measurements for determining 
compliance with the individual notch standards. This is because 
problems of variability will be greater for single notch measurements 
than cycle-weighted averages of the individual notch measurements.

I. Railroad Requirements

    As was previously discussed in the section on compliance, today's 
action contains a two-part in-use testing program, with one part 
conducted by the manufacturers and remanufacturers, and the other part 
conducted by the railroads. EPA expects the railroads to provide 
reasonable assistance to the manufacturers and remanufacturers in 
providing locomotives to test in support of the manufacturer/
remanufacturer in-use testing program. As proposed, if a manufacturer 
or remanufacturer is unable to obtain a sufficient number of 
locomotives for testing, EPA may require that the railroads do the 
testing themselves, under the authority of section 114 of the Act. The 
Class I freight railroads are also required to conduct the railroad in-
use testing program discussed previously.
    For reasons discussed in the proposal, under today's action, any 
locomotive owner that fails to properly maintain a locomotive subject 
to this regulation will be subject to civil penalties for tampering. 
Locomotive owners are required to perform a minimum amount of 
maintenance as specified by the manufacturer or remanufacturer for 
components that critically affect emissions performance. Such 
maintenance is to be specified by the manufacturer or remanufacturer at 
the time of certification, and the locomotive owner is required to 
perform the specified (or equivalent) maintenance, or be subject to 
tampering penalties.

J. Miscellaneous

J.1. Liability for Remanufactured Locomotives and Locomotive Engines
    The Act defines ``manufacturer'' as ``any person engaged in the 
manufacturing or assembling'' of the new motor vehicles or new motor 
vehicle engines. In cases where a locomotive remanufacture system is 
certified by one entity and installed by a different entity either 
could conceivably be considered the manufacturer. In the proposal EPA 
sought to define where liability for in-use emissions performance 
should lie in such circumstance. EPA is finalizing the proposed 
liability scheme today. Under this approach, the primary liability for 
the in-use emissions performance of a remanufactured locomotive or 
locomotive engine would be with the certificate holder. In cases where 
the certificate holder and installer are separate entities, the 
certificate holder will be required to provide adequate installation 
instructions with the system. Since the primary liability is presumed 
to apply to the certificate holder, the certificate holder has an 
incentive to ensure that the systems are properly installed. 
Ultimately, the installer will be liable for improper installation 
under the tampering prohibitions. The installer will still be 
considered to be a manufacturer, and thus is also potentially liable 
under other provisions of this part and the Act. Similarly, any 
supplier of parts could be considered a manufacturer, and potentially 
liable for a locomotive's in-use emissions. However, EPA does not 
intend to hold an entity liable for actions for which the Agency 
believes that it has no knowledge of or control over. As was previously 
discussed, EPA expects to hold the certificate holder primarily liable 
for the in-use emissions performance of locomotives remanufactured 
under it's certificate of conformity.
J.2. Defect Reporting and Voluntary Emission Recall
    EPA is finalizing the provision that a manufacturer or 
remanufacturer of locomotives or locomotive engines file a defect 
information report whenever the manufacturer or remanufacturer 
identifies the existence of a specific emission-related defect in ten 
or more locomotives, or locomotive engines. EPA proposed that a defect 
information report be filed if an emission related defect is identified 
in a single locomotive or locomotive engine, but believes that ten is a 
more appropriate number for reasons discussed in the SAC accompanying 
this action. No report will need be filed if the defect is corrected 
prior to the sale of the affected locomotives or locomotive engines. 
Further, manufacturers must file a report whenever a voluntary emission 
recall is undertaken.
J.3. Tampering
    EPA is finalizing its proposal to codify the tampering prohibition 
in section 203(a)(3)(A) of the Act in the locomotive regulations. While 
this provision of the Act on its face applies to tampering with motor 
vehicles and motor vehicle engines, section 213(d) directs EPA to 
enforce the nonroad vehicle and engine emission standards in the same 
manner as the Agency enforces the motor vehicle emission standards 
adopted under section 202 of the Act. The statutory tampering 
prohibition is critical to ensure that vehicles and engines designed 
and manufactured to comply with EPA emission standards for their full 
useful lives do not in fact violate such standards due to actions taken 
both before and after introduction into commerce. For this reason, 
pursuant to its authority to enforce locomotive emission standards in 
the same manner as the motor vehicle emission standards, EPA is 
adopting a regulatory provision that prohibits any person from removing 
or rendering inoperative any device or element of design installed on 
or in a locomotive or locomotive engine in compliance with EPA's 
regulations prior to introduction into commerce, and from knowingly 
removing or rendering inoperative any such device or element of design 
after introduction into commerce.
    All persons will be prohibited from tampering with any emission-
related

[[Page 18992]]

component or element of design installed on or in a locomotive or 
locomotive engine. Locomotive tampering provisions will help ensure 
that in-use locomotives remain in certified configurations and continue 
to comply with emission requirements. The Agency is applying the 
existing policies developed for on-highway tampering to locomotives and 
locomotive engines included in this rule.4 In addition, EPA 
considers knowingly failing to properly maintain a locomotive or 
locomotive engine to be tampering, as was previously discussed in the 
section on railroad requirements.
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    \4\ See Office of Enforcement and General Counsel; Mobile Source 
Enforcement Memorandum No. 1A, June 25, 1974 (public docket A-94-31, 
item II-B-5). EPA is not revising Memorandum No. 1A in today's 
action.
---------------------------------------------------------------------------

J.4. Emission Warranty
    In accordance with section 207(a) of the Act, manufacturers and 
remanufacturers must warrant to the ultimate purchaser and any 
subsequent purchaser, for a specified warranty period set by EPA, that 
the emission related components and systems of locomotives and 
locomotive engines are free from defects in material or workmanship 
which would cause such locomotives or locomotive engines to fail to 
conform with applicable regulations. The statute also requires 
manufacturers to provide a ``time of sale'' warranty that the vehicle 
or engine is designed, built, and equipped so as to conform at the time 
of sale with applicable emission regulations. See 42 U.S.C. 7541(a)(1).
    EPA proposed an emission warranty period for the full useful life 
of a locomotive. However, for reasons fully discussed in the SAC, the 
Agency is finalizing an emission warranty period for locomotives that 
parallels that for the heaviest heavy-duty on-highway engines. For 
those engines, the current warranty period is roughly one-third of 
useful life. Thus, for locomotives the warranty period will be one-
third of useful life, as based on the minimum useful life value of 7.5 
MW-hr. This period is the minimum warranty period. As for heavy-duty 
diesel engines, if a locomotive is covered by a mechanical warranty for 
a period longer than the minimum warranty period, then the regulations 
require the emission warranty to be at least as long as the mechanical 
warranty.
J.5. Defeat Devices
    As is the case for other regulated nonroad and on-highway vehicles 
and engines, these regulations for locomotives make it illegal for any 
manufacturer, remanufacturer, or any other person to use a device on a 
locomotive or locomotive engine which reduces the effectiveness of the 
emission control system under conditions that would not be reflected in 
measurements made using the normal emission test procedures and 
conditions, especially where the feature had the effect of optimizing 
fuel economy at the expense of emissions performance. Such ``defeat'' 
devices are specifically prohibited for motor vehicles under section 
203 of the Act. Section 213(d) of the Act directs the Agency to enforce 
the locomotive standards in the same manner as it enforces motor 
vehicle standards. Therefore, EPA is establishing an explicit 
prohibition against the use of defeat devices with locomotives or 
locomotive engines subject to the federal standards. Examples of some 
of the types of design features that EPA classifies as defeat devices 
are contained in the RSD.
    Since the use of defeat devices effectively renders the specified 
test procedures for certification, production line, and in-use testing 
inadequate to predict in-use emissions, EPA reserves the right to test 
a certification test locomotive or engine, or require the manufacturer 
or remanufacturer to perform such testing over a modified test 
procedure if EPA has reason to believe a defeat device is being used by 
a manufacturer or remanufacturer on a particular locomotive or 
locomotive engine. In addition, EPA is also establishing notch caps for 
in-use testing that prohibit any unreasonable deviation from 
certification emission rates under any test conditions.
J.6. Exclusions and Exemptions
    EPA is adopting regulations which allow exemptions from today's 
regulations for certain purposes. These purposes include research, 
investigations, studies, demonstrations, training, or for reasons of 
national security. Export exemptions, manufacturer-owned locomotive 
exemptions, and some national security exemptions are automatic, and 
manufacturers and remanufacturers need not apply to EPA to obtain such 
an exemption. Other exemptions must be obtained by application to EPA.
J.7. Nonconformance Penalties
    EPA is not including any provisions for nonconformance penalties 
(NCPs) in today's action, for the reasons described in the proposal. 
However, the Agency will monitor efforts to develop technology to 
comply with these regulations. Should the need for NCPs become evident 
in the future, EPA will undertake a rulemaking action at that time to 
develop appropriate NCPs.
J.8. Aftermarket Parts
    In the proposal, EPA stated its intent to follow the approach to 
aftermarket parts it currently uses for on-highway vehicles. 
Specifically, EPA proposed to allow the certification of aftermarket 
parts according to the provisions of 40 CFR part 85, subpart V. For 
those aftermarket parts not certified according to those voluntary 
provisions, EPA proposed to apply the policies described in EPA Mobile 
Source Enforcement Memorandum No. 1A (``Memo 1A''), which outlines the 
Agency's position on tampering with respect to the use of replacement 
components on certified vehicles and engines.5 In general, 
Memo 1A states that EPA will not consider the use of aftermarket parts 
to be tampering if those parts can be shown to be identical in all 
material respects to the original parts they are replacing. Conversely, 
Memo 1A also states that the use of an aftermarket part would be 
considered tampering if it causes or contributes to an increase in 
emissions of a regulated pollutant. In general, EPA is finalizing the 
approach it proposed. However, the Agency does not believe that the 
provisions of 40 CFR part 85, subpart V are appropriate for the 
locomotive industry since those provisions are intended to apply to on-
highway vehicles and engines. Instead, EPA is promulgating regulations 
to allow aftermarket parts suppliers to petition the Agency for advance 
approval of parts under the tampering policy. Such an approval would 
not constitute a formal certification, but would merely show that, 
based on an engineering analysis and/or emissions test data, that the 
part is identical in all material respects to the original. This 
advance approval would provide some assurance to entities which use the 
part that they will not be subject to enforcement action under the 
tampering prohibition for using that part. However, the entity which 
manufactures and offers the part for sale will be held liable for any 
in-use nonconformities attributable to that part, and could be subject 
to a recall action if the part were used in the remanufacture of a 
locomotive, as discussed previously in the discussion on liability for 
remanufactured locomotives. If a part were used for maintenance, rather 
than during remanufacture, and it caused an in-use nonconformity, its 
manufacturer may be liable for a tampering violation.
---------------------------------------------------------------------------

    \5\ Ibid.

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

[[Page 18993]]

J.9. Importation of Nonconforming Locomotives
    Nonconforming locomotive engines originally manufactured after the 
effective date of this rule will not be permitted to be imported for 
purposes of resale, except under certain limited exemptions. This rule 
finalizes most of the proposed exemptions, including temporary 
exemptions for repairs and alterations, testing and display, and 
permanent importation exemptions for national security. For reasons 
discussed in the SAC, EPA is not finalizing the proposed provision to 
allow the importation of certain locomotives and locomotive engines 
proven to be identical, in all material respects, to their 
corresponding EPA certified versions. While the U.S. Customs Service 
may consider typical current cross-border traffic between the U.S. and 
Canada or Mexico to constitute the importation of locomotives, EPA is 
providing an exemption for such traffic if its use in the U.S. is 
incidental to its primary operation. Such cross-border traffic is not 
currently extensive.
    EPA is not taking any specific actions, such as limiting export 
exemptions, in order to assure that nonconforming locomotives from 
Canada or Mexico do not operate extensively in the U.S. However, the 
Act does give EPA the authority to regulate new locomotives and 
locomotive engines manufactured (or remanufactured) for introduction 
into U.S. commerce. A locomotive which is exported for use primarily 
outside of the U.S. and whose operation within the U.S. would be 
incidental to its primary operation is not considered to have been 
introduced into U.S. commerce for the purposes of these emission 
standards. Should the Agency determine in the future that emissions 
from uncontrolled Canadian or Mexican locomotives operating in the U.S. 
have become a significant problem because they are operated in such a 
way that they should be considered to have been introduced into U.S. 
commerce, then it will exercise its authority under the Act, consistent 
with the restrictions of any relevant trade agreements, to control such 
emissions.
J.10. Passenger Locomotives
    The EPA recognizes Amtrak's comments to the docket on the proposed 
rule. In the comments Amtrak noted that passenger railroads face a 
variety of challenges both fiscally and otherwise in complying with the 
remanufacturing aspects of the rule. EPA is thus delaying the effective 
date of the Tier 0 requirements until January 1, 2007 for passenger 
locomotives.
    In order to address the concerns of Amtrak and to prevent 
substantial negative impacts from the rule on passenger rail providers, 
both intercity and commuter, the EPA will undertake to work with the 
Department of Transportation, Amtrak, and concerned commuter 
authorities to ensure that the cost of remanufacturing systems, 
including all associated development and testing costs, do not create 
an unreasonable economic burden. EPA will also develop a mechanism for 
providing alternative compliance options such as ABT or NCPs for 
locomotives for which compliance systems would present an unreasonable 
economic burden or force a locomotive into noncompliance with Federal 
safety standards, or other standards that govern the use of that 
locomotive in revenue service (e.g., axle weight restrictions).
    The EPA recognizes that no passenger service, either commuter or 
intercity, covers its operating expenses; that these entities are 
largely funded through tax transfers and other subsidies, and that 
passenger rail represents a benefit, current and developing, to the 
environment through modal displacement.

K. Preemption

    EPA is adopting the proposed regulatory provision clarifying the 
scope of federal preemption of state standards and requirements 
relating to the control of emissions from new locomotives and new 
engines used in locomotives, pursuant to the Agency's authority under 
Section 209(e) to promulgate regulations to implement this section, for 
the reasons stated in the NPRM. The provision adopted today codifies in 
federal regulations the statutory preemption of such state standards 
and requirements, and lists categories of state regulations that EPA 
has determined are preempted for a period exceeding the useful life of 
the locomotive or engine. These categories of state regulations are 
preempted under Section 209(e)(1), even when applied to in-use 
locomotives and engines for a period equivalent to 1.33 times the 
useful life period, because of the significant effect such standards 
and requirements would have on the design and manufacture of new 
locomotives and new locomotive engines. EPA's analysis of each standard 
listed in the preemption regulation provision is described in the NPRM.
    EPA's detailed response to comments received on the proposed 
preemption provision are contained in Chapter 1 of the SAC document in 
the docket for this rulemaking. EPA solicited comment on the issue of 
whether state in-use testing programs that utilize the FTP are 
preempted by CAA Section 209(e)(1), and whether they should be included 
in the list of preempted provisions in the regulations clarifying the 
scope of federal preemption of state standards and requirements 
relating to the control of emissions from new locomotives and new 
locomotive engines. EPA received comments arguing that such state 
testing requirements are preempted, and comments opposing that 
position. Based on the available information, EPA is not currently 
including such programs in the regulations specifying those state 
requirements that are categorically preempted by Section 209(e)(1) 
because EPA cannot conclude that a state's requirement that in-use 
locomotives be tested using the FTP to determine compliance with the 
federal standards would necessarily affect how manufacturers and 
remanufacturers design new locomotives and new locomotive 
engines.6
---------------------------------------------------------------------------

    \6\ EPA is referring to real and concrete effects on the design 
and manufacture of new locomotives and new locomotive engines, 
whether or not large, rather than to speculative or trivial effects.
---------------------------------------------------------------------------

    In addition to the discussion in the NPRM, EPA considered the 
effect of its own compliance testing program, which includes pre-
production certification provisions to check that locomotives and 
locomotive engines are designed to meet the emission standards, 
production line testing to determine whether, when this design is put 
into production, the new locomotives and engines meet the standards, 
and an in-use testing program to check whether the standards are being 
met while the locomotives and engines are in use in the railroad fleet. 
These requirements taken together form one of the most comprehensive 
mobile source compliance programs that has ever been implemented by 
EPA. Given the robust nature of this program, EPA expects that 
manufacturers and remanufacturers will make the efforts necessary to 
ensure that their locomotives comply with the federal emission 
standards in-use. Thus, EPA is confident that few, if any, states will 
find it worth the effort to develop their own state testing program 
using the FTP. As such, even without a federal regulation that 
expressly preempts such state testing requirements, the Agency does not 
expect that state emission testing of locomotives would ever be very 
extensive. This is significant, because the amount of state testing 
that is required would affect whether the program(s) would impact the 
design of new locomotives and new locomotive engines in a manner that 
warrants

[[Page 18994]]

preemption. With limited state testing, it is not clear what impact 
state testing would have on the design of new locomotives, or whether 
it would constitute the kind of effect that would warrant preemption of 
state testing, especially because manufacturers and remanufacturers 
will already be basing their compliance on the federal standards and 
test procedure. Therefore, since EPA cannot conclude that state testing 
using the FTP would have an effect on locomotive design, EPA is not 
including state testing programs using the FTP in the list of preempted 
provisions. Although EPA is not aware at this time of any state's 
intent to adopt locomotive testing requirements, EPA will monitor state 
actions in this area. If it turns out that state emission testing 
requirements identical to the FTP do in fact affect the design and 
manufacture of new locomotives and engines such that preemption is 
warranted, EPA will reconsider the regulation adopted today, with a 
view to including such state testing programs in its regulatory list of 
preempted state controls.
    EPA also received comment on the length of the preemption period. 
EPA proposed a preemption period equivalent to 1.25 times the useful 
life period. As is described in the SAC, EPA has determined that the 
available information supports a preemption period of 1.33 times useful 
life. This information shows that, because of the distribution of 
remanufacturing intervals, a small but significant number of 
locomotives will remain in use after the proposed preemption. EPA has 
concluded that manufacturers and remanufacturers would be required by 
the railroads to address any state requirements listed in the 
regulation that applied to locomotives between 1.25 and 1.33 times the 
useful life period.
    The list of state controls that are explicitly preempted under 
today's regulation is not intended to be exclusive. Any state control 
that would affect how a manufacturer designs or produces new (including 
remanufactured) locomotives or locomotive engines is preempted by 
section 209(e)(1). It is also important to note that certain categories 
of potential state requirements, while not expressly preempted by 
section 209(e)(1) or EPA's regulations implementing section 209(e)(1), 
are preempted because they would directly conflict with federal 
regulations. Under section 203(a)(3) of the Act, tampering includes 
actions that can reasonably be expected to contribute to an increase in 
emissions of a regulated pollutant. For example, a state requirement to 
alter the fuel injection system or air intake system of a locomotive to 
achieve NOX reductions is likely to cause increased PM and 
smoke emissions. Therefore, a railroad operator could not comply with 
the state requirement without making an adjustment to its locomotive 
that can reasonably be expected to result in an increase in emissions 
of a regulated pollutant, and would therefore be violating the federal 
prohibition against tampering. In such cases where it would be 
impossible to comply with the state requirement without violating a 
federal prohibition, the federal law preempts the state law. For this 
reason, such state requirements would be prohibited under the national 
rule. Finally, state emission controls that are not preempted may 
violate the Commerce Clause of the U.S. Constitution by imposing an 
undue burden on interstate commerce. Neither today's regulations, nor 
section 209 of the Act, address the scope of any limitations on state 
action under the U.S. Constitution.
    It should be noted that EPA has previously promulgated regulations 
that implement the provision of section 209(e)(2) of the Act that 
requires that states obtain a waiver prior to regulating nonroad 
sources. Under this provision, all state requirements relating to the 
control of emissions from in-use locomotives and locomotive engines, 
including state requirements not listed as preempted in 40 CFR 
85.1603(c)(1), are subject to section 209(e)(2)'s waiver requirement. 
The regulations state that EPA will authorize California to adopt and 
enforce such standards and requirements, unless EPA makes certain 
findings. For example, a waiver will not be granted if EPA finds that 
California does not need such requirements to ``meet compelling and 
extraordinary conditions,'' or if EPA finds that the requirements are 
not consistent with section 209 of the Act. By including new 
locomotives and new locomotive engines in section 209(e)(1) of the Act, 
Congress recognized the unique factual circumstances relating to this 
industry, and provided broader preemption for locomotives than for most 
other nonroad vehicles and engines. EPA would not grant California a 
waiver for any requirements if it finds that such California provisions 
are inconsistent with section 209(e)(1). In determining whether to 
grant a waiver, EPA would consider the unique circumstances applicable 
to locomotives and railroads at that time, such as the effect on engine 
design and on EPA's comprehensive program.
    Unless EPA authorizes California to adopt and enforce its own 
requirements relating to the control of emissions from locomotives, no 
other state may adopt or enforce any such requirements. However, once 
such authorization is granted, other states with state implementation 
plan provisions approved under part D of Title I of the Act may adopt 
and enforce, after notice to the Administrator, requirements identical 
to those authorized for California. The significance of this provision 
is that no state can adopt testing or other requirements relating to 
the control of emissions from in-use locomotives unless California does 
so, pursuant to EPA's authorization under section 209(e)(2). Thus, the 
provisions of section 209(e) of the Act effectively limit California 
and other states to adopting and enforcing testing programs utilizing 
the FTP that would achieve the intended emission benefit without having 
a real and concrete effect on the design or production of new 
(including remanufactured) locomotives and engines. Since EPA's 
authorization under section 209(e)(2) may only be granted after notice 
and opportunity for public comment, railroads and other interested 
parties will have an opportunity to provide comments to EPA on any 
proposed authorization of California testing requirements.

V. Public Participation

    A number of interested parties commented on EPA's February 11, 1997 
NPRM. The comments included written submittals to the rulemaking docket 
and those presented orally at the May 15, 1997 public hearing. The 
Agency fully considered these comments in developing today's final 
rule. Where today's action includes notable changes from the proposal, 
those changes are noted in the previous description of the action. A 
complete summary of all comments and EPA's analysis and response to 
those comments is contained in the SAC accompanying this rule.

VI. Environmental Effects

    This section contains a brief summary of the emission benefits 
expected from the national locomotive emission standards contained in 
this action. The complete analysis of the expected benefits is 
contained in the RSD. The primary focus of this regulation is on 
reducing NOX and PM, but reductions in HC will also be 
achieved.8 Because the emission standards for CO adopted 
today are intended as caps to prevent increases in CO emissions, no CO

[[Page 18995]]

reductions are expected to result from today's action.
---------------------------------------------------------------------------

    \8\ For information on the impacts of NOX emissions 
see, ``Nitrogen Oxides: Impacts on Public Health and the 
Environment,'' EPA 452/R-97-002, August 1997.
---------------------------------------------------------------------------

    The benefits analysis was performed in several steps. First, the 
baseline locomotive fleet composition, emissions rates and total 
inventory were determined. Second, future fleet composition was 
projected, from which the emission factors for the fleet were 
calculated for NOX, PM and HC. Future emission inventories 
were then calculated by multiplying these emission factors by fuel 
consumption to give total tons of emissions per year. Finally, those 
controlled emission inventories were compared to the baseline fleet 
emission inventories to arrive at mass NOX, PM and HC 
emission reductions for the fleet. Table VI-1 contains a summary of 
both the fleet percentage and mass reductions for NOX, PM 
and HC. It should be noted that both the total emissions and the 
projected reductions are larger than the corresponding numbers in the 
proposal. This is because this final analysis includes small freight 
and passenger railroads that were omitted in the draft analysis. While 
EPA expects some emission reductions to occur in 2000 and 2001 under 
today's action, Table VI-1 begins with 2002 because that is the first 
year that the locomotive emission standards are fully phased in.

         Table VI-1.--Nationwide Emission Reductions of NOX, PM and HC Compared to 1995 Baseline Levels         
                                    [Mass reduction in metric tons per year]                                    
----------------------------------------------------------------------------------------------------------------
                                             NOX                        PM                         HC           
                                 -------------------------------------------------------------------------------
              Year                  Percent        Mass        Percent        Mass        Percent        Mass   
                                   reduction    reduction     reduction    reduction     reduction    reduction 
----------------------------------------------------------------------------------------------------------------
2002............................           10      110,000           0.0            0           0.1           44
2005............................           28      304,000           3            928           3          1,430
2010............................           41      449,000          16          4,350          15          6,280
2020............................           49      538,000          28          7,640          26         11,020
2040............................           59      648,000          46         12,390          43         18,070
----------------------------------------------------------------------------------------------------------------

VII. Economic Impacts

    This section contains a summary of EPA's estimate of costs 
associated with today's action. Costs are presented in Table VII-1 for 
Tier 0, Tier 1 and Tier 2 locomotives on a per locomotive basis. The 
initial compliance costs include research and development costs, 
initial equipment costs (i.e., hardware costs for components needed to 
comply with the standards initially, but which are not typically 
replaced at remanufacture), and the costs of compliance such as 
certification and testing costs. The remanufacture costs include all 
costs associated with keeping the locomotive in compliance with the 
standards through subsequent remanufactures. The fuel cost includes the 
cost of any fuel economy penalties associated with compliance. The 
costs presented here are EPA's best estimates of the actual expected 
costs of this rule. EPA also estimated a worst-case scenario in the 
RSD. The total and NPV costs under the worst case scenario are $5,076 
million and $1,901 million, respectively.

               Table VII-1.--Lifetime Cost per Locomotive               
------------------------------------------------------------------------
          Cost component              Tier 0       Tier 1       Tier 2  
------------------------------------------------------------------------
Initial compliance...............       27,673       71,451       39,589
Remanufacture and maintenance....        8,526       25,420        9,840
Fuel.............................       30,589       92,865      200,900
                                  --------------------------------------
      Total......................       66,785      189,736      250,329
                                  --------------------------------------
Average annual...................        3,838        4,627        6,106
------------------------------------------------------------------------

    Overall program costs and average annual program costs were 
calculated over a forty-one year time period based on the per 
locomotive costs and projections of future locomotive fleet 
composition. These costs are shown in Table VII-2. Where applicable, 
costs are presented in actual and discounted format. A complete 
discussion of the methodology EPA used to calculate these costs is 
contained in the RSD.

     Table VII-2.--Summary of 41 Year Total Locomotive Program Costs    
                               [Million $]                              
------------------------------------------------------------------------
                                                   Actual        NPV    
------------------------------------------------------------------------
Tier 0........................................     1,123.35       584.93
Tier 1........................................       214.66       132.57
Tier 2........................................     1,935.04       613.54
Average Annual................................        79.83        32.46
                                               -------------------------
      Total...................................     3,273.05     1,331.04
------------------------------------------------------------------------

VIII. Cost-effectiveness

    The costs for NOX, PM and HC reductions are difficult to 
assign to a single pollutant due to the relationship between 
NOX, PM and HC emission generation. Thus, costs presented 
below are for all reductions. The following table (Table VIII-1) 
summarizes the costs and emission benefits of today's action. Costs and 
emission benefits were

[[Page 18996]]

calculated over a 41 year program run to reflect the lifetime costs 
associated with locomotives and locomotive engines, which typically 
have lives of 40 years or more.

                    Table VIII-1.--Cost-Effectiveness                   
------------------------------------------------------------------------
                                                               NOX + PM 
                                                    NOX          +HC    
------------------------------------------------------------------------
Total Emission Reduction (millions metric                               
 tons)........................................        20.05        20.76
Total Costs (million $).......................        3,273        3,273
Annual Emission Reduction (metric tons).......      489,087      506,271
Annual Costs (million $)......................        79.83        79.83
Cost Effectiveness ($/ton)....................          163          158
------------------------------------------------------------------------

IX. Administrative Designation and Regulatory Assessment 
Requirements

A. Executive Order 12866

    Under Executive Order 12866 (58 FR 51735, October 4, 1993) the 
Agency must determine whether the regulatory action is ``significant'' 
and therefore subject to OMB review and the requirements of the 
Executive Order. The Order defines ``significant regulatory action'' as 
one that is likely to result in a rule that may: (1) Have an annual 
effect on the economy of $100 million or more or adversely affect in a 
material way the economy, a sector of the economy, productivity, 
competition, jobs, the environment, public health or safety, or State, 
local, or tribal government or communities; (2) create a serious 
inconsistency or otherwise interfere with action taken or planned by 
another agency; (3) materially alter the budgetary impact of 
entitlements, grants, user fees, or loan programs or the rights and 
obligations of recipients thereof; or (4) raise novel legal or policy 
issues arising out of legal mandates, the President's priorities, or 
the principles set forth in the Executive Order.
    Pursuant to the terms of Executive Order 12866, EPA has determined 
that this is a ``significant regulatory action'' within the meaning of 
the Executive Order. EPA has submitted this action to OMB for review. 
Changes made in response to OMB suggestions or recommendations have 
been documented in the public record.

B. Regulatory Flexibility

    The Regulatory Flexibility Act (RFA) generally requires an agency 
to conduct a regulatory flexibility analysis of any rule subject to 
notice and comment rulemaking requirements unless the agency certifies 
that the rule will not have a significant economic impact on a 
substantial number of small entities. Small entities include small 
businesses, small not-for profit enterprises, and small governmental 
jurisdictions. This rule will not have a significant impact on a 
substantial number of small entities. The Agency has identified two 
types of small entities which could potentially be impacted by this 
proposal: (1) Small businesses involved in locomotive aftermarket parts 
production and locomotive remanufacturing, and (2) small railroads. EPA 
believes that, while today's proposal could potentially affect both of 
these groups, the impacts would be minimal or nonexistent for the 
following reasons.
    In the case of small parts suppliers and remanufacturing 
businesses, today's rules governing remanufacturing of locomotives or 
locomotive engines require that any remanufacture of post-1972 
locomotives or engines (except those exempted from the remanufacture 
requirements, as discussed in the next paragraph) be done such that the 
resultant locomotive or locomotive engine is in a configuration 
certified as meeting applicable emissions standards. The small 
remanufacturers would need to comply with these provisions by 
remanufacturing a locomotive into a configuration certified as meeting 
the applicable emission standards. The small parts suppliers would have 
to either certify a remanufacture system which uses its parts or 
produce parts which others can use in certified remanufacture systems. 
In either case, EPA believes that the phase-in of the remanufacturing 
requirements combined with the compliance flexibility given to small 
businesses during the initial years of the program will allow small 
businesses to successfully make the transition into the new marketplace 
for certified remanufactures without hardship. Further, EPA believes 
that the railroads have a genuine interest in keeping these small 
businesses operating in order to assure an independent supply of parts 
and remanufacture services, and will assist these companies in the 
transition from their current practices to being part of a regulated 
industry. Finally, while EPA believes that it has included sufficient 
provisions in this rule to prevent a market disruption where these 
small businesses are concerned, it has committed to reviewing the 
situation and taking appropriate actions should the affected small 
businesses find that the provisions included to help them through the 
transition phase are not sufficient for the longer term.
    EPA believes that today's rule will have a minimal impact on small 
railroads for two reasons. First, these small railroads do not tend to 
remanufacture their locomotives to ``as new'' condition like the Class 
I railroads do, and thus, their locomotives do not become ``new.'' The 
Agency has included a provision in this rule whereby small railroads 
(as defined by the Small Business Administration) are exempt from the 
Tier 0 remanufacturing requirements for their existing fleets. Second, 
the railroad in-use test program included in today's rule only applies 
to Class I freight railroads, thus exempting all small railroads from 
this testing requirement. In developing this proposed regulation, EPA 
has tailored the requirements so as to minimize or eliminate the 
effects on small entities. Therefore, I believe that this action will 
not have a significant economic impact on a substantial number of small 
entities.

C. Paperwork Reduction Act

    The information collection requirements in this rule will be 
submitted for approval to the Office of Management and Budget (OMB) 
under the Paperwork Reduction Act, 44 U.S.C. 3501 et seq. An 
Information Collection Request has been prepared by EPA (ICR No. 
1800.01) and a copy may be obtained from Sandy Farmer, OPPE Regulatory 
Information Division, U.S. Environmental Protection Agency (2137), 401 
M St., SW., Washington, DC 20460 or by calling (202) 260-2740.
    The information being collected is to be used by EPA to certify new 
locomotives and new locomotive engines in compliance with applicable 
emissions standards, and to assure that locomotives and locomotive 
engines

[[Page 18997]]

comply with applicable emissions standards when produced and in-use.
    The annual public reporting and recordkeeping burden for this 
collection of information is estimated to average 494 hours per 
response, with collection required quarterly or annually (depending on 
what portion of the program the collection is in response to). The 
estimated number of respondents is 20 and the estimated number of 
responses is 126. The total annualized capital/startup cost is $1.8 
million. Burden means the total time, effort, or financial resources 
expended by persons to generate, maintain, retain, or disclose or 
provide information to or for a Federal agency. This includes the time 
needed to review instructions; develop, acquire, install, and utilize 
technology and systems for the purposes of collecting, validating, and 
verifying information, processing and maintaining information, and 
disclosing and providing information; adjusting the existing ways to 
comply with any previously applicable instructions and requirements; 
train personnel to be able to respond to a collection of information; 
search data sources; complete and review the collection of information; 
and transmit or otherwise disclose the information.
    An agency may not conduct or sponsor, and a person is not required 
to respond to a collection of information unless it displays a 
currently valid OMB control number. The OMB control numbers for EPA's 
regulations are displayed in 40 CFR part 9 and 48 CFR Chapter 15.
    Comments are requested on the Agency's need for this information, 
the accuracy of the provided burden estimates, and any suggested 
methods for minimizing respondent burden, including through the use of 
automated collection techniques. Send comments on the ICR to the 
Director, OPPE Regulatory Information Division, U.S. Environmental 
Protection Agency (2137), 401 M St., SW., Washington, DC 20460, and to 
the Office of Information and Regulatory Affairs, Office of Management 
and Budget, 725 17th St., NW., Washington, DC 20503, marked 
``Attention: Desk Officer for EPA.'' Include the ICR number in any 
correspondence.

D. Unfunded Mandates Reform Act

    Title II of the Unfunded Mandates Reform Act of 1995 (UMRA), Pub. 
L. 104-4, establishes requirements for Federal agencies to assess the 
effects of their regulatory actions on State, local, and tribal 
governments and the private sector. Under section 202 of the UMRA, EPA 
generally must prepare a written statement, including a cost-benefit 
analysis, for proposed and final rules with ``Federal mandates'' that 
may result in expenditures to State, local, and tribal governments, in 
the aggregate, or to the private sector, of $100 million or more in any 
one year. Before promulgating an EPA rule for which a written statement 
is needed, section 205 of the UMRA generally requires EPA to identify 
and consider a reasonable number of regulatory alternatives and adopt 
the least costly, most cost-effective or least burdensome alternative 
that achieves the objectives of the rule. The provisions of section 205 
do not apply when they are inconsistent with applicable law. Moreover, 
section 205 allows EPA to adopt an alternative other than the least 
costly, most cost-effective or least burdensome alternative if the 
Administrator publishes with the final rule an explanation why that 
alternative was not adopted. Before EPA establishes any regulatory 
requirements that may significantly or uniquely affect small 
governments, including tribal governments, it must have developed under 
section 203 of the UMRA a small government agency plan. The plan must 
provide for notifying potentially affected small governments, enabling 
officials of affected small governments to have meaningful and timely 
input in the development of EPA regulatory proposals with significant 
Federal intergovernmental mandates, and informing, educating, and 
advising small governments on compliance with the regulatory 
requirements.
    Today's rule contains no Federal mandates (under the regulatory 
provisions of Title II of the UMRA) for State, local, or tribal 
governments because the rule imposes no enforceable duty on any State, 
local or tribal governments. The provisions in today's rule relating to 
the private sector are mandated by section 213(a)(5) of the Act. Thus, 
today's rule is not subject to the requirements of sections 202 and 205 
of the UMRA. Further, EPA has determined that this rule contains no 
regulatory requirements that might significantly or uniquely affect 
small governments. EPA has determined that this rule contains federal 
mandates that may result in expenditures of more than $100 million or 
more in any one year for the private sector. EPA believes that the 
program represents the least costly, most cost-effective approach to 
achieving the air quality goals of the program. EPA has performed the 
required analyses under Executive Order 12866 which contains identical 
analytical requirements. The benefit and cost analyses of this action 
can be found in Chapters 6 and 7 of the RSD.

E. Submission to Congress and the General Accounting Office

    Under 5 U.S.C. 801(a)(1)(A) as added by the Small Business 
Regulatory Enforcement Fairness Act of 1996, EPA submitted a report 
containing this rule and other required information to the U.S. Senate, 
the U.S. House of Representatives and the Comptroller General of the 
General Accounting Office prior to publication of the rule in today's 
Federal Register. This rule is a ``major rule'' as defined by 5 U.S.C. 
804(2).

X. Copies of Rulemaking Documents

    The preamble, regulatory text, Regulatory Support Document (RSD) 
and Summary and Analysis of Comments document (SAC) are available 
electronically from the EPA Internet Web site. This service is free of 
charge, except for any cost you already incur for Internet 
connectivity. An electronic version is made available on the day of 
publication on the primary Web site listed below. The EPA Office of 
Mobile Sources also publishes these documents on the secondary Web site 
listed below.

http://www.epa.gov/docs/fedrgstr/EPA-AIR/ (either select desired date 
or use Search feature)
http://www.epa.gov/OMSWWW/ (look in What's New or under the specific 
rulemaking topic)

    Please note that due to differences between the software used to 
develop the document and the software into which the document may be 
downloaded, changes in format, page length, etc. may occur.

XI. Judicial Review

    Under section 307(b)(1) of the Act, EPA hereby finds that these 
regulations are of national applicability. Accordingly, judicial review 
of this action is available only by filing a petition for review in the 
United States Court of Appeals for the District of Columbia Circuit by 
June 15, 1998. Under section 307(b)(2) of the Act, the requirements 
which are the subject of today's document may not be challenged later 
in judicial proceedings brought by EPA to enforce these requirements.

List of Subjects

40 CFR Part 85

    Environmental protection, Air pollution control, Confidential 
business information, Imports, Labeling, Motor vehicle pollution, 
Railroads, Reporting

[[Page 18998]]

and recordkeeping requirements, Research, Warranties.

40 CFR Part 89

    Environmental protection, Administrative practice and procedure, 
Air pollution control, Confidential business information, Imports, 
Labeling, Motor vehicle pollution, Reporting and recordkeeping 
requirements, Research, Warranties.

40 CFR Part 92

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

    Dated: December 17, 1997.
Carol M. Browner,
Administrator.

    For the reasons set forth in the preamble, chapter I of title 40 of 
the Code of Federal Regulations is amended as set forth below:

PART 85--[AMENDED]

    1. The authority citation for part 85 is revised to read as 
follows:

    Authority: 42 U.S.C. 7521, 7522, 7524, 7525, 7541, 7542, 7543, 
7547, and 7601(a).

    2. Section 85.1602 of subpart Q is amended by revising the 
definition of ``locomotive'' and adding new definitions for ``new 
locomotive'' and ``new engine used in a locomotive'' in alphabetical 
order to read as follows:


Sec. 85.1602  Definitions.

* * * * *
    Locomotive. The definition of locomotive specified in 40 CFR 92.2 
applies to this subpart.
* * * * *
    New engine used in a locomotive means new locomotive engine, as 
defined in 40 CFR 92.2.
    New locomotive. The definition of new locomotive specified in 40 
CFR 92.2 applies to this subpart.
* * * * *
    3. Section 85.1603 is amended by revising paragraph (c) to read as 
follows:


Sec. 85.1603  Application of definitions; scope of preemption.

* * * * *
    (c)(1) States and any political subdivisions thereof are preempted 
from adopting or enforcing standards or other requirements relating to 
the control of emissions from new locomotives and new engines used in 
locomotives.
    (2) During a period equivalent in length to 133 percent of the 
useful life, expressed as MW-hrs (or miles where applicable), beginning 
at the point at which the locomotive or engine becomes new, those 
standards or other requirements which are preempted include, but are 
not limited to, the following: emission standards, mandatory fleet 
average standards, certification requirements, aftermarket equipment 
requirements, and nonfederal in-use testing requirements. The standards 
and other requirements specified in the preceding sentence are 
preempted whether applicable to new or other locomotives or locomotive 
engines.
* * * * *

PART 89--[AMENDED]

    4. The authority citation for part 89 continues to read as follows:

    Authority: Sections 202, 203, 204, 205, 206, 207, 208, 209, 213, 
215, 216, and 301(a) of the Clean Air Act, as amended (42 U.S.C. 
7521, 7522, 7523, 7524, 7525, 7541, 7542, 7543, 7547, 7549, 7550, 
and 7601(a)).

    5. Section 89.1 of subpart A is amended by revising paragraph 
(b)(3) to read as follows:


Sec. 89.1  Applicability.

* * * * *
    (b) * * *
    (3) Engines subject to the standards of 40 CFR part 92 (engines 
exempted from the requirements of 40 CFR part 92 under 40 CFR 92.907 
are subject to the requirements of this part 89); and
* * * * *


Sec. 89.2   [Amended]

    6. Section 89.2 of subpart A is amended by removing the definition 
of ``locomotive''.
    7. A new part 92 is added to read as follows:

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

Subpart A--General Provisions for Emission Regulations for Locomotives 
and Locomotive Engines

Sec.
92.1  Applicability.
92.2  Definitions.
92.3  Abbreviations.
92.4  Treatment of confidential information.
92.5  Reference materials.
92.6  Regulatory structure.
92.7  General standards.
92.8  Emission standards.
92.9  Compliance with emission standards.
92.10  Warranty period.
92.11  Compliance with emission standards in extraordinary 
circumstances.
92.12  Interim provisions.

Subpart B--Test Procedures

92.101  Applicability.
92.102  Definitions and abbreviations.
92.103  Test procedures; overview.
92.104  Locomotive and engine testing; overview.
92.105  General equipment specifications.
92.106  Equipment for loading the engine.
92.107  Fuel flow measurement.
92.108  Intake and cooling air measurements.
92.109  Analyzer specifications.
92.110  Weighing chamber and micro-balance.
92.111  Smoke measurement system.
92.112  Analytical gases.
92.113  Fuel specifications.
92.114  Exhaust gas and particulate sampling and analytical system.
92.115  Calibrations; frequency and overview.
92.116  Engine output measurement system calibrations.
92.117  Gas meter or flow instrumentation calibration, particulate 
measurement.
92.118  Analyzer checks and calibrations.
92.119  Hydrocarbon analyzer calibration.
92.120  NDIR analyzer calibration and checks.
92.121  Oxides of nitrogen analyzer calibration and check.
92.122  Smoke meter calibration.
92.123  Test procedure; general requirements.
92.124  Test sequence; general requirements.
92.125  Pre-test procedures and preconditioning.
92.126  Test run.
92.127  Emission measurement accuracy.
92.128  Particulate handling and weighing.
92.129  Exhaust sample analysis.
92.130  Determination of steady-state concentrations.
92.131  Smoke, data analysis.
92.132  Calculations.
92.133  Required information.

Subpart C--Certification Provisions

92.201  Applicability.
92.202  Definitions.
92.203  Application for certification.
92.204  Designation of engine families.
92.205  Prohibited controls, adjustable parameters.
92.206  Required information.
92.207  Special test procedures.
92.208  Certification.
92.209  Certification with multiple manufacturers or 
remanufacturers.
92.210  Amending the application and certificate of conformity.
92.211  Emission-related maintenance instructions for purchasers.
92.212  Labeling.
92.213  Submission of locomotive and engine identification numbers.
92.214  Production locomotives and engines.
92.215  Maintenance of records; submittal of information; right of 
entry.
92.216  Hearing procedures.

Subpart D--Certification Averaging, Banking, and Trading Provisions

92.301  Applicability.
92.302  Definitions.
92.303  General provisions.
92.304  Compliance requirements.

[[Page 18999]]

92.305  Credit generation and use calculation.
92.306  Certification.
92.307  Labeling.
92.308  Maintenance of records.
92.309  Reports.
92.310  Notice of opportunity for hearing.

Subpart E--Emission-related Defect Reporting Requirements, Voluntary 
Emission Recall Program

92.401  Applicability.
92.402  Definitions.
92.403  Emission defect information report.
92.404  Voluntary emissions recall reporting.
92.405  Alternative report formats.
92.406  Reports filing: record retention.
92.407  Responsibility under other legal provisions preserved.
92.408  Disclaimer of production warranty applicability.

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

92.501  Applicability.
92.502  Definitions.
92.503  General requirements.
92.504  Right of entry and access.
92.505  Sample selection for testing.
92.506  Test procedures.
92.507  Sequence of testing.
92.508  Calculation and reporting of test results.
92.509  Maintenance of records; submittal of information.
92.510  Compliance with criteria for production line testing.
92.511  Remanufactured locomotives: installation audit requirements.
92.512  Suspension and revocation of certificates of conformity.
92.513  Request for public hearing.
92.514  Administrative procedures for public hearing.
92.515  Hearing procedures.
92.516  Appeal of hearing decision.
92.517  Treatment of confidential information.

Subpart G--In-Use Testing Program

92.601  Applicability.
92.602  Definitions.
92.603  General provisions.
92.604  In-use test procedure.
92.605  General testing requirements.
92.606  Maintenance, procurement and testing of in-use locomotives.
92.607  In-use test program reporting requirements.

Subpart H--Recall Regulations

92.701  Applicability.
92.702  Definitions.
92.703  Voluntary emissions recall.
92.704  Notice to manufacturer or remanufacturer of nonconformity; 
submission of remedial plan.
92.705  Remedial plan.
92.706  Approval of plan: implementation.
92.707  Notification to locomotive or locomotive engine owners.
92.708  Records and reports.
92.709  Public hearings.

Subpart I--Importation of Nonconforming Locomotives and Locomotive 
Engines

92.801  Applicability.
92.802  Definitions.
92.803  Admission.
92.804  Exemptions.
92.805  Prohibited acts; penalties.

Subpart J--Exclusion and Exemption Provisions

92.901  Purpose and applicability.
92.902  Definitions.
92.903  Exclusions.
92.904  Exemptions.
92.905  Testing exemption.
92.906  Manufacturer-owned, remanufacturer-owned exemption and 
display exemption.
92.907  Non-locomotive-specific engine exemption.
92.908  National security exemption.
92.909  Export exemptions.
92.910  Granting of exemptions.
92.911  Submission of exemption requests.

Subpart K--Requirements Applicable to Owners and Operators of 
Locomotives and Locomotive Engines

92.1001  Applicability.
92.1002  Definitions.
92.1003  In-use testing program.
92.1004  Maintenance and repair.
92.1005  In-use locomotives.
92.1006  Refueling requirements.

Subpart L--General Enforcement Provisions and Prohibited Acts

92.1101  Applicability.
92.1102  Definitions.
92.1103  Prohibited acts.
92.1104  General enforcement provisions.
92.1105  Injunction proceedings for prohibited acts.
92.1106  Penalties.
92.1107  Warranty provisions.
92.1108  In-use compliance provisions.

Appendices to Part 92

Appendix I to Part 92--Emission-Related Locomotive and Engine 
Parameters and Specifications

Appendix II to Part 92--Interpretive Ruling for Sec. 92.705--Remedial 
Plans

Appendix III to Part 92--Smoke Standards for Non-normalized 
Measurements

Appendix IV to Part 92--Guidelines for Determining Equivalency Between 
Emission Measurement Systems

    Authority: 42 U.S.C. 7522, 7523, 7524, 7525, 7541, 7542, 7543, 
7545, 7547, 7549, 7550 and 7601(a).

Subpart A--General Provisions for Emission Regulations for 
Locomotives and Locomotive Engines


Sec. 92.1  Applicability.

    (a) Except as noted in paragraph (b) of this section, the 
provisions of this part apply to manufacturers, remanufacturers, owners 
and operators of:
    (1) Locomotives and locomotive engines manufactured on or after 
January 1, 2000; and
    (2) Locomotives and locomotive engines manufactured on or after 
January 1, 1973 and remanufactured on or after January 1, 2000; and
    (3) Locomotives and locomotive engines manufactured prior to 
January 1, 1973, and upgraded on or after January 1, 2000.
    (b) The requirements and prohibitions of this part do not apply 
with respect to:
    (1) Steam locomotives, as defined in Sec. 92.2;
    (2) Locomotives powered solely by an external source of 
electricity;
    (3) Locomotive engines which provide only hotel power (see 40 CFR 
part 89 to determine if such engines are subject to EPA emission 
requirements); or
    (4) Nonroad vehicles excluded from the definition of locomotive in 
Sec. 92.2, and the engines used in such nonroad vehicles (see 40 CFR 
parts 86 and 89 to determine if such vehicles or engines are subject to 
EPA emission requirements).
    (c) For cases in which there are multiple entities meeting the 
definition of manufacturer or remanufacturer, see Sec. 92.209 for 
guidance.


Sec. 92.2  Definitions.

    (a) The definitions of this section apply to this subpart. They 
also apply to all subparts of this part, except where noted otherwise.
    (b) As used in this part, all terms not defined in this section 
shall have the meaning given them in the Act:
    Act means the Clean Air Act as amended (42 U.S.C. 7401 et seq.).
    Administrator means the Administrator of the Environmental 
Protection Agency or his/her authorized representative.
    Aftertreatment system or aftertreatment component or aftertreatment 
technology means any system or component or technology mounted 
downstream of the exhaust valve or exhaust port whose design function 
is to reduce exhaust emissions.
    Alcohol fuel means a fuel consisting primarily (more than 50 
percent by weight) of one or more alcohols: e.g., methyl alcohol, ethyl 
alcohol.
    Alternator/generator efficiency means the ratio of the electrical 
power output from the alternator/generator to the mechanical power 
input to the alternator/generator at the operating point.
    Alternator/generator input horsepower means the mechanical 
horsepower input to the main alternator or generator of a locomotive. 
For the purpose of calculating brake

[[Page 19000]]

horsepower, alternator/generator input horsepower does not include any 
power used to circulate engine coolant, circulate engine lubricant, or 
to supply fuel to the engine.
    Applicable standard means a standard to which a locomotive or 
locomotive engine is subject; or, where a locomotive or locomotive 
engine is certified another standard or FEL, applicable standard means 
the other standard or FEL to which the locomotive or locomotive engine 
is certified, as allowed by Sec. 92.8. This definition does not apply 
to subpart D of this part.
    Auxiliary emission control device (AECD) means any element of 
design which senses temperature, locomotive speed, engine RPM, 
atmospheric pressure, manifold pressure or vacuum, or any other 
parameter for the purpose of activating, modulating, delaying, or 
deactivating the operation of any part of the emission control system 
(including, but not limited to injection timing); or any other feature 
that causes in-use emissions to be higher than those measured under 
test conditions, except as allowed by this part.
    Auxiliary engine means a locomotive engine that provides hotel 
power, but does not provide power to propel the locomotive.
    Auxiliary power means the power provided by the main propulsion 
engine to operate accessories such as cooling fans.
    Averaging for locomotives and locomotive engines means the exchange 
of emission credits among engine families within a given 
manufacturer's, or remanufacturer's, product line.
    Banking means the retention of emission credits by a credit holder 
for use in future calendar year averaging or trading as permitted by 
the regulations in this part.
    Brake horsepower means the sum of the alternator/generator input 
horsepower and the mechanical accessory horsepower, excluding any power 
used to circulate engine coolant, circulate engine lubricant, or to 
supply fuel to the engine.
    Calibration means the set of specifications, including tolerances, 
unique to a particular design, version, or application of a component, 
or components, or assembly capable of functionally describing its 
operation over its working range. This definition does apply to subpart 
B of this part.
    Class I freight railroad means a Class I railroad that primarily 
transports freight rather than passengers.
    Class I railroad means a railroad that has been classified as a 
Class I railroad by the Surface Transportation Board.
    Class II railroad means a railroad that has been classified as a 
Class II railroad by the Surface Transportation Board.
    Class III railroad means a railroad that has been classified as a 
Class III railroad by the Surface Transportation Board.
    Configuration means any subclassification of an engine family which 
can be described on the basis of gross power, emission control system, 
governed speed, injector size, engine calibration, and other parameters 
as designated by the Administrator.
    Crankcase emissions means emissions to the atmosphere from any 
portion of the crankcase ventilation or engine lubrication systems.
    Defeat device means an AECD or other control feature that reduces 
the effectiveness of the emission control system under conditions which 
may reasonably be expected to be encountered in normal locomotive 
operation and use, unless the AECD or other control feature has been 
identified by the certifying manufacturer or remanufacturer in the 
application for certification, and:
    (1) Such conditions are substantially represented by the portion of 
the federal test procedure during which the applicable emission rates 
are measured;
    (2) The need for the AECD is justified in terms of protecting the 
locomotive or locomotive engine against damage or accident; or
    (3) The AECD does not go beyond the requirements of engine 
starting.
    Deterioration factor means the difference between exhaust emissions 
at the end of useful life and exhaust emissions at the low mileage test 
point expressed as either: the ratio of exhaust emissions at the end of 
useful life to exhaust emissions at the low mileage test point (for 
multiplicative deterioration factors); or the difference between 
exhaust emissions at the end of useful life exhaust emissions at the 
low mileage test point (for additive deterioration factors).
    Diesel fuel means any fuel suitable for use in diesel engines, and 
which is commonly or commercially known or sold as diesel fuel.
    Emission control system means those devices, systems or elements of 
design which control or reduce the emission of substances from an 
engine. This includes, but is not limited to, mechanical and electronic 
components and controls, and computer software.
    Emission credits represent the amount of emission reduction or 
exceedance, by a locomotive engine family, below or above the emission 
standard, respectively. Emission reductions below the standard are 
considered as ``positive credits,'' while emission exceedances above 
the standard are considered as ``negative credits.'' In addition, 
``projected credits'' refer to emission credits based on the projected 
applicable production/sales volume of the engine family. ``Reserved 
credits'' are emission credits generated within a calendar year waiting 
to be reported to EPA at the end of the calendar year. ``Actual 
credits'' refer to emission credits based on actual applicable 
production/sales volume as contained in the end-of-year reports 
submitted to EPA.
    Emission-data engine means an engine which is tested for purposes 
of emission certification or production line testing.
    Emission-data locomotive means a locomotive which is tested for 
purposes of emission certification or production line testing.
    Emission-related defect means a defect in design, materials, or 
workmanship in a device, system, or assembly described in the approved 
Application for certification which affects any parameter or 
specification enumerated in Appendix I of this part.
    Emission-related maintenance means that maintenance which 
substantially affects emissions or which is likely to affect the 
deterioration of the locomotive or engine with respect to emissions, as 
described in an approved Application for certification.
    Engine family means a group of locomotive or locomotive engine 
configurations which are expected to have similar emission 
characteristics throughout the useful lives of the locomotives and 
engines (see Sec. 92.204), and which are (or were) covered (or 
requested to be covered) by a specific certificate of conformity.
    Engine used in a locomotive means an engine incorporated into a 
locomotive or intended for incorporation into a locomotive.
    Engineering analysis means a summary of scientific and/or 
engineering principles and facts that support a conclusion made by a 
manufacturer or remanufacturer, with respect to compliance with the 
provisions of this part.
    EPA Enforcement Officer means any officer or employee of the 
Environmental Protection Agency so designated in writing by the 
Administrator or his/her designee.
    Ethanol means a fuel that contains at least 50 percent ethanol 
(ethyl alcohol, (C2H5OH)) by volume.
    Exhaust emissions means substances (i.e., gases and particles) 
emitted to the atmosphere from any opening downstream from the exhaust 
port or exhaust valve of a locomotive engine.

[[Page 19001]]

    Family Emission Limit means an emission level declared by the 
certifying manufacturer or remanufacturer to serve in lieu of an 
otherwise applicable emission standard for certification and compliance 
purposes in the averaging, banking and trading program. FELs are 
expressed to the same number of decimal places as the applicable 
emission standard.
    Freshly manufactured locomotive means a locomotive which is powered 
by a freshly manufactured engine, and which contains fewer than 25 
percent previously used parts (weighted by the dollar value of the 
parts).
    Freshly manufactured locomotive engine means a new locomotive 
engine which has not been remanufactured.
    Fuel system means the combination of fuel tank(s), fuel pump(s), 
fuel lines and filters, pressure regulator(s), and fuel injection 
components (or pressure regulator(s) and carburetor(s) if fuel 
injection is not employed), fuel system vents, and any other component 
involved in the delivery of fuel to the engine.
    Gaseous fuel means a fuel which is a gas at standard temperature 
and pressure. This includes both natural gas and liquefied petroleum 
gas.
    Green engine factor means a factor that is applied to emission 
measurements from a locomotive or locomotive engine that has had little 
or no service accumulation. The green engine factor adjusts emission 
measurements to be equivalent to emission measurements from a 
locomotive or locomotive engine that has had approximately 300 hours of 
use.
    High-altitude means relating to an altitude greater than 4000 feet 
(1220 meters) and less than 7000 feet (2135 meters), or equivalent 
observed barometric test conditions of 25.7 to 22.7 inch Hg (88.5 to 
78.1 kilopascals).
    Hotel power means the power provided by an engine on a locomotive 
to operate equipment on passenger cars of a train; e.g., heating and 
air conditioning, lights, etc.
    Idle speed means that speed, expressed as the number of revolutions 
of the crankshaft per unit of time (e.g., rpm), at which the engine is 
set to operate when not under load for purposes of propelling the 
locomotive.
    Importer means an entity or person who imports locomotives or 
locomotive engines from a foreign country into the United States 
(including the Commonwealth of Puerto Rico, the Virgin Islands, Guam, 
American Samoa, and the Northern Mariana Islands).
    Inspect and qualify means to determine that a previously used 
component or system meets all applicable criteria listed for the 
component or system in a certificate of conformity for remanufacturing 
(e.g., determine that the component or system is functionally 
equivalent to one that has not been used previously).
    Installer means an individual or entity which assembles 
remanufactured locomotives or locomotive engines.
    Liquefied petroleum gas means the commercial product marketed as 
liquefied petroleum gas or propane.
    Locomotive means a self-propelled piece of on-track equipment 
designed for moving or propelling cars that are designed to carry 
freight, passengers or other equipment, but which itself is not 
designed or intended to carry freight, passengers (other than those 
operating the locomotive) or other equipment. Other equipment which is 
designed for operation both on highways and rails; specialized railroad 
equipment for maintenance, construction, post accident recovery of 
equipment, and repairs; and other similar equipment; and vehicles 
propelled by engines with rated horsepower of less than 750 kW (1006 
hp) are not locomotives (see 40 CFR Parts 86 and 89 for this 
equipment).
    Locomotive engine means an engine incorporated into a locomotive or 
intended for incorporation into a locomotive.
    Low hour engine means an engine during the interval between the 
time that normal assembly operations and adjustments are completed and 
the time that 300 additional operating hours have been accumulated 
(including hours accumulated during emission testing if performed).
    Low idle speed means a speed which is less than normal idle speed, 
expressed as the number of revolutions of the crankshaft per unit of 
time, at which an engine can be set when not under load for purposes of 
propelling the locomotive.
    Low mileage locomotive means a locomotive during the interval 
between the time that normal assembly operations and adjustments are 
completed and the time that either 10,000 miles of locomotive operation 
or 300 additional operating hours have been accumulated (including 
emission testing if performed).
    Malfunction means a condition in which the operation of a component 
in a locomotive or locomotive engine occurs in a manner other than that 
specified by the certifying manufacturer or remanufacturer (e.g., as 
specified in the application for certification); or the operation of 
the locomotive or locomotive engine in that condition.
    Manufacturer means an individual or entity engaged in the 
manufacturing or assembling of freshly manufactured locomotives or 
freshly manufactured locomotive engines; or the importing of 
locomotives or locomotive engines originally manufactured on or after 
January 1, 1973 and not remanufactured. (See Secs. 92.1(c) and 92.209 
for applicability of this term.)
    Maximum rated horsepower means the maximum brake horsepower output 
of an engine.
    Mechanical accessory horsepower means the sum of mechanical 
horsepower generated by an engine to supply accessories. Mechanical 
accessory horsepower does not include power supplied to the main 
alternator or generator, power used to circulate engine coolant or 
engine lubricant, or power used to supply fuel to the engine.
    Methanol means a fuel that contains at least 50 percent methanol 
(methyl alcohol, (CH3OH)) by volume.
    Method of aspiration means the method whereby air for fuel 
combustion enters the engine (e.g., natural or turbocharged).
    Model year means a calendar year; except where the Administrator 
determines a different production period which includes January 1 of 
such calendar year.
    Natural gas means the commercial product marketed as natural gas 
whose primary constituent is methane.
    New locomotive or new locomotive engine means:
    (1)(i) A locomotive or locomotive engine the equitable or legal 
title to which has never been transferred to an ultimate purchaser; or
    (ii) A locomotive or locomotive engine which has been 
remanufactured, but has not been placed back into service.
    (2) Where the equitable or legal title to a locomotive or 
locomotive engine is not transferred prior to its being placed into 
service, the locomotive or locomotive engine ceases to be new when it 
is placed into service.
    (3) With respect to imported locomotives or locomotive engines, the 
term ``new locomotive'' or ``new locomotive engine'' means a locomotive 
or locomotive engine that is not covered by a certificate of conformity 
under this part at the time of importation, and that was manufactured 
or remanufactured after the effective date of the emission standards in 
this part which is applicable to such locomotive or engine (or which 
would be applicable to such locomotive or engine had it been 
manufactured or remanufactured for importation into the United States).
    (4) Notwithstanding paragraphs (1) through (3) of this definition, 
locomotives and locomotive engines

[[Page 19002]]

which were originally manufactured before January 1, 1973 and which 
have not been upgraded are not new.
    (5) Notwithstanding paragraphs (1) through (3) of this definition, 
locomotives and locomotive engines which are owned by a small railroad 
and which have never been remanufactured into a certified configuration 
are not new.
    Nonconforming locomotive or nonconforming locomotive engine means a 
locomotive or locomotive engine which is not covered by a certificate 
of conformity prior to importation or being offered for importation (or 
for which such coverage has not been adequately demonstrated to EPA); 
or a locomotive or locomotive engine which was originally covered by a 
certificate of conformity, but which is not in a certified 
configuration, or otherwise does not comply with the conditions of that 
certificate of conformity. (Note: Domestic locomotives and locomotive 
engines which are not covered by a certificate of conformity prior to 
their introduction into U.S. commerce are considered to be noncomplying 
locomotives and locomotive engines.)
    Non-locomotive-specific engine means an engine that is sold for and 
used in non-locomotive applications more than for locomotive 
applications.
    Normal idle means relating to the idle throttle-notch position for 
locomotives that have one throttle-notch position, or the highest the 
idle throttle-notch position for locomotives that have two throttle-
notch positions.
    Opacity means the fraction of a beam of light, expressed in 
percent, which fails to penetrate a plume of smoke as measured and 
calculated under the provisions of subpart B of this part.
    Original manufacture means the event of freshly manufacturing a 
locomotive or locomotive engine. The date of original manufacture is 
the date of final assembly; except as provided in Sec. 92.11. Where a 
locomotive or locomotive engine is manufactured under Sec. 92.11, the 
date of original manufacture is the date on which the final assembly of 
locomotive or locomotive engine was originally scheduled.
    Original remanufacture means the first remanufacturing of a 
locomotive or locomotive engine at which the locomotive or locomotive 
engines is subject to the emission standards of this part.
    Oxides of nitrogen means nitric oxide and nitrogen dioxide. Oxides 
of nitrogen are expressed quantitatively as if the nitric oxide were in 
the form of nitrogen dioxide (oxides of nitrogen are assumed to have a 
molecular weight equivalent to nitrogen dioxide).
    Passenger locomotive means a locomotive designed and constructed 
for the primary purpose of propelling passenger trains, and providing 
power to the passenger cars of the train for such functions as heating, 
lighting and air conditioning.
    Petroleum fuel means a fuel primarily derived from crude oil (e.g., 
gasoline or diesel fuel).
    Power assembly means the components of an engine in which 
combustion of fuel occurs, and consists of the cylinder, piston and 
piston rings, valves and ports for admission of charge air and 
discharge of exhaust gases, fuel injection components and controls, 
cylinder head and associated components.
    Primary fuel means that type of fuel (e.g., diesel fuel) that is 
consumed in the greatest quantity (mass basis) when the locomotive or 
locomotive engine is operated in use.
    Produce means to manufacture or remanufacture. Where a certificate 
holder does not actually assemble the locomotives or locomotive engines 
that it manufactures or remanufactures, produce means to allow other 
entities to assemble locomotives or locomotive engines under the 
certificate holder's certificate.
    Railroad means a commercial entity that operates locomotives to 
transport passengers or freight.
    Rated horsepower means the maximum horsepower output of a 
locomotive engine in use.
    Remanufacture means:
    (1)(i) To replace, or inspect and qualify, each and every power 
assembly of a locomotive or locomotive engine, whether during a single 
maintenance event or cumulatively within a five year period; or
    (ii) To upgrade a locomotive or locomotive engine; or
    (iii) To convert a locomotive or locomotive engine to enable it to 
operate using a fuel other than it was originally manufactured to use; 
or
    (iv) To install a remanufactured engine or a freshly manufactured 
engine into a previously used locomotive.
    (2) Remanufacture also means the act of remanufacturing.
    Remanufacture system or remanufacturing system means all components 
(or specifications for components) and instructions necessary to 
remanufacture a locomotive or locomotive engine in accordance with 
applicable requirements of this part.
    Remanufactured locomotive means either a locomotive which is 
powered by a remanufactured locomotive engine, or a repowered 
locomotive.
    Remanufactured locomotive engine means a locomotive engine which 
has been remanufactured.
    Remanufacturer means an individual or entity that is engaged in the 
manufacture or assembly of remanufactured locomotives or locomotive 
engines, (including: Entities that design or produce the emission-
related parts used in remanufacturing; entities that install parts in 
an existing locomotive or locomotive engine to remanufacture it; and 
entities that own or operate the locomotive or locomotive engine and 
provide specifications as to how an engine is to be remanufactured 
(i.e., specifying who will perform the work, when the work is to be 
performed, what parts are to be used, or how to calibrate the 
adjustable parameters of the engine)); or an importer of remanufactured 
locomotives or locomotive engines. (See Secs. 92.1(c) and 92.209 for 
applicability of this term.)
    Repower means replacement of the engine in a previously used 
locomotive with a freshly manufactured locomotive engine. Replacing a 
locomotive engine with a freshly manufactured locomotive engine in a 
locomotive that has a refurbished or reconditioned chassis such that 
less than 25 of the parts of the locomotive were previously used (as 
weighted by dollar value) is not repowering.
    Repowered locomotive means a locomotive that has been repowered 
with a freshly manufactured engine.
    Service life means the total life of a locomotive or locomotive 
engine. Service life begins when the locomotive or locomotive engine is 
originally manufactured and continues until the locomotive or 
locomotive engine is permanently removed from service.
    Small railroad means a railroad that is classified by the Small 
Business Administration as a small business.
    Small remanufacturer means a remanufacturer that is classified by 
the Small Business Administration as a small business.
    Smoke means the matter in the engine exhaust which obscures the 
transmission of light.
    Specified adjustable range means the range of allowable settings 
for an adjustable component specified by a certificate of conformity.
    Specified by a certificate of conformity or specified in a 
certificate of conformity means stated or otherwise specified in a 
certificate of conformity or an approved application for certification.
    Steam locomotive means a historic locomotive propelled by a steam 
engine.

[[Page 19003]]

    Switch locomotive means a locomotive designed or used solely for 
the primary purpose of propelling railroad cars a short distance, and 
that is powered by an engine with a maximum horsepower rating of 2300 
hp or less.
    Test locomotive or locomotive engine means a locomotive or 
locomotive engine in a test sample.
    Test sample means the collection of locomotives or locomotive 
engines selected from the population of an engine family for emission 
testing or auditing.
    Throttle means the component, or components, which either directly 
or indirectly controls the fuel flow to the engine.
    Throttle notch means a discrete throttle position for a locomotive 
with a limited number of throttle positions.
    Throttle notch horsepower means the brake horsepower output of an 
engine corresponding to each throttle notch position, including 
dynamic-brake settings.
    Throttle notch speed means the speed of the engine, expressed as 
the number of revolutions of the crankshaft per unit of time (e.g., 
rpm), corresponding to each throttle notch position, including dynamic-
brake, and hotel power settings.
    Tier 0 means relating to emission standards applicable to 
locomotives originally manufactured before January 1, 2002; or relating 
to such locomotives.
    Tier 1 means relating to emission standards applicable to 
locomotives originally manufactured on or after January 1, 2002 and 
before January 1, 2005; or relating to such locomotives.
    Tier 2 means relating to emission standards applicable to 
locomotives originally manufactured on or after January 1, 2005; or 
relating to such locomotives.
    Total Hydrocarbon Equivalent means the sum of the carbon mass 
contributions of non-oxygenated hydrocarbons, alcohols and aldehydes, 
or other organic compounds that are measured separately as contained in 
a gas sample, expressed as gasoline-fueled vehicle hydrocarbons. The 
hydrogen-to-carbon ratio of the equivalent hydrocarbon is 1.85:1. Total 
Hydrocarbon Equivalent is abbreviated THCE.
    Trading means the exchange of locomotive or locomotive engine 
emission credits between credit holders.
    United States. United States includes the customs territory of the 
United States as defined in 19 U.S.C. 1202, and the Virgin Islands, 
Guam, American Samoa, and the Commonwealth of the Northern Mariana 
Islands.
    Upgrade means to modify a locomotive or locomotive engine that was 
originally manufactured prior to January 1, 1973 (or a locomotive or 
locomotive engine that was originally manufactured on or after January 
1, 1973, and that is not subject to the emission standards of this 
part), such that it is intended to comply with the Tier 0 standards. 
Upgrading is a type of remanufacturing.
    Useful life means the period during which the locomotive engine is 
designed to properly function in terms of reliability and fuel 
consumption, without being remanufactured, specified as work output or 
miles. It is the period during which a new locomotive or locomotive 
engine is required to comply with all applicable emission standards.
    Volatile liquid fuel means any liquid fuel other than diesel or 
biodiesel.
    Voluntary emission recall means a repair, adjustment, or 
modification program voluntarily initiated and conducted by a 
manufacturer or remanufacturer to remedy any emission-related defect 
for which notification of locomotive or locomotive engine owners has 
been provided.


Sec. 92.3  Abbreviations.

    The abbreviations of this section apply to all subparts of this 
part and have the following meanings:

ANSI--American National Standards Institute
API--American Petroleum Institute
ASTM--American Society for Testing and Materials
BHP--Brake horsepower
BSCO--Brake specific carbon monoxide
BSHC--Brake specific hydrocarbons
BSNOX--Brake specific oxides of nitrogen
 deg.C--Celsius
cfh--cubic feet per hour
cfm--cubic feet per minute
CFV--Critical flow venturi
CL--Chemiluminescence
CO--Carbon monoxide
CO2--Carbon dioxide
cu in--cubic inch(es)
CVS--Constant volume sampler
EP--End point
EPA--Environmental Protection Agency
 deg.F--Fahrenheit
FEL--Family emission limit
FID--Flame ionization detector
ft--foot or feet
g--gram(s)
gal--U.S. gallon
GC--Gas Chromatograph
h--hour(s)
H2O--water
HC--hydrocarbon
HFID--Heated flame ionization detector
Hg--Mercury
hp--horsepower
IBP--Initial boiling point
in--inch(es)
K--Kelvin
kg--kilogram(s)
km--kilometer(s)
kPa--kilopascal(s)
lb--pound(s)
LPG--Liquified Petroleum Gas
m--meter(s)
max--maximum
mg--milligram(s)
mi--mile(s)
min--minute
ml--milliliter(s)
mm--millimeter
mph--miles per hour
mv--millivolt(s)
N2--nitrogen
NDIR--Nondispersive infrared
NMHC--Non-methane hydrocarbons
NO--nitric oxide
NO2--nitrogen dioxide
NOX--oxides of nitrogen
No.--number
O2--oxygen
pct--percent
PM--particulate matter
ppm--parts per million by volume
ppmC--parts per million, carbon
psi--pounds per square inch
psig--pounds per square inch gauge
 deg.R--Rankin
rpm--revolutions per minute
s--second(s)
SAE--Society of Automotive Engineers
SI--International system of units (i.e., metric)
THCE--Total hydrocarbon equivalent
U.S.--United States
V--volt(s)
vs--versus
W--watt(s)
wt--weight


Sec. 92.4  Treatment of confidential information.

    (a) Any manufacturer or remanufacturer may assert that some or all 
of the information submitted pursuant to this part is entitled to 
confidential treatment as provided by 40 CFR part 2, subpart B.
    (b) Any claim of confidentiality must accompany the information at 
the time it is submitted to EPA.
    (c) To assert that information submitted pursuant to this part is 
confidential, a person or manufacturer or remanufacturer must indicate 
clearly the items of information claimed confidential by marking, 
circling, bracketing, stamping, or otherwise specifying the 
confidential information. Furthermore, EPA requests, but does not 
require, that the submitter also provide a second copy of its submittal 
from which all confidential information has been deleted. If a need 
arises to publicly release nonconfidential information, EPA will assume 
that the submitter has accurately deleted the confidential information 
from this second copy.
    (d) If a claim is made that some or all of the information 
submitted pursuant to this part is entitled to confidential treatment, 
the information covered by that confidentiality claim will be disclosed 
by EPA only to the extent and

[[Page 19004]]

by means of the procedures set forth in 40 CFR part 2, subpart B.
    (e) Information provided without a claim of confidentiality at the 
time of submission may be made available to the public by EPA without 
further notice to the submitter, in accordance with 40 CFR 
2.204(c)(2)(i)(A).


Sec. 92.5  Reference materials.

    (a) The documents in paragraph (b) of this section have been 
incorporated by reference. The incorporation by reference was approved 
by the Director of the Federal Register in accordance with 5 U.S.C. 
552(a) and 1 CFR part 51. Copies may be inspected at U.S. EPA, OAR, 401 
M Street, SW., Washington, DC 20460, or at the Office of the Federal 
Register, 800 North Capitol Street, NW., suite 700, Washington, DC.
    (b) The following paragraphs and tables set forth the material that 
has been incorporated by reference in this part:
    (1) ASTM material. The following table sets forth material from the 
American Society for Testing and Materials that has been incorporated 
by reference. The first column lists the number and name of the 
material. The second column lists the section(s) of the part, other 
than this section, in which the matter is referenced. The second column 
is presented for information only and may not be all inclusive. More 
recent versions of these standards may be used with advance approval of 
the Administrator. Copies of these materials may be obtained from 
American Society for Testing and Materials, 1916 Race St., 
Philadelphia, PA 19103. The table follows:

------------------------------------------------------------------------
          Document number and name            40 CFR part 92  reference 
------------------------------------------------------------------------
ASTM D 86-95, Standard Test Method for       Sec.  92.113               
 Distillation of Petroleum Products.                                    
ASTM D 93-94, Standard Test Methods for      Sec.  92.113               
 Flash-Point by Pensky-Martens Closed Cup                               
 Tester.                                                                
ASTM D 287-92, Standard Test Method for API  Sec.  92.113               
 Gravity of Crude Petroleum and Petroleum                               
 Products (Hydrometer Method).                                          
ASTM D 445-94, Standard Test Method for      Sec.  92.113               
 Kinematic Viscosity of Transparent and                                 
 Opaque Liquids (the Calculation of Dynamic                             
 Viscosity).                                                            
ASTM D 613-95, Standard Test Method for      Sec.  92.113               
 Cetane Number of Diesel Fuel Oil.                                      
ASTM D 976-91, Standard Test Method for      Sec.  92.113               
 Calculated Cetane Index of Distillate                                  
 Fuels.                                                                 
ASTM D 1319-95, Standard Test Method for     Sec.  92.113               
 Hydrocarbon Types in Liquid Petroleum                                  
 Products by Fluorescent Indicator                                      
 Adsorption.                                                            
ASTM D 1945-91, Standard Test Method for     Sec.  92.113               
 Analysis of Natural Gas by Gas                                         
 Chromatography.                                                        
ASTM D 2622-94, Standard Test Method for     Sec.  92.113               
 Sulfur in Petroleum Products by X-Ray                                  
 Spectrometry.                                                          
ASTM D 5186-91, Standard Test Method for     Sec.  92.113               
 Determination of Aromatic Content of                                   
 Diesel Fuels by Supercritical Fluid                                    
 Chromatography.                                                        
ASTM E 29-93a, Standard Practice for Using   Secs.  92.9, 92.305, 92.509
 Significant Digits in Test Data to                                     
 Determine Conformance with Specifications.                             
------------------------------------------------------------------------

    (2) SAE material. The following table sets forth material from the 
Society of Automotive Engineers that has been incorporated by 
reference. The first column lists the number and name of the material. 
The second column lists the section(s) of the part, other than this 
section, in which the matter is referenced. The second column is 
presented for information only and may not be all inclusive. Copies of 
these materials may be obtained from Society of Automotive Engineers 
International, 400 Commonwealth Dr., Warrendale, PA 15096-0001. The 
table follows:

------------------------------------------------------------------------
          Document number and name             40 CFR part 92 reference 
------------------------------------------------------------------------
SAE Paper 770141, Optimization of a Flame     Sec.  92.119              
 Ionization Detector for Determination of                               
 Hydrocarbon in Diluted Automotive Exhausts,                            
 by Glenn D. Reschke.                                                   
SAE Recommended Practice J244, Measurement    Sec.  92.108              
 of Intake Air or Exhaust Gas Flow of Diesel                            
 Engines.                                                               
------------------------------------------------------------------------

    (3) ANSI material. The following table sets forth material from the 
American National Standards Institute that has been incorporated by 
reference. The first column lists the number and name of the material. 
The second column lists the section(s) of the part, other than this 
section, in which the matter is referenced. The second column is 
presented for information only and may not be all inclusive. More 
recent versions of these standards may be used with advance approval of 
the Administrator. Copies of these materials may be obtained from 
American National Standards Institute, 11 West 42nd St., 13th Floor, 
New York, NY 10036. The table follows:

------------------------------------------------------------------------
          Document number and name             40 CFR part 92 reference 
------------------------------------------------------------------------
ANSI B109.1-1992, Diaphragm Type Gas         Sec.  92.117               
 Displacment Meters.                                                    
------------------------------------------------------------------------

Sec. 92.6  Regulatory structure.

    This section provides an overview of the regulatory structure of 
this part.
    (a) The regulations of this part 92 are intended to control 
emissions from in-use locomotives. Because locomotive chassis and 
locomotive engines are sometimes manufactured or remanufactured 
separately, the regulations in this part include some provisions that 
apply specifically to locomotive engines. However, the use of the term 
``locomotive engine'' in the regulations in this part does not limit in 
any manner the liability of any manufacturer or remanufacturer for the 
emission performance of a locomotive powered by an engine that it has 
manufactured or remanufactured.
    (b) The locomotives and locomotive engines for which the 
regulations of this part (i.e., 40 CFR part 92) apply are specified by 
Sec. 92.1, and by the definitions of Sec. 92.2. The point at which a 
locomotive or locomotive engine becomes subject to the regulations of 
this part is determined by the definition of ``new locomotive or new 
locomotive engine'' in Sec. 92.2. Subpart J of this part contains 
provisions exempting certain locomotives or locomotive engines from the 
regulations in this part under special circumstances.
    (c) To comply with the requirements of this part, a manufacturer or 
remanufacturer must demonstrate to EPA that the locomotive or 
locomotive engine meets the applicable standards of Secs. 92.7 and 
92.8, and all other requirements of this part. The requirements of this 
certification process are described in subparts C and D of this part.
    (d) Subpart B of this part specifies procedures and equipment to be 
used

[[Page 19005]]

for conducting emission tests for the purpose of the regulations of 
this part.
    (e) Subparts E, F, G, and H of this part specify requirements for 
manufacturers and remanufacturers after certification; that is during 
production and use of the locomotives and locomotive engines.
    (f) Subpart I of this part contains requirements applicable to the 
importation of locomotives and locomotive engines.
    (g) Subpart K of this part contains requirements applicable to the 
owners and operators of locomotives and locomotive engines.
    (h) Subpart L of this part describes prohibited acts and contains 
other enforcement provisions relating to locomotives and locomotive 
engines.
    (i) Unless specified otherwise, the provisions of this part apply 
to all locomotives and locomotive engines subject to the emission 
standards of this part.


Sec. 92.7  General standards.

    (a) Locomotives and locomotive engines may not be equipped with 
defeat devices.
    (b) New locomotives fueled with a volatile fuel shall be designed 
to minimize evaporative emissions during normal operation, including 
periods when the engine is shut down.
    (c)(1) Locomotive hardware for refueling locomotives fueled with a 
volatile fuel shall be designed so as to minimize the escape of fuel 
vapors.
    (2) Hoses used to refuel gaseous-fueled locomotives shall not be 
designed to be bled or vented to the atmosphere under normal operating 
conditions.
    (3) No valves or pressure relief vents shall be used on gaseous-
fueled locomotives except as emergency safety devices, and these shall 
not operate at normal system operating flows and pressures.
    (d) All new locomotives and new locomotive engines subject to any 
of the standards imposed by this subpart shall, prior to sale, 
introduction into service, or return to service, be designed to include 
features that compensate for changes in altitude to ensure that the 
locomotives or locomotive engines will comply with the applicable 
emission standards when operated at any altitude less than 7000 feet 
above sea level.


Sec. 92.8  Emission standards.

    (a) Exhaust standards. Exhaust emissions from locomotives and 
locomotive engines, when measured in accordance with the provisions of 
Subpart B of this part, shall comply with both the applicable line-haul 
duty-cycle standards, and the applicable switch duty-cycle standards of 
paragraph (a)(1) (and/or the standards of paragraphs (a)(3) and (a)(4) 
of this section, as applicable) of this section, and the smoke 
standards of paragraph (a)(2) of this section. Emissions that do not 
exceed the standards comply with the standards.
    (1) Gaseous and particulate standards. Gaseous and particulate 
emission standards are expressed as gram per brake horsepower hour (g/
bhp-hr). Non-methane hydrocarbon standards apply to locomotives and 
locomotive engines fueled with natural gas, and any combination of 
natural gas and other fuels where natural gas is the primary fuel; 
total hydrocarbon equivalent standards apply to locomotives and 
locomotive engines fueled with an alcohol, and any combination of 
alcohol and other fuels where alcohol is the primary fuel. Total 
hydrocarbon standards apply to all other locomotives and locomotive 
engines; that is, those not fueled by natural gas or alcohol. The line-
haul duty-cycle standards and switch duty-cycle standards apply to the 
respective cycle-weighted emission rates as calculated in subpart B of 
this part.
    (i) Tier 0. The following locomotives (and the engines used in the 
following locomotives) are subject to the Tier 0 emission standards 
listed in Table A8-1 of this section: Locomotives manufactured on, or 
after, January 1, 1973, and before January 1, 2002; and upgraded 
locomotives manufactured prior to January 1, 1973. The standards apply 
when such a locomotive or locomotive engine is manufactured, 
remanufactured, or imported on or after January 1, 2002; except where 
the locomotive was previously certified to one or more FELs under 
subpart D of this part instead of the applicable standards, in which 
case, the applicable standards are replaced at each subsequent 
remanufacture by the FELs specified by the previous certificate. 
Example: a locomotive that is certified to a NOX FEL of 8.0 
g/bhp-hr must be recertified to a NOX FEL of 8.0 g/bhp-hr at 
each subsequent remanufacture, except as allowed by paragraph 
(a)(4)(iii) of this section.
    (ii) Tier 1. Locomotives and engines used in locomotives 
manufactured on, or after, January 1, 2002, and before January 1, 2005 
are subject to the Tier 1 standards listed in Table A8-2 of this 
section. The standards apply when such a locomotive or locomotive 
engine is manufactured or imported, and each time it is remanufactured; 
except where the locomotive was previously certified to one or more 
FELs under subpart D of this part instead of the applicable standard, 
in which case, the standards are replaced at each subsequent 
remanufacture by the FELs specified by the previous certificate.
    (iii) Tier 2. Locomotives and engines used in locomotives 
manufactured on, or after, January 1, 2005 are subject to the Tier 2 
standards listed in Table A8-3 of this section. The standards apply 
when such a locomotive or locomotive engine is manufactured or 
imported, and each time it is remanufactured except where the 
locomotive was previously certified to one or more FELs under subpart D 
of this part instead of the applicable standard, in which case, the 
standards are replaced at each subsequent remanufacture by the FELs 
specified by the previous certificate.
    (2) Smoke standards. The smoke opacity standards listed in Table 
A8-4 of this section apply, as specified in the table, to locomotives 
and locomotive engines subject to the Tier 0, Tier 1, or Tier 2 
standards. Smoke emissions, when measured in accordance with the 
provisions of Subpart B of this part, shall not exceed the standards of 
Table A8-4 of this section.
    (3) Alternate standards. In lieu of the CO and PM standards 
specified in paragraph (a)(1) of this section, manufacturers and 
remanufacturers may elect to comply with the alternate CO and PM 
standards listed in Table A8-5 of this section. Manufacturers and 
remanufacturers electing to comply with these alternate standards must 
comply with both the CO and PM standards listed in Table A8-5 of this 
section.
    (4) Averaging, banking and trading. (i) In lieu of the 
NOX and/or PM standards specified in paragraph (a)(1) of 
this section, manufacturers and remanufacturers may elect to include 
engine families in the averaging, banking, and trading program, the 
provisions of which are specified in subpart D of this part. The 
manufacturer or remanufacturer must set family emission limits (FEL) 
for the applicable duty-cycle. This FEL serves as the standard for that 
family.
    (ii) When a locomotive is certified to an FEL other than the 
applicable standard, it must be recertified to that same FEL at all 
subsequent remanufactures, except as specified otherwise in paragraph 
(a)(4)(iii) of this section.
    (iii) After a locomotive has been certified to any given FEL other 
than the applicable standard, it may be recertified to a different FEL 
at a subsequent remanufacture, as allowed by subpart D of this part. 
For subsequent remanufactures (i.e. those remanufactures that occur 
after the recertification to a different FEL), the

[[Page 19006]]

locomotive must be recertified to the FEL(s) and standards that were 
applicable to the locomotive during its previous useful life, except 
where specified otherwise by subpart D of this part.
    (5) Tables. The tables referenced in paragraphs (a)(1) through (3) 
of this section follow:

                      Table A8-1.--Tier 0 Standards                     
                               [g/bhp-hr]                               
------------------------------------------------------------------------
                                                   Line-haul            
                                                   \1\ cycle    Switch  
                                                   standard      cycle  
                                                               standard 
------------------------------------------------------------------------
NOX.............................................         9.5        14.0
PM..............................................        0.60        0.72
CO..............................................         5.0         8.0
THC.............................................        1.00        2.10
NMHC............................................        1.00        2.10
THCE............................................        1.00       2.10 
------------------------------------------------------------------------
\1\ Line-haul standards do not apply to Tier 0 switch locomotives.      


                      Table A8-2.--Tier 1 Standards                     
                               [g/bhp-hr]                               
------------------------------------------------------------------------
                                                   Line-haul    Switch  
                                                     cycle       cycle  
                                                   standard    standard 
------------------------------------------------------------------------
NOX.............................................         7.4        11.0
PM..............................................        0.45        0.54
CO..............................................         2.2         2.5
THC.............................................        0.55        1.20
NMHC............................................        0.55        1.20
THCE............................................        0.55        1.20
------------------------------------------------------------------------


                      Table A8-3.--Tier 2 Standards                     
                               [g/bhp-hr]                               
------------------------------------------------------------------------
                                                   Line-haul    Switch  
                                                     cycle       cycle  
                                                   standard    standard 
------------------------------------------------------------------------
NOX.............................................         5.5         8.1
PM..............................................        0.20        0.24
CO..............................................         1.5         2.4
THC.............................................        0.30        0.60
NMHC............................................        0.30        0.60
THCE............................................        0.30        0.60
------------------------------------------------------------------------


              Table A8-4.--Smoke Standards for Locomotives              
                            [Percent Opacity]                           
------------------------------------------------------------------------
                                             Steady-   30-sec     3-sec 
                                              state     peak      peak  
------------------------------------------------------------------------
Tier 0....................................        30        40        50
Tier 1....................................        25        40        50
Tier 2....................................        20        40        50
------------------------------------------------------------------------


               Table A8-5.--Alternate CO and PM Standards               
                               [g/bhp-hr]                               
------------------------------------------------------------------------
                                                Line-haul   Switch cycle
                                                  cycle    -------------
                                             --------------             
                                                CO     PM     CO     PM 
------------------------------------------------------------------------
Tier 0......................................   10.0   0.30   12.0   0.36
Tier 1......................................   10.0   0.22   12.0   0.27
Tier 2......................................   10.0   0.10   12.0   0.12
------------------------------------------------------------------------

    (b) No crankcase emissions shall be discharged directly into the 
ambient atmosphere from any new locomotive or new locomotive engine. 
Discharge of crankcase emissions into the engine exhaust complies with 
this prohibition, provided crankcase emissions are measured and 
included with exhaust emissions. Compliance with this standard is 
required throughout the entire service life of the locomotive or 
locomotive engine.
    (c) Notch standards. (1) Exhaust emissions from locomotives and 
locomotive engines shall not exceed the notch standards set forth in 
paragraph (c)(2) of this section, except as allowed in paragraph (c)(3) 
of this section, when measured using any test procedures under any test 
conditions.
    (2) Notch standards for each pollutant for each notch are 
calculated from the certified notch emission rate as follows:

Notch standard=(Ex) x (1.1+(1-ELHx/std))

Where:

Ex=The deteriorated brake-specific emission rate (for 
pollutant x) for the notch (i.e., the brake-specific emission rate 
calculated under subpart B of this part, multplied by the 
deterioration factor in the application for certification expressed 
as a multiplicative deterioration factor); where x is 
NOX, HC (or NMHC or THCE, as applicable), CO or PM.
ELHx=The deteriorated line-haul duty-cycle weighted 
brake-specific emission rate for pollutant x, as reported in the 
application for certification.
std=The applicable line-haul duty-cycle standard, or the certified 
line-haul duty-cycle FEL for locomotives or locomotive engines 
participating in the averaging, banking and trading program for NOx 
or PM.

    (3) Where exhaust emissions exceed the notch standards set forth in 
paragraph (c)(2) of this section, the locomotive or locomotive engine 
is considered to be in compliance with such standards only if:
    (i) The same emission controls are applied during the test 
conditions causing the noncompliance as were applied during 
certification test conditions (and to the same degree); or
    (ii) The exceeding emissions result from a design feature that was 
described (including its effect on emissions) in the approved 
application for certification, and is necessary for safety or is 
otherwise allowed by this part.


Sec. 92.9  Compliance with emission standards.

    (a) The general standards in Sec. 92.7 and the emission standards 
in Sec. 92.8 apply to the emissions from new locomotives and new 
locomotive engines for their useful life. The useful life is specified 
as MW-hrs and years, and ends when either of the values (MW-hrs or 
years) is exceeded.
    (1) The minimum useful life in terms of MW-hrs is equal to the 
product of the rated horsepower multiplied by 7.50. The minimum useful 
life in terms of years is ten years. For locomotives or locomotive 
engines originally manufactured before January 1, 2000 and not equipped 
with MW-hr meters, the minimum useful life is equal to 750,000 miles or 
ten years, whichever is reached first.
    (2) The certifying manufacturer or remanufacturer shall specify a 
longer useful life if the locomotive or locomotive engine is designed 
to last longer than the applicable minimum useful life. A 
manufacturer's or remanufacturer's recommended time to remanufacture 
which is longer than the minimum useful life is one indicator of a 
longer design life.
    (3) Manufacturers and remanufacturers of non-locomotive-specific 
engines (as defined in Sec. 92.2) may petition the Administrator prior 
to certification to allow a shorter useful life for an engine family 
containing only non-locomotive-specific engines. This petition must 
include the full rationale behind the request together with any other 
supporting evidence. Based on this or other information, the 
Administrator may allow a shorter useful life.
    (4) Remanufacturers of locomotive or locomotive engine 
configurations that have been previously certified under paragraph 
(a)(3) of this section to a useful life that is shorter than the value 
specified in paragraph (a)(1) of this section may certify to that same 
useful life value without request.
    (b) Certification. Certification is the process by which 
manufacturers and remanufacturers apply for and obtain certificates of 
conformity from EPA that allow the manufacturer or remanufacturer to 
introduce into commerce new locomotives and/or new locomotive engines 
for sale or use in the U.S.
    (1)(i) Compliance with the applicable emission standards by an 
engine family must be demonstrated by the certifying

[[Page 19007]]

manufacturer or remanufacturer before a certificate of conformity may 
be issued under Sec. 92.208.
    (A) Manufacturers shall demonstrate compliance using emission data, 
measured using the procedures specified in subpart B of this part, from 
a low mileage locomotive, or a development engine (that is equivalent 
in design to the locomotive engines being certified), or another low 
hour engine.
    (B) Remanufacturers shall demonstrate compliance using emission 
data, measured using the procedures specified in subpart B of this 
part, from a low mileage remanufactured locomotive, or a development 
engine (that is equivalent in design to the locomotive engines being 
certified), or another low hour remanufactured engine that was 
remanufactured in the manner specified in the application for 
certification.
    (ii) The emission values to compare with the standards shall be the 
emission values of a low mileage locomotive, or development engine, or 
low hour locomotive engine, adjusted by the deterioration factors 
developed in accordance with the provisions of paragraph (b)(2) of this 
section. Before any emission value is compared with the standard, it 
shall be rounded, in accordance with ASTM E 29-93a (incorporated by 
reference at Sec. 92.5), to the same number of significant figures as 
contained in the applicable standard.
    (2) Exhaust emission deterioration factors shall be determined by 
the certifying manufacturer or remanufacturer for each engine family. 
The manufacturer's or remanufacturer's determination is subject to the 
requirements of paragraph (b)(2)(iv) of this section. The deterioration 
factor relates emissions from low mileage or low hour data to emissions 
at the end of useful life. If certification data is obtained from a 
development engine, and the emissions performance of that engine is 
significantly different from a typical low hour engine, then the 
deterioration factors may be adjusted for the purpose of certification.
    (i) A separate exhaust emission deterioration factor shall be 
established, as required, for compliance with applicable emission 
standards for HC, THCE, NMHC, CO, NOX, particulate and smoke 
for each engine family.
    (ii)(A) For locomotives or locomotive engines not utilizing 
aftertreatment technology (e.g., catalyst). For HC, THCE, NMHC, CO, 
NOX, and PM, additive deterioration factors shall be used; 
that is, a deterioration factor that when added to the low mileage 
emission rate equals the emission rate at the end of useful life. 
However, if the deterioration factor supplied by the manufacturer or 
remanufacturer is less than zero, it shall be zero for the purposes of 
this section.
    (B) For locomotives or locomotive engines utilizing aftertreatment 
technology (e.g., catalyst). For HC, THCE, NMHC, CO, NOX, 
and PM, Multiplicative deterioration factors shall be used; that is 
deterioration factors that when multiplied by the low mileage emission 
rate equal the emission rate at the end of useful life. However, if the 
deterioration factor supplied by the manufacturer or remanufacturer is 
less than one, it shall be one for the purposes of this paragraph (b).
    (C) For all locomotives and locomotive engines. For smoke, additive 
deterioration factors shall be used. However, if the deterioration 
factor supplied by the manufacturer or remanufacturer is less than 
zero, it shall be zero for the purposes of this paragraph (b).
    (iii) In the case of a multiplicative exhaust emission 
deterioration factor, the factor shall be rounded to three places to 
the right of the decimal point in accordance with ASTM E 29-93a 
(incorporated by reference at Sec. 92.5). In the case of an additive 
exhaust emission deterioration factor, the factor shall be established 
to a minimum of two places to the right of the decimal in accordance 
with ASTM E 29-93a (incorporated by reference at Sec. 92.5).
    (iv) Every deterioration factor must be, in the Administrator's 
judgement, consistent with emissions increases observed in-use based on 
emission testing of similar locomotives or locomotive engines. 
Deterioration factors that predict emission increases over the useful 
life of a locomotive or locomotive engine that are significantly less 
than the emission increases over the useful life observed from in-use 
testing of similar locomotives or locomotive engines shall not be used.


Sec. 92.10  Warranty period.

    Warranties imposed by Sec. 92.1107 shall apply for at least the 
first third of the full useful life of the locomotive or locomotive 
engine, or for the same period during which the manufacturer or 
remanufacturer provides any other mechanical warranty, whichever is 
longer. A copy of the manufacturer's or remanufacturer's warranty shall 
be submitted with the application for certification.


Sec. 92.11  Compliance with emission standards in extraordinary 
circumstances.

    The provisions of this section are intended to address problems 
that could occur near the date on which more stringent emission 
standards become effective, such as the transition from the Tier 1 
standards to the Tier 2 standards on January 1, 2005.
    (a) In appropriate extreme and unusual circumstances which are 
clearly outside the control of the manufacturer and which could not 
have been avoided by the exercise of prudence, diligence, and due care, 
the Administrator may permit a manufacturer, for a brief period, to 
introduce into commerce locomotives which do not comply with the 
applicable emission standards if:
    (1) The locomotives cannot reasonably be manufactured in such a 
manner that they would be able to comply with the applicable standards;
    (2) The manufacture of the locomotives was substantially completed 
prior to the applicability date of the standards from which the 
manufacturer seeks relief;
    (3) Manufacture of the locomotives was previously scheduled to be 
completed at such a point in time that locomotives would have been 
included in the previous model year, such that they would have been 
subject to less stringent standards, and that such schedule was 
feasible under normal conditions;
    (4) The manufacturer demonstrates that the locomotives comply with 
the less stringent standards that applied to the previous model year's 
production described in paragraph (a)(3) of this section, as prescribed 
by subpart C of this part (i.e., that the locomotives are identical to 
locomotives certified in the previous model year);
    (5) The manufacturer exercised prudent planning and was not able to 
avoid the violation and has taken all reasonable steps to minimize the 
extent of the nonconformity; and
    (6) The manufacturer receives approval from EPA prior to 
introducing the locomotives into commerce.
    (b) Any manufacturer seeking relief under this section shall notify 
EPA as soon as it becomes aware of the extreme or unusual 
circumstances.
    (c)(1) Locomotives for which the Administrator grants relief under 
this section shall be included in the engine family for which they were 
originally intended to be included.
    (2) Where the locomotives are to be included in an engine family 
that was certified to an FEL above the applicable standard, the 
manufacturer shall reserve credits to cover the locomotives covered by 
this section, and shall include the required information for these 
locomotives in the end-of-year report required by subpart D of this 
part.

[[Page 19008]]

    (d) In granting relief under this section, the Administrator may 
also set other conditions as he/she determines to be appropriate, such 
as requiring payment of fees to negate an economic gain that such 
relief would otherwise provide to the manufacturer.


Sec. 92.12  Interim provisions.

    Notwithstanding other provisions of this part, the following 
provisions apply as specified to locomotives and locomotive engines 
subject to the provisions of this part:
    (a) Tier 0 standards. In addition to the requirements of 
Sec. 92.8(a)(1)(i), the following new locomotives and new locomotive 
engines are subject to the Tier 0 emission standards of Sec. 92.8. The 
requirements of this paragraph do not apply to passenger locomotives. 
The requirements of this paragraph (a) provide manufacturers of freshly 
manufactured locomotives two options for compliance. The first option 
is to comply with the requirements of paragraphs (a)(1) and (2) of this 
section, which has the effect of requiring compliance with Tier 0 
standards on average beginning on January 1, 2001 for all freshly 
manufactured and remanufactured locomotives originally manufactured on 
or after January 1, 1994. The second option requires compliance with 
the requirements of paragraph (a)(3) of this section that the 
manufacturer make a remanufacturing system available at a reasonable 
cost for its primary model for the 1994 through 1997 production period 
prior to January 1, 2000, and to apply the same emission controls to 
its new production of similar locomotives. Manufacturers complying with 
paragraph (a)(3) of this section would be allowed to manufacture and 
remanufacture other locomotives without a certificate of conformity, 
prior to January 1, 2002, except as required by paragraph (a)(2)(ii) of 
this section. Manufacturers may comply with paragraph (a)(3) of this 
section through compliance with the provisions of paragraph (a)(5) of 
this section.
    (1) Freshly manufactured locomotives. Except as provided in 
paragraph (a)(3) of this section, all freshly manufactured locomotives 
manufactured on or after January 1, 2001 must comply with the emission 
standards listed in Table A8-1 of Sec. 92.8 and all other applicable 
requirements of this part.
    (2) Remanufactured locomotives. The following locomotives (and 
engines used in the following locomotives) must comply with the 
emission standards listed in Table A8-1 of Sec. 92.8 and all other 
applicable requirements of this part:
    (i) Locomotives originally manufactured on or after January 1, 
1994, that are remanufactured on or after January 1, 2001; and
    (ii) Locomotives originally manufactured on or after January 1, 
1990 for which a remanufacturing system has been certified to Tier 0 
standards and is available for use at reasonable cost.
    (3) New model exemption. (i) Freshly manufactured locomotive models 
not introduced for widespread production prior to January 1, 1998 are 
exempt from the requirements of paragraph (a)(1) of this section 
provided the manufacturer of the locomotive:
    (A) Has obtained a certificate of conformity and made available for 
use at reasonable cost before January 1, 2000, a remanufacturing system 
for its primary locomotive model (including its primary engine model) 
originally manufactured between January 1, 1994 and January 1, 1998; 
and
    (B) Complies with the emission standards listed in Table A8-1 of 
Sec. 92.8 and all applicable requirements of this part for all freshly 
manufactured locomotives manufactured on or after January 1, 2000 that 
are similar to the primary model described in paragraph (a)(3)(i)(A) of 
this section.
    (ii) New locomotives and locomotive engines that are manufactured 
and remanufactured by a manufacturer that complies with the 
requirements of paragraphs (a)(3)(i)(A) and (B) of this section, and 
that are not similar to the locomotive models identified in paragraphs 
(a)(3)(i)(A) and (B) of this section are exempt from the requirements 
of paragraphs (a)(1) and (a)(2)(i) of this section.
    (4) Make available at a reasonable cost means to make a certified 
remanufacturing system available for use where:
    (i) The total cost to the owner and user of the locomotive 
(including initial hardware, increased fuel consumption, and increased 
maintenance costs) during the useful life of the locomotive is less 
than $220,000; and
    (ii) The initial hardware costs are reasonably related to the 
technology included in the remanufacturing system and are less than 
$50,000 for 2-stroke locomotives and 4-stroke locomotives equipped with 
split cooling systems, or $125,000 for 4-stroke locomotives not 
equipped with split cooling systems; and
    (iii) The system will not increase fuel consumption by more than 3 
percent; and
    (iv) The remanufactured locomotive will have reliability throughout 
its useful life that is similar to the reliability the locomotive would 
have had if it had been remanufactured without the certified 
remanufacture system.
    (5)(i) Instead of the provisions of paragraph (a)(3) of this 
section, a manufacturer may comply with the emissions standards listed 
in Table A8-1 of Sec. 92.8 and all other applicable requirements of 
this part with respect to any combination of locomotive models that are 
manufactured or remanufactured on or after January 1, 2000, provided 
that the manufacturer has demonstrated to the satisfaction of the 
Administrator that such locomotives will produce greater emissions 
reductions than would otherwise occur through compliance with paragraph 
(a)(3) of this section.
    (ii) New locomotives and locomotive engines that are manufactured 
and remanufactured by a manufacturer that complies with the 
requirements of paragraph (a)(5)(i) of this section, and that are not 
similar to the locomotive models identified in paragraph (a)(5)(i) of 
this section, are exempt from the requirements of paragraphs (a)(1) and 
(a)(2)(i) of this section.
    (b) Production line and in-use testing. (1) The requirements of 
subpart F of this part (i.e., production line testing) do not apply 
prior to January 1, 2002.
    (2) The requirements of subpart F of this part (i.e., production 
line testing) do not apply to small remanufacturers prior to January 1, 
2007.
    (3) The requirements of subpart G of this part (i.e., in-use 
testing) only apply for locomotives and locomotive engines that become 
new on or after January 1, 2002.
    (4) For locomotives and locomotive engines that are covered by a 
small business certificate of conformity, the requirements of subpart G 
of this part (i.e., in-use testing) only apply for locomotives and 
locomotive engines that become new on or after January 1, 2007.
    (c) Small business certificates of conformity. (1) Prior to January 
1, 2007, small remanufacturers (as defined in Sec. 92.2) may use a 
modified version of the federal test procedures of subpart B of this 
part to obtain certificates of conformity. Such certificates are valid 
only for production that occurs prior to January 1, 2007. Specifically, 
the following modifications are allowed:
    (i) Measurement of HC, CO, and PM may be omitted;
    (ii) Dynamometers are not required to meet the specifications of 
subpart B of this part, provided their design and use is consistent 
with good engineering practice;

[[Page 19009]]

    (iii) Other modifications that are necessary because of excessive 
costs or technical infeasibility may be approved by the Administrator 
prior to the start of testing.
    (2)(i) Small remanufacturers may use test procedures other than 
those specified in subpart B of this part or in paragraph (c)(1) of 
this section to obtain certificates of conformity, provided that the 
test procedures are consistent with good engineering practice, and are 
approved by the Administrator prior to the start of testing. Such 
certificates are valid only for production that occurs prior to January 
1, 2007.
    (ii) The total number of locomotives and locomotive engines that 
may be remanufactured under a certificate of conformity issued based on 
the testing described in paragraph (c)(2)(i) of this section shall be 
subject to the following annual limits for each individual 
remanufacturer: no more than 300 units in 2003, no more than 200 units 
in 2004, no more than 100 units in 2005, no more than 50 units in 2006. 
These sales limits apply to the combined number of locomotives and 
locomotive engines remanufactured within the calendar year that are 
covered by an individual remanufacturer's certificates issued under 
paragraph (c)(2)(i) of this section.
    (3) Upon request, and prior to January 1, 2007, the Administrator 
may modify other certification requirements, as appropriate, for small 
remanufacturers.
    (4) Remanufacturers certifying under this paragraph (c) shall 
provide along with their application for certification a brief 
engineering analysis describing the emission control technology to be 
incorporated in the remanufactured locomotive or locomotive engine, and 
demonstrating that such controls will result in compliance with the 
applicable standards.
    (d) Early banking of emission credits. (1) Consistent with the 
provisions of subpart D of this part, NOx and PM emission credits may 
be generated from Tier 0 locomotives and locomotive engines prior to 
the applicable effective compliance date of the Tier 0 standard (i.e., 
the effective compliance date in Sec. 92.8(a)(1)(i) or the effective 
compliance dates of paragraph (a) of this section, as applicable), 
relative to baseline emission rates.
    (2)(i) Credits generated under this paragraph (d) that are granted 
or transferred to the owner or primary operator of the locomotives or 
locomotive engines generating credits may be used without restriction.
    (ii) Credits generated under this paragraph (d) that are not 
granted or transferred to the owner or primary operator of the 
locomotives or locomotive engines generating credits may not be used 
for compliance with the Tier 0 standards for 2002 or later model years.
    (3)(i) Prior to January 1, 2000, the provisions of this paragraph 
(d) apply to all locomotives and locomotive engines.
    (ii) During the period January 1, 2000 through December 31, 2001, 
the provisions of this paragraph (d) apply only to engine families that 
include only locomotives and/or locomotive engines originally 
manufactured prior to January 1, 1990.
    (iii) The provisions of this paragraph (d) other than the 
provisions of paragraph (d)(2) of this section do not apply to any 
locomotives and locomotive engines manufactured or remanufactured on or 
after January 1, 2002.
    (4)(i) NOX credits generated under this paragraph (d) 
shall be calculated as specified in Sec. 92.305, except that the 
applicable standard shall be replaced by:
    (A) 10.5 g/bhp-hr for the line-haul cycle standards, and 14.0 g/
bhp-hr for the switch standards; or
    (B) For remanufactured locomotives, a measured baseline emission 
rate for the configuration with the lowest NOX emission rate 
in the applicable engine family that is approved in advance by the 
Administrator.
    (ii) PM credits generated under this paragraph (d) shall be 
calculated as specified in Sec. 92.305, except that the applicable 
standard shall be replaced by:
    (A) 0.20 g/bhp-hr for the line-haul cycle standards, and 0.24 g/
bhp-hr for the switch standards; or
    (B) For remanufactured locomotives, a measured baseline emission 
rate for the configuration with the lowest NOX emission rate 
in the applicable engine family that is approved in advance by the 
Administrator.
    (iii) The proration factor for all credits generated under this 
paragraph (d) shall be 0.143.
    (5) Locomotives and locomotive engines generating credits under 
this paragraph (d) must meet all applicable requirements of this part.
    (e) Particulate notch standards. For model year 2006 and earlier 
locomotives, the particulate notch standard shall be calculated as:

Notch standard=(EX) x (1.2+(1-ELHx/std)).

    (f) Passenger locomotives. Passenger locomotives originally 
manufactured before January 1, 2002 are exempt from the requirements 
and prohibitions of this part for model years through 2006. New 
passenger locomotives and locomotive engines produced on or after 
January 1, 2007 shall comply with all applicable requirements of this 
part.

Subpart B--Test Procedures


Sec. 92.101  Applicability.

    Provisions of this subpart apply to tests performed by the 
Administrator, certificate holders, other manufacturers and 
remanufacturers of locomotives or locomotive engines, railroads (and 
other owners and operators of locomotives), and their designated 
testing laboratories. This subpart contains gaseous emission test 
procedures, particulate emission test procedures, and smoke test 
procedures for locomotives and locomotive engines.


Sec. 92.102  Definitions and abbreviations.

    The definitions and abbreviations of subpart A of this part apply 
to this subpart. The following definitions and abbreviations, as well 
as those found in Sec. 92.132 (Calculations), also apply:
    Accuracy means the difference between the measured value and the 
true value, where the true value is determined from NIST traceable 
measurements where possible, or otherwise determined by good 
engineering practice.
    Calibration means the act of calibrating an analytical instrument 
using known standards.
    Calibration gas means a gas of known concentration which is used to 
establish the response curve of an analyzer.
    Good engineering practice means those methods and practices which 
the Administrator determines to be consistent with scientific and 
engineering principles.
    Hang-up refers to the process of hydrocarbon molecules being 
adsorbed, condensed, or by any other method removed from the sample 
flow prior to reaching the instrument detector. It also refers to any 
subsequent desorption of the molecules into the sample flow when they 
are assumed to be absent.
    Parts per million, carbon or ppmC means the concentration of an 
organic compound in a gas expressed as parts per million (by volume or 
by moles) multiplied by the number of carbon atoms in a molecule of 
that compound.
    Precision means the standard deviation of replicated measurements, 
or one-half of the readability, whichever is greater; except where 
explicitly noted otherwise.
    Readability means the smallest difference in measured values that 
can be detected. For example, the readability for a digital display 
with two decimal places would be 0.01.

[[Page 19010]]

    Span gas means a gas of known concentration which is used routinely 
to set the output level of an analyzer.
    Standard conditions and standard temperature and pressure mean 68 
deg.F (20  deg.C) and 29.92 in Hg. (101.3 kPa).


Sec. 92.103  Test procedures; overview.

    (a) This subpart contains procedures for exhaust emission tests of 
locomotives and locomotive engines. The procedures specified here are 
intended to measure brake-specific mass emissions of organic compounds 
(hydrocarbons for locomotives using petroleum diesel fuel), oxides of 
nitrogen, particulates, carbon monoxide, carbon dioxide, and smoke in a 
manner representative of a typical operating cycle.
    (b)(1) The sampling systems specified in this subpart are intended 
to collect representative samples for analysis, and minimize losses of 
all analytes.
    (i) For gaseous emissions, a sample of the raw exhaust is collected 
directly from the exhaust stream and analyzed during each throttle 
setting.
    (ii) Particulates are collected on filters following dilution with 
ambient air of a separate raw exhaust sample.
    (2) Analytical equipment is identical for all fuel types, with the 
exception of the systems used to measure organics (i.e., hydrocarbons, 
alcohols, and aldehydes); diesel-fueled and biodiesel-fueled 
locomotives Parts per million and locomotive engines require a heated, 
continuous hydrocarbon detector; natural gas-fueled locomotives and 
locomotive engines require a continuous hydrocarbon detector and a 
methane detector; alcohol-fueled locomotives and locomotive engines 
require a heated hydrocarbon detector, alcohol sampling and detection 
systems, and aldehyde sampling and detection systems. Necessary 
equipment and specifications appear in Secs. 92.105 through 92.111.
    (3) Fuel specifications for emission testing are specified in 
Sec. 92.113. Analytical gases are specified in Sec. 92.112.
    (c) The power produced by the engine is measured at each throttle 
setting.
    (d) The fuel flow rate for each throttle setting is measured in 
accordance with Sec. 92.107.
    (e) Locomotives and locomotive engines are tested using the test 
sequence as detailed in Secs. 92.124 and 92.126.
    (f) Alternate sampling and/or analytical systems may be used if 
shown to yield equivalent results, and if approved in advance by the 
Administrator. Guidelines for determining equivalency are found in 
Appendix IV of this part.
    (g) At the time of the creation of this part, essentially all 
locomotives and locomotive engines subject to the standards of this 
part were designed to use diesel fuel. Therefore, the testing 
provisions of this subpart focus primarily on that fuel. Some 
provisions for fuels other than diesel are also included. If a 
manufacturer or remanufacturer of locomotives or locomotive engines, or 
a user of locomotives, or other party wishes or intends to use a fuel 
other than diesel in locomotives or locomotive engines, it shall notify 
the Administrator, who shall specify those changes to the test 
procedures that are necessary for the testing to be consistent with 
good engineering practice. The changes made under this paragraph (g) 
shall be limited to:
    (1) Exhaust gas sampling and analysis;
    (2) Test fuels; and
    (3) Calculations.


Sec. 92.104  Locomotive and engine testing; overview.

    (a) The test procedures described here include specifications for 
both locomotive testing and engine testing. Unless specified otherwise 
in this subpart, all provisions apply to both locomotive and engine 
testing.
    (b)(1) The test procedures for engine testing are intended to 
produce emission measurements that are essentially identical to 
emission measurements produced during locomotive testing using the same 
engine configuration. The following requirements apply for all engine 
tests:
    (i) Engine speed and load for each mode shall be within 2 percent 
of the speed and load of the engine when it is operated in the 
locomotive.
    (ii) The temperature of the air entering the engine after any 
charge air cooling shall be within 5  deg.F of the typical intake air 
temperature when the engine is operated in the locomotive under similar 
ambient conditions. Auxiliary fan(s) may be used to maintain engine 
cooling during operation on the dynamometer.
    (iii) The engine air inlet system used during testing shall have an 
air inlet restriction within 1 inch of water of the upper limit of a 
typical engine as installed with clean air filters, as established by 
the manufacturer or remanufacturer for the engine being tested.
    (2) Testers performing engine testing under this subpart shall not 
use test procedures otherwise allowed by the provisions of this subpart 
where such procedures are not consistent with good engineering practice 
and the regulatory goal specified in paragraph (b)(1) of this section.
    (c) Provisions that specify different requirements for locomotive 
and/or engine testing are described in Secs. 92.106, 92.108(a) and 
(b)(1), 92.111(b)(2) and (c), 92.114(a)(2)(ii), (b)(3)(ii), 
(c)(2)(iii)(A) and (d), 92.115(c), 92.116, 92.123(a)(2) and (b), 
92.124(d), 92.125(a) and (b), 92.126(a)(7)(iii)(A).


Sec. 92.105  General equipment specifications.

    (a) Chart recorders. (1) The recommended minimum chart speed for 
gaseous measurements is 1 cm per minute. (Higher chart speeds are 
required for smoke measurements during the acceleration phases of the 
test sequence.)
    (2) All chart recorders (analyzers, torque, rpm, etc.) shall be 
provided with automatic markers which indicate ten second intervals. 
Preprinted chart paper (ten second intervals) may be used in lieu of 
the automatic markers provided the correct chart speed is used. 
(Markers which indicate 1 second intervals are required for smoke 
measurements during the acceleration phases of the test sequence.)
    (b) Automatic data collection. (1) In lieu of the use of chart 
recorders, automatic data collection equipment may be used to record 
all required data. The automatic data collection equipment must be 
capable of sampling at least two records per second.
    (2) Other means may be used provided they produce a permanent 
visual data record of a quality equal to or better than those required 
by this subpart (e.g., tabulated data, traces, or plots).
    (c) Temperature measurements. (1) The following temperature 
measurements shall be accurate to within 1.0  deg.F (0.6  deg.C):
    (i) Temperature measurements used in calculating the engine intake 
humidity;
    (ii) The temperature of the fuel, in volume measuring flow rate 
devices;
    (iii) The temperature of the sample within the water trap(s);
    (iv) Temperature measurements used to correct gas volumes (e.g., to 
standard conditions) or to calculate mass or moles of a sample.
    (2) All other temperature measurements shall be accurate within 3.0 
 deg.F (1.7  deg.C).
    (d) Electrical measurements. (1) Voltmeters shall have accuracy and 
precision of 1 percent of point or better.
    (2) Ammeters shall have accuracy and precision of 1 percent of 
point or better.

[[Page 19011]]

    (3) Wattmeters shall have accuracy and precision of 1 percent of 
point or better.
    (4) Instruments used in combination to measure engine power output 
shall comply with the requirements of Sec. 92.106.
    (e) Pressure measurements. (1) Gauges and transducers used to 
measure any pressures used to correct gas volumes (e.g., to standard 
conditions) or to calculate mass or moles of a sample shall have an 
accuracy and precision of 0.1 percent of absolute pressure at point or 
better.
    (2) Gauges and transducers used to measure any other pressures 
shall have an accuracy and precision of 1 percent of absolute pressure 
at point or better.


Sec. 92.106  Equipment for loading the engine.

    For purposes of placing the required load on the engine during an 
emissions test, either the equipment specified in paragraph (a) of this 
section, or the equipment specified in paragraph (b) of this section 
may be used.
    (a) Locomotive testing. (1) The equipment required for loading the 
locomotive engine-alternator/generator assembly electrically, and for 
measurement of the electrical power output from the alternator/
generator consists of the following, either in total or in part: 
electrical resistance load bank; fans or other means for cooling of the 
load bank; wattmeter, including phase angle compensation; meter(s) for 
measurement of the current through the load bank (a calibrated 
electrical shunt and voltmeter is allowed for current measurement); 
meter(s) to measure the voltage across the load bank; and electrical 
cable to connect the alternator/generator to the load bank. Many 
locomotives are equipped with an internal electrical resistance load 
bank and fans for cooling of the load bank; when so equipped, the 
locomotive load bank may be used for purposes of loading the engine 
during emissions tests.
    (2) The combination of instruments (meters) used to measure engine 
or alternator/generator power output (wattmeter, ammeter, voltmeter) 
shall have accuracy and precision such that the accuracy of the 
measured alternator/generator power out is better than:
    (i) 2 percent of point at all power settings except idle and 
dynamic brake; and
    (ii) Less accuracy and precision is allowed at idle and dynamic 
brake, consistent with good engineering practice. Equipment with 
accuracy or precision worse than 20 percent of point is not allowed.
    (3) The efficiency curve for the alternator/generator, shall 
specify the efficiency at each test point. The manufacturer or 
remanufacturer shall provide EPA with a detailed description of the 
procedures used to establish the alternator/generator efficiency.
    (b) Engine testing. (1) For engine testing using a dynamometer, the 
engine dynamometer system must be capable of controlling engine torque 
and speed simultaneously under steady speed operation, during 
accelerations where the rate of change in torque and speed is 
representative of those changes which occur when the engine is 
operating in a locomotive. It must also be capable of performing the 
test sequence described in this subpart. In addition to these general 
requirements, the engine or dynamometer readout signals for speed and 
torque shall meet the following accuracy specifications:
    (i) Engine speed readout shall be accurate to within 2 
percent of the absolute standard value, as defined in Sec. 92.116 of 
this part.
    (ii) Engine flywheel torque readout shall be accurate to either 
within 3 percent of the NIST ``true'' value torque, or the 
following accuracies, whichever provides the most accurate readout:
    (A) 20 ft.-lbs. of the NIST ``true'' value if the full 
scale value is 9000 ft.-lbs. or less.
    (B) 30 ft.-lbs., of the NIST ``true'' value if the full 
scale value is greater than 9000 ft.-lbs.
    (C) Option. Internal dynamometer signals (i.e., armature current, 
etc.) may be used for torque measurement provided that it can be shown 
that the engine flywheel torque during the test sequence conforms to 
the accuracy specifications in paragraph (b)(1)(ii)(A) or (b)(1)(ii)(B) 
of this section. Such a measurement system must include compensation 
for increased or decreased flywheel torque due to the armature inertia 
during accelerations between throttle notch (test mode) settings in the 
test.
    (2) For engine testing using a locomotive alternator/generator 
instead of a dynamometer, the equipment used shall comply with the 
requirements of paragraph (a) of this section.


Sec. 92.107  Fuel flow measurement.

    (a) Fuel flow measurement for locomotive and engine testing. The 
rate of fuel consumption by the engine must be measured with equipment 
conforming to the following:
    (1) The fuel flow rate measurement instrument must have a minimum 
accuracy of 2 percent of measurement flow rate for each 
measurement range used. An exception is allowed at idle where the 
minimum accuracy is 10 percent of measured flow rate for 
each measurement range used. The measurement instrument must be able to 
comply with this requirement with an averaging time of one minute or 
less, except for idle, dynamic brake, and notches 1 and 2 where the 
instrument must be able to comply with this requirement with an 
averaging time of three minutes or less.
    (2) The controlling parameters are the elapsed time measurement of 
the event and the weight or volume measurement. Restrictions on these 
parameters are:
    (i) The error in the elapsed time measurement of the event must not 
be greater than 1 percent of the absolute event time. This includes 
errors in starting and stopping the clock as well as the period of the 
clock.
    (ii) If the mass of fuel consumed is measured by discrete weights, 
then the error in the actual weight of the fuel consumed must not be 
greater than 1 percent of the measuring weight. An 
exception is allowed at idle, where the error in the actual weight of 
the fuel consumed must not be greater than 2 percent of the 
measuring weight.
    (iii) If the mass of fuel consumed is measured electronically (load 
cell, load beam, etc.), the error in the actual weight of fuel consumed 
must not be greater than 1 percent of the full-scale value 
of the electronic device.
    (iv) If the mass of fuel consumed is measured by volume flow and 
density, the error in the actual volume consumed must not be greater 
than 1 percent of the full-scale value of the volume 
measuring device.
    (3) For devices that have varying mass scales (electronic weight, 
volume, density, etc.), compliance with the requirements of paragraph 
(a)(1) of this section may require a separate flow measurement system 
for low flow rates.
    (b) Calibration. Fuel flow rate measurement devices shall be 
calibrated against an independent measurement of the total mass of fuel 
dispensed during a fixed amount of time in accordance with the 
following provisions:
    (1) Measurement of the total mass shall have an accuracy and 
precision of 1 percent of point, or better.
    (2) Fuel measurements shall be performed for at least 10 flow rates 
evenly distributed over the entire range of fuel flow rates used during 
testing.
    (3) For each flow rate, either the total mass of fuel dispense must 
exceed 5.0 kilograms (11.0 pounds), or the length of time during which 
the fuel is dispensed must exceed 30 minutes. In all cases, the length 
of time during which fuel is dispensed must be at least 180 seconds.

[[Page 19012]]

Sec. 92.108  Intake and cooling air measurements.

    (a) Intake air flow measurement. Measurement of the flow rate of 
intake air into the engine is allowed for engine testing, but not 
required. When it is measured, the measurement technique shall conform 
to the following:
    (1) The air flow measurement method used must have a range large 
enough to accurately measure the air flow over the engine operating 
range during the test. Overall measurement accuracy must be 
2 percent of full-scale value of the measurement device for 
all modes except idle. For idle, the measurement accuracy shall be 
5 percent or less of the full-scale value. The 
Administrator must be advised of the method used prior to testing.
    (2) Corrections to the measured air mass flowrate shall be made 
when an engine system incorporates devices that add or subtract air 
mass (air injection, bleed air, etc.). The method used to determine the 
air mass from these devices shall be approved by the Administrator.
    (3) Measurements made in accordance with SAE recommended practice 
J244 (incorporated by reference at Sec. 92.5) are allowed.
    (b) Humidity and temperature measurements. 
    (1) Air that has had its absolute humidity altered is considered 
humidity-conditioned air. For this type of intake air supply, the 
humidity measurements must be made within the intake air supply system, 
and after the humidity conditioning has taken place.
    (2) Humidity measurements for non-conditioned intake air supply 
systems shall be made as closely as possible to the point at which the 
intake air stream enters the locomotive, or downstream of that point.
    (3) Temperature measurements of engine intake air, engine intake 
air after compression and cooling in the charge air cooler(s) (engine 
testing only), and air used to cool the charge air after compression, 
and to cool the engine shall be made as closely as possible to obtain 
accurate results based on engineering judgement. Measurement of ambient 
temperature for locomotive testing shall be made within 48 inches of 
the locomotive, at a location that minimizes the effect of heat 
generated by the locomotive on the measured temperature.
    (4) Temperature measurements shall comply with the requirements of 
Sec. 92.105(c).
    (5) Humidity measurements shall be accurate within 2 percent of the 
measured absolute humidity.


Sec. 92.109  Analyzer specifications.

    (a) General analyzer specifications.--(1) Analyzer response time. 
Analyzers for THC, CO2, CO, and NOX must respond 
to an instantaneous step change at the entrance to the analyzer with a 
response equal to 95 percent of that step change in 6.0 seconds or less 
on all ranges used. The step change shall be at least 60 percent of 
full-scale chart deflection. For NOX analyzers using a water 
trap, the response time increase due to the water trap and associated 
plumbing need not be included in the analyzer response time.
    (2) Precision. The precision of the analyzers for THC, 
CO2, CO, and NOX must be no greater than 
1 percent of full-scale concentration for each range used 
above 155 ppm (or ppmC), or 2 percent for each range used 
below 155 ppm (or ppmC). The precision is defined as 2.5 times the 
standard deviation(s) of 10 repetitive responses to a given calibration 
or span gas.
    (3) Noise. The analyzer peak-to-peak response to zero and 
calibration or span gases over any 10-second period shall not exceed 2 
percent of full/scale chart deflection on all ranges used.
    (4) Zero drift. For THC, CO2, CO, and NOX 
analyzers, the zero-response drift during a 1-hour period shall be less 
than 2 percent of full-scale chart deflection on the lowest range used. 
The zero-response is defined as the mean response including noise to a 
zero-gas during a 30-second time interval.
    (5) Span drift. For THC, CO2, CO, and NOX 
analyzers, the span drift during a 1-hour period shall be less than 2 
percent of full-scale chart deflection on the lowest range used. The 
analyzer span is defined as the difference between the span-response 
and the zero-response. The span-response is defined as the mean 
response including noise to a span gas during a 30-second time 
interval.
    (b) Carbon monoxide and carbon dioxide analyzer specifications. (1) 
Carbon monoxide and carbon dioxide measurements are to be made with 
nondispersive infrared (NDIR) analyzers.
    (2) The use of linearizing circuits is permitted.
    (3) The minimum water rejection ratio (maximum CO2 
interference) as measured in Sec. 92.120(a) shall be:
    (i) For CO analyzers, 1000:1.
    (ii) For CO2 analyzers, 100:1.
    (4) The minimum CO2 rejection ratio (maximum 
CO2 interference) as measured in Sec. 92.120(b) for CO 
analyzers shall be 5000:1.
    (5) Zero suppression. Various techniques of zero suppression may be 
used to increase readability, but only with prior approval by the 
Administrator.
    (6) Option: if the range of CO concentrations encountered during 
the different test modes is too broad to allow accurate measurement 
using a single analyzer, then multiple CO analyzers may be used.
    (c) Hydrocarbon analyzer specifications. (1) Hydrocarbon 
measurements are to be made with a heated flame ionization detector 
(HFID) analyzer. An overflow sampling system is recommended but not 
required. (An overflow system is one in which excess zero gas or span 
gas spills out of the probe when zero or span checks of the analyzer 
are made.
    (i) Option. A non-heated flame ionization detector (FID) that 
measures hydrocarbon emissions on a dry basis is permitted for 
petroleum fuels other than diesel and biodiesel; Provided, that 
equivalency is demonstrated to the Administrator prior to testing. With 
the exception of temperatures, all specifications contained in Subpart 
B of this part apply to the optional system.
    (ii) The analyzer shall be fitted with a constant temperature oven 
housing the detector and sample-handling components. It shall maintain 
temperature with 3.6  deg.F (2  deg.C) of the set point. The detector, 
oven, and sample-handling components within the oven shall be suitable 
for continuous operation at temperatures to 395 deg.F (200  deg.C).
    (iii) Fuel and burner air shall conform to the specifications in 
Sec. 92.112(e).
    (iv) The percent of oxygen interference must be less than 3 
percent, as specified in Sec. 92.119(3).
    (v) Premixed burner air. (A) For diesel and biodiesel fueled 
engines, premixing a small amount of air with the HFID fuel prior to 
combustion within the HFID burner is not recommended as a means of 
improving oxygen interference (%O2I). However, this 
procedure may be used if the engine manufacturer demonstrates on each 
basic combustion system (i.e., four-cycle direct injection, two-cycle 
direct injection, four-cycle indirect injection, etc.) that an HFID 
using this procedure produces comparable results to an HFID not using 
this procedure. These data must be submitted to the Administrator for 
his/her approval prior to testing.
    (B) For engines operating on fuels other than diesel or biodiesel, 
premixing burner air with the HFID fuel is not allowed.
    (2) Methane analyzer. The analytical system for methane consists of 
a gas chromatograph (GC) combined with a flame ionization detector 
(FID).

[[Page 19013]]

    (3) Alcohols and Aldehydes. The sampling and analysis procedures 
for alcohols and aldehydes, where applicable, shall be approved by the 
Administrator prior to the start of testing. Procedures consistent with 
the general requirements of 40 CFR Part 86 for sampling and analysis of 
alcohols and aldehydes emitted by on-highway alcohol-fueled engines, 
and consistent with good engineering practice are allowed.
    (4) Other methods of measuring organics that are shown to yield 
equivalent results can be used upon approval of the Administrator prior 
to the start of testing.
    (d) Oxides of nitrogen analyzer specifications. (1) Oxides of 
nitrogen are to be measured with a chemiluminescence (CL) analyzer.
    (i) The NOX sample must be heated per Sec. 92.114 up to 
the NO2 to NO converter.
    (ii) For high vacuum CL analyzers with heated capillary modules, 
supplying a heated sample to the capillary module is sufficient.
    (iii) The NO2 to NO converter efficiency shall be at 
least 90 percent.
    (iv) The CO2 quench interference must be less than 3.0 
percent as measured in Sec. 92.121(a).


Sec. 92.110  Weighing chamber and micro-balance.

    (a) Ambient conditions.--(1) Temperature. The temperature of the 
chamber (or room) in which the particulate filters are conditioned and 
weighed shall be maintained at a measured temperature between 19 deg.C 
and 25 deg.C during all filter conditioning and weighing.
    (2) Humidity. The relative humidity of the chamber (or room) in 
which the particulate filters are conditioned and weighed shall be 
458 percent during all filter conditioning and weighing. 
The dew point shall be 6.4 to 12.4 deg.C.
    (b) Weighing balance specifications. The microbalance used to 
determine the weights of all filters shall have a precision (standard 
deviation) of no more than 20 micrograms and readability down to 10 
micrograms or lower.
    (c) Reference filters. The chamber (or room) environment shall be 
free of any ambient contaminants (such as dust) that would settle on 
the particulate filters during their stabilization. It is required that 
at least two unused reference filters remain in the weighing room at 
all times in covered (to reduce dust contamination) but unsealed (to 
permit humidity exchange) petri dishes.
    (1) These reference filters shall be placed in the same general 
area as the sample filters. These reference filters shall be weighed 
within 4 hours of, but preferably at the same time as, the sample 
filter weighings.
    (2) If the average weight of the reference filters changes between 
sample filter weighings by 5.0 percent (7.5 if 
the filters are weighed in pairs) or more of the target nominal filter 
loading (the recommended nominal loading is 0.5 milligrams per 1075 
square millimeters of stain area), then all sample filters in the 
process of stabilization shall be discarded and the emissions tests 
repeated.
    (3) If the average weight of the reference filters decreases 
between sample filter weighings by more than 1.0 percent but less than 
5.0 percent of the nominal filter loading then the manufacturer or 
remanufacturer has the option of either repeating the emissions test or 
adding the average amount of weight loss to the net weight of the 
sample.
    (4) If the average weight of the reference filters increases 
between sample filter weighing by more than 1.0 percent but less than 
5.0 percent of the nominal filter loading, then the manufacturer or 
remanufacturer has the option of either repeating the emissions test or 
accepting the measured sample filter weight values.
    (5) If the average weight of the reference filters changes between 
sample filter weighings by not more than 1.0 percent, then 
the measured sample filter weights shall be used.
    (6) The reference filters shall be changed at least once a month, 
but never between clean and used weighings of a given sample filter. 
More than one set of reference filters may be used. The reference 
filters shall be the same size and material as the sample filters.


Sec. 92.111  Smoke measurement system.

    (a) Schematic drawing. Figure B111-1 of this section is a schematic 
drawing of the optical system of the light extinction meter, as 
follows:

BILLING CODE 6560-50-P

[[Page 19014]]

[GRAPHIC] [TIFF OMITTED] TR16AP98.000



BILLING CODE 6560-50-C

[[Page 19015]]

    (b) Equipment. The following equipment shall be used in the system.
    (1) Adapter. The smokemeter optical unit may be mounted on a fixed 
or movable frame. The normal unrestricted shape of the exhaust plume 
shall not be modified by the adaptor, the meter, or any ventilation 
system used to remove the exhaust from the test site. Distortion due to 
the gaseous or particulate sample probes, or the exhaust duct is 
allowed subject to the provisions of Sec. 92.114.
    (2) Wind shielding. Tests shall not be conducted under excessively 
windy conditions. Winds are excessive if they disturb the size, shape, 
or location of the exhaust plume in the region where exhaust samples 
are drawn or where the smoke plume is measured. Tests may be conducted 
if wind shielding is placed adjacent to the exhaust plume to prevent 
bending, dispersion, or any other distortion of the exhaust plume as it 
passes through the optical unit.
    (3) Smokemeter, (light extinction meter). A continuously recording, 
full-flow light obscuration meter shall be used.
    (i) It is positioned as specified in paragraph (c) of this section, 
so that a built-in light beam traverses the exhaust smoke plume which 
issues from the duct. The light beam shall be at right angles to the 
axis of the plume, and in those cases were the exhaust is not circular 
at its discharge, the path of the light beam through the plume shall be 
along the longest axis of the exhaust stack which is not a diagonal of 
a rectangular exhaust stack.
    (ii) The light source shall be an incandescent lamp with a color 
temperature range of 2800K to 3250K, or a light source with a spectral 
peak between 550 and 570 nanometers.
    (iii) The light output is collimated to a beam with a nominal 
diameter of 1.125 inches and an angle of divergence within a 6 degree 
included angle.
    (iv) The light detector shall be a photocell or photodiode. If the 
light source is an incandescent lamp, the detector shall have a 
spectral response similar to the photopic curve of the human eye (a 
maximum response in the range of 550 to 570 nanometers, to less than 
four percent of that maximum response below 430 nanometers and above 
680 nanometers).
    (v) A collimating tube with apertures equal to the beam diameter is 
attached to the detector to restrict the viewing angle of the detector 
to within a 16 degree included angle.
    (vi) An amplified signal corresponding to the amount of light 
blocked is recorded continuously on a remote recorder.
    (vii) An air curtain across the light source and detector window 
assemblies may be used to minimize deposition of smoke particles on 
those surfaces provided that it does not measurably affect the opacity 
of the plume.
    (viii) The smokemeter consists of two units; an optical unit and a 
remote control unit.
    (ix) Light extinction meters employing substantially identical 
measurement principles and producing substantially equivalent results, 
but which employ other electronic and optical techniques may be used 
only after having been approved in advance by the Administrator.
    (4) Recorder. A continuous recorder, with variable chart speed over 
a minimal range of 1 to 20 cm per minute (or equivalent) and an 
automatic marker indicating 1-second intervals, continuously records 
the exhaust gas opacity and throttle position.
    (i) The recorder is equipped to indicate each of the throttle notch 
(test mode) positions.
    (ii) The recorder scale for opacity is linear and calibrated to 
read from 0 to 100 percent opacity full scale.
    (iii) The opacity trace has a resolution within one percent 
opacity.
    (iv) The throttle position trace clearly indicates each throttle 
position.
    (5) The recorder used with the smokemeter shall be capable of full-
scale deflection in 0.5 second or less. The smokemeter-recorder 
combination may be damped so that signals with a frequency higher than 
10 cycles per second are attenuated. A separate low-pass electronic 
filter with the following performance characteristics may be installed 
between the smokemeter and the recorder to achieve the high-frequency 
attenuation:
    (i) Three decibel point: 10 cycles per second.
    (ii) Insertion loss: 0 0.5 decibel.
    (iii) Selectivity: 12 decibels down at 40 cycles per second 
minimum.
    (iv) Attenuation: 27 decibels down at 40 cycles per second minimum.
    (6) Automatic data collection equipment may be used, provided it is 
capable of collecting data equivalent to or better than the data 
required by paragraphs (b)(4) and (5) of this section.
    (c)(1) Assembling equipment for locomotive testing. The optical 
unit of the smokemeter shall be mounted radially to the exhaust duct so 
that the measurement will be made at right angles to the axis of the 
exhaust plume. The distance from the optical centerline to the exhaust 
outlet shall be minimized; in all cases it shall be less than 10 feet. 
The maximum allowable distance of unducted space upstream of the 
optical centerline is 18 inches. The full flow of the exhaust stream 
shall be centered between the source and detector apertures (or windows 
and lenses) and on the axis of the light beam.
    (2) Assembling equipment for engine testing. The optical unit of 
the smokemeter shall be mounted radially to the exhaust duct so that 
the measurement will be made at right angles to the axis of the exhaust 
plume. The distance from the optical centerline to the exhaust outlet 
shall be less than 25 feet. The maximum allowable distance of unducted 
space upstream of the optical centerline is 18 inches. In-line 
smokemeters are allowed. The full flow of the exhaust stream shall be 
centered between the source and detector apertures (or windows and 
lenses) and on the axis of the light beam.
    (d) Power supply. Power shall be supplied to the control unit of 
the smokemeter in time to allow at least 15 minutes for stabilization 
prior to testing.


Sec. 92.112  Analytical gases.

    (a) Gases for the CO and CO2 analyzers shall be single 
blends of CO and CO2, respectively, using zero grade 
nitrogen as the diluent.
    (b) Gases for the hydrocarbon analyzer shall be single blends of 
propane using zero grade air as the diluent.
    (c) Gases for the methane analyzer shall be single blends of 
methane using air as the diluent.
    (d) Gases for the NOX analyzer shall be single blends of 
NO named as NOX with a maximum NO2 concentration 
of 5 percent of the nominal value using zero grade nitrogen as the 
diluent.
    (e) Fuel for the HFID (or FID, as applicable) and the methane 
analyzer shall be a blend of 402 percent hydrogen with the 
balance being helium. The mixture shall contain less than 1 ppm 
equivalent carbon response; 98 to 100 percent hydrogen fuel may be used 
with advance approval of the Administrator.
    (f) Hydrocarbon analyzer burner air. The concentration of oxygen 
must be within 1 mole percent of the oxygen concentration of the burner 
air used in the latest oxygen interference check (%O2I). If 
the difference in oxygen concentration is greater than 1 mole percent, 
then the oxygen interference must be checked and the analyzer adjusted 
if necessary, to meet the %O2I requirements. The burner air 
must contain less than 2 ppmC hydrocarbon.
    (g) The allowable zero gas (air or nitrogen) impurity 
concentrations shall not exceed 1 ppm equivalent carbon response, 1 ppm 
carbon monoxide, 0.04

[[Page 19016]]

percent (400 ppm) carbon dioxide and 0.1 ppm nitric oxide.
    (h)(1) ``Zero-grade air'' includes artificial ``air'' consisting of 
a blend of nitrogen and oxygen with oxygen concentrations between 18 
and 21 mole percent.
    (2) Calibration gases shall be accurate to within 1 
percent of NIST gas standards, or other gas standards which have been 
approved by the Administrator.
    (3) Span gases shall be accurate to within 2 percent of 
NIST gas standards, or other gas standards which have been approved by 
the Administrator.
    (i) Oxygen interference check gases shall contain propane at a 
concentration greater than 50 percent of range. The concentration value 
shall be determined to calibration gas tolerances by chromatographic 
analysis of total hydrocarbons plus impurities or by dynamic blending. 
Nitrogen shall be the predominant diluent with the balance being 
oxygen. Oxygen concentration in the diluent shall be between 20 and 22 
percent.
    (j) The use of precision blending devices (gas dividers) to obtain 
the required calibration gas concentrations is acceptable, provided 
that the blended gases are accurate to within 1.5 percent 
of NIST gas standards, or other gas standards which have been approved 
by the Administrator. This accuracy implies that primary gases used for 
blending must be ``named'' to an accuracy of at least 1 
percent, traceable to NIST or other approved gas standards.


Sec. 92.113  Fuel specifications.

    (a) Diesel test fuel. (1) The diesel fuels for testing locomotives 
or locomotive engines designed to operate on diesel fuel shall be clean 
and bright, with pour and cloud points adequate for operability. The 
diesel fuel may contain nonmetallic additives as follows: cetane 
improver, metal deactivator, antioxidant, dehazer, antirust, pour 
depressant, dye, dispersant, and biocide. The diesel fuel shall also 
meet the specifications (as determined using methods incorporated by 
reference at Sec. 92.5) in Table B113-1 of this section, or 
substantially equivalent specifications approved by the Administrator, 
as follows:

                                                  Table B113-1                                                  
----------------------------------------------------------------------------------------------------------------
                     Item                                        ASTM                           Type 2-D        
----------------------------------------------------------------------------------------------------------------
Cetane Number.................................  D613.................................           40-48           
Cetane Index..................................  D976.................................           40-48           
Distillation range:                                                                                             
  IBP,                                                                                                          
     deg.F....................................  D86..................................         340-400           
    ( deg.C)..................................  .....................................    (171.1-204.4)          
  10 pct. point,                                                                                                
     deg.F....................................  D86..................................         400-460           
    ( deg.C)..................................  .....................................    (204.4-237.8)          
  50 pct. point,                                                                                                
     deg.F....................................  D86..................................         470-540           
    ( deg.C)..................................  .....................................    (243.3-282.2)          
  90 pct. point,                                                                                                
     deg.F....................................  D86..................................         560-630           
    ( deg.C)..................................  .....................................    (293.3-332.2)          
  EP,                                                                                                           
     deg.F....................................  D86..................................         610-690           
    ( deg.C)..................................  .....................................    (321.1-365.6)          
Gravity,  deg.API.............................  D287.................................           32-37           
Total sulfur, pct.............................  D2622................................         0.2-0.4           
Hydrocarbon composition, pct:                                                                                   
  Aromatics,..................................  D5186................................            1 27           
  Paraffins, Naphthenes, Olefins..............  D1319................................              (2)          
Flashpoint, min.,                                                                                               
   deg.F......................................  D93..................................             130           
   deg.C......................................  .....................................           (54.4)          
Viscosity, centistokes........................  D445.................................        2.0-3.2            
----------------------------------------------------------------------------------------------------------------
\1\ Minimum.    \2\ Remainder.                                                                                  

    (2) Other diesel fuels may be used for testing provided:
    (i) They are commercially available; and
    (ii) Information, acceptable to the Administrator, is provided to 
show that only the designated fuel would be used in service; and
    (iii) Use of a fuel listed under paragraph (a)(1) of this section 
would have a detrimental effect on emissions or durability; and
    (iv) Written approval from the Administrator of the fuel 
specifications is provided prior to the start of testing.
    (3) The specification of the fuel to be used under paragraphs 
(a)(1), and (a)(2) of this section shall be reported in accordance with 
Sec. 92.133.
    (b) Natural gas test fuel (compressed natural gas, liquefied 
natural gas). (1) Natural gas-fuel meeting the specifications (as 
determined using methods incorporated by reference at Sec. 92.5) in 
Table B113-2 of this section, or substantially similar specifications 
approved by the Administrator, shall be used in exhaust emissions 
testing of locomotives or locomotive engines designed to operate on 
natural gas-fuel, as follows:

[[Page 19017]]



                              Table B113-2                              
------------------------------------------------------------------------
                                                    ASTM test           
               Item                  Mole pct.     method No.     Value 
------------------------------------------------------------------------
Methane..........................  Min.........  D1945.........     89.0
Ethane...........................  Max.........  D1945.........      4.5
C3 and higher....................  Max.........  D1945.........      2.3
C6 and higher....................  Max.........  D1945.........      0.2
Oxygen...........................  Max.........  D1945.........      0.6
Inert gases: Sum of CO2 and N2--   Max.........  D1945.........     4.0 
 Odorant \1\.                                                           
------------------------------------------------------------------------
\1\ The natural gas at ambient conditions must have a distinctive odor  
  potent enough for its presence to be detected down to a concentration 
  in air of not over \1/5\ (one-fifth) of the lower limit of            
  flammability.                                                         

    (2) Other natural gas-fuels may be used for testing provided:
    (i) They are commercially available; and
    (ii) Information, acceptable to the Administrator, is provided to 
show that only the designated fuel would be used in customer service; 
and
    (iii) Written approval from the Administrator of the fuel 
specifications is provided prior to the start of testing.
    (3) The specification of the fuel to be used under paragraph (b)(1) 
or (b)(2) of this section shall be reported in accordance with 
Sec. 92.133.
    (c) Other fuel types. (1) For locomotives or locomotive engines 
which are designed to be capable of using a type of fuel (or mixed 
fuel) other than diesel fuel, or natural gas fuel (e.g., methanol), and 
which are expected to use that type of fuel (or mixed fuel) in service, 
a commercially available fuel of that type shall be used for exhaust 
emission testing. The Administrator shall determine the specifications 
of the fuel to be used for testing, based on the engine design, the 
specifications of commercially available fuels, and the recommendation 
of the manufacturer.
    (2) The specification of the fuel to be used under paragraph (c)(1) 
of this section shall be reported in accordance with Sec. 92.133.


Sec. 92.114  Exhaust gas and particulate sampling and analytical 
system.

    (a) General. (1) During emission testing, the engine exhaust is 
routed through an exhaust duct connected to, or otherwise adjacent to 
the outlet of the locomotive exhaust system. Emission samples are 
collected as specified in paragraphs (b) and (c) of this section. 
Exhaust duct requirements are specified in paragraph (d) of this 
section.
    (2) The systems described in this section are appropriate for use 
with locomotives or engines employing a single exhaust.
    (i) For testing where the locomotive or engine has multiple 
exhausts all exhaust streams shall be combined into a single stream 
prior to sampling, except as allowed by paragraph (a)(2)(ii) of this 
section.
    (ii) For locomotive testing where the locomotive has multiple 
exhaust stacks, proportional samples may be collected from each exhaust 
outlet instead of ducting the exhaust stacks together, provided that 
the CO2 concentrations in each exhaust stream are shown 
(either prior to testing or during testing) to be within 5 percent of 
each other for each test mode.
    (3) All vents, including analyzer vents, bypass flow, and pressure 
relief vents of regulators, should be vented in such a manner to avoid 
endangering personnel in the immediate area.
    (4) Additional components, not specified here, such as instruments, 
valves, solenoids, pumps, switches, and so forth, may be employed to 
provide additional information and coordinate the functions of the 
component systems, provided that their use is consistent with good 
engineering practice. Any variation from the specifications in this 
subpart including performance specifications and emission detection 
methods may be used only with prior approval by the Administrator.
    (b) Raw exhaust sampling for gaseous emissions. (1)(i) An example 
of the type of sampling and analytical system which is to be used for 
gaseous emissions testing under this subpart is shown in Figure B114-1 
of this section. All components or parts of components that are wetted 
by the sample or corrosive calibration gases shall be either chemically 
cleaned stainless steel or other inert material, for example, 
polytetrafluoroethylene resin. The use of ``gauge savers'' or 
``protectors'' with nonreactive diaphragms to reduce dead volumes is 
permitted. Additional components such as instruments, valves, 
solenoids, pumps, switches, etc. may be employed to provide additional 
information and coordinate the functions of the component systems.
    (ii) System components list. The following is a list of components 
shown in Figure B114-1 of this section by numeric identifier.
    (A) Filters. Glass fiber filter paper is permitted for the fine 
particulate filters (F1, F2, and F3). Optional filter F4 is a coarse 
filter for large particulates. Filters F3 and F4 are heated filters
    (B) Flowmeters. Flowmeters FL1 and FL2 indicate sample flow rates 
through the CO and CO2 analyzers. Flowmeters FL3, FL4, FL5, 
and FL6 indicate bypass flow rates.
    (C) Gauges. Downstream gauges are required for any system used for 
testing under this subpart. Upstream gauges may be required under this 
subpart. Upstream gauges G1 and G2 measure the input to the CO and 
CO2 analyzers. Downstream gauges G3 and G4 measure the exit 
pressure of the CO and CO2 analyzers. If the normal 
operating range of the downstream gauges is less than 3 inches of 
water, then the downstream gauges must be capable of reading both 
pressure and vacuum. Gauges G3 and G4 are not necessary if the 
analyzers are vented directly to atmospheric pressure.
    (D) Pressure gauges. P1 is a bypass pressure gauge; P2, P3, P4, and 
P5 are for sample or span pressure at inlet to flow control valves.
    (E) Water traps. Water traps WT1 and WT2 to remove water from the 
sample. A water trap performing the function of WT1 is required for any 
system used for testing under this subpart. Chemical dryers are not an 
acceptable method of removing the water. Water removal by condensation 
is acceptable. If water is removed by condensation, the sample gas 
temperature or sample dew point must be monitored either within the 
water trap or downstream; it may not exceed 45  deg.F (7  deg.C). Means 
other than condensation may be used only with prior approval from the 
Administrator.
    (F) Regulators. R1, R3, R4, and R6 are line pressure regulators to 
control span pressure at inlet to flow control valves; R2 and R5 are 
back pressure regulators to control sample pressure at inlet to flow 
control valves.
    (G) Valves. V1, V7, V8, and V14 are selector valves to select zero 
or calibration gases; V2 are optional heated selector valves to purge 
the sample probe, perform leak checks, or to

[[Page 19018]]

perform hang-up checks; V3 and V5 are selector valves to select sample 
or span gases; V4, V6, and V15 are flow control valves; V9 and V13--
heated selector valve to select sample or span gases; V10 and V12--
heated flow control valves; V11--Selector valve to select 
NOX or bypass mode in the chemiluminescence analyzer; V16--
heated selector valve to perform leak checks.
    (H) Pump. Sample transfer pump to transport sample to analyzers.
    (I) Temperature sensor. A temperature sensor (T1) to measure the 
NO2 to NO converter temperature is required for any system 
used for testing under this subpart.
    (J) Dryer. Dryers D1 and D2 to remove the water from the bypass 
flows to prevent condensation in flowmeters FL3, FL4, and FL6.
    (2) The following requirements must be incorporated in each gaseous 
sampling system used for testing under this subpart:
    (i) The exhaust is analyzed for gaseous emissions using analyzers 
meeting the specifications of Sec. 92.109, and all analyzers must 
obtain the sample to be analyzed from the same sample probe, and 
internally split to the different analyzers.
    (ii) Sample transfer lines must be heated as specified in paragraph 
(b)(4) of this section.
    (iii) Carbon monoxide and carbon dioxide measurements must be made 
on a dry basis. Specific requirements for the means of drying the 
sample can be found in paragraph (b)(1)(ii)(E) of this section.
    (iv) All NDIR analyzers must have a pressure gauge immediately 
downstream of the analyzer. The gauge tap must be within 2 inches of 
the analyzer exit port. Gauge specifications can be found in paragraph 
(b)(1)(ii)(C) of this section.
    (v) All bypass and analyzer flows exiting the analysis system must 
be measured. Capillary flows such as in HFID and CL analyzers are 
excluded. For each NDIR analyzer with a flow meter located upstream of 
the analyzer, an upstream pressure gauge must be used. The gauge tap 
must be within 2 inches of the analyzer entrance port.
    (vi) Calibration or span gases for the NOX measurement 
system must pass through the NO2 to NO converter.
    (vii) The temperature of the NO2 to NO converter must be 
displayed continuously.
    (3) Gaseous sample probe. (i) The gaseous emissions sample probe 
shall be a straight, closed end, stainless steel, multi-hole probe. The 
inside diameter shall not be greater than the inside diameter of the 
sample line by more than 0.01 inches (0.03 cm). The wall thickness of 
the probe shall not be greater than 0.04 inches (0.10 cm). The fitting 
that attaches the probe to the exhaust duct shall be as small as 
practical in order to minimize heat loss from the probe.
    (ii) The gaseous emissions sample probe shall have a minimum of 
three holes in each 3 inch segment of length of the probe. The spacing 
of the radial planes for each hole in the probe must be such that they 
cover approximately equal cross-sectional areas of the exhaust duct. 
The angular spacing of the holes must be approximately equal. The 
angular spacing of any two holes in one plane may not be 
180 deg.20 deg. (see section view C-C of Figure B114-2 of 
this section). The holes should be sized such that each has 
approximately the same flow. If only three holes are used in each 3 
inch segment of probe length, they may not all be in the same radial 
plane.
    (iii) The sample probe shall be so located in the center of the 
exhaust duct to minimize stratification, with respect to both 
concentration and velocity, present in the exhaust stream. The probe 
shall be located between two feet and five feet downstream of the 
locomotive exhaust outlet (or nearest practical equivalent during 
engine testing), and at least 1 foot upstream of the outlet of the 
exhaust duct to the atmosphere.
    (iv) If the exhaust duct is circular in cross section, the sample 
probe should extend approximately radially across the exhaust duct, and 
approximately through the center of the duct. The sample probe must 
extend across at least 80 percent of the diameter of the duct.
    (v) If the exhaust duct is not circular in cross section, the 
sample probe should extend across the exhaust duct approximately 
parallel to the longest sides of the duct, or along the longest axis of 
the duct which is not a diagonal, and through the approximate center of 
the duct. The sample probe must extend across at least 80 percent of 
the longest axis of the duct which is not a diagonal, and be 
approximately parallel to the longest sides of the duct.
    (vi) Other sample probe designs and/or locations may be used only 
if demonstrated (to the Administrator's satisfaction) to provides a 
more representative sample.
    (4) Sample transfer line(s).
    (i) The maximum inside diameter of the gaseous emissions sample 
line shall not exceed 0.52 inches (1.32 cm).
    (ii) If valve V2 is used, the sample probe must connect directly to 
valve V2. The location of optional valve V2 may not be greater than 4 
feet (1.22 m) from the exhaust duct.
    (iii) The sample transport system from the engine exhaust duct to 
the HC analyzer and the NOX analyzer must be heated as is 
indicated in Figure B114-1 of this section.
    (A) For diesel fueled and biodiesel fueled locomotives and engines, 
the wall temperature of the HC sample line must be maintained at 375 
 20  deg.F (191  11  deg.C). An exception is 
made for the first 4 feet (122 cm) of sample line from the exhaust 
duct. The upper temperature tolerance for this 4 foot section is waived 
and only the minimum temperature specification applies.
    (B) For locomotives and engines using fuels other than diesel or 
biodiesel, the heated components in the HC sample path shall be 
maintained at a temperature approved by the Administrator, not 
exceeding 446  deg.F (230  deg.C).
    (C) For all fuels, wall temperature of the NOX sample 
line must be maintained between 140  deg.F (60  deg.C) and 446  deg.F 
(230  deg.C). An exception is made for the first 4 feet (122 cm) of 
sample line from the exhaust duct. The upper temperature tolerance for 
this 4 foot section is waived and only the minimum temperature 
specification applies.
    (D) For each component (pump, sample line section, filters, etc.) 
in the heated portion of the sampling system that has a separate source 
of power or heating element, use engineering judgment to locate the 
coolest portion of that component and monitor the temperature at that 
location. If several components are within an oven, then only the 
surface temperature of the component with the largest thermal mass and 
the oven temperature need be measured.
    (c) Particulate emissions. (1)(i) Schematic drawing. An example of 
a sampling system which may be used for particulate emissions testing 
under this subpart is shown in Figure B114-3 of this section. All 
components or parts of components that are wetted by the samples gases 
upstream of the filter shall be either chemically cleaned stainless 
steel or other inert material, for example, polytetrafluoroethylene 
resin. The use of ``gauge savers'' or ``protectors'' with nonreactive 
diaphragms to reduce dead volumes is permitted. Additional components 
such as instruments, valves, solenoids, pumps, switches, etc. may be 
employed to provide additional information and coordinate the functions 
of the component systems.

[[Page 19019]]

    (ii) The following requirements must be incorporated in each system 
used for testing under this subpart:
    (A) All particulate filters must obtain the sample from the same 
sample probe located within the exhaust gas extension with internal 
split to the different filters.
    (B) The wall temperature of the sample transport system from the 
probe to the dilution tunnel (excluding the first 4 feet of the 
particulate transfer tube) must be maintained at 375 deg.F to 395 deg.F 
(191 deg.C to 202 deg.C).
    (2) Particulate raw sample probe. (i) The sample probe for the raw 
exhaust shall be a straight, closed end, stainless steel, multi-hole 
probe of approximately 1.25 inch (3.2 cm) diameter. The inside diameter 
shall not be greater than the inside diameter of the sample line by 
more than 0.1 inches (0.3 cm). The wall thickness of the probe shall 
not be greater than 0.06 inches (0.15 cm). The fitting that attaches 
the probe to the exhaust duct shall be as small as practical in order 
to minimize heat loss from the probe.
    (ii) All sample collection holes in the probe shall be located so 
as to face away from the direction of flow of the exhaust stream or at 
most be tangential to the flow of the exhaust stream past the probe 
(see Figure B114-4 of this section). Five holes shall be located in 
each radial plane along the length of the probe in which sample holes 
are placed. The spacing of the radial planes for each set of holes in 
the probe must be such that they cover approximately equal cross-
sectional areas of the exhaust duct. For rectangular ducts, this means 
that the sample hole-planes must be equidistant from each other. For 
circular ducts, this means that the distance between the sample hole-
planes must be decreased with increasing distance from the center of 
the duct (see Figure B114-4 of this section). (Note: Particulate 
concentrations are expected to vary to some extent as a function of the 
distance to the duct wall; thus each set of sample holes collects a 
sample that is representative of a cross-sectional disk at that 
approximate distance from the wall.) The spacing between sets of sample 
holes along the length of the probe shall be no more than 4 inches (10 
cm). The holes should be sized such that each has approximately the 
same flow.
    (iii)(A) The particulate sample probe shall be located in the 
exhaust duct on an axis which is directly downstream of, and parallel 
to the axis of the gaseous sample probe. The distance between the 
probes shall be between 3 inches (7.6 cm) and 6 inches (15.2 cm). 
Greater spacing is allowed for engine testing, where spacing of 3 
inches (7.6 cm) to 6 inches (15.2 cm) is not practical.
    (B) If the exhaust duct is circular in cross section, the sample 
probe should extend approximately radially across the exhaust duct, and 
approximately through the center of the duct. The sample probe must 
extend across at least 80 percent of the diameter of the duct.
    (C) If the exhaust duct is not circular in cross section, the 
sample probe should extend across the exhaust duct approximately 
parallel to the longest sides of the duct, or along the longest axis of 
the duct which is not a diagonal, and through the approximate center of 
the duct. The sample probe must extend across at least 80 percent of 
the longest axis of the duct which is not a diagonal, and be 
approximately parallel to the longest sides of the duct.
    (3) Particulate sample transfer line. (i) The maximum inside 
diameter of the particulate emissions sample line shall be 
approximately 2.5 inches (6.4 cm).
    (ii) The sample transfer line shall be heated to maintain a wall 
temperature above 375 deg.F.
    (4) Dilution tunnel. The flow capacity of the blower moving the 
mixture of sample and air through the tunnel must be sufficient to 
maintain the diluted sample stream at a temperature of 125  deg.F (51.7 
 deg.C) or less, at the sampling zone in the dilution tunnel and at the 
sample filter. A single measurement of diluted exhaust temperature is 
required. The temperature shall also be maintained as required to 
prevent condensation at any point in the dilution tunnel. A small 
negative pressure is to be maintained in the dilution tunnel by 
throttling at the source of the dilution air, and adjusted as 
necessary, sufficient to draw sample through the probe and sample 
transfer line. Direct sampling of the particulate material may take 
place (Figure B114-3 of this section) at this point.
    (i)(A) The dilution tunnel shall be:
    (1) Small enough in diameter to cause turbulent flow (Reynolds 
Number greater than 4000) and of sufficient length to cause complete 
mixing of the exhaust and dilution air;
    (2) 4 inches (10 cm) minimum inside diameter;
    (3) Constructed of electrically conductive material which does not 
react with the exhaust components; and
    (4) Electrically grounded.
    (B) The temperature of the diluted exhaust stream inside of the 
dilution tunnel shall be sufficient to prevent water condensation.
    (C) The engine exhaust shall be directed downstream at the point 
where it is introduced into the dilution tunnel.
    (ii) Dilution air:
    (A) Shall be at a temperature of 68  deg.F (20  deg.C) or greater.
    (B) May be filtered at the dilution air inlet.
    (C) May be sampled to determine background particulate levels, 
which can then be subtracted from the values measured in the exhaust 
stream.
    (D) Shall be sampled to determine the background concentration of 
CO2.
    (iii) Dilute sample probe and collection system.
    (A) The particulate sample probe in the dilution tunnel shall be:
    (1) Installed facing upstream at a point where the dilution air and 
exhaust are well mixed (i.e., on the tunnel centerline, approximately 
10 tunnel diameters downstream of the point where the exhaust enters 
the dilution tunnel).
    (2) Sufficiently distant (radially) from other sampling probes so 
as to be free from the influence of wakes or eddies produced by the 
other probes.
    (3) 0.5 in. (1.3 cm) minimum inside diameter.
    (4) The distance from the sampling tip to the filter holder shall 
not be more than 40 inches (102 cm).
    (5) Designed to minimize the deposition of particulate during 
transfer (i.e., bends should be as gradual as possible, protrusions 
(due to sensors, etc.) should be smooth and not sudden, etc.).
    (B) The gas meters or flow instrumentation shall be located 
sufficiently distant from the tunnel so that the inlet gas temperature 
remains constant (5  deg.F (2.8  deg.C)). 
Alternately, the temperature of the sample may be monitored at the gas 
meter, and the measured volume corrected to standard conditions.
    (C) Particulate sampling filters.
    (1) Fluorocarbon-coated glass fiber filters or fluorocarbon-based 
(membrane) filters are required.
    (2) Particulate filters must have a diameter to maintain the 
average face velocity of the sample across the filter between 35 and 80 
cm/s.
    (3) The dilute exhaust will be simultaneously sampled by a pair of 
filters (one primary and one back-up filter) during each phase of the 
test. The back-up filter shall be located no more than 4 inches (10 cm) 
downstream of the primary filter. The primary and back-up filters shall 
not be in contact with each other.
    (4) The recommended target loading on a primary 70-mm filter (60 mm 
diameter stain area) is 1.3 milligrams. Equivalent loadings (0.5 mg/
1075 mm2 stain area) shall be used as target loadings when 
other filter sizes are used.

[[Page 19020]]

    (D) Diluted CO2 sample collection system.
    (1) The concentrations of CO2 in the dilution air and 
diluted exhaust are determined by pumping a sample into a sample bag 
(made of a nonreactive material) or directly to the analyzer, as shown 
in Figure B114-3 of this section.
    (2) The sample probe for the diluted exhaust shall be installed 
facing upstream at a point where the dilution air and exhaust are well 
mixed (i.e., on the tunnel centerline, approximately 10 tunnel 
diameters downstream of the point where the exhaust enters the dilution 
tunnel). It shall also be sufficiently distant (radially) from other 
sampling probes so as to be free from the influence of any wakes or 
eddies produced by the other probes.
    (iv) Other sample flow handling and/or measurement systems may be 
used if shown to yield equivalent results and if approved in advance by 
the Administrator. (See Appendix IV of this part for guidance.)
    (d) Exhaust system. The exhaust system shall meet the following 
requirements:
    (1) For locomotive testing, the engine exhaust shall be routed 
through an exhaust duct with dimensions equal to or slightly larger 
than the dimensions of the locomotive exhaust outlet. The exhaust duct 
shall be designed so as to not significantly affect exhaust 
backpressure.
    (2) For engine testing, either a locomotive-type or a facility-type 
exhaust system (or a combination system) may be used. The exhaust 
backpressure for engine testing shall be set between 90 and 100 percent 
of the maximum backpressure that will result with the exhaust systems 
of the locomotives in which the engine will be used. The facility-type 
exhaust system shall meet the following requirements:
    (i) It must be composed of smooth ducting made of typical in-use 
steel or stainless steel.
    (ii) If an aftertreatment system is employed, the distance from the 
exhaust manifold flange(s), or turbocharger outlet to any exhaust 
aftertreatment device shall be the same as in the locomotive 
configuration unless the manufacturer is able to demonstrate equivalent 
performance at another location.
    (iii) If the exhaust system ducting from the exit of the engine 
exhaust manifold or turbocharger outlet to smoke meter exceeds 12 feet 
(3.7 m) in length, then all ducting shall be insulated consistent with 
good engineering practice.
    (iv) For engines designed for more than one exhaust outlet to the 
atmosphere, a specially fabricated collection duct may be used. The 
collection duct should be located downstream of the in-locomotive exits 
to the atmosphere. Any potential increase in backpressure due to the 
use of a single exhaust instead of multiple exhausts may be compensated 
for by using larger than standard exhaust system components in the 
construction of the collection duct.
    (e) Dilute exhaust sampling for gaseous and particulate emissions. 
(1) Dilution of the exhaust prior to sampling is allowed for gaseous 
emissions. The equipment and methods used for dilution, sampling and 
analysis shall comply with the requirements of subpart N of part 86 of 
this chapter, with the following exceptions and additional 
requirements:
    (i) Proportional sampling and heat exchangers are not required;
    (ii) Larger minimum dimensions for the dilution tunnel(s) shall be 
specified by the Administrator;
    (iii) Other modifications may be made with written approval from 
the Administrator.
    (2) Dilution of only a portion of the exhaust is allowed, provided 
that:
    (i) The fraction of the total exhaust that is diluted is determined 
for systems that determine mass emission rates (g/hr) from the total 
volume of the diluted sample; or
    (ii) The ratio of raw sample volume to diluted sample volume is 
determined for systems that determine mass emission rates (g/hr) from 
measured fuel flow rates.
BILLING CODE 6560-50-P

[[Page 19021]]

Figures to Sec. 92.114
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[[Page 19022]]

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[[Page 19023]]

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[[Page 19024]]

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BILLING CODE 6560-50-C

[[Page 19025]]

Sec. 92.115  Calibrations; frequency and overview.

    (a) Calibrations shall be performed as specified in Secs. 92.116 
through 92.122.
    (b) At least monthly or after any maintenance which could alter 
calibration, perform the periodic calibrations required by 
Sec. 92.118(a)(2) (certain analyzers may require more frequent 
calibration depending on the equipment and use). Exception: the water 
rejection ratio and the CO2 rejection ratio on all NDIR 
analyzers is only required to be performed quarterly.
    (c) At least monthly or after any maintenance which could alter 
calibration, calibrate the engine dynamometer flywheel torque and speed 
measurement transducers, as specified in Sec. 92.116.
    (d) At least monthly or after any maintenance which could alter 
calibration, check the oxides of nitrogen converter efficiency, as 
specified in Sec. 92.121.
    (e) At least weekly or after any maintenance which could alter 
calibration, check the dynamometer (if used) shaft torque feedback 
signal at steady-state conditions by comparing:
    (1) Shaft torque feedback to dynamometer beam load; or
    (2) By comparing in-line torque to armature current; or
    (3) By checking the in-line torque meter with a dead weight per 
Sec. 92.116(b)(1).
    (f) At least quarterly or after any maintenance which could alter 
calibration, calibrate the fuel flow measurement system as specified in 
Sec. 92.107.
    (g) At least annually or after any maintenance which could alter 
calibration, calibrate the electrical output measurement system for the 
electrical load bank used for locomotive testing.
    (h) Sample conditioning columns, if used in the CO analyzer train, 
should be checked at a frequency consistent with observed column life 
or when the indicator of the column packing begins to show 
deterioration.
    (i) For equipment not addressed in Secs. 92.116 through 92.122 
calibrations shall be performed at least as often as required by the 
equipment manufacturer or as necessary according to good practices. The 
calibrations shall be performed in accordance with procedures specified 
by the equipment manufacturer.
    (j) Where testing is conducted intermittently, calibrations are not 
required during period in which no testing is conducted, provided that 
times between the most recent calibrations and the date of any test 
does not exceed the calibration period. For example, if it has been 
more than one month since the analyzers have been calibrated (as 
specified in paragraph (c) of this section) then they must be 
calibrated prior to the start of testing.


Sec. 92.116  Engine output measurement system calibrations.

    (a) General requirements for dynamometer calibration. (1) The 
engine flywheel torque and engine speed measurement transducers shall 
be calibrated with the calibration equipment described in this section.
    (2) The engine flywheel torque feedback signals to the cycle 
verification equipment shall be electronically checked before each 
test, and adjusted as necessary.
    (3) Other engine dynamometer system calibrations shall be performed 
as dictated by good engineering practice.
    (4) When calibrating the engine flywheel torque transducer, any 
lever arm used to convert a weight or a force through a distance into a 
torque shall be used in a horizontal position (5 degrees).
    (5) Calibrated resistors may not be used for engine flywheel torque 
transducer calibration, but may be used to span the transducer prior to 
engine testing.
    (b) Dynamometer calibration equipment--(1) Torque calibration 
equipment. Two techniques are allowed for torque calibration. Alternate 
techniques may be used if shown to yield equivalent accuracies. The 
NIST ``true'' value torque is defined as the torque calculated by 
taking the product of an NIST traceable weight or force and a 
sufficiently accurate horizontal lever arm distance, corrected for the 
hanging torque of the lever arm.
    (i) The lever-arm dead-weight technique involves the placement of 
known weights at a known horizontal distance from the center of 
rotation of the torque measuring device. The equipment required is:
    (A) Calibration weights. A minimum of six calibration weights for 
each range of torque measuring device used are required. The weights 
must be approximately equally spaced and each must be traceable to NIST 
weights within 0.1 percent. Laboratories located in foreign countries 
may certify calibration weights to local government bureau standards. 
Certification of weight by state government Bureau of Weights and 
Measures is acceptable. Effects of changes in gravitational constant at 
the test site may be accounted for if desired.
    (B) Lever arm. A lever arm with a minimum length of 24 inches is 
required. The horizontal distance from the centerline of the engine 
torque measurement device to the point of weight application shall be 
accurate to within 0.10 inches. The arm must be balanced, 
or the hanging torque of the arm must be known to within 
0.1 ft-lbs.
    (ii) The transfer technique involves the calibration of a master 
load cell (i.e., dynamometer case load cell). This calibration can be 
done with known calibration weights at known horizontal distances, or 
by using a hydraulically actuated precalibrated master load cell. This 
calibration is then transferred to the flywheel torque measuring 
device. The technique involves the following steps:
    (A) A master load cell shall be either precalibrated or be 
calibrated per paragraph (b)(1)(i)(A) of this section with known 
weights traceable to NIST within 0.1 percent, and used with the lever 
arm(s) specified in this section. The dynamometer should be either 
running or vibrated during this calibration to minimize static 
hysteresis.
    (B) Transfer of calibration from the case or master load cell to 
the flywheel torque measuring device shall be performed with the 
dynamometer operating at a constant speed. The flywheel torque 
measurement device readout shall be calibrated to the master load cell 
torque readout at a minimum of six loads approximately equally spaced 
across the full useful ranges of both measurement devices. (Note that 
good engineering practice requires that both devices have approximately 
equal useful ranges of torque measurement.) The transfer calibration 
shall be performed in a manner such that the accuracy requirements of 
Sec. 92.106(b)(1)(ii) for the flywheel torque measurement device 
readout be met or exceeded.
    (iii) Other techniques may be used if shown to yield equivalent 
accuracy.
    (2) Speed calibration equipment. A 60 (or greater) tooth wheel in 
combination with a common mode rejection frequency counter is 
considered an absolute standard for engine or dynamometer speed.
    (c) Dynamometer calibration. (1) If necessary, follow the 
manufacturer's instructions for initial start-up and basic operating 
adjustments.
    (2) Check the dynamometer torque measurement for each range used by 
the following:
    (i) Warm up the dynamometer following the equipment manufacturer's 
specifications.

[[Page 19026]]

    (ii) Determine the dynamometer calibration moment arm. Equipment 
manufacturer's data, actual measurement, or the value recorded from the 
previous calibration used for this subpart may be used.
    (iii) Calculate the indicated torque (IT) for each calibration 
weight to be used by:

IT=calibration weight (lb) x calibration moment arm (ft)

    (iv) Attach each calibration weight specified in paragraph 
(b)(1)(i)(A) of this section to the moment arm at the calibration 
distance determined in paragraph (b)(2)(ii)(B) of this section. Record 
the power measurement equipment response (ft-lb) to each weight.
    (v) For each calibration weight, compare the torque value measured 
in paragraph (b)(2)(iv) of this section to the calculated torque 
determined in paragraph (b)(2)(iii) of this section.
    (vi) The measured torque must be within 2 percent of the calculated 
torque.
    (vii) If the measured torque is not within 2 percent of the 
calculated torque, adjust or repair the system. Repeat the steps in 
paragraphs (b)(2)(i) through (b)(2)(vi) of this section with the 
adjusted or repaired system.
    (3) Option. A master load-cell or transfer standard may be used to 
verify the in-use torque measurement system.
    (i) The master load-cell and read out system must be calibrated 
with weights at each test weight specified in paragraph (b)(1)(i)(A) of 
this section. The calibration weights must be traceable to within 0.1 
percent of NIST weights.
    (ii) Warm up the dynamometer following the equipment manufacturer's 
specifications.
    (iii) Attach the master load-cell and loading system.
    (iv) Load the dynamometer to a minimum of 6 equally spaced torque 
values as indicated by the master load-cell for each in-use range used.
    (v) The in-use torque measurement must be within 2 percent of the 
torque measured by the master system for each load used.
    (vi) If the in-use torque is not within 2 percent of the master 
torque, adjust or repair the system. Repeat steps in paragraphs 
(b)(3)(ii) through (b)(3)(vi) of this section with the adjusted or 
repaired system.
    (4) The dynamometer calibration must be completed within 2 hours 
from the completion of the dynamometer warm-up.
    (d) Electrical load banks. Equipment used to measure the electrical 
power output dissipated by electrical load banks shall be calibrated as 
frequently as required by Sec. 92.115, using a calibration procedure 
that is consistent with good engineering practice and approved by the 
Administrator.


Sec. 92.117  Gas meter or flow instrumentation calibration, particulate 
measurement.

    (a) Sampling for particulate emissions requires the use of gas 
meters or flow instrumentation to determine flow through the 
particulate filters. These instruments shall receive initial and 
monthly calibrations as follows:
    (1)(i) Install a calibration device in series with the instrument. 
A critical flow orifice, a bellmouth nozzle, or a laminar flow element 
or an NIST traceable flow calibration device is required as the 
standard device.
    (ii) The flow system should be checked for leaks between the 
calibration and sampling meters, including any pumps that may be part 
of the system, using good engineering practice.
    (2) Flow air through the calibration system at the sample flow rate 
used for particulate testing and at the backpressure which occurs 
during the sample test.
    (3) When the temperature and pressure in the system have 
stabilized, measure the indicated gas volume over a time period of at 
least five minutes or until a gas volume of at least 1 
percent accuracy can be determined by the standard device. Record the 
stabilized air temperature and pressure upstream of the instrument and 
as required for the standard device.
    (4) Calculate air flow at standard conditions as measured by both 
the standard device and the instrument(s).
    (5) Repeat the procedures of paragraphs (a)(2) through (4) of this 
section using at least two flow rates which bracket the typical 
operating range.
    (6) If the air flow at standard conditions measured by the 
instrument differs by 1.0 percent of the maximum operating 
range or 2.0 percent of the point (whichever is smaller), 
then a correction shall be made by either of the following two methods:
    (i) Mechanically adjust the instrument so that it agrees with the 
calibration measurement at the specified flow rates using the criteria 
of paragraph (a)(6) of this section; or
    (ii) Develop a continuous best fit calibration curve for the 
instrument (as a function of the calibration device flow measurement) 
from the calibration points to determine corrected flow. The points on 
the calibration curve relative to the calibration device measurements 
must be within 1.0 percent of the maximum operating range 
of 2.0 percent of the point through the filter.
    (b) Other systems. A bell prover may be used to calibrate the 
instrument if the procedure outlined in ANSI B109.1-1992 (incorporated 
by reference at Sec. 92.5) is used. Prior approval by the Administrator 
is not required to use the bell prover.


Sec. 92.118  Analyzer checks and calibrations.

    (a)(1) Prior to initial use and after major repairs, bench check 
each analyzer for compliance with the specifications of Sec. 92.109.
    (2) The periodic calibrations are required:
    (i) Leak check of the pressure side of the system (see paragraph 
(b) of this section). If the option described in paragraph (b)(2) of 
this section is used, a pressure leak check is not required.
    (ii) Calibration of all analyzers (see Secs. 92.119 through 
92.122).
    (iii) Check of the analysis system response time (see paragraph (c) 
of this section). If the option described in paragraph (c)(2) of this 
section is used, a response time check is not required.
    (b) Leak checks--(1) Vacuum side leak check. (i) Any location 
within the analysis system where a vacuum leak could affect the test 
results must be checked.
    (ii) The maximum allowable leakage rate on the vacuum side is 0.5 
percent of the in-use flow rate for the portion of the system being 
checked. the analyzer flows and bypass flows may be used to estimate 
the in-use flow rates.
    (iii) The sample probe and the connection between the sample probe 
and valve V2 may be excluded from the leak check.
    (2) Pressure side leak check. (i) The maximum allowable leakage 
rate on the pressure side in 5 percent of the in-use flow rate.
    (ii) Option: If the flow rate for each flow meter is equal to or 
greater than the flow rate recorded in paragraph (c)(2)(i) of this 
section, then a pressure side leak check is not required.
    (c) System response time; check procedure. (1) After any major 
change in the system, check the system response time by the following 
procedure:
    (i) Stabilize the operating temperature of the sample line, sample 
pump, and heated filters.
    (ii) Introduce an HC span gas into the sampling system at the 
sample probe or valve V2 at atmospheric pressure. Simultaneously, start 
the time measurement.
    (iii) When the HC instrument response is 95 percent of the span gas

[[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

[[Page 19029]]

Figure to Sec. 92.119
[GRAPHIC] [TIFF OMITTED] TR16AP98.005

BILLING CODE 6560-50-C

[[Page 19030]]

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

[[Page 19032]]

Figure to Sec. 92.121
[GRAPHIC] [TIFF OMITTED] TR16AP98.006

BILLING CODE 6560-50-C

[[Page 19033]]

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:
FID HCd=Concentration of hydrocarbons in dilute exhaust 
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.

    (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,

[[Page 19077]]

Engine Programs and Compliance Division. This label should:
    (i) Be affixed in a readily visible portion of the locomotive or 
locomotive engine;
    (ii) Be attached in such a manner that cannot be removed without 
destruction or defacement;
    (iii) State in the English language and in block letters and 
numerals of a color that contrasts with the background of the label, 
the following information:
    (A) The label heading ``Emission Control Information'';
    (B) Full corporate name and trademark of manufacturer or 
remanufacturer;
    (C) Engine displacement, engine family identification, and model 
year of engine; or person of office to be contacted for further 
information about the engine;
    (D) The statement ``This locomotive or locomotive engine is exempt 
from the prohibitions of 40 CFR 92.1103.''
    (4) No provision of paragraph (a)(3) of this section prevents a 
manufacturer or remanufacturer from including any other information it 
desires on the label.
    (5) The locomotive or locomotive engine is not used in revenue-
generating service, or sold.
    (b) Display exemption. An uncertified locomotive or locomotive 
engine that is to be used solely for display purposes, and that will 
only be operated incident and necessary to the display purpose, and 
will not be sold unless an applicable certificate of conformity has 
been obtained for the locomotive or engine, is exempt without request 
from the standards of this part.


Sec. 92.907  Non-locomotive-specific engine exemption.

    (a) For manufacturers selling non-locomotive-specific engines to be 
used as propulsion engines in remanufactured locomotives, such 
locomotives and engines are exempt, provided:
    (1) The engines are covered by a certificate of conformity issued 
under 40 CFR part 89;
    (2) More engines are reasonably projected to be sold and used under 
the certificate for non-locomotive use than for use in locomotives;
    (3) The number of such engines exempted under this paragraph (a) 
does not exceed 25 per manufacturer in any calendar year;
    (4) The Administrator has approved the exemption as specified in 
paragraph (e) of this section.
    (b) For manufacturers of freshly manufactured switch locomotives 
powered by non-locomotive-specific engines, such freshly manufactured 
switch locomotives are exempt, provided:
    (1) The engines are covered by a certificate of conformity issued 
under 40 CFR part 89;
    (2) More engines are reasonably projected to be sold and used under 
the certificate for non-locomotive use than for use in locomotives;
    (3) The number of such locomotives sold within any three-year 
period by the manufacturer, and exempted under this paragraph (b) does 
not exceed 15; and
    (4) The Administrator has approved the exemption as specified in 
paragraph (e) of this section.
    (c)(1) The remanufacture of locomotive engines that have been 
exempted under this section is exempt without request provided that the 
remanufacturer remanufactures them to a previously-certified 
configuration, or to be equivalent to engines that have been previously 
certified under this part or 40 CFR part 89.
    (2) The remanufacture of non-locomotive-specific engines that were 
used in locomotives prior to January 1, 2000 is exempt from the 
requirements of this part provided: The remanufacturer remanufactures 
them to be equivalent to engines that have been previously certified 
under this part or 40 CFR part 89, or demonstrates that the 
NOX emissions from the remanufactured locomotive engine are 
at least 40 percent less than its emissions prior to certification; and 
the Administrator has approved the exemption as specified in paragraph 
(e) of this section.
    (d) Manufacturers and remanufacturers of engines and/or locomotives 
exempted under this section shall:
    (1) Report annually to EPA the number of engines exempted under 
paragraph (a) of this section;
    (2) Report annually to EPA the number of locomotives exempted under 
paragraph (b) of this section; and
    (3) Upon the Administrator's request, provide test data showing the 
emissions of the engine or locomotive when it is operated at the actual 
in-use locomotive power points.
    (e)(1) Manufacturers and remanufacturers seeking an exemption under 
this section shall notify the Administrator of such intent at least 90 
days prior to selling or placing into service the locomotives or 
locomotive engines.
    (2) The Administrator shall deny a non-locomotive-specific 
exemption in any case where he/she has evidence that approving such an 
exemption would be inappropriate because of adverse environmental or 
economic impacts.
    (3) When denying an exemption, the Administrator shall notify the 
manufacturer or remanufacturer of EPA's decision to deny or consider 
denying the exemption within 60 days of the manufacturer's or 
remanufacturer's notification in paragraph (e)(1) of this section.
    (4) Unless the Administrator notifies the manufacturer or 
remanufacturer of EPA's decision to deny or consider denying the 
exemption within 60 days of the manufacturer's or remanufacturer's 
notification in paragraph (e)(1) of this section, the exemption shall 
be considered approved 90 days of the manufacturer's or 
remanufacturer's notification.


Sec. 92.908  National security exemption.

    A manufacturer or remanufacturer requesting a national security 
exemption must state the purpose for which the exemption is required 
and the request must be endorsed by an agency of the federal government 
charged with responsibility for national defense.


Sec. 92.909  Export exemptions.

    (a) A new locomotive or locomotive engine intended solely for 
export, and so labeled or tagged on the outside of any container, the 
locomotive and on the engine itself, is subject to the provisions of 
Sec. 92.1103, unless the importing country has new locomotive or new 
locomotive engine emission standards which differ from EPA standards.
    (b) For the purpose of paragraph (a) of this section, a country 
having no standards whatsoever is deemed to be a country having 
emission standards which differ from EPA standards.
    (c) It is a condition of any exemption for the purpose of export 
under paragraph (a) of this section, that such exemption is void ab 
initio with respect to a new locomotive or locomotive engine intended 
solely for export, where such locomotive or locomotive engine is sold, 
or offered for sale, to an ultimate purchaser or otherwise distributed 
or introduced into commerce in the United States for purposes other 
than export.


Sec. 92.910  Granting of exemptions.

    (a) If upon completion of the review of an exemption request made 
pursuant to Sec. 92.905 or Sec. 92.908, EPA determines it is 
appropriate to grant such an exemption, a memorandum of exemption is to 
be prepared and submitted to the person requesting the exemption. The 
memorandum is to set forth the basis for the exemption, its scope, and 
such terms and conditions as are deemed necessary. Such terms and

[[Page 19078]]

conditions generally include, but are not limited to, agreements by the 
applicant to conduct the exempt activity in the manner described to 
EPA, create and maintain adequate records accessible to EPA at 
reasonable times, employ labels for the exempt locomotives or engines 
setting forth the nature of the exemption, take appropriate measures to 
assure that the terms of the exemption are met, and advise EPA of the 
termination of the activity and the ultimate disposition of the 
locomotives or engines.
    (b) Any exemption granted pursuant to paragraph (a) of this section 
is deemed to cover any subject locomotive or engine only to the extent 
that the specified terms and conditions are complied with. A breach of 
any term or condition causes the exemption to be void ab initio with 
respect to any locomotive or engine. Consequently, the causing or the 
performing of an act prohibited under Sec. 92.1103(a)(1) or (a)(3), 
other than in strict conformity with all terms and conditions of this 
exemption, renders the person to whom the exemption is granted, and any 
other person to whom the provisions of Sec. 92.1103(a) are applicable, 
liable to suit under sections 204 and 205 of the Act.


Sec. 92.911  Submission of exemption requests.

    Requests for exemption or further information concerning exemptions 
and/or the exemption request review procedure should be addressed 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.

Subpart K--Requirements Applicable to Owners and Operators of 
Locomotives and Locomotive Engines


Sec. 92.1001  Applicability.

    The requirements of this subpart are applicable to railroads and 
all other owners and operators of locomotives and locomotive engines 
subject to the provisions of subpart A of this part, except as 
otherwise specified.


Sec. 92.1002  Definitions.

    The definitions of subpart A of this part apply to this subpart.


Sec. 92.1003  In-use testing program.

    (a) Applicability. This section applies to all Class I freight 
railroads, beginning on January 1, 2005.
    (b) Testing requirements. Each railroad subject to the provisions 
of this section shall annually test a sample of locomotives in its 
fleet. For the purpose of this section, a railroad's fleet includes 
both the locomotives that it owns and the locomotives that it is 
leasing.
    (1)(i) Except as specified in paragraphs (b)(1)(ii) and (iii) of 
this section, the number of locomotives to be tested shall be at least 
0.15 percent of the average number of locomotives in the railroad's 
fleet during the previous calendar year (i.e., the number tested shall 
be 0.0015 multiplied by the number of locomotives in the fleet, rounded 
up to the next whole number).
    (ii) After December 31, 2015, the number of locomotives to be 
tested by railroads with 500 or more locomotives shall be at least 0.10 
percent of the average number of locomotives in the railroad's fleet 
during the previous calendar year (i.e., the number tested shall be 
0.0010 multiplied by the number of locomotives in the fleet, rounded up 
to the next whole number). After December 31, 2015, the number of 
locomotives to be tested by railroads with fewer than 500 locomotives 
shall be zero. The provisions of this paragraph (b)(1)(ii) apply only 
when:
    (A) No new locomotive emission standards have taken effect during 
the previous 5 years;
    (B) Locomotive emission controls have not changed fundamentally, 
during the previous 5 years, in any manner that could reasonably be 
expected to have the potential to significantly affect emissions 
durability; and
    (C) Testing during the previous 5 years has shown, to the 
satisfaction of the Administrator, that the degree of noncompliance for 
tested locomotives is low enough that the higher rate of testing 
specified in paragraph (b)(1)(i) of this section is not needed.
    (iii) The Administrator may allow a railroad to perform a smaller 
number of tests than specified in paragraphs (b)(1)(i) or (ii) of this 
section, where he/she determines that the number of tests specified in 
paragraphs (b)(1)(i) or (ii) of this section is not necessary.
    (2) Testing shall be performed according to the test procedures in 
subpart B of this part, unless otherwise approved by the Administrator.
    (c) Test locomotive selection. (1)(i) A representative sample of 
locomotives shall be randomly selected for testing.
    (ii) Unless otherwise specified by the Administrator, the selection 
shall be made by the railroad.
    (iii) The railroad shall select locomotives from each manufacturer 
and remanufacturer, and from each tier level (e.g., Tier 0, Tier 1 and 
Tier 2) in proportion to their numbers in the railroad's fleet, except 
where specified or allowed otherwise by the Administrator.
    (iv) Locomotives tested during the previous year shall be excluded 
from the sample.
    (v) Locomotives may not be excluded from the sample because of 
visible smoke, a history of durability problems, or other evidence of 
malmaintenance.
    (2)(i) Locomotives selected for testing according to the provisions 
of this section shall have been certified in compliance with 
requirements in subpart A of this part, and shall have been operated 
for at least 100 percent of their useful lives.
    (ii) Where the number of locomotives that have been operated for at 
least 100 percent of their useful lives is not large enough to fulfill 
the testing requirement, locomotives still within their useful lives 
shall be tested. In this case, the locomotives must have been operated 
longer than at least 80 percent of the locomotives in the railroad's 
fleet.
    (3) Where specified by the Administrator, the railroad shall test 
specified locomotives in its fleet, including locomotives that do not 
meet the criteria specified in paragraph (c)(2) of this section.
    (d) Reporting requirements. All testing done in compliance with the 
provisions of this section shall be reported to EPA within thirty 
calendar days of the end of each year. At a minimum, each report shall 
contain the following:
    (1) Full corporate name and address of the railroad providing the 
report.
    (2) For each locomotive tested, the following:
    (i) Corporate name of the manufacturer and last remanufacturer(s) 
(including both certificate holder and installer, where different) of 
the locomotive, and the corporate name of the manufacturer or last 
remanufacturer(s) of the engine if different than that of the 
manufacturer or remanufacturer(s) of the locomotive;
    (ii) Year, and if known month of original manufacture of the 
locomotive and the engine, and the manufacturer's model designation of 
the locomotive and manufacturer's model designation of the engine, and 
the locomotive identification number;
    (iii) Year, and if known month that the engine last underwent 
remanufacture, and the engine remanufacturer's designation which either 
reflects, or most closely reflects, the engine after the last 
remanufacture, and the engine family identification;
    (iv) The number of MW-hrs and miles (where available) the 
locomotive has been operated since its last remanufacture; and
    (v) The emission test results for all measured pollutants.

[[Page 19079]]

    (e) Any railroad that performed no emission testing during a given 
year is exempt from the reporting requirements described in paragraph 
(d) of this section for that year.
    (f) In lieu of some or all of the test data required by this 
section, railroads may submit equivalent emission data collected for 
other purposes. The Administrator may also allow emission data 
collected using other testing or sampling procedures to be submitted in 
lieu of some or part of the data required by this section with advance 
approval.
    (g) All reports submitted to EPA in compliance with the provisions 
of this subpart must be addressed to: Group Manager, Engine Compliance 
Programs Group, Engine Programs and Compliance Division 6403-J, 
Environmental Protection Agency, 401 M St., S.W., Washington, D.C. 
20460.


Sec. 92.1004  Maintenance and repair.

    (a) Unless otherwise approved by the Administrator, all owners of 
locomotives subject to the provisions of this part shall ensure that 
all emission-related maintenance is performed on the locomotives, as 
specified in the maintenance instructions provided by the certifying 
manufacturer or remanufacturer in compliance with Sec. 92.211 (or 
maintenance that is equivalent to the maintenance specified by the 
certifying manufacturer or remanufacturer in terms of maintaining 
emissions performance).
    (b) Unless otherwise approved by the Administrator, all maintenance 
and repair of locomotives and locomotive engines subject to the 
provisions of this part performed by any owner, operator or other 
maintenance provider, including maintenance that is not covered by 
paragraph (a) of this section, shall be performed, using good 
engineering judgement, in such a manner that the locomotive or 
locomotive engine continues (after the maintenance or repair) to the 
meet the emission standards or family emission limits (as applicable) 
it was certified as meeting prior to the need for maintenance or 
repair.
    (c) The owner of the locomotive shall maintain records of all 
maintenance and repair that could reasonably affect the emission 
performance of any locomotive or locomotive engine subject to the 
provision of this part.


Sec. 92.1005  In-use locomotives.

    (a)(1) Any Class I railroad subject to the provisions of this 
subpart shall supply to the Administrator, upon request, in-use 
locomotives, selected by the Administrator. The number of locomotives 
which the Administrator requests under this paragraph (a)(1) shall not 
exceed five locomotives per railroad per calendar year. These 
locomotives or engines shall be supplied for testing at such reasonable 
time and place and for such reasonable periods as the Administrator may 
require. The Administrator shall make reasonable allowances to the 
railroad to schedule the supply of locomotives for testing in such a 
manner that it minimizes disruption of its operational schedule.
    (2) Any non-Class I railroad or other entity subject to the 
provisions of this subpart shall supply to the Administrator, upon 
request, in-use locomotives, selected by the Administrator. The number 
of locomotives which the Administrator requests under this paragraph 
(a)(2) shall not exceed two locomotives per railroad (or other entity) 
per calendar year. These locomotives or engines shall be supplied for 
testing at such reasonable time and place and for such reasonable 
periods as the Administrator may require. The Administrator shall make 
reasonable allowances to the railroad or other entity to schedule the 
supply of locomotives for testing in such a manner that it minimizes 
disruption of its operational schedule. The Administrator shall request 
locomotives under this paragraph (a)(2) only for purposes which cannot 
be accomplished using locomotives supplied under paragraph (a)(1) of 
this section.
    (b) Any railroad or other entity subject to the provisions of this 
subpart shall make reasonable efforts to supply manufacturers and 
remanufacturers of locomotives and locomotive engines with the test 
locomotives and locomotive engines needed to fulfill the in-use testing 
requirements contained in subpart G of this part.


Sec. 92.1006  Refueling requirements.

    (a) Refueling equipment used by a locomotive operator for 
locomotives fueled with a volatile fuel shall be designed in such a 
manner so as not to render inoperative or reduce the effectiveness of 
the controls on the locomotive that are intended to minimize the escape 
of fuel vapors.
    (b) Hoses used to refuel gaseous-fueled locomotives shall not be 
designed to be bled or vented to the atmosphere under normal operating 
conditions.

Subpart L--General Enforcement Provisions and Prohibited Acts


Sec. 92.1101  Applicability.

    The requirements of this subpart are applicable to all 
manufacturers, remanufacturers, owners and operators of locomotives and 
locomotive engines subject to the provisions of subpart A of this part.


Sec. 92.1102  Definitions.

    The definitions of subpart A of this part apply to this subpart.


Sec. 92.1103  Prohibited acts.

    (a) The following acts and the causing thereof are prohibited:
    (1)(i)(A) In the case of a manufacturer or remanufacturer of new 
locomotives or new locomotive engines, the sale, the offering for sale, 
the introduction into commerce, the delivery for introduction into 
commerce, or the distribution in commerce of any new locomotive or new 
locomotive engine manufactured or remanufactured after the effective 
date of applicable emission standards under this part, unless such 
locomotive or locomotive engine is covered by a certificate of 
conformity issued (and in effect) under regulations found in this part. 
(Introduction into commerce includes placement of a new locomotive or 
new locomotive engine back into service following remanufacturing.)
    (B) The manufacture or remanufacture of a locomotive or locomotive 
engine for the purpose of an act listed in paragraph (a)(1)(i)(A) of 
this section unless such locomotive or locomotive engine is covered by 
a certificate of conformity issued (and in effect) under regulations 
found in this part prior to its introduction into commerce.
    (ii) In the case of any person, except as provided in Subpart I of 
this part, the importation into the United States of any locomotive or 
locomotive engine manufactured or remanufactured after June 15, 1998, 
unless such locomotive or locomotive engine is covered by a certificate 
of conformity issued (and in effect) under regulations found in this 
part.
    (2)(i) For a person to fail or refuse to permit access to or 
copying of records or to fail to make reports or provide information 
required under this part.
    (ii) For a person to fail or refuse to permit entry, testing, or 
inspection authorized under this part.
    (iii) For a person to fail or refuse to perform tests, or to have 
tests performed as required by this part.
    (iv) For a person to fail to establish or maintain records as 
required under this part.
    (3)(i) For a person to remove or render inoperative a device or 
element of

[[Page 19080]]

design installed on or in a locomotive or locomotive engine in 
compliance with regulations under this part, or to set any adjustable 
parameter to a setting outside of the range specified by the 
manufacturer or remanufacturer, as approved in the application for 
certification by the Administrator.
    (ii) For a person to manufacture, remanufacture, sell or offer to 
sell, or install, a part or component intended for use with, or as part 
of, a locomotive or locomotive engine, where a principal effect of the 
part or component is to bypass, defeat, or render inoperative a device 
or element of design installed on or in a locomotive or locomotive 
engine in compliance with regulations issued under this part, and where 
the person knows or should know that the part or component is being 
offered for sale or installed for this use or put to such use.
    (iii) For a locomotive owner or operator to fail to comply with the 
maintenance and repair requirements of Sec. 92.1004.
    (4) For a manufacturer or a remanufacturer of a new locomotive or 
locomotive engine subject to standards prescribed under this part:
    (i) To sell, offer for sale, or introduce or deliver for 
introduction into commerce, a new locomotive or new locomotive engine 
unless the manufacturer or remanufacturer has complied with the 
requirements of Sec. 92.1107.
    (ii) To sell, offer for sale, or introduce or deliver for 
introduction into commerce, a new locomotive or new locomotive engine 
unless all required labels and tags are affixed to the engine in 
accordance with Sec. 92.212.
    (iii) To fail or refuse to comply with the requirements of 
Sec. 92.1108.
    (iv) Except as provided in Sec. 92.211, to provide directly or 
indirectly in any communication to the ultimate purchaser or a 
subsequent purchaser that the coverage of a warranty under the Act is 
conditioned upon use of a part, component, or system manufactured by 
the manufacturer or remanufacturer or a person acting for the 
manufacturer or remanufacturer or under its control, or conditioned 
upon service performed by such persons.
    (v) To fail or refuse to comply with the terms and conditions of 
the warranty under Sec. 92.1107.
    (5) For a manufacturer or remanufacturer of locomotives to 
distribute in commerce, sell, offer for sale, or deliver for 
introduction into commerce new locomotives (including all locomotives 
which contain a new engine) not covered by a certificate of conformity.
    (b) For the purposes of enforcement of this part, the following 
apply:
    (1) Nothing in paragraph (a)(3) of this section is to be construed 
to require the use of any manufacturer's or remanufacturer's parts in 
maintaining or repairing a locomotive or locomotive engine.
    (2) Actions for the purpose of repair or replacement of a device or 
element of design or any other item are not considered prohibited acts 
under paragraph (a)(3)(i) of this section if the action is a necessary 
and temporary procedure, the device or element is replaced upon 
completion of the procedure, and the action results in the proper 
functioning of the device or element of design.
    (3) Actions for the purpose of remanufacturing a locomotive are not 
considered prohibited acts under paragraph (a)(3)(i) of this section if 
the new remanufactured locomotive is covered by a certificate of 
conformity and complies with all applicable requirements of this part.


Sec. 92.1104  General enforcement provisions.

    (a) Information collection provisions. (1)(i) Every manufacturer or 
remanufacturer of new locomotives and/or new locomotive engines and 
other persons subject to the requirements of this part must establish 
and maintain records, perform tests, make reports and provide 
information the Administrator may reasonably require to determine 
whether the manufacturer or remanufacturer or other person has acted or 
is acting in compliance with this part or to otherwise carry out the 
provisions of this part, and must, upon request of an officer or 
employee duly designated by the Administrator, permit the officer or 
employee at reasonable times to have access to and copy such records. 
The manufacturer or remanufacturer shall comply in all respects with 
the requirements of subpart E of this part.
    (ii) Every manufacturer, remanufacturer, owner, or operator of 
locomotives or locomotive engines exempted from the standards or 
requirements of this part must establish and maintain records, perform 
tests, make reports and provide information the Administrator may 
reasonably require regarding the emissions of such locomotives or 
locomotive engines.
    (2) For purposes of enforcement of this part, an officer or 
employee duly designated by the Administrator, upon presenting 
appropriate credentials, is authorized:
    (i) To enter, at reasonable times, any establishment of the 
manufacturer or remanufacturer, or of any person whom the manufacturer 
or remanufacturer engaged to perform any activity required under 
paragraph (a)(1) of this section, for the purposes of inspecting or 
observing any activity conducted pursuant to paragraph (a)(1) of this 
section; and
    (ii) To inspect records, files, papers, processes, controls, and 
facilities used in performing an activity required by paragraph (a)(1) 
of this section, by the manufacturer or remanufacturer or by a person 
whom the manufacturer or remanufacturer engaged to perform the 
activity.
    (b) Exemption provision. The Administrator may exempt a new 
locomotive or new locomotive engine from Sec. 92.1103 upon such terms 
and conditions as the Administrator may find necessary for the purpose 
of export, research, investigations, studies, demonstrations, or 
training, or for reasons of national security, or for other purposes 
allowed by subpart J of this part.
    (c) Importation provision. (1) A new locomotive or locomotive 
engine, offered for importation or imported by a person in violation of 
Sec. 92.1103 is to be refused admission into the United States, but the 
Secretary of the Treasury and the Administrator may, by joint 
regulation, provide for deferring a final determination as to admission 
and authorizing the delivery of such a locomotive or locomotive engine 
offered for import to the owner or consignee thereof upon such terms 
and conditions (including the furnishing of a bond) as may appear to 
them appropriate to insure that the locomotive or locomotive engine 
will be brought into conformity with the standards, requirements, and 
limitations applicable to it under this part.
    (2) If a locomotive or locomotive engine is finally refused 
admission under this paragraph (c), the Secretary of the Treasury shall 
cause disposition thereof in accordance with the customs laws unless it 
is exported, under regulations prescribed by the Secretary, within 90 
days of the date of notice of the refusal or additional time as may be 
permitted pursuant to the regulations.
    (3) Disposition in accordance with the customs laws may not be made 
in such manner as may result, directly or indirectly, in the sale, to 
the ultimate consumer, of a new locomotive or locomotive engine that 
fails to comply with applicable standards of the Administrator under 
this part.
    (d) Export provision. A new locomotive or locomotive engine 
intended solely for export, and so labeled or tagged on the outside of 
the container if used and on the engine,

[[Page 19081]]

shall be subject to the provisions of Sec. 92.1103, except that if the 
country that is to receive the locomotive or locomotive engine has 
emission standards that differ from the standards prescribed under 
subpart A of this part, then the locomotive or locomotive engine must 
comply with the standards of the country that is to receive the 
locomotive or locomotive engine.
    (e) Recordkeeping. Except where specified otherwise, records 
required by this part must be kept for eight (8) years.


Sec. 92.1105  Injunction proceedings for prohibited acts.

    (a) The district courts of the United States have jurisdiction to 
restrain violations of Sec. 92.1103(a).
    (b) Actions to restrain violations of Sec. 92.1103(a) must be 
brought by and in the name of the United States. In an action, 
subpoenas for witnesses who are required to attend a district court in 
any district may run into any other district.


Sec. 92.1106  Penalties.

    (a) Violations. A violation of the requirements of this subpart is 
a violation of the applicable provisions of the Act, including sections 
213(d) and 203, and is subject to the penalty provisions thereunder.
    (1) A person who violates Sec. 92.1103(a)(1), (a)(4), or (a)(5), or 
a manufacturer, remanufacturer, dealer or railroad who violates 
Sec. 92.1103(a)(3)(i) or (iii) is subject to a civil penalty of not 
more than $25,000 for each violation unless modified by the Debt 
Collection Improvement Act (31 U.S.C. 3701 et seq.) and/or regulations 
issued thereunder.
    (2) A person other than a manufacturer, remanufacturer, dealer, or 
railroad who violates Sec. 92.1103(a)(3)(i) or any person who violates 
Sec. 92.1103(a)(3)(ii) is subject to a civil penalty of not more than 
$2,500 for each violation unless modified by the Debt Collection 
Improvement Act and/or regulations issued thereunder.
    (3) A violation with respect to Sec. 92.1103(a)(1), (a)(3)(i), 
(a)(3)(iii), (a)(4), or (a)(5) constitutes a separate offense with 
respect to each locomotive or locomotive engine.
    (4) A violation with respect to Sec. 92.1103(a)(3)(ii) constitutes 
a separate offense with respect to each part or component. Each day of 
a violation with respect to Sec. 92.1103(a)(5) constitutes a separate 
offense.
    (5) A person who violates Sec. 92.1103(a)(2) or (a)(5) is subject 
to a civil penalty of not more than $25,000 per day of violation unless 
modified by the Debt Collection Improvement Act and/or regulations 
issued thereunder.
    (b) Civil actions. The Administrator may commence a civil action to 
assess and recover any civil penalty under paragraph (a) of this 
section.
    (1) An action under this paragraph (b) may be brought in the 
district court of the United States for the district in which the 
defendant resides or has the Administrator's principal place of 
business, and the court has jurisdiction to assess a civil penalty.
    (2) In determining the amount of a civil penalty to be assessed 
under this paragraph (b), the court is to take into account the gravity 
of the violation, the economic benefit or savings (if any) resulting 
from the violation, the size of the violator's business, the violator's 
history of compliance with Title II of the Act, action taken to remedy 
the violation, the effect of the penalty on the violator's ability to 
continue in business, and such other matters as justice may require.
    (3) In any such action, subpoenas for witnesses who are required to 
attend a district court in any district may run into any other 
district.
    (c) Administrative assessment of certain penalties. (1) 
Administrative penalty authority. In lieu of commencing a civil action 
under paragraph (b) of this section, the Administrator may assess any 
civil penalty prescribed in paragraph (a) of this section, except that 
the maximum amount of penalty sought against each violator in a penalty 
assessment proceeding shall not exceed $200,000, unless the 
Administrator and the Attorney General jointly determine that a matter 
involving a larger penalty amount is appropriate for administrative 
penalty assessment. Any such determination by the Administrator and the 
Attorney General is not subject to judicial review. Assessment of a 
civil penalty shall be by an order made on the record after opportunity 
for a hearing held in accordance with the procedures found at part 22 
of this chapter. The Administrator may compromise, or remit, with or 
without conditions, any administrative penalty which may be imposed 
under this section.
    (2) Determining amount. In determining the amount of any civil 
penalty assessed under this paragraph (c), the Administrator shall take 
into account the gravity of the violation, the economic benefit or 
savings (if any) resulting from the violation, the size of the 
violator's business, the violator's history of compliance with Title II 
of the Act, action taken to remedy the violation, the effect of the 
penalty on the violator's ability to continue in business, and such 
other matters as justice may require.
    (3) Effect of administrator's action. (i) Action by the 
Administrator under this paragraph (c) does not affect or limit the 
Administrator's authority to enforce any provisions of the Act; except 
that any violation with respect to which the Administrator has 
commenced and is diligently prosecuting an action under this paragraph 
(c), or for which the Administrator has issued a final order not 
subject to further judicial review and for which the violator has paid 
a penalty assessment under this paragraph shall not be the subject of a 
civil penalty action under paragraph (b) of this section.
    (ii) No action by the Administrator under this paragraph (c) shall 
affect a person's obligation to comply with a section of this part.
    (4) Finality of order. An order issued under this paragraph (c) is 
to become final 30 days after its issuance unless a petition for 
judicial review is filed under paragraph (c)(5) of this section.
    (5) Judicial review. A person against whom a civil penalty is 
assessed in accordance with this paragraph (c) may seek review of the 
assessment in the United States District Court for the District of 
Columbia or for the district in which the violation is alleged to have 
occurred, in which such person resides, or where the person's principal 
place of business is located, within the 30-day period beginning on the 
date a civil penalty order is issued. The person shall simultaneously 
send a copy of the filing by certified mail to the Administrator and 
the Attorney General. The Administrator shall file in the court within 
30 days a certified copy, or certified index, as appropriate, of the 
record on which the order was issued. The court is not to set aside or 
remand any order issued in accordance with the requirements of this 
paragraph (c) unless substantial evidence does not exist in the record, 
taken as a whole, to support the finding of a violation or unless the 
Administrator's assessment of the penalty constitutes an abuse of 
discretion, and the court is not to impose additional civil penalties 
unless the Administrator's assessment of the penalty constitutes an 
abuse of discretion. In any proceedings, the United States may seek to 
recover civil penalties assessed under this section.
    (6) Collection. (i) If any person fails to pay an assessment of a 
civil penalty imposed by the Administrator as provided in this part 
after the order making the assessment has become final or after a court 
in an action brought under paragraph (c)(5) of this section has entered 
a final judgment in favor of

[[Page 19082]]

the Administrator, the Administrator shall request that the Attorney 
General bring a civil action in an appropriate district court to 
recover the amount assessed (plus interest at rates established 
pursuant to section 6621(a)(2) of the Internal Revenue Code of 1986 (26 
U.S.C. 6621(a)(2)) from the date of the final order or the date of 
final judgment, as the case may be). In such an action, the validity, 
amount, and appropriateness of the penalty is not subject to review.
    (ii) A person who fails to pay on a timely basis the amount of an 
assessment of a civil penalty as described in paragraph (c)(6)(i) of 
this section shall be required to pay, in addition to that amount and 
interest, the United States' enforcement expenses, including attorney's 
fees and costs for collection proceedings, and a quarterly nonpayment 
penalty for each quarter during which the failure to pay persists. The 
nonpayment penalty is an amount equal to ten percent of the aggregate 
amount of that person's penalties and nonpayment penalties which are 
unpaid as of the beginning of such quarter.


Sec. 92.1107  Warranty provisions.

    (a) The manufacturer or remanufacturer of each locomotive or 
locomotive engine must warrant to the ultimate purchaser and each 
subsequent purchaser or owner that the locomotive or locomotive engine 
is designed, built, and equipped so as to conform at the time of sale 
or time of return to service following remanufacture with applicable 
regulations under section 213 of the Act, and is free from defects in 
materials and workmanship which cause such locomotive or locomotive 
engine to fail to conform with applicable regulations for its warranty 
period (as determined under Sec. 92.10).
    (b) For the purposes of this section, the owner of any locomotive 
or locomotive engine warranted under this part is responsible for the 
proper maintenance of the locomotive and the locomotive engine. Proper 
maintenance includes replacement and/or service, as needed, at the 
owner's expense at a service establishment or facility of the owner's 
choosing, of all parts, items, or devices which were in general use 
with locomotives or locomotive engines prior to 1999. For diesel 
engines, this would generally include replacement or cleaning of the 
fuel delivery and injection system.


Sec. 92.1108  In-use compliance provisions.

    (a) Effective with respect to locomotives and locomotive engines 
subject to the requirements of this part:
    (1) If the Administrator determines that a substantial number of 
any class or category of locomotives or locomotive engines, although 
properly maintained and used, do not conform to the regulations 
prescribed under section 213 of the Act when in actual use throughout 
their useful life period (as defined under Sec. 92.2), the 
Administrator shall immediately notify the manufacturer or 
remanufacturer of such nonconformity and require the manufacturer or 
remanufacturer to submit a plan for remedying the nonconformity of the 
locomotives or locomotive engines with respect to which such 
notification is given.
    (i) The manufacturer's or remanufacturer's plan shall provide that 
the nonconformity of any such locomotives or locomotive engines which 
are properly used and maintained will be remedied at the expense of the 
manufacturer or remanufacturer.
    (ii) If the manufacturer or remanufacturer disagrees with such 
determination of nonconformity and so advises the Administrator, the 
Administrator shall afford the manufacturer or remanufacturer and other 
interested persons an opportunity to present their views and evidence 
in support thereof at a public hearing. Unless, as a result of such 
hearing, the Administrator withdraws such 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 in accordance with 
paragraph (a)(2) of this section. The manufacturer or remanufacturer 
shall comply in all respects with the requirements of subpart G of this 
part.
    (2) Any notification required to be given by the manufacturer or 
remanufacturer under paragraph (a)(1) of this section with respect to 
any class or category of locomotives or locomotive engines shall be 
given to ultimate purchasers, subsequent purchasers (if known), and 
dealers (as applicable) in such manner and containing such information 
as required in Subparts E and H of this part.
    (3)(i) The certifying manufacturer or remanufacturer shall furnish 
with each new locomotive or locomotive engine written instructions for 
the proper maintenance and use of the engine by the ultimate purchaser 
as required under Sec. 92.211.
    (ii) The instruction under paragraph (a)(3)(i) of this section must 
not include any condition on the ultimate purchaser'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 must not 
directly or indirectly distinguish between service performed by the 
franchised dealers of such manufacturer or remanufacturer, or 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 with which such 
manufacturer or remanufacturer has no commercial relationship.
    (iii) The prohibition of paragraph (a)(3)(ii) of this section may 
be waived by the Administrator if:
    (A) 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 
engine; and
    (B) The Administrator finds that such a waiver is in the public 
interest.
    (iv) In addition, the manufacturer or remanufacturer shall indicate 
by means of a label or tag permanently affixed to the locomotive and to 
the engine that the locomotive and/or the locomotive engine is covered 
by a certificate of conformity issued for the purpose of assuring 
achievement of emission standards prescribed under section 213 of the 
Act. This label or tag shall also contain information relating to 
control of emissions as prescribed under Sec. 92.212.
    (b) The manufacturer or remanufacturer bears all cost obligation 
any dealer incurs as a result of a requirement imposed by paragraph (a) 
of this section. The transfer of any such cost obligation from a 
manufacturer or remanufacturer to a dealer through franchise or other 
agreement is prohibited.
    (c) If a manufacturer or remanufacturer includes in an 
advertisement a statement respecting the cost or value of emission 
control devices or systems, the manufacturer or remanufacturer shall 
set forth in the statement the cost or value attributed to these 
devices or systems by the Secretary of Labor (through the Bureau of 
Labor Statistics). The Secretary of Labor, and his or her 
representatives, has the same access for this purpose to the books, 
documents, papers, and records of a manufacturer or remanufacturer as 
the Comptroller General has to those of a recipient of

[[Page 19083]]

assistance for purposes of section 311 of the Act.

Appendices to Part 92

Appendix I to Part 92--Emission Related Locomotive and Engine 
Parameters and Specifications

I. Basic Engine Parameters--Reciprocating Engines.
    1. Compression ratio.
    2. Type of air aspiration (natural, Roots blown, supercharged, 
turbocharged).
    3. Valves (intake and exhaust).
    a. Head diameter dimension.
    b. Valve lifter or actuator type and valve lash dimension.
    4. Camshaft timing.
    a. Valve opening--intake exhaust (degrees from TDC or BDC).
    b. Valve closing--intake exhaust (degrees from TDC or BDC).
    c. Valve overlap (degrees).
    5. Ports--two stroke engines (intake and/or exhaust).
    a. Flow area.
    b. Opening timing (degrees from TDC or BDC).
    c. Closing timing (degrees from TDC or BDC).
II. Intake Air System.
    1. Roots blower/supercharger/turbocharger calibration.
    2. Charge air cooling.
    a. Type (air-to-air; air-to-liquid).
    b. Type of liquid cooling (engine coolant, dedicated cooling 
system).
    c. Performance (charge air delivery temperature ( deg.F) at 
rated power and one other power level under ambient conditions of 80 
 deg.F and 110  deg.F, and 3 minutes and 15 minutes after selecting 
rated power, and 3 minutes and 5 minutes after selecting other power 
level).
    3. Temperature control system calibration.
    4. Maximum allowable inlet air restriction.
III. Fuel System.
    1. General.
    a. Engine idle speed.
    2. Carburetion.
    a. Air-fuel flow calibration.
    b. Idle mixture.
    c. Transient enrichment system calibration.
    d. Starting enrichment system calibration.
    e. Altitude compensation system calibration.
    f. Hot idle compensation system calibration.
    3. Fuel injection--non-compression ignition engines.
    a. Control parameters and calibrations.
    b. Idle mixture.
    c. Fuel shutoff system calibration.
    d. Starting enrichment system calibration.
    e. Transient enrichment system calibration.
    f. Air-fuel flow calibration.
    g. Altitude compensation system calibration.
    h. Operating pressure(s).
    i. Injector timing calibration.
    4. Fuel injection--compression ignition engines.
    a. Control parameters and calibrations.
    b. Transient enrichment system calibration.
    c. Air-fuel flow calibration.
    d. Altitude compensation system calibration.
    e. Operating pressure(s).
    f. Injector timing calibration.
IV. Ignition System--non-compression ignition engines.
    1. Control parameters and calibration.
    2. Initial timing setting.
    3. Dwell setting.
    4. Altitude compensation system calibration.
    5. Spark plug voltage.
V. Engine Cooling System.
    1. Thermostat calibration.
VI. Exhaust System.
    1. Maximum allowable back pressure.
VII. Exhaust Emission Control System.
    1. Air injection system.
    a. Control parameters and calibrations.
    b. Pump flow rate.
    2. EGR system.
    a. Control parameters and calibrations.
    b. EGR valve flow calibration.
    3. Catalytic converter system.
    a. Active surface area.
    b. Volume of catalyst.
    c. Conversion efficiency.
    4. Backpressure.
VIII. Crankcase Emission Control System.
    1. Control parameters and calibrations.
    2. Valve calibrations.
IX. Auxiliary Emission Control Devices (AECD).
    1. Control parameters and calibrations.
    2. Component calibration(s).
X. Evaporative Emission Control System.
    1. Control parameters and calibrations.
    2. Fuel tank. a. Volume.
    b. Pressure and vacuum relief settings.

Appendix II to Part 92--Interpretive Ruling for Sec. 92.705--
Remedial Plans

    The following is an interpretive ruling set forth previously by 
EPA for on-highway vehicles. EPA expects to apply the same 
principles to locomotives.
    (1) The purpose of this ruling is to set forth EPA's 
interpretation regarding one aspect of a motor vehicle or motor 
vehicle engine manufacturer's recall liability under section 
207(c)(1) of the Clean Air Act, 42 U.S.C. 7641(c)(1). This ruling 
will provide guidance to vehicle and engine manufacturers to better 
enable them to submit acceptable remedial plans.
    (2) Section 207(c)(1) requires the Administrator to base a 
recall order on a determination that a substantial number of in-use 
vehicles or engines within a given class or category of vehicles or 
engines, although properly maintained and used, fail to conform to 
the regulations prescribed under section 202 when in actual use 
throughout their useful lives. After making such a determination, he 
shall require the manufacturer to submit a plan to remedy the 
nonconformity of any such vehicles or engines. The plan shall 
provide that the manufacturer will remedy, at the manufacturer's 
expense, all properly maintained and used vehicles which experienced 
the nonconformity during their useful lives regardless of their age 
or mileage at the time of repair.

Appendix III to Part 92--Smoke Standards for Non-Normalized 
Measurements

                    Table III-1.--Equivalent Smoke Standards for Non-Normalized Measurements                    
----------------------------------------------------------------------------------------------------------------
                  Path length                                               Standards                           
----------------------------------------------------------------------------------------------------------------
             If the path length is:                              Then the opacity may not exceed:               
----------------------------------------------------------------------------------------------------------------
                                                           Peak                         Steady-State            
              cm                    inches      ----------------------------------------------------------------
                                                    3-sec        30-sec       Tier 0       Tier 1       Tier 2  
----------------------------------------------------------------------------------------------------------------
10.0-19.9....................  3.94-7.86.......            7            5            4            3            2
20.0-29.9....................  7.87-11.80......           13           10            7            6            4
30.0-39.9....................  11.81-15.74.....           19           14           10            8            6
40.0-49.9....................  15.75-19.68.....           24           18           13           11            9
50.0-59.9....................  19.69-23.61.....           29           23           16           13           11
60.0-69.9....................  23.62-27.55.....           34           26           19           16           13
70.0-79.9....................  27.56-31.49.....           38           30           22           18           14
80.0-89.9....................  31.50-35.42.....           43           34           25           21           16
90.0-99.9....................  35.43-39.36.....           46           37           27           23           18
100.0-109.9..................  39.37-43.30.....           50           40           30           25           20
110.0-119.9..................  43.31-47.23.....           53           43           32           27           22
120.0-129.9..................  47.24-51.17.....           56           46           35           29           23
130.0-139.9..................  51.18-55.11.....           59           49           37           31           25
140.0-149.9..................  55.12-59.05.....           62           51           39           33           27
150.0-159.9..................  59.06-62.98.....           65           54           41           35           28

[[Page 19084]]

                                                                                                                
160.0-169.9..................  62.99-66.92.....           67           56           43           37           30
170.0-179.9..................  66.93-70.86.....           69           58           45           39           32
180.0-189.9..................  70.87-74.79.....           71           60           47           40           33
190.0-199.9..................  74.80-78.73.....           73           62           49           42           35
200...............  78.74           75           64           51           44           36
----------------------------------------------------------------------------------------------------------------

Appendix IV to Part 92--Guidelines for Determining Equivalency 
Between Emission Measurement Systems

    This appendix describes a series of correlation criteria that 
EPA considers to be reasonable for the purpose of demonstrating 
equivalency between two test systems designed to measure the same 
emissions during FTP locomotive testing. These criteria are 
presented here only as guidelines. When requested to make a finding 
of equivalency, EPA could base its decision on criteria other than 
those listed here, where EPA has reason to believe that these 
criteria are not appropriate.
    (a) General approach. (1) Multiple tests should be conducted in 
pairs on the same locomotive or engine using each of the measurement 
systems.
    (2) Variations for other parameters, such as test fuel, should 
be minimized to the maximum extent possible.
    (3) Locomotive and/or locomotive engine tests conducted in 
accordance with the provisions of Subpart B of this part are 
preferred. Where appropriate, engine tests conducted in accordance 
with 40 CFR part 89 may also be used.
    (4) Equivalency of the systems should be determined by comparing 
individual modal data, individual cycle-weighted data, and the 
average cycle-weighted results from each system.
    (b) Correlation criteria for particulate measurements. (1) The 
correlation coefficient (R2) for individual modal data 
should be 0.90, or higher.
    (2) The maximum deviation between any pair of cycle-weighted 
data should be 15 percent, or less.
    (3) The ratio of average cycle-weighted results using the 
alternate system to the average cycle-weighted results using the 
specified Part 92 system (i.e., avgalt/avgspc) 
should be between 0.97 and 1.05.
    (c) Correlation criteria for other measurements. Correlation 
parameters for gaseous pollutants should be better than those 
specified in paragraph (b) of this appendix for particulate 
measurements.
    (d) Minimum number of tests. The recommended minimum number of 
tests with each system necessary to determine equivalency is:
    (1) Four 13-mode locomotive or locomotive engine tests, 
conducted in accordance with the provisions of subpart B of this 
part; or
    (2) Seven 8-mode nonroad engine tests, conducted in accordance 
with the provisions of 40 CFR part 89.
    (e) Statistical outliers. Statistical outliers may be excluded 
consistent with good engineering judgement. Outliers should be 
replaced by rerunning each excluded test point. Where more than one 
outlier is excluded, is recommended to perform one additional pair 
of tests (in addition to the minimum number specified in paragraph 
(d) of this appendix) for each two outliers excluded.

[FR Doc. 98-7769 Filed 4-15-98; 8:45 am]
BILLING CODE 6560-50-P